1 observations and recommendations university of colorado – boulder libraries november 13, 2006...

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Observations Observations and and

RecommendationsRecommendations

University of Colorado – BoulderUniversity of Colorado – BoulderLibrariesLibraries

November 13 , 2006November 13 , 2006

Ruth Fischer and Rick LuggRuth Fischer and Rick LuggR2 ConsultingR2 Consulting

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R2 MethodologyR2 Methodology

1.1. Understand the current Understand the current environmentenvironment

2.2. Identify best “possible” practicesIdentify best “possible” practices

3.3. Demonstrate the benefitsDemonstrate the benefits

4.4. Adjust and implement changesAdjust and implement changes

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R2 ObservationsR2 Observations• performing well in many important respectsperforming well in many important respects

• does not deal well with conflictdoes not deal well with conflict

• widespread skepticism regarding change and new widespread skepticism regarding change and new initiativesinitiatives

• a hunger for more direction and input from senior a hunger for more direction and input from senior managementmanagement

• department heads enjoy significant autonomy within department heads enjoy significant autonomy within their own domainstheir own domains

• limited incentives for taking initiative or risks, and limited incentives for taking initiative or risks, and few penalties for delay or abdication of responsibilityfew penalties for delay or abdication of responsibility

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R2 ObservationsR2 Observations• 54% of the materials budget is dedicated to electronic 54% of the materials budget is dedicated to electronic

resources, only 14% of Technical Services staff resources, only 14% of Technical Services staff resources is allocated to their managementresources is allocated to their management

• an admirable and humane approach to Human an admirable and humane approach to Human Resources Resources

• a more entrepreneurial approach, seeking grant a more entrepreneurial approach, seeking grant funding for defined, fixed-term projectsfunding for defined, fixed-term projects

• collection-rich but staff-poorcollection-rich but staff-poor

• tenure requirements of some librarians focus priorities tenure requirements of some librarians focus priorities outside the operation, limiting contributionsoutside the operation, limiting contributions

• an access-oriented attitude toward its $9 million an access-oriented attitude toward its $9 million materials budgetmaterials budget

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R2 ObservationsR2 Observations• workflows related to selection and acquisition of workflows related to selection and acquisition of

print material are problematicprint material are problematic

• a pragmatic, and in our view appropriate, approach a pragmatic, and in our view appropriate, approach to Special Collections to Special Collections

• no budget line for ITno budget line for IT

• some other unusual aspects to the Systems situationsome other unusual aspects to the Systems situation

• Collection Development has made important Collection Development has made important contributions to the Libraries in the last 12-18 contributions to the Libraries in the last 12-18 monthsmonths

• Level of consolidation with Blackwell’s is helpfulLevel of consolidation with Blackwell’s is helpful

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R2 ObservationsR2 Observations

• time to shelf for new materials is, or should be, a time to shelf for new materials is, or should be, a significant concern from selection to accesssignificant concern from selection to access

• Cataloging and Metadata Services has demonstrated Cataloging and Metadata Services has demonstrated real leadership and vision in the past 12-18 months real leadership and vision in the past 12-18 months

• the backlog of new material still contains 9,000-the backlog of new material still contains 9,000-10,000 titles; other backlogs in Special Collections, 10,000 titles; other backlogs in Special Collections, ArchivesArchives

• Marking has recently developed a significant backlogMarking has recently developed a significant backlog

• Hardworking, dedicated and experienced staff in Hardworking, dedicated and experienced staff in Acquisitions; well-suited to new workflows; no Acquisitions; well-suited to new workflows; no current ordering backlogscurrent ordering backlogs

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R2 ObservationsR2 Observations• Gifts-in-Kind (i.e., donated books and serials) are Gifts-in-Kind (i.e., donated books and serials) are

largely uncontrolledlargely uncontrolled

• Digital Initiatives has developed a significant programDigital Initiatives has developed a significant program

• tensions and communication gaps between various tensions and communication gaps between various departmentsdepartments

• UCB’s membership in the Alliance generates pros and UCB’s membership in the Alliance generates pros and conscons

• UCB struggles with integrating new systems and UCB struggles with integrating new systems and

processes into existing workflows and organizational processes into existing workflows and organizational structure structure

• frustration with the number and quality of meetingsfrustration with the number and quality of meetings

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Standard Business Standard Business PrinciplesPrinciples

• Know your costsKnow your costs• Incorporate “systems thinking”Incorporate “systems thinking”• Simplify and standardize requirementsSimplify and standardize requirements• Create a mainstreamCreate a mainstream• Automate the mainstreamAutomate the mainstream• Outsource when effectiveOutsource when effective• Establish production goals Establish production goals

• Measure performance Measure performance • Control quality via sampling Control quality via sampling • Make strategic choicesMake strategic choices

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The R2 ReportThe R2 Report

1.1. ObservationsObservations

2.2. Workflow RecommendationsWorkflow Recommendations

3.3. Organizational RecommendationsOrganizational Recommendations

4.4. ImplementationImplementation

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R2 RecommendationsR2 Recommendations

•JustJust recommendations recommendations

•There will be changesThere will be changes

•Next stepsNext steps

•Moving targetMoving target

•Implementation planImplementation plan

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PremisesPremises

• Electronic Resources are now the mainstreamElectronic Resources are now the mainstream

• The E-Resources mainstream will continue to The E-Resources mainstream will continue to grow; print resources will continue to shrinkgrow; print resources will continue to shrink

• Workflow recommendations should be directed Workflow recommendations should be directed toward reducing efforts on print content that is toward reducing efforts on print content that is not uniquenot unique

• Organizational recommendations should create Organizational recommendations should create structures that reallocate staff hours toward structures that reallocate staff hours toward electronic, away from printelectronic, away from print

• Organization should support continued movement Organization should support continued movement in this direction, as the shift will be gradualin this direction, as the shift will be gradual

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Workflow RecommendationsWorkflow Recommendations

• Acquisitions/Collection Development Acquisitions/Collection Development **• Cataloging Cataloging **• Electronic ResourcesElectronic Resources• MusicMusic• Periodicals Room/ReferencePeriodicals Room/Reference• MarkingMarking• PreservationPreservation• SystemsSystems

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Acquisitions/CDAcquisitions/CD

• Use the leverage offered by consolidation with BBSUse the leverage offered by consolidation with BBS• FY 2006 StatisticsFY 2006 Statistics

• BBS Approval Monographs (net)BBS Approval Monographs (net) 21,00021,000• Blackwell’s Firm OrdersBlackwell’s Firm Orders 8,000 8,000• Total Blackwell’s OrdersTotal Blackwell’s Orders 29,00029,000• Total Monographs PurchasedTotal Monographs Purchased 36,00036,000

• Blackwell’s supplies 75% of all monographsBlackwell’s supplies 75% of all monographs

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Acquisitions/CDAcquisitions/CD• Require electronic selection for titles handled by Blackwell’sRequire electronic selection for titles handled by Blackwell’s

• Export bibliographic and local data from Collection Manager Export bibliographic and local data from Collection Manager to Millenniumto Millennium

• Rely on Collection Manager, Blackwell’s and Millennium for Rely on Collection Manager, Blackwell’s and Millennium for duplication control; Eliminate most pre-order searchingduplication control; Eliminate most pre-order searching

• Implement PromptCat, shelf-ready and electronic invoicing Implement PromptCat, shelf-ready and electronic invoicing for all Blackwell’s firm orders and all titles generated by for all Blackwell’s firm orders and all titles generated by SciTech profiles SciTech profiles

• Implement PromptCat and electronic invoicing ONLY for non-Implement PromptCat and electronic invoicing ONLY for non-SciTech portions of the approval profiles. When returns SciTech portions of the approval profiles. When returns reach 5% or lower, implement physical processingreach 5% or lower, implement physical processing

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Acquisitions/CDAcquisitions/CD• Proposed Science and Technology disciplines include Proposed Science and Technology disciplines include

13 subjects, representing 4,000 approval titles per 13 subjects, representing 4,000 approval titles per year:year:

• AstrogeophysicsAstrogeophysics• BiologyBiology• ChemistryChemistry• Computer ScienceComputer Science• EngineeringEngineering• Earth ScienceEarth Science• GeologyGeology• Integrative PhysiologyIntegrative Physiology• MathematicsMathematics• Molecular, Cell and Developmental BiologyMolecular, Cell and Developmental Biology• PhysicsPhysics• PsychologyPsychology• ScienceScience

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Acquisitions/CDAcquisitions/CD• As shelf-ready services are adopted for approval, As shelf-ready services are adopted for approval,

eliminate review shelves in favor of web-based new eliminate review shelves in favor of web-based new books/resources listsbooks/resources lists

• Instruct BBS to ship approval books by profileInstruct BBS to ship approval books by profile

• Reduce time for bibliographer review from 14 to 7 daysReduce time for bibliographer review from 14 to 7 days

• Change default decision for approval to “Accept if No Change default decision for approval to “Accept if No Action”Action”

• Consider establishing a central fund for approvalConsider establishing a central fund for approval

• Eliminate all selector “shadow” systems Eliminate all selector “shadow” systems

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Acquisitions/CDAcquisitions/CD• Minimize free-text notes in order recordsMinimize free-text notes in order records

• Provide monthly reports of “held” orders to Provide monthly reports of “held” orders to bibliographersbibliographers

• Release electronic orders to vendors dailyRelease electronic orders to vendors daily

• Improve performance on non-mainstream orders (9,000)Improve performance on non-mainstream orders (9,000)

• Expand electronic invoicingExpand electronic invoicing

• Better screening for books that arrive damagedBetter screening for books that arrive damaged

• Eliminate gifts except in Special Collections and MusicEliminate gifts except in Special Collections and Music

• Implement the Innovative External Accounting InterfaceImplement the Innovative External Accounting Interface

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Acquisitions/CDAcquisitions/CD

• Continue to reduce the volume of print Continue to reduce the volume of print serialsserials

• Reduce check-in, claiming and binding of Reduce check-in, claiming and binding of some serialssome serials

• Allow serials check-in staff to enter ISSN in Allow serials check-in staff to enter ISSN in the catalog recordthe catalog record

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CatalogingCataloging

• Accept duplicate call #sAccept duplicate call #s

• Eliminate backlogs of new materialEliminate backlogs of new material

• Puchase ToCs Puchase ToCs

• Outsource authority controlOutsource authority control

• Minimize the number of serial titles classed Minimize the number of serial titles classed togethertogether

• Be conservative about enhancing OPAC search Be conservative about enhancing OPAC search toolstools

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CatalogingCataloging

• Familiarize catalogers with Non-MARC formatsFamiliarize catalogers with Non-MARC formats

• Increase original cataloging capacityIncrease original cataloging capacity

• Increase complexity of cataloging for copy Increase complexity of cataloging for copy catalogerscatalogers

• Shelve books with brief recordsShelve books with brief records

• Maintain PCC contributions to the extent possibleMaintain PCC contributions to the extent possible

• Eliminate routine review of PCC contributionsEliminate routine review of PCC contributions

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Electronic ResourcesElectronic Resources

• Ramp-up implementation of ERM and Ramp-up implementation of ERM and WebBridgeWebBridge

• Assign ongoing maintenance/operational tasksAssign ongoing maintenance/operational tasks

• Redefine as the mainstreamRedefine as the mainstream

• Expand staffing and systems supportExpand staffing and systems support

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MusicMusic

• Extend ordering authority in MillenniumExtend ordering authority in Millennium

• Allow local receiving for some materialsAllow local receiving for some materials

• Investigate third party cataloging and Investigate third party cataloging and processing for musicprocessing for music

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Periodicals Periodicals Room/Reference/ArtRoom/Reference/Art

• Further reduce the size of the print Further reduce the size of the print reference collectionreference collection

• Eliminate reference sub-locationsEliminate reference sub-locations

• Reconsider in-house routing of periodicalsReconsider in-house routing of periodicals

• Clarify timing and impact of the “One-Desk” Clarify timing and impact of the “One-Desk” initiativeinitiative

• Reconsider check-in in the Periodicals RoomReconsider check-in in the Periodicals Room

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Preservation/MarkingPreservation/Marking

• Eliminate branch inconsistenciesEliminate branch inconsistencies

• Eliminate physical book platesEliminate physical book plates

• Plan to work without hand-written call Plan to work without hand-written call numbersnumbers

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PreservationPreservation

• Formalize preservation goals at UCBFormalize preservation goals at UCB

• Ensure clarity concerning preservation Ensure clarity concerning preservation expectationsexpectations

• Include digital preservationInclude digital preservation

• Consider Alliance-level programConsider Alliance-level program

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SystemsSystems

• Increase capacity of IT to support the Increase capacity of IT to support the library operationlibrary operation

• Distribute more Chinook system authority Distribute more Chinook system authority and responsibility to operating departmentsand responsibility to operating departments

• Consider hiring another systems Consider hiring another systems librarian/ILS administratorlibrarian/ILS administrator

• Consider establishing a budget line for ITConsider establishing a budget line for IT

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Organizational ObservationsOrganizational Observations

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Organizational Organizational RecommendationsRecommendations

• Integrate CD and Acquisitions functions Integrate CD and Acquisitions functions in in Collections ServicesCollections Services- two versions- two versions

• Relocate electronic resources managementRelocate electronic resources management

• Expand support for the acquisition of E-RExpand support for the acquisition of E-R

• Reallocate staffing from print serialsReallocate staffing from print serials

• Segregate mainstream from non-mainstream monographsSegregate mainstream from non-mainstream monographs

• Support new mainstream workflow with expertise from Catalog Support new mainstream workflow with expertise from Catalog ManagementManagement

• Relocate gifts from Public Services to Collections ServicesRelocate gifts from Public Services to Collections Services

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• Reconsider Bibliographer’s AssistantsReconsider Bibliographer’s Assistants

• Redeploy Staff from Collections Services to CMS and/or Redeploy Staff from Collections Services to CMS and/or SystemsSystems

• Expand Original Cataloging CapacityExpand Original Cataloging Capacity

• Redeploy Copy CatalogersRedeploy Copy Catalogers

• Consider More Non-Tenured Faculty PositionsConsider More Non-Tenured Faculty Positions

• Expand COG’s Purview and MembershipExpand COG’s Purview and Membership

• Strengthen the Mission of the Library CouncilStrengthen the Mission of the Library Council

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• Expand the Cabinet to Include the Systems Expand the Cabinet to Include the Systems PerspectivePerspective

• Further develop UCB strategy for Alliance Further develop UCB strategy for Alliance participationparticipation

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AD fo r Co llections

Services

Faculty D irecto rfo r Cataloging andM etaData Services

Faculty D irecto rfo r Co llections

Services

FacultyD irecto r fo rP reservation

AD for Technical Services

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ElectronicR esources

5 FTE

A D for C ollections

Serv ices

Print R esourcesand F ixed Media

MainstreamMonographs

4 FTE

Non-MainstreamMonographs

and Gif ts4 FTE

Print Seria ls3 FTE

Bookkeeping1 FTE

Faculty Director forC ataloging and

MetaData Serv ices

Faculty Director forC ollections Serv ices

Faculty Director forPreservation

MonographicC ataloging

Seria ls C ata loging

Digita l R esourcesC ataloging

C atalogManagement

Specia l Collectionsand A rchives

C ataloging

Gif ts1 FTE

C D Support1 FTE

Bibliographers

Marking andPreservation

6 FTE

Cataloging & Metadata

Collections Services

Print Resources

Mainstream Monographs

Non-Mainstream Monographs

Catalog Management

Preservation

ElectronicResources


CD Support


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Faculty Director for Cataloging, Metadata, and

Electronic Resources

Faculty Director for

Print Resources

Faculty Director for

Preservation

Collection Development

Reporting through PS

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R2 RecommendationsR2 Recommendations

•JustJust recommendations recommendations

•There will be changesThere will be changes

•Next stepsNext steps

•Moving targetMoving target

•Implementation planImplementation plan

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UCB LibrariesUCB Libraries

BenefitsBenefits

(assuming full adoption)(assuming full adoption)

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Improved TimelinessImproved Timeliness• Selection to order in 24-48 hours for 8,000 titles Selection to order in 24-48 hours for 8,000 titles

(BBS firm orders)(BBS firm orders)

• Fund encumbrances accurate within 24-48 hoursFund encumbrances accurate within 24-48 hours

• Eliminate checking of order requests in Eliminate checking of order requests in Acquisitions/daily release (1+ days)Acquisitions/daily release (1+ days)

• Receipt to shelf in 1-3 days for 9,600+ titles Receipt to shelf in 1-3 days for 9,600+ titles (80% of BBS firm + SciTech profile-driven (80% of BBS firm + SciTech profile-driven receipts)receipts)

• Receipt to shelf in 10-14 days for 13,600 titles Receipt to shelf in 10-14 days for 13,600 titles (80% of non-SciTech Approval)(80% of non-SciTech Approval)

• Eliminate most patron holds Eliminate most patron holds (due to backlog(due to backlog reductions and faster throughput)reductions and faster throughput)

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Reduced Workloads Reduced Workloads (Annual)(Annual)

• Eliminate order tracking for 8,000+ items in selector Eliminate order tracking for 8,000+ items in selector shadow systemsshadow systems

• Eliminate item-by-item searches:Eliminate item-by-item searches:– In Chinook:In Chinook: 29,000 29,000– In Collection Manager: 8,000In Collection Manager: 8,000– In OCLC:In OCLC: 29,000 29,000

• Eliminate keying or item-by-item download of 8,000 Eliminate keying or item-by-item download of 8,000 bib records at orderbib records at order

• Eliminate item-by-item fund assignment for 21,000 Eliminate item-by-item fund assignment for 21,000 approval booksapproval books

• Eliminate manual creation of 8,000 purchase order Eliminate manual creation of 8,000 purchase order lineslines

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Reduced Workloads Reduced Workloads (Annual)(Annual)• Incorporate e-monograph selection into print proceduresIncorporate e-monograph selection into print procedures

• Eliminate keying of 8,000+ invoice lines (BBS firm orders + Eliminate keying of 8,000+ invoice lines (BBS firm orders + European vendors)European vendors)

• Eliminate manual item record creation for 12,000 titles Eliminate manual item record creation for 12,000 titles (SciTech Profiles + firm)(SciTech Profiles + firm)

• Eventual elimination of manual item record creation for Eventual elimination of manual item record creation for another 17,000 another 17,000

• Reduce copy cataloging by 23,200 titles (80% of BBS volume)Reduce copy cataloging by 23,200 titles (80% of BBS volume)

• Reduce OCLC charges for searching, download, cataloging, Reduce OCLC charges for searching, download, cataloging, setting holdingssetting holdings

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Reduced Workloads Reduced Workloads (Annual)(Annual)

• Reduced need for rush ordering and rush processing Reduced need for rush ordering and rush processing

• Reduce receipt to shelf time by 4-8 weeksReduce receipt to shelf time by 4-8 weeks• Eliminate physical processing for 23,200 items, in phases:Eliminate physical processing for 23,200 items, in phases:

– BBS Firm OrdersBBS Firm Orders 6,400 6,400– Sci/Tech Profiles: 3,200Sci/Tech Profiles: 3,200– Other Approval (in 2007-8) 13,600 Other Approval (in 2007-8) 13,600

• Eliminate status changes for 12,000 items (default to available) Eliminate status changes for 12,000 items (default to available) immediatelyimmediately

• Eliminate status changes for 23,200 items as shelf-ready component Eliminate status changes for 23,200 items as shelf-ready component growsgrows

• Eliminate keying of invoices into PeopleSoft (2007-8 or later)Eliminate keying of invoices into PeopleSoft (2007-8 or later)

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Frees Time for New Frees Time for New PrioritiesPriorities

• To reduce the cataloging backlog of new materialTo reduce the cataloging backlog of new material• To implement quality control on PromptCat and To implement quality control on PromptCat and

Shelf-Ready BooksShelf-Ready Books• To improve performance on non-mainstream ordersTo improve performance on non-mainstream orders• To shift additional hours to e-resource maintenanceTo shift additional hours to e-resource maintenance• To make progress on cataloging backlogs in Special To make progress on cataloging backlogs in Special

Collections, Archives, Documents, etc.Collections, Archives, Documents, etc.• To continue with retrospective conversion (as To continue with retrospective conversion (as

needed)needed)• To identify resources for DIALTo identify resources for DIAL• To identify resources for the Institutional RepositoryTo identify resources for the Institutional Repository• To identify staff resources for technology supportTo identify staff resources for technology support

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““Greatness is not a function of Greatness is not a function of circumstance. Greatness, it turns out, is circumstance. Greatness, it turns out, is largely a matter of conscious choice, and largely a matter of conscious choice, and discipline.”discipline.”

Jim Collins, “Good to Great and the Social Jim Collins, “Good to Great and the Social Sectors”Sectors”

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Next StepsNext Steps

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Questions?Questions?

Comments?Comments?

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