Circulation Services in a Small Academic Library (The Greenwood Library Management Collection)

CIRCULATION SERVICES IN A SMALL ACADEMIC LIBRARY

Recent Titles in The Greenwood Library Management Collection Strategic Marketing for Libraries: A Handbook Elizabeth J. Wood, with assistancefromVictoria L. Young The Smaller Academic Library: A Management Handbook Gerard B. McCabe, editor Operations Handbook for the Small Academic Library Gerard B. McCabe, editor Data Bases for Special Libraries: A Strategic Guide to Information Management Lynda W. Moulton Time Management Handbook for Librarians /. Wesley Cochran Academic Libraries in Urban and Metropolitan Areas: A Management Handbook Gerard B. McCabe, editor Managing Institutional Archives: Foundational Principles and Practices Richard J. Cox Automated Information Retrieval in Libraries Vicki Anders

Circulation Services in a Small Academic Library Connie Battaile

THE GREENWOOD LIBRARY MANAGEMENT COLLECTION

GREENWOOD PRESS Westport, Connecticut • London

Library of Congress Cataloging-in-Publication Data Battaile, Connie. Circulation services in a small academic library / Connie Battaile. p. cm.—(The Greenwood library management collection, ISSN 0894-2986) Includes bibliographical references and index. ISBN 0-313-28126-2 (alk. paper) 1. Libraries, University and college—Circulation, loans. 2. Small libraries—Circulation, loans. I. Title. II. Series. Z675.U5B333 1992 025.6—dc20 91-42733 British Library Cataloguing in Publication Data is available. Copyright © 1992 by Connie Battaile Allrightsreserved. No portion of this book may be reproduced, by any process or technique, without the express written consent of the publisher. Library of Congress Catalog Card Number: 91-42733 ISBN: 0-313-28126-2 ISSN: 0894-2986 First published in 1992 Greenwood Press, 88 Post Road West, Westport, CT 06881 An imprint of Greenwood Publishing Group, Inc. Printed in the United States of America

The paper used in this book complies with the Permanent Paper Standard issued by the National Information Standards Organization (Z39.48-1984). P In order to keep this title in print and available to the academic community, this edition was produced using digital reprint technology in a relatively short print run. This would not have been attainable using traditional methods. Although the cover has been changed from its original appearance, the text remains the same and all materials and methods used still conform to the highest book-making standards.

Contents Preface

vii

Introduction

ix

PART I: THE CIRCULATION DEPARTMENT HEAD

1

1. Skills Needed

3

2. Getting Started

13

PART E: THE CIRCULATION PROCESS

19

3. Circulation Policies

21

4. Circulation Record-Keeping Systems

33

5. The Circulation Cycle

37

6. Automating Circulation

59

PART III: OTHER CIRCULATION DEPARTMENT FUNCTIONS

69

7. Reserves

71

8. Circulating Noncirculating Books and Nonbook Materials

93

9. Additional Department Responsibilities 10. Special Projects

101 117

VI

Contents

PART IV: THINGS

137

11. Books

139

12. Stacks

145

13. Department Arrangement

153

PART V: PEOPLE

159

14. Staff

161

15. Communications

191

Selected Bibliography

203

Index

207

Preface Five years ago I was hired at a college library to be a half-time reference librarian and half-time head of circulation. While I had significant reference experience, I had only minimal experience with circulation. For that half of the job I needed guidance, advice, and shoptalk about circulation concerns, but found none. This seemed odd; don't most libraries have circulation departments? Yet I could find neither organization nor library school nor book to which to turn for assistance. In the years since then I have learned much, some of it the hard way, and much of it through the kindness of the circulation staff. We have worked together to change every aspect of the circulation department functioning, have gone through barcoding, and have brought up an automated circulation system. We have visited other libraries to learn from them and have gleaned ideas from others at meetings and conferences. This book is a result of those learnings. It is written in the hope that it may help another neophyte circulation librarian understand the underlying concerns of circulation functions, and to provide some specific examples of how those functions can be handled. It is not written to tell the way to run a circulation department. Rather it is an illustration of possibilities. My hope is that as other circulation librarians read this and find that they have devised other and better solutions, they will be encouraged to share their methods. We have much to learn from each other as we deal with the complex—and often unseen—functions of circulation. I also hope that as others read the book and have suggestions or note frustrating gaps, they will drop me a note. While I do not anticipate preparing a new edition, I

viii

Preface

would be glad to pass such suggestions on to other authors who are moved to write about circulation. To the circulation staff members through these years I am especially indebted. Those who think of libraries as static places can't appreciate the amount of change we have gone through. We also share the satisfaction of a job well done and the pleasure of each other's company. To all of them, Judy DeMuro, John Brennan, Marty Glenar, Marge Soderberg, Betsey Rider, Polly Hedblom, Susan Naef, Ann Ackerson, and Sandra Pohlman, a special thanks. Thanks, too, to Joseph Chmurra for his earlier work in the department, Melissa McAfee for consciousness-raising on preservation concerns, Merle Von Wettberg for consciousness-raising on emergency plans, and Judy Green for the idea of evacuation slips. Several people have been of special help in the actual production of the book. Judy DeMuro, circulation department coordinator, is one of those rare persons who can do a dozen things at once, do them all well, and remain calm and unruffled through it all. Her practical input as we worked to improve the circulation processes has always been a boon. In addition, she has read the entire manuscript and made welcome comments and suggestions. Sheryl Hood has been not only a patient friend and a wonderful canoeing buddy, but is an excellent informal editor. I am greatly indebted to her for advice on all aspects of the book and for her rescue mission as the deadline neared. Mary Sellen's careful and detailed review resulted in significant improvements of the manuscript. Margaret Hopkins has encouraged and assisted in a number of ways; I count myself fortunate to have her as both mother and friend. And finally, Julian Battaile not only gave specific advice but has been a constant support throughout the years. To all of these, I extend my deep appreciation.

Introduction Circulation is defined by Webster's Ninth New Collegiate Dictionary as "orderly movement through a circuit." In a library, circulation, the orderly movement through a circuit, applies to the process of lending books to borrowers and then accurately reshelving them after they have been returned so that they will be retrievable by the next user. This basic cycle has attached to it many elaborations such as the record-keeping process and subcycles such as those for overdues and holds. These subcycles vary from library to library, but the basic cycle remains the same in every library that allows patrons to remove books. THE CIRCULATION DEPARTMENT The circulation department in a library is the department assigned the responsibility for keeping that "orderly movement through a circuit" orderly, flowing, and complete. The department's basic function is to facilitate and monitor the circulation of books from the regular collection. In addition, the department is usually responsible for circulating some books from other collections and for circulating nonbook materials. The reserve book operation, in which books are circulated from a closed collection for limited time periods, is also often assigned to the circulation department. The circulation department is frequently given other duties in addition to those related to the circulation of books. Because it is the main public contact point in the library and because it is usually staffed during the

X

Introduction

hours that the library is open, many "housekeeping" chores are assigned to it. These additional responsibilities vary from library to library, but in addition to providing general library information to patrons, may include opening and closing the library, serving as the central library telephone switchboard, supervising photocopy services, providing room and carrel reservations, and general responsibility for emergency responses. In addition to these ongoing responsibilities, circulation departments sometimes undertake special projects, most commonly shifting all or a portion of the collection. Another major, if infrequent, project is bringing up an automated circulation system. All of the functions of the department are carried out by the department staff using established procedures. Because the staff usually includes a number of persons, some of them working schedules that overlap little if at all with other staff members, and because there is much information to convey to each other as well as to others outside the staff, communications, both written and verbal, are extraordinarily important. The overall responsibility for the functioning of the department rests with the department head. ORGANIZATION OF THE BOOK This book is written for new circulation department heads, and so begins with a discussion of the department head's responsibilities, though the discussion presupposes some understanding of the processes that are described in the rest of the book. Parts I and II, the bulk of the book, discuss the functions and processes of the circulation department. These include the circulation of books from the regular collection, the circulation of books from special collections, the circulation of other kinds of materials, and the reserve book operation. Additional, noncirculation functions are also discussed in Part III, as are special departmental projects. Part IV covers the physical environment with which and in which the circulation department operates, including books, stacks, and the department itself. The final section, Part V, is a discussion of the most fundamental part of departmental operations, the staff and its communication. None of the functions of the department can occur without the staff and effective communication. Since interlibrary loan is, in academic libraries, more often assigned to the reference department or is given its own separate department, it is not covered in great detail.

PARTI

The Circulation Department Head

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1 Skills Needed The person serving as head of circulation is responsible for assuring that all the various responsibilities assigned to the department are carried out. A great deal of the operation of the department is highly routinized. Keeping those day-to-day routines going is of utmost importance. Coupled with the supervisory skill needed for doing this is the need for an entirely different set of skills in order to carry out the other functions of the position. These skills are those of problem solver, communicator, organizer, systems analyst, planner, budgeter, purchasing agent, andevaluator. The Chicago Area Library Council Circulation Subcommittee (1988:101) described it somewhat differently. They said, "In summary, a circulation librarian is manager, supervisor, leader, promoter, personnel office, troubleshooter, psychologist, politician, peacemaker, and professional who must be conversant with all facts of the library." Perhaps the most useful attribute for the head of a circulation department is a recognition that people, both patrons and staff, matter most. Circulation is a service department, and every person in it needs to operate with that basic understanding. PROBLEM SOLVING Problem solving provides a useful approach for dealing with an array of concerns, ranging from staff problems to planning for space needs. Other approaches are possible, of course. For example, when confronted by a personnel problem it is possible to blame or analyze or ignore or work

4

The Circulation Department Head

around the problem. A more useful approach, however, is to include the person with the problem behavior in the discussion. State the problem as, "We have a problem in t h a t . . . and I wondered if we could come up with some ideas for solving it." Select the approach that seems to both parties to be the most effective way of solving the problem and follow up to see that it is working. Redo the process if it is not. When dealing with a general departmental problem, it is useful to discuss the problem with the staff and then do some brainstorming to find possible solutions. Once an approach has been selected, it is necessary to make clear who has responsibility for implementing it. Follow-up is important, also, such as checking at the next staff meeting to see whether the solution is working or needs to be modified. A do-it-now approach is also useful. Problems at circulation come so quickly that those not dealt with expeditiously tend to get lost in the shuffle, only to reappear later in a more troublesome form. Both staff morale and staff efficiency are improved, too, if problems are dealt with rather than ignored or put off. SUPERVISING Supervising involves careful attention to and direction of the activities of the department. The style used by the department head will be unique to that individual, but as a general rule frequent light guidance is more effective than less frequent but major pushes. Not many persons have the full complement of skills needed to run a circulation department. One way to improve departmental functioning is to have a second-in-command who has some of the skills that the department head does not have. If the department head is good at finding creative solutions to problems and at communicating, but is less effective at keeping routines functioning, then a second-in-command who is gifted at keeping the day-to-day operations going and who can keep the staff happy and productive is a boon. The routines have to function, and they tend to fall apart without considerable daily watchfulness, tending, patting, and encouragement. COMMUNICATING While most communications concerns are discussed in the later chapter on communications, the head of circulation is responsible for personally providing certain reports and other communications, both written and oral. Monthly reports can be facilitated by keeping a personal log at hand and

Skills Needed

5

jotting down, in a few words, the problems dealt with each day. A review of the log at the end of the month can be enlightening, and it offers reassurance that the vanished month has been spent usefully. In addition to institutionally required communications, a number of problems will arise that require a personal response, often written. The library administration should be asked whether there is a library policy requiring review of memos and letters before they leave the library.

PLANNING Planning is implicit in much that the circulation department head does, though it is made most explicit in the process of establishing goals. Goals should follow logically from the overall purpose or mission of the department. Often the mission is considered so self-evident that it is not stated, though it may be a useful exercise to do so. Such a statement might read something like this: The primary function of the circulation department is to maximize the availability of library books to those who need them by • establishing and following effective and efficient procedures that implement the library's circulation policies; • providing competent, accurate, and courteous service to patrons and other staff members; • reshelving books quickly and accurately; and • maintaining order in the stacks. The department will also perform such other tasks as are assigned to it. Goals need to be challenging enough to provide a sense of accomplishment when achieved, but not so daunting that there is no hope of achieving them. All members of the department staff need to be involved in setting the department goals. Some sample goals are as follows: • Backshift the A's and spread out the B's to make room forthe sudden growth intheB's. • Find a better way to honor student workers at the end of the year. • Hire and train a part-time person to help with shelving at the end of the semester.

The Circulation Department Head

6

• Decrease the average time it takes to check out a book from x minutes to y minutes by improving the training of circulation workers and by more efficient arrangement of the desk. • Research and prepare a report on the feasibility of compact shelving for housing a portion of the collection. Note that some of these goals involve the department head more than others, and some goals may involve only the department head. It is, however, useful to have the entire department staff aware of all of the goals so that they will understand some of the demands made on the time of the department head. After the goals have been tentatively set by the department as a whole, they will then be considered along with the other library departments' goals before being finally adopted. It may be, for instance, that the library as a whole must choose between remodeling some offices or adding some compact shelving or buying a major microform set. The circulation department head is responsible, as is each department head, for presenting the departmental needs as clearly as possible so that the library as a whole can make wise choices with an understanding of the implications of those choices for the long run. Setting Priorities To some extent priorities are established when the goals are established, but on a finer level, at the day-to-day end of operations, there will be a repeated need to establish priorities for the department. The department staff will have a good sense of what the immediate needs are. The department head's special function is to make sure that broader- and longer-range considerations are communicated to the staff. For example, the department head may be aware that a symposium on photography is going to be held on campus over the weekend, so some student workers may be sent to straighten the photography books instead of shelf-reading the reserve collection. BUDGETING AND PURCHASING One of the major responsibilities of the department head is to see that both the staffing needs and the physical needs of the department are met as completely as possible. This involves preparing a budget based upon the priorities and goals that have been established, and then hiring the persons and purchasing (or scrounging) the items needed.

Skills Needed

7

Budgeting In addition to the priorities established through the goals, a useful guide for budgeting will be the present and previous years' budgets. The staff will have suggestions, also, as will the department head's supervisor, but the department head's own forethought will be needed. All budgets involve some fuzzy gazing into the future since the process usually begins at least six months before the budget year begins. This is, dismayingly, eighteen months before the budget year will end. Given the pace of change in libraries, that means that there will undoubtedly be unforeseen needs before the end of the budget year. A contingency fund of up to 10 percent of the budget is one way to cope with those unforeseen needs. The first budget a new department head prepares will be a wilder guesstimate than most because the budget will have to be prepared before the new head has been through a full year's cycle, and before it is clear what changes are needed and what the financial implications of those changes will be. This is an especially important time to talk over the budget with the department head's supervisor before preparing the final document. Looking at staffing patterns and needs for the coming year is part of the budget process. Since circulation department staffing needs vary through the term, the department head may wish to request money for temporary help for the four weeks or so at the end of each term to help with the rush of desk work and shelving. It may be that some regular staff could be eliminated if temporary help were available when needed, or that services could be improved markedly at the end of the semester with a comparatively small addition to the budget for temporary help. The department head needs to check with the library administration about who is responsible for budgeting for repairs of equipment that the circulation department is responsible for, such as security gates, charge machines, photocopiers, and typewriters. Maintenance agreements may cover some items. Somebody in the library, probably the secretary, will know which items are covered. There may be other items that should be covered. If, for example, a piece of complex equipment has been around for several years, it may be appropriate to discuss with the library administration the possibility of getting a maintenance agreement on it. Once a departmental budget has been prepared and submitted, the library administration incorporates it, either in its original form or in a modified form, with the library's budget and submits it to the college. The college may provide all or only a portion of the requested library funding. The library administration then divides its allocation up among the library departments, based upon their submitted budgets. If the library budget was

8

The Circulation Department Head

not funded in full, then some departments will not receive their full requests. If the circulation department is funded at significantly less than the requested amount, then the department head is responsible for making it clear to both the library administration and the circulation department what the implications of the shortfall are. Some brainstorming to find alternative ways of dealing with foreseen problems may be in order. After the budget has been authorized, it is useful to keep track of actual expenditures. The simplest method is to enter all the order information for each item on a yellow pad: date, catalog, page, item number, quantity, item, color, and cost. Going back later to check on an ordered item involves scanning through the list, but that isn't an impossible job, and it is useful to be able to find information such as which catalog an item had been ordered from the previous time. Form samples can be kept in a binder, with a copy of each form stapled to a page. On the page record each date the form is ordered, from which source, how many, and the quantity on hand at the end of the year. It may also be useful to note where each form is stored. Designate a member of the department staff to be responsible for keeping an eye on supplies and letting the department head know when items need to be ordered. This supplies clerk may also be responsible for an annual inventory, best done in the early part of the summer so that needed supplies and forms can be ordered and on hand for the start of the academic year. Purchasing The head of circulation is responsible for purchasing (usually by placing a purchase request with the designated person in the library administration) and maintaining an array of supplies, equipment, and services. Some useful sources of information are • catalogs from library suppliers. Since purchasing is usually done through a central office, these catalogs will probably not come automatically to the department. Instead, the companies will need to be called each year for new catalogs; most have 800 numbers; • manuals for the equipment on hand; • the library secretary; • the college purchasing agent; • the Library Journal Annual Buying Guide, The December issue of Library Journal has a section that lists all kinds of items of potential use to libraries and suppliers of each. In another section the suppliers are listed with their

Skills Needed

9

addresses. This issue frequently disappears; it would be useful to get a copy to keep in the circulation department. It can be obtained from Library Journalby following the instructions in the journal for ordering an individual issue; • Thomas Register ofManufacturers, though this is somehow not so useful as it seems it should be; • Library Technology Reports for comparative information on large-ticket items such as photocopiers and computerized circulation systems; • exhibits at library conventions. Go with a stack of business cards and hand one to any exhibitor with a product of interest. You then get on mailing lists, of course, and start building files of information. If you don't want to get on a mailing list, just pick up brochures and tuck those into the appropriate files; • 800 numbers for manufacturers and suppliers. They are there to answer questions; and • circulation colleagues at other similar institutions. Equipment Request a book truck. By all means request a book truck; that is the first law of circulation budgeting. Steel trucks with three flat shelves and five-inch wheels provide good performance and flexibility. A comparison of trucks with four-inch and five-inch wheels found that the trucks with five-inch wheels are much easier to maneuver over bumps such as elevator sills. Label each of the trucks "Circulation," give each a number, and keep an inventory list. Most circulation departments have discovered the usefulness of word processing on a computer. Which software and which hardware to use are questions probably long since settled. In addition to word processing software, circulation departments often find it useful to have a signmaking program, a spreadsheet program for statistical reports, and some kind of data base program. A flat file manager such as Nutshell can be used for some purposes, but for more complex data base manipulation, such as for handling overdues, a relational data base manager, such as dBase, is needed. Repair services are one type of purchase that the circulation department makes, and typically makes often. Since equipment may break down at night or on a weekend, the procedure for getting equipment repaired needs to be clear to all staff members, and a list of the numbers to call should be posted. If the repair is not covered by a maintenance agreement, it is appropriate to ask the firm doing the repair for a warranty on its repair

10

The Circulation Department Head

work so that the library is not paying again and again for repair of the same problem.

EVALUATING DEPARTMENTAL OPERATIONS The evaluation of overall departmental performance, as with the evaluation of individual job performance, can be done best if it is based on some stated expectations. For the department, the expectations will have been stated in terms of the mission statement and goals; the more specifically both have been stated, the more accurate the evaluation can be. If one of the goals is to provide good service, it is difficult to assess whether that has been met. If, however, one of the goals is to have 90 percent of the books requested available to the patron within two weeks, then it is possible to determine whether that goal has been met. In businesses, the evaluation of services is most often based on cost data. In most libraries, there is a concern about the cost of services, yet few collect figures and do analyses that could identify even basic costs such as how much it costs to check out a book to a patron. Thus, any work done to calculate an answer will usually be ground-breaking work. The literature on how to figure costs is actually quite extensive. See, for example, Cummins (1989); Gherman and Cochrane (1989); Rosenberg (1985); Nachlas and Pierce (1979); Mitchell, Tanis, and Jaffe (1978); and Ross and Brooks (1972). Both the Nachlas/Pierce and the Ross/Brooks articles were reprinted in Costing and the Economics of Library and Information Services, edited by Roberts (1984). However, despite the availability of guides on how to figure costs, few libraries have reported actual figures. An informal report from one library for the year 1986-87 showed a cost per item circulated of $0.76. This was broken down as Direct variable cost per item circulated (labor and benefits) Direct departmental cost allocation Library overhead allocation University overhead allocation Total

$0.42 .04 .21 .09 $0.76

For reserves the costs per item requested totaled $1.19. Shelving costs were $0.15 per item shelved. Because of variability in the way costs are reported, using cost figures to make comparisons between libraries would not be meaningful, even if the figures were available. However, cost figures over a period of years

Skills Needed

11

from the same library can be useful in making comparisons over time within the same department. The ultimate reason for calculating costs is, as with all forms of evaluation, to enable better decision making and more effective allocation of resources in order to best achieve the goals of the department. SUMMARY The multifaceted job of circulation department head requires an array of skills and knowledge, especially people skills and problem-solving skills. There are many satisfactions in being responsible for a well-run department in which both staff and procedures run smoothly and in which problems are dealt with creatively and with dispatch.

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2

Getting Started For anyone just beginning as circulation department head, the following guide may be useful during thefirstweek on the job. DETERMINING RESPONSIBILITIES Find out what the department head is responsible for. Make a checklist of every responsibility that can be found; check the job description, the files, and the calendar with the staff and the supervisor. This checklist will include the following: Department goals for the year. List the ones that have been firmly established. Circulation procedures. While the first week is not the time to try to master the intricacies of the entire circulation system, begin by learning how to check out a book and getting some sense of what happens to the records of the transaction. Circulation procedures will eventually absorb a great deal of time, especially if it seems that some changes are in order. However, changing any aspect of a circulation procedure is best done after much thought, considering the input of all concerned, since the impacts are often difficult to foresee. At this time focus on the overall procedures. Staff, What hours does the circulation department cover? Who prepares the schedule for staff and student workers? How often are the schedules changed? What constraints and factors need to be considered? Who checks time sheets and handles pay vouchers? What are the deadlines? Who hires staff and student workers? What are the procedures for training, evaluat-

The Circulation Department Head

14

ing, and dismissing them, and who is responsible? What deadlines lie ahead? What staffing needs exist? Who is responsible for scheduling and running staff meetings, and when are they? Who takes notes, and what happens to the notes? How has the department celebrated staff birthdays? What is done for end-of-the-semester student appreciation, and who is responsible? Communications and reports. What are the department head's responsibilities and deadlines? • • • • • •

logs minutes newsletters monthly reports annual reports budget

Building problems. Who is responsible for reporting what to whom? • general complaints and problems such as building temperature and lighting • urgent problems such as security door problems • building emergencies such as water leaks Emergency responses. What responsibilities does the circulation department have, and what are the department head's responsibilities? • fire alarm responses and building evacuation • bomb threats • medical emergencies • other emergencies Signs, Which signs are the circulation department responsible for making and posting? What are the department head's specific responsibilities? Look into signs for • • • • •

regular hours temporary hours changes stack labeling direction information, such as ones on how to use the photocopiers

Getting Started

15

Machines, For what machines is circulation responsible for selection, maintenance, and/or service? • • • • • •

photocopiers moneychangers vending machines computers in a computer room equipment in a music listening room other equipment

Money, Is any money handled at circulation? If so, who is responsible? • • • •

cash register bookkeeping getting change making deposits

Reserves, Are reserve operations a part of circulation? Who runs them? What are the department head's specific responsibilities? Noise and food control. Is noise control a circulation responsibility? If so, how is it handled? Are monitors employed during certain hours? To whom do they report? Who backs them up? How are noise complaints dealt with at other times? What is the policy on food and drink in the library? Room reservations. Are there meeting rooms, seminar rooms, or faculty carrels that the circulation department schedules and/or supervises? What are the department head's specific responsibilities? Stack maintenance. Is the circulation department responsible for stack maintenance? What does this mean in terms of recurring responsibilities? What does it mean in terms of special projects? Is a book shift needed this year? Telephone, Does circulation serve as switchboard for the library? Is circulation responsible for messages? For an hours recording? What are the department head's specific responsibilities, such as for recording or changing the message? Other, Are there other responsibilities for the department and/or for the department head personally? • other rooms (such as a library lounge, 24-hour study rooms, music listening room, art gallery)

The Circulation Department Head

16 suggestion box bulletin board displays and exhibits plants student carrels art collection new book shelves vertical file new-student information library tours

After completing the list of all responsibilities, drop a copy into the file along with the job description, with the idea that these responsibilities would eventually be documented in a revised job description. FINDING OUT WHAT'S COMING What is the overall flow of books, money, and personnel in the department—daily, weekly, during the semester? Some resources to check include • the staff; they will have an excellent sense of the departmental cycles; • the department head's supervisor for deadlines for monthly reports, annual reports, and budget submission; • thefiles;a quick scan through both the paper and computer files will give a clue as to the categories of departmental concerns; • statistics in the monthly and annual reports. Some careful reading of the numbers can be instructive. For instance, are half the books due on the last day of the semester? If so, how has the department handled the flood? • the policies and procedures manuals; • the budget to see what had been budgeted for and what has yet to be purchased; • the calendar. What goes around comes around, again and again, in circulation. If there is not already a calendar with deadlines on it in the office, get a large one (blotter size) and enter on it everything predictable that needs to be done during the year. At the same time, put together a master schedule so that next year's calendar can be more easily put together. Some possible entries are

Getting Started

17

—staff meetings dates —staff performance-review dates —dates to change the due dates for faculty and any other long-term loans —dates to send overdue reminders to faculty —dates to send requests for reserve lists —dates to send the forms for faculty carrel requests —dates to change the hours open signs —dates to change the hours phone recording and the dates to change it back again after breaks —monthly report due dates —annual report due date —budget submission date —dates to start the process for hiring seasonal help —staff birthdays —staff vacation dates TAKING THE DEPARTMENT'S TEMPERATURE In order to get some sense of the functioning of the department, meet with each of the department staff members to discuss how each perceives the overall functioning of the department, what his or her responsibilities are and how they contribute to that functioning, what is needed in order to perform his or her own job better, and what suggestions each has for improving the overall functioning of the department. This last point could be accomplished by going through, with each staff member, the list of responsibilities identified earlier and asking him or her to identify departmental strengths and specific problem areas and to suggest ways of improving each area. SETTING PERSONAL GOALS Having gathered all this information, list personal goals for the month and, very tentatively, for the next six months. Many things will change as the job becomes more familiar. Check over these goals with both the supervisor and the staff before beginning to implement them.

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PART II

The Circulation Process The primary function of a circulation department, its reason for being, is to facilitate the process of circulating books from the regular collection. This process includes the cycle an item makesfromshelf to borrower and back to shelf, plus the adjunct record-keeping systems. The entire process is based on policies that the library has adopted concerning who may borrow what, for how long, and what happens if the item is not returned. In the following chapters circulation policies are discussed first, followed by a discussion of record-keeping systems and then a chapter on the actual circulation cycle. This is followed by a chapter about automating the circulation cycle.

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3 Circulation Policies The policies that a circulation department follows determine its basic activities. All the questions of what categories of patrons there are and how they are defined, what each category of patron may borrow, and what happens if an item is not returned are answered by the department policies. The policies are usually set forth in a policies manual. Any changes to policies will normally require action by some group beyond the circulation department. DuBois (1986) reports that a survey of forty-three academic libraries conducted in 1985 by California State University, Long Beach, found a wide range of circulation policies. The results of a survey of the loan policies of fourteen academic libraries are available in Intner (1987), based on a 1983 survey. Earlier information is available in Circulation Policies of Academic Libraries in the United States, 1968 (American Library Association, 1970). PATRON POLICIES Academic libraries have a surprising number of patron categories. Each category is distinguished in some aspectfromthe others, whether by loan period, types of materials that can be borrowed,fines,or fees for borrowing privileges. Both patrons and circulation workers need to know this information. One way to inform patrons is to have information brochures that list the loan policies for each category of patron. For the circulation workers it is useful to have a chart posted that lists privileges by type of

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The Circulation Process

patron. Patron categories also need to be clearly defined for statistical purposes. For example, are loans to faculty spouses to be counted as faculty loans, student loans, or miscellaneous loans—or given their own category? Faculty, Regular faculty are a clearly defined category, usually given extended loan privileges and no fines. The college ID will indicate their status. However, in addition to regular faculty borrowers, there are various other categories of faculty and near-faculty borrowers for whom policies need to be established. These include emeritus faculty, adjunct faculty, visiting faculty, part-time faculty, librarians, coaches, and faculty on temporary appointment. Many libraries give all of the above the same loan privileges as the regular teaching faculty, but care needs to be taken to retrieve materials from those who leave. Faculty borrowing policies are usually well established. Changing any aspect of them becomes a major concern, not only for the library, but also for the campus as a whole. It is necessary to proceed with caution, document the needs and advantages for any proposed change, and get the maximum support by taking proposed changes through all possible levels of authorization. Students, Regular, full-time students are an easy-to-define category. In addition to the regular, full-time students there are always some categories of near-students for whom policies need to be established. These include part-time students, students taking a semester off, and high-school students taking one course. Decisions will also be needed about students who wish to take books out over break, over the summer, or when going overseas with a school program. With any student who has taken a class for credit, the ultimate hold is that the transcript will not be released if the student is in arrears at the library. If the college is willing to exercise that hold, libraries have found that they can be fairly liberal in their loan policies for any registered student. The student loan policy is the most important loan policy to be established, since students do most of the borrowing in an academic library. The goal for student loan policies is to find a policy that provides timely access for the most students at a reasonable cost to the library. The student loan policy is also the one showing the most variation from college to college. Apparently there is no such thing as a perfect student loan policy. It is useful to have a library advisory group made up of students from whom to solicit input before changing any significant part of the student loan policies; the students may know reasons why a proposed policy will or won't work of which the library is unaware. Graduate students are usually given a longer loan period than under-

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graduate students, though, unlike faculty, they are usually fined for overdues. The most frequent problem with graduate students is working out the policy for the student who has completed course work but is still working on a thesis and needs library books. The answer will depend in part upon the policies of the institution as to whether the student must be registered for the semester or not. Nonregistered students who were previously registered can be issued alumni cards, which are usually free to them, and then be given an extended loan period if it seems warranted. Since such students are hoping to get degrees and transcripts from the institution, the institution does have a hold over them. As noted above, with most colleges the library's ultimate hold over a student is that the registrar will not release the transcript if the student is in arrears at the library. The library and the registrar's office need to work together to be sure that the policy is in force and that there is agreement on what constitutes a serious offense. The library may be more concerned with nonretumed books than withfinesfor returned books. As an example, the policy might be that if fines exceed fifty dollars or if there are any nonretumed books, the transcript will not be released. The student must return or pay for the books and/or pay the fines before being cleared for the transcript. Some schools will block the next term's registration for students who are in arrears at the library. It is appropriate for the library administration to work with the college administration to establish workable, effective policies. The head of circulation can suggest policies and should be involved in the negotiations. Administrators, In many institutions, administrators are given faculty borrowing privileges. Presumably their institutional IDs will identify their status. Although they may borrow many books, this is not usually a problem category. Staff". Staff members' privileges are often the same as privileges for students, except that staff members are not fined. If the institutional ID does not clearly indicate staff status, the library administration can work with the college administration to establish a clearer ID. Staff members usually do not present many problems to the library. Faculty spouses. Faculty spouses are sometimes doing serious research and so wish to have faculty borrowing privileges with extended loans. However, providing extended loans to them means that the materials they sequester will be unavailable to the faculty and the students who are the primary patrons of the library. A compromise is to give faculty spouses the same loan period as graduate students but without fines. Friends of the Library. Often dues-paying Friends are given free

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The Circulation Process

borrower's cards which few will actually use. The privileges can be the same as for area residents. Alumni. Alumni of the college are usually eligible for free borrowers' cards upon application. The library may take the applicants' word as to their status or may ask the alumni office for verification. Alumni can be given the same privileges as area residents. Area residents. Area residents are frequently given certain library privileges as a courtesy to the community. General guidelines might be that the applicant must be an adult (over high-school age) and not living in an area more appropriately served by some other college. A teacher, parent, or other adult may use his or her own card to take out books for a high-school student or may authorize the student, in writing, to use the adult's card, but the adult remains responsible for the books. The area resident fills out an application form with name, work and home addresses, and phone numbers. With an automated system, the library may also ask for a social security number, which serves as the identification number and the overlay point to make sure that there are not duplicate records for the same person. Some automated systems allow for a message as to who else is authorized to use the card. A parent may thus authorize a child to use his or her card. The parent remains fully responsible for all materials and charges. After registering the patron, the library collects the fee, if any, and issues the borrower's card. Even a five-dollar fee may be useful for reminding the area resident that use of the library is a privilege and not a right. The library card can be given an expiration date of a year or two in order to keep the data base current and up to date. A fee may or may not be charged for renewal. If the card itself does not have to be replaced at renewal, the library may wish to charge a fee only for replacement cards. The area residents may be given the same loan period as college students, but they are usually not fined since there is no effective collection mechanism. They may be sent overdue notices, however, and with an automated system their borrowing privileges can be suspended while they have any overdue materials. They can be billed at some point, such as four weeks after the due date, if a book has still not been returned. The bill should be for the cost of the book plus a fee for ordering and processing the replacement book plus a nonrefundable billing fee. If the book does not reappear shortly after the billing, the bill should be sent to the controller's office. The controller's office can be encouraged to turn the bill over to a bill collector if the problem is significant. Once an area resident has had to be billed, the library may wish to deny all further privileges for that patron.

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Usually college libraries do not allow an area resident to recall or hold a book, because campus users have priority, and books checked out to area residents are subject to recall by campus users. Area residents who need books not owned by the library can be directed to the public library, where, if the books are not owned, they may request them on interlibrary loan. The college will not normally provide interlibrary loan services for those who are not part of the college. Reciprocal borrowers. Many academic institutions have reciprocal borrowing arrangements with other academic institutions within their region. These arrangements, which allow students at one college to borrow books from another college, need to be in writing. An effective agreement reads as follows: LIBRARY OPEN ACCESS AGREEMENT (Names of colleges) To better serve the needs of the college communities through easier access to the library resources of our colleges, we hereby establish the following policy regarding open access and mutual borrowing privileges. The terms of this agreement are: 1. That the resources of the libraries of (names of colleges) be made available to the respective students, faculty and staff on both campuses. 2. That all users are subject to the rules and regulations concerning undergraduate use and borrowing privileges of the library used. 3. That the parent institution assumes the responsibility for return and/or replacement of material borrowed but not returned by members of its community. 4. That such responsibility shall include replacement costs when necessary but not reimbursement of fines levied. 5. That currently validated identification cards shall be used as acceptable credentials at the libraries involved. 6. That each library may withhold services and borrowing privileges from chronic delinquents and other offenders. 7. That each library will provide adequate notice to its students, faculty and staff of the nature and the extent of the agreement. 8. That the individual members may terminate this agreement upon ninety (90) days written notice. SIGNED: President, (name of college)

SIGNED: President, (name of college)

DATE:

DATE:

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The Circulation Process

Interlibrary loan (ILL). For books which are lent through Interlibrary Loan, the borrowing library becomes the patron. The loan period needs to be long enough to allow the book to get to the other library and back as well as give the user there a reasonable amount of time to use it. Most libraries do not impose fines for ILL, since collecting them would be a paperwork nightmare. The biggest problem may be, if there is a separate ILL department, to decide who is responsible for pursuing the overdues and exactly how that process should work. Specifically, who notifies whom, what piece of paper goes where, and what happens if the book still doesn't come back? For example, one method for use with a manual system is, at the time the book is checked out (which can be by an ILL staff person), to clip a copy of the ELL request to the book card, either attaching it by paper clip or, better still, slipping both into a plastic card cover. At the appropriate overdue date, the card and its attached request are pulled, the copy of the request is detached and given to the ILL department to pursue, and the card refiled in the card tray with some kind of flag on it. Periodically, an ILL staff member goes through the card trays checking those cards that were so flagged to identify those needing further action. With an automated system, a special loan rule can be written for ELL loans to other libraries. The major question is whether to have all DLL books checked out to one patron (ILL), or whether to enter each borrowing library as a patron. If a significant portion of the ILL loans are to one or two libraries, they can be entered as individual patrons under the ELL loan rule, and a general ELL patron used for the rest. In that case, any notices generated under that loan rule would be sent to the borrowing library if it is listed as patron; otherwise the notice would go to the ILL department to pursue. It may be that ILL will not wish to have any notices generated or to have them generated much later than would normally be the case, since most of the books come back without any notice. LOAN PERIODS Just as there is no perfect circulation system, there is no perfect loan period. For academic libraries, there are at least three categories of users. The faculty need for books is generally assumed to be different from the student need, which is assumed to be different from the needs of nonacademic users. The loan period is usually different for each of these categories, and other patron types may require other loan periods. The basic question is, What loan periods result in the optimal combination of maximum circulation, minimum costs, and maximum user satis-

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faction? Research on the question is reported by Buckland (1975), Kilgour (1987 and 1989), and Saracevic, Shaw, and Kantor (1977). These studies indicate that a shorter loan period results in increased loans. User satisfaction, however, is less clear; Fried and Hurlebaus (1981) report that in their library, changing from a one-week to a two-week loan period resulted in positive feedback from users and also reduced the amount of staff time devoted to the overdues notification effort. Libraries keep experimenting, trying to find loan periods that balance administrative efficiency and maximum service. The range is great. Student loan periods rangefromone week to a semester, with varying grace periods, renewal possibilities, and fines. With faculty loan periods, the major question for the institution to decide is whether the library is to provide, in effect, faculty members' personal libraries or to serve as a supplemental resource. In other words, is the college agreeable to having the books that are bought and processed by the library find semipermanent homes in faculty offices, or are those books intended to be a resource that is available to all campus users? The college may not understand that books that are checked out on long-term loans are not effectively available to other users at the time of their need, even with a recall system in place. The recall system helps, but many users do not know about it, don't have time to use it, or have tried using it in the past and found that it didn't work. Too often, the nonresponsive person on the other end was a faculty member. Whatever the institution's policy is, library policies and procedures for dealing with faculty borrowers need to be guided by it. If the policy is not clear, the circulation librarian needs to ask for clarification. If the institution is unwilling to clarify the policy, that in itself becomes information about what is expected. The question translates into library policy on length of faculty loans and penalties for overdue or lost materials. The philosophy behind student loan periods ranges from "The person who gets to the bookfirstcan have it for the semester" to "As many users as possible should have a chance at each book during the semester." In addition to the question of what loan period provides maximum availability to the user, the cost in staff time of administering a shorter loan period with more renewals and more overdue notices must be balanced against the cost, again in staff time, of recalling books with a longer loan period. A two-week loan period may be commonly encountered because of some sense that it seems a reasonable length of time. The calculations run roughly along these lines: a person reading an hour a day should be able to finish an average book of three hundred pages in ten days, but since

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there may be several days when the person does not have a chance to read, then a few more days should be allowed, bringing the total to two weeks. If two weeks seems reasonable, then the library might have as its policy that any academic borrower would have the use of a borrowed book for two weeks. If, for example, the loan period is longer than two weeks, then a book could be recalled only after the initial two week period. An exception to this rule would be made for books needed for reserve reading. They could be recalled at any time since users would have access to them through the reserve system. Renewals Some libraries are much more generous in their renewal policies than others. Some will renew only if the item is brought to the desk, some will renew by phone, some even take renewal requests on their answering machines, and some will renew by mail request. If the renewal request is by message, then there is the complication of the library trying to reach the borrower again if it turns out that there is a hold on an item. There is also the complication of letting the borrower know what the new due date is. At least one library uses a phone renewal message system that supplies a code word for the day. The patron is instructed to save the code word in case it is needed for verification of the phone renewal. OVERDUES Overdues are one of the few topics within circulation that has been covered much in the literature. Varca (1980) presents an overview of the literature relevant to academic libraries up to that time. She found a variety of approaches and some conflicting reports on what does and doesn' t work. Farrington (1984) further discusses the issues involved in dealing with overdues for students, faculty, and other borrowers. Dubois (1986) found, in a survey of forty-three academic libraries, that 95 percent of the reporting libraries blocked borrowing privileges for delinquent student borrowers and 57 percent blocked borrowing privileges for delinquent faculty borrowers. Burgin and Hansel (1984) list the activities that were found, through a survey of public libraries, to be associated with significantly reduced overdues. These included charging fines, restricting patrons who had overdues, lending books for at least twenty-eight days, sending the first notice within fifteen days, and making the final notice a bill. Calling

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overdue patrons proved to be unproductive. They also found that libraries with automated circulation systems did a significantly better job of getting books back when they were due. Another of their findings was that any library that changed some aspect of its overdues procedures did better after the change. They speculate that perhaps the underlying message to the borrower is that the library is serious about getting its books back. Despite the interest, there is as yet no consensus as to what constitutes an effective system, whether to fine or not, how much to fine, whether to send notices (and if so, how many), whether to replace all notices with a bill, whether or not to eliminate borrowing privileges for offenders, whether students and faculty should be treated the same way, or any other aspect. In part this is because basic institutional philosophy varies so widely. Some schools have no overdues at all; a book is due at the end of the semester and is billed if it isn't returned. Some schools give a due date but make no attempt to enforce it; if the book isn't returned by some deadline in the future, it is then billed. Some have a fines system, but the fines are so gentle that the enforcement comes from nuisance and guilt factors rather than from the pain of the fine. And some go all out with draconian fines, the philosophy being that noncompliance with the regulations should hurt if the school is going to bother to have due dates and regulations. As individuals, each of us is obviously more comfortable with some of these approaches than with others. More important than individual preference, however, is the question of which system works best to achieve the library's aims. The answer to that may not be clear. Some or all of the following principles may be used as the basis for overdues management: 1. Availability. Library materials should be available to the maximum number of users. They are unavailable to other users while checked out to a borrower, whether or not the borrower is actually using them. If materials are sitting unused on a shelf for weeks or months, then other users are denied access to them. It is the experience of most libraries that borrowers will not usually bother to recall items they need unless they are desperate. 2. Responsibility. The person who checked out an item and thereby agreed to the conditions for its use is the person who should bear the costs of the attempts to get the item back. As Carpenter (1977: 2137) says, "Those individuals who choose to abuse their library borrowing privilege should be the ones to pick up the tab." In other words, the rest of the academic community should not be financially penalized for the offense of the delinquent borrower. The implication is thatfinesor service charges need to be high enough to cover actual costs of recovering overdue items.

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The Circulation Process 3. Consequences. These may be in the form of punishment, such as a penalty on a borrower for neglecting his or her responsibilities. Punishment is based on the principle that if a person has caused pain, she or he should be given pain in return. The alternative to punishment is to invoke appropriate and logical consequences. Examples: The borrower has caused the institution x dollars of expense and so is expected to pay it. Or, the borrower has proven to be an uncooperative user, so may not borrow again until she or he has demonstrated cooperation by returning overdue books and paying the costs of those overdues. 4. Fairness. All borrowers who have offended in the same way should receive the same response. Some staff may have a tendency to let the "squeaky" borrowers off, out of sympathy for their economic plight, out of a desire to dispense largesse, because the complainer is so unpleasant, or for other reasons. There are those times when the situation is unclear and it is entirely possible that there may have been an error on the library's part. However, it is of utmost importance to be reasonable, consistent, fair, and firm. If there is a staff member for whom that is a problem, then he or she needs to be asked to refer all fines questions to another designated person. Fairness is an issue with fine-forgiveness weeks for academic libraries. The institution has an effective hold on the borrowers, and to let some return books without cost when others have been fined seems unfair to those who have paid their fines. Some libraries have held a "Food for Fines" week just before Christmas, in which canned food will be accepted in lieu of a fine. If the values are comparable, that is an interesting idea. Concern for fairness also raises the question of differential treatment of the various classes of borrowers. The most common discrepancy is that between students and faculty when students arefinedwhile faculty are not. Goehlert (1979:82) writes that "at the present time the differences between loan policies regulating faculty and students in many academic libraries do not reflect a standard of fairness It seems inconsistent that students must follow a code which specifies a set of privileges and corresponding duties, while faculty are exempted from obligations." Penalizing faculty in the same way as students is pointless, however, unless there is an enforcement mechanism. Any system that penalizes the cooperative and lets the uncooperative off without penalty is to be avoided. Such a system encourages irresponsible behavior and inefficient use of library staff and is ultimately damaging to morale. In a survey of ARL (Association of Research Libraries) institutions, Haka and Ursery (1981) found that 41 of 98 libraries assess fines to faculty members for overdue materials, but only 19 of those libraries can legally force payment.

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Fines and Fees There is an extensive literature on the use of fines versus no fines (see Bossley, 1984), and on small versus largerfines,but most of it is anecdotal, and much of it comes from public libraries. One of the longest periods for an academic library to go without fines, eleven years at the University of Wisconsin—River Falls, was reported in the article "School, Academic and Public Libraries Report 'No Fines' Experiences" (1976). With over 4,000 students, they report that an average of about 180 have overdues at any given time. Offenders there are not allowed to charge more materials until overdues are returned or renewed. Ettelt (1977: 2) reports on a small college library that changed from a weak fine policy for students and none for faculty to a policy of stiff fines for students and a no-lend policy for overdue faculty. The library experienced dramatic drops in the numbers of overdues, and, to Ettelt's surprise, student circulation doubled. He also comments about the desirability of fines, "There are just too many variables operating in libraries to allow a theoretical concept based on shaky evidence to be applicable to them all." If a library includes the concepts of responsibility and consequences in its overdues principles, then it will probably charge a notice fee rather than a fine. In other words, since the cost to the library does not accrue with the length of time out, but rather with each notice that must be sent, the notice costs are the costs that the delinquent borrower is expected to pay. An appropriate amount for such a notice fee can be established by dividing the cost of an hour of staff time by the number of notices that can be generated during that hour (including all parts of generating the notice, such as pulling records,filingrecords, and bookkeeping). To this are added the costs of materials involved and postage. In times of inflation, these costs need to be realistically increased. Fried and Hurlebaus (1981) reported that their cost of processing an individual overdue at that time was $1.17. Nachlas and Pierce (1979) give directions for determining unit costs for library services. CONFIDENTIALITY Librarians have long been aware that patrons are reluctant to check out some books if they know that others in the community can find out that they checked them out. This public scrutiny of one's reading habits can inhibit readers from venturing into areas that are of interest to them but lie

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The Circulation Process

outside the limits acceptable to some of the powerful members of the community. Librarians have traditionally argued that whether the reader is interested in exploring religion, politics, sexuality, explosives, or avantgarde literature is nobody else's business. To this end most libraries have attempted to devise checkout systems that will not leave a trail as to who has borrowed a book once the book has been returned and have also been adamant about not revealing the names of current borrowers. Librarians have also lobbied successfully so that most states have laws providing for the confidentiality of library records. The manual checkout system in which each borrower signs the book card violates both confidentiality laws and the American Library Association Statement of Professional Ethics (1991), which states in Article III, "Librarians must protect each user'srightto privacy with respect to information sought or received, and materials consulted, borrowed or acquired." It is appropriate for the head of circulation to be conversant with applicable confidentiality laws and policies, to ensure that the entire library is aware of and in compliance with them and to see that all circulation department workers understand the policies, the reason for them, and their effect upon practice.

4

Circulation Record-Keeping Systems The primary functions of the circulation record-keeping system are to supply information about who is responsible for library materials when those materials have been taken from the library and to facilitate the recovery of library materials. The record-keeping system also provides statistical information for the library to use for planning and for accountability. Unfortunately, there is no perfect system for maintaining the records of who has the responsibility for library materials. Since most circulation librarians have worked with only one or two systems, there is also a dearth of comparative information on the advantages and disadvantages of each. And since each library varies in type and in philosophy, what is an advantage in one may be a disadvantage in another. Given these circumstances, it makes sense to list in priority order the major capabilities desired in a circulation record-keeping system and then evaluate available systems, whether manual or automated, in terms of those expectations. If ease of checkout is important because the library has sudden great crowds at the desk, that becomes a factor. With a limited staff, a system that involves filing two cards for each item probably would not have much appeal, no matter what its advantages—although circulation operations are complex enough that a system that, at first glance, seems not to be cost effective may, on further investigation, turn out to be the most efficient system in the long run.

The Circulation Process

34

EXPECTATIONS Some possible expectations for a circulation system might be the following: • One staff member can check out x patrons in ten minutes, each withy number of items. • One staff member can, in x hours daily, do all filing necessary with the system. • A listing of all items that have become overdue can be obtained by one staff member in x minutes. • Overdue notices for x number of items can be generated in y hours by one staff member. • One staff member can discharge x number of items in ten minutes. • A patron can be provided within x minutes with a complete listing of items checked out to him or her. The problem with making such a rational list of expectations is that the data are so difficult to find or compile. Would that some library researcher had compiled it so that librarians and the industry would have some points of comparison! INFORMATION ACCESS Basically a circulation system is, like an accounting system, an information system. The ultimate test is, Does it give the library the information it needs when it is needed, with accuracy and minimal cost? The information needs are usually the following: • Who. Who has each item? This is needed if an item is overdue and the borrower needs to be notified or if an item is to be recalled. • When. When are the items due? This is needed so that overdue notices can be prepared and fines calculated. When are items so far overdue that they need to receive the next step of attention? (There may be multiple steps.) • What. What items does each borrower have checked out and when are they due? Many manual systems cannot provide this information, to the frustration of both the borrowers and the library. This is especially useful information for the library to have about borrowers who are leaving, such as graduating seniors or faculty who are leaving. • How many. How many items were checked out?

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Note that the access points for each of the above types of information are different. To find out who has an item, access is needed by item, usually by call number. Automation gives promise of being able to access by author or title, also. To answer the when questions, access is needed by due date. To answer the what questions, access is needed by patron name. Other access points are often useful. For example, it may be useful to know which seniors have items out that will be due or overdue before commencement. To answer that question, class or year of graduation would be a useful access point. MANUAL SYSTEM ACCESS POINTS The problem with manual card systems is that they basically provide just one access point, the one by which the cards are filed. This is usually call number. This system works well if the first priority of the circulation department is to be able to determine quickly the status of a given item. It is possible to add additional access points, but it takes some maneuvering. Usually the next access point desired is due date. One way of adding that second access point with a card system is by filing all cards for the same due date in a separate section. Recarding items is straightforward if the due date is attached to the item. If, however, the due date is on a card that has been lost, or if there is a need to find whether an item is checked out because it is needed by someone else, then there are as many bins to look through as there are due dates, and the process becomes cumbersome. Another way of indicating due date is by covering each card with a color-banded plastic card cover. The realities are that there are only six colors available, so that the system works only with no more than seven due dates to monitor at one time (six colors plus uncovered). For example, if the loan period is six weeks and all items checked out during a week are given the same due date, then all items checked out the current week could be covered with a yellow-striped sleeve. On the day following that due date all cards with yellow sleeves will be pulled. The cards from books checked out the day before that due date will also be covered with yellow but will be filed only after the old yellows have been pulled. The problems with this system are that the covers are expensive, that they take up significant amounts of room in the card trays, and that they are awkward and time consuming to put on and take off when dealing with large numbers of items. There is also an edge-notched card system available in which cards are

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The Circulation Process

filed by call number but can be sorted out by due date with a knitting needle. It is possible to have two (or more!) cards for each item, one filed by call number and the other by date (or name, if that is more important, as it may be for keeping track of faculty borrowers). The two-card system introduces twice as many chances for error as the single-card system, takes more time to check out, more time to card, and more time to file. Especially if it is being done only for faculty items, the chances that the second card will be missed in recarding the item are significant. It is embarrassing to hassle any patron for an item that has in fact been returned; so before sending overdues, each past due card under a faculty member's name should be checked against the master card file. The question with all of these permutations is whether adding access points (additional information) is worth the additional costs. Each complication introduced into a manual circulation system to provide an additional access point also increases the chances for errors. Automated systems loom large on the wish list of circulation librarians for a number of reasons, but providing multiple access points and accuracy are surely two of the major ones.

5 The Circulation Cycle The circulation cycle, in brief, begins with the patron going to the stacks to find an item that she or he wishes to check out. If the item is there, the patron brings it to the circulation desk, where it is checked out to the patron, the due date is attached to it, and (usually) the item is desensitized. When the patron has finished with the item, it is returned to the library, where it is checked in, sensitized, andreshelved. Complications can arise at various points, most commonly when the patron cannot find the desired item or when the patron does not return the item by the date it is due. The divisions of the chapter are based on this cycle: Retrieval. Item available. Item not available. Checkout. Renewal. Item not returned on time. Item returned. Sorting. Shelving. The circulation cycle is guided by established procedures that are, in turn, based on the library policies. The procedures are established within the circulation department and are usually documented in a procedures manual. The manual, then, is useful for training new staff members and for referral when a procedure has been forgotten or is in dispute. A

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The Circulation Process

procedures manual will effectively fulfill its functions, however, only when it is kept up to date. RETRIEVAL The circulation department's responsibility is often thought of as beginning when an item is brought to the circulation desk to be checked out. Actually, if the circulation department is responsible for stack maintenance, it begins when the user goes to the stacks to find an item. If the user finds the desired item, all is well and good; the function of the library has been fulfilled. However, if the user has been unable to locate the desired item, then the question is, Why not? The item may have been exactly where it was supposed to be, but the user may not have found it for a variety of reasons. Perhaps the user misread the catalog entry, for example, the user had not noted that the item was in Reference, or perhaps the user hadn't understood the call number system and was looking in the wrong area for the item, or had transposed the call number. Even though those kinds of confusions are appropriately reference questions, they usually end up at the circulation desk, since, to the user, the item was not where it belonged. At the circulation desk the user fills out a search request and the searcher locates the item and then notifies the user. The other situation, the one in which the item was not found because it was not on the shelf where it belonged, really is a circulation concern. The first question is, Is the item checked out? With an integrated automated system, the status of the item is shown in the catalog, so the user knows before going to the stacks. With a manual system, however, the only way to answer the question is to check the card trays. If the item is checked out, the patron can, in most libraries, place a hold (with or without recall) on the item. If the circulation department cannot immediately determine that an item is checked out, then the patron can request a search for the item. Kilgour (1989) noted three ways by which libraries have increased the likelihood of finding a title on the shelf: reducing the loan period of heavily used titles, adding duplicate copies, and sending overdue notices promptly. Marchant (1990) adds six more inexpensive ways: reshelving within twenty-four hours, reading the shelves while reshelving, processing new books quickly, replacing missing books promptly, attaching a printer to the consoles of automated catalogs so patrons don't miscopy call numbers, and not sending books and journals to the bindery while they are in heavy demand. Those ways that are within the purview of circulation are worth pursuing, and the rest are worth advocating. Other library departments may not realize the effects of their procedures upon patrons and circulation.

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In a study of shelf availability, Schwarz (1983) found that the chances of not finding a book on the shelf because it was already checked out were significantly greater if the book had also been checked out within the last eighteen months. He notes that this supports his earlier finding that 84 percent of the circulation was being met by 33 percent of the collection. Holds A hold is the request by a patron for an item that is presently checked out to another person. The patron is asking that the item be held for him or her when it is returned. The information needed for placing a hold is the current date; the patron's name, address, and phone number; the item call number and title; and the date needed by. Placing a hold without a recall is straightforward. With a manual system, the hold request can just be filed with the book card, usually under a plastic sleeve to keep the two cards together, or a flag can be put on the book card to alert the carder to check the hold request file. When the item has been returned, the requestor is phoned or notified by mail (or both), and the book is placed on the hold shelf with a tag sticking out of it that gives the last name of the requestor and the date on which the book will be pulled from the hold shelf. Often at least a week is allowed for pickup. The hold pickup notice that is sent to tell a patron that a requested item is now available includes the standard notice information plus information about the place where the item may be picked up and the length of time the item will be held. Hold cancellation notices are sent to alert patrons that holds have been cancelled and to let them know whether there are other options for obtaining the items. If a hold was cancelled because the item has been placed on reserve, then the patron is told that the item is available at the reserve desk. If a hold has been cancelled because an item cannot be found, then the patron is told that the item can be requested on interlibrary loan. In this case the notice may add that the notice itself must be taken to interlibrary loan. This is done to provide the interlibrary loan department with proof that the library copy is unavailable, since ILL normally will not request an item that the library owns. Recalls A recall is a special case of hold in which not only will an item that is out to another be held for the requestor when it is returned, but the present borrower will be asked to return it early. A recall may be issued if library

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policies provide that an item may be recalled for a requestor after the first borrower has had it for some guaranteed length of time or if the item is needed for the reserve collection. If a recall is to be issued for the item, the process becomes much more complicated than for a hold. Factors that must be considered before setting a new due date and sending the recall notice are as follows: • • • • •

the time a borrower has been guaranteed an item; the length of time before the item is due; the length of time it takes a notice to reach the borrower; the length of time the borrower is then given to return the item; and the date by which the requestor needs the item.

The time a borrower is guaranteed a book is typically two weeks, unless the book is needed for reserves. For reserves the book is usually recallable immediately. It is desirable to include a statement such as "All books are recallable after two weeks" every time and place that library policies are stated so that borrowers are aware that they may have less time with the book than the due date would indicate. Setting the new due date for a recalled item involves all of these listed considerations. In calculating the time it takes a notice to reach the borrower, it is necessary to consider weekends and to be aware that students do not check their mail every day. When setting the time it takes to return a book, one needs to consider that a student may be out of town for the weekend, may not be on campus every day, or may be sick. On a residential campus a week is needed for the student to get the notice and return the item. On a commuter campus, a week may not be long enough. Note that if the original due date is within the week, there is no point in sending a recall notice. Or, if the new due date is after the "needed by" date, there is again no point in sending a recall notice. Once an item has been requested by another person, and if the item is recallable under the guidelines above, the recall notice is sent. In addition to the standard notice inclusions, the recall notice gives the borrower the new due date for the recalled item and the fine for not returning it by the new due date. If there are special instructions for returning the item, they are included, too. For instance, if a book can be returned in campus mail, that is useful information. In order to guarantee compliance with recalls, fierce fines are usually imposed for nonresponse to the recall notice. In order to be fair, the borrower must know about the recall and know the new due date. This

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means either reaching the borrower in person by phone or sending at least two notices. One notice may go astray; it is difficult to believe that two would. Sharing If the circulation department is willing to try to work out sharing arrangements (an expensive, time-consuming service) between two or more students who need the same book, then the request card needs to include information as to whether the requestor is willing to share the book and whether the requestor is willing to have his or her name given to the present borrower. The notice sent to the present borrower needs to ask the borrower the same questions. If both agree, then the names and phone numbers can be exchanged through the library by circulation staff members who call each of them. The two then work out their own arrangements. However, the borrower should be reminded that the borrower is responsible for the book and may wish, for his or her own protection, to return it for the other person to check out. At first glance, sharing looks like an appropriate circulation department service for desperate students. However, the service is predicated on reaching students by phone, which often takes repeated calls, and sharing is usually most requested at the end of the semester when there is the least staff time available. It is a service to be undertaken cautiously if at all. Recalls Near the End of the Semester An additional complication with recalls comes up near the end of the semester when the point is reached at which all borrowers have been given the same end-of-semester due date. With some manual systems there is then no way to determine the date of the original loan, whether, that is to say, the present borrower has had the guaranteed two weeks with the book. Sharing then becomes a possible solution. The borrower is not being asked to give up the book, but only to share it. See, however, the caution mentioned earlier. Alternatively, with a system that uses color-banded plastic covers on checkout cards to indicate the week due, the color also gives a clue as to the week checked out. By continuing to use the color sequence even though all books come due on the same date, it is possible to tell whether a book has been out for two weeks or not. Shortened Loan Period If a library has an automated system that makes it simple to change the loan period to one week or some such shortened loan period, then a book

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that is much in demand could be made a short-term item. The purpose would be to make popular books available to more users. If, for example, it became obvious that every book on Rastafarianism was in great demand, all could be recalled after the guaranteed time and given short-term loan periods. Care would need to be taken that the correct due date was given to the subsequent borrowers. Searches A search is a request for an item that the patron cannot find on the shelf and that is not checked out. The search process begins when the frustrated would-be borrower comes to the circulation desk. If there is no checkout record for the item, the patron is given a search card to fill out. The card has space for information about the requested item and information about the borrower. It is useful if it also includes the list of all the places the searcher is to check and space to write three dates after each place, assuming that each item will be searched for three times before being declared missing. The search cards are gathered daily, sorted into call number order, and the search begun. An appropriate goal is to have the first search done within a day or two and the second done within a week. If the item cannot be located at that time, the borrower is notified with a "Hold cancellation" notice that tells the borrower that the notice can be taken to interlibrary loan if he or she wishes to request the item from another library. The third and final search is typically conducted in the summer. If the item still cannot be located, it is declared missing, and the search card is given to the acquisitions department for consideration for reordering. If they decide not to reorder, or if the book is out of print, then the item is withdrawn. There are many logical places to look for a book. A good searcher seems to develop a sixth sense and checks not only the logical places but probably some illogical ones, too. With a manual system, the list of places to search would include circulation files sorting shelves trucks waiting to be shelved problem shelf hold shelf

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mending shelves stacks new book shelves shelf list missing book files With an automated system, the list can be reduced somewhat since the computer record will contain information such as whether the book is missing or is being held for someone. In the stacks the searcher looks through the books on the shelf where the book should have been and on the shelf above and the shelf below. An experienced searcher will also know of a few problem call numbers which are sometimes misread, such as X's and K's, or P's, R's, and B's, and will check those areas, if applicable. The number and interval of searches is usually based on the library's experience with the search intervals andfrequencythat seem to give the best results for the time spent. This would be a fruitful area for research. Thefirstsearch is usually done quickly because of the high likelihood that the book is available and that patron confusion was the problem. It makes sense to do the next search three to five days later so that books that were in use will have been reshelved. Thefinalsearch can be done in the summer after the dorms and other living units have been cleaned out. Ideally this final search would be done after a complete shelf reading. If the book is then not found, it is, as noted above, reordered or declared missing. Searches are expensive. To search all possible places for a book may take ten minutes per title per search. If a collection has not been inventoried recently so that missing books have been discovered and withdrawn, the number of searches will be higher. One of the benefits of barcoding a collection in preparation for automation is that it serves as an inventory. After all the post-barcoding cleanup, those books that are truly missing can be withdrawn. This will then reduce the number of searches in future years. It is useful to keep track of the number of search requests that are received and the percent of items not found. Over time, changes in the percent not found may be an indication of other changes worth noting. The searcher as well as the statistics can provide some useful feedback. Are books not being found because the stacks are in disarray? Are many books missing? Are books staying too long in the sorting and shelving process? Is the catalog information erroneous? The searches provide a clue as to the points of frustration in the library.

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CHECKOUT Overview of the Checkout Process Once a patron has successfully located a desired item and brought it to the circulation desk to check it out, the checkout process begins. In overview, this involves: (1) attaching the name of the borrower to the record of the item being checked out; (2) informing the borrower of the due date in some way; (3) desensitizing the item (assuming there is a security system) and returning it to the patron; (4) counting the checkout; (5) filing the checkout record so that it is retrievable; and (6) typing replacement book cards, if needed. Note that the last three steps are necessary only with a manual system and can be done after the patron has left or even the next day. At least one college (Marlboro) has a self-service manual checkout system that operates on the honor system with no security system. There is not as yet an automated self-service checkout system. If such a system also incorporated an automatic method for desensitizing the book, a complex piece of equipment would be needed. Until that is developed, most libraries will probably continue with the traditional personal service, even if the records themselves are kept in a computer. The Checkout Process in Detail Checkout The process begins when a book or other item is brought to the circulation desk to be checked out. In most libraries, the borrower also has to present his or her identification, although there are libraries in which the patron signs the book card and no ID is required, usually because the borrowers are known to the staff. In most academic libraries using a manual system, only the name of the borrower is attached to the book record. The patron data base that provides the address and phone information is comprised of the staff and the student directories. If an item becomes overdue, the address is found by looking up the name in the appropriate directory. With an automated system, the registrar's records usually become the patron data base, and the addresses of all campus borrowers are available within the computer. (See also Chapter 6: Automating Circulation.) Libraries have a responsibility and, in many states, a legal requirement to maintain the confidentiality of borrowers. Confidentiality is discussed in Chapter 3: Circulation Policies.

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Due Date The second step in checking out an item is to inform the borrower of the date that it is due back in the library. This can be done in various ways. In brief, the options for letting borrowers know when an item is due are 1. Make all items due at the end of the semester. Since "everybody knows" (how do they know?), there may be no need to attach a due date to the item. 2. Attach a slip to the item and stamp the due date on it. 3. Put a card in the pocket with the due date stamped on it. The daily supply of cards can be prestamped each morning. 4. Use a label gun to place a due date in the item. 5. Tuck a slip into the book with the due date on it. This is most commonly done with automated systems. The slip usually includes the book information, too. It is worthwhile to consider some of the implications of the various methods. When there is no attached due date, any or all of the various means available for publicizing the policy and reminding campus borrowers at the end of the semester to return their books could be used. Stamping the item is, of course, the venerable library system. It works. It is cheap and clear, and the date is attached to the item. Stamping is also a nuisance at the time of checkout, and if there are several possible due dates depending upon patron or item type, then either there is an array of stamps at the checkout desk, or the attendant is twirling dials (accurately?) at the time of checkout. Putting a due date card in the pocket is another method. In theory, the due date cards with numbered quadrants (available from Gaylord) make it clear which is the last date stamped on them. In practice, due dates often get stamped any old way, the card may not be put in the pocket with the correct due date as the visible date, and the cards often get used as book marks and are lost. There is also the expense of the cards themselves, and the less obvious expense of sorting them out and stamping them ahead of time. Using the label gun is a quick way to attach the dates to the books, but with books that are frequently checked out, the date-due "stickies" pile up and eventually have to be peeled off. The system has the advantages of being clear and fast, however. Slipping a computer generated due-date slip into the book is possible with an automated system. When planning for automation it is possible to forget that the computer will not tell the borrower when the book is due. The automated system can be used to print a computer-generated list, at the end of a borrower's transaction, of all the items borrowed along with their accompanying due

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dates. The list can then be slipped into one of the books. Alternatively, a slip can be printed for each book borrowed showing its due date, and each slip can be put into the appropriate book. In selecting this approach, it is necessary to keep in mind not only the costs of printers, paper, and most significantly, ribbons, but also the sometimes temperamental nature of printers. Note that this method does not actually attach the due date to the item. Note, too, that any of the other methods may also be used with an automated system. Again, here is another area where research could be useful. What means of letting patrons know when their items are due is the most cost-effective method for getting the items back on time? Retypes A step that is necessary with a manual system using book cards is typing new cards to replace filled checkout cards. When a book with a full card is checked out, a blank new card can be run through the checkout process. This new card will have the borrower's name but not the book information on it so should be clipped to the old card. At some later time the call number, author, and short title will have to be typed on the new card and the old card discarded. The retyping can be done after putting the cards (old card clipped to the new one) through the usual counting process at the beginning of the next day and then setting them aside while filing the rest. Typing up the cards from the previous day's circulation can be a time-consuming task for the morning desk shifts. RENEWALS With most manual systems, a renewed book is given the same due date as books checked out on that date, so the same due date stamp or card can be used. Some automated systems, however, extend the renewal from the original due date, which means that if the book is renewed before the original due date, the regular due-date stamp is not correct. The stamp will have to be reset or the new due date written in by hand. The alternative is to check the book back in and then check it out again, which is what some automated libraries do instead of renewals. Some automated systems will renew a book without checking for holds, which would be another reason to check the book in and back out again instead of renewing it. Faculty Renewals If faculty members are given an extended loan period there may be problems in getting them to renew, especially if the library requires them

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to bring the books to the library for renewal. For example, with a faculty loan period of a year, experience indicates that faculty members become accustomed to having the library books as "their" books and resent having to physically bring them to the library for renewal. If there is no enforcement mechanism, the library must resort to badgering to get the books renewed. Some libraries are less concerned about physically accounting for the books and will let faculty members renew books by returning their lists of due books to the library with notes as to the ones they wish to renew. Other libraries will send lists of currently checked-out books to faculty members but will not include a bit of critical information such as call number or barcode number. The faculty member may then renew by supplying the missing information and returning the list to the library. The assumption is that the faculty member must have had the book in hand in order to supply the necessary information. Perhaps a combination of methods could be explored, such as allowing renewal by mail for one year but requiring that the book be physically produced the second year. Another way of doing the same thing would be to allow phone or mail renewals but to limit the number of renewals, so that after two years, or whatever the designated time period was, the book would have to be returned in order to be checked out again. OVERDUES Reducing the Number of Overdues Since preparing and sending overdues is an expensive process in terms of staff time and materials, and billing is even more expensive, circulation departments have tried a variety of methods for reducing the number, including both general and personal reminders. Among these reminders are bookmarks, ads in the campus papers, a flyer to each student's mailbox, and posters. Huntley's article (1977) describes successful radio promotions used to encourage prompt return of books. However, the most effective way of avoiding overdues is the courtesy notice, which is a reminder sent before the due date. With a manual system, this is also the most expensive method in terms of staff time. Some automated circulation systems do not allow for a courtesy notice, but one can, in effect, be devised by sending a reminder notice on the due date but giving a one-week grace period before the fine (which accumulates during the grace period) is assessed. This can result in a

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dramatic drop in overdues and billings, and costs are minimal if the mailing can be done through the campus mail system. If there is no way for the library to provide courtesy reminders, the students may wish to prepare their own, using something like the following system, which was devised by a student. The library prints up some postcard-sized forms which say, on one side: WOOPS— A large library fine is looming if I don't get these books back to the library by Signed: me (Ignore this notice if all the books have been returned.) The space is for the borrower to write whatever book information she or he wishes. On the other side is printed the library return address and place for the student's name and campus box number. These cards are placed in a box on the counter where students wait while their books are being checked out; there is a sign on the box explaining the process. The waiting student fills out a card, self-addresses it on the other side, and hands it to the staff person. The cards are gathered up and set aside to mail on the appropriate date. Students like this system. The student assumes the responsibility of reminding himself or herself if more of a reminder than the usual due date seems useful. Since campus mail is used, the only expense to the library is that of printing the cards and the few minutes it takes to keep track of which cards to mail on which date. The cost effectiveness of these various forms of reminders (which can also be called publicity) is difficult to assess unless very clear statistics have been kept on the number of overdues being generated as a proportion of the checkout, and all other variables have been controlled. Coady (1986: 76) comments that "the research literature has not explored the possible use of publicity as a tool in effecting the timely return of books. By testing the effect of publicity on the current rates of return, the cost of the publicity could be compared with the rate of return. The publicity, if effective, could be worth the cost." Mitchell (1988) proposes not reminders, but the use of positive reinforcement as a way of encouraging the timely return of library materials. He proposes giving a receipt to borrowers who return books on time and who have no overdues on their record for the stated time period. The receipt

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could then be redeemed at the library for a reward. The rewards he suggests range from free photocopying to gift certificates from local merchants. Overdue Notices Format Because of the large number of notices that a circulation department mails out, there is concern with finding notice formats that are economical to prepare and to mail. Some libraries use postcards. The problem with a postcard, especially for overdues, is that the information on it is not confidential. Some libraries use a form that is prepared and then slipped into a window envelope. That provides confidentiality but entails the cost of both the form and the envelope, plus folding and stuffing time. And some have found an economical solution to be an overdue notice on a fan-folded sheet of paper. The notice is printed by a computer on blank, standard-sized, continuousfeed paper, with the patron name and address on the top third and the information about the overdues on the lower two-thirds of the sheet. When fan-folded and stapled, the patron address is on the outside for campus mail and the overdue information, folded to the inside, remains confidential. The same form can be used for off-campus borrowers by slipping it into a window envelope if the placement of the address was planned to fit the window space. Content and Timing Overdue notices in most libraries actually include an entire array of notices, varying with the patron type, the item type, and the length of time overdue. In addition to the usual notice information, the overdue notices include information as to the fine that is accruing and what will happen if the item is not returned within a set time. For example, the consequence may be the loss of borrowing privileges and/or fees or a fine. A fine notice is the notice sent when a book has been returned that has accrued fees or a fine. It is designed to let the borrower know the final reckoning for the overdue item. The fine notice includes, in addition to the customary information, the total amount due, information on where the fine or fees are to be paid, and information on the consequences of not paying. If the institution has borrowers for whom there are no fees or penalties, such as faculty, then there is no recourse but to keep sending notices and/or phoning. In essence, the library is forced to nag. The nagging can be classy,

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such as appealing to the recipient to be a cooperative member of the academic community, but it is, nonetheless, nagging. Such a system, one which in effect penalizes the library rather than the delinquent borrower, is to be avoided. Billing Nearly all academic libraries bill delinquent student borrowers after some set period of time for nonretumed items. The bill commonly includes the replacement cost of the item, a replacement fee, and the accrued fees or fine. It also appropriately includes a statement to the effect that a lost book may be lost to the library forever since most books are out of print. Borrowers may not be aware that replacing a lost book is usually not possible. The replacement cost is derived in different ways by different libraries. The options include the original cost of the item, the original cost plus a cost-of-living multiplier, the actual Books in Print cost (if it is listed), a standard replacement cost based upon type of item, or an across-the-board standard replacement cost. The latter, an across-the-board standard replacement cost, is certainly the easiest to calculate. The question as to whether it is fair to the borrower and fair to the library is open for debate. It would be useful if someone were to do a comparative study of these options. The replacement fee is designed to cover the costs of reordering and processing a new copy of the book or of seeking out, reordering, and cataloging a substitute. It is appropriate that the person who lost the item pay these replacement fees; the rest of the patrons are already being penalized because the item is no longer available to them. The most desirable outcome is to get the book back, since most books are literally irreplaceable. To encourage that, many libraries refund the replacement fee and cost if the book is returned. Some libraries will make the refund only if a replacement has not yet been ordered or only if the book is returned within a certain length of time after the book was paid for, such as within three months or a year. If bills are paid at the controller's office instead of in the library, then the library issues a credit instead of a refund, and the controller's office issues the refund. When all else fails, the controller's office may be of help. If the account of either a departed student or an off-campus borrower is large enough, the controller may turn it over to a collection agency. Montana State University has done this; see Mitchell (1983) for a description of its process and the costs and benefits of doing so.

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DISCHARGE The majority of library books do get returned to the library. Discharging them would seem to be straightforward—and sometimes it is. The ideal discharge process provides for efficient, error-free return of the book to the stacks, ready for the next user. The components to be considered in this stage of the circulation process are the book return, discharging, sensitizing, and evaluating for damage. Book Returns Book returns are like mouse traps: there's got to be a better way. The ideal book return would provide security for the returned books so that they could not be taken by passersby, would move the books away from the return so that there is room for the next batch that is being returned, and would not damage the books in the process. The traditional book drop probably does more damage to books than anything else, including rain and sodas. Damage is minimized a small amount if a sign is posted above the slot saying "Insert books spine first." However, even if the first book lands neatly, the next book may smash into it, bending or ripping out pages and tearing the hinges. Much thought has been given to the problem, but no better device has been found, especially for an after-hours, secure book return. For books being returned inside the library during open hours, the book drop can be replaced with other systems. For instance, books can just be returned to an area on the counter. However, a trial of that in one library created many instances of students claiming that they had returned a book that the library could not then find. Whether there were, in fact, patrons who were taking books from the piles on the counter or whether students exploited the vulnerability of the system by claiming that their books had been lost was not clear. The library then provided a clear plexiglass cage with a slot through which books could be slid onto the counter. If the returned book wouldn't go through the slot because of a pileup or because the book was too large, the patron could hand the book directly to a staff person. Staff members watched the return area and kept it swept clean. Providing a secure area behind the plexiglass cage eliminated the claimedretumed problems. In most academic libraries books are returned by the thousands at the end of each term, many of them during hours when the library is closed. There seems to be no book-return arrangement that functions well in those circumstances. One partial solution, if the library building makes it possible,

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is to keep just the foyer open for some hours after closing the rest of the library and to park several empty book trucks in it. A circulation staff member on duty during those hours replaces book trucks as they are filled and then discharges books as time allows. Despite the apparent vulnerability of the books on the trucks, theft has not been a problem in the libraries that have tried this; it helps if the foyer is somewhat visible from the circulation desk. With this system, instead of hundreds of books being returned, for example, through a book-drop slot in an outside wall and ending up damaged in a huge tangled pile on the floor, most of the books can be returned in a manner that keeps them intact. Discharging The main purpose of discharging a book is to transfer responsibility for itfromthe borrower back to the library. It is always possible that there are errors in this process. In every library there are also occasional borrowers who will return an overdue book directly to the stacks and then claim to have returned it on time. Circulation librarians become adept at looking for the clues that would substantiate or nullify this claim. With a manual card system, the first clue is, is there a card in it? Another is, has it been sensitized? With an automated system there is no card, so the question is a bit trickier; possible approaches are discussed later. Discharging with a Manual System With a manual system, the returned books can be placed standing spine out on a truck, Dewey numbers on one side and Library of Congress numbers on the other, if the library uses both systems. The truck is then wheeled to the card trays. One person can card one side while another cards the other. The most efficient staff members card books by removing a stack of books, laying them on the counter by the card trays, and pulling cards for the entire stack before actually putting the cards into the books. The carded books are returned to the truck fore-edge down. After the books on the truck are carded they are sensitized. The truck is then wheeled to the sorting shelves. If the card for a book can not be found, the book is set aside and put on the problem shelf after noting in pencil on the pocket "Problem shelf and the date. Periodically, staff members or students who enjoy sleuthing can search for the cards for these problem books. Sometimes, if it seems likely that a book has been miscarded, the stacks can be checked. If, by the end of the semester, the card still has not been found after thorough searching, a duplicate card should be typed for the book that is labeled "Dup" plus

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the date. This labeling can be useful, especially if the original card had somehow ended up in the overdues. Discharging with an Automated System With an automated system, there is no card to serve as a clue that a book has been checked in, so the merits of a patron's claim that a book has been returned are more difficult to establish. Yet all automated circulation departments are aware that somehow some books go through their hands and are shelved without being discharged. Libraries with automated circulation systems cope with this problem in several ways. Some check in every book twice in order to decrease the odds of a borrower being fined for a book that had been returned on time. Another approach is to stamp each book as it is cleared from the book return area with "Rec'd" plus the date with a red self-inking stamper. This shows that the library has accepted responsibility for the book. If the patron then protests a fine, the received date establishes whether the book was in fact in the library by the due date. Using this method, the discharge process with an automated system begins with removing the books from the book return area and stamping each with the "Received" date stamp. The books are then sensitized and placed standing on a truck. This truck is placed between the return counter and the discharge terminal, where the books are wanded in, or, more cumbersomely, discharged by typing in either the barcode number or the call number. While wanding in the books, the circulation worker watches for screen messages about those books that are to go to the hold shelf, to another library, or to mending. Those books are set aside. The rest are returned to the truck, fore-edge down. When the truck is filled and all books on it have been discharged, it is wheeled to the sorting shelves. SORTING In a typical library, the discharged books are rough-sorted onto broadly labeled shelves (Bs, 800s, etc.) and left lying in piles. The books are then arranged standing in call-number order on the sorting shelves. Trucks are made up for shelving from these sorted shelves. Some libraries put just two rows of books on a truck during most of the semester because trucks are difficult to handle with three shelves of books, or because poor stack lighting makes working from the bottom shelf difficult. Near the end of the semester, three shelves of books may be put on each truck in the interests of efficiency and better utilization of trucks. The books are usually placed on the truck fore-edge down, unless a book

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has an exceptionally heavy book block, in which case it is placed spine down. Standing the books on the trucks in order to protect the book blocks may do more harm than good because the books and even the entire truck can become so tippy that the books or truck will spill. The call numbers are also easier to read if the books are placed fore-edge down. The books are packed firmly on the shelves of the truck but are not forced. The firm packing is necessary in order to keep the books from jiggling loose as the trucks are wheeled over bumps such as those into and out of an elevator. Once the truck has been "made up" for shelving, which may be done by a student worker, a staff member should double-check the sequence of the books and open each book to check that it has the correct card in it. The staff check is not needed when working with an automated system. The truck is then wheeled out to a public parking area, often in a hallway. Here trucks of books wait until they are taken to be reshelved. Patrons who are looking for a book that isn't on the shelf can be directed to check those trucks before they fill out a search slip. SHELVING Books are usually shelved by student workers. Some libraries hire special stack maintenance crews while others use the students who work at the circulation desk. During shifts when the desk is not busy, the staff person on duty at the desk would assign other tasks to the student workers such as sorting and shelving. A student who has been assigned to shelve books would, if necessary, sign out an elevator key and then select one of the waiting trucks (the experienced shelvers will know to look for the LCs and never, never to take a truck of 700s if there is anything else). The student should then sign the truck out on a shelving log by entering the call number of thefirstbook on the truck, the date, the time, and his or her initials. A shelving log is useful for statistical purposes and for tracking gross shelving errors, such as occur if a shelver is stashing stacks of books inappropriately. Occasionally, the shelving coordinator may have the staff members who are making up trucks write down the call numbers of some of the books from the truck and give the list to her so that the accuracy of the shelving can later be checked. This may be done randomly throughout the semester or whenever there is some reason for concern. If a problem is discovered, the coordinator can work with the shelver to improve his or her performance. Some libraries check on shelving by having the shelvers turn down the books they are shelving or by placing a bookmark on the

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shelf by the book. A checker then goes through the stacks checking for accuracy and turning the books up. Schabo and Baculis (1989) of the Cedar Rapids Public Library describe their methods for determining, improving, and maintaining shelvers' accuracy and productivity. Each shelver has a daily worksheet on which to keep track of the length of time it takes to finish certain duties. Each shelver's work is also periodically checked for accuracy and an error rate is then computed. The expectation is that a three-shelf truck of books should be shelved in thirty to thirty-five minutes with an error rate of 5 percent or less. Methods for maintaining productivity include a library contest twice a year during which shelvers are checked for accuracy and speed and points given for each; the shelver with the highest total wins. Additionally, the supervisor, working with each shelver, sets goals for each individual. These goals are reviewed after a few months, at which time new goals are set. A monthly memo is posted listing all the shelvers who made no errors during the past month; others are given their error rates privately. And finally, the authors select a few shelvers to become senior shelvers who assist with training new employees, check error rates, and so forth. The authors report that "before the entire system was implemented, the error rate was ten to 16 percent. After having this management approach in place for two years, the error rate dropped to one percent" (p. 68). Shelvers frequently note, as they are shelving, other books that are out of order. They need to be given guidelines for what to do when they run across this problem. During most of the semester the guidelines may be, "Straighten out the shelf itself but don't go beyond one shelf. Report more extensive problems to the staff person on duty." At the end of the semester, when there is no time for straightening, shelvers may be asked to just shelve as best they can and report major problems. The aim of shelving is to return the books correctly to the stacks; the overall aim of the department is to assure that each book in the stacks is in its correct location so that it can be found when needed. Training for both staff and student workers needs to include repeated consciousness-raising about book handling. Videos such as Murder in the Stacks (Columbia University Libraries, 1987) can be useful. Preservation is also a concern when shelving books. Books need to be shelved so that they are not jammed on the shelves, but are held firmly upright. A preservation librarian suggests that all of the books in the stacks be pushed back about an inch from the front edge of the shelf in order to minimize water damage. Water is a common source of damage to the collection, more often from plumbing problems than from rain or flood.

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A leak through the ceiling falls onto books and drips from shelf to shelf down the stacks. If books are near the front edges, the water drips into the spines. If the books are shelved back an inch, the water may puddle under them, but will not drip into them. Hanging book supports seem to work better than the more traditional bookends because they are easier to see and so are less likely to have a book shoved around them. They need to be long enough to reach down to give good support to even the small paperback that may be the last book on the shelf. On the top shelves a different type of book support will be needed. The wide plastic supports that clip over thefrontedge of the shelf are somewhat easier to reach and to adjust than a book support that is resting on the top shelf. They also provide better support than the traditional thin metal bookends. Books can be damaged by being inadvertently shelved where there is a thin metal bookend that slips into the book, crumpling and tearing the pages. Books that are too large for the shelf need to be shelved spine down. This means that the call number is not visible, but shelving these books the usual way, fore-edge down, means that the book block is hanging from the hinges all the time that the book is on the shelf. Some libraries write the call number for these large books on a tab that sticks out of the top of the book. Thus, when the book is lying spine down on the shelf, the call number can be read from the tab. These tabs become easily bent, but they are an acknowledgment that the call number is indeed difficult to determine when the book is shelved on its spine, and they are useful to both patrons and shelvers. The number of books that will need to be shelved spine down will depend upon how many books in the collection fall between the standard shelf spacing and the oversize designation. If, for instance, the standard shelf spacing is 11 inches and the oversize designation begins at 13.75 inches (35 cm), then all books between 11 inches and 13.75 inches high will need to be shelved on their spines. On shelves where there are several of these large books, it is better for the books and more convenient for both the shelvers and the patrons to reset the shelves and thus allow room for all the books to be shelved standing upright. Oversize books, those over 14 inches high, are often shelved upright in a special area where they fall and flop, doing damage to the books and creating disarray. With a supply of extra shelves, it is possible to remove the books, section by section, insert additional shelves to provide for a shelf every 8 inches, and reshelve the books lying spine out, no more than three books high. On some shelves there may be room for two piles of books side by side. If there is no table near the stacks, a brightly colored shelf can be substituted for one of the regular shelves every other section

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to be left empty and labeled "Sorting shelf." This provides a place for the user who needs a book from the bottom of a pile to place the other books. It also enables the shelvers to spot books that need to be reshelved. Shelving the oversize books horizontally takes little more room than shelving them upright. The ratio would depend, of course, upon how many books were on the shelves to start with and how many new shelves were added. Art books and photography books present special problems. Nearly every library notes that these sections are usually in disarray. The books are difficult to keep orderly since they are often bound in large, nontraditional, awkward sizes, and are frequently much heavier than regular books because of the coated paper on which the works are reproduced. The problems can be decreased by shelving them on shelves 14 inches apart so that all books up to the oversize designation can be shelved upright. It also helps to spread the collection out, if there is room, so that there are many fewer books per shelf than is usual in the rest of the collection.

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6 Automating Circulation Automating a library may refer to any of a variety of approaches. A library may have a computerized card catalog with no automation of circulation, or conversely, only circulation or even some specific aspect of circulation may be automated. The most completely computerized libraries have automated all functions using fully integrated systems. The first approach, in which the catalog is computerized but circulation is not, is probably the worst possible scenario for circulation. Checkouts will increase with the increased ease of locating books, but the circulation department will be left coping with that increase (often on the order of 25 percent, though some libraries have experienced increases as much as 36 percent) with their strained manual system. Another approach is to computerize a specific circulation function. For example, systems for computerizing just checkout, or just overdues, or just reserves can be designed and run in-house, or software for specific functions is available from a number of vendors. Sellen (1989) discusses some of the options and lists some vendors. The most complete approach to library automation incorporates a fully integrated, librarywide system with a single bibliographic data base that is used for cataloging, acquisitions, serials control, authority control, circulation, and the public catalog. One of the significant advantages of such an integrated system is that the circulation status of books can be made known to the users of the public catalog terminals. Stevenson and Anderson (1990) provide a useful overview of the process of automating circulation services, including the implications for the staff.

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BACKGROUND In considering automated systems, it is helpful to understand that computerized circulation systems work with three kinds of records: patron records, bibliographic records, and item records. The patron record usually includes the patron's name, ID number, addresses, and phone numbers as well as the type of borrower, an expiration date, and the barcode number. It also includes, at a minimum, information about what books the person presently has out and any money owed. The bibliographic record (bib record) corresponds more or less to the shelf list card. It contains the bibliographic information about a specific title, including author, title, publisher, date, and call number. Note that many titles in the library have more than one copy or one volume. To keep track of these, there is, in addition to the bibliographic record, an item record for each title, and if there are multiple copies or volumes, there will be a corresponding number of item records attached to that bib record. The item record is the record in which the checkout information is stored; it corresponds most closely to the checkout card of a manual system. It includes at least the item barcode number, location (which library the copy belongs in), copy number or volume number, the barcode number of the current borrower, the due date, and the total number of times the item has circulated. Since all three kinds of records, patron, bib, and item, are used constantly in a circulation system, the ease of moving back and forth between them and the time it takes to do this are both of concern, as is the ease of creating and updating both patron and item records at circulation. The bibliographic records are usually maintained by the cataloging department. SELECTING A SYSTEM Ideally, the selection of an automated circulation system is based on careful analysis of the costs and benefits of changing from the present system. Murchio (1987) lists some of the questions a library manager should ask when deciding whether or not to automate the library's circulation function and notes that there is no hard-and-fast answer to many of the questions. Costs are difficult to calculate, although she describes the development of a profile of the financial costs for a public library. The proposed process would be used to analyze various circulation procedures and assign costs. The resulting estimate of current circulation costs would then be available for consideration in making the final decision. If the library is planning to adopt an integrated system, the merits of the circulation component will be just one of the factors in the choice. The

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OP AC (Online Public Access Catalog), its ease of use by patrons, and the kinds of records it includes (circulation status, items on order, serials) will be of special concern. Cataloging, acquisitions, and serials, as well as circulation will all be factors in the decision. In selecting a system, it is useful to keep in mind that the library is not designing a system. The systems exist as they are. A careful selection process provides criteria on which to base recommendations and helps to eliminate surprises after installation. It is not necessary to consider every possible attribute or problem that exists in the universe of possibilities. The reality of what is available is enough to deal with. It is possible to prepare an elaborate Request for Information (RFI) with the idea that to do so is the way to become informed and to demonstrate competence. It is also possible that what the library will end up with, at great cost in time to both the library and to the vendors, is a document so unwieldy as to be scarcely useful. What may prove more useful is to talk with those who are already using the systems under consideration, especially recent buyers. Vendors can supply such a list. These new users will still remember their points of frustration, the "work-arounds" that they have had to design, the helpfulness of the vendor, and the documentation. EQUIPMENT The equipment to be used with a new automated system will depend upon the system selected. Compatibility cannot be assumed between any equipment on hand and a new system. Indeed, incompatibility should be assumed until the evidence proves otherwise. Equipment needs will include terminals, barcode scanners, and printers. Terminals are sometimes called work stations. Since nearly all circulation functions will use the automated system, terminals will be needed for more than just patron checkout. Terminal time will also be needed for discharging (which will no longer need to be located near the card wells), circulating reserves, creating and maintaining reserve lists, registering patrons, producing notices, creating lists of books to be searched in the stacks, and preparing statistical reports. Unlike a card well, which can have several people working at it at a time and from which cards can be removed for work, a terminal can be used by only one person at a time. There is a significant drop in efficiency each time a terminal user is interrupted, even for a moment, by another staff member with an urgent need. In the long run it is not cost effective to scrimp on the number of terminals. Barcode scanners are devices that utilize carefully directed and reflected light to read a barcode and then translate the barcode stripes into numbers

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for the computer. These same numbers can also be typed into the computer on a keyboard, but with diminished speed and accuracy. Barcode scanners are basically of two types, wands and lasers. Wands, also called light pens, actually rub across the barcode; lasers can read a barcode from several inches away. Lasers cost about twice as much as wands. Wands and lasers are called input devices. They each need some kind of decoder, which is a device, usually a small box, that translates the impulses received from the barcode into the code that can be read by the computer. There are various kinds and vendors of both wands and lasers, some with stands. As with all equipment, it is worthwhile to investigate service and warranty along with questions of durability, ease of use, and price. The vendor of the automated system may be able to supply names of barcode scanners that are known to work with their system. Again, a check with other libraries that are using scanners may supply useful information. Printers have been the weak link in automated systems since they are the most subject to mechanical wear. The printer that will be used to print notices will get especially heavy use. Unfortunately, workhorse printers (usually dot-matrix impact printers) are also noisy, so the printer will either need to be housed in a sound-dampening enclosure or placed where the racket will not disturb patrons and staff. Colleagues at other libraries using the same automated system may have useful experience to share. Quiet nonimpact printers, such as ink-jet printers, are useful in areas where noise is a primary concern, such as at the front desk. They can be used, for instance, when a patron wishes to have a list of all the books she or he has checked out. The ink jets will dry out and clog in low humidity such as in a heated building in a cold region if the building does not have humidity control, but the jets can usually be cleared quickly by wiping them with a tissue. The most elegant copy is produced by laser printers, but they are usually not used for mass printing, such as of notices. The library may wish to invest in a line printer, especially if extensive reports will be generated by the system. If the plan is to use the line printer for circulation notices, it is wise to check first with the system vendor to see how difficult it will be to route notices to the printer and what flexibility there will be in layout. Thought will also need to be given as to where the printer will be located and who will be responsible for its operation since it may be extensively used by other departments as well. PLANNING Multitudes of questions arise when planning the implementation of a new automated system; some of them are discussed here.

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An early question will be whether, given the capabilities of the new system, some of the library's loan policies should be changed at the time of implementation. Since installing an automated circulation system involves massive change and accompanying stress, and since the full capabilities of any system are difficult to assess until the department has had hands-on experience with it, there are persuasive arguments for changing as little else as possible until after the shakedown period. However, the new system may not be able to accommodate all of the present policies, so the library should not commit itself too firmly to a no-change policy. Another area of concern is around preparing the department staff for implementation. Specifically, who will be responsible for writing the procedures manual for the staff? Working out the new procedures will take an enormous amount of time; it is like reinventing the circulation department from scratch. Who will write the manual for the student workers, if a separate one is needed? Who will train the staff? Who will train the students? How will ongoing training and questions be handled? Before bringing up a new system, and even for a time afterward, staff members may be filled with anxiety about whether they can handle it. The formal training will help. If possible, some practice assignments will also provide staff members with a way to get some hands-on experience before they face the public with the system. A practice assignment can be as simple as taking four books with barcodes from the sorting shelves and checking them out to a faculty member, using a sample faculty patron card. Other assignments might include putting a hold for a student on one of the books, cancelling the hold, checking that book back in, putting a hold on another for a visiting borrower, trying to renew the book with the hold on it, and so forth. It is reassuring to the staff members to find that they can do the tasks that they will need to do. Epstein (1984: 97) writes, "From my point of view, it is in implementation that the system succeeds or fails. If you do not have the time and the money to implement the system properly, or to train staff right, then drop the project now." Passwords are another area of concern. Who will assign passwords and decide which functions which staff members will be authorized to perform? Creating the data base of patron records will need much planning. Is there, for instance, a tape of student information that can be loaded into the system? Who will do the load? Can faculty information be loaded, too? Staff? How often will the tape be loaded? When a new tape is loaded, does it overlay the tape already in? For instance, does it replace an old address with the new? What happens to the item record if a staff member is no longer at the school (so his or her name would have disappeared from the patron file) but still has a book checked out? Will different arrangements

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need to be set up for finding out when students, faculty, or staff leave the institution? The National Information Standards Organization is developing a standard record format for patron records. If vendors follow the proposed format, it would ease the transition when a library moves from one system to another. The abstract of their Proposed American National Standard Record Format for Patron Records reads, "This standard provides a format for the representation and communication of library patron information in machine-readable form. It attempts to provide for all the data elements which might be contained in any patron file and includes elements intended to protect patron privacy" (National Information Standards Organization, 1990: cover). The appendix to the document includes sample mapping of patron records for ten vendors of automated circulation systems and would be useful to a library switching from one vendor to another. Each patron ID or library card will need a barcode. This means that the library should work with the campus office that orders student, faculty, and staff ID cards. Will cards be ordered that have barcodes already on them? If so, the barcode can be protected by the laminate. Will the library put a barcode on an already-issued card? Or will some combination be used, so that incoming freshmen are issued pre-barcoded cards while the rest of the students have a barcode applied to their present ID? The same questions apply to all of the categories of non-campus borrowers. Sheets of patron barcodes and library cards need to be ordered at least several months before an automated system is implemented. How will patron registration be handled? It not only takes a lot of time, but registration and registration problems will come when the staff is still feeling uncertain about the whole business. To register a patron, the barcode will have to be entered into the computer, and the rest of the patron information either entered or verified. This registration can be done when a patron first wishes to check out an item or it can be done ahead of time. Since the process takes a minute or more, it is desirable to have at least some of the patrons registered before the desk becomes swamped with regular circulation business. This can be done by publicizing the process and encouraging patrons to register early, perhaps offering some incentive. Patrons can even be registered some place else on campus, such as in the student union or during the student class registration process, if it is possible to set up a remote terminal.

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How will the due date be attached to the book under the new system? (See also the section on due date in Chapter 5.) Some options are 1. Don't attach it to the book. Generate a slip at each checkout that lists the books the patron has just checked out and the due date for each. The patron must then keep track of the slip which may be lost long before the book is due. Printing a slip also presumes an available and functioning printer. Printers are the most vulnerable part of an automated system since mechanical systems are more prone to failure than electronic ones. 2. Use the pocket to hold a date-due card. This means that the processing staff would need to continue to put pockets in the books even though there will no longer be a book card to go in the pocket. 3. Use a date-due slip and stamp it. This slip could also be stamped as the book is checked in (perhaps with a stamp in red saying "Rec'd" and the date), which would give visual evidence that the book has been cleared. 4. Use a due-date gun (much like a grocery store pricing gun), which spits out a sticky slip that is attached to the designated spot in the front or back of the book. With high-circulation items the stickies tend to pile up and may become a nuisance to peel off. How will on-the-fly books, those checked out on a temporary basis because there is no item record (and perhaps not even a bib record), be handled when they are returned? Can the circulation department clean up the record or will the book need to be sent to the cataloging department? If the cataloging department will clean them up, will they want them as they are returned or will the on-the-fly records be cleaned up in a batch as a later project? If fines are paid some place other than the library, how will that system be set up? What communication will be needed between the library and the other office? Can that communication be online? If fines are to be paid at the library, will the handling of money and receipts need to be changed in any way? PROFILING Once a system has been selected, the next major step is called profiling. This involves describing the present loan policies in such detail that they can be accurately entered into the automated system. Usually the vendor provides a form, often of a daunting number of pages, for collecting the information. A helpful colleague at another college with the same system can be a godsend during this process. Profiling provides a good way to

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begin to understand the actual functioning of the system, along with its possibilities and limitations. TRANSITION Bringing up a new automated system is a challenge in itself. On top of that is added, just at the time one is most pressed to understand the new system, the problem of managing the transition from the previous system, whether manual or automated. The period of transition from a manual system to an automated system requires a great deal of thought and planning. Some of the questions to be addressed are discussed here. How will books that were checked out under the manual system be handled once the switch is made to the automated system? The choices include ignoring them in the system, manually entering all of them into the new system all at once, or manually entering only certain of them. If the system is an integrated one that shows the circulation status of books to the public on the OPAC, and if the books checked out on cards are not entered into the system, then the OPAC will show the status for those books as available when the books are actually checked out. That is the main reason for entering the books manually into the system. Another reason is to eliminate the complications of dealing with returned books that may have been checked out under two different systems, and another reason is to get rid of the cards. The cards will need to be housed if they are kept, but the card wells will probably have been covered to make space for the terminals. If all the book cards are entered into the system, then all cards are eliminated and all returns are handled by wanding in books on the automated system. This is appealing, but there are complications. One of them is that this assumes that the patron data base has been loaded and that the patron barcode number has been assigned. If the patrons are going to be entered into the patron data base as they check out, then, in order to enter an already checked-out book into the circulation data base, a patron record would probably have to be created for that patron. Since the barcode cannot easily be assigned at that point, using this approach will depend upon whether the system can check out a book to a patron who has no barcode. Entering all the checked-out books also presupposes that item records have been created for all books in the data base. This may not have been the case if, for instance, only the first copy or volume of each title was barcoded and the rest are going to be barcoded on the fly as they check out. An alternative to entering all the cards is to enter only those checked-out items for which an item record exists in the system. This has the advantage

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of making public the availability information for those books. Once a checked-out item has been entered into the data base, the card for it should be filed into a dead file arranged by call number. The cards for items not entered into the system need to be retained in an active file. Do not discard the dead file for at least a year because it will be needed. A problem arises if a barcode was generated for a book but for some reason was not placed in the book. The book may have been checked out or misshelved during the barcoding project, but there is no way to discover from the record in the system that the book was actually not barcoded. Imagine that this book is presently checked out on a card, and the checkout information is entered into the system. Then, when the book is returned, the assumption will be that the book was not checked out on the system because there is no barcode in it. However, the card will not be in the active file; it will be in the dead file. That will be the clue that the book needs to be discharged from the automated system as well. To summarize, if all records are not entered into the automated system, then, as books are returned, check for a barcode. If there is no barcode, card the book. If the card is found in the dead file, then go back to the automated system and check the book in by title or call number. If there is a barcode, wand the book in and card the book from either the active or the dead file, wherever the card is found. The point of carding from the dead file is to clean up all possible questions of whether the book is still out or not. Another transition question is, Should cards be pulled from the book pockets once the system is automated? They probably aren't creating a problem unless, under the manual system, the patron names are listed on the cards and the library wishes to expunge that illegal (in most states) record. Before deciding to discard cards, ponder a bit as to whether they will be needed during the transition as a clue as to whether the book was checked out manually or automatically (as discussed earlier) and also check with those who do collection development to see whether the record of circulations is useful information that they wish to capture in some way. It may be that the number of circs on the card could be jotted on the pocket or entered into the item record. The card may also be useful if the book is later put on reserve and a card is needed on which to attach student IDs. How should items presently in overdues be handled? If the fine system is being changed under automation, which system will be used? It makes most sense to fine under the system that was in effect at the time the item was checked out. This probably means that both manually generated notices and computer-generated notices will be going out for a period after the automated system is brought up.

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When will the system be brought up? Given a choice, it is better to bring it up during the summer, preferably near the beginning of the summer, so that the staff members are comfortable with the system before having to use it for large numbers of transactions. CONCLUSION The existing complex systems in a circulation department have developed over decades. Suddenly, with the installation of an automated system, all systems have to be changed, often drastically, within a matter of weeks. Many changes have to be made before the full implications are known. Procedures will be developed and then changed, and then changed again. In a circulation department, changing even the most straightforward procedure can have unforeseen and complex repercussions. This becomes true a hundredfold with automation. All the complications will work out—but it takes time and tinkering. In the meantime, the stress level is high for all concerned. Patience is an especially important attribute while bringing up an automated system. After the automation has been essentially completed, a celebration is in order for the department, an occasion on which to look back and appreciate the amount of change with which everyone in the department has coped and to revel in the capabilities of the new system.

PART III

Other Circulation Department Functions In addition to their primary function, circulation departments are assigned many other tasks. These include circulating books from reserves and special collections, circulating other library materials besides books, performing additional functions that are assigned to the circulation department because it is a ready point of contact with the public and/or because it is staffed more hours than the other library departments, and special projects such as managing a shift or barcoding the collection.

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7 Reserves The reserve collection is the name given in academic libraries to the collection of books and other materials that are kept in a controlled collection and circulated for short time periods, such as a few hours or a few days. This is done at the request of the teaching faculty, who make the request because they want the students to use materials that either are not readily available for purchase or that cost more than the professor thinks appropriate. While the reserve items are usually placed in the reserve collection for use during just one semester, some items are in continuing demand and are placed on "permanent" reserve. In a college library, the reserve collection is usually a circulation department responsibility. Creation of reserve lists and control of reserve circulation have been among the last functions incorporated into the integrated automated systems and consequently do not usually function so smoothly as some of the other functions. Commercial stand-alone reserve programs that run on personal computers have been available for some time, and some libraries have devised their own programs for reserves. For example, Crawford (1990) reports using PC-File III to provide better control of the reserve reading collection and to save time.

RESERVE COLLECTION ARRANGEMENT The reserve collection is traditionally separated from the regular collection and kept either behind the circulation desk or in a special reserve room. Some libraries that in the past had a separate reserve reading room have

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abandoned it and integrated the reserve operation into the circulation department in order to decrease staffing costs. If space allows, that works well. Reserve collections grow and decrease through the years for reasons beyond the control or prediction of the library. The size of the collection will depend upon what courses are being taught that semester, the personal preferences of the faculty who are teaching the courses, whether the needed books are in print, how much the books cost, how concerned the professor is about the cost, how early the professor began to prepare for the course (a prepared professor may have put a book order in at the bookstore or put together a package of reprints), and whether the college is changing the number of courses taught. This variability in reserve collection size makes it difficult to plan for housing the collection. Historical statistics over a number of years may give a clue as to the maximum number of items put on reserve in the past, and an informed knowledge of the school can help educate the guess as to future trends. The voice of sad experience is, don't underestimate. Empty shelving will always find a use, but to put in additional shelving may disorder the entire work space. If the reserve collection is housed behind the circulation desk, the traffic patterns both behind and in front of the desk need to be considered. It works best to keep the regular checkout function in its own area away from the reserve function to minimize confusion for staff behind the counter and for patrons waiting for service. Since the reserve operation will involve much traffic back and forth from the reserve checkout counter to the reserve stacks, these stacks need to be sited near the reserve checkout counter. Extraneous foot and book-truck traffic needs to be minimized through the reserve area. Reserve collections can be, and have been, organized in various ways. Some libraries have organized their reserve collection by course, with all of the books for a particular course shelved together by author or call number on one (or more) shelves. With such a system, a misshelved book can be difficult to locate unless there is a spine label to indicate which course the book belongs in. There is also a problem with books that are on reserve for more than one course, though that can be handled by using dummies for the book in the additional courses. Another system arbitrarily assigns each book a number (an acquisition number, in effect), and files them sequentially by that number. That seems redundant for cataloged books since each book already has a call number, but can be useful for noncataloged books and photocopies. The most common arrangement for reserve collections is to put all the cataloged books into call-number order. This has the further advantage that at the end of the term when the books

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are pulled from reserves they can be put on trucks, already in order for shelving. Oversize books may be included in the reserve collection and will probably need to be shelved separately though in their own call number order. A dummy may be needed on the regular reserve shelf where the book would be shelved were it not oversized. For all noncataloged items, some other kind of order must be supplied. Photocopies of articles can be put into folders or envelopes and each given its own sequential acquisition number. The number might also include some designation which indicates that the item is in the file of photocopies, such as ENV. Multiple copies of the same article can be handled at least two different ways. For example, each envelope can be given its own number. For example, ENV 401, ENV 402, and ENV 403 might be copies 1, 2, and 3 of the same article. This has the advantage of being unambiguous as to what goes where. On the other hand, this system is awkward for the patron who is asking for an article and doesn't know what article numbers to give the circulation worker. A second approach is to label all copies with the same number and add a copy number, such as ENV 401 copy 1, ENV 401 copy 2, and ENV 401 copy 3. Professors' personal books can be numbered in a similar but separate sequence, such as with PC (personal copy) numbers starting with PC 1. Periodicals, if unclassified, are usually filed by their titles in another sequence, and government documents can be filed by SUDOC number in another. Reserve collections may also be used for materials that the college wishes to be made available to the general college community (special reports, for example), or for student works that are in limited supply and general demand such as entries in a writing contest. Some reserve collections also are asked to incorporate and circulate nontraditional materials, such as rock collections, media kits, audiovisual materials, and computer software. A distinctive "call number" needs to be assigned to each item so that the items can be shelved and retrieved accurately, and so that the checkout records are unambiguous as to who has what. RESERVE LOAN PERIODS Reserve loan periods are designed around several factors. These include the number of potential users as compared with the number of copies available, the length of time each user will need the item, and the amount of security the library needs to provide for the item. With all reserve items, the overall concern is to make them available within a comparatively short period for a number of users. If an entire class has been assigned a reading,

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a loan period in hours (one to four) is the usual choice. Most libraries allow these short-term items to be checked out overnight within the last hour that the library is open and make them due by the end of the first hour after the library next opens. With some materials, such as personal copies of books, security may be a major concern, so the book is not allowed out of the library, even for overnight use. Another category of reserves consists of books that will be useful that semester to a number of people, especially those who are writing papers, but that do not contain required readings. A loan period of a few days serves this group well, especially if the book can be renewed if there are no holds on it. A typical reserve operation provides for three kinds of reserve loan periods, for example, two-hour with overnight borrowing allowed, twohour with no overnight borrowing, and three-day. The loan period may be based upon the professor's request or the library may set it based upon the kind of material involved. For example, personal copies of books and any library material that would normally not circulate (periodicals, government documents) can be automatically designated as having a two-hour with no overnight borrowing loan period. Photocopies can all be automatically made two-hour with overnight borrowing. Library books may be designated two-hour with overnight if they include required readings or three-day if they do not. Once a loan-period designation has been established, the library needs to retain the right to determine whether or not the loan period will be changed during the semester since the circulation department usually has a more accurate understanding of the demand for an item than does the professor. Patrons of the reserve collection need to know the loan period regulations. Some libraries find it useful to have color-coded wraps printed for each of the reserve loan periods. These identify the loan period and list the regulations for it, a different color for each loan period. The wraps, which are fastened around the front covers of the books, are typically 4 inches wide and 22 inches long, and are printed on card stock. If the wraps are carefully removed from the books at the end of the term, most of them can be reused from term to term. If wraps are not used with photocopies or other nonbook items, then the loan period regulations need to be attached to the items in some other way and/or posted at the reserve desk. REQUESTING RESERVE LISTS The first step in assembling each term's reserve collection is to notify the faculty members that it is time to submit their requests for the coming

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semester. A workable deadline to give them will be based on the library's experience with its own processing time. Ideally, the goal is to have all materials processed and available on the first day of classes. The time this will take will depend on whether the faculty members submit the materials with their lists, the number of lists received, and the number and efficiency of the available library staff. Once the library has a sense of how long this time period is, a reasonable deadline can be set. For example, if it has been found that all lists received by January 1 can be processed and available for the first day of classes on January 15, but that those received after that may not be ready, then setting the deadline two weeks before the start of classes is reasonable. It needs to be made clear to the faculty at the time the lists are called for that lists received after the deadline will be processed in order, strictly as received, and that if they submit lists after the deadline it may mean that their students will not have the materials they need when classes begin. The function of the reserve operation is to support the teaching function of the school as effectively as possible, but since resources are limited, the departmental constraints need to be made known to those who use the services. Typically the request for reserve lists for the fall term is sent as a mailing to all teaching faculty several weeks before the end of the spring term since many faculty may be gone over the summer. For other terms the requests might be sent two weeks before the end of the previous term. The request for lists usually includes a letter calling for reserves, information about reserves for the faculty member, and a form for submitting the list. One way to do all of this is with a double-sided sheet that has the letter and information on one side and the form on the other. The letter side of such a form is shown in Exhibit 1. Extra copies of this double-sided sheet can be ordered so that several copies can be sent, with a cover note, to each department secretary to distribute to new and returning faculty or to serve as extras. Some libraries publish a pamphlet of reserve information for faculty rather than trying to include it all in a letter. Whether in the letter or in a pamphlet, the faculty members will need to know deadlines, the guidelines for the number of copies, who will pay for extra copies, the types of reserves available, policies on photocopying and copyright, what processing will be done to their personal copies, what reserves can be put in which library, and whom to call when they have questions. The guidelines for the number of copies to put on reserve will be based on each library's previous experience. One copy of a required reading for each ten students in the class may work well most of the time but may be

Exhibit 1 Letter Requesting Reserve Lists TO:

Teaching faculty

FROM: WHEN FALL SEMESTER RESERVE LISTS ARE DUE BY AUGUST 1. A form is on the back of this memo; give us a call if you need more. If you are repeating this spring's course next fall please let us know immediately! PRIORITY All requests are logged as they are received and are processed in order as received. Sorry, no exceptions; it's not fair to the others. V/e will process lists received after August 1 as quickly as possible, but we cannot guarantee that the material will be available when the students need it. TIME PERIODS Use the 3-day reserve period for materials which are likely to be needed for papers so that everyone in the class will have a chance at them. For required readings, the 2-hour reserve provides good access and keeps materials secure,especially so if there is no overnight borrowing permitted. MULTIPLE COPIES We suggest one copy of required readings for every 10 students. If your course will require additional copies of books, we will order them. Please indicate if your bookstore order included extra copies the library could purchase. Otherwise, allow 6 weeks for delivery and processing. The library will pay for the first two copies; additional copies will be billed to your department. Additional copies of articles can be photocopied. If made by you or your assistant using our key-operated library copier, the charge is S.07/page which can be billed to your department If made by us, the charge is S.15/page which will be billed to your department COPYRIGHT No photocopied material may be used for a reserve list for a second semester, even if another semester has intervened, without obtaining permission from the copyright holder. WE ARE GLAD TO OBTAIN THAT PERMISSION FOR YOU, but give us time. We allow a month for the replay. No photocopied portion of a book may ever be used until we have determined that the book is unavailable for purchase. No home-taped copies of recordings may ever be used until we have determined that an original is unavailable for purchase. WHERE Address your lists (legible, complete and accurate!) to Please let us know what we can be doing better to support your teaching. Thanks for your cooperation in all of this. Note: Dated and reproduced on letterhead.

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inadequate if the reading is especially long. If most of the students photocopy the reserve readings, then probably fewer copies will be needed since the students will not have them checked out for very long. The students may also systematically copy all of the items on the list early in the semester, thus reducing the demand at the critical time. When working with photocopies of articles one can, perhaps, afford to be more generous with the number of copies than when supplying books. However, the processing costs for reserves are significant, so unnecessary copies are to be avoided when possible. There is also the question of who pays when multiple copies of books or other items are needed for reserves. Some libraries will not buy any books beyond those already in their collection, some will buy any title in any number that is needed, and some will buy the first copy (or some, the first two copies) of any book that is needed but additional copies must be bought by the professor's department. The argument for buying any title is that if the professor thinks it is useful for instruction, then the library should have it. The argument on the other side is that the library has limited resources and must support the entire curriculum, so it reserves the right to select titles. Photocopies of articles are usually provided at the expense of the faculty member's department and are considered to be the property of the faculty member. If the library does the copying of the articles, the department is billed. On the reserve request form the faculty member needs to provide name, department and phone number, the term, the course name and number, and the number of expected students. On the list, the faculty member lists each book by author, title, date of the desired edition, and call number if applicable and indicates whether it is required reading. It is also useful to ask on the form whether the campus bookstore is ordering copies of the book that the library could buy. Periodicals need to be listed in much the same way, except that for each article the name of the periodical is needed along with the author, title, and page numbers of the article. Assembling the listed items is a time-consuming process (see the next section). Some libraries require that the faculty member submit not only the list but also all of the items on the list. Such a requirement also reduces the confusion that can arise over translations, editions, and miscited works. PROCESSING RECEIVED LISTS The following is an example of procedures, based upon one library's practice. When a list is received from a faculty member, it is entered into a Lists Received log. The information entered includes date received,

Exhibit 2 Reserve Processing Checklist NEW

ADD ON

COURSE

# in sequence

PROF.

date arrived # .r Cours;e put online Find call numbers

Orders to cards for follow-up* Gather books recall cards for follow-up* locate cards for follow-up* Gather Periodicals make dummies send to Cataloging/barcodes card and wrap (No Overnight) Send unbarcoded books to Cataloging Put barcoded books online card and wrap (2 Hr or 3 Day) Personal copies enter in reserve book and # security tape make bib. record attach to reserve list card and wrap (No Overnight) Reprints enter in reserve book and # make bib. record attach to reserve list card STAFF * Make sure course # is noted on card

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course listing (e.g., HIST 301a), and list number. The list number is a sequential number given to each list; this number is also written on the list. A processing checklist (see Exhibit 2) is stapled to the list, again with the list number noted on it, and the list is put in a box labeled "Lists received." Incidentally, the Lists Received log also has additional columns for the date completed and for the initials of the person who processed the list. Any personal copies of books and photocopies that were submitted with the course list are then put in a pile on the reserve processing shelves. The pile is identified by a self-stick note placed on the edge of the shelf with the list number on it, and by a scratch card with list number which is placed on top of the pile. With an automated system the next step is to enter the course into the system. Entering the items themselves and attaching them to the course entry comes later. The lists can be batched for the process of entering them. Once the courses have been entered, the lists are moved to a box called "Lists that have been entered." ASSEMBLING THE LISTED ITEMS Any staff member who has been trained to do list processing and who has time to work on a list can check the Lists Received log to see what list number was the last completed and then take the next one from the "Lists that have been entered" box or just take the smallest numbered list from the box. Library Books The next step is to check the computer to find all call numbers (there may be both Dewey and LC copies) for the library books that are listed. If a book is not owned, or if additional copies are needed, a copy of the list is made for the acquisitions department and the needed titles are highlighted with notes as to the numbers needed. The first two copies of the book will be purchased from library funds; additional copies are billed to the professor's department. A note is made, on the original list, of books on order, and a tickle card is made for each one. A tickle card is a scratch card with call number, title, course number, action taken, and date. The tickle cards for orders are filed by title; those for recalls and searches are filed by call number. The tickle card is pulled when the book appears; the whole tickle file is periodically checked because sometimes a book in the tickle file will mysteriously appear in the stacks. A different color scratch card is used for each kind of tickle: orders, recalls, and searches.

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The books are then pulled from the stacks and a note is put with them designating the course they are for. They are piled on one of the reserve processing shelves, along with the personal copies, if there are any, and the whole pile is identified by list number. If the library books are not in the stacks, recall requests are filled out for those that are checked out, a note is made on the list, and a tickle card is made out. If the book is not on the shelf and is not checked out, a search request is filled out, a note is made on the list, and a tickle card is filled out. Periodicals If the list includes articles from periodicals owned by the library, the original issue is pulled. If additional copies of the article are needed, the pages are photocopied and a billing prepared to charge the professors' departments for the cost of the copies. For each pulled periodical, a dummy wrap is prepared and put in a box labeled "Periodical dummy wraps." The wrap, as shown in Exhibit 3, is a form with space for the name of the journal, the volume number, and the date, and with the message on it "Available at the reserve desk." Periodically other circulation staff members take those wraps, wrap the dummy blocks, and file the blocks back on the periodical shelves. At the end of the semester, when the periodicals are returned to their shelves, the blocks are returned to reserves. Periodicals (plus any library books that are not barcoded) are put onto a book truck labeled "Books to be barcoded." Each periodical or book has a scratch slip in it noting the course and list number it is for. This truck is wheeled to the cataloging department once a day. People in cataloging expeditiously barcode the items and create the needed bibliographic and item records in the automated system and return the truck within a few Exhibit 3 Periodical Dummy Wrap TITLE:

VOLUME NO.

, DATED

I S ON RESERVE FOR THE FALL/SPRING 1 9 _

TERM.

PLEASE ASK FOR I T AT THE RESERVES COUNTER. Note: Reproduced on V2page letterhead.

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hours. The barcoded items are then put onto the appropriate piles on the reserve processing shelves. If periodical articles are needed that are not owned by the library, an interlibrary loan request is submitted, a note is made on the list, and a tickle card is made and filed with the on-order tickles. Note that books obtained through interlibrary loan may not be placed on reserve. If additional copies are needed of photocopies that the professor submitted, those are made and a billing prepared that charges the professor's department for the cost of the copies. ENTERING AND PROCESSING THE ITEMS Once assembled, the items are entered into the computer and attached to the course record that has already been created. Some of the physical processing is done during this process and some at the end, depending on the type of item. Library Books Library books are placed on the reserve lists in the computer by pulling up the course record on the screen, giving the appropriate commands, and wanding in the barcode. With a manual system the items for each course are usually arranged in alphabetical order and the list is typed. If there is no card in the book, one is made so that there is something to clip the student ID to while the book is checked out, the appropriate wrap (three-day or two-hour overnight) is slipped into the book, and it is set in a pile for further processing. That can be done later by staffers with spare time at the front desk; they tape the wrap around the front cover, place a reserve label on the spine, and shelve the completed books on the reserve shelves in call number order. Periodicals The periodicals are added to the course record in the computer. Then a card is made, a two-hour no overnight wrap is slipped into each periodical, and they too are set in a pile for the circulation staffers to finish wrapping, to tattle-tape, and to file on the reserve periodical shelf in title order. Personal Copies Since no record exists in the data base for personal copies, the first step is to barcode the book and create a brief bibliographic record and an item

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record within the computer. The automated system allows for the reserve function to do this and also allows the library to suppress the record from the public catalog if it wishes to do so. Since the professor is placing the book in the library just for the use of the students in the course, suppressing the record is appropriate. Suppressing the record still allows it to display on the reserve lists. The personal copy is then assigned a sequential item number which serves as its call number. A Personal Copy log is kept; it consists of a numbered list with space next to each number to enter the name of the faculty owner of the book. This list is checked to find the next available number, and the professor's name is entered next to it. This same number is then written on a peel-off label with a permanent marker. Two strips of Scotch-brand removable tape are placed across the spine of the book, and the label is placed on top of them since putting the label directly on the spine sometimes results in a torn spine covering when the label is removed at the end of the semester, especially on paperbacks. The book is added to the course by wanding in the barcode, a card is made, a two-hour no overnight wrap is slipped into the book, and it is set aside for a desk worker later to tape on the wrap, tattle-tape, and shelve in number order on the shelf for personal copies in the reserve collection. Photocopies Each photocopy has to have a bibliographic and item record created for it in the automated system. With at least one automated system, the photocopy of an article is listed on the reserve list on the public terminals under the author of the article, while the original article is listed under the name of the periodical. This confuses both students and professors; the students appreciate those professors who have provided them with complete bibliographic citations for their reserve items so that it can be found either way. Each photocopy is stamped with the copyright notice and placed in a legal-sized manila clipping envelope. The envelopes have been prenumbered on the top left-hand corner and a card with the envelope number on it has been slipped into the envelope. The ENV number serves as the call number for the photocopy, so it is entered in the item record. The envelope is then ready tofileon the shelf in ENV number order. There is no attempt to tattle-tape the envelopes, and no wrap is attached. When all items on the reserve list have been either processed, ordered, recalled, or placed on search, the person processing the list initials and dates the Lists Received log entry for that list and drops the completed list in a "Completed lists"

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box. The reserve coordinator arranges those lists alphabetically by course name once a day. The coordinator also periodically checks through the tickle file for problems. A month after the semester begins, a copy of the professor's list showing what is actually available for student use is sent to the professor so that he or she can see what items are not yet available and can, if necessary, alter the course syllabus. Not all reserve lists are complete when they are submitted, and probably a third of the final number of reserve lists will not even be sent to the library until after the deadline. A number of those will be received after classes have started. In addition to the new lists, there will be additions and changes to existing lists, some needed immediately. Some professors add to their list almost daily, apparently building it as they go through the term. These new lists and additions may or may not be a problem for the reserve coordinator. If they are, there are several alternatives. One is to do whatever is necessary to accommodate the faculty, including working late, assigning more people to work on reserves, and letting other operations go while reserves is given priority. At the other extreme, the faculty can be told that no additions or changes will be accepted once the term has begun. Between these two extremes lie other options, such as informing faculty that their requests will be handled in the order received and will be done as expeditiously as possible. Another approach is to batch all processing so that it is done one day a week and let faculty know that all reserve list additions and changes received during the week will be processed, for example, the following Monday. The reserves operation should not dictate instructional policy, but it does need to operate within the limits of institutional resources. COPYRIGHT The 1976 U.S. copyright law leaves many questions unanswered for libraries. It helps to keep in mind that a basic purpose of the law is to guarantee the originator of an intellectual or creative work both recognition and remuneration for any use made of that work; decisions can be guided by that purpose. For a library reserve operation that photocopies articles, this means that no photocopy should be made that will deprive the originator of income unless the use is immediately necessary for teaching purposes. In practice, this means that as soon as the beginning-of-the-semester rush is over it is necessary to write to the copyright holder for each periodical article that has been photocopied and ask for either reprints (which can be used over and over) or for permission to photocopy. A copy

Exhibit 4 Request for Permission to Photocopy from a Journal Date: Re Journal: Author: Title: Volume: Pages: Date: A faculty member would like to place copies of this article on reserve for student use. He/she anticipates using it for several semesters. Are copies of this article available as offprints? If so, we would appreciate cost and order information:

If not available as an offprint, we would appreciate permission to place photocopies of the article on reserve. Permission granted for one semester semesters unlimited other Fee? Publisher's authorized signature A self-addressed stamped envelope is enclosed for your convenience in returning this. Thank you.

Head, Circulation Department Note: Reproduced on letterhead.

84

Exhibits Request for Permission to Photocopy from a Book Date: RE Author: Title: Date: Chapter title: Pages: A faculty member would like to place this item on Reserve for student use. So nearly as we can determine, the book is out of print. If the book is available we would appreciate price and order information:

It the book is not in print, we would appreciate permission to place photocopies of the needed pages on Reserve. Permission granted for one semester semester unlimited other Fee? Publisher's authorized signature A self-addressed stamped envelope is enclosed for your convenience in returning this. Thank you.

Head, Circulation Department Note: Reproduced on letterhead.

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of a request is shown in Exhibit 4. File a copy of each request by name of journal. When the response is received it is substituted for the file copy, or, if the original request is not returned, note the information from the response on the file copy and staple the response itself to it. Going through the Copyright Clearance Center, 27 Congress St., Salem MA 01970, for journal article copying permission is an alternative that would probably cost less in staff time but more in actual fees charged. No photocopying can be done from books unless portions are urgently needed before copies of the book can be purchased. If a book is not listed in Books in Print, then photocopy the needed pages, but write immediately to the publisher to determine whether the book is available for purchase. In the same letter, as shown in Exhibit 5, request permission to copy the needed pages if the book is out of print. The regulations on copying are stricter for sound recordings. The only permitted copying of a sound recording is to replace a lost or damaged recording if a replacement copy cannot be purchased at a reasonable cost. A primary purpose of the copyright law is to assure that no one is deprived of a sale. It is neither legal nor ethical to provide a service at the expense of those whose enterprise provides the substance of scholarship. For a more extensive discussion of copyright as it relates to educators, see Helm (1986). CIRCULATING RESERVE ITEMS A user of the reserve system needs to be able to find out whether the desired item is on reserve and, if it is, the information necessary to retrieve the item, such as call number. Many users also like to see the entire list of reserve items for a class. In a library with a manual system, there are other library users who are sometimes penalized by the reserve process. These are the library patrons who need a book, find that it is listed in the card catalog but don't find it on the shelf. What they may not know is that it is not on the shelf because it is on reserve. Some libraries have put dummies on the shelf when a book is on reserve; the dummies carry a message about the book being available at the reserve desk. Other libraries cover the cards in the card catalog with a clear plastic jacket which has printed on it "ON RESERVE" or some such message. Both of these labor-intensive processes tend to get abandoned as work loads increase, the argument being that if the patron wants the book badly enough to ask at the desk, she or he will be told that it is on reserve. This latter approach works better if signs are posted around the

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library encouraging users to ask at the circulation desk if the book they need is not on the shelf. With a manual system, the information about what is on reserve can be kept either in a notebook or in card trays. With a notebook (and more than one copy may be needed, depending on demand), the pages in each notebook are usually arranged alphabetically by course, with each course on a new page. Entries on the page are usually arranged alphabetically by author, even if the professor has supplied the list in the order in which items will be used, since the alphabetical order provides greater ease of access for out-of-sequence users and for changes. Arranging the notebooks with the holes at the tops of the pages provides more space per line for each entry. Large, top-quality D-ring notebooks and polypropylene sheet protectors will last for years. Some libraries use, instead of notebooks, card trays with a heading for each course and with the reserve items listed alphabetically, one per card, behind the course name. These card trays are set out on the counter. With the trays it is easier to add items to an existing list than it is with the notebook. On the other hand, students find it somewhat harder to scan a course list to see what they have missed, and they cannot photocopy the list from the cards. With a computerized system, the list will be available in the computer. If public terminals are not available at the reserve desk, then either a notebook needs to be provided or students must be directed to the terminals to find out what they need. If there are printers at the terminals, the students can make a printout of the list to use all semester on which they can check off items as they read them. Once students have found the items they need, they provide the information to the desk attendant. Assuming that books are filed by call number, it usually works best to have the student supply the call number in writing. Small pieces of scratch paper can be kept at hand for this, along with pencils or pens that are attached to the counter. The attendant takes the call number and returns with the item, which is then checked out to the student borrower. Because the impact of missing reserve items may be so significant to other students, reserve operations are usually quite strict about checking the borrower's ID to make sure that the person signing the item out is who she or he claims to be. For example, the policy may be that no reserve item will be loaned to a borrower without the borrower's own college photo ID. If a student borrows a friend's ID, the student is told that the friend must come to the desk in person to check the item out The strictness of this policy is usually based on experience with stolen and claimed-stolen IDs. Some libraries have found that the most effective way of assuring the

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return of reserve items is to require that the borrower's college ID be left at the reserve desk, at least for short term items. If the ID also serves as the student meal card, then it is not possible to keep it for overnight items. Keeping the IDs requires that they be treated carefully so that they are not misplaced or returned to the wrong borrower. Usually they are clipped to the cards for the borrowed items. Each card with its attached ID is either laid on a shelf or filed in some order in a box. With a high-volume reserve operation, the problem is to keep the cards readily retrievable. If the item information has been typed at the top of the card and the ID is clipped on top of it, then the cards cannot be filed by call number. If the ED is clipped to the card below the item information, it frequently falls off. Clipping the ID to the back of the top of the card is one possibility. If the ID is turned so that the photo is facing back, then it is easy to pull the card and flip it to make sure that the ID is the correct one for the student who is returning the item. Attaching the due date, or, more accurately, the due time, to a reserve item is done in several ways. Some libraries use a stamp with minutes on it and set it to give the due-time to the minute. This means resetting the stamp essentially every time an item is checked out, but the desk attendants who do this seem to do it accurately and as a matter of course. The stamp is used to stamp the due-date on the item as well as on the item card, which is then filed by time due. Some libraries make the time due always fall on the hour. An item checked out within a half hour before or half hour after the hour would be made due on the same hour. For example, if a 2-hour reserve item were checked out at 1:35 it would be due at 4:00 and if it were checked out at 2:25 it would still be due at 4:00, while if it were checked out at 2:35 it would be due at 5:00. The loan period is not, in fact, 2 hours but is 1 Vi to 2Vi hours, depending on the time the item is checked out. At least one library does not attach a due time to the item. The attendant hands the item to the borrower, usually telling the borrower either that it is due in two hours or the actual time it is due. The card itself is stamped in a time clock. If someone else wants the item and it is overdue, the borrower is paged twice. If the item is returned there is no fine. If the item is not returned, a fine slip is prepared immediately and attached to the item card. Any of these systems can be used with an automated system. In addition, a grace period, such as fifteen minutes, can be built into the loan rule. Books that will be checked out overnight or longer will usually require a somewhat different procedure from hourly items. They may need to be desensitized, and IDs will not be kept. If using a manual system, the item card will need to be filed by date due so that it can be closely monitored.

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Discharging Reserve Items When the reserve item is returned by the borrower (often after a short loan because many students photocopy what they want to read), the card is pulled or the item is wanded in if an automated system is being used, the ID is retrieved and returned to the student, the card is put back in the book or envelope, and the item is returned immediately to its proper place on the shelf. Overdue Reserves As noted above, with the manual system a fine slip is prepared immediately once it is determined that a two-hour book is overdue. With an automated system, the system keeps track of the fines. A major problem when first bringing up the automated system is that it is easy to forget to wand reserve books back in, so for some time all fine reports need to be checked against the shelves to see whether the book has in fact been returned. For overnight books, the cards are checked by the staff person on duty an hour after opening and fine slips prepared for any books still out. If it is an item that is known to be currently in demand, the borrower can be called. For reserve books that check out for several days, the staff person responsible for overdues may be assigned to monitor them daily and prepare any needed fine slips. A typical fine structure for overdues assesses fines of $1.00 for the first hour overdue and then $.25 per hour, often up to some total, such as $50, after which the student is billed for the book. STATISTICS ON RESERVES The basic statistics on reserves needed by most libraries are total reserve circulation per term, the number of courses with lists on reserve, and the total number of items on reserve. Beyond that it may be useful to know how many times each item has circulated and what percent have not circulated at all. A breakdown of the total circulation by item type can also be interesting. The challenge is to evaluate how much staff time the statistics are worth. With most automated systems, the basic statistics are generated automatically and retrieving them is a fairly straightforward matter. With a manual reserve system, however, gathering statistics is a time-consuming operation. One way to do it is to gather no statistics until the end of the semester. At that time, pull the checkout card for each item. The cards are

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then sorted by course and the number of times each item was checked out is tallied. Those totals are written, for each item, on a copy of the reserve list. On another form with columns, the total number of items for each list is written in one column, the total with no checkouts is written in another, and the total number of checkouts for the list is written in a third column. These columns are each added up to give the total number of items put on reserve that semester (each copy counted as one item), the total number of items that had no circulation, and the total reserve circulation. The average number of circulations per item can then be calculated. The number of lists on reserve is determined by tallying the number of entries in the first column. It is frustrating to have staff occupied with these statistics at a time between terms when all hands are needed to clear out the old reserves and get the ones for the next term prepared. At those times the checkout cards can be set aside for the counting later, after the next term is underway. If there is reason to be concerned with the number and cost of the items being put on reserve that are never used, send each professor a photocopy of the copy of his or her lists on which the number of checkouts per item was noted along with a letter asking each to look at the usage and consider it in making up future lists. REMOVING RESERVES Every academic library wrestles with the question of how to minimize the wasted effort of removing reserves and returning them to the stacks or to the professor, and then having the same professor put the same items back on reserve the next year or even the next term. The costs, in staff time, of processing them again are significant. One way to minimize these costs is to send a letter to the faculty members near the end of the term asking them to notify the library immediately if they are planning to repeat the list. Since the letter requesting lists is going out at about the same time, this request can be included in it instead of in a separate letter. If the list is going to be repeated the next semester, it is easy to keep the list and, before pulling other items, set aside those that are going to be used again. A different question arises for those items that are going to be used again, but not for a year. Some libraries keep items on reserve for a year and a term, and then remove them only if they have not been used a second time during that period. This affects the availability of the reserved library books during that time, of course, and also requires extensive reserve-area shelving. The library would need to evaluate whether the savings in staff

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time is worth the inconvenience to borrowers and the cost of the additional space needed in reserves. Some libraries return photocopies to the faculty members, especially if they have paid for them. This is done at the end of each term unless it is known that the same photocopies will be placed on reserve the following term. The assumption is that it is appropriate for the professor to keep track of his or her own copies, and, if she or he discards them, to pay for new copies when they are needed. Other libraries keep all photocopies in their own files and check those files before copying any articles for new lists. Personal copies of books are always returned immediately to the professor unless they are going back on reserve the next term.

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8 Circulating Noncirculating Books and Nonbook Materials Circulation departments have, over the years, successfully standardized routines for circulating books from the regular collection. In most libraries, however, procedures are still evolving for circulating items outside that traditional category. The nontraditional items include books that come from special collections, materials in other formats, and, even more challengingly, items that combine formats such as books with accompanying computer disks. The decisions on how to circulate nontraditional materials depend in part upon the decisions the library has made as to how to house and catalog these materials. Those decisions will have been guided by concerns such as how to protect the materials, how to provide maximum patron access to them, and how to do these things in a cost-effective manner. As with all circulating materials, the questions to be addressed by the circulation department are how to keep track of what is checked out and who has it, what due date to attach, and how to attach it. There may also need to be special measures to protect the materials from theft or damage. NONCIRCULATING BOOKS Noncirculating books, such as those from the reference collection or from some special collection, that a borrower has been authorized to check out present a list of questions. These include

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Who authorized the checkout? How long is it for? Where is the record to be kept? How is the due date to be attached to the item? Where does it get checked in? Who handles the overdues? One way to handle these is to have each department totally responsible for handling its own checkouts. If that system is adopted, then any book that has been checked out by another department needs to have clear evidence in it that it has been checked out, so that when it is handed to the circulation staff to be desensitized they will know that they are authorized to do so. The books will also need to be clearly labeled as to the department they are from so that they do not get inadvertently shelved back into the main collection. An alternate policy is to have every item that leaves the library checked out at the circulation desk. With this policy there needs to be a way for the authorizing department to transmit the authorizing information to the circulation department. One way to do this is to photocopy a specialauthorization book wrap, 3V2 by 14 inches, onto 14-inch paper, three to a sheet. Each department that has noncirculating books can keep a stack of these. When a noncirculating book has been authorized for circulation, the authorizing librarian wraps the cover of the book, enters the due date, and signs the wrap, thus authorizing the checkout. The borrower then takes the book to the circulation desk, where a staff member either makes up a card for the book or, with an automated system, enters the information in the computer. The book is then desensitized and the borrower takes it. The wrap instructs the borrower to return the book by the due date to the circulation desk. There it is discharged by a staff member who then initials the wrap, sensitizes the book, and returns it to its home department. Though this seems cumbersome, this system does eliminate the confusion about what books have been authorized to leave the library and consolidates the record-keeping and the overdue procedures. PERIODICALS In the circulation department, the term periodicals usually refers to newspapers, unbound journals, and bound journals. While microform editions of newspapers and journals are also properly periodicals, they seldom circulate and so are not included in the following discussion.

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Some libraries keep the current issues of periodicals in a reading room. Usually these do not circulate at all since they are in such high demand. If the circulation department is responsible for reshelving periodicals, it will be interested in a scheme that makes it possible to differentiate the reading-room copy from the rest of the issues. The new issue may be designated with a sticker or mark that is crossed off when that issue is moved to the stacks, or conversely the issue may be left unmarked until it is moved and then a dot, note, or label put on it. Some libraries put the reading room issues into clear binders that protect them. These may also serve to reduce theft. Many academic libraries do not lend any periodicals. The reasons for this policy are that several people within a short time span may need to read a periodical for totally different articles, that the usual article is a reasonable length to read in the library or to photocopy, and that lost issues of periodicals, especially old issues, are difficult to replace. Even if the library has a firm no-loan policy for periodicals, some procedure will be needed for the times when a faculty member or a student needs an issue to take to a class in order to show colored illustrations or charts. Faculty also will ask to check out periodicals in order to photocopy articles because they find it more convenient or cheaper to do so in their departments. The question of convenience can be answered, at least in part, by having a system that allows the faculty to authorize a research assistant to copy for them in the library and bill the costs to the appropriate faculty account. The authorization needs to be in writing and can be assumed to be for one term unless a different time period is specified by the faculty member. The library should keep it on file for the time during which it is in effect and for a term beyond, in case some question arises about the charges. The usual method for billing copying to a faculty or departmental account is to check out a copy machine bypass key to the faculty member or the authorized assistant and then have the individual fill in a billing form when finished. On the billing form the person enters the date, the number of copies made, and the account to be billed and then signs it. At regular intervals, such as once a month, a designated circulation department staff member reports the billed amounts to the appropriate campus office. Billing is not without its costs, of course, but many campuses forget that checking out a periodical costs, too, much more than checking out a book, and deprives other users of access to the entire issue or volume for the time that it is out of the library. The argument that it costs less to copy in the professor's department may be more illusory than real. On many campuses, all photocopying in an academic department costs the department

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(based on the monthly machine count) so many cents per page. The faculty member may not know that departmental copying is not really free and that the department is paying for his or her copies. If that is the case, the library can do some educating and then provide a method for copying in the library and billing to the department. The library's copying charge should be the same cost per page that departments pay for copying on their department copiers. This arrangement would remove at least one argument for checking out periodicals. Sometimes library patrons wish to have somebody from the library do the copying for them. This is an expensive service to offer and is not usually provided for students in a small college library. However, the library may wish to accommodate faculty who do not have time or research assistants to do their copying. A fee may be charged for the service and added to the bill. It can be either a flat fee per article or an amount per page. For example, if copying is usually seven cents a page when done by a faculty member, then the cost might be fifteen cents a page if a library staff member does the copying. There is some irony in charging faculty for a copy of an article that is owned by the library if the interlibrary loan department is furnishing faculty with free photocopies of articles from other libraries. However, the justification for the free interlibrary loan service may be that the faculty member has already been inconvenienced by having to fill out the interlibrary loan request and then wait for the article to come. With a manual system, it is customary to fill out a card each time a periodical issue is checked out. These cards usually are five-by-three-inch forms printed with space for periodical name, volume, issue, and date, and then space for patron information and due date. Note that the volume, issue, and date are needed to identify the specific issue or volume and are necessary for recalls and overdues. The cards, after being filled out by hand, are then filed alphabetically by periodical title. The due date can be stamped on or inside the back cover, or a self-adhesive label or a self-stick note can be attached inside the back cover and the due date stamped on it. There may be a problem with how to tell, when a periodical appears on the circulation counter, whether it is being left there after having been used in the library or whether it was actually checked out. If the library finds that a number of periodical issues have been ending up back on the shelf without having been checked in, then the staff member responsible for periodical overdues will need to check the shelves as the first step in the overdue procedure. With periodicals, as with books, if there is no enforcement mechanism for faculty overdues, then the department will have to send notice after notice.

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With an automated system, periodical checkout may be handled somewhat differently, depending on the system. If periodicals have been entered in the system, at least by title, then the item can be fairly easily checked out. It can be barcoded at checkout if it hasn't already been. One advantage of barcoding circulating periodicals is that it is then a simple matter to wand in any barcoded periodical found lying on the counter and thus eliminate the problem of issues being returned to the stacks without having been checked in. Even with an automated system, however, some of the problems remain, especially those of getting them back and of attaching a due date. HIGH-RISK PERIODICALS High-risk periodicals are those that frequently disappear if left on the open shelves. Usually they are the most recent issues. Libraries handle the problems of disappearing periodicals differently. Some put a security strip in those issues or put them into binders and leave them on the open shelves. However, in some libraries, all issues of periodical titles that have been found likely to disappear are kept behind the circulation desk until bound or until the microfilm has arrived. When any library materials are located someplace other than their expected location, that information needs to be available to patrons. With periodicals this information can be provided both in the library's periodical list and on the shelf where the title normally would have been found. With an automated system, note would also be made in the computer. These issues then have to be requested by patrons, retrieved by a circulation worker, and checked out to the patron. A manual system of checkout may suffice. One or more checkout cards can be made up for each high-risk title. A borrower exchanges his or her ID for the requested issue after signing the card. The ID is clipped to the card. Since the ID is being held there is little need to keep track of which issue the borrower has or to give a time limit. The library may wish to limit the number of issues a borrower may have at a time. NEWSPAPERS Newspapers can be circulated in the same way as other periodicals. The few that check out are usually foreign language issues; the borrower may have to transliterate the title for the desk attendant. Any newspaper that disappears frequently may be handled in the same way as other high-risk periodicals.

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PHONO RECORDS Circulating phono records invites damage. They get scratched, smeared with food, warped in the sun in cars, or broken. Phono records of archival value should not be circulated. Phono records are usually checked out in the same way as books, except that they should carry notices asking that they not be returned in the book drops. The book drops, too, need a note reminding borrowers not to return phono records there. If phono records are not shelved on open shelves, a security strip may not be needed. However, libraries that are concerned with the security of their phono record collection attach a special security strip which fits onto the center of the record. A regular strip could be inserted into the record jacket, but that does not protect the record itself, and there is no effective way to hide the strip. A pocket for cards is usually attached to the outside of the jacket. Since there is no consistent placement on a record jacket that won't, in some instance, cover useful information, libraries have to decide between consistency and information. To some extent, the decision will depend upon the use that the college makes of the information on the jacket. COMPACT DISCS (CDs) Compact discs promised to be the answer to librarians' problems with phono records. They are not damaged by playing and are remarkably resistant to other kinds of damage, as well. However, there have been ominous reports that their useful life may be as short as seven years because of inherent decay. If this is true, it is bad news, indeed, for libraries interested in creating an archival collection of recorded music. For the circulation department, however, compact discs present few problems. The main ones are how to attach a security strip, if the collection is on open shelves, and how to attach a due date. The strip can be put inside the case, though that does not protect the disc itself. For the due date, a loose card with the due date stamped on it can be slipped into the case at checkout. CASSETTE TAPES Cassette tapes are a problem for circulation. They are too small for a checkout card, they don't have room for a full-sized due date card, and they can be damaged easily by a sensitizing/desensitizing unit. The checkout cards may be kept in a separate file and pulled when a tape is brought

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to the desk to be checked out. A stack of half-sized due-date cards can be kept at hand and then stamped and slipped into the case when a tape is checked out. Alternatively, a small self-adhesive blank label can be attached to the case and the due date stamped on it. Care needs to be taken that the placement of the label does not obscure needed information. Cassette tapes can also create copyright problems. Faculty members may, in all innocence, create tapes for their listening classes that are in blatant violation of copyright, and students may then want the library to duplicate the tapes for them. Faculty members can usually be educated by pointing out to them that the point of copyright is to assure to the creative person the rewards of his or her work. Students are more resistant to the idea that there are moral and legal problems with copying, but the library must remain firm. There is also the temptation, with a circulating collection of recorded music, to make backup copies on tape. The only copying of a sound recording permitted by the copyright law is to replace a lost or damaged recording if a replacement copy cannot be purchased at a reasonable cost. Thus, if backup copies are made, they can be used only if a replacement cannot be purchased. COMPUTER WARE Software that can be checked out presents an array of problems, an array so vast that many libraries have opted to house all such software at the college computer center, despite the inconvenience to the borrower, who may have to go to the library for the book and then to the computer center, which may be at the other end of campus, for the accompanying disk. The problems include those of creating backup disks, checking returned disks for problems, the variety of hardware that would be required for those operations, and the difficulty of supplying knowledgeable user assistance. In addition there may be problems keeping magnetic media away from the security system, problems with cataloging, and the logistics of housing the various sizes and formats. Many libraries have, however, computer rooms located in the library. The computers may or may not be owned by the library, but usually the library circulates the software for use on the equipment, along with manuals and sometimes printer ribbons. Software for use within the library can be placed in clear plastic folders with the appropriate number of pockets. All computer software must now carry a copyright notice on it; this can be laminated to the folder. The folders can be labeled with self-adhesive labels or with a permanent marker, and then stored in a box along with the checkout cards.

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At checkout, the borrower's ID can be clipped to the signed card. Some libraries set time limits, but they are frustrating for the users. On the other hand, having the borrowers check out the software and then leave the computer room, or even the library, leaves other users stranded. One library notifies computer room users that to leave the room for longer than ten minutes without returning the software will result in a ten dollar fine. This is enforced by paging the student if there is an apparent problem and then paging again ten minutes later. If, when a disk is returned, the borrower reports a problem with it, the disk should be set aside in a problem box. These defective disks may be sent to the computer center for attention, or student workers who are computer whizzes may take the problem disks to the computer room to verify and identify the problems. Even if the computer center is responsive to student problems with the software, students feel cheated if there is nobody in the library who can give them advice and may blame the library for what they see as incompetence. Informing students about the nature of the arrangement is an ongoing process. Computer manuals may also be given to the circulation department to circulate. Another way of dealing with some problems students are having with the software is to check out the appropriate manual to them. These can circulate like the software, using a card and clipping the ED to the card. Since the student will probably be using software at the same time, both cards can be clipped together with the ID. The problem with the manuals is not so much with circulating them as with letting the students know that they are available, since they are usually not cataloged. While word of mouth may be the most effective way, a sign can be posted in the computer room listing manuals that are available.

9 Additional Department Responsibilities A number of tasks beyond those involved in the basic circulation cycle are traditionally assigned to circulation departments, including registering patrons, opening and closing the library, doing the daily pickup, taking care of the lost and found, and caring for the public photocopiers. Sometimes the responsibility for building security and for responding to emergencies is also assigned to the department. REGISTERING PATRONS With a manual system, registration is not usually needed for campus borrowers. Off-campus borrowers, however, fill out an application form and are then issued a borrower's card. The application form is filed alphabetically once the card is issued. However, if the borrower's card has only a patron number on it, as is sometimes the case, then a numerical list is also needed. This can be a second application form (the form is usually simple enough that asking a person to fill out two is not an imposition), or it can be a register. Apparently it was not uncommon in the past for libraries to keep the borrowers' cards on file rather than issuing them to the patrons, but in this era when each person carries a wallet full of cards, it is more appropriate for the patron to be given responsibility for the card. With an automated system registration is required for all patrons. For campus borrowers, the campus data base is usually loaded into the automated system so the basic information is there. Registration then consists of updating the patron information in the data base, issuing a card

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with a barcode on it (or attaching a barcode to the card the patron already has), and then adding the barcode number to the patron's entry in the data base. The process can take several minutes even though the basic information is already in the computer. For off-campus borrowers and campus borrowers for whom there is no entry in the data base, the process takes longer. The person fills out an application form. All of the information then has to be typed into the computer and the patron's barcode wanded in. The off-campus patron is either given a new library card with a barcode embedded, or a barcode is attached to the current library card. The necessity, with an automated system, for registering all patrons is a hidden cost of automating in terms of the staff time it takes. It might be useful, before bringing up a new system, to talk to others who are using the same kind of system to see how much time needs to be allowed both for the initial registration and for the ongoing registration of new patrons, including each year's new students and faculty. STATISTICS Sellen (1989) writes, "The most important statistics of small libraries, the ones most influenced by the budget, are how much the facility is being used and what materials are most needed by the patrons. These come from the circulation department. Many a budget has risen and fallen based on what librarians do with these statistics." The challenge when collecting any statistics is to collect only those that are cost effective, that is, those with an information value that justifies the time and cost of gathering them. Since a great deal of the value will be to library management, the statistics processes should be periodically reviewed with the managers. The circulation department needs to provide management the data on the time and cost of gathering the statistics so that the managers can make informed decisions about which statistics are useful enough to justify the costs of collection. Trochim, Miller, and Trochim (1985) provide a manual that discusses the questions of why, what, and how statistics can be gathered by a circulation department. With an automated circulation system, statistics are produced as a by-product of the processes, and are available in dazzling profusion, detail, and permutations. Decisions still must be made as to which ones are worth extracting and keeping. OPENING AND CLOSING Opening and closing the library are frequently both assigned to the circulation department because it is staffed all hours that the library is open.

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Opening the library involves a number of actions, some or all of which must be completed before the building doors are unlocked, such as turning on power and/or lights, turning on machines, opening interior doors, resetting stamps, collecting statistics, and emptying the book drop. The staff member assigned to the opening should not be expected to donate the time required. Rather, a realistic amount of time should be allowed as part of that person's schedule so that the library can be opened promptly at the scheduled time and is ready to offer services as soon as it is open. It is unwise to open consistently either early or late since either confuses patrons as to what they can expect. The closing process also may involve a number of actions that must be taken after the doors are locked and the last patron has left. Again, realistic time should be allowed for these in the schedule of the staff member responsible for closing. Although it is the custom in many libraries to allow no checkouts during the last fifteen minutes or so that the library is open, this seems to be an arbitrary rule. If the library is open, it should offer services, and should arrange the work schedules of the staff members so that they are paid for the extra time that will be required after closing to put things in order. One of the problems in closing is in getting all patrons out of the library. A final sweep of the library is usually needed. Some libraries find it effective to turn out the lights. The standard method is to use a public address system with a sequence of announcements. Libraries vary in how many they use, what timing, and what, if any, limits they put on checkout. As an example, a department may first announce that the library will be closing in 30 minutes and that all books must be checked out in the next 15 minutes. The next announcement, at 15 minutes before closing, announces that the library will be closing, and the last, at closing, announces that the library is now closed and requests that people leave immediately. If patrons complain that the announcements are tedious, the staff can be encouraged to change the wording so long as the basic message is given and so long as the message is kept businesslike. However, changing the tone can be even more effective than changing the wording. If the announcer uses a chatty, just-want-you-to-know tone instead of the impersonal airport announcement sound, the chilling institutional quality can be avoided. With both opening and closing procedures, there are usually a number of things to remember to do and these are best done in a particular sequence. A list of opening and closing procedures should be available in the procedures notebook, and it is especially helpful to have a checksheet available for the staff member to carry around while performing the actions listed.

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BUILDING SECURITY The circulation staff often carries a major role in assuring building security. This includes monitoring door alarms, securing the building at closing, and observing and reporting security problems. The responses to security problems and the channels for reporting problems need to be clearly defined in the department procedures manual. The campus security office will also be concerned about security of the building and its contents and can be a resource when there are problems. LOST AND FOUND Among the items found in the library are books, papers, mittens, jewelry, glasses, keys, identification cards, and the occasional billfold. Typical guidelines are that if there is identification on an item, call the owner and mail ID cards to the owner. For other valuables, including billfolds, keys, and jewelry, if unable to reach the owner immediately, call the campus security office to pick it up, list the item on a Lost and Found log, and put the item into a locked drawer or safe at the circulation desk. When the security officer comes to pick up the item she or he should sign the log to acknowledge receipt. The less-valuable items can be kept in a box at the circulation desk. Near the end of the semester the box of unclaimed items can be set out in the lobby so that students can take what they can use. LIBRARY PICKUP One of the functions assigned to the circulation department is that of doing the daily pickup. The purpose is to gather all of the materials that have been left scattered about the library and return them to their proper locations. This is done at the same time each day, either as the last thing at night or first thing in the morning. The library usually keeps statistics on the number of library items picked up, sometimes by type of item, so that books, periodicals, and microforms would, for example, be counted separately. Sometimes the library will wish to know which items are being used in-house as part of the information base for collection development and weeding. One way to do this with a manual system is to stamp the pocket of each book that has been picked up with a small date stamp. With a manual system, each of the books that has been picked up should also be checked for cards and sensitized. Some automated systems have a function that, by scanning the barcode of each

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item, can be used to keep track of the in-house use. The system will keep statistics both on total use and on the use per item. One of the problems with library pickup is that sometimes at closing patrons are in the middle of projects for which they have pulled piles of books. Some libraries require that the patrons check the books out and take them home. Otherwise the books will be picked up and reshelved by library workers. While inconvenient for the patrons, this system works if the books can be guaranteed to be back on the shelf by the time the patron needs them again. There are, however, some patrons who will hide their piles so that they can be easily retrieved. These hidden piles may then be forgotten or lost. Other libraries require that the books be checked out, but they provide lockers in which patrons can leave books that have been checked out. If the library provides lockers, then the library must also periodically check the lockers for non-checked-out and overdue items. Some libraries honor "Do not disturb" signs that patrons leave on their piles of materials. However, unless the signs are dated, the piles may gather dust for weeks and the books be unfindable by others. Sometimes these piles are also used to claim a particular seat even though the patron will not be back for several days and during which time the seat may be needed by other users. One library devised a system of "save shelves." On each of the three floors of the library some empty shelves were designated on which students could leave books. The rules are that the books can be left for two days. If they are still there the third day they will be picked up by circulation workers for reshelving. Circulation workers monitor the shelves during the morning pickup. The person doing the pickup for each floor takes a book truck, a pad of small (lV^-inch-by-l-inch) self-stick notes, a stamp pad, and a date stamp. At the save shelves the piles are checked. For any pile that doesn't have one of the self-stick notes on it, one is put on it and is stamped with the current date. Any pile which has a note with just one date stamped on it is stamped again with the current date. Any pile topped with a note with two dates stamped on it is removed to the book truck and taken to the circulation department for reshelving. Reference books are also removed since the posted sign asks that they be left in the reference area. Periodicals are left on the shelves, though there is some concern about that. If the serials department had enough help to guarantee swift reshelving, then a strong case could be made for not allowing periodicals on the save shelves. However, if the periodicals will be lost for two days in the reshelving process, it creates massive frustration for the user not to allow them to be left on the save shelves. If a patron wishes to leave a pile for more than two days, she or he can remove the

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self-stick note. The pile will be treated as a new pile anytime it is found with no note on it. The library has no objection to this; it just wants to know when the pile has been abandoned. Note that the books are not checked out. Students sometimes leave checked-out books, but most of them seem to understand that this is not a smart move since the student will be held responsible if the books disappear. There is also no guarantee that other students won't raid or remove a pile, though that apparently happens remarkably seldom. Sometimes students are seen at the save shelves, excited to find not only the book they were looking for but also related books, and who sit there to use them. The system works, of course, only if the circulation department is reliable about servicing the shelves daily. The library reports that at least ten shelves were needed on each of three floors for a library serving a student body of 2,700. With fewer shelves the piles spread to the floor in front of the shelves. The save shelves are unsightly since the piles are just placed randomly all over them, so they are best placed in a spot where the library is not concerned about looking its best. Signs that give the locations of save shelves have been laminated to the doors of all the stairwells, using clear shelf paper. At least two laminated signs that state the rules are hung on each set of save shelves. The college reports that feedback about the save shelves has been highly positive, both from resident students and from students from other colleges who use the library. The save shelves have provided a clear system for leaving books that are in continuing use. In addition, they have all but eliminated the problem of stashing, reduced the number of places to look for a book that can't be found, and enabled the circulation department to keep the library picked up and functional. PHOTOCOPIERS The care of the public photocopiers often falls to the circulation department, and most of the complaints come to circulation. Even if the circulation department does not have the authority to select the type of service to be offered, its inputs can be of value to those who do. A photocopier log (a yellow pad or clipboard) on which problems are entered, with the date and the machine number noted, is useful for documenting problems, both for the repair person and for the library personnel who make decisions about the service. Dorr (1989) describes the process of improving photocopy services at the University of Louisville. The university conducted a user survey which identified the users' priorities as cost, quality, and speed. Researchers then

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investigated twenty models of copiers, evaluating them on type of paper, ease of use, volume capacity per month, capacity of paper tray, number of copies per minute, seconds to make the first copy, supplies cost per copy, simplicity of paper path, whether the company would train a university employee in repair and maintenance, and the net revenues for the first year. The revenues from the selected model were expected to cover the full purchase price as well as variable costs during the first year, plus make a modest profit. In subsequent years the profits would help pay for service on the change dispensers plus providing a return to the university. Alternatively, instead of buying copiers the college can contract with a private company to install and maintain the copiers. This arrangement has the advantage of reducing the amount of time that anyone from the college or the library has to spend on selecting machines and on maintaining them. However, there are other considerations, such as who does the daily maintenance? If the company promises that the library staff will never have to touch the machines, then they should be asked, Who will replace the paper and clear the jams and how often? Another potential problem area arises from problems with copy cards, if they are used. If, for example, the copier erases all the copies off of a user's copy card, will the company refund the amount lost? What proof will it require? How should the loss be reported? How will the money be refunded? What record keeping will the circulation department have to do? There may also be problems in communicating with the service person. A sign-in log on which the library can note problems may help with that. A copy-card system can cut down dramatically on the amount of change that the circulation department needs to count and keep track of. Often a discounted cost per copy is given to card users as a way to encourage their use. The cards can be sold at the circulation desk or through a vending machine. When confronted with an unsatisfactory photocopier situation, it can be helpful to talk to circulation colleagues at other institutions in the area and to look at the articles on photocopiers in Library Technology Reports. SHELF READING The library's entire investment in buying a book and providing access to it is negated if the patron cannot locate the book because it has been misshelved. Yet, some misshelving is inevitable in every collection. Lowenberg (1989) reports that observational studies at her library revealed that patrons reshelved 55 percent of all books they removed from the shelves. The error rate for patron reshelving was not reported, though

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the author states that "most of the misshelving errors found in the library are caused by patrons reshelving books themselves and are not caused by trained workers reshelving books" (p. 25). Other libraries, too, assume that patron reshelving rather than staff reshelving is the source of a significant share of the problem, and so post signs asking patrons not to reshelve books. Signs also indicate places, such as special shelves or book trucks, where the books can be left instead. One way libraries have found to rectify shelving errors is to periodically check each book that is on the shelves to see whether it is where it belongs. This process, called shelf reading, is one of the significant expenses of a library. The frequency with which it is done is usually determined by an interplay of user frustration and available staff time. The experience of many libraries is that the entire collection needs to be read once a year, and the most-used portions more often. In her article, Lowenberg (1989) proposes a feasible sampling method for determining which areas of the stacks need to be read at what intervals. She also has developed a statistical measure, called errors per section (EPS) to measure the need. One library has found that a good shelf reader will need about forty-five minutes to read a range that is ten sections (thirty-six feet) long. More time will be needed if the shelves are packed, if the call numbers are long Dewey numbers, if the lighting is poor, or if the books are badly out of order. Banks (1990) conducted research on the effect of motivators (longer personal-loan period, released time, pay increase) on the shelf-reading rates of student workers and found no statistically significant change. The rates, both with and without motivators, ranged from ten to forty volumes per minute, with an average near twenty-nine. In one library that does shelf reading during the summer, each staff member is assigned ranges to shelf-read. The assignments are made sequentially, range by range, through the stacks so that each summer worker has, for example, every sixth range to read. With this system, no one person is saddled with shelf-reading all of the dreaded 300s or all of the chaotic art books. The posted shelf-reading schedule has, for each range, a line with range number and the initials of the assigned person plus four columns. In the columns the person, after finishing that range, initials and dates the line, notes how long it took, and notes the number of books found more than one row out of place. This information is useful for pinpointing areas that will need special attention during the school year. The traditional and recommended shelf-reading technique is for the shelf reader to handle each book as a means of keeping track of where she or he is and keeping focused on what she or he is doing. This is done by loosening the book support, moving the entire row slightly to the right,

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checking the back of the shelf for books that have been pushed to the back, and then, one by one, moving the books back into position as the call number is checked. Some shelf readers may prefer just to scan along the rows, but scanning has generally been found to be less effective. However, another method begins by first scanning each section, reading just the top line of each call number. This technique would help pick up problems such as the BRs shelved in with the PRs. These problems may otherwise be missed if the shelf reader becomes preoccupied with getting all the rest of the numbers in order. After the initial scanning, the books are then moved one by one for the final check. In some libraries shelf readers are instructed to return books that are found more than one row out of place to the circulation department, where the book searcher will check them over. This assumes that the searcher, when looking for a missing book, will have checked not only the row the book should have been on, but also the row above and the row below. However, books misfiled farther afield than that may be listed in the file of missing books, so the searcher will check the shelf readers' returns against the missing book file. Lowenberg (1989) reports that workers at her library identify shelving errors by placing the misshelved books on their sides. They then go back and correct the errors after they have finished their shelf reading. The advantage of this, she reports, is that the shelf reader's concentration is not broken while shelf-reading. Even with the best shelf reading there may still be books missed that have been pushed or stashed or fallen behind the rows. One library ran a project, called "giraffing," in which one student pushed a book truck on which another student, a tall gymnast, stood. The gymnast looked down from the top of the stacks into the gap between the shelves. As he spotted fallen books the pushing student picked them out and put them on the truck. Several hundred books were located this way. Even though shelf reading the reference collection may not be a circulation department responsibility, the circulation department may wish to keep an eye on it. If nonreference books are turning up there, then the circulation department may wish to either suggest that the reference department undertake some shelf reading, or may offer to do it for them. EMERGENCY PROCEDURES Since the circulation department is often the only library department staffed all the hours that the library is open, emergency responses are logically a part of its responsibilities. These responses are based primarily

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on concern for the safety of the people in the library and secondarily on preventing or minimizing further damage. Follow up response to a disaster is normally handled by a team headed by the preservation librarian or the library director. The disaster plan would address responsibility and procedures for such things as dealing with damaged books, evaluating them for retention and repair, and repairing them. In other words, a library needs both an emergency plan and a disaster recovery plan, the emergency plan covering the immediate response and the disaster recovery plan dealing with the aftermath of an emergency. Only the emergency plan will be discussed here. If the library does not have a disaster recovery plan, then the head of circulation might suggest that the library undertake writing one, with the responsibility for formulating and administering it clearly designated. The person responsible needs time to develop expertise, draw up the plan, and gather supplies. A good emergency plan involves several elements, including an inventory of equipment and supplies, designation of responsibility, description of appropriate responses, and training. Equipment and Supplies The first equipment concern is that there be a good public address system since there needs to be an effective means to get information to everyone in the library in case an evacuation or other action is necessary. The public address system needs to reach all areas of the library. It can be tested when the library is closed by putting a radio next to it and then checking all halls, stairwells, and rooms, including restrooms, to see whether there are areas in which it cannot be heard. If there are dead areas, they can either be wired with speakers (the preferred alternative), or the evacuation plan can take special notice of them so that someone is responsible for checking them. The public address system also needs to function when the power is off. In other words, the library needs a backup emergency power system to provide power for both emergency lighting and the public address system. One or more bullhorns can be kept on hand in case the public address system goes down or can't be used. For example, a bomb threat may say that the bomb will go off if the public address system is used. Bullhorns are battery powered, so batteries should be replaced at regular intervals to assure that they will function when needed. In addition to needing a means of communicating within the building, a means is needed for communicating to the campus security forces and the community emergency services. If the telephone system goes through

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a campus switchboard in which calls are handled by an operator in the order received, the library may not be able to get immediate help for an emergency because of a backlog of incoming calls. An alternative is for the campus to install a line to the library that is for emergencies only and that gets priority attention. Many colleges have a separate system for the emergency phones on campus. Perhaps the library emergency phone can be put on that same system. The library fire alarm may ring not only in the library, but also in some other places on campus or in the community such as the security office or the fire department. This information should be included in the emergency plan. Fire extinguishers are usually found throughout the library. An inventory of extinguishers, by type, is potentially useful information for the circulation staff. Emergency supplies for water problems include at least one wet vac and rolls or large sheets of plastic for covering bookstacks onto which water is leaking. Medical response supplies include a cot, a blanket, and a first aid kit. A circulation staff member can be designated to inventory emergency supplies every six months and to test batteries. Post a schedule that can be initialed and dated each time the inventory is completed. Signs are a necessary component of an emergency plan. Each door that leads to a stairwell should be labeled with the name of that stairwell (lobby stairs, clock stairwell, etc.) so that library users become accustomed to the names and so that instructions can direct patrons to the appropriate stairwells for evacuation. Signs are also needed on the stairwell side of each door that identify which floor the door opens onto. The library wants to avoid having smoke-dazed people think they have reached the level of the emergency exit only to find themselves on the wrong floor. In each stairwell, also post signs at each level telling users which floor the closest emergency exit is on and indicating by an arrow which way to go to reach it. Responsibility It is appropriate to designate the staff member on the assigned shift at the front desk as the person responsible for emergency responses. Any other staff member could assist or, if necessary, take over, but clearly designate that the desk person has primary responsibility. It is important, when training new staff members, to make sure that they understand that emergency response is one of their responsibilities and are clear about what is expected.

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Responses Since the library is usually required to evacuate the building any time the fire alarm goes off, and since the fire alarm may be triggered several times a year by such things as dust or a smoking photocopier, fire responses and evacuation are a major concern. Most people can remember three things clearly; more than that may result in confusion especially in an emergency. So the first requirement in designating responsibility is to have no more than three items. People also need to be drilled on the order in which they are to be undertaken. For example, the person on duty could be responsible for (1) calling the security department (using the emergency phone line, if there is one), (2) making the evacuation announcement on the public address system (the announcement should be posted next to the speaker), and (3) handing out evacuation slips to the first staff members or student workers who are available to assist. The rest of the library staff can be instructed to report to the circulation desk during an emergency in order to assist as needed. Evacuation slips can be used to make the process of assigning tasks simpler. They also make it possible to keep track of what has been assigned. The number needed would depend upon the configuration of the library and the number of people who might be available to assist. For example, for a three-floor library in which evacuation slips were used, six slips were prepared. Each covered a different floor or area to be swept, and each listed the areas to be given special attention because the public address system could not be heard in those areas. For example, one of the slips read: Please— Sweep the 2ndfloor,checking especially the faculty carrels, the seminar rooms, and the graduate carrel. Knock on Special Collections if it is locked, check inside if open. Leave by the Clock Stairwell, and exit the building through the emergency exit in the basement. Report to the front parking lot. Thanks, good job. Remember, no heroics. LEAVE THE BUILDING IMMEDIATELY if there is smoke or fire. One of the slips assigned a person to keep people away from the front door by directing them to the parking lot, or to a nearby building if the weather was bad.

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On top of the pile of slips was a yellow slip. It read: WRITE the initials or name of each person who takes a slip. 1 2 3 4 5 6

Mainfloor/frontstairwell 2nd floor/clock stairwell A floor/back stairs B floor Library lounge Porch sweeper

TAKE THIS SLIP WITH YOU AS YOU EXIT in case we need to search for someone. Collect the slips as people reemerge so that we will know who is still missing. Guide to Emergency Procedures An overall emergency procedures guide will be needed by the circulation department. The following is an example of such a guide. EMERGENCY PROCEDURES for the library circulation staff. If no staff person is available, student workers are expected to follow these procedures and to assist in any other way possible. In no case are heroics expected, nor is any employee to put him/herself in peril. Fire alarm 1. Call security, (phone number) . 2. Read the evacuation announcement on the p.a. system. Everyone MUST evacuate even if it is known that the alarm was triggered by a trivial cause. 3. Hand out the evacuation slips to the first 6 people (preferably library employees) who are available to help. 4. Remove bar on far side of entrance gates if there are crowds of people needing to get out quickly. The bar lifts out. 5. Leave the building. People can wait in the student union if the weather is bad. Note: • Never use the elevator in event of afire.The electricity may go off and leave you stranded. • Pull the fire alarm yourself if there is afirethat has not yet triggered the alarm. It is never a mistake to pull it if there is any cause at all. The fire alarm releases the emergency exits so that people can evacuate quickly

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and also prints out on the computers in the security office, at the switchboard, and in the heating plant. Note that we still need to telephone in case the automatic notification system does not work. Bomb threat 1. Try to get the caller to tell you what time the bomb is set to go off. 2. EVACUATE IMMEDIATELY if you have less than 5 minutes. Follow all instructions above. 3. If you have more than 5 minutes, keep the caller on the phone as long as possible and, at the same time, get somebody else to call security on another line. They may be able to trace the call. 4. Note the background noises, speech patterns, and anything else that might give clues as to the identity and location of the caller. 5. Call security (use the emergency line after hours) if you have not already done so. They will make the determination as to whether or not to evacuate if there is more than 5 minutes. Medical emergency 1. Call security (use the emergency line after hours). They will call the ambulance if needed. Ask them to notify the Health Service if it is a student. Call the ambulance, (phone number), directly if it is obvious that immediate assistance is needed. 2. Do not move the person unless it is absolutely necessary to prevent further serious injury. 3. Cover the person with a blanket or coat to help prevent shock. 4. If bleeding is so extensive as to be life threatening, press something absorbent and clean against it. A sanitary napkin works well. Water leaks 1. Call security. After hours call the operator and the heating plant, (phone number). 2. Notify the custodians, if they are in the building. 3. If books are getting wet, move them or cover them with plastic sheeting from the basement room behind the elevator. 4. Wet vacs are also in the basement room behind the elevator. 5. If books have gotten wet, call down this list until you reach someone and ask them to take charge of the book rescue operation. Then should follow a list of librarians with both campus and home phone numbers. The list appropriately begins with the preservation librarian and goes down through an agreed-on list. The set of procedures should be

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reviewed by both the head of campus security and the campus medical officer. Training for Emergencies Training for emergencies is not just a one-time effort. It needs to be repeated periodically both because of staff turnover and because it is not, if the library is fortunate, reinforced by actual events. Thus, a training program needs to include both annual reviews of emergency procedures for the circulation staff and training for new staff circulation members and student workers. It is also useful, at the first staff meeting following a fire alarm or other emergency, to discuss the department's response, especially possible ways to improve it. For the entire library staff, a periodic training session on emergency responses is needed, with special focus on fire responses. It should cover what is expected of the staff during a fire alarm, the kinds of extinguishers, and how to use them. A quiz can be given to be turned in later. The quiz should ask the staff members to identify, with reference to their own desks, the locations of the closest fire extinguisher, the closest fire alarm, and the closest emergency exit. This quiz can also be given to new employees. All members of the library staff can be asked to report to the circulation desk to see what they can do to help whenever there is a fire alarm. As noted earlier, thefirstones may each be given an evacuation slip, and asked to follow the instructions on the slips. It is reassuring to all members of the library staff when the expectations are clear. Prevention The best emergency response is prevention, so another of the functions of the circulation department is to watch for hazardous conditions and to report them so they can be corrected. These hazards may range from overheating copiers to loose floor tiles to leaky plumbing.

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10 Special Projects Special projects may sometimes be undertaken by circulation departments. Two of the most significant of these are shifting some or all of the collection and barcoding the collection to prepare it for use with an automated circulation system. SHIFTING In libraries, shifting is the term used for the process of moving books from one shelf to another. The shift may be of just one shelf of books, or of some larger portion of the collection, or of an entire collection. A shift may be necessary because a collection is being rearranged, or because of differential growth of the collection, or because portions of the collection are being removed, or because new shelving has been added, or because a new facility has been built. With most collections, the amount that the collection will grow per year can be calculated roughly at 1.25 inches per added volume. As the person responsible for the physical handling of the collection, the head of circulation performs a useful function by keeping the library administrators alerted to the space implications of collection development. If the library is adding a net of ten thousand volumes a year, for instance, that translates into sixty-four additional sections needed per year, assuming that a shelf is defined as being at working capacity when 80 percent (28 inches) filled. To arrive at the number of sections needed multiply the net number of volumes added per year by 1.25 inches to get the total number of inches

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the books will occupy. Divide that by 28 (the number of inches of books on a shelf when it is filled to working capacity) to get the number of shelves needed. Divide this by the number of shelves per section, usually 7, to get the number of sections needed. The head of circulation will also need to annually inventory the available shelf space and then project when the collection will reach capacity. Planning for additional capacity should be done some years before the space will actually be needed so that the institution can realistically budget for long-range capital expenditures. It sometimes comes as a surprise to administrators to discover that every dollar they have been allocating for books has also created space needs. Indeed, a case can be made for allocating an amount equal to some portion, such as 10 percent, of the materials budget to go into a building fund to house the books being purchased. Planning a Shift There is a large temptation, when contemplating a shift, to just say, "Start at the corner and sort of spread them out." However, the reshifting that such an approach inevitably entails provides an expensive demonstration of why prior planning of a shift is cost effective in the long run. Thus, the more satisfactory approach is to plan, plan, plan. The costs of reshifting are so excessive and so unnecessary that it is worth doing whatever is necessary to free the time needed to do adequate preliminary planning. This is true even for an already overworked person. Planning well takes a lot of time, but it is the test of a competent manager. A reshift in the middle of a project should never be necessary since all data is available before the shift or move begins. A large part of the planning time is spent in gathering data. The hours spent in gathering information and in planning will save many times that many person-hours if the shift or move proceeds neatly from start to finish without having to redo any part of it. A Basic Versus an Ideal Shift Before planning a shift, the planner needs to decide whether or not to allow for differential growth in the collection. An ideal shift, one that allows for differential growth, spreads the books out with so much foresight that all shelves reach capacity at the same moment with no reshifting necessary in the interim. It is an intentional process, with the empty space carefully planned for. In the mind's eye of the planner, the books that will go into each space are clearly seen, and space will not be

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left if there will be no books to go into it. For example, if a large set of books occupies several shelves, no empty space would be left at the end of each of those shelves since no books will be added to the middle of the set. On the other hand, more than usual space may be needed at the end of a rapidly growing set. To plan such a shift takes prescience, many additional hours of data collection, and calculations far beyond the scope of this book. It may be useful to evaluate just how important it is to plan for growth differential or, in other words, to estimate just how unsatisfactory a basic shift will be. To do so, begin by walking the stacks, pad and pen in hand. Note the sets that are still growing, the call number areas that seem to be growing most quickly, and the call number areas where there is extra room, and try to get some sense of how much the growth rates deviate from the average. If periodicals are shelved in the book stacks, examine their growth patterns, too. Then talk to the acquisitions librarian and get figures for the number of volumes added annually to the collection that is to be shifted. Find out which call number areas are projected to grow more quickly or slowly than average and by how much, and whether there are standing orders that may not be included in the figures you have been given. Finally, check the circulation files to see if there are call number areas that are inordinately over or under represented. If any of these inquiries reveal significant variations from the average, then you may wish to factor those variations into the shift plan. Even if an ideal shift is not worth the time it would take to work out, it may be possible to incorporate some measures that would minimize the extent of reshifting necessary in the next few years. For example, some empty shelves could be left where extraordinary growth is anticipated. Computer-Designed Shifts A basic shift is a big job to plan; planning a shift which attempts to move closer to the ideal by incorporating variables becomes an extraordinary challenge. This is where it would be nice to be able to use the power of the computer. An ideal computer-designed shift would use as its base data the width of each volume in the collection. (Are catalogers listening? The width data could be included in the bibliographic record right along with the rest of the size information and captured from that.) With that data, every possible permutation in the shelving could be accommodated and calculated. If a shelf is removed because a set of tall books is to be shelved in that section, this ideal program could recalculate the ripple effect that would extend out from that. There is, however, no ideal program because

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libraries do not have the data reasonably available to run it. Thus, libraries are left calculating with more gross measures. Librarians have been creative in using computer software as an aid in planning shifts. Ellis (1988) describes the use of a computer spreadsheet to facilitate planning for a major shift, Moreland (1987) describes a stacks management program using SuperCalc3, Smith (1990) describes one using Multiplan, and Tucker (1989) used a spreadsheet program to plan the shift of a journal collection. See also Black (1988) and Cravey (1991). Computer software developed specifically for use in planning shifts is advertised in library journals. In evaluating such software, ask what inputs will be necessary. There is no way to shortcut all the measuring that is required, and at present no way to get that data into the computer except to type it in. Look carefully, too, at what variables can be included. For example, could the rapidly growing portions of the collection have fewer books assigned to each shelf? Also look at what the output will be. Will it, for instance, identify which books will go in which sections, or will it say only how many inches of books to put on each shelf? A Basic Shift The following instructions are for a basic shift that spreads the room for growth evenly throughout the collection and are based on the author's personal experience. These instructions presume that the ranges have been numbered as described in the section on shelving in Chapter 5. Kurkul (1983) also describes a major shift from start to end. 1. Prepare data sheets to keep information on. A yellow pad with appropriate columns drawn on it works well, or reproduced forms on a clipboard can be used. Sample headings: Range Section #of First Inches of books per shelf number Total # # shelves call# 1 2 3 4 5 6 7 inches As can be seen, each line should have space for the range number, the section number, the number of shelves in the section, the call number of thefirstbook in the section, the number of inches of books on each shelf, and the total number of inches of books in the section. Leave a blank line between ranges on which to enter the total inches for the range. 2. Close to the time of the shift, measure the books. If the books are measured too far ahead, the measured number of inches may be significantly different from the total which will actually need to be shifted. For example, if the collection is measured before the end of spring term but the shift is not carried

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out until summer, there will be many more books to shift than were included in the calculations. Take the yellow pad or data sheets to the stacks, and for each section, fill in the range number and the section number, the number of shelves in the section including empty shelves, and the call number of the first book in the section. Then measure the length of books on each shelf in the section to the nearest inch and write down each measurement. This is most quickly done with two people, one measuring and one writing. If a shelf has no books on it, enter 0. Put the measurement from the top shelf in the first column. If the section has fewer than seven shelves, leave the last column(s) empty. If variables are to be included in the planning, put a star next to each shelf measurement that represents a nongrowing portion of a set, since growth room would not be needed for it. 3. With an adding machine, total the inches of books for each section and enter each total on the data sheets. 4. Add together the section totals for each range and enter on the data sheets the range total at the end of each range. 5. Add together the range totals to get the total number of inches on the shelves for the entire collection that is to be shifted and enter here or on a copy of these pages. Total inches of books on shelves 6. Add together the number of new shelves being added. Total # of new shelves being added 7. Add together the number of current shelves from the data sheets and add to it the total number of new shelves (from #6) to get the full number of shelves onto which the collection will be spread. a. Number of current shelves b. Number of new shelves (from #6) c. Total number of shelves (a + b) 8. Divide the total lineal inches of books on the shelves (#5) by the total number of shelves available (#7c) to get the number of inches of each shelf that will be filled with books during the shift. Example: 295,000 inches of books are to be spread over 14,000 shelves. 295,000 divided by 14,000 = 21 inches of books per shelf. Shift Capacity At this point, it may be of interest to calculate how many years of growth this shift will accommodate, assuming that the collection will have reached working capacity when the shelves have been filled to 80 percent of capacity, or 28 inches per shelf. To do this, use the following steps:

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1. Subtract the number of inches to be filled per shelf (from #5 on the previous list) from 28 inches and enter here or on a copy of these pages. Growth room per shelf, in inches 2. Divide the growth room from #1 above by 1.25 inches, or the average width per volume, and enter here. Growth room per shelf, in number of volumes 3. Multiply the number of volumes per shelf from #2 above by the total number of shelves (from 7c on the previous list) and enter here. Total number of new volumes for which there is room 4. Enter the library's projection for the number of volumes to be added per year to the collection being shifted 5. Divide the total number of volumes from #3 above by the total added per year from #4 above to get the number of years' growth that can be accommodated and enter here. Number of years before shelves reach working capacity Benchmarks Before beginning the actual shift, it is useful to establish some benchmarks throughout the collection so that small errors do not accumulate to a disastrous end. Undershelving each shelf by just one book can accumulate, by the end of a shift of 200 ranges, to 14,000 leftover books. If it is assumed that the margin of error in measuring the collection is on the order of ± 2 percent (Vi inch in 25 inches), then, in order to keep cumulative shifting errors to less than one shelf, benchmarks need to be set approximately every 50 shelves. For example, with 7-shelf sections, a benchmark could be set every 7 sections, and would thus include 49 shelves. To establish the benchmarks more calculations are needed. Bl. Decide how many shelves (not sections) will be included in the benchmark. B2. Multiply that number of shelves by the number of inches of books to be put on each shelf (from 8 on previous list) to get the total number of inches of books to be included in the benchmark. B3. On the data sheets, start adding together the inches of books per section. When the total is less than a section away from the total in B2, start adding inches shelf by shelf until the total is less than a shelf's worth away from the number in B2. To that total, add the needed number of inches from the next shelf to bring the total to equal the number from B2.

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B4. On the data sheets, using some distinctive color such as red, cross out the shelf measure from which you just subtracted the number needed in B3. Above the shelf number write, still in red, the number subtracted, a comma, and the number of inches that then remain. In other words, the two numbers in red should total the number they have replaced. The first of the two numbers was just used to set the first benchmark, the second of the two numbers will be the first number to use when adding up inches for the next benchmark. B5. Next to the red numbers just written on the data sheets, write a " 1 " and circle it. This means that the book that marks benchmark number 1 will be on that shelf. The next benchmark will be noted with a circled 2, and so on to the end. The last circled number will be the total number of benchmarks. B6. If you are not using the same number of shelves for each benchmark, also note, following the circled number, the number of shelves (the figure from B1) which are included in the benchmark. While it may be most convenient to have each benchmark include the same number of shelves, it is not a requirement. B7. Repeat the process beginning at Bl. At step B3 calculate the next benchmark, beginning with the leftover red number from B4 and then adding shelves and sections and again shelves until reaching the desired total. Continue the process until all shelves and all books have been accounted for. B8. In order to find the call number of the book that will indicate each benchmark, take a pad of note paper, a pen, a measuring tape, and the data sheets to the stacks. Using the information from the data sheets, find in the stacks the range, the section, and the shelf on which the first benchmark book is shelved. Write down, on a sheet of note paper, the call number of the book that is located the number of inches from the left end of the shelf indicated by the first red number. Under the call number you have just written, write down and circle the number of the benchmark. It should be the same number that is circled on the data sheet. Next, using information from the data sheets, locate benchmark number 2 in the stacks. Again make a note with the call number and benchmark number on it. Continue until you have a note for each benchmark. B9. Prepare a yellow pad by making column headings across the top and by entering the benchmark numbers down the left side leaving several lines between them for notes. The headings are: Benchmark Range Section Shelf Call number # # # # Comments

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Take the yellow pad, the data sheets, the benchmark notes, a roll of tape, and a pen to the stacks. Starting at thefirstshelf on which the collection will begin after the shift, go through the stacks counting off the number of shelves included in the first benchmark. This will be either the standard number, if all benchmarks are the same, or the number you have noted on your data sheet following the first circled benchmark number. When you reach the last shelf in thefirstbenchmark, tape the note for benchmark number 1 to the shelf. This indicates the shelf on which the book with that call number will be shelved as the last book. BIO. On the yellow pad, next to the number of the benchmark, write down the range number, section number, and shelf number on which the benchmark falls, plus the call number of the book that will go there. This serves as backup in case the notes disappear. The yellow pad can also serve as a guide for the shifters, since any special instructions can be noted on it as well. Continue counting shelves and taping notes until all of the benchmarks have been identified with taped notes. By labeling shelves with these benchmark notes, several shifters can work at once, since it is clear what goes where. It would also be possible to start a shift at any of the benchmark points in the collection; the shift does not have to start at one end or the other.

Staffing In planning how many people will be needed to carry out the shift, it is useful to do some actual trial runs to determine how long it will take to load, move, and unload a truck. If shifters are expected to adjust shelves, or to dust as they shift, include that in the trial runs, too. Using these figures, realistic totals can be calculated for the time it will take and the number of persons who will be needed. Kurkul (1983) describes a major shift for which she had planned on the shifters each moving 8.33 shelves of books per hour but found that they actually averaged 10.5 shelves per hour. Other librarians have also found that their preliminary estimates were for more time than was actually used. For the actual shift, the workers may prefer to work individually or in pairs. Traffic control may be a problem if more than two people are working in the same area. Various arrangements can be worked out. For instance, the rule may be that trucks always enter an aisle from the north and leave from the south. Or three people may decide that one person will load trucks, one push the trucks to the new area and return the empties,

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and one unload and dust. Dust is inevitable in libraries (What do those books do at night that generates so much dust?). Because a shift stirs up the dust and is a dirty job, smocks and/or blue jeans are appropriate attire. Train shifters who are not regular library employees in reading call numbers and in the importance of keeping books in order. Their instructions (written) need to give them the steps to follow, including what shelves to use and at what spacing, how to set the shelves, what to do if a shelf is bent, what cleaning they are expected to do, what to do if there are no book supports, and who to go to with questions. They also need to be instructed in the final arrangement, for example, that each newly placed row of books is to be neatly lined up 1 inch back from the front edge, held firmly but not tightly upright by the book support. Make it clear which person is responsible for the final condition of the stacks, for ensuring that books are in order, spaced appropriately, and arranged neatly and that shelves are properly spaced. This same person should give a daily report on the progress of the shift so that planning can be adjusted, if necessary, in order to provide adequate resources and a realistic completion date. Equipment During the shift, a book truck and a kick stool will be needed for each shifter. A hand vacuum may be useful, as well as a supply of dusting cloths. Fans will be needed if the shift is during hot weather and the library is not air-conditioned. If new stacks have been added in preparation for the shift it will also be necessary to add book ends or hanging book supports before books can be put on the shelves. New stacks will also need stack-end label holders and/or range finders, and the library may need to add more kick stools. Patrons may have difficulty in finding what they need while a shift is in progress. They can be warned with a "Pardon our dust. Shift in progress" sign at the entrance to the stacks, and large temporary call number guides can be taped daily to the ends of affected stacks. Completing a Shift New stack labels should be made and mounted as soon as possible after the shift is completed. After a major shift has been completed, a celebration is in order, one that gives recognition to the work the shifters have done and that shows off the new spacious and orderly arrangement of the books.

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Moving The largest shift of all is involved in moving a collection from one building to another. A good place to begin, if faced with that prospect, is with Pauline Bayne's 1990 article. See also the articles by Kurkul (1983) and by Adams (1990).

BARCODING THE COLLECTION With an automated circulation system, the information for each book and each patron must be entered into the computer, and that information must be recallable in some way. This full information can be typed in at the time of a transaction or it can be entered at some prior time. Once entered, the information for the book or the patron can then be recalled when needed by entering some shorter code, especially a number. This number which might be, for example, a call number, accession number, or barcode number, can either be typed in or read in from a machinereadable number (such as a barcode) by using a scanner. Note that it is not a prerequisite for automating circulation that the books have barcodes or that patrons be assigned barcodes. Some libraries have chosen to enter the data ahead of time but then type rather than scan the number to be used for recall. These libraries have found that the error rate is not overwhelming and that the cost of time spent typing in an item identifier at time of checkout is not great enough to warrant the expense of barcoding. Most automated libraries, however, have opted for barcodes for ease of checkout, for accuracy in circulation records, and in order to have circulation status available in the public catalog. Barcoding a collection also provides an inventory of it. Barcoding a collection is a large undertaking. It is also something that is done only once per library, so few persons have developed the expertise that comes from repeating an operation and learning to do it better each time. Thus, the literature becomes an especially useful source of ideas. Gatten (1990) provides both an excellent overview of a barcoding project and a useful bibliography of case studies. There are several rules of barcoding that suggest themselves. The first is the same as the second law of thermodynamics: All systems move toward chaos. The input necessary to counter that, the input that creates organization out of disorganization, is energy. Much of the energy for a barcoding project will come from the project organizer; the process of organizing and running a barcoding effort can be a draining one. The second rule of barcoding is that people respond to positive and encpurag-

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ing feedback. And the third rule of barcoding is to stay with the project and nurture it to the end. A barcode represents a machine-readable number. Barcodes for books come in two types, dumb and smart. A dumb barcode is just a strip of barcode, in other words, just a number. This barcode number has no meaning until connected, in a computer, with the bibliographic and item record for a book. The complete application process for a dumb barcode includes putting the barcode on the item, pulling up the correct bibliographic record in the computer, and wanding in the barcode along with the appropriate commands. The barcode can then be used to access the record. Note that both a computer and the actual book are needed, side by side, for this process. This usually means taking the books to the computer. Dumb barcodes are used especially for new books, for barcoding additional copies or volumes of existing sets, and for barcoding on the fly at the circulation desk. They are also used for the patron barcodes, using, however, a different number series than is used for the books. A smart barcode, on the other hand, has been preconnected in the data base with a specific bibliographic record (usually by a vendor) and has the call number of the book printed on it. This means that the barcode must be matched exactly to the book it is to go on, so applying smart barcodes takes some care. On the other hand, the process is completed once the barcode is attached to the book because the connection was made in the computer when the barcode was generated. Sometimes, rather than undertaking a major barcoding project, a library will decide to do barcoding on the fly at the time the books check out, figuring that a comparatively small proportion of the collection actually circulates. This can be done using either smart or dumb barcodes. Using smart barcodes, the challenge is to find the absolutely correct barcode for each book being checked out from the sheets and sheets of barcodes. This takes some time, of course. Nightmares attend the vision of barcoding all books with dumb barcodes at the time of checkout. The chances for error are great since circulation workers are not trained in the subtleties of the cataloging records and, in addition, they have the pressure of an impatient patron who is waiting for the book as the worker is trying to figure out which is the correct bibliographic record in the data base so that the book can be barcoded. Experienced librarians strongly recommend using smart barcodes for the existing collection. They also recommend having at least 80 percent of the collection barcoded before attempting to bring up an automated circulation system.

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Ordering Smart Barcodes Since many of the decisions to be made about barcoding affect other library departments, it is appropriate that the decisions prior to ordering barcodes be made by all of those who will be affected. Among the decisions to be made before ordering are what supplier to buy from, what information to have printed on the barcodes, what code to use, and what physical format to use. Another is which collections will be barcoded; will, for example, noncirculating collections be barcoded? In some libraries, the holding codes for the various collections have not been consistently entered in the MARC (MAchine Readable Cataloging) record and it may take some sleuthing by the cataloging department to determine what instructions to give the vendor so that barcodes are generated for the appropriate locations. It is also useful, at this early stage, to ponder whether there are problems that are likely to arise, how they are to be dealt with, and by whom. For instance, have the cataloging records been deduped, or are there likely to be duplicate barcodes for some items? Is it possible that there are items on the shelves for which no barcodes will be generated because there is no computer record for them? Are there bound-together items that will generate a barcode for each item? Are there analytics that will generate a barcode for each part? If so, since only one barcode should go on an item, which barcode should it be? It is an advantage if the automated cataloging system is available before barcoding, since many of the problems discovered while applying smart barcodes cannot be resolved until it is available. Colleagues at other libraries may have useful experience to share about their barcoding projects and about the barcoding suppliers with whom they worked. The vendor of the automated system that the library will be using should be consulted, too, to see what the system requirements are and to see whether there are barcode suppliers the vendor can suggest. When selecting a barcode supplier, some of the questions to be asked are the following: What are all of the costs associated with producing the barcodes and the associated tape? What time line would be followed? The supplier may say six weeks, but if the library's own records are less than perfect, allow six months or more instead. Don' t plan the barcoding project until the barcodes are in hand. What services are offered? The catalogers will be interested in whether they offer deduping, for instance. What formats are offered for the barcodes? Ask for samples. There are standard library formats that are worth following; the supplier can provide information. Laminated barcodes are worth the extra cost because they resist the wear from the scanner. Sometimes the name of the library can be

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printed on the barcode. That may be less useful than having the call number and title printed large enough for the appliers to read readily. In what form are the barcodes provided? It can be disconcerting to set up the project assuming that barcodes will be on SVi-byA 1-inch pages and then to have them arrive on 11-by-17-inch pages. Also, the page numbers need to be large enough to read in order to keep track of the pages. Can the vendor supply the pages punched to fit into notebooks? Can the vendor supply a listing of the pages that show the first call number of each sheet? That would be convenient for checking the sheets out to the teams. What references can the vendor give for libraries that have recently used its services? Check with some of these about whether there were any surprises and about how pleased they have been with the service. Ordering smart barcodes involves sending the supplier computer tapes of all of the bibliographic records for which barcodes are to be generated. This means that any books added to the collection after those tapes have been pulled will not have smart barcodes generated for them. Therefore, at the time of ordering smart barcodes, the cataloging department should be prepared to start applying dumb barcodes to subsequently added items and linking them to the cataloging record. One of the decisions to be made is whether to have a barcode generated for multiple copies and multiple volumes, or whether to have only one smart barcode generated per bibliographic record. If the library decides to order a barcode for each copy and volume, the library could find itself (and at least one has) paying for 10,000 barcodes for one book if there has been a mistaken entry in the critical cataloging field. On the other hand, if the library orders only one barcode per bibliographic record, then the project of barcoding all multiple volumes and multiple copies with dumb barcodes and attaching each of those barcodes in the computer to the correct bib record could go on for months or even years. Once the bib record is in the computer, as it is once one barcode has been generated, then attaching more items to that record becomes fairly straightforward, yet it still takes much more time than it would have taken to attach the barcodes during the project. There is also the lost time that was spent marking those books that were not barcoded at the time of the original project. If only one barcode has been generated per bibliographic item, then there is the question, with multiple copies or multiple volumes, of whether to attach the barcode to one of the books on the shelf and, if so, to which one. With multiple copies the answer is yes, go ahead and put it on. Even if there is no copy 1 on the shelf and the barcode will be put into copy 2 (or some other copy), that will not, in the end, confuse the system. The

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barcode itself serves as the distinctive identifier, since the copies are identical. However, with multiple volume sets the answer is no, the smart barcode should not be attached. The volumes are not identical. The volume number is a critical part of the item record and must be entered into the computer at the time the barcode is attached to the item. Training the barcoders to differentiate between multicopies and a multivolume set needs to be done with care. Barcode Placement Another decision to be made is how many barcodes will be placed on an item and in what positions. A barcode on the outside of each book would facilitate shelf reading if the library had a system that accommodated a portable scanner or could envision ever having such a system. However, barcodes on the outside of books are easily damaged and are also considered by some to be defacing. If an exterior barcode is used, it may be prudent to put a second barcode some place inside the book, although replacing a barcode is not difficult. An exterior barcode also facilitates future inventories when coupled with a computerized circulation system. Emery (1990) reports on the use of portable barcode scanners for a collection inventory. The library's collection had been barcoded with two barcodes per item, one inside and one outside the front cover. He reports that it took 1,105 hours to scan 547,000 items and an additional 632 hours to search for the 15,838 items found missing. Of those missing items, 4,618 were later accounted for. If an interior barcode is used it should be placed near the book pocket so that the book card and pocket information can be used to confirm that the barcode is the correct one for the book. The barcode should also be located in such a place that the book will have to be opened only once to scan the barcode and stamp the due date, if a stamp is used. Barcodes on non-book items should be placed so that they block as little information as possible and are readily accessible when the items are checked out and checked in. The barcode location for each type of item, such as CDs or cassette tapes, should be established and instructions, with examples, should be written before the barcoding project begins. The Project One of the basic questions to be answered before undertaking to apply the barcodes is, What information does the library hope to glean from the project? The answer will affect both the application process and the record

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keeping. For example, does the library wish to know which books are on the shelves for which no barcodes have been generated? The likely answer is yes, since those books may be orphans, somehow not represented in the data base. The cataloging department may not be interested in having all problems instantly delivered to their doorstep because not all can be coped with instantly. If that is the case, then some way of capturing the information on those books will be needed. The barcoding team could write down the call numbers of such books. That, however, breaks the rhythm of their progress. An alternative is to dot the books or turn them down, so that later a worker can go through and write down the call number for each book on a separate scratch card. The library may also wish to capture the call numbers of books that have discrepancies between the call number or title on the book and that on the barcode. The barcode is generated by the computer record, so if there is an error on the barcode it means that there is an error in the data base. There is a tension between capturing any such extra information and getting the project done as quickly as possible. Every procedure added for capturing extra information adds to the complexity of the barcoding project and has the potential for slowing it down. The challenge is to find the most efficient way of gathering the information in a useful format. How much record keeping should be done during the project? The question can be answered only if it is known what information will be needed during and after the project. If, for example, there is to be an award to the person who has barcoded the most books, then some way of keeping track has to be devised. Each person could fill out a brief form at the end of each shift, listing the number of sheets completed by her or his team. Note that the total of all forms would then be double the total number applied, since each team member would be filling out a form. Is a record needed by page number of who has taken each page of barcodes? If there were time to follow up, that would be good, but it takes a lot of time to set up the record forms and to collect and enter the information. However, it does indicate whether some sheets have been lost. It is also possible to keep track of what number of barcodes have been applied and what number or percent have been left on the sheets. While a sampling may be of interest, to count the barcodes on each sheet returned takes an inordinate amount of time. It is useful to have a log on which each person or team signs out, listing the date and time out, the names, and the page numbers of the sheets taken. When workers return they enter the time plus the page numbers of the sheets they completed. (The applicators should be asked to complete any sheet that they have started before quitting.) This log can be used to see if

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any teams are still in the stacks and to determine which are the most productive teams. It could also be scanned if it is necessary to determine who was responsible for particular pages. Since teams work best if not on top of each other, the teams should not be given sequential pages to work on. This means that the pages need to be separated into piles so that each team is given pages from a different pile. Packets of the appropriate number of pages can be counted out ahead of time. The uncompleted pages returned by teams get put back onto the appropriate piles when time allows. Completed pages (which will still have some barcodes on them for books that weren't on the shelves) are arranged in page order in a separate pile. Physical Arrangements Places for a number of functions are needed during a barcoding project. These include a control center where sheets of barcodes are handed out to teams and records are kept of who has what; a place where schedules and assignments are posted; a place for the barcoding supplies, including trucks, instructions, pencils and pads for each team's notes and questions, dots (if they are being used), and kick stools; and a place for barcoders to relax, perhaps with refreshments. These can all be in the same place, or they can be distributed in varying ways. The only one of these places that will need to be staffed is the control center when sheets of barcodes are being distributed and received. It is best not to try to do this from a public service desk since it is distracting to both patrons and staff to try to carry on an internal project while serving the public. Staffing The number of barcoders that will be needed is difficult to calculate. Reports on barcoding productivity are frequently unclear about whether smart or dumb barcodes were used and whether the figures are per person or per team. As one example of staffing needs, at Colgate University it took 2,136 person-hours to apply (or at least try to apply) 253,000 smart barcodes, for an average of 118.5 barcodes per person per hour or 237 per team per hour. In addition, 126 hours were used at the barcoding desk and 147 hours of the extra help were used for cleanup tasks. The basic project was completed within 13 working days using library staff members for varying numbers of hours each (936 hours total) plus 29 people hired just for the project (1,473 hours). Many of the additional workers were available for only a few days or a few hours per day.

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Some libraries barcode using only their staff members. Others use staff members plus volunteers. Others hire some extra students and run the project through the school year. And others, as illustrated, hire enough extra help to complete the project in a matter of days. The choice of approach will depend upon resources available and the time line for implementing an automated system. It is well to calculate the total number of person-hours that will be needed so that if barcoding is to be done by the library staff, there is a realistic understanding about how much other work will not get done. Barcoders applying smart barcodes usually work in teams of two. This system improves accuracy. For example, one person, the puller, reads the call number of the next book on the shelf, pulls it from the shelf, and opens it to the place where the barcode is to be placed above the pocket. The other person, the peeler, reads the title of the book from the barcode, peels the barcode from the sheet, and, if the puller has confirmed the title (usually from the book card), places the barcode in the book where it is to go. The puller then replaces the book on the shelf while reading the call number of the next book. For at least the first shifts, a nonlibrary person should be teamed with a library person, since nonlibrary workers may not be familiar with some library practices that are second nature to library staff members such as where to look for the next book at the end of a stack. Training Barcoders will need both written instructions and a training session to start the project. The training session should describe the purpose of the project, its general organization, and the specific procedure for applying barcodes. The written instructions will be what the teams refer to when a question arises. Therefore, they should repeat the specific procedures and also describe in adequate detail what to do when confronted by various kinds of problems. Accuracy needs to be stressed, along with productivity. Even the best barcoding teams inevitably make some mistakes. Matter-offact procedures need to be set up for dealing with mistakes so that books with the wrong barcodes don't get reshelved just because a team doesn't know what to do with them or is embarrassed to produce them. Some method will be needed to indicate the books that have not been barcoded. A barcode may not have been applied because there was not an exact match between the book and barcode call number and/or title, there was no barcode generated, or the call number was for a multiple volume set. Some libraries have the teams tip down the books without barcodes and a follow-up person go through and deal with the problems. This

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solution works only if the follow-up can be almost immediate. In some libraries the books are pulled and taken to the cataloging department; this is feasible only if the library has exceptionally few problems. Some libraries have the barcoders put dots on the spines of the books that have not been barcoded. The dots may be color coded to indicate different kinds of problems, though simplicity in application is a highly desirable goal. Note that if dots are going to be used, large numbers may be needed. As many as 20 percent of the books in the collection may require dots if dots are used to indicate multiple copies, multiple volumes, books with missing barcodes, and other problems. The following are some sample instructions. Rule 1. THE CALL NUMBER ON THE BARCODE AND THE CALL NUMBER ON THE BOOK MUST MATCH COMPLETELY AND EXACTLY. Rule 2. EVERY BOOK MUST END UP WITH EITHER A BARCODE OR DOT unless it is part of a multivolume set with more than 5 volumes. APPLICATION PROCEDURE 1. Decide which member of the team is the puller and which is the peeler. Change roles when either person feels that it is time. 2. Puller: Read the call number of the book on the shelf out loud, then pull it and open it to the book pocket inside the back cover. Check to see if the book already has a barcode. If it does, reshelve it and read the call number out loud from the next book, then open it. Hold it out so that the peeler can place the barcode inside the back cover. 3. Peeler: Check the sheet of barcodes for the call number. If you find it, read the title out loud. 4. Peeler: IF THE CALL NUMBER MATCHES EXACTLY and if the title matches the title on the book card, peel the barcode from the sheet and place it carefully inside the back cover, centered and x/i inch from the top. (See pink Placement Guide for complete instructions.) 5. Puller: Return the book to the shelf, and read the next call number out loud. PROBLEMS 1. Barcode but no book. • Leave the barcode on the sheet and proceed to the next book. 2. Book but no barcode. This includes additional copies of a book such as c.2 or volume 2. • Put a red dot on the spine label of the book so that the dot does not cover any part of the call number but shows up against the white part of the label. Proceed to the next book.

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• Dot only the first 5 volumes of a multivolume set for which there are no barcodes. 3. Any other problem, such as title doesn't match exactly, or there are two barcodes for the same book. • Put a yellow dot on the barcode(s) and a yellow dot on the spine label of the book. 4. Book out of place on the shelf. • Pull it. If the book's call number is included within your sheets, put it where it belongs and barcode or dot it. If it is more drastically displaced, put it on your truck to return it for reshelving. Keeping It Going Once a barcoding project has been started, the challenge is to keep the momentum going until it is completed, while maintaining high levels of accuracy and productivity. Keeping morale high and the library focused on the project is a challenge. Someone needs to be responsible for morale-building activities. This could be the person in charge of the barcoding project, but it is better if it is someone else. The activities can include such things as special events (such as a day when everyone wears a hat or wears blue or brings a teddy bear), food (find out whether the library can budget for anything or whether it will need to be totally from contributions), a barcoding graffiti wall (a wall covered with butcher paper), a barcoding limerick contest, or other events. A thermometer in the library lobby on which the progress is recorded keeps not only the barcoding crew but all the library staff and the patrons aware of the progress being made. Feedback to the barcoders is useful for maintaining and improving productivity and accuracy. One way to provide feedback is to produce a daily barcoding news sheet that honors the most productive teams, gives hints for improving productivity and accuracy, announces events, and answers questions that have come up. Cleanup The cleanup after barcoding may go on for months or even years. It is usually done by the library staff and student workers, though the cataloging department may need to hire extra help for their portion of the cleanup. For the circulation department, cleanup includes such things as removing barcodes with dots on them to special sheets, consolidating the other

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barcodes onto fewer sheets, pulling the books without barcodes for the cataloging department or else writing down on three-by-five-inch scratch cards the call numbers of books for which there was no barcode, barcoding returned books that were missed during the project, barcoding the multivolume and multicopy sets, and correcting call-number, title, and other problems. Eventually, the remaining barcodes are again checked against the stacks and all other possible places. Those titles for which barcodes are still left can then be declared missing and can be withdrawn. Thus, one of the final results of a barcoding operation using smart barcodes is that the collection has been inventoried so that the library records more accurately reflect actual holdings.

PART IV

Things The work of the circulation department is a process of connecting people with things, especially books. The circulation department also has responsibility for the stacks, which constitute a significant portion of the library' s physical plant. And finally, the work of the department is carried out within the physical environment of the department itself. All three of these—books, stacks, and department—are covered in the following three chapters.

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11 Books PRESERVATION Despite the sturdiness of books, they are not indestructible. In addition to the deterioration of wood-pulp paper with age, books are damaged by use. Pages tear, hinges (the attachment between the book block and the binding) rip, and spines break. One of the concerns of a circulation department is that the activities of the department not damage the very books it has been entrusted to manage. The book drop is a first concern, as discussed in the section on discharge in Chapter 5. Book handling by circulation workers is another potential source of damage and is discussed in the section on shelving books in Chapter 5. Water damage occurs in many libraries, even in those far removed from flood danger, because of plumbing leaks. Rolls or sheets of wide plastic sheeting need to be quickly available to throw over book stacks as the first action to be taken in case of leaks. The second step is to get the leak stopped, and after that comes the cleanup. While circulation may be involved in the cleanup, especially in moving books out of and eventually back into the area, usually somebody else, designated in the disaster recovery plan, has responsibility for dealing with the damaged books. The circulation department is in a position to monitor the condition of the circulating collection—and the condition may be dismaying. Some of the books may be old and deteriorating because the paper is turning brittle, books may be torn and in need of mending, or bindings may be damaged. Even a collection of new books will need some repair before much time

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has passed. If the library collection includes older books or if the library has not done much maintenance of books in the past, many damaged books will be found while shifting or shelf reading. If the number of books in the collection in need of attention is beyond coping with all at once, one way to set priorities is to decree that a book must circulate before it has earned the right to be repaired. In that case, books would be pulled for repair only from the returned books and the sorting shelves. It is a challenge to repair books without doing more harm than good and to do it with the resources available. If the collection is in need of more help than the circulation department can give, then the circulation department head can bring this to the attention of the library management. The library may wish to make preservation the priority concern until the collection can be put into better condition. For example, the library may allocate resources so that a preservation librarian is hired, a preservation lab established, and procedures worked out to establish which books will get what treatments. There may be so many in need that some items will be noted for future treatment and returned to the shelves unrepaired for the present. In an ideal situation, circulation staff members pull returned books that need repair or relabeling after they have been checked in. Those that need new labels are placed on one shelf; perhaps a circulation staff member can type the replacement labels. Damaged books should all be routed to the circulation staff person who has been designated to evaluate and sort them. This person sorts them onto the appropriate shelves depending upon what is needed. The first sort is to separate out the books with brittle paper since they are, in essence, dead. This is done by bending over the corner of a page two times. If the corner breaks off, the paper is brittle. These brittle books cannot be rebound or restitched, so about all that can be done is to note in pencil near the date due slip or barcode the date and some notation that will signify that the book has been returned to the shelves to circulate until it is beyond use. These brittle books should, however, be sent to the collection development librarian before being reshelved since they need to be evaluated for replacement. The collection development librarian may also determine that there are some which are of such little value to the collection that they can be withdrawn immediately. In some libraries, brittle books are boxed before being returned to the stacks. This is an expensive process, but offers irreplaceable books some protection. The box is made to fit the book, and is labeled with the title and call number so that it can be shelved just as the book was. The box has to be untied in order to check the book out and in. The collection development librarian

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makes the determination of which books warrant a box. Books of exceptional value may instead be transferred to special collections. Books that are not too brittle for treatment should be evaluated and repaired according to their needs, or sent to the bindery. The decisions and methods used for repair need to be discussed with a preservation librarian since it is possible to do more harm than good even when using materials that are billed as being designed for preservation. Since the ideal repair methods, those that will most enhance the life of the books, are also the most expensive, it is appropriate that the final decision as to what methods will be used be made by the librarians as a whole; the well-being of the collection is a concern of the entire library and will involve a balancing of resources against needs. DUSTING Dust is said to accelerate the deterioration of books, and it certainly makes handling them both dirty and unhealthful. However, keeping the collection clean is one of those responsibilities that often falls through the cracks. Somebody, and it is appropriately the head of circulation, needs to be responsible for making sure that the collection is dusted at least every two years. The institution has made a large investment in the collection. It seems institutionally irresponsible not to keep that investment in good condition. Since the circulation department handles the books, it is aware of the condition of the books and can serve as advocate for the needs of the collection. In an ideal world, the head of circulation would tell the library administration of the need for dusting, the administration would tell the persons responsible for campus cleaning, and those persons would assign workers to do the dusting, perhaps as a summer project. Even if it works that way, it may be necessary for the circulation department to train the dusters, to monitor their progress, and to keep track of which sections have been dusted each year. In a less than ideal world, it may be the circulation department that is put in charge of dusting. There would be some temptation to combine it with shelf reading, since both processes involve handling each book. However, shelf reading requires a focused attention, and combining it with dusting invites distraction. The dusting itself involves moving all of the books on a shelf to a truck, putting any books found behind the row onto the bottom shelf of the truck to be taken to circulation for the searcher to look at, wiping off the shelf with a dusting cloth, and then wiping off each book as it is put back on the shelf. The dusters need to be impressed with the importance of keeping

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the books in correct order during this process. Dusting may be found tedious, especially by young people, and they may be happier with their summer job if headphones are allowed. This is, however, the only circulation department job in which headphones should be tolerated. At the end of a dusting project, it is appropriate to recognize the contributions of the dusters with at least a thank-you letter to them and their supervisor. SECURITY Security, as discussed here, is concerned primarily with the prevention and detection of the theft of books, both through the main entrance and from elsewhere in the building, insofar as circulation is responsible for it. Preventing vandalism is also a concern. Pedersen (1990), in a study of theft and mutilation of library materials, found that situational circumstances lead to mutilation and theft and suggests several ways of changing some of those circumstances. These include decreasing user frustration by more quickly offering assistance, setting equitable penalties, posting signs listing the penalties, and lowering the cost of photocopying. Bingham (1989) has compiled policies from a number of academic libraries for both building security and personal safety. Electronic Theft Detection The most common way of preventing theft through the main entrance is with an electronic system that uses a magnetized detection device attached to the book. These devices must be demagnetized before they can leave the library through the detection gate and must be remagnetized once the library has again assumed responsibility for the items. This happens at the circulation desk at the time of checkout and check-in. Alternatively, some libraries eliminate the need to desensitize and sensitize by passing the just checked-out item to the patron around the security gate. The interactions of the magnetic fields generated by computers at the circulation desk and the magnetic fields generated by the security system may interfere with the proper functioning of both. The best protection is to keep such devices far enough away from each other that the fields are not strong enough to create problems. Manufacturers of the security systems can supply information on the necessary distances. Sensitizing/ desensitizing units can also create problems if magnetic items or items with magnetic strips, such as credit cards, are placed on them. A sign should be mounted on each unit warning circulation workers not to place ID cards, copy cards, wallets (because they may have credit cards in them),

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cassette tapes, or computer software on or near the unit. At least one system now has available a nonelectric desensitizer that is comparatively inexpensive and that can be placed closer to computer terminals than can the traditional sensitizer/desensitizer units. It works well, though it may be disconcerting at first that nothing beeps or flashes to indicate that a book has been successfully desensitized. Most libraries have worked out procedures about what to do if the security gate beeps. Customarily, the patron is called back and asked whether there might be something that wasn't desensitized. Often the desk attendant will realize that desensitizing was inadvertently omitted for some or all of the books, or the patron may have a book he or she recently purchased that came from the bookstore with a security strip in it. If all possible explanations for the beep have been explored but the problem persists, then the patron is asked to leave all belongings at the counter and go through the gate. One by one belongings are handed back until the offending article is found. If it becomes apparent that a theft was being attempted, the name of the person is taken and the ID checked. The campus security may or may not become involved, depending on library policy. If it is unclear whether the problem was confusion or theft, the name and ID number are taken as a precaution. If the same person again triggers the system, the fact that it is a repeat is significant. At all points in this process the circulation staff member needs to remain positive and nonaccusing. In the great majority of cases, the problem has been caused by the library rather than by the patron's attempted theft. It is useful to get a copy of the relevant law and campus regulations (the library director's office should be able to supply these) and to provide a copy of the law to the campus security office so that both security workers and the library are clear about what is being enforced. Electronic theft detection systems work reasonably well. However, no security system is 100 percent effective. Hanson (1989) reports that loss reduction for a fully protected library is 85 percent to 90 percent. It may be that not all items have had a security strip attached, that the strip was bent when inserted so is not effective, that the book was carried at such an angle that the system didn't read the strip, or that the book was carried above or below the detecting area. Patrons who lift their book bags over their heads as they exit are fairly obvious. Those who drag their bags are less so. All circulation workers can be alerted to watch for attempts to bypass the system and trained in the appropriate response to such attempts. If not all books carry the security device, it may be worth setting up a system to catch those without one when they are returned and to attach a device to them then. The devices are somewhat expensive and should be

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included in the department budget if the circulation department is to supply and insert many of them. A review of the methods of attachment and careful instruction for the staff members who do the processing will help assure that all strips are, in fact, readable. The circulation desk attendants need to be trained to be persistent in finding out why the system has beeped. They need to be assured that the system will not just beep for no cause, and that the cause for every beep must be determined. In some libraries a beep is just shrugged off, after a cursory inspection, as the work of gremlins. This defeats the purpose of the system. If inexplicable beeps are occurring, it is better to have the system repaired than to disregard the beeps.

12 Stacks The term stacks is used for both the shelving on which the bulk of the library collection is stored and the area it occupies. Maintenance of this area of the library is usually assigned to the circulation department and involves not only shelving the returned books, but picking up and straightening the books, making sure that they are in order on the shelves, and shifting them as some areas become too compacted. DEFINITIONS A shelf is a flat piece between two uprights, normally 36 inches from center to center of the supporting uprights (35 V^ inches of useable shelf), and 9 inches deep. These are sometimes called 10-inch shelves by manufacturers, who count both the 9-inch width of the shelf and the 1-inch space behind it. A section includes all of the shelves arranged between two uprights. The uprights are usually 90 inches high. The number of shelves in a section is variable, normally 5 to 7 including the top and bottom shelves. A range is a single-faced row of sections attached end to end, two or more sections long, one side of a double-faced stack. A stack is a freestanding unit, single- or double-faced, one or more sections long. If a stack is double-faced, then it is the same as two ranges, back to back. WORKING CAPACITY Library workers will be frustrated in a library in which many shelves are filled to the maximum. Shelving a new book or reshelving a book that

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has been checked out for sometimemay require shifting several shelves of books in order to create a space at the proper location. Reshelving the returns at the end of the school year becomes especially difficult. This shifting is obviously an inefficient use of staff time. It is also frustrating to library patrons, who may find the shelves they wish to browse so jammed that they cannot remove the books they wish to examine without doing damage to them. Librarians have pondered what ratio of filled shelf is the efficient maximum for a library, and have generally agreed that a shelf which is 75 to 80 percent filled should be considered to be at working capacity. This may appear to be overly conservative to the administrators who will have to find the money for additional space and shelving and would like to postpone the inevitable. If space is tight in some areas but available in other areas that are not much used, it may be useful to calculate the cost of shifting to make that space available; shifting may turn out to be an appropriate, if short term, solution. USEFUL NUMBERS The average width of a book can be determined by doing some sampling from the collection. In a general collection, library books will average about 1.25 inches wide. At that width, a 36-inch shelf can hold 28 books if stuffed. At a working capacity of 75 percent of maximum, the same shelf can hold only 21 books. However, Mount (1988: 17) calculates 14 monograph volumes per shelf when stacks are filled to 80 percent of capacity, which allows for an average of over 2 inches per book. The capacity per square foot of stack area depends on how close together the stacks are. According to one shelving manufacturer, with stacks that are seven shelves high, set at a spacing of 4 feet 3 inches from center to center, the capacity is 22 books per square foot. With stacks 4 feet 6 inches center to center, the capacity is 20 books per square foot, and with stacks spaced 5 feet center to center, the capacity is 18 books per square foot. Mount (1988: 17) again provides a more conservative figure of 13 monographs per square foot with 3-foot aisles (stacks on 5-foot centers). Mount also notes that a fully loaded double-faced section with 7 shelves on each side weighs 725 pounds with wooden shelving or 800 to 900 pounds with steel shelving. SHELVING Library steel shelving is available from various manufacturers and library suppliers. It is usually not labeled with the manufacturer's name,

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so trying to match existing shelving can be difficult. Since the shelving from different manufacturers may or may not be interchangeable, it is useful to try a shelf before committing to an order of shelving that is to be used in with existing shelving. It is always an advantage to have all shelving in a library interchangeable, since it gives more flexibility in what shelving can be used where, and it also simplifies the storage of any extra shelving. Factors to consider in buying shelving include the gauge of the steel (the lower the number, the heavier the steel), the weight capacity of a shelf, the colors available, price, cost of shipping, and cost of setup. Other considerations are whether end panels, cover canopies, backstops, book supports, label holders, and kick stools are needed. Fraley (1990) includes a useful discussion of shelving. See also Mount (1988), Jesse (1952), and Hubbard's revision of Jesse (1981). The 1952 original by Jesse is more detailed than Hubbard's revision. Although the customary actual shelf width is 9 inches (called 10-inches nominal width by some manufacturers), Mount (1988: 17) recommends 10 inches actual width shelves, and having some shelves of 11 inches actual width is useful for shelving larger books, such as art books and oversize books. Shelving oversize books horizontally in sections with nine 11-inch shelves set 8 inches apart (top of shelf to top of next shelf) works well. Bracing Library stacks in all areas of the country need to be braced and anchored for the safety of the users. Even in areas not subject to major earthquakes, students have been known to climb stacks. The building code for each area will specify the amount of bracing and anchoring required for new installations, depending upon the earthquake zone. For persuasion, read "Rubble with a Cause" (Lowry and O'Brien, 1990) about the effects of the 1987 and 1989 earthquakes on the academic libraries of California. In an interview (Poole, 1990), Charles J. Held notes that most of those failures were longitudinal collapses of book stacks installed some years ago that had been inadequately and/or improperly braced longitudinally. Held also discusses the four kinds of book-stack failure that occur during an earthquake: displacement, lateral overturning, longitudinal collapse, and overstress of members of the assembly. He recommends floor anchoring to resist the first two, sway braces to resist longitudinal collapse, and appropriate reinforcement of structural members and their connec-

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tions to resist overstress. Typical top bracing has little value in resisting lateral overturning, he reports. Recarpeting Recarpeting of stacks has received some attention. Devices that actually lift and move a loaded stack are now available for rent. These could also be used if it is necessary to move stacks because of remodeling. Meinke (1988) describes a move using some of the first of these. Special-Purpose Shelving All kinds of display and special-purpose shelving are also available for audiovisual materials, periodicals, and special displays such as displays of new books. If unusual shelving or storage of any kind is needed, it is useful to browse through the exhibits at library conventions, watch the ads in library journals, and talk to colleagues for ideas and sources. COMPACT SHELVING Compact shelving refers to shelving that can house more books than traditional shelving because most aisles are eliminated. This is made possible with movable stacks; when an aisle is needed, the stacks are moved to one side or the other to open up an aisle. The stacks can be moved in three ways: there are those that are pushed, those moved by mechanical cranks, and those moved by electric motors. When an aisle has been opened in compact shelving, there is no aisle access available for the neighboring ranges. If a heavily used collection has been placed on compact shelving, then both patrons and shelvers may have to line up while waiting for access to the unavailable ranges. A line of other waiting patrons may also place constraints on patron browsing time. For these reasons, compact shelving is normally used for storage of infrequently used materials or for items that can be retrieved without browsing. Outdated book collections, old runs of bound periodicals, legal materials, and some government publications such as the Serial Set are typical candidates for compact shelving. Because the weight of compact shelving is so much greater than that most library floors are designed to support, it can usually be installed only on the ground floor or in a specially built facility.

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Costs One of the compact shelving vendors quoted a basic price, in 1989, of $1.75 per inch of shelving for a mechanical system, and $3.00 per inch of shelving for an electrical system. This means that a single-faced section of seven shelves would cost $440 for a mechanical system and $760 for an electrical system. Another way of looking at the costs of compact shelving is in terms of the cost per volume shelved. If the average volume is 1.25 inches wide, then the cost would range from $2.20 to $3.75 per volume, depending upon the type of system. Besides varying with type of system, the costs will vary depending upon the number of safety features to be incorporated. The number of safety features, in turn, will depend in part upon whether the stacks are to be for public access or staff-only access. Fraley (1990) offers a useful introduction to compact shelving. In addition to her comments, I would add that it is important to check references for the companies under consideration. There are many in the field, some with long and honorable histories, and some without. Talking to libraries in which the companies under consideration installed compact shelving ten years ago as well as to libraries in which they have made recent installations can provide valuable information about the companies' past and present performance, and also words of wisdom to consider with any compact shelving installation. STACK ARRANGEMENT As the user faces any stack, the books are arranged left to right on each shelf, top to bottom within each section, and left to right from section to section. This is all so comfortable and customary that librarians do not, and need not, think of changing it. Questions arise, however, at the end of the stack; will the next book be across the aisle or around on the back side of the stack or behind you? Which way to turn? Traditionally, stacks are laid out in a boustrophedonic pattern, the back and forth pattern in which a field is plowed, with the numbering wrapping around the stack rather than continuing across an aisle. If the stacks are laid out so that each row has an odd number of ranges (see (Exhibit 6), then the pattern is self-evident and flows from itself. Note that this pattern assumes a neatly open room, uninterrupted by stairwells, elevator shafts, halls, or other obstructions. This pattern also presumes that the books are shelved in order beginning at a corner of the room. If the door to the stacks provides access to the center of the floor, the temptation is to start the

Exhibit 6 Stack Arrangement Options

These layouts presume rooms much vider than those shovn vith many more stacks in each rov. For a room vith the above proportions, more books could be housed by running all the stacks the other vay in one long rov.|

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numbering at that point. An experienced librarian will resist that temptation. The user is better served if the floor as a whole has a logical arrangement. Even if access puts the user into the middle of the sequence, the sequence will be apparent enough that the user can find his or her way around. If, however, the sequence is distorted in order to begin it at the entrance to the stacks, wherever on the floor that may be, then some users may never figure out the system and so may not find the needed books. If there are significant obstructions in the room, it may be possible to use them to make somewhat logical sections for separate parts of the collection, such as oversize books or government documents. Stankus and Rosseel (1988: 95-98), in a chapter entitled "Estimation of Shelving Needs: Selection of Equipment," discuss a number of shelving questions. The final part of their chapter proposes solutions to the problems of posts and shafts in the stack area. Specifically, they note that small posts (18 inches or smaller) can be allowed to intrude on the edge of a traffic aisle. Larger posts are better incorporated into a stack range. Large service shafts can be wrapped with single-faced book shelves and then be used for single runs of bound periodicals or some other display that is not part of the regular sequence. People vary in their ability to look at a floor plan and see what will feel logical when in place. It is useful to get input from a number of people, including students, as to what would make sense to them in arranging a collection. Beware of a convoluted solution. The ideal solution will have an elegant, inevitable quality to it. There are some rooms, however, that defy an elegant solution. In that case, users will need to be assisted by extra signs. STACK NUMBERING Libraries that number the stack ranges find that numbering them simplifies life forever after. Numbering is not absolutely necessary, since each range will also have call number guides to identify it. However, being able to refer to a range by an unchanging one- to three-digit number eliminates ambiguity in planning. Appropriate number labels are available in a small, pressure-sensitive format from library suppliers. Gaylord, for instance, has some pressuresensitive Vi-inch numbers, 1,000 (100 of each digit) per box for under $10. Three boxes would be needed to number both ends of up to 250 ranges, four boxes for up to 500 ranges, and six boxes would take care of nearly 1,000 ranges. These numbers can be placed on the ends of the ranges near the top of the end panel, the same number on each end of a range. The person placing the numbers can use a ruler or a guide card so that the

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placement is neat and consistent. Since the numbers are above eye level, they are usually not noticed except when needed by library staff. Using these numbers, the circulation department can then make a permanent inventory list of available shelving. This listing is useful for planning shifts, assigning shelf reading, and space planning. The inventory can be made on a yellow tablet with one range listed per line and, after the range number, the number of sections in the range entered. Later this inventory can be entered into a word processing program so that it can be printed out when needed and expanded to make forms to use when planning a shift. For example, the inventory can be expanded to provide a line for each section so that there will be room to enter the number of shelves per section and the lineal inches of books per shelf.

13 Department Arrangement CIRCULATION DESK In one model of a service-oriented library, the entering patrons would find assistance immediately available to them on the right as they enter the main lobby, the catalog and entrance to the stacks would be straight ahead, and the circulation desk would be on the other side of the lobby, on their right as they exit. Such an arrangement would provide a comfortable flow of traffic for patrons since services would be available at the point of need. The circulation desk, wherever it is located, needs to have enough counter length for serving several patrons at a time, with counter space for stacking books that are in the process of being checked out, returned, or renewed. Additional length will be needed if reserves are handled at the same desk; the area for reserves transactions should be located at the end of the counter away from the main traffic flow. Book returns, other than those for use when the building is closed, need to be located at the circulation desk in order to provide security for the returned books and efficiency in handling them. It cuts down lobby traffic and noise somewhat if one of the book return areas is located outside the exit gate (but inside the building) so that books can be returned by patrons without their having to come in through the entrance gate. Since many circulation desks are located right at the exit, there is often a corner available for this. Since a surprising number of books are returned to circulation by patrons who are leaving the library, it is also desirable that a book return area be located just before the exit gate. Both book return areas may feed into the same area for processing returned books.

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Nearly all libraries have found that a counter provides the most useful patron service arrangement for circulation. The counter is usually 39 inches high and 30 inches deep. Modular units are available from library furniture manufacturers that exhibit at state and national library conventions. Their catalogs provide some ideas for useful arrangements and features. Some newer problems to consider are what to do with all the wires coming from the computers, how to place the computers so that the keyboard is at a convenient height for all users, and how to place computers so that they and the security system do not interfere with each other. Under the counter there needs to be room for knee space at the card wells, shelves or cupboards wherever knee space is not needed, and toe space under the entire length of the counter. With an automated system there is much less need to provide knee space at the counter since there is no longer a card well with all of the attendant filing and carding. However, even if there is a separate desk for the staff person on duty, knee space should be provided at a section of the counter where a desk attendant could sit on a stool to work at some task when there are no patrons. Behind the counter there should be enough room to allow several people to work and move about and room for book trucks. Mount (1988: 20) recommends 100 to 125 square feet per person for work stations, with 150 square feet needed for technical service areas, but this is not particularly useful information for designing the circulation desk area. Too small a desk area leads to dodging, collisions, and a sense of impeded flow. Too large an area exhausts staff members with galloping from one task to the next and results in slower service; any plan in which material that is to be retrieved for users is located more than 15 feet from the service desk needs to be reevaluated carefully. Designing a circulation desk area requires both a knowledge of what happens at the desk and an ability to look at a plan and see the traffic flow implicit in it. Architects may have the second ability, but they will not understand the kinds of activities that happen at the desk. Either the circulation department should prepare its own proposal, if it feels comfortable with its ability to foresee traffic flow, or it should educate the architect and provide some figures on the amount of traffic during peak hours for each type of function. A plan that places checkout for reserve books at the same counter as checkout for other books and places both right in front of the exit gate is going to create congestion both inside and outside of the counter, yet there have been libraries so arranged. Book trucks also need to be considered in designing the desk and work area. The number that will be needed at the front desk, where they will be stored until needed, and where they will be stored while waiting for the

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next step are all questions to be considered in planning. With a manual system, space is needed next to the card wells for trucks of books being carded. With an automated system the discharge function can be totally separated from the checkout function. This allows for more flexible use of the space. Weaver-Meyers and Pearson (1986) found that moving the discharge function completely away from the front circulation desk reduced the error rate of discharge from about 1.8 percent to 1.0 percent. Space is also needed by the book return for a truck or trucks so that returned books can be loaded onto a truck as they are removed from the book return area. It is useful to include a desk with phone and a file drawer in the area behind the counter. Because many people use the area and a lot of information that is needed quickly is on paper, the desk may become cluttered with copies of policies, schedules, phone numbers, and messages. A notebook with divider tabs and plastic sleeves into which schedules can be slipped may help, as well as a multislotted rack for forms. The staff may also have ideas on how to organize the desk for quick retrieval of information without clutter. Adequate wiring is needed throughout the department for phones, power, and computer lines. Many departments have had some kind of rewiring done at least every three years because there was never enough provided. As technology changes, the needs grow faster than can be anticipated. The moral is to install more wiring of every kind than can possibly be needed and in the maximum number of locations in order to provide flexibility. Noise is a concern at the circulation desk. Since the desk is often at the edge of the lobby, conviviality in the lobby may be distracting to workers at the desk. Conversely, the noise generated at the desk, whether from interactions with patrons, staff conversations, or computer printers, can be a distraction to others in the library as well as to the department itself. Solutions are not simple. The first step is to become aware of the problem and then try some brainstorming problem solving with the staff. Possible solutions include soundproofing printers, installing doors, posting signs, providing for a lobby monitor, redesigning the lobby, or carpeting the spaces. Visiting some other similar libraries is a useful way to gather ideas when preparing to change any part of the circulation department. WORK AREA The work area is the area in which the nonpublic operations of the circulation department are carried out. These include preparing checked-in

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books for reshelving by sorting them and making up trucks, sorting books for mending, repairing and relabeling them, preparing notices, keeping records of fines and payments, scheduling and supervising staff and student workers, storing supplies, processing reserve books, and all of the other tasks needed to keep the department functions operating. The work area may or may not be separated from the front desk area; it may be useful to separate them so that the activity in the workroom does not distract the workers at the desk. The work area may include: • stacks for reserve materials; • stacks for sorting books for reshelving; • stacks and/or shelves for other materials and purposes, including in-process reserves, books for mending, books waiting to go to the new book shelves, problem books, books being held for patrons, high-risk newspapers and periodicals kept behind the desk for safekeeping, computer ware that circulates, and paper for the copiers; • bulletin boards, one for student workers and one for staff, for posting schedules, sub sign-up sheets, postcards from vacationing staffers, and special instructions; • a large calendar on which to keep track of vacation days; • mailboxes for staff members and for student workers; slotted shelves work well; • coat closet(s) for staff and student workers; • a locker for each staff member for purse, lunch, and personal supplies; • lockers, cupboards, or closet in which student workers can keep their books and backpacks while working; • space to store files of circulation records, especially those relating to overdues, fines, and bills, and those for the reserve operation; • cupboards for supplies; • a desk for each staff member; • typewriters). With automation, the need for typewriters lessens, but it may never disappear; • telephones; • at least one computer work station; • at least two terminals, if automated; • a paging system for making announcements and for giving emergency instructions;

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• a time clock. If time cards are not kept in mail slots, a rack will be needed for them; • a lockable key case; • a safe for storing money and valuables overnight. Even if fines are not collected at the library, there may be money on hand if the department is responsible for servicing coin changers or photocopiers, or if fees are collected for library cards or other services; • space for empty trucks. Some may be stored in a distant closet during quiet times. The empty trucks that are needed on a daily basis by the department take a lot of room and will be in the way unless space is planned for them. Something like a truck garage, perhaps a bay or room designated just for trucks, is a good solution; • space for trucks of books that are ready for sorting; • space for trucks of books that are being processed in some way, such as for reserves or books for the bindery; and • lighting that is optimal for all tasks being performed. The arrangement of the work area is dictated by concerns for efficiency, for noise control, and for pleasant work environment. As with the front desk area, those with a gift for visualizing traffic flow can be a help during the planning. Partitions separating the desks may or may not be desirable, depending on the desires and needs of each staff member. OTHER CONCERNS In addition to the desk work area and the workroom space, the department will need a private office for the department head or supervisor so that confidential matters can be discussed. A nearby elevator will be needed if book stacks are on a different floor from the circulation desk. Space will be needed close to but outside the department for trucks of books that are waiting to be reshelved. If the trucks are waiting in a public area, then patrons who are looking for a book can check them over. This parking space will need to accommodate the maximum number that get backed up during the busy times. Often a hall serves as the parking area. This can work well if the hall is wide enough. House plants can be attractive and are useful in humidifying work areas. They are also said to be the most effective way of reducing computer static. However, there are not automatically attractive. A small, barely alive, neglected plant can give the entire area a dispirited look, and a large plant

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can look ludicrously out of place. With as much clutter as usually fills a circulation work area, it is a challenge to keep plants looking attractive, appropriate, and thriving. In most circulation departments, posters and extraneous signs add to the sense of clutter. Any posters that are hung need to reflect a positive working attitude, as do signs on desks.

PARTV

People

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14 Staff OVERVIEW As has been seen, a circulation department has a number of functions assigned to it. However, these functions happen only if people perform them. Thus, the staff is not just an asset to the department; it is the department. Will Manley writes (1988:83) that "the truth is there's no way to make circulation work 'self-actualizing.' There is only one solution here—bribery.... And even then you're going to have problems. It's the nature of the work. If you don't believe me, just try it sometime." Unfortunately, his negative perception is shared by many in the library world. It is up to those who serve as heads of circulation departments to let the rest of the library world know that there are, indeed, challenges in circulation work, and that there can be not only great satisfaction in meeting those challenges but also pleasure in the interactions with the staff and patrons that circulation work provides. It is worth devoting significant effort to creating a contented, thriving, productive staff that works together to get the job done. Some of this effort can be directed toward empowering the individuals in the department, giving them the maximum possible control over their work lives. Among the ways of doing this are seeking and using their input, using group discussion and decision making, and recognizing and honoring achievements, both large and small. It is also worth trying to build a sense of group identity. Group outings, group efforts, and group recognition all help members of the department to identify with the department and to be proud of that identification.

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NEEDED CHARACTERISTICS People come different! The characteristics needed by a circulation department come right in the middle of the range of characteristics that humans exhibit. Neither extreme introverts nor extreme extroverts, neither the extremely rule-bound nor the extremely creative, neither the fanatically tidy nor the strew-it-all-around sort will be a happy fit in a circulation department. The work is so varied and calls upon such a variety of characteristics and skills that well-rounded people are needed. An appropriate first step in assessing the staff needs of the department is to look at the functions that the department performs and then to list the skills and personal characteristics that are needed in order to perform those functions. The functions are determined by both the circulation process and the other duties assigned to the department. Some frequent functions are desk supervision, student supervision, stack supervision, student overdues, faculty overdues, searches, holds and recalls, mending/preservation, reserves, statistics, room reservations, inventory control, purchasing, equipment maintenance, and money. These functions may be assigned each to a different staff member (including the department head), several may be assigned to one staff member, or several staff members may rotate a responsibility, such as desk supervision. The more clearly the responsibility for each function is designated, the more efficiently the staff can operate. The skills needed are dictated by the functions. Is typing skill needed? Organizational skill? Computer skills? The ability to manage several things at once? Many of the skills needed are not easy to identify, and the line between skills and personal characteristics is sometimes unclear. The personal characteristic most needed by circulation departments is a strong dedication to public service. A staff member who is not only pleasant and helpful, but who also has the ability to understand the patrons' needs and is willing to put effort into meeting those needs is a boon to the patron, to the library, and to the rest of the staff. A staff member who provides poor service not only damages the public's image of the library, but is also destructive to the morale of the other staff members. In addition to dedication to public service, circulation departments value competence, vigor, the ability to work constructively as a member of a team, the ability to do several things at once without becoming flustered, an ability to be comfortably in charge, an understanding of systems, and an enjoyment of people, especially students. Although these kinds of characteristics traditionally were not included in a job description, it seems that they should be, especially if they are the

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characteristics on which an applicant will be evaluated for hiring and later for performance. Some job descriptions now include, in addition to the traditional skills such as typing, requirements such as "works well with fellow workers" or "strong public service orientation." Some other requirements that a circulation department may wish to include are "accurate," "works well with students," "has supervisory skills," "can efficiently handle multiple ongoing tasks," "can work independently," "exercises good judgment in emergency situations," and "has organizational skills." STAFF ORGANIZATION Staff members will vary in their array of abilities even if all are hired under the same generic job description. It works better to assign staff members to jobs that use their particular skills rather than plugging people into an abstract organizational scheme. For example, a staff member with a good memory for titles and an ability to find them in unlikely places can be an excellent searcher. Another who is exceptionally skilled at scheduling and supervising will be valuable as the student supervisor or the department coordinator. Another with an uncanny ability to spot errors can assume tasks that need an especially high degree of accuracy and error detection. Another who has superb organizational skills can organize the reserve operation. These are all skills from which the department can benefit. As new people are hired, the work assignments in the department may need to be modified to make best use of the new mix of skills. As an example of work assignments, in one library all members of the circulation department staff except the music room supervisor cover the circulation desk for half to two-thirds of their total hours. During the rest of their time, they sort books, make up trucks, shelve when needed, and shelf read. Each staff member also has one or more specific responsibilities, such as overdues, reserves, searches, recalls, or mending. The work assignments also take into account whether the person is a full or part-time staff member. One staff member performs all the usual tasks and also serves as department coordinator. In this capacity she takes responsibility for day-to-day scheduling and supervision of staff and students, hires student workers, facilitates communications within the department, and funnels problems to the department head. Handling such an array of duties is possible only for a person of exceptional ability and efficiency. STAFFING LEVELS The decisions to be made about staffing levels involve both how many and what kind. For example, what number and mix of staff and student

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workers, what mix of full-time and part-time staff, what mix of pay grades and skill levels will be optimal? Sellen (1989) discusses the problem of who in a small academic library should manage the circulation department. She recognizes that significant skills are needed for training and supervision, yet a professional librarian may not have either the desire or the time to train circulation people well. As an alternative, she suggests having an appropriately paid paraprofessional department supervisor whose work would be overseen by a professional librarian. Number of Staff Members The number of staff members needed will depend on several factors, including (1) the number of hours the library is open per week, (2) the length of time a person can work without a required relief shift, (3) the number of hours, if any, that the circulation department is permitted to use student workers without a staff person present, and (4) whether the library handles peak loads with ongoing staff or with short-term help. It is characteristic of academic libraries that they are open many hours a week and that staff is needed to cover those hours. It is not uncommon for the main library to be open one hundred or more hours per week during the semester and to have an adult staff person on duty at all times. Some libraries staff their late-night hours with student workers and have found that that works well. The student responsible for the shift is sometimes paid a higher wage in recognition of the added responsibility. In some libraries the experience has been less fortunate. The student workers on late shifts socialize more than they work, the monitors are not supervised, and the library becomes notorious for being impossibly noisy. In one such case, instituting full-time adult staffing again established the library as a place for serious study and eliminated student complaints about noise. The number of staff needed will depend also upon institutional policy about how long the circulation desk can be left without a staff member in attendance. One library allows, for example, a fifteen-minute break without substitute coverage but has decided that a thirty-minute meal break is too long to leave the desk uncovered. This is because the staff member is responsible for all emergency responses for the building, for answering the phone, for making room reservations, and for dealing with security gate alarms, in addition to the regular desk duties of answering questions, supervising student workers, and assisting patrons. State regulations typically allow up to six hours without a meal break. In that case, and if meal breaks must be covered by another staff person, then six hours would, of course, be the longest a person could work without a relief staff person.

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Staffing needs would be different if the desk could be left in charge of students during the staff member's thirty-minute meal break. Peak Period Staffing One characteristic of the circulation cycle in an academic library is its predictable cycling through the year. The pattern relates to the academic calendar, with little activity at the beginning of a term, the largest checkouts toward the end of the term, and the largest returns as late in the term as the due dates will allow. This makes staffing a challenge, since both staff and students are traditionally hired on a steady-state basis. The question is how to staff so that there aren't too many workers during slack times and too few during rush times. There are several possibilities. One option is to staff at the needed level all year but with the staff assigned other tasks during the less busy times. Many departments of the library have tasks that can be done on a nonurgent basis, everything from filing cards in the catalog to processing new books. Interlibrary loan would seem to be a good fit with reserves, for instance. At the beginning of the semester when reserves are coming in hot and heavy, ILL is not very busy, whereas during the busy ILL time reserves is mostly under control and is a routine operation. However, loaning staff to another department for a short term may lead to problems. The other department may be unhappy when the staff person is pulled back to the circulation department, or, because of the complexities of scheduling in both departments, it may be difficult to find times for the assignment to the other department when the other supervisor is available. There are also all the questions associated with split supervision, such as, to whom does the person report when ill, who is responsible for the evaluation, and who has priority in scheduling. A second option is to have the staff doing some of the ongoing maintenance jobs in circulation during the slack times, especially shelf reading. Shifting is another off-season job, and some have found that barcoding cleanup is a task that continues for several years and can be done during slack times. A third option is to hire one or more staff for nine-month positions if summer is a slack time in the library. This is an appealing option for employees who like to have their summers free. A fourth option is to hire some short-term help when the crunch comes at the end of each semester. For example, hiring forty hours per week of extra time for four weeks of shelving at the end of the semester may make the difference between chaos and order during that frenetic period. The hours might be shared by regular part-time staff, or one or two temporary staff could be hired. After implementing an automated circulation system,

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the staffing pattern may shift to fewer regular staff and student workers during the semester and even more extra hours at the end, since checking the books out and in is much expedited but the books still have to be shelved by hand. Students often request longer open hours, but the school may not wish to invest as much money as it would take to staff additional hours with regular staff. Libraries accommodate these requests in various other creative ways, some for the entire semester and some for the final few weeks. For example, one library stays open a flexible schedule, up to twenty-four hours, depending on the time of semester. No services are offered after 11 p.m., and a student monitor is stationed at the front door to make sure that only those with a college ID are admitted. Another library hires student workers and monitors to be in charge of and patrolling the library from midnight to 2 a.m. during finals, but no services (reference, circulation, reserves) are offered during those added hours. The library informs the users that abuse of that study time will result in its elimination. Part-Time Staff Having some part-time staff members gives the circulation department some flexibility in scheduling. There is, however, a cost to the institution, if full benefits are paid to part-time employees, and there are some costs just in having more bodies to keep track of. The department also has the challenge of how to keep communications going and how to keep part-time staff members feeling that they are valued members of the team. On the other hand, some of the advantages of having part-time staff, in addition to flexibility in scheduling, are that if a staff member is sick there are more people to call on to help cover, and the part-time people may each cover a full share of weekend hours if those hours are rotated. If the institution can handle flexible hours, then it is also possible to have part-time staff members who work fewer hours per week during the slack times and more during the busy times. Student Workers Tied to the question of how many staff members are needed is the question of how many student workers are needed. For a given amount of money, a library can get many more hours of student help than of regular staff help. This is because students are paid less, receive no benefits, and many of them are paid from federally subsidized work/study funds. Many students are also bright, capable, willing, and responsible workers. Other factors to consider when determining the optimal student/staff ratio is the rate of student turnover, the lack of continuity during the week with student

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workers who may be available for only eight or ten hours per week, and the amount of responsibility that the institution wishes to place in student hands, such as emergency responses and dealing with questions about overdues. Skill Levels Circulation departments wrestle with the question of what skill levels are needed and what pay grade is appropriate for them. Circulation work is too often discounted with an attitude of "Anybody can check a book out." One of the responsibilities of the circulation department head is to document the kind of decision making and skills that are needed in the department and then to work so that the staff members are rated and paid appropriately. Before hiring a new staff member, the job description for the position should be reviewed to see that it reflects the needed level of skills. There is no formula, nor even any standard practice, for determining which departmental functions deserve a higher rating. The reserves coordinator is sometimes rated higher because the person in that position needs organizational skills and also has more responsibility for negotiating with faculty. The student supervisor may be rated higher because of the supervisory skills that are needed. Late-night workers may be rated higher because they carry sole responsibility for the building and for emergency responses. However, campuses vary in which skills are recognized as meriting more pay. The campus personnel office will have the guidelines that are used on the campus to determine pay grades and can work with the library and the circulation department head to assure that the skills of the staff are recognized and equitably recompensed. Documentation of what is being done at comparable institutions can be useful also. SCHEDULING Weekly Scheduling Putting together the weekly (or semester) schedule can be the nightmare of circulation, especially if there are rotating shifts. Software for scheduling has great appeal, but there seems to be none yet available that can handle all of the variables that are needed. Nothing comes close to being as effective as a good mind. One library adopted the form shown in Exhibit 7 after trying a variety of ways of displaying the weekly schedule and has found it to work well.

Exhibit 7 Form for Staff Schedule

This is a portion of a weekly schedule which is ready to be posted. To prepare a copy of the master schedule for posting, dates are entered for the week, lines are entered for weekend hours and other added hours, deletions are marked out with wavy lines, and ovals are drawn to indicate front desk assignments for the week. On the master schedule, evening hours (not shown) are listed at one hour per line since there are fewer staff changes during those hours, and staff initials are repeated across the bottom and hours repeated down the far right side for ease of use.

Reproduced on 11" x 14" paper, one for each week.

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A master weekly schedule is made up on which the regular shift for each staff member is shown with a line. This master is then photocopied (on 11-by-14-inch paper) to provide a copy per week for the semester. A copy is dated for each week. If, for a particular week, the schedule is changed so that a staff member doesn't work all or part of a scheduled shift, then the appropriate portion of line is marked out with a wavy line. If the person works other hours, a line is added in where needed. The person designated to open is paid to start work fifteen minutes before opening, so her or his line starts fifteen minutes early. The person designated to close is paid to work until fifteen minutes after closing so her or his line extends fifteen minutes late. A weekly schedule can show more than who works when. For instance, on this schedule the desk shift assignments, usually for two hours, are shown on the weekly schedule with a penciled circle around the time slots. Green X's mark the lines at the appropriate times, mornings and afternoons, for designated staff members to take the outgoing mail. The persons designated to pick up the incoming mail are marked with green <9's. Working out a weekend shift rotation requires awareness of staff members' needs and preferences. The compensatory time off for those weekend shifts also has to be scheduled with care so that there are enough people to staff the department on Fridays or the other compensatory days. A large calendar hung near the posted weekly schedule can be useful for entering and keeping track of vacation and sick days. Vacation time is not normally authorized during the busy times of the semester, and time off without pay may be authorized only during the summer. Compensatory time is earned when a shift is worked that is not a scheduled shift. It is advisable that staff members obtain approval before earning compensatory time. There may be institutional policy governing when compensatory time may be taken, such as that it must be taken during the same two-week pay period in which it is earned. Compensatory time is usually not given for arriving early, staying late, or skipping breaks. Staff members need to know that the library appreciates their willingness to do the job that needs to be done and that they are not expected to donate time to make that happen. Informal arrangements may be worked out to meet some sudden need. It is important that the department head know about and agree to these arrangements. Desk Assignments A circulation department involves both public service at a front desk and work behind-the-scenes. It is obvious that when there is only one staff

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member on duty, that person is responsible for supervising the public service desk. However, during those hours when there may be several staff members present, the department head can clarify responsibility and generate a more even work load by designating a staff member responsible for supervising the public service area. This can be done by assigning desk shifts. The assignments need to take into account the other duties of the staff member. For instance, the reserves coordinator would be given fewer desk hours at the beginning of the semester, and the overdues person would be given fewer toward the end of the semester. Staff members are usually efficient at arranging their tasks so that some can be done during quiet times at the front desk. During exceptionally busy times or when student workers are not available, additional staff members may be assigned to the desk. HIRING Search Committee The first step in filling a position is to form a search committee. A committee of three people works well for regular staff positions. The committee can be comprised of the circulation department head, the person next above, and the person next below. These other two might be, for example, the associate librarian and the department coordinator. For hiring temporary help and student workers, a more abbreviated process may be in order, with the department head and one other person from the department making the decisions. However, even in such cases circulate the names of potential staff candidates to the entire department staff because surprisingly often a candidate will be known to someone on the staff. Usually, the circulation department head would serve as chair of the search committee. The function of the committee is to establish the schedule for the process, prepare the job description, screen the applications, select several candidates, prepare questions for the interviews, prepare a checklist for evaluating applicants, interview the selected candidates, check references, and make the final decision on whom to hire. Input from the other circulation staff members is useful throughout this process. Hiring Schedule The next step is to sit down with the committee and establish the schedule. The schedule will include the time it will take to review, revise, or write the position description, the time it will take the personnel

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department to advertise the position, the time to be left between the publication of the ads and the closing date, the closing date, the time it will take the committee to screen the applications (set a meeting date for screening—ideally, the day after the closing date), the time it will take to set up and conduct interviews (set time slots for interviews so that they don't fall when a committee member is out of town), and then the desirable start date after hiring. Job Description Hiring good staff members requires a job description that accurately describes both the expected duties and the desired skills and personal characteristics. The rest of the department staff members will have ideas worth incorporating. Once the job description is completed, the personnel department usually takes care of the actual advertising of the position and scheduling of interviews. Screening The applications can be reviewed by the individual members of the search committee as well as by the circulation department staff. However, the decisions about which candidates to invite for interviews should be made by the committee in a meeting. This screening is based on both the formal record and informal evidence. For example, educational level may be less important than evidence of literacy within the application itself. The care with which the application was completed may be another clue. The number and kinds of previous jobs may serve as some clue, but cannot be taken as pure plus or minus without other information. If the personnel office gives all applicants typing and/or spelling tests, that information can be useful, or the department itself may give such tests. If there is an application that looks good except that one item leaves the committee uneasy, then call one or more of the applicant's references to clear up the question. Interviewing Once several likely candidates have been selected, invite them for interviews. Schedule these as quickly as possible after the closing date for applications, both out of kindness to applicants and to keep the momentum going for filling the position. Prior to the interview, the search committee draws up a list of questions to be asked of each candidate and decides who

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will ask which questions. Asking each candidate the same questions helps to assure both equity for the candidates and comparable information for the library. Type up the questions with space for noting each response, make three times as many copies as there are candidates, and give each member of the committee a copy for each candidate. Begin each interview by explaining the nature of the position to the candidate and then answer any questions she or he has about it at that point. Be especially clear about the duties, the expected hours, the classification level, the pay scale, and benefits. After answering the applicant's questions, proceed with the prepared questions. Some examples of questions are • • • • • • • •

Why are you interested in this position? Are there parts of the job that you are uneasy about? What parts of the job do you think you would do especially well and why? What parts of your experience would be useful for this position, as you understand it? Have you ever worked in a library? Please describe your responsibilities there. Have you ever had supervisory responsibility? If so, how did it go? How did you feel about it? How do you feel about night and weekend work? How do you feel about working with students?

Then some hypothetical situations such as the following may be posed: • Imagine that you are supervising the front circulation desk and become aware that one of the student workers is involved in an altercation with a faculty member. The faculty member has become outraged, loud, and somewhat abusive. What would you do? • Imagine that when you come on duty youfindthat another staff member left a big mess when she ended her shift and has now gone home. What would you do? While these questions are somewhat unfair since the candidate doesn't know the people involved, the policies of the department, or the means of communication, the responses give an idea of the direction the person would take—and can serve as consciousness-raising for a new employee about the fact that the department is concerned with how problems are solved.

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Leave time at the end for questions that may have occurred to the candidate during the interview; express appreciation to the candidate for being interested in the position and let the candidate know how soon she or he will be contacted. Schedule time, too, for the candidate to see the department and meet with the rest of the staff. The staff may wish to prepare questions ahead of time so that they ask the same questions of each candidate. It is helpful if the staff notes and reactions, even if brief, are in writing. The meeting with the staff can give the candidate a better sense of what the job would actually be like, especially if the meeting is held in the department or includes a tour of the department. At some point, the candidate may be given tests to provide objective measures. As noted above, both typing and spelling tests can be useful. Spelling ability, especially, seems to correlate with good performance of circulation duties. In some circulation departments every candidate for a position in the department, whether staff or student, is given a card test. For example, a card test might consist of a pack of some fifty old book cards, including both Deweys and LCs if the library has both classifications. The cards can be chosen to present several challenges, such as both JKs and JXs, complex Cutter numbers, and easily transposed numbers, such as 2962 and 2692. The cards are mixed, the system is explained to the applicant (a written explanation assures consistency), and then she or he is given the cards to put in order. The test may or may not be timed. Libraries have found the card test to be remarkably predictive of performance. A person who makes no errors will be an outstanding worker. A person who makes one or two mistakes will probably be okay. One who makes three mistakes or more should not be hired. Experience has shown that it doesn't work out; the person just does not have some of the skills that are essential to functioning effectively in circulation work. Unfortunately, there seem to be no effective tests for organizational ability nor for multitask ability, that ability to do several things at once that is so useful at a busy circulation desk. Both abilities are highly desirable in a circulation department. After each interview, each member of the committee jots down his or her own reactions. A checklist to use in evaluating each candidate may be useful for both the interviewing committee and the circulation department staff. Such a list might include the following attributes: • Has a service orientation • Able to work well with the department • Enjoys working with students

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Able to supervise students Able to work with accuracy Able to learn quickly Vigorous Has useful experience Has useful skills Responsible

Since it is unfair to evaluate candidates or employees on factors that they are unaware of, any items on a checklist should be included in the job description or at least communicated during the interview. References Before hiring anyone check at least one reference and preferably several by phone. Keep the questions as open-ended as possible. Questions such as "We are considering for a position in the library doing such and such, and wondered what your experience was with her or him and how well you feel she or he would do in such a position." At some point you may wish to ask whether there is anything else you should know and whether the former employer would hire the person again. Selection After all interviews have been completed (ideally, within a day or two) and references checked on the most likely, the committee meets. They consider both their own responses and those of the circulation staff and make a selection or, if theirs is not the final choice, a recommendation. Once the selection has been made, the next step depends upon institutional procedure. It may be that the library notifies all candidates or it may be that the personnel office does. TRAINING New Staff Training of new staff and student workers should enable them to feel competent in their new positions within two weeks. There will still be things to learn, but by the end of two weeks, all employees should feel comfortable with their major duties, and staff members should be able to

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function on their own. Employees who have been hired for more limited duties, such as shelving, may need much less training. However, they, too, need enough of an overview of where things are in the library and what goes on that they understand their part in the process and are comfortable with being there. A checklist of all points to be covered in training is useful for both staff and student workers. It is easy to overwhelm a new staff member on the first day; the first-day headache is all but inevitable. On the first day, give an overview and focus on "survival" information such as where coats go, where the desk, locker, and mailbox are, where the break room and restrooms are, and how time sheets are handled. The overview includes a tour of the department and a tour of the library in order to see the general layout and to be introduced to the rest of the library staff. Reassure the new staff member that she or he will not be expected to remember the names at that point. The new staff member can spend any extra time just observing the activities in the department, asking questions, and getting a sense of what the business world calls the corporate culture. On the next day, begin actual training. Again, try not to overwhelm. Assign the new staff member to a staff member who is on desk duty so that she or he can observe and be shown the steps in checking books in and out and can begin to understand the wide variety of questions that she or he will be expected to deal with. Pace the training so that it takes about two weeks. By then the new staff member should be reasonably comfortable running any shift alone. However, most staff members report that they don't feel really competent for close to three months. Staff Development Once a staff member has been trained in the basics of the position, it is easy to assume that this is sufficient. However, an assessment of the needs of the department may show that additional skills and areas of development are needed for both the new person and the rest of the staff. Some of the most effective development can be done within the department by the department head working one-on-one with staff members. One effective method is to use feedback in small, specific doses. For example, a disorganized staff member can be asked to label each pile before leaving at the end of the day or to develop a checklist and to use it to make sure that all steps of a routine are followed. These concrete steps are more effective than general admonitions such as "Get more organized." Even more effective is to do some problem solving with the staff member, for example: "We have a problem because if we need to find out the status of

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a book when you aren't here we can't figure out what these various piles of search cards are. Do you have thoughts on what can be done to solve the problem?" Then do some brainstorming, select one or two specific actions for the person to do that will help solve the problem, and monitor the situation to be sure that the actions are being done. More formal group training sessions may be useful for specific topics. Some useful training may be available through the campus personnel office, and some sessions may be offered by the library or by the circulation department itself. For example, the campus fire control office can provide training in dealing with fires and fire alarms. Other possible subjects for training sessions include telephone skills, computer skills, conflict resolution, assertiveness training, deskside manner, dealing with problem patrons, understanding a MARC record, book preservation, an overview of the acquisitions process, an overview of the cataloging process, a brief introduction to the reference collection, and emergency responses. Lipow (1989) differentiates between training (to change behavior) and education (to enhance awareness, knowledge, understanding). She also provides a model for training methods that are effective and result in changed behaviors. Conferences offered for library assistants may or may not offer opportunities for particularly useful training. It may be more effective to take the entire circulation staff to visit some other libraries once a year. Other circulation departments are usually generous about hosting if it is clear

that they are hosting a learning tour and not a critical inspection and that the visiting library will be glad to host in return. These visits provide not just an outing and a shared experience, but a chance to see that other libraries do things differently and to pick up some useful ideas. Before going, share basic information about each library with the staff. The staff members should go with some specific questions relating to their areas of responsibility and then write some notes of their findings on return. Since each person may be talking with a different staff member at the other library, compiling the written notes is one way of sharing the information gleaned. Seeing that there are other ways to do things allows the staff to consider alternatives to customary and unquestioned procedures. At the American Library Association annual convention, the Circulation Services Committee of the Systems and Services Section of the Library Administration and Management Association sponsors a two-hour session, usually on Saturday mornings from 9 to 11 a.m. The 1991 session, for example, was entitled "The Access Services Manager, An Evolving Role." This is the one national focus on circulation services and, while useful, it is obviously not available to the entire circulation staff.

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PERFORMANCE APPRAISAL The goal of performance appraisal is to recognize and reinforce good job performance throughout the year and to do problem solving with job behaviors that need to be improved. Blaming, analyzing, and sarcasm are all counterproductive. If there is a problem with performance, then problem solving is an appropriate—and productive—approach. The periodic performance appraisal is not a judgment but is rather an opportunity to affirm what is going well and to problem-solve what is not. Daily feedback on job performance is part of the performance appraisal process. Comments such as "That was a good job on the faculty overdues. I appreciated the attention you paid to accuracy," or "Let's go over phone answering; we have a problem there," can be useful in affirming good performance and improving inadequate performance. This continuing feedback also eliminates surprises at the annual performance appraisal. "A person who is genuinely—and legitimately—surprised by his or her annual performance appraisal provides grounds for dismissal of the person's boss," writes Peters (1988: 518). What makes the annual performance appraisal process difficult for many is the confusion that often exists between the value of self and the value of performance, between being and doing. The challenge to both of the participants is to remember that it is the job performance that is being addressed, not the worth of the person per se. The performance appraisal addresses the question of how well the library thinks the employee is doing the job that the person was hired to do. In order to address that question, the job description must be kept firmly in mind by all parties to the appraisal. The department head assumes the responsibility for conducting the appraisal and providing feedback to the employee. While input in the form of a self-appraisal from the employee can be useful to the employee, it cannot replace the performance appraisal because it does not provide the employee with the needed feedback from the department head. Some guidelines that are useful for performance appraisal are • Evaluate job performance, not the person. • Base the performance appraisal on the job description. It is, for example, inappropriate to evaluate a person on initiative if the person was hired to do a routine job. • Use the performance appraisal as a chance to evaluate the job description as well as the performance. It may need to be rewritten. • Keep the performance appraisal as specific as possible. Document every comment and every rating with specific instances.

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• Don't hand the person the performance appraisal to read. Read it over out loud with the person. • For any performance that does not receive top rating, explain what job performance would be required in order to receive an excellent rating. • Talk about specific changes that the person could make to improve job performance. Set goals. • Be scrupulously fair. • Be sure that the process involves the input of the person being evaluated both before and after the performance appraisal. • Check with the person a month later about whether the performance appraisal was helpful. If not, what could have been done to make it helpful? An annual performance appraisal is both a time for assessing performance during the past year and an appropriate time to establish goals and a performance plan for the next year. Both the department head and the employee have responsibilities in this entire process. The department head's responsibilities are to state the expectations and give the employee direct, fair feedback on how well the employee is meeting those expectations. The employee's responsibility is to state his or her needs and responses directly to the department head. Many find this difficult to do. Sometimes general staff training in assertiveness can help employees improve this skill. Neither department head nor employee can be expected to function on the basis of mind reading. Caputo (1984) provides useful suggestions for improving assertiveness skills. One of the problems with performance appraisals is that they are usually one way, with department heads evaluating employees but not vice versa. Gordon Miller of Decision Training Systems (P.O. Box E, Upper Baker Pond, Oxford, NH 03777) offers feedback items for employee assessment of the supervisor. He prefaces them with instructions for the employee to be specific, describe behaviors, and stay away from judgments and assumptions. He suggests that this feedback be given at the end of the employee's performance appraisal after both supervisor and employee have agreed upon a performance development plan for the future months. Miller's feedback items are as follows: 1. Some of the things you have done that have really helped me do a better job are: 2. The things I like about our working relationship are: 3. I would appreciate more help from you regarding the following:

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4. These are some things you do that do not help the quality of my work nor the quality of our working relationship: 5. Using the categories of our Performance Appraisal Form, I think you are really strong in these categories: I think these categories could be improved: 6. Some suggestions I have for you with regard to helping me improve my work performance or that would improve our work relationship would be: 7. Some things I think we can do right now and work on in the future might be: STUDENT WORKERS Student workers are the backbone of most circulation departments. Often the total number of student hours per week is greater than the total number of staff hours. Wilder (1990) reports that library employment can also contribute to the institutional goal of student retention. Kathman and Kathman's book, Managing Student Workers (1986), is notable for good advice and common sense and should be in every circulation department office. See also Lyons (1989) and Banks (1991). The number of hours per week that a student works is balanced on the one end by how few they can work and still remember the routines and on the other by how many they can work without burning out or damaging their studies. There may also be limits placed by the amount of funding that is available for those students whose employment is subsidized by work/study funding. The circulation department needs to consult with the work/study students and the student aid office to make sure that the students don't work so many hours per week during the first part of the term that their funding runs out at the busiest part. The usual student works eight to ten hours per week; fewer than six hours is scarcely worth bothering with for either the student or the department unless the student is filling some critical niche. The department head can help students who are trying to decide whether or not to work by pointing out that working eight hours a week is equivalent to taking another full-credit course; it is not an obligation that they should undertake lightly. When interviewing students, tell them what the job involves, what the library is looking for (reliability, accuracy, and friendly courtesy, for example), and explain the schedule-dependent nature of the job. Many departments allow only so many unexcused absences before a student worker is dismissed. If that is the case, ask a student applicant who is involved in sports, drama, or student government to consider carefully

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before taking the job, because a missed shift may result in an unexcused absence. For example, three unexcused absences in a year may mean the student will be automatically dismissed. There are jobs on campus that are not so schedule dependent; if meeting the schedule will be a problem, then probably the circulation department is not the right job for the student. Make it clear that the library is trying to match the student and the position; it would be a shame to have a job dismissal on the student's record that was simply the result of a mismatch between student and job. Also tell students about any performance appraisal that the department does for student workers. Some departments fill out an appraisal for each student worker each semester and provide a copy to the student. If a copy of the performance appraisal is kept in the student's file, then the student is building a work record. When the student needs an employment reference, the library can supply it based on those performance appraisals. Each student applicant should also be given the same card test that is given to staff applicants, as described in the section on staff hiring, or a similar screening test. Many libraries have a contract that students sign when hired that tells what is expected of them and what constitutes grounds for dismissal. (See Exhibit 8.) Among other things, it often stipulates the student's work obligations during finals. The end of the semester is when the library most needs workers and is also when the students are most frantic. Students who understand what their obligations will be can plan ahead so they can meet them. The penalty for students who do not meet their work obligation during finals week could be that they would not be hired back the next semester; a graduating senior who does not work during finals week would not be given any letters of reference. Once a student is hired, the student supervisor works out a schedule with the student and makes sure all the paperwork is completed. A file folder should be made for each student worker and a master form put into it with information on the student. It is helpful and fun to take a snapshot of each student using an inexpensive flash camera. Print two copies so that one can be posted on a bulletin board in the department along with a small form on which the student puts information about home town, class, and interests. The other copy of the snapshot goes into the student's file folder. These photos are useful for refreshing memory when the department is later asked for references, especially for students with common names. Designate the staff member on duty during a student's first work shift to start the training. The usual procedure is to give the student an introduction to the department and the basic functions. The student is then given the student procedures manual to read. Copies of the manual should be

Exhibit 8 Student Worker Contract We depend upon you to accomplish our normal daily business. This is not a job you may drop in and out of without affecting others. Please sign this letter only if you understand and accept our expectations. 1. The period of employment is the entire semester exclusive of academic holidays and vacations for the student body. Reading period is a normal week on a normaJL schedule. Finals period is worked on a sign-up basis to fit your exams. Please organize your time and studies accordingly. o Sign-up shifts during Finals are mandatory. o You are expected to work atleast half your normal weekly total hours during Finals period, o Students who drop out of shifts during Reading and Finals periods, our busiest times, may not be rehired next term even with otherwise adequate performance. 2. We cover weekend evening hours (Friday 8:30 - 11 p.m. & Saturday 810 p.m.) on a sign-up basis. Everyone must sign up for a minimum-of one weekend shift per semester. o If you have not worked o n e weekend shift towards the end of the semester, and we need weekend coverage, you will be assigned hours. Missing assigned hours is an unexcused absence. o Sunday is not a "weekend" shift. Sunday workers must still work the Friday/Saturday hours. However, Sunday workers will be last priority to cover weekend shifts when we must assign them. 3. At the end of vacations, when the library is open Sunday before return to class Monday, students scheduled to work after 6pm Sunday are assumed to be on campus and are expected to work that evening. o If you will not be back on campus you must arrange a substitute or take an unexcused absence. 4. Training sessions and student staff meetings are mandatory. Failure to attend without arranging permission, not simply informing us, is an unexcused absence. 5. You are completely responsible for shifts you signed to cover. When you can not avoid an absence you must perform the following 3 steps to avoid an unexcused absence. 1. Sign up on the substitute sheet posted in advance of your absence. 2. If there is no result, call everyone on the posted contact sheet to personally request a substitute. 3. If not successful, contact staff in advance of your shift to request an unexcused absence. You may or may not receive it, depending upon circumstances. We seldom refuse someone who has followed this procedure. If you do not follow these steps, the only way to avoid an unexcused absence is to have a substitute worker in place on the spot. 6. You will receive written notice of each unexcused absence, mailed to your student box. If your employment is terminated we explain the circumstances in a memo to Student Aid which remains on permanent file. We (the entire staff) are requested at the end of each year by the Student Aid Office to evaluate workers. You will receive a copy of your evaluation.

For a good student worker, we can offer regular yearly employment while you are on work study, (very modestly) increasing pay from year to year, often extra hours when you want to work them, and a decent job reference. THREE DNEXCDSED EMPLOYMENT.

ABSENCES

A

YEAR

ARE

GROUNDS

FOR

TERMINATION

OF

THIS AGREEMENT IS NOT A LEGALLY BINDING CONTRACT, BOT I DO BY MY SIGNATURE INDICATE THAT I HAVE READ THIS AGREEMENT AND THAT I UNDERSTAND AND INTEND TO ABIDE BY THE REQUIREMENTS STATED HEREIN.

•DATE

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available for later reference, too. Give each student a checksheet of items to check off as he or she is trained; it will take several shifts to complete. When all items have been checked, the student gives the list to the student supervisor. The meeting time and place for a student training session should be set before starting to hire student workers in the fall so that they can be told of it at the time they are hired. They should be paid for the time it takes. The main purpose of this session is to give them a tour of the library, including behind-the-scenes areas, so they have a sense of their place in the whole process and so that they can better answer questions at the desk. Periodic meetings of student workers work in some libraries and not in others. When they work, they are a good place to gather suggestions from the student workers about what the department and the library can be doing better. Having students punch in on a time clock helps keep a feeling of equity in the department and alerts the department to problems of tardiness. Time cards can be kept in student mail slots, if each student has one, or in a time card holder. Most libraries hold student workers responsible for getting their own substitutes. Copies of the list of student workers and their phone numbers are made available for them to take. There is normally a sub sign-up sheet posted on which those who need subs list the shift for which coverage is needed and those who can work it sign up. Any student who has been unable to find a sub despite heroic efforts is expected to let the department know before the shift begins. If the department uses such a system, an absence is excused if the student has diligently tried to get coverage or if the student is ill, or is unexcused if the student has made no effort to get a sub, if the absence could have been avoided, or if the department has not been notified and the student could have let the department know. It helps departmental communications if student absences are recorded on a form, which ultimately ends up in the student files. The forms don't need to be large, but a distinctive color is helpful (see Exhibit 9). The staff member who takes the message or who is on duty during the skipped shift is responsible for filling out the form for any student who does not work an assigned shift, for making it excused or unexcused, and for giving it to the student supervisor. The supervisor keeps track of how many unexcused absences each student has and prepares the warning letter that is sent for each unexcused absence and the dismissal letter, if needed. The forms and copies of any letters go into the student's file. It is useful to have a record of both the excused and unexcused absences for performance evaluations and for help in writing letters of reference. The letter of warning is signed by the student supervisor. It can be a

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Staff Exhibit 9 Student Worker Absence Form DATE

TIME

NAME ABSENT ON: DATE

TIME

REASON: Here is roan to write a message, such as "No show" or "Car broke down on way back to school."

EXCUSED

UNEXCUSED

SIGNED

This form, reproduced four to a sheet on pink paper, became known as the pink s l i p . form that is copied on half-page letterhead (see Exhibit 10). The letter of termination should be signed by the department head. It also can be on half-page letterhead (see Exhibit 11). It helps communications within the department if each student has his or her own mail slot. In addition to time cards, individual notes can be left for students, and any memos or departmental newsletters can be distributed. The students will probably need to be periodically reminded to empty their mail slots, or the department may wish to declare some set time at which all mail slots will be emptied, such as Monday mornings. A bulletin board near the student mail slots is useful for posting the student work schedules, any rotation sign-up sheets, and sub sign-up sheets. The time clock can be nearby. Some libraries also have a student log in which messages are left for students to read, but some have found that individual memos are more likely to be read. If a log is used or if a notice is posted that the department wishes every student to read, then a list of students can be placed near it for the students to initial after they have read the notice or log. The staff member on desk duty during a student's shift is responsible for all supervision and work assignments. The students may work at

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Exhibit 10 Student Worker Unexcused Absence Letter DATE: TO:

RE: UNEXCUSED ABSENCE You were apparently not here for the _ shift on

, did not have a

substitute, and did not give adequate warning. This is your

unexcused absence.

Three unexcused absences for the year are considered grounds for termination. If there are any mitigating factors of which the Circulation Department is unaware, please see me as soon as possible.

(signed) Student Supervisor cc: Student Aid Note: Reproduced on Vi page letterhead.

the desk, sort books, shelve books, shelf read, and do other jobs as assigned. If the department does performance appraisals for students, the staff may gather near the end of the semester to evaluate each student. A form

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Exhibit 11 Student Worker Termination Letter DATE: TO:

RE: UNEXCUSED ABSENCES AND TERMINATION You were apparently not here for the shift on

, did not have a

substitute, and did not give adequate warning. This is your third unexcused absence, and we did not hear from you regarding mitigating factors. The other absences were on .

and

Since you agreed to the conditions of

employment in the Student Assistant Agreement and signed it when you were hired, I have no recourse but to issue this letter terminating your employment as Student Assistant in the Circulation Department. A copy of this letter will be sent to the Student Aid Office and will become part of your permanent file. (signed) Head of Circulation cc: Student Aid Note: Reproduced on Vi page letterhead.

can be used. An example is shown in Exhibit 12; such a form should either include the college and library name or be reproduced on library note size letterhead. Two copies should be made, one copy to go into the student's file and one to be sent to the student.

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Exhibit 12 Student Worker Evaluation Form MEMO TO:

FROM: RE:

Circulation Staff

Student Evaluation - Spring 19

PUNCTUALITY QUALITY OF WORK KNOWLEDGE OF PROCEDURES RELIABILITY COOPERATION

E SN U -

Excellent Satisfactory Needs Improvement Unsatisfactory

If you would like to discuss this evaluation, please make an appointment with the Supervisor of Circulation or Student Coordinator. Note: Reproduced on V2page letterhead.

Fuller (1990b) reports on evaluating student library workers in four broad categories: operational, personal, interpersonal, and leadership. The library evaluates at the end of each semester, though it is unclear whether this is done in person, by form, or in both ways. For each student hired it is useful to make up a student employment record sheet (see Exhibit 13). The information from the evaluations and absence slips can be consolidated on these forms at the end of the year and the student's picture stapled to it. These forms are especially useful when

Exhibit 13 Student Employment Record NAME PHONE: DATE HIRED

WORK STUDY?

CLASS OF CARD TEST (# of errors) _ LETTER OF AGREEMENT

Year

Class

Pay Rate

Fall semester:

# of absences

Evaluations:

Punc.

Evaluations: Punc. Year

Class

Fall semester:

Evaluations:

Class

Quality

Punc.

Spring semester:

Quality

# of absences

Evaluations: Punc. Class

Fall semester:

puality

Cooperation_

Knowledge

Reliability

Cooperation^

0 of unexcused absences Knowledge

Reliability

Cooperation_

9 of unexcused absences Knowledge

Reliability

Cooperation^

# of unexcused absences Knowledge

Reliability

Cooperation^

# of unexcused absences Knowledge

Reliability

Cooperation_

Pay Rate # of absences

Evaluations: Punc. Spring semester:

Reliability

0 of unexcused absences

Pay Rate # of absences

Evaluations:

Evaluations:

(Quality

# of absences Punc.

Fall semester:

Knowledge

Pay Rate

Punc.

Spring semester:

'Se&r

Quality

# of absences

Evaluations:

Year

Quality

9 of absences

Spring semester:

If of unexcused absences

Quality

9 o f absences

Punc.

.Quality

& of unexcused absences Knowledge

Reliability

Cooperation

# of unexcused absences Knowledge

Reliability

Cooperation^

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writing letters of reference since they give at a glance the entire employment history of the student. At the end of each semester most circulation departments have either a student appreciation party or a "CARE package" with a thank-you letter for each student to let them all know that their work has been appreciated. Working with the student workers is one of the most appealing parts of circulation work for most staff members. The main problem may be that the student workers are underutilized. Fuller (1990a) describes an experience in using students as supervisors of other student workers and reports that both productivity and morale improved as a result. MONITORS If noise and/or food control in the library has been made a responsibility of the circulation department, then monitors are one means of enforcing that control. Thus, in addition to student desk and stack workers, the circulation department may be responsible for hiring and supervising student monitors. Monitors usually work during the evenings when the library is heavily used for studying. Their typical duties are to patrol the library to control food and noise, which they do by confiscating food and sodas and by asking people to be quiet or leave. If any patrons persist in inappropriate behavior, the monitor reports it to the staff member, who then takes action. While monitoring would seem a difficult position to put an undergraduate student in, it can, in fact, work well if the student monitors are selected with care, supervised well, and understand that they not only speak with the authority of the library but are backed by most of the students. Some monitors like to wear a pin or badge that identifies them as a monitor to indicate their official status. Contrary to popular assumptions, seemingly demure young women have been some of the most effective monitors. Size seems to matter less than a willingness to speak with authority and to be pleasantly but firmly persistent. One way of keeping in touch with monitors is to have them sign in on a log at the circulation desk each half hour by writing their initials, the time, and any comments, problems, or observations. "MJB 9:35 Quiet. 2 sodas" would be a typical note. Since their activities are not under observation, only the most responsible students should be hired for these positions. Another method of enforcing library regulations is to hire guards. Dole (1989) reports that even though a door guard was apparently effective initially, the effectiveness decreased with time. She also reports that the students were asked what they thought was the most effective way of

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controlling library noise. "Sixty-two percent of the respondents thought that 'throwing out noisy people' was the most effective way of preventing undesirable noise in the library" (Dole, 1989: 30). Another method for reducing noise is to post reminder signs on or by the doors that lead to study areas. They might say something like "Shhh. Quiet zone." These remind users to change their behavior as they go through the doors and let them know what the expectations are. The signs may also empower users who are bothered by noise to complain directly to the offending parties. In order for any noise or food control program to be effective, it is absolutely necessary that both the staff and the professional librarians support and reinforce the efforts with their own vigilance and firmness. VOLUNTEERS While academic libraries traditionally have not made much use of volunteers, volunteers are keeping many public libraries afloat. Many of the tasks they do are tasks that also need to be done in academic libraries. In times of financial constraints, volunteers might help academic libraries offer services that would otherwise not be possible. Using volunteers well so that both they and the library gain from the experience is not difficult, but volunteers aren't free. It takes a significant amount of staff time to arrange for their recruiting, training, supervision, and recognition. Culberson (1983) has written an excellent article that, while it describes the process at a public library, is highly relevant for academic libraries.

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15 Communications Communication is the transfer of information. In this information age, there is general acknowledgement of the importance of communication. A library is a giant communication device in itself, a way of passing information from a writer who is removed in time and space to a present or future user. The circulation department is another, more specialized communication device, focusing upon the information of who has what. The circulation department also utilizes multiple means of communication to pass needed information around within the department and between the department and others. Communication includes both interactive communication, such as talking or telephoning, and one-way communication, usually written. Interactive communication is always preferable if it is an option. For example, if the department head wishes to propose a change of procedure, instead of issuing a memo, it is always better to check it out with at least some of the staff, and preferably with all of them. The staff meeting is useful for this. Because of the complexities of circulation procedures, the more minds that ponder the implications of a change, the better. The process becomes a creative one of many minds pondering the need and the proposed solution, considering impacts, considering proposed alternatives, and coming to a consensus about the best solution. Not only is the solution better, but because everyone has a voice in it, all are more likely to remember and implement the change. The best communications advice is to keep listening—nondefensively. And along with this advice is, keep talking. Keep those lines open and functioning—both ways.

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People

COMMUNICATIONS WITHIN THE DEPARTMENT Communications are a complex challenge in a circulation department. In a department with only a few staff members who all work at the same time, the communication needs would be much simpler. However, that does not describe a circulation department. Because of the extended hours of coverage for which a circulation department is responsible, even the full-time staff cannot possibly all be present at the same time, and when a number of part-time workers are added to the brew, keeping communications functioning effectively becomes a real challenge. The messages that need to be transmitted range from changes in procedures, to information about who is going to do what when, to conflict resolution, to instruction about jobs to be done, to the information about people that helps to build a sense of community. At any time of change, and especially with the introduction of automation, communications become especially critical. Informal Communication Informal communication, which may at first seem to be unproductive chatting, is powerfully effective in creating a team out of a group of somewhat randomly assembled people. In a department with the kinds of cycles that circulation goes through, both daily and through the semester, most staff members will be aware of when there is time to chat and when there isn't. Direct person-to-person communication is also the best way to deal with interpersonal problems within the department. If a staff member complains about another staff member, it is inappropriate to become involved. The staff members need to work it out between themselves. Since this direct communication is a skill many have not developed well, some coaching or suggestions as to how to approach the problem may be useful, but the responsibility remains with the aggrieved person. It is useful to acknowledge the person's hurt or frustration, but not to problem-solve for him or her. Do advise the person, however, to deal directly with the problem and not to create tensions within the department by complaining about other staff members behind their backs. "Don't say anything about a person that you have not said to the person" is an effective department motto. Formal Communication Formal communication among the staff can be facilitated in a number of ways. These include staff meetings, keeping a log, using carefully

Communications

193

designed forms, having a clearly designated mailbox for each staff member, having a procedures manual, and posting schedules and other items that need to be consulted frequently. Staff Meetings Next to one-on-one contact, the staff meeting is the most effective means of departmental communication. It provides an opportunity for the entire staff to be together, to exchange problems and solutions, and to get a sense of the overall functioning of the team of which they are part. Brief weekly meetings are ideal, though every two weeks may suffice. Even then, the meetings should be no more than an hour long in order to keep energy focused on the discussion at hand. Having all members of the department take turns chairing the meetings increases participation in the discussions and decreases on-the-side chatting. The note taking can be rotated, also; the person who takes the notes can then be responsible for typing them up. It is useful to have several copies. Route one copy among the department staff (it is a useful reminder of the decisions) and then put it in a notebook at the front desk for referral, send one copy to the library administration, send copies to other libraries on campus if circulation practices affect them, and keep one for the department head's file. One library uses a two-part agenda for the staff meetings which is a combination of the informal and the formal. The meetings begin by going around the circle and giving each person a chance to say how things are going and to bring up any questions or problems. Formal agenda topics are then discussed, the topics taken from a notepad that is posted on the door to the department head's office and on which anyone can note items for discussion. The Log A basic rule for written communications within the department is that every communication should be initialed, whether in the log, in a note, or on a form. It is both a way of accepting responsibility for what is said and a way of allowing the reader to follow up if a question arises. Most libraries have found a log to be a useful means for passing on daily information that will be useful to others. It usually is just a spiral-bound notebook that is kept in some central place and that each staff member consults when coming on duty. It may be useful, especially at times of change such as when bringing

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up an automated system, to summarize the significant messages from the log (those that affect procedures) at the end of each month. That summation can be circulated among the staff as a reminder and then put into the staff notebook for referral. The log is best used for messages that are aimed at everyone, not for those that are, or could be interpreted to be, reproaches aimed at one person. Messages such as "The safe wasn't locked last night" are better put into the individual's mailbox if it is clear who was responsible for leaving it unlocked. Putting such messages into the log creates defensiveness, which is counterproductive. However, repeated problems need to be brought to the department head's attention so that some problem solving can be done. As a general rule, by the third time a problem is repeated, the department head needs to know. Forms When the same type of communication is repeated frequently, or even if it is infrequent but there is critical information to be gathered and transmitted, then a form is useful. Even the process of designing a form can serve to clarify questions. For example, designing a form to report student absences can crystallize, out of the vague uneasiness surrounding the issue, the questions of what the basis is for saying that the absence was excused or unexcused, who is responsible for saying so, how the student supervisor is to be notified, and how the record is to be kept. Color is useful with forms; many are more easily referred to by color than by function. "Did you fill out a pink slip yet?" is easier to say than "Did you fill out a student absence notification yet?" Color can also carry information. For example, if both recall requests and recall notices are salmon colored this may not be significant to the patron, but the department may find the color useful as a way of grouping the two functions. Some of the forms that are used in a department with a manual system are listed here. An automated system eliminates some forms. This is not an exhaustive list; the point is to indicate how complex an undertaking circulation is. All of these forms can be generated within the department except those marked with an asterisk. Staff Staff weekly schedule Staff weekend schedule Staff time sheets*

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Staff member information form, which includes name, address, phone, social security number, date hired, position, number of work hours per week, classification, pay rate, and emergency contact numbers Staff performance appraisal forms* Problem reporting form, which is used by the person at the desk to note a complaint or problem from a patron, such as an overdue question, so that the information can be given to the appropriate staff person for response Student Workers Student contract Student hiring notification* Student time cards* Student wage vouchers* Student schedule Student sub sign-up sheets Student personal-information form to post with snapshots Student absence form Student letter of warning Student letter of dismissal Student performance appraisal form Student work summary sheet for each student's file Borrowers Library informational brochure Area resident application form Area resident card Area resident information brochure Recalls Recall request form Book recall notice Multipurpose card (for notification of book availability or cancellation of hold) Searches Search request form Multipurpose card (the same one used for recalls) Overdues Fine slip (attached to book card when book is overdue) Overdue notice for students

People

196 Overdue notice for nonfined borrowers Second overdue notice for students Second overdue notice for nonfined borrowers Bill Adjustment voucher* Faculty overdue letter Reserves Reserve list request letter (sent to faculty each semester) Reserve list form for public notebook Processing checklist, attached to each list as it is received Reserve checkout cards Wrap for periodical dummy blocks Wraps for reserve books, one for each loan period Photocopiers

Photocopier log on which the maintenance person signs in and staff lists problems Photocopier refund request form if the department cannot make refunds Photocopy billing form for faculty photocopying Statistics Log book for daily statistics Monthly report form (a posted piece of paper on which any staff person responsible for gathering statistics notes them at the end of the month) Rooms Seminar room reservation schedule Meeting room reservations book* Meeting room information form for custodians Meeting room contract for users Meeting room information letter Faculty carrel sign-up letter to faculty (sent each semester) Faculty carrel confirmation letter Faculty carrel key sign-out log Miscellaneous Custodian report slip (for windows left open,...)

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Policy Manual A policy manual includes the library policies on who may borrow what and for how long. Policies also cover what happens to the borrower if materials are late or are not returned. As noted earlier, policies are established by persons or groups with authority beyond the circulation department. For this reason, policies change relatively infrequently, so keeping a policy manual current is not difficult. Since the policies drive the circulation department functions, the policy manual should be readily available. The policy manual should clearly indicate who is responsible for the policy so that if someone has a question or complaint, it can be referred to the appropriate person or group. Procedures Manual The procedures manual describes how things are done in the department. The more detailed it is, the more helpful it will be, since it is of most use when training new workers or when training the entire staff in new procedures. It is also referred to for answering questions about confusing or seldom-used procedures. However, the more detailed a procedures manual is, the more difficult it is to maintain, especially if procedures are being changed or modified frequently. One of the major responsibilities of the department head is to maintain the procedures manual. One way to do so is to keep a master copy of the manual. Periodically, such as once a month, changes in the manual can be entered in the other copies of the manual and also into the word processor copy. When changes accumulate to a confusing level, the necessary new pages can be printed out. Fox (1990:98) reports that a rotary file is useful at the circulation desk as a method for making information quickly available. Some of the cards contain information about policies, some are about procedures, some are about where to find things, and some are just general information. Mailboxes Without mailboxes, mail and notes are just dropped on desks, where they may get lost for days. If regular mailboxes are not available, Princeton files on a bookshelf will work, but a slotted shelf with dividers works better. Mail slots for student workers also ease communications. Information notes for students can be copied on paper in different colors, so that a new color in the slots will alert them to a new message.

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COMMUNICATIONS WITH THE REST OF THE WORLD Telephone There is a surprising amount of communication between a circulation department and the rest of the campus and also with the outer world. The main circulation department phone will be busy with questions about circulation and library hours. It will be even busier if the department serves as the general library switchboard. This is an arrangement to discourage because it is not possible, in the middle of a busy desk shift, to serve callers with the courtesy and efficiency they deserve. It is a general courtesy that the person waiting for service at the desk takes priority over the person on the phone. If a person is waiting at the counter when the phone rings, the staff person can answer by saying immediately, "Please hold. I'll be with you as soon as possible." Then, when getting back to the phone, the person can begin with "Sorry to keep you waiting." Some circulation departments answer the phone with the name of the library, the name of the department, and the phrase "May I help you?" An alternative is to answer "Circulation. This is ," giving both first and last names. This lets callers know with whom they are dealing. The use of both first and last names lets the caller know that the answerer is taking full responsibility for his or her actions, and is worthy of respect. A willingness to help should be implicit in the answerer's tone of voice. A recorded statement of hours is useful. The ideal is to have a separate number listed just for the hours recording. The minimum is to have a recording that can be turned on at night when the library closes. The recording must be changed at any change in hours; note all dates to change the message and the dates to change it back on the master calendar. Circulation staff members must make a variety of long-distance business calls. However, having a long-distance capability on the main phone may be a problem if the phone is unsupervised at times. One possibility is to have the long-distance capability only on the phone in the office of the head of circulation. This means, however, leaving the office unlocked at night and on weekends, since the staff may need to make long-distance calls at these times for repairs, overdues, or other legitimate reasons. Another possibility with some systems is to have installed on the phone a special long-distance code that only staff members know. Campus communications are much enhanced if the campus installs a phone mail system, though there will be some who refuse to use it, to the frustration of the rest. Computer networking provides another means of communicating not only on but beyond campus, a capacity that can be

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useful. The challenge of keeping up with the changing communication technology is great. Each change involves learning new techniques and then teaching them to the staff. Then comes the challenge of finding creative ways to take advantage of the new capabilities. COMMUNICATIONS WITH THE REST OF THE LIBRARY It is easy for a circulation department to become isolated from the rest of the library and yet to continue to function quite well. There are benefits, however, to staying in touch; benefits are both functional and personal. The functional benefits are most apparent to the reserves coordinator, whose job is helped if the acquisitions department is responsive and prompt in ordering the needed books and if the cataloging department is responsive and prompt in cataloging them. Circulation also needs to work closely with interlibrary loan on overdue ILL books and on recalling them if needed. Cataloging needs to be aware of the impact of their actions on circulation. If spine numbers are not legible, if the volume number has been covered by a spine label, or if there are discrepancies between the book card and the spine call number, all of these impact the circulation department in ways that the cataloging department may not be aware of. The personal benefits of communications between the circulation department and the rest of the library accrue if the circulation staff members feel that others in the library are interested in what they do and value it. The reverse is also true. Probably the best way to foster communications between the department and the rest of the library is through personal contact, particularly in the staff lounge. It is desirable that these contacts convey positive messages about the department. Departmental problems are more appropriately discussed in the department staff meeting. Much of the communication with the rest of the library is written, often as reports. Some of these written communications include budget requests, monthly reports, annual reports, and articles for the library newsletter. It is useful to put the monthly report format (title and paragraph headings) into the word processor program. The headings serve as reminders of the subjects to include. If there is nothing to report under a heading, it can be deleted. Monthly reports can be basically statistical reports, or they can, at the other extreme, be entirely narrative. The advantage of the statistical format is that it is easy to scan and compare. The advantage of the narrative format is that activities can be more fully reported, especially those that lie outside the areas covered by statistics, and that staff members can be credited each

200

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month for their activities, for example, "Jane Smith reports that of the 58 searches requested during the month, 48 items were located and 10 are now listed as missing. She located 6 of the requested items misshelved in the reference collection, so the reference department agreed to shelf-read its collection during the next two weeks." The library staff newsletter is also an effective venue for informing the rest of the library about what is going on in the circulation department, including both personal news and departmental problems and triumphs. Is circulation the highest ever recorded? Pass it on. Has half the staff been out with flu? Pass it on (the news, not the flu). COMMUNICATIONS WITH THE USERS Suggestion Box Usually when we think of communications between the circulation department and the patrons, it is assumed that it is the circulation department that has something to say to the user, but it is also worth giving thought to the messages coming to the department from the users. The library suggestion box can provide useful feedback from users, both faculty and students. Most suggestions, other than those asking for specific books or journals, will be about physical conditions (heat, noise, lighting, photocopiers), but some may be about the frustrations of trying to get a book that is checked out to another user or about some other such circulation concern. Listen seriously to these inputs and respond to them nondefensively and as creatively as possible. Also encourage those who come to the circulation counter with noncirculation problems to put their complaint into the suggestion box as the most effective way of bringing it to the library's attention. Student Advisory Group When the library is trying to decide issues such as what the most effective loan period is, what system of notices about fines is most effective, or how effective bookmarks are as reminders of library policies, it is useful to have student input. The circulation department student workers can be asked for input; a more formal system is to institute a student advisory group that meets perhaps just once a term to provide a student perspective and to bring student-perceived problems to the attention of the library.

Communications

201

Signs Messages to the users begin with a few well-placed signs that identify the department's functional areas. "Circulation," "Checkout," "Book Return," and "Reserves" are examples of these basic signs. The circulation department may also be responsible for signs outside the department. The hours-open sign board and notices of changes in the hours open are usually a circulation department responsibility, as are stack labels. Other directional signs may or may not be a department responsibility. The circulation department is probably the library department most aware of the need for directional signs and can serve as user advocate within the library even if it is not ultimately responsible. Other smaller signs that are the department's responsibility may include those on photocopiers, both the copyright notice and the informational notice of what to do in case of problems, and signs about where to leave books for reshelving. Large signs, such as those naming the department, need to be professionally made and coordinated throughout the library as a whole. Smaller signs can be made using a typewriter and enlarging (these are effective for temporary changes in hours) or by using some appropriate software. The temporary change-of-hours notices also need to be distributed to other departments. It may take many copies of the change notices to inform interested parties both in and out of the library, including the security office and the custodians; a distribution list is useful. More or less permanent printed notices can be laminated to a wall or door with clear laminating shelf paper. Sometimes the notice shows up better if it is first mounted on a slightly larger sheet of colored paper. The back sides of expired posters work well for this. Stack labels can now be printed using computer printers. Labels printed on 3x5 card stock using a laser printer are elegant. It is possible, though a bit complex, to set them up on a Macintosh using MacDraw. Oxtoby (1987) reports on aprocess of generating stack labels, which he calls range cards, using a computer, but he presumes an ability to program in BASIC. Announcements Most libraries have a public address system. Since the system is disturbing to patrons, it should be used sparingly. Students are inventive in devising ways to ask the library to page for a friend. It is best to require that any emergency paging be requested through the security office. The most frequent use of a public address system is for making the closing

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202

announcements. These are discussed in Chapter 9 in the section on opening and closing. Some libraries use the public address system for calling back a reserve book that is overdue if someone else is asking for it. The staff member should page for either the person or the book, not for both, because of confidentiality policies. The public address system is also used for announcing evacuation following a fire alarm. The text of the announcement should be posted next to the speaker. Other emergency information and instructions are also given over the system, so it should be, as is noted in the section on emergency responses in Chapter 9, wired into the emergency power system. Notices Notices are forms that are used for communicating information to borrowers. In addition to the courtesy notices discussed in Chapter 5 in the section on due date, common notices include recall notices, hold notices, hold cancellation notices, overdue notices, fine notices, and bills. All notices should include the following: • • • • • • •

Library name and address Borrower's name, address, and (ideally) ID number Date of notice Name (type) of notice Call number and title of item Information about what is expected of the borrower as a result of the notice Information about what will happen if the borrower does not respond in the expected way

CONCLUSION The functioning of a circulation department will depend upon the quality of the staff and of its interactions (communication) both within the department and with others outside the department. One of the major responsibilities of the department head is to monitor these interactions, spot problems, and then do problem solving with the staff to eliminate the problems.

Selected Bibliography Adams, Cris. 1990. A moving experience. Library Journal 115: 91-92. American Library Association. 1991. Statement of professional ethics. In ALA Handbook of Organization, 1991-1992. Chicago: American Library Association. , Library Administration Division, Circulation Services Section, Circulation Control Committee. 1970. Circulation Policies of Academic Libraries in the United States, 1968. Chicago: American Library Association. Banks, Julie. 1990. Shelf-reading: a pilot study. Collection Management 13 (1/2): 39-46. . 1991. Motivation and effective management of student assistants in academic libraries. Journal of Library Administration 14(1): 133-154. Bayne, Pauline S. 1990. The "do-it-yourself' move for a 1.5-million-volume library. College and Research Libraries 51(1): 55-67. Bingham, Karen Havill. 1989. Building Security and Personal Safety. SPEC Kit 150, Washington, DC: Association of Research Libraries, Office of Management Studies. Black, W. K., and J. E. Bahrenfus. 1988. Planning for collection redistribution at the Iowa State University Library. Iowa Library Quarterly 25 (Summer): 37-48. Bossley, Terry. 1984. Overdues: a bibliography. Library and Archival Security 6 (2/3): 123-130. Buckland, Michael K. 1975. Book Availability and the Library User. New York: Pergamon. Burgin, Robert, and Patsy Hansel. 1984. More hard facts on overdues. Library and Archival Security 6 (2/3): 5-17. Caputo, Janette S. 1984. The Assertive Librarian. Phoenix: Oryx Press. Carpenter, G. Arthur. 1977. Overdues overdone. Library Journal 102:2137-2138. Chicago Area Library Council Circulation Subcommittee. 1988. Circulation librarians: a case of apples and oranges. Library Administration and Management 2:99-101. Coady, Reginald P. 1986. A comparison of rates of return for home loans of natural sciences book materials. Collection Management 8 (1): 65-78.

204

Selected Bibliography

Columbia University Library, Preservation Committee. 1987. Murder in the Stacks (videorecording). New York: Center for Biomedical Communications, College of Physicians and Surgeons, Columbia University. Cravey, P. J., and G. R. Cravey. 1991. The use of computer modeling to redistribute a library's collection. Technical Services Quarterly 8 (3): 25-33. Crawford, Gregory A. 1990. Using a DBMS to maintain a reserve reading collection. College and Research Library News 41 (9): 860-862. Culberson, Linda J. 1983. Library volunteers. The Unabashed Librarian, no. 49: 3-5. Cummins, Thompson R. 1989. Cost-benefit analysis: more than just dollars and cents. The Bottom Line 3 (2): 18-21. Dole, Wanda V. 1989. The effectiveness of guards in reducing library noise. Library and Archival Security 9 (3/4): 23-36. Dorr, Raize. 1989. Planning photocopy services: a success story. The Bottom Line 3 (1): 21-26. DuBois, Henry J. 1986. From leniency to lockout. College and Research Library News 47 (11): 699-702. Ellis, Judith Compton. 1988. Planning and executing a major bookshift/move using an electronic spreadsheet. College and Research Library News 49 (5): 282-287. Emery, Charles D. 1990. The use of portable barcode scanners in collections inventory. Collection Management 13 (4): 1-17. Epstein, Susan Baerg. 1984. Implementation. In Automated Circulation: An Examination of Choices, edited by Joseph R. Matthews and Kevin Hegarty. Chicago: American Library Association, pp. 97-101. Ettelt, Harold J. 1977. Fines and circulation (letter to the editor). Library Journal 102: 2. Farrington, Jean Walter. 1984. Overdues and academic libraries: matters of access and collection control. Library and Archival Security 6 (2/3): 67-75. Fox, Beth Wheeler. 1990. Behind the Scenes at the Dynamic Library: Simplifying Essential Operations. Chicago: American Library Association. Fraley, Ruth A., and Carol Lee Anderson. 1990. Library Space Planning: A How-to-do-it Manual for Assessing, Allocating and Reorganizing Collections, Resources and Facilities. New York: Neal-Schuman. Fried, Ava Krinick, and Alice J. Hurlebaus. 1981. A revaluation of circulation policies: overdues process and loan period. Special Libraries 72: 284-289. Fuller, F. Jay. 1990a. Employing library student assistants as student supervisors. College and Research Library News 51: 855-857. . 1990b. Evaluating student assistants as library employees. College and Research Library News 51:11-13. Gatten, Jeffrey N. 1990. Bar coding projects: preparation and execution. Library Hi Tech, issue 29 (1990, no. 1): 21-27. Gherman, Paul M., and Lynn Scott Cochrane. 1989. Developing and using unit costs: the Virginia Tech experience. Library Administration and Management 3:93-96. Goehlert, Robert. 1979. The effect of loan policies on circulation recalls. Journal of Academic Librarianship 5 (2): 79-82. Haka, Clifford H., and Nancy Ursery. 1981. University faculties and library lending codes: a survey and analysis. College and Research Libraries 42: 369-373. Hanson, Carolyn Z. 1989. Electronic security has put a spotlight on theft. Library and Archival Security 9 (3/4): 63-68. Helm, Virginia M. 1986. What Educators Should Know about Copyright. Bloomington: Phi Delta Kappa Educational Foundation.

Selected Bibliography

205

Hubbard, William J. 1981. Stack Management: A Practical Guide to Shelving and Maintaining Library Collections. Chicago: American Library Association. Huntley, Charlotte. 1977. Book return lag? Try "promos." Wilson Library Bulletin 52 (4): 294-295. Intner, Sheila S. 1987. Circulation Policy in Academic, Public, and School Libraries. Westport, CT: Greenwood. Jesse, William H. 1952. Shelf Work in Libraries. Chicago: American Library Association. Kathman, Michael D., and Jane McGurn Kathman, comps. 1986. Managing Student Workers in College Libraries. CLIP Note #7. Association of College and Research Libraries, College Library Packet Committee. Chicago: American Library Association. Kilgour, Frederick G. 1987. Historical note: a personalized prehistory of OCLC. Journal of the American Society for Information Science 38: 381-384. . 1989. Toward 100 percent availability. Library Journal 114: 50-53. Kurkul, Donna Lee. 1983. The planning, implementation, and movement of an academic library collection. College and Research Libraries 44 (4): 220-234. Lipow, Anne Grodzins. 1989. Training for change: staff development in a new age. Journal ofLibrary Administration 10(4): 87-97. Lowenberg, Susan. 1989. A comprehensive shelf reading program. The Journal of AcademicLibrarianship 15 (1): 24-27. Lowry, Maynard, and Philip M. O'Brien. 1990. Rubble with a cause: earthquake preparedness in California. College and Research Library News 51 (3): 192-196. Lyons, Evelyn. 1989. Student workers in the college library. In Operations Handbook for the Small Academic Library, edited by Gerard B. McCabe. Westport, CT: Greenwood, pp. 91-98. Manley, Will. 1988. Facing the public. Wilson Library Bulletin 63 (Nov.): 82-83. Marchant, Maurice P. 1990. Shelving as a library roadblock (letter to the editor). Library Journal 115: 8. Meinke, Darrel M. 1988. Pulling the rug out from under the stacks (revisited). College and Research Library News 49 (5): 288-289. Mitchell, Betty Jo, Norman E. Tanis, and Jack Jaffe. 1978. Cost Analysis of Library Functions: A Total Systems Approach. Greenwich, CT: JAI Press. Mitchell, W. Bede. 1983. Retrieving overdues through a collection agency: one academic library's approach. Library Journal 108: 2030-2031. . 1988. On the use of positive reinforcement to minimize the problem of overdue library materials. Journal ofLibrary Administration 9 (3): 87-101. Moreland, Rachel S. 1987. Managing library stacks space with a microcomputer. Small Computers in Libraries 7: 38-41. Mount, Ellis. 1988. Space utilization. In Creative Planning of Special Library Facilities, edited by Ellis Mount. New York: Haworth, pp. 15-27. Murchio, Christine M. 1987. A circulation system cost profile. The Bottom Line 1 (3): 20-24. Nachlas, Joel A., and Anton R. Pierce. 1979. Determination of unit costs for library services. College and Research Libraries 40 (3): 240-247. Reprinted in Costing and the Economics of Library and Information Services, ASUB Reader Series Volume 5, edited by Stephen A. Roberts. London: Aslib, 1984: 176-183. National Information Standards Organization (Z39). 1990. Proposed American National Standard Record Formatfor Patron Records. Bethesda, MD: National Information Standards Organization.

206

Selected Bibliography

Oxtoby, Lowell G. 1987. Computerized range card production. Small Computers in Libraries 7:20-23. Pedersen, Terri L. 1990. Theft and mutilation of library materials. College and Research Libraries 51 (2): 120-128. Peters, Tom. 1988. Thriving on Chaos: Handbook for a Management Revolution. New York: Knopf. Poole, Jay Martin. 1990. An interview with Charles J. Held. Library Administration and Management 4 (2): 65-66. Roberts, Stephen A., ed. 1984. Costing and the Economics of Library and Information Services, ASUB Reader Series Volume 5. London: Aslib. Rosenberg, Philip. 1985. Cost Finding for Public Libraries: A Manager's Handbook. Chicago: American Library Association. Ross, John, and Jane Brooks. 1984. Costing manual and computerised library circulation systems. In Costing and the Economics of Library and Information Services, ASUB Reader Series Volume 5, edited by Stephen A. Roberts. London: Aslib: 165-175. Saracevic, T., W. M. Shaw, Jr., and P. B. Kantor. 1977. Causes and dynamics of user frustration in an academic library. College and Research Libraries 38: 7-18. Schabo, Pat, and Diana Breuer Baculis. 1989. Speed and accuracy for shelving. Library Journal 114: 67-68. School, academic and public libraries report "no fines" experiences. 1976. WilsonLibrary Bulletin 72: 31-32. Schwarz, Philip. 1983. Demand-adjusted shelf availability parameters: a second look. College and Research Libraries 44 (4): 210-219. Sellen, Mary. 1989. Circulation—the workhorse. In Operations Handbookfor the Small Academic Library, edited by Gerard B. McCabe. Westport, CT: Greenwood, pp. 101-108. Smith, N. R. 1990. A shelf-management model implemented on Multiplan. Information Technology and Libraries 9: 66-73. Stankus, Tony, and Kevin Rosseel. 1988. Estimation of shelving needs: selection of equipment. In Creative Planning of Special Library Facilities, edited by Ellis Mount. New York: Haworth, pp. 81-98. Stevenson, Marsha J., and Paul M. Anderson. 1990. Automation and technical services: circulation services. In Technical Services Today and Tomorrow, edited by Michael Gorman and associates. Englewood, CO: Libraries Unlimited, pp. 143156. Trochim, Mary Kane, Arthur Miller, Jr., and William M. K. Trochim. 1985. Measuring the Book Circulation Use of a Small Academic Library Collection: A Manual. Washington, DC: Association of Research Libraries, Office of Management Studies. Tucker, Dennis C. 1989. Using a spreadsheet program to shift a journal collection. College and Research Library News 50 (10): 904-909. Errata 51 (2): 127. Varca, Susan. 1980. Overdue solutions for academic libraries. Louisiana Library Association Bulletin 42 (3): 58-61. Weaver-Meyers, Pat, and Kenneth W. Pearson. 1986. Workflow arrangements and their effect on discharge accuracy. College and Research Library News 47 (4): 274277. Wilder, Stanley. 1990. Library jobs and student retention. College and Research Library News 51 (11): 1035-1038.

Index

Administrator loan policies, 23 Alumni loan policies, 24 Announcements, 103,201-202 Area resident loan policies, 24 Art books, 57 Assertiveness, 178 Automating circulation, 59-68 Barcode scanners, 61-62 Barcoding, 66-67,126-136 Benchmarks, 122-124 Bibliographic record, 60 Billing, 50; for photocopying, 95-96 Bomb threat, 114 Book cards, 67 Book returns, 51-52,153 Books, 139-144; art, 57; circulating, 37-57,93-94; dusting, 141-142; mutilation of, 142; oversize, 56-57; personal, 81; preserving, 55,139141; repairing, 139-141; security, 142-144; width, 146 Book supports, 56 Book trucks, 9,154-155,157 Bracing, 147-148 Brittle paper, 140-141 Budgeting, 6

Building problems, 14 Building security, 104 Bullhorns, 110 Calendar, 16 Cassette tapes, 98 Checkout, 44-46 Circulating: books, 37-57; non-book materials, 93,94-100; non-circulating books, 93-94; reserves, 86-89 Circulation: automation, 59-68; cycle, 37-57; definition, ix; policies, 21-32; process, 19-68; record-keeping systems, 33-36 Circulation department: arrangement, 153-158; functions, ix-x Circulation deparunent head, 3-17; getting started, 13-17; office, 157; performance appraisal, 178-179; responsibilities, 13-16; skills, 3-11 Circulation desk, 153-155; staffing, 169-170 Closing, 102-103 Collection agency, 50 Color-banded plastic card covers, 35 Communications, 4,14,191-202 Compact discs, 98

208 Compact shelving, 148-149 Computer ware, 99 Confidentiality, 31-32 Copyright, 83,86,99 Copyright Clearance Center, 86 Costs of services, 10,60 Courtesy notice, 47-49 Department head. See Circulation department head Desk shifts, 169-170 Disaster recovery plan, 110 Discharging, 51-53; reserves, 89 Due date, 45-46; with automation, 65; reserves, 88 Dusting the collection, 141-142 Earthquakes, 147-148 Edge-notch cards, 35 Electronic theft detection, 142-144 Emergency procedures, 109-115 Equipment: automation, 61-62; budgeting, 7,9,15; emergency, 110-111 ;for a shift, 125 Evacuation, 112 Evaluating departmental operations, 10 Expenditures, 8 Faculty: fines, 30; loan period, 27; loan policies, 22, 27; renewals, 46-47 Faculty spouse loan policies, 23 Fees, 34,50 Fine-forgiveness, 30 Fine notice, 49 Fines, 31; faculty, 30 Fire alarm, 111, 112,113-114 Food control, 15,188-189 Forms, 8,194,196,202 Friends of the Library loan policies, 23 Giraffing, 109 Goals, 5,17 Grace period, 47 Growth of the collection, 117,118, 121-122 Guards, 188 Head of circulation. See Circulation department head

Index High-risk periodicals, 97 Hiring, 170-174 Holds, 39 ID cards, 64,87-88 Interlibrary loan policies, 26 Interviewing, 171 Inventory, 43,130,136 Item record, 60 Job description, 16,171-174 Loan periods, 26-28; reserve, 73-74; shortened, 41-42 Loan policies, 21-32,63 Lockers, 105 Log,193-194 Lost and found, 104 Machines, 15. See also Equipment Magnetic fields, 142-143 Mailboxes, 197 Maintenance agreements, 7,9 Medical emergency, 114 Mending, 139-141 Money, 15 Monitors, 188-189 Monthly reports, 5,199-200 Movable shelving, 148-149 Moving, 126,148 Mutilation of books, 142 National Information Standards Organization, 64 Newspapers, 97 Noise control, 15,155,188-189 Non-book materials, 73,93-100 Non-circulating books, 93-94 Notice fee, 31 Notices, 202; billing, 50; courtesy, 4749; fine, 49; hold, 39; hold cancellation, 42; overdue, 49-50; recall, 40; reminder, 47-49 Numbering stacks, 151-152 On-the-fly checkout, 65,127 OPAC (Online Public Access Catalog), 61,66 Opening, 102-103

Index Overdue notices, 49-50 Overdues, 28-31,47-50,67; prevention, 28-29,47-49; reserves, 89 Oversize books, 56-57 Part-time staff, 166 Patron: loan policies, 21-26; record, 60,63; registration, 64,101 Peak period staffing, 165-166 Performance appraisal: department head, 178-179; staff, 177-179; student worker, 184-188 Periodicals, 94-97; on reserve, 80,81 Personal books on reserve, 81 Personal books on reserve, 81 Phono records, 98 Photocopiers, 106-107 Photocopies: copyright, 83; on reserve, 73,74,77,80-81,82-83 Photocopying, 95-96 Pickup, 104-106 Planning, 5; for automation, 62-65; for growth, 118,121-122; a shift, 118 Policies, 21-32 Policy manual, 197 Preservation, 55,139-141 Printers, 62 Priorities, 6 Problem solving, 3 Procedures manual, 37-38,197 Profiling, 65-66 Public address system, 103,110,201202 Purchasing, 6,8 Recalls, 39-41 Recarpeting, 148 Reciprocal borrower loan policies, 25 Record-keeping systems, 33-36 Registering patrons, 64,101 Reminder notice, 47-49 Renewals, 28,46-47 Repairing books, 139-141 Repair services, 9 Replacement cost, 50 Request for Information (RFI), 61 Reserves, 71-91; arrangement, 71-73;

209 assembling materials, 79-81; circulating, 86-89; copyright, 83-86; loan periods, 73-74; number of copies, 75-77; processing, 77-79,8183; removing, 90-91; requesting, 74-77; statistics, 89-90; wraps, 74 Retrieval, 38-39 Retypes, 46 Save shelves, 105-106 Scheduling staff, 167-170 Searches, 42-43 Security, 104,142-144 Security gate, 142-144 Sensitizing units, 142-143 Sharing, 41 Shelf availability, 39 Shelf reading, 107-109 Shelving books, 54-57 Shelving, compact, 148-149; steel, 145-148 Shifting, 117-126 Signs, 14,111,201 Software, 9; circulating, 99-100 Sorting, 53 Stack labels, 201 Stacks, 145-152 Staff, 13,161-189; characteristics, 162163; development, 175-176; emergency responsibilities, 111-113; hiring, 170-174; levels, 163-167; loan policies, 23; meeting, 193; monitors, 188-189; organization, 163; performance appraisal, 177-179; scheduling, 167-170; for shifting, 124-125; student workers, 166-167, 179-189; training, 174-176; volunteers, 189 Statistics, 102,104; library pickup, 104; reserves, 89-90 Student advisory group, 22,200 Student loan period, 27-28 Student loan policies, 22-23 Student workers, 166-167,179-189 Suggestion box, 200 Supervising, 4 Supplies: clerk, 8; emergency, 111;purchasing, 8-9

210 Telephone, 110-111,198-199 Terminals, 61 Theft: detection, 142; prevent, 142 Training, 174-176; for automation, 63; for barcoding, 133-135; for emergencies, 115 Two-card system, 36

Index Volunteers, 189 Warranties, 9-10 Water damage, 114,139 Work area, 155-157 Working capacity, 145-146 Wraps: periodical dummy, 80; reserves, 74; special authorization, 94

About the Author CONNIE BATTAILE is a former head of the circulation department of Colgate University Library.