Unisa Library adapting our organization to an Electronic

Unisa Library : adapting our organization to an Electronic Resource Management environment? Dorette Snyman Information Resource Developer: Electronic Resources Unisa Library Electronic Resources Management: A solution with Its Own Challenges, August 16 -17, 2007, IFLA Pre-Conference, Cape Town

Overview • Re-engineering the Unisa Library • Process followed when we implemented our Electronic Resources Management System within this new library structure • Unisa Library ERM Workflow • Decisions that were taken & how it is reflected in our ERM • Can we give advice on implementing new technology?

What was the impact of the ERMS? • Profound impact • Changes in processes & structures • What if you have already reengineered? • Did our re-engineering prepare us for the implementation? • How should a library implement new technology? • Can you manage the waves caused by the impact? • Did we need to adapt our organization to the new technology?

Re-engineering the Unisa Library • “Clean sheet” process re-engineering approach was used • Principles used for design of each process: – – – – • • Design only for the human element, not for technology, Consider best practice in the design of each process, Separate urgent from important, Separate direct from indirect customer facing, Establish clear boundaries between processes, Entrench ownership of inputs and outputs of each process Ownership implies responsibility & accountability of each process The “what” of the library was designed and not the “how” (procedures) Re-engineering started in 2000, finalised in 2002 Implementation put on hold due to institutional merger

Principles used in re-engineering • Each process were designed in terms of: – – – – Input - controlled by rules, policies, procedure manuals Output - should be measurable Controls - workflow, budget controls Technology - what is used to produce the output of the process Activities - list of activities in each process Roles – technical and non-technical competencies for output Audit considerations Key process measures & Management control systems • Processes were: – Grouped together to form business units, – Determine the jobs to be done in each business unit – 1 role = 1 job, more than one role = 1 job • Business units consist of various teams • Roles were identified from the output of each process • Together with the management structure form the organizational structure of the library.

CONCEPTUAL ORGANISATIONAL MODEL – LIBRARY SERVICES SUPPORT OF CUSTOMER SUPPORT OF LIBRARY Library Procurement Library Information Services (Customer Services) General Information Resources Contracts, Requisitions (1 m, 1 n, 6 b, 8, 9 d-j, 11, 16 -18, 28, 32, 33, 41, 43, 48, 55, 81 a, 83, 84 c, 84 l, 171, 172 b, 173 -175, 177, 178, 180, 181) Inventories (1 v-w) Contracts Ord/Rec (1 y) (1 x, 2) Standards (1 z) Assets (75 a) Library Finance IR Content Management IR Development (1 f-1 i, 1 l-1 n, (57), 179) IR Describing (3 -5, 7) (57, 70, 75 a-b) IR Data Quality &Reporting (40 a-b, 172 a-d, 1 k) Library Technology Services ( (57), 60 a-h, 75 a, (41)) IR Distribution IR Housing (9 d-e, 9 g-j) IR Maintenance (6 a-b, 9 a) IR Request Services (11 -12, 17 -19, 28, 31 -33, 41, 48, 171, 173 -175) Library Development Services Research Service Des/Dev Process Design Web Design (58 a-f) (59 a-g) (61 a-h) (59 a-g) Library Human Resources Management (62 a-h, 63 a-q) Directly Customer Facing Indirectly Customer Facing Support/Internally Facing Hybrid – Combined Structures Library Office Infrastructure (8, 9 f, 9 k, 16, 67 -69, 79 -83, 184) Library Coordination Services Customer Training Coordination (73, 171) Library Staff Training Coordination (64) Library legal Services (71) Library Marketing Services (1 j, 84 a-c, e, h-m, 86 a-b, 150 a-b, 158 a-b, 170 a-b) Library Consulting Services (87 -104, 126 -142, 150 -157, 159 -166, 106 -107, 109 -122, 124 -125)

Customer facing Indirect customer Support services

Common problems when implementing new technology • Silo effect – each person or division to his own • The One-person show – a selected staff member appointed to implement • Decibel auction – those who shout loudest, gets • Turf wars – new technology seen a a threat to own area • Slap on’s –creating a new job or add a new person. • Glue – one person is the glue holding everything together • IT will implement What glue is holding your e-resources together?

Implementing our ERM • Decided to follow principles prescribed in the re-engineered process for implementing new technology • Technology is an enabler and not a process by itself • Preliminary group of staff - overview • Processing of Electronic Resources Workgroup • Representation from different business units: – – – – Information Resources (IR) Developer: Electronic Resources Procurement IR Describing Library Technology Services Personal Librarians and Branch Librarians IR Developer: Electronic Reserves Staff representing various other processes as required: client training, marketing, etc. • First objective: What impact do we envisage the ERM module will have on the processes in the library • Holistic, collaborative approach to get buy-in and ideas

Surface all the hidden issues – ears of the hippo! • Ensure that all stakeholders are involved • Identify issues that need more in-depth discussion • Talk about the little things • Small issues may hide something bigger • Listen to subtleties • Get buy-in & sensitize staff to new technology

Processing of Electronic Resources Workgroup • Reach a common understanding of the ERM • Establish a formal communication avenue about eresources - lacking in the previous structure; • Create an environment in which staff can reach a understanding of the inter-relatedness in the flow of eresources through the library; • Allow each staff member to see how their process flow into the next – the output of one is the input of another; • Allow for discussions between business units & teams about boundaries between processes • Take decisions on issues surfaced during the discussion • Bottom line: a new world opened from some staff

What should the ERM achieve: • Streamlined workflow across business units using best practice principles; • Create a complete paperless record of each electronic resource entering the workflow; • Provide one entry point to retrieve all required documentation of each resource: – Electronic copies of motivated order forms, consortium offer received, access notification, license agreement, due diligence documentation, etc. • Enhance the availability of the e-resources for all Unisa clients; • Transparent and accessible – no need to navigate the system for people to find information; • E-resource Librarian should be on holiday without anybody knowing!

Decisions taken • One vs two record approach for e-resources • Source of the MARC record • What resources to include in the ERM – – – • • all publishers agreements, aggregators, individual database titles all e-resources with a licence agreement all e-journals ordered individually with a licence e-book vendors from which e-books are purchased All resources on trial At what point should a resource be entered in ERM? ERM field guide document - track decisions Subject headings - free vs LCSH Display of resources in Web OPAC

The Unisa ERM workflow • Used the Digital Library Federation’s Electronic Resources Management Initiative workflow • Plot the process an e-resource follows through the Unisa Library • Created our own workflow document • Our workflow document contains the following: – – – Workflow Records and fields used or required in ERM Responsible staff or role for specific process Process description or process number from re-engineering list Required documentation eg procedures, checklists Separate section for South African national consortium agreements • Our workflow is 16 pages long • Documents kept on the Library Infoweb

Workflow example

Primary responsibility Pre-activation workflow Users of final output

From process and role documents to the ERM Examples

Process: Selection of Information Resources IR Developer: Electronic Resources • What (activities) : • Receive request from Customer Relations Manager (concept, need, actual information source) • Determine “need” from scanning inputs • Receive donation opportunity from Donor Relations Developer • Receive request for new/changed agreements • Evaluate the viability of requirement / donation / request for Information • existing agreements • fits philosophy • budget • resourcing, timing considered • licensing • copyright • housing • Obtain approval for need / concept / resource • Prioritise and set delivery date for need / concept / resource

Resource record

Process: Selection of Information Resources IR Developer: Electronic Resources • • Outputs Selected information sources: content, format, time Rejected information sources Project / development plans / concepts: – – permanent result investigation one-off course related links • Approved electronic request Procurement (Bibliographic record) • Communicate decision Customer Services • Consortium / Consortia • Selection status (for future planning in structuring housing) • Housing decisions (collections – Archive – absorb

Resource record

Role: IR Developer: Electronic Resources Output details, quality requirements • Output: – Rejection of selection request • Quality requirements: – 8. 1 Timeously – 8. 2 Well substantiated and documented reasons for rejection – 8. 3 Communication of rejection includes an introductory paragraph positioning the reasons for the rejection Customer Services • Sources of feedback – Customer Services (Personal Librarians) – IR Distribution (Search Librarians)

Resource record

Process: Manage supplier contracts IR Procurement: Procurement Specialist Contracts Management • • • • Inputs Vendor performance database Selected information sources + price structures Volumes Consortia (other purchasers) Deadlines Budgets Existing contracts / agreements Requests to cancel contracts / agreements Declaration of interests Price lists Existing subscription list Vendor selection criteria Supplier correspondence

Process: Manage supplier contracts IR Procurement: Procurement Specialist Contracts Management • • • Outputs Contracts / agreements Minuted outcomes of negotiations Subscription list (with prices) (updated) Central contract repository (maintained) Managed relationships with suppliers, Asset Managers and Consortia partners • Process performance information (system) • Advice, guidance and support for procurement staff • • Controls Service level agreements Procurement standards Use of legal opinion / expertise Authorised passwords / password protection Integrated Library System Access to contracts

Licence record

Licence record

Process: Manage supplier contracts IR Procurement: Procurement Specialist Contracts Management • • Technology: Workflow (dependent on volumes and number of people) Word processing software Possibly Web Browser enabled Standard network structures Integrated Library System - Serials module for subscriptions Acquisitions module for monographs • What (activities) • a) Formalise new / changed supplier contracts • Identify suppliers whom we can benefit from new / changed contractual relationships • vendor selection criteria (including value added services) • spending pattern • good / particular match supplier and Asset Management needs • pilot experimental performance feedback

Process: Manage supplier contracts IR Procurement: Procurement Specialist Contracts Management • MANAGEMENT CONTROL SYSTEM How do we know if this process is out of control? • Absence of contracts / agreements for Information Source Suppliers who we have used • Continued poor performance on part of suppliers • Continued high level of dissatisfaction on part of Information managers (Asset Managers) • Litigation (level / volume) • Persistent supplier dissatisfaction with our relationship management

Resource record

Future issues that may ripple • Keep track of new development that may impact on processes • Competencies required may change • Usage statistics: – SUSHI – New procedure, not a new process • Licence mapping – Not a new process – Higher level of technical competencies needed

Can we offer any advice? • • • Assign ownership of the ERMS Entrench the idea of ownership of processes Discuss and implement holistically & collaboratively (silo’s!) Determine best practice in each affected process Don’t be afraid to re-look & reconsider fundamental decisions Document decisions Use tools provided, eg. DLF ERM Workflow Flowchart Choose an ERMS that follows standards Choose an ERMS from a vendor that develops the product If you structure is process-based, new technology would not necessarily enforce structural changes Ownership of technology is NOT with the IT unit Don’t underestimate the rewards of discuss, discuss – it leads to buy-in and ownership

If you don’t, you may find…. .

Conclusion • Adapting the organization to the ERM environment? • NO • In a processed based structure, adapting the ERM is the answer to implementing new technology • By using the experiences gained from our re-engineering our Electronic Resource Management System will enable us to achieve what we set out to do: • integrated collaborative management of our electronic resources

Thank you! Dorette Snyman Information Resources Developer: Electronic Resources Unisa Library snymad@unisa. ac. za