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University of University of Colorado Libraries Colorado Libraries

Reconsidering Reconsidering The Collections/TS WorkflowThe Collections/TS Workflow

October 16, 2006October 16, 2006

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Our FocusOur Focus

• Workflow Analysis & RedesignWorkflow Analysis & Redesign

• Integration of ILS and Vendor SystemsIntegration of ILS and Vendor Systems

• Training and Animated TutorialsTraining and Animated Tutorials

• Product Analysis & Development for the Product Analysis & Development for the Academic Library MarketAcademic Library Market

• Facilitation & Strategic PlanningFacilitation & Strategic Planning

• Professional Seminars & WorkshopsProfessional Seminars & Workshops

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OurOur ExperienceExperience LibrariesLibraries• University of MichiganUniversity of Michigan• Arizona State UniversityArizona State University• MIT LibrariesMIT Libraries• University of UtahUniversity of Utah• University of MinnesotaUniversity of Minnesota• Middlebury CollegeMiddlebury College• Colby CollegeColby College• Oberlin CollegeOberlin College• University of Texas/DallasUniversity of Texas/Dallas• Appalachian State UniversityAppalachian State University• Cushing/Whitney Medical Library, Cushing/Whitney Medical Library,

Yale UniversityYale University• University of MiamiUniversity of Miami• UAB, LHL of the Health SciencesUAB, LHL of the Health Sciences• Denison UniversityDenison University• Kenyon CollegeKenyon College• University of ConnecticutUniversity of Connecticut• Smithsonian InstitutionSmithsonian Institution

VendorsVendors• Blackwell’sBlackwell’s• Casalini LibriCasalini Libri• CAVAL Collaborative SolutionsCAVAL Collaborative Solutions• Common Ground PublishingCommon Ground Publishing• Eastern BookEastern Book• Ebook LibraryEbook Library• Follett Library ResourcesFollett Library Resources• HARRASSOWITZHARRASSOWITZ• Innovative InterfacesInnovative Interfaces• Integrated Book TechnologyIntegrated Book Technology• OCLCOCLC• RR BowkerRR Bowker• Sage ReferenceSage Reference• University of California PressUniversity of California Press• XreferXrefer• YBP Library ServicesYBP Library Services

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Why Workflow Why Workflow Redesign? Redesign?

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Changes in LibrariesChanges in Libraries

PrognosticationsPrognostications

Collection DevelopmentCollection Development

Acquisitions/SerialsAcquisitions/Serials

Cataloging/DiscoveryCataloging/Discovery

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From the LITA BlogFrom the LITA Blog

• 2002 was the year of the blog2002 was the year of the blog

• 2003 was the year of the RSS 2003 was the year of the RSS feedfeed

• 2004 was the year of the Wiki2004 was the year of the Wiki

• 2005 was the year of the podcast2005 was the year of the podcast

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TS Big Heads (January 2006)TS Big Heads (January 2006)• ERM ImplementationsERM Implementations• Future of Cataloging/MetadataFuture of Cataloging/Metadata• Casalini Enhanced Cataloging TrialCasalini Enhanced Cataloging Trial• Link Resolver ImplementationsLink Resolver Implementations• eBook pilot projectseBook pilot projects• DigitizationDigitization• Workflow/Process Reviews Workflow/Process Reviews

• (Cornell, Texas, Michigan)(Cornell, Texas, Michigan)

• ““Hidden” CollectionsHidden” Collections• Asian LanguagesAsian Languages

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Top Tech Trends 2005-6Top Tech Trends 2005-6

• Web 2.0/Library 2.0Web 2.0/Library 2.0• Storage: Physical and DigitalStorage: Physical and Digital• Blogs, Libraries and Citizen JournalistsBlogs, Libraries and Citizen Journalists• E-BooksE-Books• OPACs, FRBR, and Interface DesignOPACs, FRBR, and Interface Design• Google Print, Scholar, and Google Print, Scholar, and

MetasearchingMetasearching• User Tagging, Automated TaggingUser Tagging, Automated Tagging• Digital Rights ManagementDigital Rights Management

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Keys to the Future?Keys to the Future?

• Quality learning spacesQuality learning spaces• Creating metadataCreating metadata• Virtual referenceVirtual reference• Information literacyInformation literacy• Choosing resources & managing licensesChoosing resources & managing licenses• Collecting & digitizing archival materialsCollecting & digitizing archival materials• Managing a digital repository Managing a digital repository

Source: Jerry D. Campbell, “Changing a Cultural Icon: The Academic Source: Jerry D. Campbell, “Changing a Cultural Icon: The Academic Library as a Virtual Destination” Library as a Virtual Destination” Educause Review, Educause Review, (January/February (January/February 2006) 17-30.2006) 17-30.

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TAIGA Forum 2006TAIGA Forum 2006

Provocative Statement #5Provocative Statement #5

““A large number of libraries will no longer A large number of libraries will no longer have local OPACs. Instead, we will have have local OPACs. Instead, we will have entered a new age of data consolidation entered a new age of data consolidation (either shared catalogs or catalogs that (either shared catalogs or catalogs that are integrated into discovery tools), both are integrated into discovery tools), both of our catalogs and our collections.”of our catalogs and our collections.”

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TAIGA Forum 2006TAIGA Forum 2006Provocative Statement #11Provocative Statement #11

““Simple aggregation of resources will not be Simple aggregation of resources will not be enough. They have to be specialized for enough. They have to be specialized for constituency use and projected into user constituency use and projected into user environments (my.yahoo, e-portfolio, CMS, environments (my.yahoo, e-portfolio, CMS, RSS aggregator, podcast). Workflow RSS aggregator, podcast). Workflow replaces database and website as the replaces database and website as the primary locus of attention. The library’s primary locus of attention. The library’s role is to project specialized services into role is to project specialized services into research and learning workflows.”research and learning workflows.”

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User ExpectationsUser Expectations

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Changing User ExpectationsChanging User Expectations

• NetGen StudentsNetGen Students• Conditioned by: Amazon, Google, NetFlixConditioned by: Amazon, Google, NetFlix• Undergraduates: course-centered researchUndergraduates: course-centered research• Strong preference for electronicStrong preference for electronic• Strong preference for full-text, multimediaStrong preference for full-text, multimedia• InteractivityInteractivity• Abhorrence of documentationAbhorrence of documentation• 39% of college students use the library less 39% of college students use the library less

since they began using the Internetsince they began using the Internet

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Changing UsersChanging Users

• Peer-to-Peer file sharing, Peer-to-Peer file sharing, communicationcommunication

• Gaming trial & error approach Gaming trial & error approach • Zero tolerance for delayZero tolerance for delay• Group learning; collaborationGroup learning; collaboration• CPACPA

• University of Rochester “work University of Rochester “work practices” studypractices” study– Dorms, frats, gyms, student union, dining Dorms, frats, gyms, student union, dining

halls, buses, computer center, libraryhalls, buses, computer center, library

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Collection DevelopmentsCollection Developments• RCL: Resources for College Libraries (Fall)RCL: Resources for College Libraries (Fall)• WCA: WorldCat Collection Analysis (2005)WCA: WorldCat Collection Analysis (2005)• OCLC: 26 million items held by 10+ librariesOCLC: 26 million items held by 10+ libraries• Coordinated selection of eBooks/pBooksCoordinated selection of eBooks/pBooks• Increases in A-V, media collectingIncreases in A-V, media collecting• ““Hidden” Special Collections and ArchivesHidden” Special Collections and Archives• Blogs and other kinetic contentBlogs and other kinetic content• Digital Libraries/Institutional RepositoriesDigital Libraries/Institutional Repositories• Print Journal CancellationsPrint Journal Cancellations• UC: 93% redundancy in Gov DocsUC: 93% redundancy in Gov Docs• An “expansive” view of collectionsAn “expansive” view of collections

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Janus Conference/CCDOJanus Conference/CCDO• RECON: Coordinate conversion of the scholarly RECON: Coordinate conversion of the scholarly

record nationally & internationallyrecord nationally & internationally

• PROCON: Accelerate the transition to digital PROCON: Accelerate the transition to digital publishing—push publishers to act nowpublishing—push publishers to act now

• CORE: Collective definition by research libraries; CORE: Collective definition by research libraries; collect same core; different advanced materialscollect same core; different advanced materials

• Work collectively in negotiations with publishersWork collectively in negotiations with publishers

• Archiving: divide responsibility for low-use print; Archiving: divide responsibility for low-use print; take back responsibility from publishers for take back responsibility from publishers for digitaldigital

• Create and support alternative channels of Create and support alternative channels of scholarly communicationscholarly communication

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Acquisitions/Serials Acquisitions/Serials • More subscriptions, fewer purchasesMore subscriptions, fewer purchases• More cancellations of print serialsMore cancellations of print serials• ILS Web Services capabilitiesILS Web Services capabilities• Role of the subscription agentRole of the subscription agent• OCLC record number available in some vendor recordsOCLC record number available in some vendor records• Extended consortial history at point of selection/orderExtended consortial history at point of selection/order• Batch checking of orders against holdingsBatch checking of orders against holdings• Ability to order eBooks from approval vendor systemsAbility to order eBooks from approval vendor systems• Enhanced cataloging records from Casalini LibriEnhanced cataloging records from Casalini Libri• New title alerts for facultyNew title alerts for faculty• Interfaces with University accountingInterfaces with University accounting

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Recent DevelopmentsRecent Developments

• ILS Web Services capabilitiesILS Web Services capabilities• OCLC record number available in some vendor OCLC record number available in some vendor

recordsrecords• Batch checking of orders against holdingsBatch checking of orders against holdings• Enabling vendor systems as OpenURL SourcesEnabling vendor systems as OpenURL Sources• New title alerts for facultyNew title alerts for faculty• Extended consortial history at point of Extended consortial history at point of

selection/orderselection/order

• Group comparison/monitoring toolsGroup comparison/monitoring tools

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Cataloging/Access LandscapeCataloging/Access Landscape• RDA (Resource Description & Access); FRBRRDA (Resource Description & Access); FRBR• OPAC: Discover or locate?OPAC: Discover or locate?• Reduced emphasis on controlled vocabulary (UC Reduced emphasis on controlled vocabulary (UC

System, Harvard)System, Harvard)• Increased need for non-MARC metadata (MODS, Dublin Increased need for non-MARC metadata (MODS, Dublin

Core, VRA Core, EADS, DOI)Core, VRA Core, EADS, DOI)• ““Satellite” systems for e-resource access (ERMs, A-Z Satellite” systems for e-resource access (ERMs, A-Z

lists, link resolvers, proxy servers)lists, link resolvers, proxy servers)• Expansion of outsourced cataloging to Western Expansion of outsourced cataloging to Western

European vendors, A-V vendorsEuropean vendors, A-V vendors

• Re-envisioning user search (NCSU, Queens Library)Re-envisioning user search (NCSU, Queens Library)

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Cataloging/Access LandscapeCataloging/Access Landscape

• RLG/OCLC mergerRLG/OCLC merger• LC Series Authority controversyLC Series Authority controversy• Cost of Authority ControlCost of Authority Control• MERLIN/MOBIUS as gatewayMERLIN/MOBIUS as gateway• WorldCat as gatewayWorldCat as gateway• Google Book Search as gatewayGoogle Book Search as gateway• Google Scholar as gatewayGoogle Scholar as gateway• Federated search as gatewayFederated search as gateway• Enhanced OPAC display; New Items listsEnhanced OPAC display; New Items lists

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UC Bib Services Task ForceUC Bib Services Task Force

““The current Library catalog is poorly The current Library catalog is poorly designed for the tasks of finding, designed for the tasks of finding, discovering, and selecting the growing set discovering, and selecting the growing set of resources available in our libraries. It is of resources available in our libraries. It is best at locating and obtaining a known best at locating and obtaining a known item. […] We offer a fragmented set of item. […] We offer a fragmented set of systems to search for published information systems to search for published information […], each with very different tools for […], each with very different tools for identifying and obtaining materials. For identifying and obtaining materials. For users, these distinctions are arbitrary.”users, these distinctions are arbitrary.”

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Competitive AdvantagesCompetitive Advantages

• The Library “brand” (quality assurance)• Breadth & Depth of Print Collections• Special Collections• Metadata and Information Structure• Relationships with Academic Departments• Controlled vocabularies & classification• Locally-produced Original Digital Content• Archiving

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UC-Boulder-FY 2006UC-Boulder-FY 2006• Electronic Resources: 54% of materials budgetElectronic Resources: 54% of materials budget• $600,000 in print serials cancellations$600,000 in print serials cancellations• FY 2006: 36,000 monographsFY 2006: 36,000 monographs• Key vacancies and recruitingKey vacancies and recruiting• Blackwell’s; EBSCO(?)Blackwell’s; EBSCO(?)• Millennium; III ERM; PeopleSoftMillennium; III ERM; PeopleSoft• Serials Solutions; WebBridgeSerials Solutions; WebBridge• Statewide Purchase PlanStatewide Purchase Plan• CARL; GWLA; CDP; CLiCCARL; GWLA; CDP; CLiC• Music; East Asia; Business; Engineering, etcMusic; East Asia; Business; Engineering, etc

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Library WorkflowsLibrary Workflows

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Organizational StructuresOrganizational Structures• Most libraries not currently organized to fill these rolesMost libraries not currently organized to fill these roles

• Workflows built on print modelsWorkflows built on print models

• New competencies neededNew competencies needed• Access managementAccess management• Copyright/digital rightsCopyright/digital rights• XML and scripting expertiseXML and scripting expertise

• E-Resource Librarian model not scalableE-Resource Librarian model not scalable

• Need for expertise to reside in systems and processes, Need for expertise to reside in systems and processes, not just peoplenot just people

• New prioritiesNew priorities

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The Library WorkflowThe Library Workflow

• Resource IdentificationResource Identification

• SelectionSelection

• Ordering and Order TrackingOrdering and Order Tracking

• Receiving and PaymentReceiving and Payment

• Providing AccessProviding Access– CatalogingCataloging– Record MaintenanceRecord Maintenance– Physical PrepPhysical Prep

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E-Resources WorkflowE-Resources Workflow• Resource IdentificationResource Identification• Trials / Decision TrackingTrials / Decision Tracking• SelectionSelection• License Evaluation / NegotiationLicense Evaluation / Negotiation• Ordering and Order MaintenanceOrdering and Order Maintenance• Payment / Pre-paymentPayment / Pre-payment• Activation / RegistrationActivation / Registration• CatalogingCataloging• Holdings MaintenanceHoldings Maintenance• Resource DiscoveryResource Discovery• Access ManagementAccess Management• Usage TrackingUsage Tracking• Renewals / CancellationsRenewals / Cancellations

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Resource IdentificationResource Identification

• SearchingSearching

• Faculty/Patron RequestsFaculty/Patron Requests

• Approval Plan ProfilingApproval Plan Profiling

• Notification ServicesNotification Services

• GiftsGifts

• Retrospective ListsRetrospective Lists

• Publisher AnnouncementsPublisher Announcements

• Critical and Literary ReviewsCritical and Literary Reviews

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SelectionSelection

• Approval Book Accept/RejectApproval Book Accept/Reject• Gift Selection/De-selectionGift Selection/De-selection• Cancellation/Renewal of JournalsCancellation/Renewal of Journals• Trials of E-Resources/Decision trackingTrials of E-Resources/Decision tracking• Use of Vendor Web Databases for electronic Use of Vendor Web Databases for electronic

form selectionform selection• Fund Code AssignmentFund Code Assignment• Format PreferenceFormat Preference• Activity visible in ILS or vendor database or Activity visible in ILS or vendor database or

local tracking systemlocal tracking system

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OrderingOrdering

• Duplication ControlDuplication Control

• Fund ManagementFund Management

• Order Record Visible in ILSOrder Record Visible in ILS

• Subscription RenewalsSubscription Renewals

• Electronic ordersElectronic orders

• Claiming, Substitutions & CancellationsClaiming, Substitutions & Cancellations

• License negotiation and signingLicense negotiation and signing

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Receiving and PaymentReceiving and Payment

• Verify receipt (match materials to Verify receipt (match materials to invoice) and correct errorsinvoice) and correct errors

• Serials check-inSerials check-in• Update library systemUpdate library system• Discharge fundsDischarge funds• Approve invoicesApprove invoices• Make payment (university accounting)Make payment (university accounting)• Sort and route materialsSort and route materials

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Providing AccessProviding Access

• MARC recordsMARC records– Produced by libraryProduced by library– Produced by vendorProduced by vendor– Produced by OCLCProduced by OCLC

• Record MaintenanceRecord Maintenance– Create Item RecordsCreate Item Records– Set and Display Set and Display

HoldingsHoldings– Link added copiesLink added copies– Link added volumesLink added volumes

• Shelf PrepShelf Prep– BindingBinding– Call Numbers and Call Numbers and

Spine LabelsSpine Labels– Theft DetectionTheft Detection– Ownership StampsOwnership Stamps

• Electronic AccessElectronic Access– License management License management – Link maintenanceLink maintenance– A-Z ListsA-Z Lists

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Serving the PatronServing the Patron

• Timeliness AND AccuracyTimeliness AND Accuracy

• Patron services rely on Patron services rely on collections and technical collections and technical services working as a whole.services working as a whole.

• Workflow changes should Workflow changes should directly benefit the patron.directly benefit the patron.

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What Are Patrons Telling What Are Patrons Telling Us?Us?

• More of them want remote access to resourcesMore of them want remote access to resources• There is more and more demand for electronic There is more and more demand for electronic

resourcesresources• They want simple, effective keyword searching across They want simple, effective keyword searching across

heterogeneous resourcesheterogeneous resources• They want links from citations to full-textThey want links from citations to full-text• They want 24-hour turnaround on ILL transactionsThey want 24-hour turnaround on ILL transactions• ““Don’t make me think!”Don’t make me think!”

• How does this all relate to the work of Collections and How does this all relate to the work of Collections and Technical Services?Technical Services?

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What is the T/S Workflow Telling What is the T/S Workflow Telling Us?Us?

• Let the workflow speakLet the workflow speak• Perform a workflow auditPerform a workflow audit• Establish a “big picture” withEstablish a “big picture” with

– Flowcharts Flowcharts – Key MeasuresKey Measures– Specific CostsSpecific Costs

• What’s getting done? At what cost?What’s getting done? At what cost?• What’s not getting done? At what cost?What’s not getting done? At what cost?• Print vs. electronic emphasis?Print vs. electronic emphasis?

• Which tasks are most highly valued by Which tasks are most highly valued by library staff?library staff?

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Our MethodologyOur Methodology

• Understand the current contextUnderstand the current context• Overall information environmentOverall information environment• LocalLocal

• Identify best “possible” practicesIdentify best “possible” practices

• Demonstrate the benefitsDemonstrate the benefits

• Plan and implement changesPlan and implement changes

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R2 MethodologyR2 Methodology

• Understand the current contextUnderstand the current context

• Identify best “possible” practices Identify best “possible” practices and prioritiesand priorities

• Demonstrate the benefitsDemonstrate the benefits

• Adjust and implement changesAdjust and implement changes

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R2 Workflow PrinciplesR2 Workflow Principles• Know your costsKnow your costs• Incorporate “systems thinking”Incorporate “systems thinking”• Take full advantage of existing resourcesTake full advantage of existing resources• Simplify and standardize requirementsSimplify and standardize requirements• Create a mainstreamCreate a mainstream• Automate the mainstreamAutomate the mainstream• Outsource when effectiveOutsource when effective• Establish quantifiable goalsEstablish quantifiable goals• Measure performanceMeasure performance• Control quality via sampling Control quality via sampling • Make strategic choicesMake strategic choices

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Incorporate Systems ThinkingIncorporate Systems Thinking

• ensure a broadly shared “big picture”ensure a broadly shared “big picture”– eliminate departmental barrierseliminate departmental barriers– teach people to ask “why”teach people to ask “why”– teach people to know “why”teach people to know “why”– focus on interdependenciesfocus on interdependencies

• provide common/shared systems and provide common/shared systems and toolstools – eliminate individual solutions eliminate individual solutions – view for allview for all

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Create a MainstreamCreate a Mainstream

• critical mass of similar activity critical mass of similar activity • it must be easily understood and it must be easily understood and

recognizablerecognizable• always seek to expand the mainstreamalways seek to expand the mainstream

– standardize standardize – consolidateconsolidate– eliminate outdated exceptionseliminate outdated exceptions

• define legitimate exceptions for manual define legitimate exceptions for manual interventionintervention

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Design a Linear ProcessDesign a Linear Process

• maximize value added at each stagemaximize value added at each stage• complete each stage as early as possiblecomplete each stage as early as possible• complete each stage before beginning the nextcomplete each stage before beginning the next• establish specific requirements for each stageestablish specific requirements for each stage• eliminate hubs - disallow the “expert” eliminate hubs - disallow the “expert”

mentalitymentality• fully document the processfully document the process• train and cross-train (ensure skill redundancy)train and cross-train (ensure skill redundancy)• calculate capacity and track throughputcalculate capacity and track throughput

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Automate the MainstreamAutomate the Mainstream

• ““batch” the workbatch” the work

• understand and fully utilize all features of understand and fully utilize all features of ILSILS

• take advantage of take advantage of vendor services and vendor services and systemssystems

• use standard use standard data transfer protocolsdata transfer protocols

• reserve reserve human resourceshuman resources for exception for exception processing, problem solving, and special processing, problem solving, and special projectsprojects

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Trust the ProcessTrust the Process

• eliminate paper, use the systemeliminate paper, use the system

• don’t assign blame, emphasize problem solvingdon’t assign blame, emphasize problem solving

• avoid manual transcription, broaden system avoid manual transcription, broaden system accessaccess

• never adopt a permanent procedure to review or never adopt a permanent procedure to review or to recheck ALL --- use sampling techniques to to recheck ALL --- use sampling techniques to ensure accuracyensure accuracy

• accept 98% accuracy:accept 98% accuracy: “good enough” vs. perfect “good enough” vs. perfect

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Establish Quantifiable GoalsEstablish Quantifiable Goals

• inter-departmental (e.g. dock to inter-departmental (e.g. dock to shelf)shelf)

• echo the library’s missionecho the library’s mission

• emphasize service to patronemphasize service to patron

• speed to shelf; accuracyspeed to shelf; accuracy

• be specific (use numbers)be specific (use numbers)

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Measure PerformanceMeasure Performance

• collect Weekly Key Measurescollect Weekly Key Measures

• make them publicmake them public

• track progresstrack progress

• predict your workflowpredict your workflow

• focus on productionfocus on production

• reward good resultsreward good results

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Make Strategic ChoicesMake Strategic Choices

• anticipate the futureanticipate the future– short termshort term– long termlong term

• set prioritiesset priorities

• enable the organization enable the organization

• stop doing things (so that you can)stop doing things (so that you can)

• start doing new thingsstart doing new things

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R2 MethodologyR2 Methodology

• Understand the current practiceUnderstand the current practice

• Identify best “possible” practicesIdentify best “possible” practices

• Demonstrate the benefitsDemonstrate the benefits

• Adjust and implement changesAdjust and implement changes

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Combined Benefits of Exported Order Records, Combined Benefits of Exported Order Records, PromptCat Records and Expanded Approval PlansPromptCat Records and Expanded Approval Plans

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10,000

20,000

30,000

40,000

50,000

60,000

70,000

80,000

90,000

current

proposed

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Understand your current practiceUnderstand your current practice

• collect documentscollect documents

• interview staffinterview staff

• ask questionsask questions

• gather your ideasgather your ideas

• understand local systems and toolsunderstand local systems and tools

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Contact usContact us

603-746-5991603-746-5991

rick@r2consulting.orgrick@r2consulting.org

ruth@r2consulting.orgruth@r2consulting.org

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