[4] Financial implications,
[3] Resources,
[1] Policies and
[2] Workflow
Monica Hammes
CHELSA Stakeholder Workshop, 5 November 2007
Policies and underlying assumptions
•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
There are very many options choose the ones best suited to
your organisation’s culture
and your resources
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
Policy framework (1)
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, organization
Digitization of old TDs
Authentication and certification
Copyright and IP exploitation
Access
OA
Restrictions and embargoes
Policy framework (2)
Standards
Submission policy
Quality control policy
Metadata
Harvesting
NETD participation
Preservation
Fees payable
Priorities
Roles and responsibilities
Policy framework (3)
Policy Making Group
Decision making w.r.t. standards, services,
functionality
Library director
IT director
DVC for Research
Archives, Printing office
Postgraduate office
Policy examples
Copyright belongs to UP
UP Yearbook 2007
Policy examples
Content
All doctoral theses and research masters dissertations
should be submitted
Other (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
interim
Length 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
Definition– definition
Workflow
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 design:
elements
1 (1)
Workflow
– design
elements
Task
What 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
Role
The 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
2 (2)
Workflow
– design
elements
Trigger
The event which alerts you to the incoming task
thesis approved by examining body
Information
Necessary to complete the task
institution’s rules (practical interpretation of policy) and
standards, guidelines for doing the task
Workflow analysis:
Workflow
– designelements
elements3(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
Condition
The status of the etd after the task was performed
PDF document with good navigation complying with the
standards of the organization
Workflow analysis:
Workflow
– designelements
elements4(4)
Route
The 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 Agreement
Agreed upon standards and time frames
etds are processed according to a priority system
Message
To be distributed after completing the task
no messages
Workflow for UPeTD submission 2007
Supervisor
approves
Student
converts
Fac Admin
approve
PDF
Deliver bound
copies and CDs
to UPeTD office
Student
self-submits
M
M
Upload and
compile
metadata
Acknowledge &
Quality control
M
PDF+ Metadata
WWW
WorldCat
Check,
acknowledge,
sort
UPeTD
Server
SACat
Library
Catalogue
Archive
Publish
CD
New policy on restricted theses: record of metadata only –
bound copy and CD stored off-line in a safe location for 2 years
Three good–reasons
take Workflow seriously
Workflow
take itto
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.
More about service level agreements
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
Automating Workflow
Automated
workflow(cont)
An automated workflow system should
facilitate the process in the following ways
Notify a participant that work is at hand (eg by email)
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 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
Resources (1)
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 (2)
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
Managing important interfaces
 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
Where to position your ETD operation
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
Resources (3)
IT infrastructure
Hardware
Server with associated storage space (6-8 Mb/TD)
Trend: campus shared services, storage and
backup
Software
IR software, eg DSpace, Eprints (open source),
Manikin and other enhancements
Adobe or similar open source software (Cute PDF)
for pdf conversion
Archiving solution
Financial implications
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
Thanks to Irene, Charl, Wouter and Wynand…
and to you!
[email protected]
Processes skills and positioning
Admin
Records
Acquisitions
Document
preparation
IR management
Secretarial: PDF,
navigation etc
IT and
management
Quality control
Students,
departments, Libr
IT, Cataloguing,
librarians, ETD dept
ETD dept, Cat dept
Cataloguing
Cat Dept
Client (internal
and external)
support
Front line, ETD dept
23
Mandatory submission makes sense (10)
UPeTD Collection Growth
400
300
200
100
0
2003
2004
2005
2006
2007
M
37
172
315
273
207
D
17
113
143
213
24
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
Maak dit sin?
Task
Submit etd online
Role
Author
Trigger
PDF completed
Added value
Metadata
Condition
PDF files uploaded and
metadata added
Information
UPeTD standards,
Submission instructions
Task
Quality control
Route
Cross border
to UPeTD
Admin
Rules
UPeTD to do
quality
control
Messages
Role
Quality controller
Trigger
Visible in admin system
Added value
UPeTD standards met
Condition
PDF+
Interaction
With students and
supervisors
Route
Back to
student for
corrections
or go to
Approval
Rules
Student to
do corrections if
necessary
Messages
Correction
messages
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 portal
http://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
Descargar

Document