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

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  • 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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