TECHNICAL SERVICE STANDARDS FOR SERIALS PROCESSING
Part I.
Authors: Pam Daniels, Dana Santa Cruz, and Judith
Weeks
Note: this text is contained in two linked documents. Move between parts using
the link at the end of the document being viewed.
LIBRARY MISSION STATEMENT, NOVEMBER 1993
The mission of the Library of the University of California, Berkeley is to acquire,
organize, interpret and provide access to information and knowledge in support
of the Berkeley campus' goal of excellence in instruction, research, and public
service. To achieve this mission, we:
- Energetically integrate our resources and services into the research, instructional
and planning activities of the campus;
- Design collections and services in step with the campus' present and future
academic programs;
- Collaborate with campus faculty, programs and units, with other libraries,
particularly other UC libraries, and with agencies outside UC when such partnerships
will enhance our resources and services;
- Provide the campus community and, especially, our students, with a welcoming
place for self-education outside the classroom and tools for lifelong learning
- Support an environment within the Library which emphasizes continuous learning
in support of the whole of the Library's mission and that of the campus; and
- Share with the local, national and international scholarly community the
unique information resources of the Berkeley Library.
GOALS AND GUIDING PRINCIPLES:
- To present bibliographic records in a consistent manner and minimize the
time material is not available to Library patrons.
- To increase efficiency. Develop standards to reduce costs for hardware,
software, peripherals, and training and for sharing of information.
- To safeguard information used by the Library from loss, tampering, and unauthorized
access to online catalog information. Develop and encourage the use of methods
to assure security and to avoid the duplication of work.
- To reduce the costs of operations and adjust for the impact of downsizing
of the workforce. Automate tasks where cost effective and share systems, networks
and applications with other technical processing units.
- To keep the ideas of these standards documents fresh by developing a sustainable
planning process and structure. Update the standards document during the periodic
update of the Berkeley Processing Manual and any local in-house procedures
manual.
- To improve and increase cross-program communications among technical staff
to maximize the effectiveness of these standards. Implement and enhance basic
and advanced forms of electronic communications such as listservs, reflectors
and electronic mail.
- To ensure that every serials processing unit has local written procedures
to supplement the information in the Berkeley Processing Manual (BPM).
HARDWARE TOOLS NEEDED FOR SERIALS PROCESSING
- Each staff member needs to have access to a PC. They need training in the
use of standard Window Networked Environment computer as installed by the
Library Systems Office. In particular, staff should learn the use of "the
recorder" in the accessories group and know how to program their keyboard
function keys to minimize repetitive keying.
- WYSE terminals should be emulated for multi-session use between GLADIS,
MELVYL, INNOPAC and NRLF.
- Printers: when sharing documents, incompatibility among printers can cause
frustrating formatting problems. Staff need to have access to a networked
laser printer and NEC (preferably the more reliable P6200) for unbound journal
label production.
SOFTWARE & ELECTRONIC TOOLS NEEDED FOR SERIALS PROCESSING
- INNOPAC: Staff need to be trained to use INNOPAC. Perhaps basic training
(i.e. public service use level) can be provided by the Teaching Library. The
serials processing unit can then provide further training. Staff will need
password-protected authorization for work assigned.
- GLADIS: Staff need to be trained to use GLADIS. Basic
training is provided by the Teaching Library throughout the semester.
The serials processing unit can then provide further training. Staff will
need password-protected authorization for work assigned.
- MELVYL: Staff need to be trained to use MELVYL. Basic
training is provided by the Teaching Library throughout the semester.
Some staff will also need to learn FirstSearch--an OCLC database connected
via MELVYL.
- World Wide Web: Staff need to learn how to navigate the World Wide Web.
Classes are available from the Library Human Resources Department and are
announced in CU News and by the Teaching
Library.
- Word Processing: The Library provides a word processing application as a
part of the standard WNE computer set up (currently, WordPerfect version 5.2).
Staff need to be trained in the use of this application. If using other versions,
staff should be able to convert documents to the standard that others use
for document sharing.
- Ergonomics: Ergonomics is the study of equipment and office design and implementation
to reduce worker discomfort, fatigue and injury. The Americans with Disabilities
Act (ADA), the Occupational Safety and Health Act (OSHA), and Workers' Compensation
are all formalized aspects of good ergonomic policy. Computer workstations,
tools, seating, lighting and room temperature conditions combined with regular
breaks and exercise should be addressed for serials processing staff.
Health Matters offers ergonomics workshops which should be mandatory for
people who work at computers more than 20 hours/week. Perhaps Health Matters
can be contacted to offer on site librarywide training.
TRAINING
In order for any of the goals of the serials processing technical standards to
be met, potential users of the tools will need to be trained. Training, including
job specific help, is available from a variety of sources:
- The Teaching Library offers a variety of basic introductory courses on common
tools like GLADIS, MELVYL and the World Wide Web. Because they are elementary
in nature, we should not rely on serials processing unit supervisors to provide
this basic level of training.
- The Library's Human Resource
Department offers a variety of courses (e.g. basic WNE courses, e-mail,
WordPerfect, Netscape, Nitty Gritty for Supervisors).
- Employment Development and Training,
and HealthMatters
also provide a wide variety of courses.
- Explore alternatives to formal training like brown bag lunches, computer
based training, books and videos.
- The Technical Services Department has tool
specialists and circuit riders.
- Branch Technical Services Discussion Group (BTECH):
"The group was designed to meet the following needs of the Technical Services
staff:
- to address any procedures that are ambiguous or hard to understand
- to improve job skills through training workshops
- to serve as a resource for questions and concerns from staff performing
technical processing work.
To accomplish these goals, staff communicate their needs and concerns in group
discussions. Ideas for agenda items should be sent directly to the co-conveners,
Karen Murphey and Pam Daniels. Staff can also communicate via e-mail to the
group's reflector BTECHGRP...
...In addition, a ROSTER has been assembled to provide staff a direct contact
with those who perform similar duties and tasks.
In the past, Library staff had access to computer books under the ISIS program.
It is hoped that the Systems Office can again make these tools available for
staff to check-out.
In serials processing it is hard to define where one task ends and the other begins.
Functions have been arbitrarily designated to:
FUNCTIONS COVERED:
- Mail Opening
- Bibliographic/Acquisition verification
- Check-in
- Claiming
- Snag Processing
- Record Maintenance
- Routing
TABLE OF CONTENTS
I. MAIL OPENING
Purpose
To receive, sort, open and distribute incoming library material.
Tasks that need to be completed to open mail
- Receive mail.
- Sort mail
- Open mail.
- Distribute mail
Performance Standards
- Manner of Performance
Staff completing this function should be alert, capable of high-quality, high-quantity
of production and be detail-oriented.
- Timeliness
Items should be opened and distributed within one working day of receipt.
- Quality
Only mail addressed to the unit should be opened. All mail received should
be properly distributed within the unit or referred to other units in an efficient
manner, 3% error rate.
- Effectiveness in use of resources
Written Documentation
- local written procedures especially concerning discrepancies in mailing
stencils and streamlining the mail opening process.
- Methods of performance
It is expected that all staff performing this function will have access to
the resources and understand the use each of tool detailed above.
- Quantity
Contents of a mail lug can vary between shelf ready material, to thin newsletters
to a box of vendor purchased materials. It takes between 10 seconds and 1
minute to open a piece of mail. A lug should be able to be opened, on average,
in 24 minutes. Amount of mail received is a direct function of collection
size. The goal of timeliness needs to be met
- Measures of Success
All mail is opened, sorted and distributed on the day of receipt.
II. BIBLIOGRAPHIC/ACQUISITION VERIFICATION
Purpose.
To authenticate author, title, volume and issue number, date and source of a
serial issue. This function is often a part of other workflows and standards
for those functions should be consulted as well.
Tasks that need to be completed for bibliographic/acquisition verification.
- Verify that the item in hand matches the bibliographic information in the
on-line record or on the correspondence: author, title, numbering and date
pattern, series statement, imprint, issn and other marc fields verified as
required.
- Verify that the item in hand matches the acquisition information in the
on-line record or on the correspondence: location, acquisition type and vendor.
Performance Standards
- Manner of Performance
Staff completing this function should be alert, capable of high-quality, high-quantity
of production and be detail-oriented.
- Timeliness
Minimal amount of verification occurs upon receipt. This function is often
a part of a larger workflow (e.g. check-in, binding, snag processing, record
maintenance) that has its own standard of timeliness. See appropriate section
in this and related documents.
- Quality
3% error rate. Serials tend to change over time so verification can be difficult.
However, a low error rate is needed to avoid costly mistakes (e.g. placing
of duplicate subscriptions, acceptance of expensive duplicate material including
another location's material) and time consuming mistakes (e.g. missed existent
or new bibliographic links, order inconsistencies). Again, this function is
often a part of other workflows.
- Effectiveness in use of resources
Equipment and Software
- Optimum: PC
- Minimum: WYSE terminal emulated to allow multiple session keying
Written Documentation
- Berkeley Processing Manual (BPM) - paper version is being replaced by
the electronic version:
- Innopac Data Elements Notebook
- Gladis Maintenance Systems: a reference manual (1989 ed. with updates)
- Local written procedures to support the shelving location's needs and
supplements the BPM
Online systems
- INNOPAC, GLADIS Maintenance, MELVYL
This function is often a part of another workflow and resources needed for
that workflow need to be available to complete the work--see this and related
documents.
- Methods of performance
It is expected that all staff performing this function will have access to
the resources and understand the use of each tool detailed above.
- Quantity
5 on-line searches should be sufficient to authenticate an item. Otherwise,
piece in hand needs to go through the snag processing workflow, a separate
section in this document.
- Measures of Success
Item is authenticated and is ready for further serials processing (e.g. check-in,
snag processing).
III. CHECK-IN
Purpose.
To record the receipt of periodicals
Tasks that need to be completed for check-in.
- Bibliographic/Acquisition verification of issue to be checked-in -- see
II above
- Proper resolution and/or referral of items that have a sub-standard or no
record present in INNOPAC.
- Claim as appropriate -- see IV follows
Performance Standards
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Last updated 08/04/05
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