"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 | A | ||||||||||||||||||||||||||||||||||||||||||||||||||
| T-106 | Typing errors during label production, i.e., wrong label created. | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||
| T-107 | Correctly typed label placed on wrong book. | A | A | A | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||
| T-108 | Materials will be routed to the wrong branch/area. | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-109 | Tasks and efforts will be duplicated. | A | A | A | A | A | A | A | A |