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Lecture 4b: Basic Functions/Activities/Procedures II Development and Management of  Collections
Basic Functions/Activities/ Procedures II <ul><li>Coverage (cont’d): </li></ul><ul><li>Receiving Materials/Expending Funds...
Receive requests Verification Select method of supply e.g. Order plans Select sources of supply i.e. Vendors vs Others Cre...
7. Receiving Materials/Expending Funds <ul><li>Receiving Process </li></ul><ul><li>Checking Process </li></ul><ul><li>Upda...
The Receipt Process Arrival of boxes, packages, parcels, envelopes Unpacking & matching  against DO, packing list for corr...
Typical Challenges of Receipt <ul><li>Incorrect materials received </li></ul><ul><li>Incomplete shipment </li></ul><ul><li...
The Checking Process Check physical condition Tick & record in order slips for qty received, “ filled” Move order slips to...
The Checking Process <ul><li>Physical checking & recording of the existence of the materials in the acquisitions & serials...
Financial Record Update Actual amount spent Un-commit funds? exchange rate differences discounts, price changes Monthly ba...
The Payment Process Confirm invoices against DO & PO Approve invoices for payments adjustments, returns? credit from vendo...
The Payment Process <ul><li>The process of making arrangements to settle outstanding debts with vendor for items ordered, ...
The Accessioning Process Running numbers assigned to individual copies of titles manual record of title, author & imprint ...
The Accessioning Process <ul><li>Unique number for acquisitions </li></ul><ul><li>Property marking </li></ul><ul><li>Via c...
Physical Processing Send materials for circulation, shelving -- all titles Cataloguing of new titles & Print & attach labe...
Physical Processing <ul><li>Physical processing is preparing materials for use by patrons. </li></ul><ul><li>It is for pro...
8. Handling Damaged and Incorrectly Shipped Materials <ul><li>Purpose: To ensure proper handling of problem cases and fina...
9. Claiming Unreceived Materials <ul><li>Purpose: To follow-up on items not received beyond expected arrival date </li></u...
10. Canceling Materials <ul><li>Unreceived materials </li></ul><ul><ul><li>Establish cancellation period </li></ul></ul><u...
Cancellations Attach copy of original order to cancellation notice Ensure exact match between cancelled & ordered titles (...
11. Database Management <ul><li>FY-end processing </li></ul><ul><li>Order status – all new orders are sent </li></ul><ul><...
12. Monitoring and Reporting Activities <ul><li>Request reports </li></ul><ul><ul><li>Who has made requests to purchase? <...
12. Monitoring and Reporting Activities <ul><li>Fund reports </li></ul><ul><ul><li>Fund status </li></ul></ul><ul><ul><li>...
12. Special ACQ Problems <ul><li>Paperbacks </li></ul><ul><li>Government publications </li></ul><ul><li>Small presses </li...
The Serials Workflow Check details of price & bibliography Check financial records Determine method of supply Vendor/Agent...
The Serials  Workflow Check-in Processing Gather issues for binding Prepare binding notice/ slips Update records Send to b...
The Serials Workflow <ul><li>Renewals </li></ul><ul><ul><li>Need to keep records of renewals for each title </li></ul></ul...
Claims <ul><li>Set a claim cycle for each title </li></ul><ul><ul><li>Waiting/grace period for late arrival before issuing...
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Lecture 4b: Basic Functions/Activities/ Procedures II

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Collection Development portion of course offered in Nov-Dec 2005 at Temasek Polytechnic, Singapore

Published in: Business, Economy & Finance
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  • Transcript of "Lecture 4b: Basic Functions/Activities/ Procedures II"

    1. 1. Lecture 4b: Basic Functions/Activities/Procedures II Development and Management of Collections
    2. 2. Basic Functions/Activities/ Procedures II <ul><li>Coverage (cont’d): </li></ul><ul><li>Receiving Materials/Expending Funds </li></ul><ul><li>Handling Damaged and Incorrectly Shipped Materials </li></ul><ul><li>Claiming Unreceived Materials </li></ul><ul><li>Canceling Materials </li></ul><ul><li>Database Management </li></ul><ul><li>Monitoring and Reporting Activities </li></ul><ul><li>Special ACQ Problems </li></ul>
    3. 3. Receive requests Verification Select method of supply e.g. Order plans Select sources of supply i.e. Vendors vs Others Create & send PO Update records, i.e. Finance, order records Receive materials Check materials, i.e. Invoices, Physical condition, Claims & returns Update records Process Payments Accessioning To cataloguing section
    4. 4. 7. Receiving Materials/Expending Funds <ul><li>Receiving Process </li></ul><ul><li>Checking Process </li></ul><ul><li>Updating Process </li></ul><ul><li>Payment Process </li></ul><ul><li>Accessioning Process </li></ul><ul><li>Physical Processing </li></ul>
    5. 5. The Receipt Process Arrival of boxes, packages, parcels, envelopes Unpacking & matching against DO, packing list for correctness, qty & condition okay? sign DO Retrieve order records Checking & ticking against Invoice & PO Arrangement by vendors, cartons, POs, subjects, dates onto trolleys, shelves, tables Problem solving with Vendors incomplete/incorrect shipment, title, billing, duplicates
    6. 6. Typical Challenges of Receipt <ul><li>Incorrect materials received </li></ul><ul><li>Incomplete shipment </li></ul><ul><li>Imperfect materials </li></ul><ul><li>Hidden/no packing slips </li></ul><ul><li>No DO/invoice </li></ul><ul><li>Wrong billing </li></ul>
    7. 7. The Checking Process Check physical condition Tick & record in order slips for qty received, “ filled” Move order slips to fulfilled boxes & change status Record date & qty received Claims & returns qty not received, faulty Tally invoices against DO & PO Check with vendors wrong billing
    8. 8. The Checking Process <ul><li>Physical checking & recording of the existence of the materials in the acquisitions & serials systems. </li></ul>
    9. 9. Financial Record Update Actual amount spent Un-commit funds? exchange rate differences discounts, price changes Monthly balance statements Annual reconciliation of records Filing The Updating Process Order Record Update Catalogue record update Qty received & pending Revise order information price & qty
    10. 10. The Payment Process Confirm invoices against DO & PO Approve invoices for payments adjustments, returns? credit from vendors? Forward approved invoices to Finance for cheques/vouchers
    11. 11. The Payment Process <ul><li>The process of making arrangements to settle outstanding debts with vendor for items ordered, delivered & received in good condition. </li></ul><ul><li>Invoicing & payment require the signature of authorised personnel. </li></ul><ul><li>Purposes of the payment process </li></ul><ul><ul><li>Good public relations tool between library & vendor </li></ul></ul><ul><ul><li>Ensure future business </li></ul></ul><ul><ul><li>A fund accounting tool </li></ul></ul>
    12. 12. The Accessioning Process Running numbers assigned to individual copies of titles manual record of title, author & imprint automated record -- barcodes Capture date accessioned Property marking
    13. 13. The Accessioning Process <ul><li>Unique number for acquisitions </li></ul><ul><li>Property marking </li></ul><ul><li>Via continuous numbering or coding system </li></ul><ul><li>Purposes:- </li></ul><ul><ul><li>Inventory control & ownership identification </li></ul></ul><ul><ul><li>Access & catalogue to materials </li></ul></ul><ul><ul><li>Circulation </li></ul></ul>
    14. 14. Physical Processing Send materials for circulation, shelving -- all titles Cataloguing of new titles & Print & attach labels Spine strengthening Jacketing Security Devices Special processing flags (rush orders)
    15. 15. Physical Processing <ul><li>Physical processing is preparing materials for use by patrons. </li></ul><ul><li>It is for protection & identification purposes. </li></ul>
    16. 16. 8. Handling Damaged and Incorrectly Shipped Materials <ul><li>Purpose: To ensure proper handling of problem cases and final resolution </li></ul><ul><li>Tasks: </li></ul><ul><ul><li>Means to identify problem and item </li></ul></ul><ul><ul><li>Communicate with vendor on problem and resolution </li></ul></ul><ul><ul><ul><li>Correspondences to be maintained and kept till problem resolved </li></ul></ul></ul><ul><ul><ul><li>Do you need to return item? </li></ul></ul></ul><ul><ul><ul><li>Would item be replaced? If not, would you get a credit note or a refund? </li></ul></ul></ul><ul><ul><li>Mechanism to track and monitor the problem and resolution </li></ul></ul><ul><ul><ul><li>To ensure problem is resolved </li></ul></ul></ul>
    17. 17. 9. Claiming Unreceived Materials <ul><li>Purpose: To follow-up on items not received beyond expected arrival date </li></ul><ul><li>Tasks: </li></ul><ul><ul><li>Run report in library system to identify orders that have not been fulfilled by the expected arrival date </li></ul></ul><ul><ul><li>Confirm status before generating claim letters to be sent to the vendor </li></ul></ul><ul><ul><li>Decide on final action based on vendor’s reply or if no reply after a certain period </li></ul></ul><ul><ul><li>Update decision/vendor reply in the library system </li></ul></ul>
    18. 18. 10. Canceling Materials <ul><li>Unreceived materials </li></ul><ul><ul><li>Establish cancellation period </li></ul></ul><ul><ul><ul><li>Instruction to vendor, to cancel if cannot fulfill order after a pre-defined period </li></ul></ul></ul><ul><ul><ul><li>Internal decision, to cancel if orders cannot be fulfilled after a pre-defined period or after a specified no. of claims has been made </li></ul></ul></ul><ul><li>Serials subscription </li></ul><ul><ul><li>Establish cancellation period </li></ul></ul><ul><ul><ul><li>Important for auto-renewal – must cancel subscription before the cancellation date </li></ul></ul></ul><ul><li>Always get a confirmation that order is cancelled! </li></ul>
    19. 19. Cancellations Attach copy of original order to cancellation notice Ensure exact match between cancelled & ordered titles (esp. those in vendor’s record) Update order information & reflect reasons for cancellation in system
    20. 20. 11. Database Management <ul><li>FY-end processing </li></ul><ul><li>Order status – all new orders are sent </li></ul><ul><li>Monitoring and processing of overdue orders </li></ul><ul><li>Receiving and invoicing of orders </li></ul><ul><li>Funds encumbrance and expenditure </li></ul>
    21. 21. 12. Monitoring and Reporting Activities <ul><li>Request reports </li></ul><ul><ul><li>Who has made requests to purchase? </li></ul></ul><ul><ul><li>No. of requests ordered or rejected (why rejected?) </li></ul></ul><ul><ul><li>Type of requests made </li></ul></ul><ul><ul><li>Turnover cycle for processing requests (i.e. from receiving of request to finally ordering/rejecting request) </li></ul></ul><ul><li>Order reports </li></ul><ul><ul><li>New orders </li></ul></ul><ul><ul><li>Unfulfilled orders </li></ul></ul><ul><ul><li>Received by not invoiced orders </li></ul></ul><ul><ul><li>Prepaid orders that have not been fulfilled </li></ul></ul>
    22. 22. 12. Monitoring and Reporting Activities <ul><li>Fund reports </li></ul><ul><ul><li>Fund status </li></ul></ul><ul><ul><li>Breakdown of orders by funds </li></ul></ul><ul><ul><li>Comparison reports, e.g. across the years, across the funds, allocation vs encumbrance vs expenditure </li></ul></ul><ul><li>Vendor reports </li></ul><ul><ul><li>No. of orders per vendor </li></ul></ul><ul><ul><li>Order fulfillment rate </li></ul></ul><ul><ul><li>Order cycle </li></ul></ul><ul><ul><li>Price and discounts </li></ul></ul>
    23. 23. 12. Special ACQ Problems <ul><li>Paperbacks </li></ul><ul><li>Government publications </li></ul><ul><li>Small presses </li></ul><ul><li>Microforms </li></ul><ul><li>Audio-visual materials </li></ul><ul><li>Electronic formats </li></ul><ul><li>Out-of-print materials </li></ul><ul><li>Back issues </li></ul><ul><li>Foreign materials </li></ul>
    24. 24. The Serials Workflow Check details of price & bibliography Check financial records Determine method of supply Vendor/Agent Directly Send subscription order Prepare serials record Update finance & order records Receive mails
    25. 25. The Serials Workflow Check-in Processing Gather issues for binding Prepare binding notice/ slips Update records Send to bindery New? Renewal? Missing? Claims Routing Display Cancel?
    26. 26. The Serials Workflow <ul><li>Renewals </li></ul><ul><ul><li>Need to keep records of renewals for each title </li></ul></ul><ul><ul><li>Easier if renewal dates are the same for most of the subscribed titles </li></ul></ul>
    27. 27. Claims <ul><li>Set a claim cycle for each title </li></ul><ul><ul><li>Waiting/grace period for late arrival before issuing a claim </li></ul></ul><ul><ul><li>Set according to publication’s frequency </li></ul></ul><ul><li>Generate & send claims forms </li></ul><ul><li>Automatic </li></ul><ul><ul><li>Update of claim status </li></ul></ul><ul><ul><li>Generation of further claims or until issue/volume is received </li></ul></ul>
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