4 Financial implications 3 Resources 1 Policies and

[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 Workflow – 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 – design elements Workflow design: elements 1 (1) 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 Workflow design: elements 2 (2) 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 – design elements Workflow analysis: elements 3(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 – design elements Workflow analysis: elements 4(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 UPe. TD submission 2007 Supervisor approves Student converts Fac Admin approve PDF Deliver bound copies and CDs to UPe. TD office Student self-submits M M Upload and compile metadata Acknowledge & Quality control M PDF+ Metadata WWW World. Cat Check, acknowledge, sort UPe. TD 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 to take Workflow seriously Workflow – take it 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 Power. Edge 2950, 4 Gb RAM, 3 X 500 Gb hard drive, R 39000 / or R 15000 §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! monica. hammes@up. ac. za

Processes skills and positioning Admin Records Acquisitions Document preparation Secretarial: Students, PDF, navigation departments, Libr etc IR management IT and management Quality control IT, Cataloguing, librarians, ETD dept, Cat dept Cataloguing Cat Dept Client (internal and external) support Front line, ETD dept

23 Mandatory submission makes sense (10) 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 UPe. TD Office • UPe. TD 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 UPe. TD standards, Submission instructions Task Quality control Route Cross border to UPe. TD Admin Rules UPe. TD to do quality control Messages Role Quality controller Trigger Visible in admin system Added value UPe. TD 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