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Report of the Technical Services plan for optimization and productivity

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Title:
Report of the Technical Services plan for optimization and productivity
Physical Description:
1 online resource (98 p.) : col. ill. ;
Language:
English
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Borchert, Carol Ann
University of South Florida -- Tampa Library
Publisher:
University of South Florida Tampa Library
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Tampa, Fla
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review   ( marcgt )

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"June 2004."
General Note:
Report of a committee consisting of members from Acquisitions and Cataloging Departments of University of South Florida Tampa Library. Committee chair, Carol Ann Borchert.

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University of South Florida Library
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University of South Florida
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All applicable rights reserved by the source institution and holding location.
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usfldc doi - U24-00060
usfldc handle - u24.60
NEW
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SFS0000108:00001


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Report of the Technical Services Plan for Optimization and Productivity Carol Ann Borchert, chair Susan Heron John Keeth Suzanne Kleim Monica Metz -Wiseman Tom Miller June 2004

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Table of Contents Introduction 3 Overview of Acqui sitions and Cataloging 5 Departmental staffing levels 7 How physical material is received and processed 11 Overview of Acquisitions subscriptions workflow 13 Processing, Maintenance, and Management of Electronic Resources 15 PromptCat 1 8 SFX 19 D atabase Manager 22 Gathering statistics 2 4 ARROW Reports 26 Recommendations for improvement 28 Appendices: A. Committee Charge 33 B. USF compared to University of Louisville 36 C. Organizational Charts for Technical Services 39 D. Workflows 1. Acquisitions Serials workflow 43 Digitized Resources Processing 54 Free Internet Sites 55 New Titles 56 McNaughton Books (Leisure Collection) 57 Reinstated Titles 59 Periodicals/Serials Processing slip 60 Serials/Series with Anals and Cat Sep workflow and Distribution of Materials Received 61 Florida State Depository Titles (Serials and Monographs) 62 Processing Federal Documents 63 2. Cataloging Monographs 64 Special Collections Materials 66 McNaughton Books purchased for the collection 67 Media Resources Materi als 68 Microforms 69

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2 Theses/Dissertations 70 Withdrawals 72 Authority Control 74 Projects and Project Planning 75 Countable Errors 77 3. Electronic Resources License Process 78 E Book Workflow 79 E Resources Processing Slip 80 E Resource Life Cycle 82 E. Ann ual Job Assignment: Coordinator of Electronic Collections 83 F. Sample copies of statistics sheets 1. Cataloging Monographs 85 Serial Titles and Volumes 87 Online Resources 88 Maintenance Statistics 89 Monthly Report: Media 91 2. Acquisitions Check In Statistics 93 Internal Forms Used in Acquisitions o Periodical Check In Statistics 96 o Periodicals: Incoming Mail Statistics 97 o Periodical Check In Activities 98

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3 Introduction At the beginning of the fall 2003 semester, acting Director of Technology and Technical Serv ices Todd Chavez charged this group, known as TS POP (Technical Services Plan for Optimization and Productivity), with the following tasks: To examine all workflows in the Technical Services area To examine all job descriptions and functions in the Techni cal Services area To examine which statistics are being kept and the method of recording them The full charge is attached at the end of this document in Appendix A. Our purpose has been to find ways to improve productivity, using technology to streamline workflows as appropriate and possible. The USF Libraries Technical Services area mainly serves the Tampa, St. Petersburg, Louis de la Parte Florida Mental Health Institute (FMHI), and Lakeland libraries. Online subscriptions are for all of the USF Libraries and their patrons, including the Sarasota/New College and Shimberg Health Sciences libraries. Monograph monies listed in this report are USFwide as they are listed for ARL (Association of Research Libraries) and annual reports. Technical Services includes Cataloging and Acquisitions. Acquisitions encompasses check in, ordering, receipt, bindery, and the mailroom. Fiscal functions have only recently been shifted to the Tampa Librarys Business Manager. Preservation has reported to several depart ments over the past few years, and is now part of Special Collections. Cataloging is responsible for the bibliographic, authority, and initial holdings records ( with the exception of federal documents ), and physical processing of most materials They als o manage the maintenance of NOTIS, including authorities for Sarasota/New College. The Electronic Resources Librarian bridges the Acquisitions and Cataloging departments in this specialized area, negotiating contracts and providing ongoing information about these resources to the two departments. Technical Services has one USFwide forum, t he Cataloging Policy Committee, which is composed of the librarians, archivists, and the LTA supervisor from the Tampa Cataloging Department; the Special Collections cataloger; representatives from Tampa Reference; the catalogers from Shimberg, Moffitt and Sarasota; and librarians from St. Petersburg and FMHI. This group recommends policy and practice for the Cataloging Department, taking into consideration the impact of such policies on other library areas. Occasionally, items are tabled until the public services representatives can solicit input from their areas. Guests are invited when the topic warrants. Subcommittees are created to address complex issues, such a s e resources or government documents and report to the CPC Given the impending move to a new library management system (LMS), potential ARL membership, and a new institutional emphasis on research, Mr. Chavez felt that now was an opportune time to asses s where we are and to streamline workflows in Technical Services. Maximization of productivity is particularly important over the next year because the pre implementation tasks for the new LMS will require the time and attention of many of the Technical Services staff. Once the new LMS is implemented, many of our processes will change; however, a thorough understanding of the present workflow will facilitate an efficient transition to the new way of approaching our tasks. The USF Libraries are also fac ing possible budget cuts and the retirement of our Head of Acquisitions. This position and others in the

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4 department are not being filled at this time until the precise needs of the department are determined. As part of this process, we had a conference c all with Tyler Goldberg at the University of Louisville Libraries, an ARL institution of similar size, to compare our technical services functions and staffing levels. In order to achieve ARL membership, we are trying to add 65,000 volumes to the collecti on each year. This year we are on track to be successful, without relying heavily on outsourcing for print titles. Susan Heron is investigating the use of TechPro for incoming gift books, but we will be able to process the highest priority materials in h ouse. As of summer 2003, the USF Tampa Library started receiving all approval books as shelf ready in order to speed processing and increase productivity. The committee is composed of the following members: Carol Ann Borchert, Chair, Reference Librarian Susan Heron, Head of Cataloging John Keeth, Head of Acquisitions Suzanne Kleim, LTA Supervisor in Cataloging Monica Metz Wiseman, Coordinator of Electronic Collections Tom Miller, LTA Supervisor in Acquisitions Beverly Caggiano from Technology provided input and assistance as needed and/or requested.

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5 Overview of Acquisitions and Cataloging Acquisitions Acquisitions Mission: To acquire/lease, receive, and pay for library materials in all formats in a fiscally responsible manner. The Acquisitions De partment is responsible for: Placing order s for library materials in all formats including renewals Initiating the NOTIS bibliographic record Creating an OPR (Order Pay Receipt record) Receiving each order and recording receipt in NOTIS Verifying the invoice, keying it into the NOTIS system, and forwarding it to the Fiscal Unit for payment in the university accounting system (FAST) Standards: MARC21 Accounting standards according to the university and state auditors Cataloging The Cataloging Depart ment is responsible for the permanent bibliographic record the initial holdings record physical processing authorities records maintenance of the bibliographic and authority records for most of the materials acquired for the Tampa, St. Petersburg, Lakeland, and FMHI libraries. Exceptions: federal documents, reserve materials. Standards: AACR2R LC classification for everything except the Curriculum Collection, Federal documents, some Florida documents, and some special collections LCSH MARC21 L C rule interpretations

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6 Cataloging Department Priorities 1. Rush requests initiated when a patron or staff member submits an online form, rush slip, or written request 2. Expedite requests initiated by the type of material: re ference materials for any of the libraries or departments; Leisure Collection books for Tampa or Rec Read books for St. Pete; periodicals 3. Newly purchased materials for all locations and gifts for St. Pete, FMHI, and Lakeland 4. Projects 5. Gift bo oks for Tampa New materials for non Tampa locations usually receive priority over Tampa items, on the reasoning that an item needed for a Tampa patron can easily be rushed and quickly delivered, while the other libraries have to contend with one to two days of travel time for their materials. New materials and projects run concurrently. Projects are prioritized by what staff is available, the importance assigned by the requester, the readiness of the material to be cataloged (is a location needed, has the requester defined the cataloging parameters, etc.), and the availability of the items. The Cataloging Department tries to be fair to all requesters and do some projects for all, rather than favoring one department or library. Cataloging priorities are forwarded to the deans and directors for confirmation or reallocation. Tampa gifts are given last priority because newly purchased items and projects have always been considered more important. All of the gifts are in NOTIS with some kind of record; rema rkably few ever get rush requests. N.B.: Special Collections gifts are treated as projects, not gifts.

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7 Departmental Staffing Levels The following tables list the staff in the Acquisitions and Cataloging areas of Technical Services and how much time they devote to each function. For further information on job descriptions for the staff positions, please go to http://www.lib.usf.edu/admin/hr/audit/PD.html Acquisitions Staff Director % of T ime Periodicals and Serials % of Time Todd Chavez 20 (Receiving) John Abresch 40 Senior Secretary Joan Huff 40 Betty Powell 30 Jessica Ireland 40 Tom Miller 5 Coordinator of Electronic Collections Total % FTE 125 Monica Metz Wiseman 90 (Processing Orders and Invoices) Mailroom and Shipment Receiving John Abresch 20 Robert Logan 100 Joan Huff 20 Jessica Ireland 20 Firm Orders (ordering) Tom Miller 10 Rebecca Peters 60 Total % FTE 70 Brenna Mathiasen 5 Mariann e McDono ugh 35 (Claims and Correspondence) Total % FTE 100 John Abresch 20 Joan Huff 20 Approvals & Monographs Receiving and Cataloging Supe r vision and Training Jessica Ireland 20 David Cipris 65 Tom Miller 10 Total % FTE 70 Approvals and Monographs Receiving and Cataloging David Cipris 30 (Special Project and Backup to mailroom) Brenna Mathiasen 35 John Abresch 15 Marianne McDonough 35 Joan Huff 15 Total % FTE 100 Jessica Ireland 15 Jim Caflisch 15 Total % FTE 60

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8 Serials and Standing Orders (receiving and invoice approval) % of Time Binding (Monographs and Periodicals) % of Time Marilene Riemer 95 Alan Singleton 100 Government Documents Periodicals, Serials, Documents, Mailroom and Binding Supervision and Training Jim Caflisch 100 Tom Miller 70

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9 Cataloging Staff Monographs % of Time Serials % of Time Susan Heron 1 Brian Falato 50 Charles Gordon 2 Donna Menendez 60 Sue Vastine 11 Debbie Lawhon 5 Carol Ann Borchert 15 Total % FTE 115 Sharon Hancock 60 Bob Cracolici 10 Series with Anals Kay Tapley 95 Debbie Lawhon 75 Beatrice Walker 20 Nicki Leto 45 Sharon Hancock 20 Beatrice Walker 50 Total % FTE 40 Leticia Cadiz 20 Martin Grady 100 Electronic Resources % of Tim e Total % FTE 484 Jim Michael 100 Special Collections John Barrett 100 Debbie Lawhon 10 Lorel Reinstrom 10 Amy Purvis 50 Jamie Hansen 75 Total % FTE 260 Debbie Lawhon 5 Bob Cracolici 30 Juvenile Total % FTE 120 Bob Cracoli ci 30 Media Nicki Leto 40 Total % FTE 70 Tom Tharrington 99 Leticia Cadiz 80 Total % FTE 179

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10 Maps % of Time Authority Control % of Time Brian Falato 10 Susan Heron 2 Apryl Price 25 Charles Gordon 3 Total % FTE 35 Sue Vas tine 9 Sharon Hancock 10 Music Bob Cracolici 10 Beatrice Walker 10 Lorel Reinstrom 80 Total % FTE 44 Nicki Leto 5 Total % FTE 85 Maintenance Leased Materials Susan Heron 20 Sue Vastine 1 Tom Tharrington 1 Sharon Hancock 1 0 Beatrice Walker 15 Bob Cracolici 20 Total % FTE 16 Total % FTE 51 Print & Electronic Theses Training/Supervision Sue Vastine 25 Susan Heron 5 Kay Tapley 5 Charles Gordon 94 Total % FTE 30 Brian Falato 8 Suzanne Kleim 65 Sta tistics Sharon Hancock 1 Total % FTE 173 Suzanne Kleim 20 Total % FTE 20 Physical Processing Cataloging Support Jerry Smith 100 Total % FTE 100 Suzanne Kleim 15 Total % FTE 15

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11 How Physical Material is Received and Processed Acquisitions The University of South Florida Library receives materials numerous ways. 1. Gifts 2. Firm orders 3. Approval Plans 4. Subscriptions 5. Standing Orders/Continuations 1. Gifts Gift offers are received from various sources: current or retiring faculty members of the community, publishers, and authors, to name just a few. Gifts can be a collection amassed over a period of years covering a broad or a narrow spectrum of subjects. Some are newly published materials and may consist of single or extensive runs of journals, monographs, pamphlets, scores, records, and other ephemera. Tampa Collection Management staff receive gift materials and determine whether to accept them. Donations for the other libraries are handled directly by those libraries. When a gift has been accepted for one of the librarys collections, it is forwarded to the Acquisitions Department for initial processing. 2. Firm Orders Firm orders are the result of a request for a specific item and normally come through Collection Management The Acquisitions staff researches the order, creates the purchase order, and forwards it (usually electronically) to a vendor or publisher. Most firm orders are billed when shipped, although under certain circumstances, they may be billed to an institutional credit card. Whenever possible, the order is placed with the librarys main jobber so that they can be received shelf ready. A large percentage of these shelf ready items will be cataloged at point of receipt. The department normally processes approximately 10,000 firm orders a year. 3. Approval Plans The USF Tampa Library has had extensive approval plans since the late 1980s. Materials received by this method are controlled by a highly detailed profile that is created and reviewed on an annual bas is by the Collection Management librarians, faculty, and the vendor. Beginning in 2001, approximately 40% of the approval plan materials were being received shelf ready. In July 2003, the decision was made to shift the Yankee Book Peddler approval plan t o 100% shelf ready as a method of reducing the receipt and processing time. Approval plan materials were no longer retained on review shelves for a week for acceptance or rejection before processing since only damaged materials or items sent in error may be rejected. On average approximately 18,000 volumes are received each year through this program. Currently only the USF Tampa Library has a book approval plan. The Poynter Library in St. Petersburg has a slip plan.

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12 4. Subscriptions The University of Sout h Florida libraries receive most of their journals and magazines through subscription, which can be placed through an agent such as EBSCO or directly with the publisher. This allows the library to consolidate the billing to primarily twice a year (with additional billing during the year if necessary for price increases or price decreases). Subscription agents can load invoices electronically into the Acquisitions subsystem, which eliminates considerable keying of data. Subscriptions can be established fo r journals in various formats: print, microform, and electronic. Journals are much more labor intensive than firm orders. Journal issues normally go straight to the shelf after they are checked in until a unit, typically a volume, has cumulated; at that point print materials are bound. 5. Standing Orders/Continuations Standing orders and continuations are usually established for ongoing sets, serials and annuals. They can be set up through a firm order vendor, a subscription agent or directly with the publisher. These types of materials normally go straight to Physical Processing after being checked in and added to the NOTIS holdings record. Cataloging Acquisitions staff typically does simple copy cataloging (e.g., material with Library of Congress re cords with no complications, and added copies, volumes, or locations). Anything requiring a decision or more complicated procedure is forwarded to Cataloging; this includes series decisions, CD processing, authority problems, edition changes, etc. The pr inciple is to allow the easy materials to be handled as quickly as possible while ensuring that Acquisitions staff members do not become mired in complicated issues. New materials coming into Cataloging are routed through the USPS Supervisor (everything except eresources or serials) or Donna Menendez (serials) or Jim Michael (eresources). These three determine the type of staff to handle the cataloging of a particular item, based largely on the level of difficulty. Monographs, scores, and media with LC like call numbers and unambiguous problems are cataloged by Senior LTAs. Those without LC call numbers or requiring original cataloging are shelved in the backlog areas for the librarians, who handle the difficult materials. Maintenance of cataloged ma terials is directed to two Archivist level USPS catalogers. They divide the tasks among themselves. Any problem resolution that is beyond their capability is given to a librarian. The Archivists also catalog. One handles belles lettres ; the other one does the Dewey classification of the materials in the Curriculum Collection.

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13 Overview of Acquisitions Subscriptions Workflow The Acquisitions Department has four people involved in the processing of subscriptions: three Senior Library Technical Assistant s and the Library Technical Assistant Supervisor. The University of South Florida subscribes to over 4000 current journals in print format. After the initial order is placed, it must be renewed every year in order to ensure receipt. The receipt of each issue must be recorded weekly, monthly, quarterly, semi annually, or some other determined frequency and claims made for missing issues. If issues are missing at the time of binding, this requires extra work to determine if the issue is available for purc hase from the publisher or a missing issue vendor. Journals have a tendency to change names, split into new titles or merge into one, vary publication schedules, or be bought by new publishers. Many of these problems require the assistance of the serials catalogers. In order to process each title that USF has in the journals collection, an order must be placed, usually with a vendor such as EBSCO, unless the publisher requires that it be done directly. In order to show that an order has been placed, a bibliographic record must be created in NOTIS, either by downloading it from the OCLC database or keying a provisional record. At this point an order pay receipt record (OPR) is created and fund and subscription information added. When the vendor or publisher invoice is received, it is checked for accuracy, and the payment information is keyed into NOTIS. The invoice is passed on to the fiscal unit for payment in the FAST System by the University. When the first issue of a new title is received in t he mail (approximately 6 weeks), the issue is recorded on the OPR to show receipt, and the status of the order record is changed to in process. A Periodical/Serials form will be completed, put with the issue, and forwarded to Cataloging. Once a title is cataloged, each issue received is checked in on the OPR, and a call number is written and placed on the issue. The issue is stamped, stripped, and sent to the Periodicals floor for shelving. Check in s taff review the record for missed issues and outstanding claims, then determine if a binding unit needs to be placed in process. If an issue is missed a claim is generated, and the missing issue is noted in the check in information. A memo will be printed at the end of the day and processed at a later date. Due to the nature of receipt of periodicals, it is necessary to allow the claim to age to be sure that the issue is not in another stack of mail in house or received out of sequence. If the check in staff note that an issue has been claimed and has not yet been received, they will need to follow up appropriately. When the binding instructions indicate that a unit needs to be bound, the check in staff will note the record with the binding information and provide a screen printout of the information for the Binding Unit. Other procedures that need to be done by the check in unit are: the initiation of cessations, title changes, mergers and splits, as well as cancellations. When a notification of a cessation is received from the vendor or the publish er, the OPR is annotated, and an appropriate action date is added. When the action date comes up on the ARROW report, OCLC is searched to determine if the record has been closed. If the OCLC record is closed, a ceased title form is completed and sent to the Senior Serials Cataloger. If the OCLC record has not been closed and the title is still being received, the action date is advanced. If some time has passed with no issues having been received (and it is obvious that the title has in fact ceased), the ceased title form is processed and sent to Cataloging.

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14 When a title changes name, splits, or merges with another title, the appropriate records are loaded into NOTIS and cross referenced. A Periodical/Serials processing slip is completed and placed in the first issue and sent to the Senior Serials Cataloger. If the library cancels a title, it is necessary to notify the vendor/publisher. The OPR is noted with the date of the cancellation and the initials of the person who requested the cancellation. In most cases, the title will continue to be received until the end of the current subscription period or until a date determined by the publisher. Eventually the action date will expire, and the title will appear on an ARROW (action date) report. When t he check in person reviews the record and determines that a credit or all issues have been received, they will complete a cancellation checklist. The final units will be bound and the OPR closed. Reports are generated through the ARROW Report Program, available on the Florida Center for Library Automation (FCLA ) web site at http://arrow.fcla.edu/system/intro_arrow.html (see p. 26 ) They can be produced at will but are usually run on a weekly basis. Reports vary in length depending on the number of expired dates. The date can be for an unresolved claim, nonreceipt of an order, total nonreceipt of issues, errors in the check in record, or for notes that have been added to the record that need to be reviewed. Working with the report requires searching the record, reviewing the OPR to determine why the date expired, researching the history, and sometimes going to the shelf to review the issues received in order to determine what action needs t o be taken to resolve any problem.

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15 Processing, Maintenance, and Management of Electronic Resources Some aspects of ordering and cataloging more traditional formats are analogous to those applied to the processing of electronic resources. Yet ov erall, e resources introduce to libraries many new procedures, practices, and policies that are unique to this format. The eresource life cycle begins with an assessment of need or desire to acquire and progresses to an annual assessment to retain. Embedded in that cycle are multiple steps that are new to library staff, vendors, and publishers. The process can be grouped by major activities: collection development, acquisitions, cataloging and access, administration, marketing, maintenance, support, a rchiving and assessment. Combining what falls under each of these categories constructs a complex workflow. 1. Collection Development. Collection developers face an increasing proliferation of resources in an electronic format coupled with the strong user preference for online access. Compare what is available to a researcher today and what was available ten years ago. Compare the amount of time spent today on accessing these materials versus the time it took ten years ago. Users expect and demand online access. Couple this need with double digit increases for serials and increases for electronic resources exceeding the rate of U.S. inflation, and there is a tension between what is needed and what is possible. Decisions to acquire electronic res ources come from many directions: state wide eresource collection committees, library collection committees, library administration, faculty and student requests, departmental requests expressed through enhancement requests, collection development librar ians using foundation dollars, and the head of collections. The workflow within this group follows. a. Determine costs. b. Assess budget. c. Provide trial access to resource. d. Assess resource applying collection criteria. e. Assess technical capabilities within USF environment. f. Determine participants within USF and level of participation. 2. Acquisitions. Once the decision has been to acquire and a determination is made how payment will be made and by whom, the order process begins. a. Acquire, review, and negotiat e the license until approved by vendor and General Counsels Office. b. Scan license and complete cover sheet recording vendor, product name, payment information, ILL information, and term of contract. c. Make scanned licenses available to library staff either through NOTIS or web interface. d. Order through vendor. Supply information needed by the vendor to set up account and provide access. This may include information about USF in general or very precise information such as the number of FTE within a spec ific program, at the undergraduate, faculty, and graduate level. Vendor always needs: USF IP addresses, including USF proxy and FCLA proxy servers, technical and ordering contacts, and physical addresses of campuses. e. Set up payment record in NOTIS. f. Rev iew for inclusion in SFX. g. Review spreadsheet that defines which USF Library is sharing payment for what titles, what is expected by way of price, and how much each library pays.

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16 h. Record payment in NOTIS. i. Make payment in FAST. j. For renewals, either crea te spreadsheet of titles or review from publisher. Reconcile differences between what publisher claims we carry versus our title holdings. Include all campuses. Add NOTIS information at title level. Record cancellations, new titles. Reconcile final v ersion with publisher. k. Where one invoice for ejournals is received for all campuses, line out titles as appropriate and send out invoices. Reconcile with publisher as needed. 3. Cataloging and Access. a. Put URL in two proxy servers: EZProxy and Academic Computing for Blackboard. b. Register with vendor on their web pages. c. Catalog title in NOTIS with any added entries. d. Add to SFX Knowledge Base. Set appropriate thresholds. e. Add to MetaLib providing customized description as required. f. Maintain URLs. 4. Administration. a. Record user name and passwords. b. Record help desk information, vendor telephone number, fax number and email address, and support desk hours. c. Record how statistics are supplied. d. Record administration module information. e. Determine inter face preferences based on public service feedback and set preferences. f. Respond to future changes to vendor capabilities by gathering public service feedback and setting online preferences. 5. Marketing. a. Send information out to usflibs@lib.usf.edu on new acquisition. b. Work with Communications Director to highlight specific acquisitions through web pages or written publication. 6. Maintenance. a. Sign up for product updates service, where provided. b. Respond to changes in interface, content, planned downtime, and administration of resource. c. Inform and/or engage appropriate library staff. 7. Support. a. Troubleshoot denial of access. Determine whether it is a payment or technical issue. b. Contact vendor for t echnical and payment issues. c. As vendor changes access privileges, we may have to begin at the order level to resume access. For example, if we had free online with print, and the vendor decides to charge for online access, the process begins anew at the c ollection development cycle.

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17 Agreement must first be reached among USF Libraries (Tampa, Lakeland, St. Petersburg, HSC) where additional payment is required. d. Revise SFX Knowledge Base. e. Revise MetaPress, ECO, and EJS information through EBSCO and OCLC. 8. Archiving. a. Determine archiving strategy of publisher/vendor before determination is made to go to online only. b. If publisher is ECO participant, place order at the title level through OCLC on a monthly, quarterly, or annual basis, observing OC LC 30 day deadline. Provide OCLC with information about USF: OCLC symbol, address, subscription agent, and as necessary customer number for publisher. c. Review 6,000 or more titles on annual basis for new titles, title changes, and change in vendor part icipation. Submit USF order and make payment for over 2500 titles. 9. Assessment. a. Receive statistics delivered via email. b. Record changes to statistics delivery and output from vendor. c. Send statistics to CD librarians for specific areas. d. Review stat istics for trends, turnaways, and overall use. While the electronic resource workflow is presented as a list, during renewals and at any point during the subscription period, the library staff can find themselves within any stage of the cycle of electr onic resources.

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18 PromptCat In 2001, the USF Tampa Library initiated a program to receive shelf ready books for those parts of the approval plan that had little or no rejection history. Yankee Book Peddler provided a weekly file of bibliographic records of either full DLC records or provisional records with attached order information to FCLA. The associated books, which were stamped, security stripped, and barcoded, were sent by Yankee to Acquisitions. Any books with DLC records also arrived with spine labels. Acquisitions checked the accuracy of the order and payment information and cataloged those books which had uncomplicated DLC records. Books needing more attention were routed to Cataloging. Books without bibliographic records were searched in OCLC, records updated and exported, and the provisional records overlaid in NOTIS. Books with DLC records were searched in OCLC and updated in order to set the Tampa OCLC symbol. The two biggest disadvantages to this system were the extra OCLC searching for updating or overlaying provisionals, which was timeconsuming and expensive, and the lack of an OCLC number in the cataloging record. This number had been used in the past as a matching point for a variety of processes. Despite these problems, the approval processing was considered relatively successful and Yankee firm orders were also received shelf ready if a DLC record was available. In July 2003, the remaining approvals were added to this program. In January 2004, PromptCat replaced Yankee as the record provider and greatly streamlined Acquisitions processing of approvals and firm orders. In addition to DLC and provisional records, PromptCat supplies member created records, thus eliminating the need to search OCLC to export and overlay nonD LC records. It also obviated the very laborious procedure of updating holdings on OCLC and solved the two disadvantages of the Yankee processing. Prior to switching to PromptCat, USF paid Yankee $3.60 per volume, which included the cost of the bibliographic record. With PromptCat, Yankee receives $2.05 per volume, and SOLINET charges $1.9720 for a full bibliographic record or $0.6148 for a partial record. Two difficulties have yet to be resolved with PromptCat: OCLC is creating the record file too quick ly, which causes nonDLC records to be sent when DLC would be available soon after; spine labels are now being provided for records that are not DLC. The former may not be able to be remediated, but the latter should.

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19 SFX SFX is a proprietary software application that primarily links users to online journal collections owned by libraries. It links the user either to a specific article or to a specific journal. It also allows users to link into their online catalog (WebLUIS) and to interlibrary loan software (ILLiad). SFX serves as the central repository for ejournal information through alphabetical title lists and provides vendor independent usage statistics. FCLA acquired and installed SFX and loads updates for the university system on a monthly basis. Implementation Issues USF implemented SFX during the summer and fall of 2003. Several issues needed to be addressed prior to the unveiling of this new service. The initial component was the identification of SFX sources, those resources that are SFX compliant. The next component was the setting of SFX targets, the source of the full text content. The USF libraries had to set the titles and holdings for over 6,000 electronic subscriptions in order for the system to be optimally useful. The third task was to resolve anomalies between the standard SFX activated objects and titles/issues to which the USF libraries actually owned access. Staff from Cataloging, Acquisitions, Reference, and Technology became part of the SFX Content Group, which attempted to reconcile these differences. The most time consuming task was setting coverage thresholds for local content. The USF Libraries did not own access rights to complete runs of backfiles of all t he SFX defined objects, which meant that actual dates had to be keyed into the system so as not to mislead patrons. Initially the threshold changes were reported to the Head of Technology; more recently the E Resources Cataloger keyed them in himself. This process is not yet completed for all titles. Staff also had to resolve the problem of titles not represented in SFX (or which had incorrect information, such as an incorrect ISSN). Those were reported to SFX for inclusion in the next update. For ex ample, FCLA loaded the 3/31/04 update on 4/12/04. If a title is not included, it will be put into the 4/30/04 update. If on 4/25, a title was not included, it would then be included in the 4/30/04 update. This delay should encourage the staff to identify these titles at an earlier stage so that the information can be loaded by SFX before the cataloging stage. Cataloging Changes Impacting Public Display In February, a significant change in cataloging procedure was instituted for ejournals. Previousl y, links were added to the MARC record for every vendor, a complicated process that created a cumbersome display. The process was rethought and currently the MARC record for new eresources uses the link to the SFX ISSN search screen. This simplifies the WebLUIS displays by consolidating multiple URLs and alleviates the need for entering volume holdings information in WebLUIS. The coverage data is stored in SFX; updates/corrections to that data also are made there. For example the Blackwell Synergy tit le Abacus is available through Ingenta, FirstSearch ECO, and BlackwellSynergy. This formerly required the display of three URLs and maintenance of three volume holdings records in WebLUIS. Now these are consolidated into a single "USF electronic resourc e" copy statement and no volume holdings display on the WebLUIS record. When the user now clicks on the URL, the SFX screen lists each source, with the volumes available from

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20 each. When a source is added or deleted, or coverage changes, that change is re corded in SFX, rather than adding or deleting copy statements and URLs. Only ticklers and provider added entries need to be added or deleted in the MARC record. This practice saves time and effort for the cataloging staff who are able to use SFXs prepackaged data. Open Projects Projects remaining from the initial implementation (as of April 26, 2004): 1. Set holdings in SFX for 2396 titles in ECO. 2. Activate titles and set holdings in SFX for 650 Ingenta titles. 3. Activate titles and set holding in SFX for over 100 Highwire titles. 4. Review current USF resources against SFX database of titles for completion. 5. Revisit MARC records for previously cataloged journals to convert holdings to the SFX URL. 6. Remove links from print journals. Newly added titles needing title activation/holdings in SFX and cataloging in WebLUIS (as of April 26, 2004): 1. Haworth, 60+ online titles 2. Electronic Journals Services, 1038 titles, as of 3/19/04. This title list will increase. 3. INFORMS titles, from INFORMS platform to Extenza 4. Royal Society of Chemistry, 15 titles 5. New and discontinued OUP titles 6. Harrassowitz titles, potentially 100+ 7. Lippincott/Williams & Wilkins total access journals on OVID, ca. 200 titles Challenges The publisher may not be able to supply accurate tit le/holdings information. Not all vendors support SFX (OpenURL) technology. Publisher/vendor information supplied to SFX may be incorrect. When titles are not found in the SFX database, there can be up to a 30day delay for FCLA to update the title list. Titles and holdings for the USF libraries can vary from library to library. Users have a choice of going to the journal title or to the specific article. Additional training may be required when instructing users on SFX. For example, o If you click on an SFX button within CINAHL, you do not have to input any additional information. o If you use the first input box on http://www.lib.usf.edu/journals/, you only need a title name. o If you use the second box (where it says "If you know the journal name AND a sp ecific date, volume, issue or ISSN, use this form. More information is better"), then you need more than one piece of information. Diacritics do not currently display correctly in the title list. However, they do in MetaLib. The format for SFX thresholds (holdings) is written in PERL and must be reformatted from Excel.

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21 The locally developed SFX titles search box is not updated until the day following the change. A future release is supposed to fix this. Recommendations 1. Activate all subscription titles and enter correct thresholds in SFX. 2. Acquisitions should check for SFX availability at the time of ordering and submit new titles to SFX if a source/target is not available. 3. Monthly updates should be reviewed; at present no staff is available for this 4. Mo dify previously cataloged journals to link from the MARC record in WebLUIS to the SFX ISSN search screen. 5. Review knowledge base of SFX for accuracy and completion. This will be a onetime project to ensure data in SFX is correct as of a particular cut off date; thereafter, monthly updates will be verified. 6. Explore new methods in exporting threshold information.

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22 Database Manager The rapid acquisition of electronic resources in the mid 1990s far outstripped the Acquisitions and Cataloging Departments ability to add them to NOTIS. A local solution, the Database Manager, was implemented to allow users and staff to have access to the uncataloged ematerials in the interim. Many academic libraries are acquiring commercially developed electronic resourc e management systems or developing their own. Examples include those developed by Cornell, Emory, Johns Hopkins, Penn State and UCLA. (See http://www.library.cornell.edu/cts/elicensestudy/ .) The USF Libraries created a Database Manager to manage and organize the many electronic resources in the original USF Virtual Library. The organization of those resources is now moving to the WebLUIS online catalog for patrons to access them in an int egrated interface along with the print and other electronic resources. However, the Database Manager offered functionality from the administrative side that cannot be easily duplicated in the online catalog. Recently, private companies have created commercial products to assist in the organization of e materials. The USF libraries have chosen MetaLib by ExLibris to work with WebLUIS. MetaLib is an electronic resource management system that enables users to access their institution's ecollections, obtai n relevant services, and work in a personalized environment. With MetaLib, an institution can manage hybrid information resources both local and remote under one umbrella. Such resources include catalogs, reference databases, digital repositories, and subject based web gateways. Using the MetaLib portal, library patrons can conduct a MetaSearch across heterogeneous resources or link to the resources' native interfaces. MetaLib provides an infrastructure for both single institutions and consortia and handles authentication and authorization requirements accordingly. Webbased administration tools permit the effective localization, configuration, and maintenance of an institution's full range of information resources. However, Metalib does have its limitat ions. While MetaLib will supplant the public side of the eresource listings and groupings by subject, there is functionality within the database manager that requires retention of the current system until another electronic resource management system replaces our own database manager. Critical features in the USF database manager include: 1. Ability to capture comprehensive vendor information a. Help desk information, including phone numbers, email address, fax number, contact b. Statistical information i. How delivered ii. User name and passwords iii. URL c. Administrative module information i. URL ii. User name and passwords iii. Special instructions d. URL for product e. Specific notes about resource

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23 f. Help URL g. Product name 2. Ability to generate a title list by year along with a summary for co llection development reports such as annual reports, annual CD meeting, Library Leads, and accreditation reports 3. Ability to post information on trial access to databases including ability to track past trials 4. Capacity to post system reports for databases that are down for any myriad of reasons (The current web pages do not display this information, although this would be very helpful. The web site in its previous life offered this feature. Approximately six downtime reports are received on a monthly basis.) Reporting to the dataset manager allows the Coordinator of Electronic Collections to track system downtime at the product level. Vendors launch new releases, switch out servers, etc., resulting in some downtime. Currently, we have no system in place to alert our user community, including the library staff. As one example, here is what we recently received from CIAO (political science resource). Dear CIAO Subscriber, This is to alert you that CIAO [Columbia International Affairs Online] will be unavailable Sunday, March 14th from 1PM to 5PM EST [Eastern Standard Time in the USA]. At this time, Columbia webfile servers will be undergoing scheduled maintenance. We apologize for any inconvenience this may cause. 5. Ability to direct users to uniform title from more commonly used names of products through see references 6. A comprehensive title list that allows for browsing 7. A tiered ranking by subject to databases: subject specific, related, and multidisciplinary Recommendations: 1. Keep USFs database manager active and current for the eresource management. 2. Determine library staff and patron need for resource downtime information. Perhaps this could be linked in the News @ USF Libraries section of the USF Libraries front page. 3. Determine best approach to database trials, allowing for secured posting of user names and passwords. Perhaps this could be also linked in the News @ USF Libraries section of the USF Libraries front page. 4. Run database manager content parallel to MetaLib during trial phase. 5. Skip implementation of version 2.3 of Metalib and begin with version 3 for production purposes.

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24 Gathering Statistics S tatistics are maintained not only as internal information, but also for university and national reports that require specific data regarding expenditures of library resources funds. Listed below are just a few examples of where this data is used. 1. IPEDS report 2. Accreditation Reports 3. Expenditures By Colleges/Departments 4. ASERL report 5. Documentation for the University of South Florida Library System quest for ARL status The Acquisitions Department is primarily responsible for statistics reflecting expenditures for library materials and number of items purchased. The Cataloging Department is responsible for the number of titles and vol umes added or withdrawn. Acquisitions Expenditures are tracked via the Acquisition Fund Records that record in considerable detail expenditures by college, department, and type of item purchased. Item count is controlled by correctly entering data i n the CN field of the payment field when inputting payment into the NOTIS Acquisitions System. At the end of the fiscal year, at the Acquisitions Departments request, FCLA generates a report reflecting item count by fund and Expenditure Class Code (XC code). The annual report statistics are pulled together using the FCLA generated report with the final NOTIS Fund Report for the fiscal year. Detailed data is inserted into an Excel spreadsheet that pulls all the data together into a composite statistical annual report for the fiscal year. Discrepancies will be found and should be researched for correction. There are two ARROW reports that are primarily used to identify the specifics of any discrepancies: Payments By Funds and Individual Expenditures By Fund and Expense Class. With few exceptions, it is possible to identify specifically all expenditures made against a fund. By looking at the detail purchase order/invoice record number, one is able to correct most discrepancies. The Accountant w orks with the Department Head to compile the annual report statistics from NOTIS. Government Documents statistics are compiled by Jim Caflisch and provided to Cheryl McCoy for further massaging. Another statistic maintained by Acquisitions is the numbe r of orders placed during the fiscal year by specific staff members. Each staff member completes an order statistical sheet for each batch of orders he/she handles that provides the number of orders placed, when the group of orders was assigned a batch nu mber, and when the batch was completed. The department secretary periodically compiles the order statistics from the completed batch slips and generates

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25 an Excel spreadsheet showing the number of orders completed every month by each staff member. Catal oging Statistics Cataloging statistics are gathered monthly for the following formats: Monographs for Tampa, St. Pete, Lakeland, and FMHI Media for Tampa and St. Pete Electronic resources for Tampa, St. Pete, Lakeland, and FMHI Serials for Tampa, St. Pet e, Lakeland, and FMHI Maintenance These statistics track the total number of volumes and titles held by the USF Libraries and are reported annually for accreditation reports. They also provide an evaluation tool for staff performance. Monograph and media statistics are gathered by a count of flags completed by the cataloger for each item cataloged. The flags are sorted by cataloger and hand counted by the LTA Supervisor. An Excel spreadsheet is kept for each month and cumulated for the fiscal year. The P OP Committee recommended the creation of a database to aid in gathering and reporting these statistics. Information from the flags could be entered directly into the database. The database was created and tested in December. December statistics were kept by hand and database. January statistics were solely entered into the database, with report modules available in early February. While this will not be a time saver for the person collecting the statistics, it will provide the capability to easily gather additional information, such as cataloging levels. Statistics for electronic resources and serials are kept by the staff who do the cataloging. They issue a monthly report to be included on an Excel spreadsheet. Any maintenance work is also reported on a monthly basis and is input into an Excel spreadsheet. Sample copies of the statistics spreadsheets are included in Appendix F (see p. 85). Another statistic maintained by the Cataloging Department regards individual performance standards. While there are no set cataloging quotas for faculty or USPS staff, there is a target for USPS staff to average four books per hour of cataloging, with a minimum of 16 books cataloged per day. In addition, immediately prior to the annual evaluation, a librarian reviews e ach USPS staff members cataloging work to determine error rate. All USPS staff are expected to maintain an error rate of no more than 2%. Countable errors are defined in writing as shown in Appendix D, Cataloging (see p. 77 ). The error rate is included a s a component of yearly performance evaluations.

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26 ARROW Reports ARROW reports allow quick compilation of NOTIS data. ARROW can create reports for catalog maintenance or to list expenditures or orders, among other things. Some reports require that the user log in with the same userid/password combination used to log into NERNOTIS. To access the ARROW page at FCLA and to see a full list of report types available, please go to http://arrow.fc la.edu/system/intro_arrow.html Types of reports used in the Technical Services area at USF are listed below: Used by Acquisitions: Commitments & Expenditures Fund Detail Lists Fund Grouped Totals (Monica also uses) Vendor Invoice List Current Unapproved Invoices Invoice Detail Lists Outstanding Orders by Fund Outstanding Orders by Vendor Continuation Titles List Expired Action Dates Orders Expired Action Dates M,N,R Search Order FreeText Fields (occasionally) Interval Between Order Date and Today (Open Orders) (potential for more use) Interval Between Order Date and Payment Date (Completed Orders) (potential for more use) Order Unit/Receiving Unit Codes & Addresses (not used regularly) Order Detail Lists Payments by Fund Payments by Vendor C ontinuation Expenditures List --Single Fiscal Year (not used regularly) Continuation Expenditures List --Multiple Fiscal Years (not used regularly) Individual Expenditures by Fund and Expense Class Total Expenditures by Vendor and Expense Class (not used regularly) Payment Detail Lists Active Orders Needing Cleanup Current Vendors Used by Cataloging: Unindexed Call Number Report Copies with Unindexed Call Number Types Copy Reports (as needed) Z Copies With Active Items Unlinked Items **Cataloging also uses CATALYST, which is a Windows based cataloging system, for some database maintenance related reports. Unlike NOTIS (and Aleph), there is no limit in CATALYST on the number of items that can be retrieved in a search. CATALYST and Aleph

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27 are not compatible systems, so Cataloging will lose this valuable maintenance tool with the Aleph implementation. Other reports used: Titles Within a Call Number Range (Collection Management

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29 Recommendations for Improvement Below are the recommendations for improvement in workflows and processes by this group. Several of these ideas are staff consumptive and will either require additional staff or reprioritizing of current workloads. Electronic Resources and Electronic Journals The e resource acquisitions and cataloging processes continue to evolve due to changes in standards and the addition of local software programs, notably SFX and MetaLib. o A subcommittee of CPC has been established to continue to evaluate eresource workflow. Outstanding issues are the review of t he SFX spreadsheets and the lack of staff to review the monthly updates. Orders for electronic resources need to be tracked. One method of doing this might be to add NOTIS records for all titles at the point of ordering or for trial access. This would require Acquisitions to provide an appropriate tickler. o There are unique issues in processing and adding electronic journals which need to be identified. Processing electronic journals has been viewed as part of the paper journals workflow, which is fine to a point, but there are numerous contingencies snarling the workflows for e journals. Sometimes this problem results in several people working on the same aspect of a given title without any of them realizing it. We must determine who does what and at w hich point in the process The process may require an initial project to get the library's holdings current ; however once that is done th e work can probably be inte grated into existing positions A separate group the E journal s Workflows Group, is address ing these issues. o Tom Miller drafted an Electronic Resources Processing slip (see p. 80) to include adding order records for electronic material so that everyone can see what is on order, even before it is cataloged. We may want to insert a placehol der in a tickler field, so that Jim Michael can search for them. o D evelop a web page or other tool that clearly explains for our package deals what we can cancel, swap, etc. Many times these terms are not clearly stated or even mentioned in the license agr eements. This will help not only Acquisitions staff in Tampa, but staff at the Shimberg Health Sciences and St. Petersburg Poynter l ibraries also. Send gift books to TechPro Tampa gift books are a low priority for Cataloging. One way to catalog these ma terials without impacting the new book workflow is to send them to OCLCs TechPro service. Susan Heron has contacted OCLC and received a quote for the current new gifts (the backlog of materials which are not listed in NOTIS) and the CUTR documents and wi ll soon have a firm scheduling date. Suzanne Kleim has estimated the amount of money required to ship these materials, and we are awaiting Todd Chavezs approval to ship. (as of May 24, 2004) Usage Statistics for Electronic Resources There have been some questions about whether gathering usage statistics for electronic resources i s more a function of Collection Management rather than Technical Services. Unfortunately, there is no staff allocated in either area for this function nor is there a

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30 system in place for collecting such information. Vendors send usage statistics in a variety of ways. This issue is still being discussed. Database manager Beverly will be sure to put staff information where we can access it. There are several options for this. The licens e agreements are currently linked to the vendor records in LUIS. User names and passwords could be kept in a spreadsheet. Alternatively, we might create a database in Microsoft Access to track such information. Database trials will probably b e done through Metalib. Keep USFs database manager active and current for the eresource management. Determine library staff and patron need for resource downtime information. Perhaps this could be linked in the News @ USF Libraries section of the US F Libraries front page. Determine best approach to database trials, allowing for secured posting of user names and passwords. Perhaps this could be also linked in the News @ USF Libraries section of the USF Libraries front page. Run database manager co ntent parallel to MetaLib during trial phase. Skip implementation of version 2.3 of Metalib and begin with version 3 for production purposes. Free Internet sites and free ejournals Jim Michael will train Jana and Ilene on how to add base records for free materials. Jim will upgrade them as possible. A NOTIS account has been designated for Jana and Ilene. Student assistants If the Technical Services area had some student assistants we could pass some of the easier or more repetitious work down to s taff paid at a lower pay level. Paying students above minimum wage would improve recruitment and retention, thereby saving money in the long term The Senior LTAs and even some of the librarians would then be free to take on more complex tasks. Jerry, who is nonstudent OPS, might be a good choice to supervise the work and train the student assistants. Below are some functions students could perform in Acquisitions: o Opening mail o Security stripping and stamping books o Pulling issues o Some bindery functions o Shelving duplicate issues in Acquisitions Other options would be part time OPS or library volunteers. Cataloging finds graduate assistant help to be more useful because they can perform a higher level of work. SFX Activate all subscription titles and enter correct thresholds in SFX. Acquisitions should check for SFX availability at the time of ordering and submit new titles to SFX if a source/target is not available. Monthly updates should be reviewed; at present no staff is available for this Modify p reviously cataloged journals to link from the MARC record in WebLUIS to the SFX ISSN search screen. Review knowledge base of SFX for accuracy and completion. This will be a onetime project to ensure data in SFX is correct as of a particular cut off date; thereafter, monthly updates will be verified.

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31 Explore new methods in exporting threshold information. Beverly can upload almost any data in electronic form if we can obtain it from vendors. Federal documents: A list of online serial documents titles should be compiled to make sure they are included in SFX since they are indexed in some of our databases. This list should be in a spreadsheet format with titles, ISSN numbers, and holdings to upload to SFX. This is not a top priority given other issues wit h SFX, but should not be forgotten. No staff is currently available for this. Involve Technology staff more closely in the reworking of processes This has been implemented in some cases already, e.g. the creation of shell records for the databases and the creation of the new cataloging statistics database. Technology could be invaluable in suggesting shortcuts for present processes. E books Develop a process for determining who adds inprocess records. This would be an issue for the Electronic Resource s Subcommittee of the CPC. Recommendations already implemented: Brown flag review (ongoing) Do a periodic review of the brown flag, which is used by Acquisitions staff to indicate the problem area when a book is referred to Cataloging. We need to det ermine periodically if the referrals are appropriate and if Acquisitions should take more or less responsibility. Theses/Dissertations The Grad Office no longer checks over the theses and dissertations to ensure that the title pages are free of spelling errors, that an abstract is present, and that all of the pages are present. This lack of standardization has added a level of difficulty to the cataloging and increased the time to process them, especially if there is an error and we need to contact the au thor. Todd has spoken to the Graduate Office about this to see if we can prevail upon them to take care of this when the theses are submitted. The new dean is currently revamping the entire process. Sue Vastine will be the Technical Services representat ive to these deliberations. (as of April 24, 2004) Honors Theses Susan has talked to Todd to see if we want to continue receiving these, and if so, could there be some sort of review process to make sure the formats and information are consistent? Addit ionally, some theses are turned in with copyrighted information illegally included. Monica recommended creatin g a policy that honors theses be submitted in print format only. The electronic version of honors theses will not be loaded locally nor migrated like the ETDs, which would create future access and archival issues. Stu Silverman investigated the institution of a format check and honors theses will be submitted in a paper format. This has been resolved. Leisure Books Steps 1, 2, and 3 of the Acquisitions workflow for the McNaughton collection (see p. 57) might eventually be collapsed into Bettys function as long as she provides feedback to CDAC librarians about the percentage of books ordered that are received, what titles we are not getting etc.

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32 SFX Re profile SFX to display subscription journals before aggregator resources. Use PromptCat for new books (see p. 18 for more information) Cataloging Senior LTAs are no longer creating name authorities Most likely, Library of Congress will eventually create name authorities ( often with more extensive cross references ), and if we have a record in the system already, theirs will not overlay. Electronic federal documents We should count the electronic copies as additional titles. Sometimes t he print and electronic titles are fairly equivalent, sometimes not. Susan pointed out that if we purchase an edition of a title published in the U.S. and another of the same title published in Great Britain, we count them as two separate titles. We shou ld do the same with the print and electronic copy of online titles; count them as separate editions, even if it is on the same bibliographic record. In short, Cheryl should no longer massage the numbers of online titles from the Marcive reports. She shoul d just use the title count for online government documents by doing a search on the FCLA tickler field. Cataloging statistics Richard Bernardy created a database for cataloging statistics. Suzanne now adds information from flags into the database instead of sorting and counting by hand. While this is not a time saver, more information, such as cataloging level, can be easily gathered. There was discussion about having Jerry input the data, but that has not been implemented to date. A test input database i s already in place; some refining may be appropriate. NetLibrary records We are now counting records from NetLibrary. Monica sends Suzanne an email when she knows something new has been loaded, but does not actually give the number. At any rate, Suzanne checks WebLUIS each month for anything new whether she hears from Monica or not. Paper catalogs from publishers Monica will take this idea to CDAC. The subject of the paper catalogs came up while we were discussing students, and how much time it takes to open the mail, sort through the catalogs, and send them to each CD librarian. The question is, do the CD librarians even look at the catalogs? Do the CD librarians really want to continue to receive these? Some publishers now send information via email or have their catalogs online. Right now these things are passing through several hands, but is it worth the combined staff time? Phyllis has insisted that catalogs are useful; however, it would be more efficient for the CD staff to have them sent direc tly to them rather than rely on Betty to forward the copies that are sent to Acquisitions. Larry Heilos sent out an email to this effect on February 27 that this new policy will take effect on July 1, 2004.

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33 Appendix A: Committee Charge Technical Servic es Plan for Optimization & Productivity (POP) This is an exciting time for the USF Libraries. We are on the verge of experiencing a transformation to a new level, the premier research library. A new LMS, potential membership in ARL, a new institutional em phasis on research all are substantive reasons for reexamining our processes and outcomes. Although ARL membership is an unambiguous indicator of achieving the level, it is not the only measure by which we can claim success. Regardless of the outcome of our membership bid, we should strive to be maximally productive and optimally cost effective. That is the purpose for this assignment. Goals To successfully complete this assignment, three goals must be achieved. 1. Establish and implement a sustainable productivity strategy designed to add 65,000 volumes to the collection annually. 2. Critically examine and document (e.g. Serials) all workflow processes within the Cataloging Acquisitions areas (except the Fiscal Unit) all jobs, all functions. 3. Revise (d ocument revisions) all divisional workflow processes within the following parameters: a. attain Goal 1; b. maintain and document acceptable professional standards (i.e. current cataloging standards); c. maximize the use of technology; d. ensure compliance with instit utional auditing rules and requirements; and e. implement a systematic quality control process. Guidelines/Boundaries This is not an exhaustive list, but will serve as a set of general guidelines as you work through this complex process. Please consult me s hould additional questions emerge. 1. You are the experts in cataloging and acquisitions, hence your assignment to this project. 2. The desired outcome of this assignment is a document including a detailed plan for optimization and productivity improvement and all associated data and analysis. 3. Seek solutions in the literature, in the practices of similar institutions, in your own inherent creativity or wherever solutions present themselves. Regardless of the source of solutions, all are to be datadriven and the report should include that data for my review. 4. Simple, quick fixes are not welcome. For example, simply recommending that we outsource additional cataloging to achieve the 65,000 volume goal is not feasible; costs would need to be offset by salary saving s. 5. Cost effective solutions are required. Each recommendation should estimate costs relative to the status quo. 6. The workflow examination must involve all employees to be effective.

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34 7. Do not factor in personalities or idiosyncratic performance. Focus on pos itional needs such as productivity goals for positions rather than individuals. 8. I will make available reasonable resources to accomplish this assignment upon request. 9. Through Beverly Caggiano, the Technology Department is available to facilitate implement ation of technology into work processes. Consult her as required. 10. On matters of audit compliance, assume nothing. Work with Jim Gray to establish contact with an appropriate audit compliance expert and work with them to meet requirements. Do not assume that what you do today is correct, or necessary. Deadline & Expected Outcomes The plan is due to me by January 31, 2004. The plan should minimally include 1)a summary of current practices; 2) recommendations for workflow changes; 3) recommendations for posi tional needs and functions; 4) estimations for expected outcomes; 5) estimations for costs; 6) a suggested implementation timeline; and 7) all data used to define the above elements. A Word About Personnel Concerns This assignment will likely create quest ions regarding job loss in the minds of coworkers. Please communicate clearly and forcefully the following position: This assignment is about process improvement and optimization of the existing work force and nothing else. It is about ensuring that the organization evolves with changing institutional requirements. Technical Services is important to the mission of the library, an organization where needs exceed available human resources. Jobs will not be lost to this process, but jobs will change. Please develop and implement a positive strategy to communicate the goals and guidelines of this assignment to the Divisions faculty and staff prior to acting. Use available resources in Library HR or our new Communications Manager to assist. A Word About Your Approach to the Assignment Undertake this assignment in a positive and professional manner: through your actions, you will be the architects of the future of Technical Services at USF. As the leaders of the Division, I fully expect and charge you to ensu re that your staff undertake this project in the spirit in which it is intended: optimization and productivity improvement are positive for the organization. Please develop a strong intolerance to negativity and consider a strategy to address the certainty that negative situations will need to be addressed. As you embark on this assignment, remind everyone: It is ethical to create organizational improvements that increase revenue, decrease costs, or enhance the organization's culture. It is unethical not to help the organization evolve.1 Project Priority & Assignments This project is your highest priority for the Fall 2003 semester. While it is understood that your regular duties cannot be ignored, this project is critical. Faculty, please use this docum ent as official notice of an amendment to your Fall 2003 job assignment. USPS employees, please use this document as a goal/objective assignment within the context of your current position description. 1 Cavill, Patricia, an d Anthony Hoskins. Raising the Bar on Workplace Behavior. PNLA Quarterly 65.3 (2001): 1014.

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35 Finally, with Phyllis Ruscellas strong support, Iv e asked Carol Ann Borchert to lead this assignment. As a professional with a Technical Services background, but without a deep knowledge of our processes, she is the outsider. Hers will be the persistent question Why? that will guide you in your effor ts. Non threatening but nonetheless serious, Carol Ann will work with you to focus on the essentials while simultaneously providing a sounding board for new ideas. Please give her your support. Please sign and date below to signify receipt and understanding of this document. Susan Heron John Keeth Suzanne Kleim Tom Miller Monica Metz Wiseman

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36 Appendix B: Comparison of USF and University of Louisvilles Technical Services departments and processes The University of Louisville i s the newest member of the ARL and is comparable in size and staffing to USF. Hannalore Rader of University of Louisville provided us with information that led us to believe that their technical services were more efficient while employing fewer staff. I n an effort to benefit from their experience, we consulted with Tyler Goldberg, leader of the Content Access Team at the main library. Ms. Goldberg had already received our questions via email and had sent responses, job descriptions, and the Content Acce ss Teams 20032004 Working Plan ahead of time for us to review. The Content Access Team has six faculty, twenty plus staff, and student assistants. They have three check in people for their 10,000 print subscriptions. They have 23,405 current journal s ubscriptions total, including electronic titles. Three faculty do some original cataloging, and six staff take care of copy cataloging. Overall: 6 faculty, all with supervisory or subteam leader duties 6 paraprofessional catalogers 2 paraprofessional ca talogers who deal solely with preprocessed materials 3 check in paraprofessionals 1 binding paraprofessional 2 paraprofessionals who supervise stacks maintenance 2 paraprofessionals in the Kentucky Union List of Serials 1 paraprofessional in labeling The USF Libraries Technical Services division handles materials for Tampa, St. Petersburg, Lakeland, and FMHI, but not for Sarasota/New College or for the Health Sciences Center. By comparison, USF has the following staff levels as of January 2004: Cataloging: 8 librarians 1 LTA Supervisor 7 Senior LTAs 2 Archivists 1 full time OPS (processing) Coordinator for Electronic Resources: 1 librarian Acquisitions: 1 librarian (soon to be retiring) 2 LTA Supervisors 9 senior LTAs (including 2 people in Fiscal who now report to Jim Gray, Business Manager) 1 senior clerk Other: 1 Director position for the division 1 secretary

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37 At USF, Preservation is under Collection Management. The Binding unit was previously under Collection Management, but has recently been moved to Acquisitions, since its functions better mesh with Technical Services. USF also spends a great deal of time doing maintenance and authority work, in the hopes of becoming NACO participants. NACO is the name authority component of the Program for Cooperative Cataloging. At University of Louisville, stacks maintenance is part of the responsibilities of the Content Access Team and includes circulation responsibility. The advantage of this is that it facilitates communication with the stacks people reg arding major reclass projects, etc. in the Cataloging Department. The disadvantage is the added responsibility of maintaining the stacks and supervising the shelvers. Collection management at University of Louisville, like USF, is separate from Technical Services. Personnel order books, and a committee oversees the budget of $6 7 million for materials. They spend $700,000 $800,000 per year on preprocessing approval books. USF spends, by contrast, $800,000$900,000 per year on approvals. They have a r eview process for approval books, and not much material is being returned. USF is receiving all approval titles as shelf ready, but is reviewing the profile at least annually to ensure we are getting the titles we want. They have a committee to evaluate new databases. USF had one at one time (the Electronic Collections Team), but it has been inactive in recent years. There is a new charge for a new committee, the Electronic Resources Committee, which will have a similar membership to ECT and will still evaluate and recommend databases. e journals: Their online system, Voyager, will indicate that a title is on order. The holdings information is updated periodically, but not on any sort of regular basis. USF displays new ejournals as on order in the system when possible. We update holdings via SFX. USF includes e journals in the Serials Workflow document. Print journals: At UL, students in periodicals put call numbers on the issues and keep statistics. At USF, labeling of periodicals is done in Acquisitions by permanent staff. USF does not have student assistants in the Technical Services area. Checking links: Staff at the University of Louisville check links as they are updating serial records. USF no longer rechecks links in any systematic fashion. The University of Louisville is not using SFX, and USF is using it. For more information on how this is impacting workflows, please refer to the section SFX on p. 19 of this document. They use Serials Solutions for databases that are unstable and where they cannot link to an individual title. When they can link to an individual title in a database, they make a link in the system (Voyager). They do not try to keep up with aggregates or link to them. We are also not trying to keep up with aggregates. We used Serials Solutions for the base of aggregators shuttled to SFX. Now we rely on SFX for aggregate updates. They currently add 60,000 volumes (not titles) per year and have a freeze on withdrawing items from the collection. Paraprofessi onals in cataloging have a quota of 500 titles per month. They do include government documents in the title and volume count. In order to be able to catalog

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38 this number each year, Tyler is accepting discards of varying quality from other Kentucky libraries to add to the collection at U of Louisville. Professionals have varying quotas: 8 original titles per month for one librarian, 5 original titles per month for the Electronic Resources and Government Documents librarians, with a quota of 20 per month f or 092 cataloging for each cataloging librarian. They had some problems implementing quotas, but they presented it as a fair system in which everyone carries the workload together equally. For 2003 2004, USF is on schedule to add 68,000 volumes, including government documents, Special Collections materials, monographs, maps, serials, manuscripts, scores, media and electronic resources. This includes Tampa, St. Petersburg, Lakeland, and FMHI. Acquisitions: They have two paraprofessionals doing BNA pre pr ocessing. The CIPs are separated out, and the 050s go through. They also separate periodicals and annuals. Materials come in and go out within 4 days. They use PromptCat not BNA records for 050 DLC records. And they check 856 fields. All approval and firm orders are received from Blackwell preprocessed. They used TechPro to eliminate the 20 year backlog, and they review the records when the material comes back. They had a problem with TechPro at first, but that has been fixed. They pay $35$40 per book, and they must send a minimum of 20 books per month according to their contract. Susan Heron has received an estimate from TechPro for us to use this service. We hope to freeze our current backlog of gift books and send out any incoming gift titles They do not add LCSH to theses or dissertations unless it is a Kentucky history topic. They send both to UMI, and the students pay the UMI fees. We are currently adding LCSH to theses and dissertations, but not to honors theses. USF is also processing electronic theses and dissertations. When asked about paid consultants, Tyler indicated that they had a bad experience with this. When asked how to process materials faster, Ms. Goldberg indicated that Hannalore is a big fan of outsourcing, and to her credit, is willing to budget the money for it. They use several serials vendors, including EBSCO, SwetsBlackwell, and Harrassowitz. They had gotten out of Faxon in time, although they are still finding some fallout in the form of missing issues, cancelle d titles still being received, still receiving bills for materials they should not be, etc. USF was predominantly using Faxon (and Harrassowitz to a lesser degree), and has now switched most of the Faxon titles to EBSCO. We also use Blackwell for serial titles.

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39 Appendix C: Organizational Charts for Technical Services

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43 Appendix D: Workflows Part 1: Acquisitions Serials Workflow USF LIBRARY SYSTEM SERIALS WORK FLOW (print and non-print) 7/02 I ORDER SUBMITTED TO ACQ. II ORDER INFO VERIFIED III ORDER PLACED IV INVOICED NEW ORDERS/SUBSCRIPTION RENEWALS V ISSUE RECEIVED

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44 Appendix D: Workflows Part 1: Acquisitions Serials Workflow (a) Do We Have Price? (b) Is Title Available? (c) Do We Know Who to Vend to? (d) Do We Have Contact Info? (e) Do We Know Subscr. Period? (f) Is Fund Code Assigned? (g) Is a Signed Licence Required? NO Price Located? NO AssignVendor Obtain it YES Estimate/ Clarify NO Assign Go To AA License Agreement YES Go To II Order Information Verfied NO Estimate Price Yes NO NO NO NO I ORDER SUBMITTED TO ACQUISITIONS (assumes that funds are available) 7 /02 YES YES Return to Subnitter YES YES YES

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45 Appendix D: Workflows Part 1: Acquisitions Serials Workflow II Order Information Verified 7/02 Search USF Database Do We Already Have Title? Search OCLC for Correct Bibliog.. Record Title Found? Export into NOTIS Create Provisional Record in NOTIS Go To III ORDER PLACED No No Yes Yes What is the Source? Already on order or gift Electronically from a package or aggregator Send Back to Requester To Monica,ECT,Collection Development for Decision

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46 Appendix D: Workflows Part 1: Acquisit ions Serials Workflow Review Decision as to Whom to Vend Create a P.O. P.O. Submitted to Vendor/ Publisher Electronically, by Phone, or by Mail Notify Monica/ Cataloging Dept(Jim Michael) Order Has Been Placed III ORDER PLACED 7/02 Format Print/Microform? Go To IV Invoiced No (electronic) Yes

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47 Appendix D: Workflows Part 1: Acquisitions Serials Workflow IV INVOICED NEW ORDERS/SUBSCRIPTION RENEWALS 7/02 Invoice Received? Review for Accuracy Key Payment into LMS PO Submit Invoice to Fiscal Unit for Payment by the University Contact Vendor/ Publisher Immediately Go To V Issue Received Identify Problem Set Action Date NO Based on Action Date Report Yes Format Print or Micro? Invoice Received? Title or Database Accessible to Patron? Go To AA License Agreement Contact Vendor/ Publisher Immediately Identify Problem Set Action Date No (electronic) Yes Yes Notify Jim Michael/ Monica Is License Needed? Yes No Notify Monica, ECT for Review of Renewals/ Price cost Analysis Renew? Acq Cancels Subscription Acq Notifies Jim M. Cataloging Acq closes Records No Yes Contact Vendor/ Publisher Immediately Identify Problem Set Action Date No No Do We Need to Review Yes No Renewal? Yes Go To Not Renewal CC No Go To Electronic Accessible BB Yes Jim Michael DD

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48 Appendix D: Workflows Part 1: Acquisitions Serials Workflow Normal Check-In? Title Change? Missing Issue / Problem title? No Record for title? Binding Notice? NO Close Old Title/ Create New Record & Check-in CATALOGING CURRENT PERIODICALS Identify Problem/ Contact Vendor/ Publisher & Resolve Problem Add Necessary Record Check-In Complete Serials Slip PRESERVATION BINDERY OPR/ MHLD Binding Information Updated by Preservation Bound Periodicals Create Record, Note, and Dispose of Issues Accordingly V. ISSUE RECEIVED 10/03 rev Issue Received Print or Micro? Yes Go To Electronic Accessible? No New Title or Reinstatement ? Change Order Status A to B Check in issue Change Hldg Stmt to I Complete Serials Slip Identify why received send to CD for Decision Add to Collection No Yes Check-in/Call number label/Stamp/Strip YES

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49 Appendix D: Wor kflows Part 1: Acquisitions Serials Workflow AA License Agreement (new orders/subscription renewals) 7/02 Acq Pulls Last Signed License No Yes Has Publisher been Notified of USF Requirements? Acq Revises license as necessary Acq sends to Purchasing License is reviewed by Legal Counsel Send to Monica Contacts Publisher License is mailed to vendor for signature Signed license is returned to Purchasing by Vendor Copy sent to Walter First License? Yes No Revises Licence/ works with Legal Counsel Sends to Acquisitions Go to II Order Info Verified Major Changes? No Yes New Order? Go to IV Invoiced Yes No EE Purchasing sends copy to Acq (John)

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50 Appendix D: Workflows Part 1: Acquisitions Serials Workflow ELECTRONIC ACCESSIBLE BB 7/02 Does Title need to be added to VL Page? Go to VL Database Manager Add Title and Other Necessary Information Notify Jim M. & Monica That Title Has Been Added GO to IV Notify Jim Michael Monica Yes No

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51 Appendix D: Workflows Part 1: Acquisitions Serials Workflow Not Renewal CC 7/02 New Subscription ? Go To IV Title Accessable to Patron? Yes No One Time Only Purchase? Go To IV Tilte Accessable to Patron Yes Give to Supervisor for Decison Review No Take Action as necessary

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52 Appendix D: Workflows Part 1: Acquisitions Serials Workflow DD Cataloger (JM) Receives notification of Accessibility 7/02 Print introductory screen/attach processing slip Search OCLC Send print out & slip to JM for original cataloging Not found FHM on record? Found Apply constant data and edit No Search Notis Yes Available from another vendor? Problem Why is FHM on OCLC record? no Add new URL etc. to Notis record Yes Update in OCLC Export to Notis Edit in Notis & Verify with Clarr Does all fulltext open? Formulate MHLD Other formats available Save for Statistics Finish Processing slip Check/enter title on VL Report problem to APT(Monica) RightNow Add URL, etc. to SF & SA records Notify HSCL to add link to SM records NO yes no Go to IV Title or Database Accessible to Patron?

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53 Appendix D: Workflows Part 1: Acquisitions Serials Workflow EE Process for scanning VL Licenses onto Charlotte server 7/02 Monica send license to Walter for scanning Walter blocks signatures, scans document and downloads to shared drive Walt notifies Monica that contract has been scanned Monica downloads and pulls file from shared drive Monica files contract END

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54 Appendix D: Workflows Part 1: Acquisi tions Digitized Resources Processing Larry, selects materials to be digitized. Todd decides upon prioritization and processing Parameters for presentation are sent by Larry LDSU gets materials for digitization Materials digitized and stored offline URL information sent to Larry for review Jim Michael in Cataloging for information Instructed to put online Creates a suppressed provisional Luis record Resource put up online include HTML metadata Change provisional to permanent Luis record and un-suppress End End

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55 Appendix D: Workflows Part 1: Acquisitions Free Internet sites 7/02 Source of request 1. From VL comments 2. Recommendations form CD Library or Library Staff 3. Recommendations from Faculty Jana peruses library literature for "Best of" free websites CER collects requests and evaluates for free status Free Site warrant evaluation? Internet site free? Jana Teams with appropriate CDL to evaluate free site request Free Site reviewed Request forwarded to Jana Futch for processing Appropriate to add to VL? Notify CER of decision not to add site/Jana Jana notifies requester with decision not to add & rationale Jana records/adds rejection of site to the statistical count Site appropriate for review by ECT? CER notifies requester what decision and rationale Send to ECT for review Jana notifies Jim Michael re: new site and URL Jana adds new site to DB Mgr. and writes description and inputs URL into VL Jan records/adds site to her statistical count. END Yes Yes No Yes No Yes No Yes No KEY: CER= Coordinator Electronic Resources CDL = Collection Development Librarian

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56 Appendix D: Workflows Part 1: Acquisitions New Titles When a new title is received (this can be determined by the order status line 001 which should be an AN) the check in person should change the status of the order line from an A to a B. After the order status has been changed the issue should be checked in. Remove the AD (action date) from the status line (a new action date will be supplied on the receipt line). Next, add a note line that reads TO CATALOGING and supply an action date of 60 days. If the first issue of an order received is incorrect, try to determine why we did not receive the correct volume or issue and take whatever action (letter, message, claims, etc.) is necessary to correct it. If you are unable to determine the source of the problem, refer to the supervising LTA. Make a clear note of any action taken on the OPR. Also check the OPR for completeness and accuracy. Change or correct as necessary. Next, go to the Copy Holdings Record and change the COPY HOLDINGS STATEMENT from an A to an I. An A status causes the status displayed in WebLUIS to read ON ORDER, and the I status will read IN PROCES S. Complete a Periodicals/Serials Processing Slip, strip, and stamp all issues (if more than one issue, please band together) and place in the TO CATALOGING basket. 8/94 tem rev 3/04

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57 Appendix D: Workflows Part 1: Acquisitions McNaughton Books (Leisure Collection) PROCESSING 1. Technical Services Executive Secretary receives and opens orders for both Tampa and St. Pete. 2. Check off the packing slip against the original order. (Books are selected by Pam Tucker in Reference and FAXed to Brodart by Betty Powell.) 3. Make copy of St Pete packing slip. File Copy. 4. Send original St. Pete packing slip to St. Pete. (Karilyn Japp). 5. Give all books to Senior LTA in cataloging (Beatrice Walker). 6. Books come shelf ready; Cataloging Sr. LTA downloads a bibliographic records, inserts a location code (tamp,lei), creates an item record, and changes status to show the item is cataloged. 7. McNaughton books come without the date as last element of the call number. Cataloging Sr. LTA corrects the date on the copy holding statement to match call number on the books. 8. Book(s) go to Circulation for shelving in the McNaughton (Leisure) collection on the first floor. RETRIEVING 1. When new books are received, pull the same number of books from the shelves. 2. Th e oldest books are pulled first. These can be identified by the date code on the spine. 3. Example of date code on spine: F399. 4. The letter is the month. A=January 3=Year. (2003) 5. Bring books to Acquisitions. 6. Check NOTIS for Duplicates.

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58 7. Duplicates are returned to McNaughton. 8. Pam Tucker and Maggie Doherty determine which books will be purchased or deleted and returned. 9. Take books to be withdrawn and returned to CATALOGING ARCHIVIST (Robert Cracolici). 10. The purchased books only have to be withdrawn. The returns have to be deleted and withdrawn. 11. When the books are returned from Cataloging, the returns are packed and returned to McNaughton. The books to be purchased are sent to the Senior LTA in Cataloging (Beatrice Walker). 12. Type two lists. One list for the books purchased; one list for books returned. Keep a copy in the file. 13. Type a list of all the titles that have not been checked out and cannot be found. These are considered lost books. These can be found by typing LTSF FI LSL TAMPLEI in N OTIS. Print this list. 14. Pack books in boxes. Be sure to put enough paper packing into the boxes to prevent the books from shifting around in the boxes. 15. Type shipping labels. These are in the folder. Put labels on the boxes. 16. Type up a MCNAUGHTON INVENTORY CONTROL FORM. These are also in the folder. Send this form in a separate envelope to McNaughton address in the folder. Do not put this in the boxes. 4/28/04

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59 Appendix D: Workflows Part 1: Acquisitions Reinstated Titles When a decision has been made by the library to reorder a title that was once received by USF and cancelled, or for whatever reason has not been received for a number of years, the title is considered a reinstatement. Also, current titles that are received as a gift after not being received for several years and the library decides to set up and check in will be considered a reinstatement. (The key is the title was once received and cataloged.) When a reinstatement is received (determined by the fact that there is an open or der), it will have an OPR with an AN status. (NOTE: There might also be a title that has no OPR, or an OPR that was closed a number of years ago. In these cases it will be necessary to set up an OPR.) When an OPR that has a status of AN (new order) is displayed, the check in person will need to determine if the issue in hand is what should have been received by checking the order status line to see what volume was ordered. Change the status of the order to a BN (ongoing order). Change the AD (action date) on the status line (Line 001) to one year from the date of the receipt of the first issue. If the first issue of the order received is incorrect, try to determine why we did not receive the correct volume or issue and take whatever action (letter, message, claims, etc.) is necessary to correct the problem. If you are unable to determine the origin of the problem, refer it to the LTA Supervisor. Make clear note of any action taken on the OPR. Also, check the OPR for completeness and accuracy. Make any corrections as necessary. Check the issue(s) in on a Receipt line (R statement). Add a note line that reads TO CATALOGING and supply an action date of 60 days. Also add an R (receipt line) TITLE REINSTATEMENT IN PROCESS. This line will displa y to the public and indicate to them that the title is in the process of being reinstated. Cataloging will remove the note when the cataloging process is completed. To complete the process, complete a Periodicals/Serials Processing Slip (check off reins tatement on the list). Put the call number on the issue, strip, and stamp. If more than one issue is received, please band together. Place the completed work in the Reinstatement basket for Cataloging. 4/95 tem rev 3/04

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60 Appendix D: Workflows Part 1: Acquisitions PERIODICALS / SERIALS PROCESSING SLIP Date:__________________ init:______ NOTIS #____________ OCLC #___________ The bibl record is:__exported __derived __provisional This title is for: __Tampa __St.Pete __FMHI __Lakeland __Circ __Circ __Circ __Circ __Ref __Ref __Ref __Ref __Per __Per __Per __Per __Docs __Mar/Sci __Epidem __Sp/Coll __Sp/Coll __Client ______ /_/ This is a NEW title. /_/ This is a REINSTATEMENT /_/ This is a TITLE CHANGE. Earlier title: NOTIS #__________OCLC#___________ OPR is done__ (init)"TO CAT" / AD=60days This issue has been stripped & stamped__(init) Vendor notif ied of new NOTIS # (if TC)__ COMMENTS: ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Cataloger ____(init) Statistics: title(s) _____ ___MHLD done vol(s) _____ ___Item records done fiche/reel(s) _____ ___Bind. instr. added CD ROM(s) _____ ___OPR cleared Tampa __ ___OCLC updated St.Pete __ ___Previous title closed (if TC) FMHI __ ___Verified with Clarr (BAM = d) Lakeland __ ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ____REPORTED TO COLL/DEV ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ITEMS FOR CATALOGER'S ATTENTION: ___this is a SPECIAL ISSUE which may require analytics, or additional notes in the bibl record. ___this CUMULATIVE INDEX requires additional notes in the bibl record, and listing in volume holdings ___the ISSN number on the bibl record does not agree with that on the issue. ___the PUBLISHER or PLACE OF PUBLICATION has changed for this title ___the FREQUENCY has changed to:_____ ___there is a RETRIEVAL PROBLEM with this title. It cannot be found in NOTIS under:________________ __________________________________________ ___this is an additional issue of a title NOT YET CATAL. ___there is a CATALOGING PROBLEM with this title. It is: ________________________________________ (rev. April 1998)

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61 Appendix D: Workflows Part 1: Acquisitions M A I L R O O M A C Q U I S I T I O N S P E R I O D I C A L S / S E R I A L S U N I T CATALOGING DEPARTMENT PHYSICAL PROCESSING SERIALS / SERIES WITH ANALS / AND CAT SEP WORKFLOW & DISTRIBUTION OF MATERIALS RECEIVED (I) (If No Title Change / Bibliographic Change) MATERIAL RECEIVED SERIALS SERIES WITH ANALS (sit together same call number) CAT SEP SERIES CHECK-IN SERIAL BARCODE ITEM CREATE ITEM PRINT CALL # CHECK-IN SERIES ON SERIAL REC UPDATE HLDGS BARCODE ITEM CREATE ITEM PRINT CALL ATTACH TO BACK OF CAT FLAG IMPORT MONOGRAPHIC RECORD INTO NOTIS UPDATE AND CROSS REFERENCE TO SERIAL RECORD SERIES HAS PO? CHECK-IN IMPORT MONOGRAPHIC RECORD UPDATE OCLC COMPLETE ADD FLAG MONOGRAPH HAS 050 MARC TAG? TO MONOGRAPH UNIT TO BE CATALOGED BARCODE ITEM PHYSICAL PROCESSING SHELVING / ETC. YES NO NO YES CATALOGING

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62 Appendix D: Workflows Part 1: Acquisitions Florida State Depository Titles (Serials and Monographs) Monthly Shipment is received Open box verify items received against packing slip. Note number of issues received on packing list. Check-in Serial? Record in LTSF? Current issue or Annual issue? Create record in LTSF Check-in on MHLD Stamp, Strip, complete Serials Processing Slip and record Stats. Send to Serials Cataloging Update MHLD (check-in) Write Call number on piece, Stamp, Strip, Record stats and send to Docs End Export record from OCLC or create provisional, Update and mark flag Record Stats Send to Cataloging Update MHLD (check-in) Barcode/Create item record/Print Call number flag/Record Stats/send to Cataloging Physical Processing Yes Yes No current issue Annual No

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63 Append ix D: Workflows Part 1: Acquisitions Processing Federal Documents Shipment of Documents Received from GPO Marcive sends e-mail which identifies Shipping list numbers of shipment for the week Open boxes and check off items received against item list. If we receive, mark with a Y. If we do not receive, mark with an N. Claim any issues not received. Sort items in order of shipping list. Keep shipping list with items Marcive labels and barcodes are received. Attach correct labels to items. Label/call number for each item? Receive notification from FCLA that Marcive records have been loaded Record receipt of items in Notis SD partition. Use initials and date of shipment Check-in normal? Record statistics Strip and stamp documents Take to Gov. Docs and place on proper shelves for shelving If a problem is noted at check-in give to Tom with a note about problem Determine if problem can be solved at this level Forward to proper area/ person to resolve problem See II No Yes Yes No Yes No

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64 APPENDIX D: Workflows Part 2: Cataloging Monographs SHELF READY APPROVAL PLAN BOOKS Books arrive on Friday. Shipment is unpacked and checked against the invoice. Any missing ite ms are reported to fiscal. David and Brenna handle these duties. Invoices go to fiscal to process for payment. Invoices include USF fund codes which are assigned by LC call number. Records load Sunday night. Beginning Monday (or Friday if time allows), D avid and/or Brenna process ISBN list/records from Yankee. (This step will be eliminated with PromptCat.) Pull up NOTIS records by title and look for added volumes. If standard, finish processing or add brown flag for problems with 050 records. If there is no DLC record included, check OCLC Passport. If record is found, overlay it in NOTIS. Finish processing any 050s or route 090s, 092s, or 0s to Cataloging. Once Acquisitions has completed the above step, the items are placed on the appropriate shelves for pick up. 050s are picked up, browsed, and taken to the Book Room by Jerry. Jerry places 090s on Cataloging shelves where they are picked up by Sr. LTA staff and cataloged. 092s and 0s are placed in alphabetical order on the Cataloging backlog shelves where they are picked up by Librarian Catalogers. Betty chooses books from among the 050 books to be placed on new book kiosks, takes them to the Circulation Desk, and checks them out to a special number for the kiosks. Brown flagged 050s are picked up by Nic ki and cataloged. The primary problems noted on these flags are no authority record has been established for authors or series, or there is not a complete record available. 090 cataloging procedures (Sr. LTAs): If more than one month old, repeat OCLC sea rch. Bring up NOTIS record. Match information. Make any corrections and additions/deletions. Bring up CLARR and bam the record. Make any necessary changes. Always confirm the accuracy of names. Go to NOTIS holdings screen. Change status and call number, add initials, and shelf list. Send any series problems or new series to Charles. 092 cataloging procedures (Librarians): Follow above procedures for 090 cataloging. Assign call number. Review subject headings.

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65 0 cataloging procedures (Librarians): Entire record is constructed. REFERENCE BOOKS TO STACKS (Shelf ready) Pam Tucker, Reference Librarian, determines if a book will be moved from Reference to the stacks. The book is sent to Cataloging where an Archivist makes the change in NOTIS. A new call number label is printed to remove the REF location. FIRM ORDERS Collection Development faculty request items through GOBI (preferred) or other method (handwritten note, email, etc.). Each item is searched in NOTIS, then searched in OCLC for a record if neces sary. A purchase order is created with appropriate fund code. If the item has a DLC record, order shelf ready. If there is no DLC record, do not order shelf ready. (This is because a premium is paid for shelf ready. If no record is available, no spine label is included, and it is not cost efficient.) Once received, the books are handled the same as shelf ready. Rebecca, Marianne, and Brenna handle firms. At this point, they are processed as mentioned above (050, 090 and 092 processes). STANDING ORDERS (CONTINUATIONS) These are serials or monographic sets. Marilene checks receipts against the invoice and calls the vendor for nonreceipts. The invoices that can be paid by credit card are submitted to Tom. Other invoices go to fiscal. Marilene puts flags i n set adds, puts on barcodes, updates NOTIS (including updating contents notes), writes call numbers on the flags, and puts on shelf for Jerry. Serial adds have a print out. Marilene puts on barcodes, updates NOTIS, writes call numbers on the flags, and pu ts on shelf for Jerry. Any title changes are given to Donna. Jerry stamps, labels, strips, and transports to the Book Room. GIFTS (non periodical) Tampa gifts approved for the collection are received from Larry. Standard gifts (not priority) are placed on a shelf in Acquisitions. As time permits, Marianne takes the books from the shelf and checks NOTIS to see if we already own a copy. A note will be included if a second copy is to be added to the collection or check last circulation date of the item. If t he item is part of a set, and we do not own the other parts (broken set), set aside to show Larry. Marianne places flags in the books which indicate cataloging level. She will handle added volumes, locations, or copies, as well as new (1993current) 050s All others are placed on the Cataloging shelf. From this point, they are cataloged and processed the same as firm orders, except for the gift notation in NOTIS. St. Pete gifts are processed in the same manner as other St. Pete monographs. Per previous a greement with St. Pete, recreational gift books are processed in a 24 hour turnaround. 10/3/03 sk

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66 APPENDIX D: Workflows Part 2: Cataloging Special Collections Materials Special Collections items are brought to Suzanne Kleim in Cataloging. Newly purc hased items come from Acquisitions. Previously acquired items that need to be cataloged are brought down from Special Collections. Suzanne counts the items and gives them to Bob Cracolici. Bob catalogs items, passing any upper level cataloging and problems along to a Librarian, as follows: New titles are searched, exported, and updated in OCLC. Add locations and add copy titles are compared to the existing NOTIS record for correctness. Add location titles are updated in OCLC and added to the appropriate NO TIS copy holdings statement; add copy titles are simply added ( with the correct copy number ) to the appropriate NOTIS record. LC call numbers are assigned to Special Collections materials. Copy holdings screen format and locations are available in the "NOTIS Location Codes." Once the title has been cataloged, the flag is completed and placed in the book. The book is placed on the Special Collections shelf to be picked up. Jerry Smith processes Special Collections items differently from circulating i tems. Barcodes are not placed on the item, and the items are not security stripped or stamped. Jerry prints the call number labels. Book jackets are kept on the books. The items are placed on a truck along with the labels and barcodes for pick up by Special Collections. 10/3/03 sk

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67 APPENDIX D: Workflows Part 2: Cataloging McNaughton Books Purchased for the Collection Any McNaughton books that are not purchased are sent to Bob Cracolici to be withdrawn and deleted from NOTIS. Bob then ret urns the books to Acquisitions for return to McNaughton. The following changes are made by a Sr. LTA to move each book purchased to the circulating collection: Locate bibliographic record [ F6 ] by barcode (item) number. If the call number is 050: Sr. L TA will use the call number and catalog the book. Go to OCLC and update record. If the call number is 090: Sr. LTA will go to OCLC to see if the book has been upgraded and complete the cataloging. If the call number is 092 or 0: Sr. LTA will go to OCLC t o see if the book has been upgraded. If upgraded to 050 or 090, complete the cataloging. If not upgraded, forward to Librarian to complete. Pull green call number flag from the spine of the book. Compare call number with the bibliographic number. Write the difference on the flag NOT the whole call number. Replace the flag in the book. Go to copy holdings screen [ F5 ]. Change location from tamp,lei to tamp. Change call number to match bibliographic record call number. Remove book cover and discard. Since the old barcode was discarded with the cover, place a new barcode inside the back cover of the book. Replace the old barcode number with the new one in the item record. Books then go to Jerry for processing. He adds call number label and stamps eac h book. The books are already security stripped. Jerry transports the books to the Book Room. 10/3/03 sk

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68 APPENDIX D: Workflows Part 2: Cataloging Media Resources Materials Media materials are brought to Suzanne Kleim in Cataloging from Acquisiti ons. Suzanne divides them into cataloging levels. 050s and 090s go to Leticia Cadiz to be cataloged. 092s and 0s go to Tom Tharrington to be cataloged. Leticia and Tom take completed Tampa items to Media Resources. St. Pete items are given to Jerry for pr ocessing. If a videocassette is in a paper case, Jerry takes the case apart and puts the covers and videocassette in a plastic case. All formats are labeled with call number. Any accompanying books are security stripped. Items are taken to the mailroom to be boxed and sent to St. Pete. 10/3/03 sk

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69 APPENDIX D: Workflows Part 2: Cataloging Microforms SERIALS Donna Menendez or Brian Falato retrieves new titles from Acquisitions. The items are cataloged and counted for statistics. If it is a Tampa microform title, the librarian marks the call number on the boxes and takes the boxes to Jerry for stamping. Jerry takes the boxes to Periodicals (or other designated location) for shelving. If it is a Tampa microfiche title, the librarian takes the fiche to Periodicals (or other designated location) to be separated and placed in envelopes, labeled, and filed in Microfilm Room (or other designated location). The librarian sends microform titles for other campuses to the designated campus for labeling, stamping, and shelving or filing. For added volumes of Tampa microfilm or microfiche, Acquisitions staff checks in the item in NOTIS, fills out the Microform Receipt Checklist, and takes the item and checklist to Periodicals. The Periodicals staff labels and shelves or files the item, pulls and discards paper issues as needed, updates the NOTIS record accordingly, completes the checklist, and returns the checklist to Cataloging for the statistics count. For added volumes of microfilm or microfiche for o ther campuses, Acquisitions staff checks in the item in NOTIS, counts for statistics, and sends the item to the appropriate campus to be labeled and shelved or filed. Donna Menendez retrieves the statistics from Acquisitions at the end of the month. MONOGRAPHS Acquisitions forwards these items to Charles Gordon. These are mostly large sets of microfilms. Charles catalogs them, labels them, and gives them to Jerry to forward to Periodicals or Documents. If no location is given on the flag, they are sent to Periodicals. NOTE: Barcodes are not included on microforms. 9/29/03 sk

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70 APPENDIX D: Workflows Part 2: Cataloging Theses/Dissertations PhD and Masters -Print Boxes containing the theses come over from the Graduate Office. Bobby (Mail Room ) brings them down and places them on a specified shelf. Kay Tapley picks them up from the shelf, divides them by PhD and Masters, and alphabetizes the boxes. Kay also checks for an abstract and pagination. (This is a step that should be done by the Grad Office.) Only one copy of PhD dissertations is received because the second is sent directly to UMI. UMI then returns that copy to us. Kay creates a base NOTIS record for each thesis or dissertation and takes them to Binding. Barcodes are sent to the bindery with each manuscript. When the items are returned (now bound and barcoded), Kay puts a flag in each, shelflists each in NOTIS, and checks authorities. One copy of each Masters thesis is processed by Jerry (see below) and forwarded to Special Collection s. The circulating copy is given to Sue Vastine to add subject headings. Then each is processed and forwarded to the Book Room for addition to the stacks. The first PhD dissertation copy received is handled as above, but forwarded to Special Collections af ter subject headings have been added. When the second copy is returned from UMI and subsequently bound, it is processed as the circulating copy. Any theses/dissertations with supplemental videos or slides are specially bound to contain the supplemental it ems. The circulating copy is located in Media Resources. Jerry processes the theses/dissertations as follows: Special Collections copies: Label with call number and browse. Place on Special Collections truck. Circulating copies: Stamp, security strip, label with call number, and browse. Transport to Book Room. Health Sciences After being bound, Health Sciences handles all processing for their circulating copies. We process the Special Collections copies the same as above. (Note: The only copy that sh ows in our NOTIS partition is the Special Collections copy.) St. Pete The only Masters level course of study at St. Pete is Marine Science. These theses are processed the same as Tampa, with the circulating copy sent to St. Pete.

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71 Honors Students turn in two copies of Honors theses to Circulation. Binding sends them out to be bound. When returned, Kay puts a barcode in each, creates a record, shelflists, and inserts flag. Authorities are not checked. The 690 field indicates that it is an Honors thesis. No subject headings are added. Physical processing is the same as Masters and PhD. CDROM To date, only Honors theses have been submitted in this format. The CDs are first checked for virus. Look at the CD to determine the contents. Create a NOTIS reco rd, including call number, and shelflist. Place circulating copy in book size, plastic case. Jerry processes these as follows: Put security overlay on CD. Write call number on hub of CD. Print two call number labels Put one on the outside of the small CD case and one on the spine of large CD case. (If label will not fit on spine, put on front, bottom left corner) Barcode should be on back, topright corner of large CD case. Put return to service counter labels on front and back of large CD case. P ut Property of USF Tampa Campus Library label on paper insert in small CD case. If there is no paper insert, put the label on the front of small CD case. Browse and transport to the Book Room. Special Collections copies: Label with call number and browse. Place on Special Collections truck. Electronic The process for handling theses/dissertations submitted electronically is currently changing. FCLA is taking over. Beverly Caggiano is sending all existing electronic theses/dissertations to FCLA. FCLA emails Sue Vastine when a batch is ready (old or new). They send her a list of NOTIS numbers. She then makes any necessary changes or additions. As of April 2004, a Senior LTA is now doing this work. 10/15/03 sk; rev. 5/4/04

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72 APPENDIX D: Workflows Part 2: Cataloging Withdrawals Requests for withdrawals are received in the following ways: Actual items in bad condition or out dated Lost book reports Print outs of holdings screens The following are the procedures for withdrawing four types of it ems: Single Volume ( charged out ) Call up the item record If the volume is charged out to missing or lost ," enter an [x] in the REVIEW;CATALOG field. Enter [wdn], the current date and your initials in the NOTES field. Call up the copy holdings screen a nd enter [Z] in the class type. In the NOTES field enter [wdn], the current date, and your initials. Suppress the bibliographic record if the withdrawn item is the last remaining copy on the holdings record. Call up the bibliographic record in OCLC and D ELETE holdings. Exception: Items involved in special projects, such as the Floppy Disk Project, can be discharged prior to withdrawal and processed according to the procedures for Single Volume (not charged out). These items can be identified by the number in the "Patron ID" field. The patron name will be library dept. An example of a patron ID for the Floppy Disk Project is 22102 00702 9752. Bob Cracolici is the only person in Cataloging authorized to discharge items. Single Volume ( not charged out ) Call up the item record and change STATUS field to [W]. Enter [wdn], the current date, and your initials in the NOTES field. Call up the copy holdings screen and enter [Z] in the class type. In the NOTES field enter [wdn], the current date, and your initials. Suppress the bibliographic record if the withdrawn item is the last remaining copy on the holdings record. Call up the bibliographic record in OCLC and DELETE holdings.

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73 Multi Volume ( charged out ) Call up the item record If the volume is charged out to "missing" or "lost," enter an [x] in the REVIEW;CATALOG field. Enter [wdn], the current date and your initials in the NOTES field. Call up the volume holdings screen (MHLD) and change the holdings statement to exclude the volume number being withdrawn. If all volumes are being withdrawn, delete the entire holdings statement Call up the copy holdings screen and enter [Z] in the class type. In the NOTES field enter [wdn], the current date, and your initials. Suppress the bibliographic record if the wi thdrawn item is the last remaining copy on the holdings record. If all volumes are not being withdrawn, delete volume(s) withdrawn in volume holdings and enter [dele] in place of location. If all volumes of the title are being withdrawn, call up the bibliographic record in OCLC and DELETE holdings. Multi Volume ( not charged out ) Call up the item record(s) and change STATUS field to [W]. Enter [wdn], the current date, and your initials in the NOTES field. Call up the volume holdings screen (MHLD) and change the holdings statement to exclude the volume number being withdrawn. If all volumes are being withdrawn, delete the entire holdings statement Call up the copy holdings screen and enter [Z] in the class type. In the NOTES field enter [wdn], the curren t date, and your initials. Suppress the bibliographic record if the withdrawn item is the last remaining copy on the holdings record. If all volumes are not being withdrawn, delete volume(s) withdrawn in volume holdings and enter [dele] in place of locati on. If all volumes of the title are being withdrawn, call up the bibliographic record in OCLC and DELETE holdings. A print out of all withdrawals, except Media Resources items, is sent to John Keeth in Acquisitions. Statistics on withdrawals are reported monthly. 9/23/03 sk

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74 APPENDIX D: Workflows Part 2: Cataloging Authority Control Authority control is a step in cataloging an item. Authorities are checked by using the CLARR software. CLARR checks all fields of the MARC record to insure accuracy with authority records. Three types of authority records are checked: Name Authorities CLARR identifies possible problems with authority records. Cataloger corrects. If no name authority record is found, search LC for a variation of the name. If nothing is found, do not create an authority record. Once name authority records are available, they are added via the automated FCLA Autoclaim. Series Authorities CLARR identifies possible problems with authority records. Cataloger corrects. Librarians and Archivi sts can create an authority record if needed. Any new series treated as classed together should be referred to Charles for decision. Subject Authorities CLARR identifies possible problems with authority records. Cataloger corrects. Charles receives jou rnal reports for the following items: Deleted authority records LCSH (subject) changes Sharon makes changes. Name changes Beatrice makes changes. Series changes Bob makes changes and corrects any conflicts. Match duplicate OCLC numbers Charles is currently gathering statistics on the amount of time spent on the above authority maintenance work for FCLA. 9/24/03 sk

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75 APPENDIX D: Workflows Part 2: Cataloging Projects Groups of materials to be cataloged beyond the normal daily incoming acqui sitions are typically considered projects and need to be scheduled. The Cataloging Department keeps a list of projects and submits it annually to the Directors Group for prioritization. Each project is designated high, medium, or low priority by the Directors. High priority projects are considered first when staffing and funding are available. Maintenance requests are not considered projects unless the size of the task is considerable. Initially, a project sponsor must complete a form providing basic i nformation about the collection. This form allows Cataloging staff to create additional locations, plan for the appropriate staffing levels, etc. and is updated annually to reflect progress or completion. The list is also consulted when LIS students approach the department with practicum proposals. Exceptions: A project may be fast tracked if a compelling case is made, e.g., a donor needs to be courted or a curriculum need exists. This decision is made at the Director level. A small project is occasionally initiated despite priority level if staff and time are available for a short period of time.

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76 DATE: PROJECT NAME : DEPT./LIBRARY: DESCRIPTION: QUANTITY: TYPE OF CATALOGING: FULL MINIMAL RARE FINDING AID FORMAT: MONOGRAPHS SERIALS MEDIA SCORES MANUSCRIPTS E RESOURCES MAPS PRIORITY: HIGH MEDIUM LOW ONGOING OR ONE TIME? NEW LOCATION NEEDED? WebLUIS DISPLAY: CALL NUMBER TYPE: LC DEWEY OTHER (SPECIFY) SPECIAL ADDED ENTRIES OR NOTES NEEDED? TICKLER NEED ED? PURL NEEDED? BARCODING? LABELING NEEDED? STAMPING/SECURITY STRIPPING? BINDING OR SPECIAL PROCESSING? SPECIAL HANDLING? CONTACT PERSON:

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77 APPENDIX D: Workflows Part 2: Cataloging Countable Errors T ypos and errors in access points, both fixed and variable fields Incorrect information in any field Incorrect record chosen for either the bibliographic or authority record (wrong edition, etc.) Missing information: CIP not filled in Access point not made Note not made Indicators not filled pr operly Series authority not made Series treatment does not match Failure to use correct literary number Failure to correct heading codes on authority record Call number not appropriate or properly constructed (wrong number, missing date or other element, forgetting to eliminate X or other local practices of source library, etc.) Status codes incorrect Overlay problems Problems with initial articles Failure to create item record

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78 Appendix D: Workflows Part 3: Electronic Resources License Proc ess 1. Obtain appropriate license agreement. A few may be found online; typically we must contact vendor for agreement. 2. The Coordinator of Electronic Collections reviews agreement. The vendor is contacted for problem terms and language. Typically this is a back and forth process between USF and the vendor representative. The vendor representative may be an attorney or other person assigned to do contracts for the vendor. 3. License is marked up to reflect agreed upon changes. PDF is the preferred format of the vendor disallowing a more efficient method of mark up from an electronic document. Changes are initialed and counter initialed. 4. A USF addendum, the USF Special Provisions Supplement, is sent to the vendor for their review. The Coordinator of Elec tronic Collections (CEC) revises this document on a periodic basis with approval from the USF General Counsels Office. The latest revision was finalized in December 2003. 5. Normally, an order form is part of the agreement. The vendor will request informat ion about the University, campus locations with addresses, IP addresses, FTE for a specific term, etc. 6. A spreadsheet is maintained by the CEC documenting progress of the license. 7. Once agreement is reached, the CEC sends the license to Purchasing for an i nitial review. 8. From Purchasing, the license is sent to an assigned attorney within the General Counsels Office. 9. Our USF attorney reviews and recommends changes. The license is then sent back to Purchasing. 10. The CEC contacts the vendor, and the process t oward agreement begins anew. 11. Once agreement is reached, the CEC contacts the USF attorney. This process can stretch to another back and forth process. 12. Once agreement is reached, the USF attorney approves the agreement, and it is sent back to Purchasing for signature. The document is sent to the vendor through U.S. mail for signature. 13. Once Purchasing receives the final copy, the Library will receive a copy of the license. Purchasing maintains a copy on file. 14. The file is then digitized and made available through NOTIS.

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79 Appendix D: Workflows Part 3: Electronic Resources E-book Workflow NetLibrary 1. USF has acquired most ebooks through netLibrary. The process begins with a decision by USF to acquire a specific netLibrary collection. To date there are three netLibrary collections with the fourth in the offing. 2. Once a decision is made to acquire a collection, the Coordinator of Electronic Collections completes order and finalizes license agreements. (There is a separate agreement for every net Library collection between USF and netLibrary/OCLC and another agreement between USF and SOLINET.) 3. Once the ebooks are available, an email is sent to Coordinator of Electronic Collections when a batch of MARC records is available for loading. Message inc ludes user name and passwords to open file. There may be up to eight batches for a single netLibrary collection. 4. The Coordinator of Electronic Collections notifies FCLA to load records. 5. FCLA loads and asks for review of records. UNF and UCF check the loads routinely on behalf of the State University Libraries. 6. Records are loaded within 24 hours, after review. 7. When USF only titles are purchased, the Coordinator of Electronic Collections places an order. 8. A license agreement is finalized. 9. The MARC record file notification is again sent to the Coordinator of Electronic Collections. 10. The MARC record file is sent to the Electronic Resources Cataloger. The Electronic Resources Cataloger loads individual MARC records. 11. Cataloging records statistics. Other e books 1. Decision is made to acquire titles. 2. The Coordinator of Electronic Collections places the order and determines whether MARC records are available. 3. If MARC records are available, records may either be loaded by FCLA or by the Electronic Resource s Cataloger. 4. If MARC records are not available, inprocess records are derived/created. 5. The E Resources Cataloger reviews records. 6. Cataloging records statistics.

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80 Appendix D: Workflows Part 3: Electronic Resources E-Resources Processing Slip ( cover sheet) Filename and Path on T: \ drive: _________________________________________ E Resources Librarian Review and complete License Agreement: (attach copy) If no license is necessary, check here: _________ Please check or write N/A in the following blanks: _____ Date agreement signed _____ Usernames/password _____ Important URLs (please list): _____ Registration ID/Customer Number _____ Vendor name: ______________________ _____ Telephone number _____ Contact Person _____ Usage (statistical information) _____ Funding From Publisher (Please check or write N/A): _____ Excel spreadsheet of titles w/ ISSNs, holding information, put on T: \ Drive path _____ Archiving issues (Metapress, ECO, Extenza, Ingenta, EBSCO) Market ing: _____ Announce to USF Libraries (USFLib@lib.usf.edu) Check availability thru ECO at: http://www.oclo.ord/oclc/eco/service.htm _____ Title is available thru ECO _____ Title is NOT avail able thru ECO

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81 _____ Contact Publisher/Vendor _____ Registration (Provide IP addresses and USF contact information, FTE information (Fall 03 23,988 inc. New College). May also need explanation of organization structure. Payment: _____ XC code _____ Fund code Acquisitions: Order submitted to ACQ (Tom M.) or online Access is identified, or decision to convert print to online. TITLE (or title list generated and attached to check list): ________________________ NOTIS #(s) of print version ________________________ _____ Target for SFX? _____ Fee based electronic resource? _____ Free with print? _____ Order placed, BIB record and OPR set up/noted in LMS _____ Invoice received, information verified and corrected as necessary, keyed into LMS. _____ Payment made in FAST. _____ Publisher may notify the title is accessible (ACQ checks for access when check has cleared). _____ Check link for accessibility and subscription year content ___________________ _____ Add to proxy: C ataloging: _____ Turned on in SFX _____ Cataloged in LMS vendor/collection record _____ Statistics (John B) _____ Title (s) _____ Additional records were modified DTTS Executive Secretary _____ Folder complete with License processed and NOTIS nu mber.

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82 Appendix D: Workflows Part 3: Electronic Resources

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83 Appendix E: Annual Job Assignment Coordinator of Electronic Collections The Coordinator of Electronic Collections manages, directs, and coordinates acquisitions; coordinates and/or implements access; administers; provides support; participates in collection management; and evaluates the value of electronic resources, all according to national standards and local policy. Organizationally within Central Services, this position reports to the Director of Technology and Technical Services and works closely with the Director of Collections, Technology, and staff from Acquisitions, Public Services, Collection Management, as well as directors and staff of all of the USF Libraries. Ultimately, this position is responsible for acquiring, managing, implementing, assessing, and ensuring ongoing access to electronic resources I. Collection development. Assists in identifying electronic resources that support the mission of the University of S outh Florida. Develop, maintain, and expand on indepth knowledge of academically oriented electronic resources. Working closely with the appropriate collection development librarian, Director of Collections, and the Electronic Resources Committee, help in assessing potential purchases or subscriptions. Working with the same, help to identify print resources that can be converted to an onlineonly status. Establish and maintain a wish list of electronic resources. Respond to opportunities with the acquisition of electronic resources through foundation dollars. II. Acquisition of Electronic Resources. Arrange for trials for specific webbased products and work with vendors in gathering critical information regarding their products or resources during the collection management/decision process. Maintain positive working relationships with vendors for preferred pricing, terms, promotional materials, and training on electronic resources. Review and negotiate license agreements for each product. Track license through the signature and receipt process. Review, negotiate, and work with the assigned USF attorney to arrive at the best terms of use of eresources on behalf of USF. Provide information on license requirements to library and user community. Gather pricing information. Order and pay for electronic resources. Develop a spreadsheet outlining expenditures by campus. Communicate expected expenditures to directors within USF Libraries. Obtain renewal information and make timely payment. Work with vendors and directors of USF Libraries to ensure timely payment for all of the USF Libraries. Ensure receipt of invoice and contact vendors when renewal invoices are not issued. Review amount of invoice and compare to last years costs. Monitor SOL INET, SUL, TBLC, and other offers for better pricing opportunities for existing resources. Monitor budget allocated for electronic resources. Keep within budget on renewals. Make recommendations on alternative sources of funding. Ensure that at the end of the fiscal year all resources have been renewed. Complete license and negotiations for renewals. Coordinate the shift from print to electronic for existing resources for the Tampa, HSC, St. Petersburg, and Sarasota libraries. These resources include indexes and abstracting services, reference titles, journals, reports, conference proceedings, and newspapers. Identify resources for migration. Work with directors at each library to implement shift. Create or coordinate the creation of spreadsheets for ordering purposes. Review or coordinate the review of vendor spreadsheets for ordering and renewal purposes.

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84 Ensure receipt of licensed goods. Coordinate review at the item level. Coordinate netLibrary acquisition, implementation, and recei pt of MARC records in catalog. III. Administer E resources Collection Provide URLs to Technology for inclusion in proxy and myUSF. Register for online product. For SFX compliant vendors, establish test phase and eventual production phase for SFX. Sup ply and record information on vendor and product within database manager. Set user preferences with feedback from public services through administrative modules. Record user name and passwords. Manage Ingenta Select, Ingenta, EBSCO EJS, and ECO accounts Work with vendors to ensure appropriate level of trainthetrainer instruction. Coordinate onsite instruction visits. IV. Provide Access Work with cataloging and acquisitions departments in the set up of provisional records at the title and item level. Work with same for inclusion in SFX and MetaLib. Create metadata for access through database manager, as appropriate. Work with E Resources Cataloger in addressing questions, problems, and access issues pertinent to the cataloging of resources, particularly ejournals. V. Maintain a stable, responsive, and efficient e resources collection. Assist patrons and library staff in resolving content related issues. Populate database manager for vendor contact information including email, telephone number, and fax number to assist public services resolving problems nights and weekends. Coordinate, i nvestigate, and resolve where appropriate missing titles, missing issues and articles, and titles not added or accessible. Field questions from facul ty and students regarding eresources, from how to use, missing content, new acquisitions, and cancellations. VI. Evaluate and monitor Renew each resource (databases, ebooks, reference tools, e journals, and newspapers) on a title by title basis. Re view statistics to ensure the appropriate level of use. Make informed decision on renewal based on use and documented need. Eliminate duplication where possible. Develop plan for capturing use statistics. Create reports, respond to queries, and complete surveys on the status of electronic resources within the USF Libraries. MMW: March 22, 2004

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85 Appendix F: Sample copies of statistics sheets Cataloging MONOGRAPHS -All Campuses MARCH 2004 I N D I V I D U A L S T A T I S T I C S CAT DEPT TPA STP FMHI Lakeland Tpa/Juv. STP / Juv. Scores CD/DVD RARE Amer Lit TOTAL FYE -TOTAL STAFF MEMBER INT. V T V T V T V T V T V T V T V T V T V T V T V T XXXXX 239 235 11 11 25 0 246 3054 2910 XXXXX 570 507 11 11 581 518 5367 5041 XXXXX 15 15 16 16 31 31 170 197 XXXXX 38 37 6 5 44 42 283 262 XXXXX 10 9 7 7 17 16 276 240 XXXXX 259 249 46 37 305 286 5344 5036 XXXXX 105 105 20 20 125 125 1009 980 XXXXX 0 0 43 8 XXXXX 238 210 238 210 1353 1206 XXXXX 177 163 177 163 1676 1625 XXXXX 0 0 40 0 XXXXX 0 0 24 23 XXXXX 0 0 3 1 XXXXX 90 75 7 7 10 8 107 90 1590 1195 XXXXX 0 0 305 137 XXXXX 232 207 1 1 233 208 1340 1276 XXXXX 660 595 44 39 13 2 717 636 3884 2868 XXXXX 0 0 0 0 XXXXX 88 87 3 3 91 90 1379 1324 XXXXX 0 0 683 119 XXXXX 156 156 1 1 2 2 151 148 2 2 312 309 3682 2302 XXXXX 34 7 1 0 35 7 884 619 XXXXX 28 22 1 1 7 7 171 167 8 8 215 205 2820 2615 XXXXX 10 7 10 7 93 54

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86 XXXXX 95 91 95 91 888 765 XXXXX 54 38 25 24 79 62 1129 738 XXXXX 5 5 1 1 6 6 94 92 XXXXX 0 0 0 0 XXXXX 1 1 1 1 2 2 99 99 XXXXX 6 6 6 6 175 161 NETLIBRARY 1569 1569 1569 1569 7731 7731 UNKNOWN 14 14 14 14 97 8 7 TOTAL VOLUMES 4502 189 35 22 322 10 2 0 0 177 5259 45515 TOTAL TITLES 4233 173 32 11 315 10 2 0 0 163 4939 39711

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87 Appendix F: Sample copies of statistics sheets Part 1: Cataloging SERIAL TITLES AND V OLUMES Tampa Campus FYE 2003/2004 SERIALS FILM FICHE CDROM/DVD V T V T V T V T July 860 50 55 1 1231 0 5 2 August 697 25 35 0 1621 0 10 0 September 555 36 54 0 1842 0 5 1 October 637 65 87 4 1360 0 9 3 Novembe r 717 36 32 0 1352 0 1 0 December 827 34 89 0 1477 1 4 1 January 482 33 28 0 2044 0 3 0 February 563 24 50 0 1398 0 3 0 March 737 34 49 0 2132 0 3 0 April 0 0 0 0 0 0 0 0 May 0 0 0 0 0 0 0 0 June 0 0 0 0 0 0 0 0 Sub Total 6075 33 7 479 5 14457 1 43 7 Withdrawn 2003/2004 43 8 0 0 0 0 0 0 TOTAL FYE 6/30/2004 6032 329 479 5 14457 1 43 7 Bal brought forward from 06/03 216,847 13,217 2,117 40 75,762 74 70 16 TOTAL TO DATE 222,879 13,546 2,596 45 90,219 75 113 23

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88 Appendix F: Sample copies of statistics sheets Part 1: Cataloging Online Resources (Processing for all campuses/Libraries) MARCH 2003 TITLES Online titles not previously avail able in any format Number of existing records modified (print versions, etc.) Electronic Journals Electronic DataBases & Indexes Electronic GovDocs Electronic Books Electronic Newspapers Other Web Sites SUBS FREE SUBS FRE E SUBS FREE SUBS FREE SUBS FREE SUBS FREE XXXXX 53 52 1 53 XXXXX 67 67 24 61 XXXXX 163 163 55 XXXXX 2 Total 285 282 1 0 0 0 0 0 0 0 0 0 0 24 169

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89 Appendix F: Sample copies of statistics sheets Part 1: Cataloging MAINTENANCE STATISTICS Withdrawn / TPA Withdrawn / St. Pete Withdrawn/Lakeland Deletes Juvenile Call Number Change Adult Call Number Changes Reinstates Location Changes Termination Notices Re links Volum es Titles Volumes Titles Volumes Titles July 2 2 0 0 253 30 35 5 8 0 0 August 159 159 0 0 444 6 16 2 53 1 3 September 104 104 0 0 252 12 13 5 49 0 0 October 51 51 0 0 272 3 17 5 81 0 2 November 0 0 0 0 217 15 8 10 34 0 1 De cember 51 51 0 0 119 12 19 7 2 0 1 January 0 0 0 0 193 14 27 3 14 0 1 February 43 43 0 0 133 6 5 7 23 0 0 March 2 2 0 0 1090 37 17 8 253 0 0 April 0 0 0 0 0 0 0 0 0 0 0 May 0 0 0 0 0 0 0 0 0 0 0 June 0 0 0 0 0 0 0 0 0 0 0 TOTALS 412 412 0 0 2973 135 157 52 517 1 8

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90 Maintenance Statistics (continued)

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91 Appendix F: Sample copies of statistics sheets Part 1: Cataloging

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92

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93 Appendix F: Sample copies of statistics sheets Part 2: Acquisitions Checkin Statistics FEDERAL DEPOSITORY DOCUMENT STATISTICS July 1, 2003 June 30, 2004 PAPER MONTH BK TITLE # PCS MAP POSTER SRL TITLE # PCS JULY 213 229 1 24 82 AUGUST 415 443 3 33 80 SEPTEMBER 221 209 14 1 27 80 OCTOBER 330 343 1 1 13 114 NOVEMBER 203 209 9 59 DECEMBER 372 378 1 17 98 JANUARY 263 255 10 6 59 FEBRUARY 158 168 1 10 83 MARCH 375 400 20 170 APRIL 180 194 4 53 MAY JUNE TOTAL 2730 2828 28 5 163 878 MICROFICHE MONTH BK TITLE # PCS SRL TITLE # PCS TOTAL FICHE JULY 31 73 16 70 398 AUGUST 134 292 22 60 689 SEPTEMBER 78 240 19 96 1145 OCTOBER 57 148 8 48 418 NOVEMBER 73 118 8 53 454 DECEMBER 46 103 8 63 424 JANUARY 57 127 5 61 450 FEBRUARY 59 147 9 41 399 MARCH 102 144 6 95 717 APRIL 7 22 2 41 265 M AY JUNE TOTAL 644 1414 103 628 5359

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94 Checkin Statistics (continued) ELECTRONIC MONTH BK TITLE # PCS VIDEO CD ROM DVD ROM SRL TITLE # PCS JULY 17 20 1 25 11 5 14 AUGUST 23 25 3 28 5 5 SEPTEMBER 13 18 18 7 1 7 OCTOBER 14 15 3 20 6 8 NOVEMBER 17 32 22 18 2 4 DECEMBER 7 7 1 14 2 2 5 JANUARY 5 5 6 5 3 6 FEBRUARY 2 2 3 15 4 1 4 MARCH 9 9 18 12 4 10 A PRIL 3 3 5 3 1 3 MAY JUNE TOTAL 110 136 11 171 73 19 66

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95 Checkin Statistics (continued) SEPARATES MONTH BK TITLE # PCS MAP POSTER SRL TITLE # PCS JULY 6 1 4 1 1 AUGUST 9 3 3 3 13 SEPTEMBER 2 3 2 10 OCTOBER 9 9 1 8 NOVEMBER 1 2 DECEMBER 4 3 1 2 9 JANUARY 9 7 2 1 6 FEBRUARY 12 28 5 1 9 MARCH 5 5 1 6 APRIL 1 1 6 MAY JUNE TOTAL 57 61 13 7 7 70 OTHER MONTH CLAIMS DELETE WinONI Derived Prov'l JULY 6 142 11 AUGUST 1 146 12 SEPTEMBER 9 95 13 OCTOBER 6 127 9 NOVEMBER 4 96 10 DECEMBER 2 71 5 JANUARY 2 61 2 FEBRUARY 2 84 6 MARCH 3 168 10 APRIL 1 82 MAY JUNE TOTAL 36 1072 78 0 0

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96 Appendix F: Sample copies of statistics sheets Part 2: Acquisitions Internal Forms Used in Acquisitions (Please note that these statistics are not reported, but are used to evaluate and monitor work loads.) PERIODICAL CHECK IN STATISTICS WEEK OF_____________ NAME ________________________ SECTION ______________ DAY 1 DAY 2 DAY 3 DAY 4 DAY 5 TOTAL Periodicals Processed Binding Pull Flags Backfiles Bibliographic changes CD Roms Discards Documents Duplicates Fiche/Film Media Center Newspapers Reference Sp Collections St. Pete Micro

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97 Appendix F: Sample copies of statistics sheets Part 2: Acquisitions Internal Forms Used in Acquisitions Periodicals: Incoming Mail Statistics Week of: to Secti on Monday Tuesday Wednesday Thursday Friday Weekly Total A FIR Fis M N Z Total Lakeland

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98 Appendix F: Sample copies of statistics sheets Part 2: Acquisition s Internal Forms Used in Acquisitions PERIODICAL CHECK IN ACTIVITIES WEEK OF ____________ NAME: _______________________________ SECTION ____________ DAY 1 DAY 2 DAY 3 DAY 4 DAY 5 TOTAL AD REPORTS ADDS CANCELLATIONS CEASED TITLES CLAIMS PROCESSED EMAIL/LETTERS SENT INVOICE PAYMENT INVOICE VERIFICATION MISSING ISSUES NEW TITLES ONI/DERI OPENED MAIL OPRS CREATED PHONE CALLS PROBLEM TITLES Reinstatements