Risk Matrix
Library Receiving And Cataloging

"A" = Actual Control "P" = Proposed Control

            CONTROLS                                                                                                    
    C-40 C-62 C-80 C-81 C-82 C-83 C-84 C-85 C-86 C-87 C-88 C-89 C-90 C-91 C-92 C-93 C-94 C-95 C-96 C-97 C-98 C-99 C-100 C-101 C-102 C-136 C-137 C-138 C-139 C-140 C-141 C-142 C-143 C-144 C-162 C-163 C-164 C-165 C-166 C-167 C-168 C-169 C-170 C-171 C-172 C-173 C-174 C-175 C-176 C-177 C-178 C-179 C-180 C-181 C-182
  THREATS Trained and conscientious personnel. Written procedures. Prior experience has established vendor reliability. Library shipping notes container damaged upon receipt Library shipping unpacks orders and delivers directly to Receiving. Materials processing is handled by date of receipt and other special instructions (i.e., "rush order"). Work backlogs are very visible and easily identified. Vendors usually place the purchase order mailed by the library in each book. Materials and accompanying invoices remain on trucks throughout processing. Vendors usually inform the library of intent to substitute materials. Receiving will not accept substitute materials. Receiving may access INNOVACQ for on-line "instant credit" from key vendors. Vendors are contracted by phone to resolve shipment and billing problems. Correspondence file contains letters documenting problems, reasons for cancellation of orders. Periodicals checked in INNOVACQ and matched with yearly subscription info - verify title, issue date, issue numb Receiving "spot checks" books for missing or damaged pages and media "kits" for missing parts. Purchase order states number of copies ordered by Main and by branches. Media materials are put into small boxes and remain on trucks during processing. Tracking slip used to indicate quantity and status of media materials is attached to items in boxes. Requisitions Problems Checklist is filled out and given to supervisor. Problem invoices are held in a file until cleared. Requisition Problem Checklists are filed with invoices. Receiving personnel can retrieve problem invoices from file in order to process remaining items. The unit keeps a manual which contains procedures for stamping materials. There is a locked box for storing media materials that are being processed. Tracking slip. Media kept in cage which is locked at night. Priority for cataloging is 1) patron demand. Some outlets keep records of what they have ordered. Priority of cataloging is date of receipt. Procedure for organization of material in the cage. Prioritizing of work flow in cataloging. Maintain a log of inventory in the cage. Media materials are kept behind the counter. Work Management System. Limited number of booktrucks and limited amount of space. Date of receipt noted on book truck. Number of books noted on book trucks. Purchase order slips remain with materials. Trucks are oacked "full" - no space between books. Trucks are processed as a "unit" - (batch processing). Books placed "in order" on trucks. "Up-ended" if duplicate, down if Books are worked on in order, right to left, top to bottom. Duplicate check on gift childernst and foreign language books. OCLC database search for "exact match" catalog record and card order. Ability to edit existing OCLC record to create "exact match" catalog Procedures indicate proper primetime and non-primetime users of OCLC Monthly billing statement received from OCLC. Monthly billing credit received for creating original OCLC records. "Rush" trucks (high demand materials) bypass holding areas, go direct Professional librarians determine Dewey numbers, call numbers. Title page tickmarks are double-checked before labels are produced. Labels are produced then affixed - two step process provides for accu Media center maintains its own records for materials on order. Personnel have first choice to check out materials - except for reser
  RECEIVING AND STAMPING:                                                                                                              
T-58 The library will not receive ordered materials from the library Shipping Department. A       A                                                                                                    
T-59 Materials processing is untimely. A A     A A A   A     A A   A   A A A       A A                                                              
T-60 Invoice price of materials will be higher than when order was placed. A             A A A             A     A A A                                                                  
T-61 The Library will accept substitute materials. A A A         A   A A A A A A         A A A A                                                                
T-62 The library will accept the wrong quantity of materials. A A           A   A   A A A     A   A A A A A                                                                
T-63 The Library will receive defective materials. A A A A               A A A           A A A                                                                  
T-64 The Library will not receive credits and account adjustments from vendors.                       A A A           A A A                                                                  
T-65 Books or periodicals will be lost or stolen. A A     A A A A A A         A   A     A A A A                                                                
T-66 Media materials will be lost or stolen. A A     A A     A A             A A A A A A A A A                                                            
T-67 Materials will be stamped incorrectly. A A           A                 A             A                                                              
T-68 Materials will not be stamped. A A                                                                                                          
  MEDIA CATALOGING:                                                                                                              
T-75 Employee theft of one item out of the tracking slip group.                                                   A A                                                        
T-76 Employee theft of the tracking slip group of materials.                                                     A   A                                                    
T-77 Media not processed in a timely manner.                                                       A   A   A A                                            
T-78 Patron theft.                                                                   A                                          
T-79 Media could be damaged when someone is in cage due to crowded and unorganized condition of cage.                                                             A                                                
  CATALOGING:                                                                                                              
T-92 Delay in receiving materials from Stamping. A                                                                   A A A                         A       A  
T-93 Excessive delays in material processing. A                                                                   A A A                         A A     A  
T-94 Delay in processing foreign language materials. A                                                                     A A                           A        
T-95 Delay in processing media materials. A                                                                     A A                           A     A  
T-96 Delay in receiving shelf-ready materials. A A                                                                         A A                           A  
T-97 Employee theft A A                                                                         A A A A A                     A A
T-98 Materials will be lost during the cataloging process. A A                                                                         A A A A A                     A  
T-99 The unit will assign an incorrect Dewey decimal number to material. A A                                                                                     A A         A        
T-100 OCLC catalog cards will not be ordered when materials are "new". A A                                                                               A A A                      
T-101 OCLC catalog cards will not be ordered when materials are duplicates/replacements. A A                                                                               A   A                      
T-102 The library will order or create the incorrect OCLC catalog record/card. A A                                                                                     A A         A        
T-103 The library will pay too much for the OCLC service. A A                                                                               A   A A A A A A            
T-104 Resources for foreign language cataloging will be used when they should. A A                                                                               A   A     A   A            
T-105 Resources for foreign language cataloging will be used when they shouldN'T BE. A A                                                                               A   A