|USFDC Home | USF Archives||| RSS|
This item is only available as the following downloads:
Academic Resources Overview of Departmental Workflows Compiled by Dennis J. Smith Reviewed and Approved by Todd Chavez Derived from 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 2 Table of Contents Introduction 3 Overview of Acquisitions, Cataloging and Fiscal Unit 4 How physical material is received and processed 6 Overview of Acquis itions subscriptions workflow 8 Processing, Maintenance, and Management of Electronic Resources 10 SFX 13 Gathering statistics 14 ARROW Reports 15 Appendices: A. Organizational Charts for Collection Analysis and Technical Services 16 B Workflows 1. Acquisitions Material Acquisition Process 17 Serials workflow 18 Digitized Resources Processing 30 Free Internet Sites 31 New Titles 32 McNaughton Books (Leisure Collection) 33 Reinstated Titles 35 Periodicals/Serials Processing slip 36 Serials/Series with Anals and Cat Sep workflow and Distribution of Materials Received 37 Florida State Depository Titles (Serials and Monographs) 38 Processing Federal Documents 39 2. Cataloging Monographs 41 Special Collections Materials 42 McNaughton Books purchased for the collection 43 Media Resources Materials 44 Microforms 44 Theses/Dissertations 45 Withdrawals 47 Authority Control 49 Projects and Project Planning 50 Countable Errors 52 3. Electronic Resources License Process 53 E Book Workflow 54 E Resources Processing Slip 55 4 Fiscal Unit Review, approve, pay and scan invoices 56 Reconcile PCard 57 Reconcile ALEPH/FAST 58 C. Annual Job Assignment: Coordinator of Electronic Collections 59
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 3 Introduction At the beginning of the fall 2003 semester, acting Director of Technology and Collection Analysis and Technical Services Todd Chavez charged this group, known as TS POP ( Collection Analysis and Technical Services Plan for Optimization and Productivity), with the following tasks: To examine all workflows in the Collection Analysis and Technical Services area To examine all job descriptions and functions in the Collection Analysis and Technical Services area To examine which statistics are being kept and the method of recording them This document was developed from the TSPOP and reflects the current departmental workflows and processes. The USF Libraries Collection Analysis and Technical Services area serves the Tampa, Louis de la Parte Florida Mental Health Institute (FMHI), Sarasota and Lakeland libraries. Online subscriptions are for all of the USF Libraries and their patrons, including the St Petersburg and Shimberg Health Sciences libraries. Acquisitions encompasses check in, ordering, receipt, bindery, and f iscal functions Cataloging is responsible for the bibliographic, authority, and initial holdings records ( with the exception of federal documents ), and physical processing of most materials They al so manage the maintenance of ALEPH 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. C ollection Analysis and 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; representati ves from Tampa Reference; the catalogers from Shimberg, Moffitt and Sarasota; and librarians from St. Pe tersburg, Lakeland and FMHI. This group recommends policy and practice for the Cataloging Department, taking into consideration the impact of such polic ies 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 as eresources or government documents and report to the CPC
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 4 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 Department is responsible for: Placing order s for library materials in all formats including renewals Initiating the ALEPH bibliographic record Creating an OPR (Order Pay Receipt record) Receiving each order and recording receipt in ALEPH Verifying the invoice, keying it into the ALEPH system, and forwarding it to the Fiscal Unit for approval in ALEPH and payment in the university accounting system (FAST) Standards: MARC21 Accounting standards according to the U niversity of South Florida Cataloging The Cataloging Department 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, Sarasota, 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 LC rule interpretations
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 5 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: reference 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 books 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 req uesters 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 p rojects have always been considered more important. All of the gifts are in ALEPH with some kind of record; remarkably few ever get rush requests. N.B.: Special Collections gifts are treated as projects, not gifts. Fiscal Unit Invoices for Materials, Subscriptions and E Resources are provide to the Fiscal Unit via an ALEPH Invoice Report. This report and the invoices are viewed for accuracy and all required approvals. The invoices are approved in ALEPH, scanned into Liberty Net and paid in FAST. PCa rd charges appear in the FAST system for reconciliation. A listing of the charges are provided to the card holder for review and receipts. The receipts are provided via an ALEPH Invoice Report. This report and the receipts are viewed for accuracy and al l required approvals. The charges are approved in ALEPH and reconciled in FAST. The monthly statement is filed with all receipts after review and approval. Daily reconciliations are completed to ensure daily invoices paid in FAST are correct. A monthly reconciliation of all transactions in ALEPH and FAST is done and any discrepancies correct.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 6 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 r eceives 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 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 purchase card. 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 basis by the Collection Management librarians, faculty, and the vendor. Approval plan materials are retained on review shelves for a week for acceptance or rejection before processing. On average approximately 18,000 volumes are received each year through this program. Currently only the USF Tampa Library has a book approval plan. 4. Subscr iptions The University of South 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. Subsc riptions can be established for journals in various formats: print, microform, and electronic. Journals are much more labor intensive than firm orders. Journal issues normally go straight to the
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 7 shelf after they are checked in until a unit, typically a v olume, 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 ALEPH holdings record. Cataloging Acquisitions staff typically does simple copy cataloging (e.g., material with Library of Congress records with no complications, and added copies, volumes, or locations). Anything requiring a decision or more complicated procedure is forwarded to Catalogi ng; this includes series decisions, CD processing, authority problems, edition changes, etc. The principle 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 Staff Supervisor (everything except eresources or serials) or Serials Librarian or E R esources Librarian These three determine the type of staff to handle the cataloging of a partic ular 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 materials is directed to two Archivist level Staff 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 8 Overview of Acquisitions Subscriptions Workflow The Acquisitions Department has four people involved in the processing of subscriptions: three Senior Library Technical Assistants and the Library Technical Assistant Supervisor. The University of South Florida subscribes to over 4000 current journals in print format. After the initial ord er 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 purchase 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 ALEPH 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 ALEPH The invoice is passed on to the fiscal unit for review and approval in the ALEPH system and then paid in the FAST System. When the first issue of a new title is received in the 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 staff reviews 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 mi ssing 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 anot her stack of mail in house or received out of sequence. If the check in staff notes 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, m ergers and splits, as well as cancellations. When a notification of a cessation is received from the vendor or the publisher, 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 9 When a title changes name, splits, or merges with another title, the appropriate records are loaded into ALEPH 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 the 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 re cord, 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 to be taken to resolve any problem.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 10 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 overall, eresources 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, archiving 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 ver sus 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 resources come from many directions: state wide eresource collection committees, library collection committees, library administration, faculty and student requests, departmental requests express ed through enhancement requests, collection development librarians 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 negotiate 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 ALEPH 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 specific 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 phys ical addresses of campuses. e. Set up payment record in ALEPH f. Review 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 11 h. Review paym ent record in ALEPH and forward to the Fiscal Unit i. Fiscal Unit approves payment in ALEPH and m ake s payment in FAST. j. For renewals, either create spreadsheet of titles or review from publisher. Reconcile differences between what publisher claims we car ry versus our title holdings. Include all campuses. Add ALEPH information at title level. Record cancellations, new titles. Reconcile final version 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 ALEPH 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 interface preferences based on public service feedback and set preferences. f. Respond to future changes to vendor c apabilities by gathering public service feedback and setting online preferences. 5. Marketing. a. Send information out to email@example.com on new acquisition. b. Work with Communications Director to highlight s pecific 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 technical 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 collection development cycle.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 12 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 g o 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 OCLC 30 day deadline. Provide OCLC with information about USF: OCLC symbol, address, subscription agent, and as necessary cus tomer number for publisher. c. Review 6,000 or more titles on annual basis for new titles, title changes, and change in vendor participation. Submit USF order and make payment for over 2500 titles. 9. Assessment. a. Receive statistics delivered via emai l. b. Record changes to statistics delivery and output from vendor. c. Send statistics to CD librarians for specific areas. d. Review statistics 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 electronic resources.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 13 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 (WebLUI S) 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 univ ersity system on a monthly basis. Cataloging Changes Impacting Public Display T he 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 title Abacus is available through Ingenta, FirstSearch ECO, and BlackwellSynergy. This formerly required the display of three URLs and maintenance of three v olume holdings records in WebLUIS. Now these are consolidated into a single "USF electronic resource" 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 vol umes available from each. When a source is added or deleted, or coverage changes, that change is recorded 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 14 Gathering Statistics S tatistics are maintained not only as internal information, but also for university and national reports that req uire 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 o f titles and volumes added or withdrawn. Collection Analysis Collections Analysis is primarily responsible for compiling all statistical information with input/review from Acquisitions, Cataloging and Fiscal Units. Data is compiled primarily from the ALEPH system. Acquisitions statistics are compiled from ALEPH and reviewed for accuracy. Cataloging statistics are gathered monthly for the following formats: Monographs for Tampa, Lakeland, Sarasota, and FMHI Media for Tampa Electronic resources for Tampa, St. Pete, Lakeland, Sarasota and FMHI Serials for Tampa, La keland, Sarasota 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. Another statist ic maintained by the Cataloging Department regards individual performance standards. While there are no set cataloging quotas for faculty or Staff, there is a target for Staff to average four books per hour of cataloging, with a minimum of 16 books catalog ed per day. In addition, immediately prior to the annual evaluation, a librarian reviews each Staff members cataloging work to determine error rate. All Staff are expected to maintain an error rate of no more than 2%. Countable errors are defined in writ ing as shown in Appendix D, Cataloging (see p. 77). The error rate is included as a component of yearly performance evaluations. E lectronic R esources and S erials are compiled using ALEPH reports and vendor reports that are compiled on a monthly basis by the electronic resources staff. Fiscal Reporting is completed on a monthly basis using the ALEPH Acquisitions module which is reconciled monthly with the University FAST system.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 15 ARROW Reports ARROW reports allow quick compilation of ALEPH data. ARRO W 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 NERALEPH To access the ARROW page at FCLA and to see a full list of report types available, please go to http://arrow.fcla.edu/
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 16 Appendix A : Organizational Charts for Collection Analysis and Technical Services Dean Library System Director of Collection Analysis and Technical Services 3781 Coordinator of Serials 5911 Associate Director of Technical Services 3033 Assistant Director of Collection Analysis 4011 Fiscal and Business Spec 3268 Coordinator of Media 3911 Network & Server Support Specialist 6495 Coordinator of Electronic Resources 3031 Library Specialist 3696 Fiscal and Business Spec 3831 Administrative Clerk 4742 (.50) GIS/Data Librarian 9983 USF LibrariesCollection Analysis and Technical Services Library Operations Supv 5670 Library Operations Supv Archivists Cataloging Librarians / Faculty Library Operations Supv Library Specialist Library Specialist Library Specialist Library Specialist Library Specialist Library Specialist Library Specialist Library Specialist Library Specialist Library Assistant Library Specialist Library Specialist Library Specialist Library Assistant Collections Specialist Library Specialist Asst. Librarian Librarian Asst. Librarian Assoc. Librarian (.5 FTE) Asst. Librarian Web Specialist
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 17 Appendix B: Workflows Part 1: Acquisitions Material Acquisition Process Library(Tampa, Lakeland, Sarasota) Acquisitions Material Request Acquisitions (Non-Serial) Serials/ Periodicals Vendors Orders & Renewals Orders Material Received with Invoice Material Prepaid with PCard Material Processed and Cataloged In ALEPH Material Provided to Library Invoice Process in ALEPH Invoice Processed in FAST Orders Processed and Encumbered in ALEPH Orders are in GOBI, Email, Other Request Invoice scanned into Liberty Net and available in FAST Material Received, Processed and Cataloged In ALEPH Material Provided to Library Order/Receipt Processed in ALEPH PCard Charges Reconciled in FAST PCard Charges Reconciled and Filed with Monthly PCard Statements PCard Charges Appear in FAST Renewal Reviews Renewals / Renewal Invoices Shipment Order Placed
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 18 Appendix B : 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 IV 1 Fiscal Processing
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 19 Appendix B: 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 20 Appendix B: 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 ALEPH Create Provisional Record in ALEPH 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 ECT, Collection Development for Decision
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 21 Appendix B: Workflows Part 1: Acquisitions Serials Workflow Review Decision as to Whom to Vend Create a Order Record P O Submitted to Vendor / Publisher Electronically by Phone, or by Mail Notify E Resources / Cataloging Dept Order Has Been Placed III ORDER PLACED 7 /02 Format Print / Microform ? Go To IV Invoiced No ( electronic ) Yes
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 23 Appendix B: Workflows Part 1: Acquisitions Serials Workflow IV INVOICED NEW ORDERS/SUBSCRIPTION RENEWALS 7/02 Invoice Received? Key Invoice into ALEPH Review for Accuracy Submit Invoice to Fiscal Unit for approval in ALEPH and payment in FAST 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 Coordinator of Electronic Resources/ Librarian Is License Needed? Yes No Notify EResources, ECT for Review of Renewals/ Price cost Analysis Renew? Acq Cancels Subscription Acq Notifies Librarian 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 Librarian DD
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 24 Append ix B: 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 25 Append ix B: Workflows 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 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 26 Append ix B: 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 E Resources That Title Has Been Added GO to IV Notify E Resources Yes No
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 27 Append ix B: 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 28 Append ix B: Workflows Part 1: Acquisitions Serials Workflow DD Cataloger receives notification of Accessibility 7/02 Print introductory screen/attach processing slip Search OCLC Send print out & slip for original cataloging Not found FHM on record? Found Apply constant data and edit No Search ALEPH Yes Available from another vendor? Problem Why is FHM on OCLC record? no Add new URL etc. to ALEPH record Yes Update in OCLC Export to ALEPH Edit in ALEPH & 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) Sitedirector Forms System 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?
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 29 Append ix B: Workflows Part 1: Acquisitions Serials Workflow EE Process for scanning VL Licenses 7 /02 E-Resources send license to Admin Support for scanning Admin Support scans document and uploads to Intranet Page Admin Support creates folder and files contract after scanning END
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 30 Append ix B: Workflows Part 1: Acquisitions Digitized Resources Processing Digitized Resources Processing Material is selected for digitization CATS decides upon prioritization and processing Parameters for presentation are sent by CD LDSU gets materials for digitization Materials digitized and stored offline URL information sent to CD for review Sent to 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 31 Append ix B: 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 CD peruses library literature for Best of free websites CER collects requests and evaluates for free status Free Site warrant evaluation ? Internet site free ? CD Teams with appropriate CDL to evaluate free site request Free Site reviewed Request forwarded to CD for processing Appropriate to add to VL ? Notify CER of decision not to add site CD notifies requester with decision not to add & rationale CD 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 CD notifies Cataloging re : new site and URL CD adds new site to DB Mgr and writes description and inputs URL into VL CD 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 32 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 check ed 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 fro m 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 PROCESS. 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 33 Appendix B: Workflows Part 1: Acquisitions McNaughton Books (Leisure Collection) PROCESSING 1. Collection Analysis and 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 (Leisur e) collection on the first floor. RETRIEVING 1. When new books are received, pull the same number of books from the shelves. 2. The 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 ALEPH for Duplicates.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 34 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 ALEPH 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 35 Append ix B: 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 consid ered 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 order), 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 display 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 reinstatement 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 36 Append ix B: Workflows Part 1: Acquisitions PERIODICALS / SERIALS PROCESSING SLIP Date:__________________ init:______ ALEPH #____________ 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: ALEPH #__________OCLC#___________ OPR is done__ (init)"TO CAT" / AD=60days This issue has been stripped & stamped__(init) Vendor notified of new ALEPH # (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 l isting 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 ALEPH 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)
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 37 Append ix B: Workflows Part 1: Acquisitions MAIL ROOM ACQUISITIONS PERIODICALS/SERIALS UNIT CATALOGING DEPARTMENT PHYSICAL PROCESSING
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 38 Append ix B: 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 39 Append ix B: 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 40 APPEND IX B: Workflows Part 2: Cataloging Monographs APPROVAL PLAN BOOKS Books and shipments are unpacked and checked against the invoice. Any missing items are reported to fiscal. Invoices go to fiscal to process for payment. Invoices include USF fund codes which are assigned by LC call number. Records load via EDI Cataloging process es ISBN lis t/records from Yankee. (This step will be eliminated with PromptCat.) Pull up ALEPH 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 ALEPH 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. Books with 090s are placed 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 C atalogers. Brown flagged 050s are picked up by Nicki 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 search. Bring up ALEPH 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 ALEPH 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. 0 cataloging procedures (Librarians):
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 41 Entire record is constructed. REFERENCE BOOKS TO STACKS 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 ALEPH 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 ALEPH then searched in OCLC for a record if necessary. A purchase order is created with appropriate fund code. Once received, the books are processed as mentioned above (050, 090 and 092 processes). STANDING ORDERS (CONTINUATIONS) These are serials or monographic sets. St anding Orders Library Technical Assistant (LTA) checks receipts against the invoice and calls the vendor for nonreceipts. The invoices that can be paid by credit card are submitted to Acquisitions Supervisor Other invoices go to fiscal. Marilene puts fl ags in set adds, puts on barcodes, updates ALEPH (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 ALEPH writes call numbers on the flags, and puts on shelf for Jerry. Any title changes are given to Librarian. Library Assistant (LA) stamps, labels, strips, and transports to the Book Room. GIFTS (non periodical) Tampa gifts approved for the collection are received from Gift Librarian. Standar d gifts (not priority) are placed on a shelf in Acquisitions. As time permits, Standing Orders (LTA) takes the books from the shelf and checks ALEPH 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 the item is part of a set, and we do not own the other parts (broken set), set aside to show Gift Lib rarian. Standing Orders LTA places flags in the books which indicate cataloging level. Standing Orders LTA 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 ALEPH
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 42 APPEND IX B: Workflows Part 2: Cataloging Special Collections Materials Special Collections items are brought to Cataloging. Newly purchased items come from Acquisitions. Previously acquired items that need to be cataloged are brought down from Special Collections. Items are count ed and given to the Archivist The Archivist ca talogs 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 ALEPH record for correctness. Add locati on titles are updated in OCLC and added to the appropriate ALEPH copy holdings statement; add copy titles are simply added ( with the correct copy number ) to the appropriate ALEPH record. LC call numbers are assigned to Special Collections materials. Copy holdings screen format and locations are available in the ALEPH 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. The LA processes Special Collections items differently from circulating items. 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 truc k along with the labels and barcodes for pick up by Special Collections.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 43 APPEND IX B: Workflows Part 2: Cataloging McNaughton Books Purchased for the Collection Any McNaughton books that are not purchased are sent to an Archivist to be withdrawn and deleted from ALEPH The Archivist returns 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. LTA 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 to 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. Co mpare 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 LA for processing. Th e LA adds call number label and stamps each book. The books are already security stripped. Jerry transports the books to the Book Room.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 44 APPEND IX B: Workflows Part 2: Cataloging Media Resources Materials Me dia materials are brought to Cataloging from Acquisitions. LTA divides them into cataloging levels. 050s and 090s go to Media LTA to be cataloged. 092s and 0s go to the Media Librarian to be cataloged. The Librarian and LTA take completed Tampa items to Me dia Resources. Lakeland and Sarasota items are given to the LA for processing. If a videocassette is in a paper case, the LA 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 the Lakeland/Sarasota Microforms SERIALS The Serials/Cataloging Librarians retrieve 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 LA for stamping. LA takes the boxes to Periodicals (or othe r 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 ALEPH 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 ALEPH record accordingly, completes the checkli st, and returns the checklist to Cataloging for the statistics count. For added volumes of microfilm or microfiche for other campuses, Acquisitions staff checks in the item in ALEPH 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 Catalog Librarian. These are mostly large sets of microfilms. The Librarian catalogs them, l abels them, and gives them to LA 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 45 APPEND IX B: Workflows Part 2: Cataloging Theses/Dissertatio ns PhD and Masters -Print Boxes containing the theses come over from the Graduate Office. The Mail Room brings them down and places them on a specified shelf. LTA Supervisor picks them up from the shelf, divides them by PhD and Masters, and alphabet izes 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. LTA Super visor creates a base ALEPH 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 ALEPH and checks authorities. One copy of each Masters thesis is processed by LA (see below) and forwarded to Special Collections. The circulating copy is given to LTA to add subject headings. Then each is processed and forwarded to the Book Room for addition to t he stacks. The first PhD dissertation copy received is handled as above, but forwarded to Special Collections after 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 items. The circulating copy is located in Media Resources. LA 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 shows in our ALEPH 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 46 Honors Students turn in two copies of Honors theses to Circulation. Binding sends them out to be bound. When returned, LTA Supervisor 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 ALEPH record, including call number, and shelflist. Place circulating copy in book size, plastic c ase. 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. Put 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/di ssertations 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 ALEPH num bers. She then makes any necessary changes or additions. As of April 2004, a Senior LTA is now doing this work.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 47 APPEND IX B: 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 items: 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 and enter [Z] in the class type. In the NOTES field enter [wdn], the current date, and your initials. Suppres s 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. 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 Di sk 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 N OTES 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 48 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 init ials 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 withdrawn item is the last remaining copy on the holdings record. If all volumes are not being withdrawn, delet e 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 current date, and your initials. Suppress the bibliographic record if the withdrawn item is the last remainin g 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 DELET E holdings. A print out of all withdrawals, except Media Resources items, is sent to John Keeth in Acquisitions. Statistics on withdrawals are reported monthly.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 49 APPEND IX B: Workflows Part 2: Cataloging Authority Control Authority control is a step i n 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 Archivists can create an authority record if needed. Any new series treated as classed together should be referred to C harles for decision. Subject Authorities CLARR identifies possible problems with authority records. Cataloger corrects. Charles receives journal reports for the following items: Deleted authority records LCSH (subject) changes Archivist makes chan ges. Name changes LTA makes changes. Series changes Archivist makes changes and corrects any conflicts. Match duplicate OCLC numbers Catalog Librarian is currently gathering statistics on the amount of time spent on the above authority maintenance work for FCLA.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 50 APPEND IX B: Workflows Part 2: Cataloging Projects Groups of materials to be cataloged beyond the normal daily incoming acquisitions 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 re quests are not considered projects unless the size of the task is considerable. Initially, a project sponsor must complete a form providing basic information 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.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 51 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 NEEDED? PURL NEEDED? BARCODING? LABELING NEEDED? STAMPING/SECURITY STRIPPING? BINDING OR SPECIAL PROCESSI NG? SPECIAL HANDLING? CONTACT PERSON:
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 52 APPEND IX B: 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 properly Series authority not made Series treatment does not match Failure to use correct literar y 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
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 53 Append ix B: Workflows Part 3: Electronic Resources License Process 1. Obtain appropriate license agreement. A few may be found online; typically we must cont act 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 representat ive 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. Cha nges 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 Electronic Collections (CEC) revises this document on a periodic basis with approval from the USF General Counsels Office. 5. Normally, an order form is part of the agreement. The vendor will request information 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 initial 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 toward 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 the INTRANET
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 54 Append ix B: 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 netLibrary 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 includes 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 pur chased, 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 r ecords are available. 3. If MARC records are available, records may either be loaded by FCLA or by the Electronic Resources Cataloger. 4. If MARC records are not available, inprocess records are derived/created. 5. The E Resources Cataloger reviews records. 6. Cataloging records statistics.
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 55 Append ix B: Workflows Part 3: Electronic Resources ELECTRONIC RESOURCE PROCESSING SLIP Date: Name of Resource: Vendor: 1. ACQUISITIONS Order was submitted to Acquisitions Aleph Bib # ____________________________ Order placed; Bibl record and OPR set up; Noted in LMS Record suppressed in Aleph Invoice received, info verified & corrected as necessary; Keyed into LMS Payment: Fund code __________ Regional Campus Purchase Statistics Info. Entered RETURN FORM TO MONICA 2. ELECTRONIC RESOURCES LIBRARIAN License Agreement is in process. No License Agreement is required. User agreement complete. License is scanned; available via intranet. Abstract for MetaLib and URL: FOUND IN ACCESS DATABASE. Subject categories for MetaLIB: Access is available Notified Help@lib.usf.edu for inclusion in proxy Number of simultaneous users _________________ Consortial subscriber Institutional subscriber Account/Customer number: ______________________________________________________ TECHNOLOGY : In proxy; sent email to Academic Computing for Blackboard Email confirmation sent to Eresources Librarian on proxy CATALOGING Bibl record(s) already in LMS MARC Records Available from Vendor MARC Records Loaded Date: _______________ OCLC record(s) updated / exported to LMS Cataloging (editing) completed in LMS URL checked Title Change: New_____________________________________ Vendor Change: New__________________________________ URL Change: New____________________________________ Counted for collection statistics: ____ new online title(s) ______ Active in MetaLib --------Active in SFX MARKETING Announce availability to USF Libraries (firstname.lastname@example.org) rev. 02/29/2008
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 56 Appendix B: Workflows Part 4: Fiscal Processing Invoice Processing Invoice Report is Reviewed Scanned Invoice updated with Fast Payment Information Payment issued to vendor Invoice Scanned into Liberty Net Invoice Processed in FAST Daily Processing Reconciled and Reviewed Invoice received for EResource, Monograph, Subscription Etc Approved Not Approved Invoice Approved in ALEPH
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 57 Appendix B: Workflows Part 4: Fiscal Processing PCard Processing Listing of Charges provided to PCard Holder Monthly Statement is Reviewed Charges Reconciled in FAST Daily Processing Reconciled and Reviewed Monthly Statement is approved with Receipts and Filed Pcard Charges Appear in FAST Invoice Approved in ALEPH Receipts provided with ALEPH Invoice Report Invoice Report is Reviewed Approved Not Approved
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 58 Appendix B: Workflows Part 4: Fiscal Processing Reconciliation Monthly Report From ALEPH and FAST ALEPH Corrected Journal Transfer submitted for correction Reconciliation Report Completed Transaction Level Reconciliation Completed Error in FAST Corrected Corrected Error in ALEPH No Error
A c a d e m i c R e s o u r c e s : Overview of Departmental Workflows 60 Create or coordinate the creation of spreadsheets for ordering purposes. Review or coordinate the review of vendor spreadsheets for ordering and renewal purposes. Ensure receipt of licensed goods. Coordinate review at the item level. Coordinate netLibrary acquisition, implementation, and receipt of MARC records in catalog. III. Administer E resources Collection Provide URLs to Technology for inclusion in prox y and myUSF. Register for online product. For SFX compliant vendors, establish test phase and eventual production phase for SFX. Supply and record information on vendor and product within database manager. Set user preferences with feedback from publi c 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 vis its. 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 faculty and students regarding eresources, from how to use, missing content, new acquisitions, and cancellations. VI. Ev aluate and monitor Renew each resource (databases, ebooks, reference tools, e journals, and newspapers) on a title by title basis. Review 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.
xml version 1.0 encoding UTF-8 standalone no
record xmlns http:www.loc.govMARC21slim xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.loc.govstandardsmarcxmlschemaMARC21slim.xsd
leader 00000nas 2200000Ka 4500
controlfield tag 001 NEW
008 20110504s2008 flua o s000 0 eng d
datafield ind1 ind2 040
subfield code a FHM
Smith, Dennis J.
Academic Resources overview of departmental workflows
h [electronic resource] /
compiled by Dennis J. Smith ; reviewed and approved by Todd Chavez.
[Tampa, Fla. :
b University of South Florida Tampa Library,
1 online resource (69 p.) :
"Derived from Report of the Technical Services plan for optimization and productivity."
Discusses the workflows and processes used by Academic Resources in the University of South Florida Tampa Library.
University of South Florida.
University of South Florida.