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[4] Financial implications, [3] Resources, [1] Policies and [2] Workflow
Monica Hammes
CHELSA Stakeholder Workshop, 5 November 2007
There are very many options - choose the ones best suited to
your organisation’s culture and your resources
•have long term implications
will determine processes, workflow, resource needs, sustainability and costs
are university wide issues
need to be discussed and [at least] agreed upon before you start
Policies and underlying assumptions
Our universities do postgraduate work that is worthy of global exposure because it contributes to global knowledge
The university is both an information consumer and information producer
We take responsibility for dissemination of this new knowledge
The library plays a pivotal role in the scholarship chain and is therefore a logical participant
Goal is to provide a service of high quality at an affordable price ROI
Assumptions
Policy is a governance mechanism: you need a small but enabling policy framework, well aligned with other university policies and revised from time to time
Compulsory/voluntary submission (implications)
Content: what to include/exclude, organizationDigitization of old TDsAuthentication and certification
Copyright and IP exploitation
Access OARestrictions and embargoes
Policy framework (1)
Standards
Submission policy
Quality control policy
Metadata
Harvesting
NETD participation
Preservation
Fees payable
Priorities
Roles and responsibilities
Policy framework (2)
Policy Making Group
Decision making w.r.t. standards, services, functionality
Library director
IT director
DVC for Research
Archives, Printing office
Postgraduate office
Policy framework (3)
Copyright belongs to UP
UP Yearbook 2007
Policy examples
Content
All doctoral theses and research masters dissertations should be submittedOther (limited) dissertations will only be included at direct request of the department
Policy examples
Submission mandate
UP Yearbook 2007
Policy examples
Restrictions and embargoes
Supervisors and students may request that a t/d be withheld/restricted for some time on account of one of the following
Confidentiality due to sensitive information (political, national security, prescriptions of a funder of the research)The supervisor and/or student are negotiating with publishers and/or patent organizations and do not want the content to be in the open during this interimLength of period currently under discussion
Policy examples
Access
This is an OA repository with two access options: - OA to the entire international community - Access restricted to the UP campus
All restricted/embargoed theses/dissertations are stored off-line until the embargo period has expired
”Mixed” ETDs regarded as restricted
Policy examples
Definition
Workflow is the representation of a “predictable” and (at least somewhat) structured business process
during which tasks, documents and information
are passed from one participant to another for action
according to a set of procedural rules
in order to meet a specific objective
within a specific time frame.
Part or all of it may be automated.
Workflow – definition
Workflow design: elements 1
TaskWhat needs to be done at this stage of the process
write thesis, convert documents to PDF, submit thesis, do quality control, secure documents, approve submitted thesis
RoleThe set of knowledge/skills/responsibilities which is needed to perform and complete the task
familiarity with PDF conversion software, knowledge of the linking capabilities, awareness of the institution’s rules, could be the responsibility of either the author (student) or someone in the etd office or an outside person who will be paid by the student
Workflow – design elements (1)
Workflow design: elements 2
TriggerThe event which alerts you to the incoming task
thesis approved by examining body
InformationNecessary to complete the task
institution’s rules (practical interpretation of policy) and standards, guidelines for doing the task
Workflow – design elements (2)
Workflow analysis: elements 3
Added Value The positive change that was brought about by performing the task and which is the actual reason for doing the task
readability, navigation, dependable format for archiving
ConditionThe status of the etd after the task was performed
PDF document with good navigation complying with the standards of the organization
Workflow – design elements (3)
Workflow analysis: elements 4
RouteThe direction of the flow and the “vehicle”
after completion it will be submitted either online to the etd system and/or on a disk to the faculty’s post-grad office
Service Level AgreementAgreed upon standards and time frames
etds are processed according to a priority system
Workflow – design elements (4)
MessageTo be distributed after completing the task
no messages
Archive
CD
Workflow for UPeTD submission 2007
M
Check, acknowledge, sort
Upload and compile
metadata
Fac Admin
approve Supervisor
approves
Student
self-submits
UPeTDServer
Publish
Studentconverts PDF
WWW Metadata
Acknowledge &Quality controlM
PDF+
M
Library Catalogue
SACatWorldCat
New policy on restricted theses: record of metadata only – bound copy and CD stored off-line in a safe location for 2 years
Deliver bound copies and CDs to UPeTD office
Three good reasons to take Workflow seriously
1. Resource constraints will necessitate a high level of efficiency.
2. Uneven inflow (typical of TDs) needs to be balanced with service level agreements for smooth output and priority demands.
3. Design workflow in co-operation with other role players – try to make it part of a bigger flow.
4. Work towards automated workflow as far as possible.
5. Work towards simplicity and the shortest routes.
Workflow – take it seriously
Service level agreements are formal or informal ‘contracts’ describing the expectations between parties and the way in which these will be fulfilled
what service will be rendered
what will it cost
when (how soon) will it be done
how will you be informed
how will a breakdown in service be corrected
More about service level agreements
Automating Workflow (cont)
An automated workflow system should facilitate the process in the following ways
Notify a participant that work is at hand (eg by e-mail)
Provide the user with the proper tools to do the work
Provide the tool with the necessary information already flowing
Allow the participant to see where his task fits in
Alert the participant to incomplete tasks
Automated workflow
Automated workflow built into the ETD-db system helps the student to complete the submission task in the correct order and with the necessary tools and information available.
ETD admin staff are alerted to the appearance of newly submitted etds as well as messages from students
Functionality for quality control an approval is available on the system.
When the etd is approved a message will be sent to the student, the supervisor and all other role players
Human resources
Administration: records management, interfacing with other role players
Secretarial: document conversion, submission
Management: planning, resourcing, lobbying, quality control, interfacing with other role players
Metadata creation
Client service: workshops, training, support, marketing, end user support
Resources (1)
Human resources
IT: system configuration, installation of upgradings, programming, system improvement, problem solving, maintenance, etc.
Depending on university policy this may be the responsibility of the University’s IT Department.
Without the necessary expertise on campus remote hosting should be considered.
Good general IT awareness necessary
Resources (2)
DVC for Research and Postgraduate Studies
Research Office of the University
Supervisors
Faculty Offices for Postgraduate Studies
University Dept IT Support
University Legal/Registrar’s Office
Other library staff
Printing office
Users from all over the world
International etd community
Managing important interfaces
Separate ETD Office
Part of Open Scholarship/Knowledge Management Office
Part of IR Office
Part if Library IT
Part of Technical Services (Cataloguing)
What skills and capacity is already available
Where to position your ETD operation
IT infrastructure
HardwareServer with associated storage space (6-8 Mb/TD)Trend: campus shared services, storage and backup
SoftwareIR software, eg DSpace, Eprints (open source), Manikin and other enhancements
Adobe or similar open source software (Cute PDF) for pdf conversion
Archiving solution
Resources (3)
Startup costs
Hardware for IR: Dell PowerEdge 2950, 4Gb RAM, 3X500 Gb hard drive, R39000 / or R15000
Scanner(s)
IT HR costs
Financial implications
Running costs
Human resources: 2 FTEs, e.g.UP (500+ TDs/year): 1 FT clerical assistant, 1/4 manager, 1/10 IT, theses upgrading outsourced
Office space and operational costs
Marketing
IT ongoing maintenance, upgrading, backups etc, 5 year replacement
Financial implications
Processes skills and positioning
Admin Records Acquisitions
Document preparation
Secretarial: PDF, navigation etc
Students, departments, Libr
IR management IT and management
IT, Cataloguing, librarians, ETD dept
Quality control ETD dept, Cat dept
Cataloguing Cat Dept
Client (internal and external) support
Front line, ETD dept
Mandatory submission makes sense (10)
23
UPeTD Collection Growth
0
100
200
300
400
M 37 172 315 273 207
D 17 113 143 213 24
2003 2004 2005 2006 2007
Total 1514
Workflow: successful examination completed, necessary changes made (2)
Supervisor signs off the T/D with necessary documentation, declarations and permissions
• Student submits paper and electronic copies to faculty’s postgraduate office [PGO] and pays submission fee
• PGO sends T/Ds with graduation programme, forms and receipts to UPeTD Office
• UPeTD adminstrator checks submission, creates record in admin system, deals with embargoed T/Ds, sends paper copies to cataloguers with documentation
Example
Task
Submit etd online
RoleAuthor
TriggerPDF completed
Added valueMetadata
ConditionPDF files uploaded and metadata added
InformationUPeTD standards, Submission instructions
TaskQuality control
RoleQuality controller
TriggerVisible in admin system
Added valueUPeTD standards met
ConditionPDF+
InteractionWith students and supervisors
RouteCross border to UPeTD Admin
RulesUPeTD to do quality control
Messages
RouteBack to student for corrections or go to Approval
RulesStudent to do correct-ions if necessary
MessagesCorrection messages
Maak dit sin?
Sources
1. Attinger, ML 1996, ‘Workflow: a terminology primer’ Records Management Quarterly,vol. 30, issue 3,pp 3-7, viewed 1 Oct 2003, Business Source Premier: EBSCOhost.
2. Brunwin, V 1994, ‘A Survivor's Guide to Workflow’ Management Development Review, vol. 7, no.4, pp. 27-29, viewed 1 Oct 2003, Emerald.
3. Muller, U 2003, ‘A workflow model for digital theses and dissertations’ delivered at Next steps – electronic theses and dissertations worldwide, Berlin.
4. The workflow portalhttp://www.e-workflow.org/
Key benefits of Workflow
•Improved efficiency
•Aligning of resources
•Correct level of staffing
•Managing work complexity
•Accelerate and facilitate collaboration
•Leverage knowledge across organisation
Key benefits of Workflow (cont)
•Improved customer service
•Flexibility for redesign in line with changing business needs
•A tool for diagnosing problems and for business process improvement: streamlining and simplification and the elimination of cumbersome, wasteful processes
•Useful to influence the process and policy
Final hints
•Work towards error prevention and not error correction
•Manage the borders with good service level agreements and high levels of trust
•Define roles well
•Articulate policy well, translate it into simple rules and make it available to everyone
•Revise often