UNIVERSITY OF THE WITWATERSRAND, JOHANNESBURG

Quality Assurance

LIBRARY QUALITY ASSURANCE & SELF AUDIT 2005

LIBRARY SELF-EVALUATION REPORT 2005

The final version of the Library?s Self-Evaluation Report is attached (dated May 2006). It includes as far as possible all comments and recommendations made by the working groups, and is divided into three sections:

  1. The Final Report, pages 1-38. (346 KB - PDF)
  2. The Improvement Plan, set out in table form, pages 39-50. (56 KB - PDF)
  3. Appendices, pages 51 onwards. (148 KB - PDF)

This report has been submitted to the Senate Library Committee and the Academic Planning Office for inclusion in the University?s final audit report.

The Library would like to thank all University and Library staff as well as external advisers who assisted with this self-evaluation process.

Comments and suggestions should be directed to Clare Walker.


The Process Followed

The Higher Education Act of 1997 assigns responsibility for quality assurance in higher education in South African to the Council of Higher Education (CHE). This responsibility is discharged through its permanent sub-committee, the Higher Education Quality Committee (HEQC). The mandate of the HEQC includes quality promotion, institutional audit and programme accreditation. As part of the task of building an effective national quality assurance system, the HEQC has also included capacity development and training as a critical component of its programme of activities (CHE Institutional Audit Framework, June 2004).

The Institutional Audit of Wits University is scheduled to take place in September 2006. As part of this process, each division of the University is required to undertake a self-audit and to submit a report to the University by the end of 2005.

The Committee for Higher Education Librarians of South Africa (CHELSA) is working closely with HEQC to formulate a common set of quality assurance / performance measures for all university libraries. It is hoped that these measures will assist libraries with their self-audits and also provide benchmarks against which to measure their performance. Discussions are underway for a database to be set up with input from all libraries.

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Library Self-Audit 2005

The Senate Library Committee has established a Quality Assurance Sub-Committee to assist the Library with its self-audit exercise, which will provide the Library with the opportunity to draw attention to its significant achievements (strengths), opportunities for improvement, and assessment processes ? to examine the evidence it has that it is addressing the needs of its users and to highlight the areas where further improvement might be needed. Professor F. Cawood is the Chairman of the Sub-Committee.

Library Quality Assurance Workshop December 2005 Presentations

Criterion 1 - Felix Ubogu (26 KB - PPT) Criterion 5 - Maryna vd Heever (225 KB - PPT)
Criterion 2 - Veena Jayaram (51 KB - PPT) Criterion 6 - Linda Mbonambi(85 KB - PPT)
Criterion 2 Finance - Nellie Sithole(HTML) Criterion 7 - Clare Walker(29 KB - PPT)
Criterion 4 - Di Man (108 KB - PPT) Working Group B feedback - S bu Thembela(156 KB - PPT)

University of the Witwatersrand, Johannesburg - Academic Planning Office:Extracts from the Improving Quality Document (92 KB - PDF)

Library Framework Document for Quality Assurance

Library Self Audit Criteria

Criterion 1:Alignment with the University?s strategic direction (HEQC Criterion 1)

Criterion 2: Integration with the University?s structures, systems and financial planning (HEQC Criteria 1, 2, 4, 19)

Criterion 3: Physical infrastructure to support teaching, learning and research (HEQC Criteria 4, 16, 19)

Criterion 4: Information resources and services to support learning (HEQC Criteria 4, 16, 17, 19)

Criterion 5: Information resources and services to support teaching and research (HEQC Criteria 4, 16, 17, 19)

Criterion 6: Human resources (HEQC Criteria 4, 19)

Criterion 7: External partnerships (HEQC Criteria 18, 19)

Library Statistics (from Library Annual Report for 2004)

Library Statistical Overview 2004

Library Finance

Library Operating Expenses for 2002 - 2004 (20 KB - Excel)

Technical Services

Age of Collection(32 KB - PDF)

Budget Allocation Formula(56 KB - PDF)

Information Resources Budget - Principles and Procedures(28 KB - PDF)

Technical Services Statistics 2002-2004 (13 KB - PDF)

Ratios, Collection Development and FTE s (40 KB - Excel)

SASLI: Electronic Database Subscriptions (46 KB - PDF)

Check Outs 2004 SCAT (76 KB - Excel)

SCAT Stock and Checkout ALL (104 KB - Excel)

Statistics on Denials in INNOPAC Logins (72 KB - MSWORD)

E Journal Portal Stats - Searches YTD (Year to date) (2KB - Excel)

E Journal Portal Stats - Subject Searches YTD (19KB - Excel)

E Journal Portal Stats - Database Searches YTD(5KB - Excel)

WAM Stats - Patron type searches YTD (15 KB - Excel)

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Client Services

Circulation activity (material type) 2002-2004 (16 KB - PDF)

Circulation activity (checkouts and renewals by terminal) 2003-2004 (13 KB - PDF)

Circulation activity (checkouts and renewals by patron type) 2002-2004 (13 KB - PDF)

Reference enquiries and user education 2004 (11 KB - PDF)

Shelving (manual) 2004 (11 KB - PDF)

Interlibrary loan transactions 2002-2004 (48 KB - PDF)

ILL books requested more than once, past 12 months(48 KB - PDF)

Telkom Knowledge Commons usage 2005 (13 KB - PDF)

Physical Infrastructure Report(48 KB - PDF)

Service excellence: a campaign to build capacity to match service demands in a large South African University Library- Paper presented at World Library and Information Congress: 71th IFLA General Conference and Council August 2005 by Clare M Walker (External Link, 205 KB - PDF)

Library Staff Induction Programme Dec 2005( 43KB - PDF)

Application for Library Letter of Introduction 2006 (Staff & Students)( 30KB - PDF)

Library Computer Services

Computer equipment (workstations) 2004 (11 KB - PDF)

Server services (18 KB - PDF)

Library Helpdesk report (by Library section) 2004 (10 KB - PDF)

Library Helpdesk report (by category) 2004 (10 KB - PDF)

Electronic Resources usage 2004 (10 KB - PDF)

Web Access Management Stats 2004 and 2005 comparative stats(60KB - Excel)

Human Resources

Staff profile 2004 (11 KB - PDF)

Staff development and training 2004 (12 KB - PDF)

Performance Management (2.85 MB - PDF)

Performance Appraisal (3.93 MB - PDF)

Partnerships and External Activities TOP

Membership of committees 2004 (13 KB - PDF)

Staff publications 2004 (12 KB - PDF)

Editorships/Editorial boards 2004 (11 KB - PDF)

External presentations (workshops, conferences, etc.) 2004 (14 KB - PDF)

Comments on Library Services through Library Suggestion Boxes Jan-Jul 2004 (25 KB - PDF)

Donations Received 2004 (12 KB - PDF)

Senate Library Committee Membership 2005 (12 KB - PDF)

Faculty Library Committee Remit (92 KB - PDF)

Library Policy on Collection Management (15.5 MB - PDF)

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Library Framework Document for Quality Assurance

The following objectives of the exercise have been adapted from the objectives of the

HEQC as set out in the HEQC Institutional Audit Framework document.

    • To enable the Library to assure itself, its stakeholders and the University that its policies, systems and processes for the development, maintenance and enhancement of quality in all its educational offerings are functioning effectively;
    • To enable the Library and the University to identify areas of strength and excellence as well as areas in need of focussed attention for improvement in the short, medium and long term;
    • To enable the University to assess/evaluate the overall status of quality management of its libraries.

Specifically, the HEQC Criterion 4 states as follows :

Academic support services (e.g. library and learning materials, computer support services, etc.) adequately support teaching and learning needs, and help give effect to teaching and learning objectives.

In order to meet this criterion, the following are examples of what would be expected:

(i) Academic support services which adequately provide for the needs of teaching and learning, research and community engagement, and help give effect to teaching and learning objectives. Efficient structures and procedures facilitate the interaction between academic provision and academic support.

(ii) Academic support services which are adequately staffed, resourced and have the necessary infrastructure in place. The institution provides development opportunities for support staff to enhance their expertise and to enable them to keep abreast of developments in their field.

  • Regular review of the effectiveness of academic support services for the core functions of the institution .

Library Self-Audit Criteria

The Library Quality Assurance Sub-Committee examined the HEQC criteria in order to identify other criteria where the Library needs to make input, in addition to Criterion 4 above. The Sub-Committee has recommended that the following seven criteria be used to guide the self-evaluations:

  1. Alignment with the University?s strategic direction
  2. Integration with the University?s structures, systems and financial planning
  3. Physical infrastructure to support teaching, learning and research
  4. Information Resources and services to support learning
  5. Information Resources and services to support teaching and research
  6. Human resources
  7. External partnerships

The details for each criterion are set out in the appendix, together with questions to assist the Library in developing the necessary narrative account.

Input from Library Staff requested

Your input is requested on theLibrary Self-Audit 2005 document, particularly on whether the HEQC audit questions and possible ratios are comprehensive enough to cover areas of activity, or
whether anything has been left out. Please respond by Friday 29 July 2005.

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Appendix

UNIVERSITY OF THE WITWATERSRAND, JOHANNESBURG

LIBRARY SELF-AUDIT 2005

Wits Self-Audit Criteria

1. Alignment with the University?s strategic direction (HEQC Criteria 1)

The Library has a clearly stated mission and goals that are aligned with, compatible and consistent with those developed by the institution. There are effective strategies in place for the realisation and monitoring of these goals and priorities. Human, financial and infrastructural resources are available to give effect to these goals and priorities.

In order to meet this criterion, the following are examples of what would be expected:

  • Engagement with institutional imperatives in order to establish the fitness of purpose of the Library. Involvement of internal and external stakeholders in this process.
  • The translation of the mission into a strategic plan with clear timeframes and resources
  • The Library must undertake systematic, broad-based and integrated evaluation of its activities in order to determine its effectiveness in achieving its stated mission, goals and objectives.
  • The results of this process must be linked to the Library?s planning processes.
  • The Library uses regular data collection mechanisms, benchmarks and user surveys to provide information needed for evaluation, planning and management.

Audit Questions (see also ACRL questions)

    1.1 How are staff and students supported? Especially disadvantaged students?

    1.2 How is the Library supporting the identity of the university?

    1.3 Describe how the Library planning forms a part of the mission, goals and objectives of the university.

    1.4 What process was used to develop the Library?s plan to achieve the mission, goals and objectives? Provide a copy of this plan.

    1.5 What evidence exists to demonstrate that the process used has been effective and productive?

    1.6 Who is responsible for assessing the extent to which the mission, goals and objectives of the unit are being achieved?

    1.7 What are the major indicators deployed in the process of assessing the performance of the library? Comment also, on whether the indicators used are adequate and appropriate.

    1.8 Is there evidence of the inclusion, support and co-operation of the institution for the Library?s mission, goals and objectives?

Expected Documentation

  • The current mission statement, goals and objectives for the Library.
  • Library?s plan to achieve the mission, goals and objectives, and the process used to develop these.
  • Evidence of support and cooperation of the University Administration for the Library?s plan.
  • Assessment of progress towards mission.
  • Formative and summative indicators used to evaluate the achievement of the plan.
  • Other documentation that demonstrates support for meeting the criterion.

2. Integration with University?s structures, systems and financial planning (HEQC Criteria 1, 2, 4, 19).

The Library is involved in institutional decision-making and in institutional budgetary processes. The internal organisation of the Library is conducive to providing services.

In order to meet this criterion, the following are examples of what would be expected:

  1. The organisational structure of the Library should enhance the potential for fulfilment of its stated mission, goals and objectives and should provide for effective participation of staff and learners in all activities of importance.
  2. The environment should be characterised by commitment to the integrity of the institution, high ethical standards in the management of its affairs, fairness in dealing with relevant constituencies, support for the pursuit and dissemination of knowledge and accountability.
  3. The Library has effective communication channels, accountability frameworks and cohesive committee structures to support the work of the library.

Audit Questions (see also ACRL questions)

    2.1 Describe the organisational structure of the Library - provide organograms.

    2.2 Identify current strengths and weaknesses of the organisational structure within the university.

    2.3 Describe the role of the Library?s management, administrative, governance and committee structure and processes in the context of:

    • General Library development
    • Planning
    • Budget and resource allocation

2.4 What links and mechanisms exist for supporting new programmes and specific areas?

2.5 How involved is the Library in the development of new programmes? (texts, journals, e-resources)?

2.6 What are the library?s links to faculties and programmes?

2.7 Provide a brief report focusing on whether the recurrent (i.e. operating) expenditure for the period 2002-2004, was used effectively to ensure quality provision of teaching and learning materials.

2.8 Comment on and identify the strengths and weaknesses of the current level and pattern of income, sources of income and areas of expenditure of the library in relation to the university.

2.9 Provide details of the Library?s quality assurance policy and describe how it informs the activities of the Library. Attach policy.

2.10 Explain how communication is maintained between the learners, faculties and administration and the various structures of the institution.

2.11How are the library budgets and priorities determined at different levels? Policies?

Possible ratios to measure quality

  • What % of the University budget is spent on the Library?
  • Expenditure on info resources per FTE student.
  • Percent of total library budget spent on:
  • info resources (all media & formats - print, microform, electronic)
  • operating expenses
  • Ratio of Information Resource expenditure to combined total student and academic staff FTE.

Supporting Documentation

  • Organisational charts of structures, committees and groupings within the Library.
  • Description of the relationships, roles and functions as expressed in the organogram.
  • Details of internal information flows (meetings, etc.)
  • List of committees of the Library or of the institution where applicable.
  • Quality assurance policy of the Library.
  • Recurrent expenditure summary 2002-2004.
  • Procedures for apportioning library budgets to faculties.
  • Other documentation that demonstrates support for meeting the criterion.

Checklist of other pointers:

  • University committees, eg Senate Library Comm, URC, FRAC

3. Physical infrastructure to support teaching, learning and research (HEQC Criteria 4, 16, 19)

The Library makes available a range of contemporary technologies for accessing learning resources and delivers instruction in their use. Library buildings are designed to provide convenient access for all users including those with disabilities.

In order to meet this criterion, the following are examples of what would be expected:

  • The Library must have suitable premises at its disposal for long-term use and should provide favourable conditions for successful learning. This expectation includes the provision of comparable equipment and resources at off-campus sites.
  • Access to library facilities should be available outside normal working hours and over weekends.
  • Access to industry standard hardware, software and internet access including access to appropriate e-learning platforms for all programmes, particularly important for distance learning and mixed mode programmes.
  • Seating in Libraries should be adequate. In addition, space provision should ensure a quality education environment. Full-time library staff should have suitable office space and access to computers.

Audit Questions (see also ACRL questions)

3.1 How is research supported? E.g. specialist libraries and librarians? Support for culture of research?

3.2 Table to be compiled :

Library

Assignable square metres**

Capacity***

Present Usage (weekly in hours)

Anticipated usage (weekly in hours)

** Refers to usable space, excluding cupboards, corridors, etc.

*** Number of people who can be seated at workstations

3.3 If you have access to other facilities, please provide details of the agreements.

3.4 Provide a detailed list of the equipment available for usage by students, academic staff and Library staff. (specify types of computers and software availability, audiovisual equipment,etc). If programmes are offered by distance education, specify the availability of resources in relation to access to facilities by learners.

3.5 Are interlibrary loans facilities available to supplement the shortfall in reading material?

3.6 Identify the measures used by the Library to judge the adequacy of the physical infrastructure available and any plans that may have been developed to improve on the facilities.

3.7 How are disabled students supported?

Possible ratios to measure quality

  • Ratio of Library seats to FTE students.
  • Ratio of library seating to combined student and academic staff FTE.
  • Ratio of usable library space (in square metres) to combined student and faculty FTE.
  • Ratio of computer workstations to combined student and academic staff FTE (if institution does not require students to purchase their own computers).

Supporting Documentation

  • Details of physical infrastructure at all library sites
  • Details of the amount, location and types of computer facilities and resources for students and staff (NB: indicate types of software and databases)
  • Details of any contractual arrangements that the unit may have with other Libraries
  • A statement of other equipment/resources available to the Libraries
  • Details of processes used by the Library to determine the adequacy of its resources
  • Other documents that demonstrate support for meeting the criterion.

Checklist of other pointers:

  • Physical facilities
  • IT facilities, including remote access
  • Disabled access
  • Monitoring and utilization of the Library (facilities, reading rooms, noise levels, discussion groups)
  • Benchmarking

4. Information Resources and services to support learning (HEQC Criteria 4, 16, 17, 19)

The Library has adequate information resources to fulfill its stated mission and goals. The resources and services should be relevant to the institution s current programmes, should be of good quality, accessible, readily available and deliverable on site or elsewhere, and be actually used.

Optimal use of learning resources is fostered through strategies designed to help students develop information literacy - the ability to locate, evaluate and use information in order to become independent learners. Active and continuing programmes of library orientation and instruction in accessing information should be developed collaboratively and supported actively by institutional administrators, deans, academic staff, and librarians.

In order to meet this criterion, the following are examples of what would be expected:

  • Learners have access to comprehensive and up-to-date information resources with access to the latest databases. Libraries should be sufficient in size and scope to complement the learning programmes offered, provide incentives for individual learning and support appropriate scholarly and professional activities of the university. Evidence must also be available that off-campus learners have adequate Library support.
  • Access to information resources should be available outside normal working hours and over weekends.
  • There should be an Information Literacy Policy for the University.
  • There should be active and continuing programmes of Library orientation and instruction in accessing information.
  • Such programme should be developed collaboratively and supported actively by academic staff, librarians, deans, and other information providers.

Audit Questions (see also ACRL questions)

4.1 Provide criteria used to make decisions about the acquisition, retention, and use of print, electronic, and media resources? How does the Library select resources for its users?

4.2. Provide evidence that the print, media, and electronic resources reflect campus curricular and research needs, including budget allocation for the last three years.

4.3 Does the Library have a continuing and effective program to evaluate its collections, resources and online databases, both quantitatively and qualitatively?

4.4 Does the Library have sufficient user licenses for its electronic resources so that on-site and remote users can be accommodated? Is there sufficient dial-up facility?

4.5 How are consortium purchasing and licensing agreements utilized?

4.6 If the Library has responsibility for collecting and maintaining the institution?s archives, how does it address these responsibilities?

4.7 How do the Library s collections and online databases compare with its peers?

4.8 Does the Library maintain the currency and relevancy of the collection through a judicious weeding program?

4.9 Are there adequate interlibrary loans facilities to supplement the shortfall in reading material?

4.10 Identify the measures used by the Library to judge the adequacy of the resources available and any plans that may have been developed to improve on resource allocation.

4.11 How are user surveys employed, and how has the library responded to the findings? (Classic questions: how do you know ?? What do you do ??).

4.12 How do you track relevance and usage?

4.13 How do student and faculty expectations affect library services?

4.14 Does the library maintain hours of access consistent with reasonable demand?

Possible ratios to measure quality

  • Ratio of volumes to combined total student (UG and PG, if applicable) and academic staff FTE.
  • Ratio of vols added p.a. to combined total student and academic staff FTE.
  • Ratio of vols published 2000 to total vols.
  • No of books purchased per FTE student.
  • Vols in collection per FTE student.
  • Book loans per FTE student.
  • Information resources expenditure per FTE student.
  • Ratio of volumes to titles (multicopies).
  • ILL requests per FTE postgraduate student.
  • Turnover rate (ratio between circulation and collection size).
  • Ratio of number of students attending library instructional sessions to total no. of students in specified target groups.
  • Ratio of circulation (excluding reserve) to combined student and academic staff FTE.
  • Ratio of reference questions (sample week) to combined student and academic staff FTE

Other indicators:

    • Issuing processes ? online renewal, reservations, holds.
    • Marketing of library services to users: satisfaction rating of our customers in our periodic surveys.
    • Cataloguing and indexing: throughput times for making available new materials.
    • Acquisition management: turnaround times for internal service request.
    • Serials management.
    • Collection Development.
    • Interlibrary Loans: turnaround times for user request, satisfaction level.
    • Monitoring and utilization of the Library (facilities, reading rooms, noise levels, discussion groups).
    • Copyright Issues.
    • User Education.
    • Finance: unit costs for various transactions, cost per use of purchased materials, revenue from institution and private sources.

Supporting Documentation

  • Collection Management Policy.
  • A tabular analysis of all Library holdings that are relevant to various major programmes of the University.
  • Details of contractual arrangements in place for access to other libraries.
  • Details of any ILL facilities and transactions for the period 2002-2004.
  • Details of processes used by the Library to determine the adequacy of its resources.
  • Identification of the means by which the Library attempts to ensure that all students have a broad understanding of the areas of knowledge central to their curriculum.
  • Details of teaching methods and techniques used.
  • Mode of delivery to be identified.
  • A matrix to be provided on the number of hours delivered per programme.
  • Other documents that demonstrate support for meeting the criterion.

Checklist of other pointers:

  • Information resources, including access, quality, quantity, processing
  • Information literacy training
  • Engagement in teaching courses, curriculum planning
  • Reference services
  • Services for undergraduates
  • Services for postgraduates
  • User satisfaction surveys
  • Usage statistics
  • Collection development
  • Copyright isues
  • Issuing processes
  • Marketing
  • Benchmarking

5. Information Resources and services to support teaching and research (HEQC Criteria 4, 16, 17, 19)

The Library has adequate information resources to fulfill its stated mission and goals. The resources and services should be relevant to the institution s current research programmes, should be of good quality, accessible, readily available and deliverable on site or elsewhere, and be actually used.

Optimal use of research resources is fostered through strategies designed to help researchers develop information literacy - the ability to locate, evaluate and use information in order to become independent learners. Active and continuing programmes of library orientation and instruction in accessing information should be developed collaboratively and supported actively by institutional administrators, deans, academic staff, and librarians.

In order to meet this criterion, the following are examples of what would be expected:

  • Researchers have access to comprehensive and up-to-date information resources with access to the latest databases. Libraries should be sufficient in size and scope to complement the research programmes offered, provide incentives for individual learning and support appropriate scholarly and professional activities of the university. Evidence must also be available that off-campus researchers have adequate Library support.
  • Access to information resources should be available outside normal working hours and over weekends.
  • There should be an Information Literacy Policy for the University.
  • There should be active and continuing programmes of Library orientation and instruction in accessing information.
  • Such programme should be developed collaboratively and supported actively by academic staff, librarians, deans, and other information providers.

Audit Questions (see also ACRL questions)

5.1 Provide criteria used to make decisions about the acquisition, retention, and use of print, electronic, and media resources? How does the Library select resources for its users?

5.2. Provide evidence that the print, media, and electronic resources reflect campus curricular and research needs, including budget allocation for the last three years.

5.3 Does the Library have a continuing and effective program to evaluate its collections, resources and online databases, both quantitatively and qualitatively?

5.4 Does the Library have sufficient user licenses for its electronic resources so that on-site and remote users can be accommodated? Is there sufficient dial-up facility?

5.5 How are consortium purchasing and licensing agreements utilized?

5.6 If the Library has responsibility for collecting and maintaining the institution?s archives, how does it address these responsibilities?

5.7 How do the Library s collections and online databases compare with its peers?

5.8 Does the Library maintain the currency and relevancy of the collection through a judicious weeding program?

5.9 Are there adequate interlibrary loans facilities to supplement the shortfall in reading material?

5.10 Identify the measures used by the Library to judge the adequacy of the resources available and any plans that may have been developed to improve on resource allocation.

5.11How are user surveys employed, and how has the library responded to the findings? (Classic questions: how do you know ?? What do you do ??).

5.12 How do you track relevance and usage?

5.13How does the Library facilitate faculty research?

5.14 How do student and faculty expectations affect library services?

5.15 Does the library maintain hours of access consistent with reasonable demand?

Possible ratios to measure quality

  • Ratio of volumes to combined total student (UG and PG, if applicable) and academic staff FTE.
  • Ratio of vols added p.a. to combined total student and academic staff FTE.
  • Ratio of vols published 2000 to total vols.
  • No of books purchased per FTE student.
  • Vols in collection per FTE student.
  • Book loans per FTE student.
  • Information resources expenditure per FTE student.
  • Ratio of volumes to titles (multicopies).
  • ILL requests per FTE postgraduate student.
  • Turnover rate (ratio between circulation and collection size).
  • Ratio of number of students attending library instructional sessions to total no. of students in specified target groups.
  • Ratio of circulation (excluding reserve) to combined student and academic staff FTE.
  • Ratio of reference questions (sample week) to combined student and academic staff FTE

Other indicators:

    • Issuing processes ? online renewal, reservations, holds.
    • Marketing of library services to users: satisfaction rating of our customers in our periodic surveys.
    • Cataloguing and indexing: throughput times for making available new materials.
    • Acquisition management: turnaround times for internal service request.
    • Serials management.
    • Collection Development.
    • Interlibrary Loans: turnaround times for user request, satisfaction level.
    • Monitoring and utilization of the Library (facilities, reading rooms, noise levels, discussion groups).
    • Copyright Issues.
    • User Education.
    • Finance: unit costs for various transactions, cost per use of purchased materials, revenue from institution and private sources.

Supporting Documentation

Same documentation as for section 4 above.

Checklist of other pointers:

  • Information resources, including access, quality, processing
  • Information literacy training
  • Reference services
  • Services for postgraduates
  • Services for academic staff and researchers
  • Support for research thrusts and new areas
  • User satisfaction surveys
  • Usage statistics
  • Benchmarking

Possible Ratios

Same ratios as for section 4 above.

6. Human resources (HEQC Criteria 4, 19)

The Library has adequate and appropriately trained staff able to support the Library?s mission, goals and objectives.

In order to meet this criterion, the following are examples of what would be expected:

  1. Policies, procedures and operational guidelines related to conditions of employment are available to all staff members.
  2. Part-time and contractual staff members are provided with explicit responsibilities and duties.
  3. All procedures and appointments are in line with relevant legislation and the overall policies of the institution. Policies, procedures and practices of the Library should encourage the inclusion of staff members who contribute to the diversity of the staff complement.
  4. Criteria for appointment, advancement or promotion must be explicit and consistently applied.
  5. The institution provides opportunities to enhance the capabilities of staff to support their professional growth and development.
  6. The size of the Library staff and the contractual arrangements relating to time and work load have to ensure that all library and information activities relevant to the library?s mission can be realised.
  7. It must be guaranteed that services are delivered at the appropriate professional level.

Audit requirements

6.1 Provide a copy of staff recruitment, induction, selection and appointment policies specific to the Library (i.e. Support services).

6.2 Provide evidence of the s taffing levels (staff student ratio).

6.3 Use the table below to provide information on library staff.

NameF/T,P/T or contact Date of AppointmentHighest Degree, Professional Qualifications and area of specialisation RankAssigned Responsibility Race and Gender

6.4 What measures are in place to equip Library staff to offer high level service to users?

6.5 Do you have a formal performance appraisal of staff? Provide a description of how it is carried out and used to improve the performance of the Library.

6.6 Describe the mechanism used to determine work allocation.

6.7 Describe staff development initiatives within the Library. Provide evidence of implementation and monitoring of the effectiveness of the initiatives. Examples:

    • Encouragement to participate in professional organizations such as LIASA
    • Encouragement to undertake further study
    • Encouragement to participate in in-service training initiatives
    • Extent of utilization of Skills Development Fund
    • Encouragement to participate in research activities and publish in professional literature.

6.8 Describe how staff are made aware of policies, and the processes in place to ensure input.

6.9 What formula is used to determine an adequate ratio of Library staff to academic and student numbers?

Possible ratios to measure quality

  • Ratio of FTE library staff to combined student and academic staff FTE
  • Participation in:

- professional organizations

- presentations at conferences, workshops, etc.

  • No. of staff attendances at training courses, conferences, workshops, use of Skills Dev Fund, etc.
  • Research activities

Supporting Documentation

  • Human resource policies relevant to the Library.
  • Performance Appraisal instruments and details of procedures for evaluation.
  • Descriptions of professional development initiatives ? e.g. further studies, conferences, in-service training, research activities and publications.
  • Provision of information on the ratio of FTE library staff to combined student and faculty FTE.
  • Demographic data on the staff in unit.
  • Description of policies and procedures to ensure compliance with Employment Equity and transformation policies.
  • Other documents that demonstrate support for meeting the criterion.

7. External Partnerships (HEQC Criteria 18,19) TOP

The Library is active in the external professional field of library and information science and contributes to the development of library and information science and services in society.

In order to meet this criterion, the following are examples of what would be expected:

  1. The Library provides evidence of articulation of relationships with other higher education institutions.
  2. The Library ensures that all partnership agreements are focused on ensuring quality library and information services.
  3. The Library consciously measures and monitors its relationships with external stakeholders.

Audit requirements

7.1 Is good practice shared with other HEIs? Region?

7.2 How is the relationship with private HEIs managed?.

7.3 Service to community? Community members involved in research ? using our facilities? How to avoid negative impact on main users?

7.4 Prepare a report that sets out the Library?s activities and linkages with various relevant organisations for the period 2002-2004. The report should focus on the following areas but may include any others that the Library considers pertinent or innovative.

  • Advisory boards
  • Guest speakers
  • Institutional outreach programmes
  • Alumni Associations
  • Partnership and joint venture agreements with organizations/business
  • Internship programmes in librarianship
  • Research undertaken for business
  • International relations

7.5 Describe the nature of partnerships and linkages that the library has with other higher education institutions. If there is any aspect of the library?s activities that are innovative, please provide details.

Possible ratios to measure quality

  • Ratio of ILL lending to borrowing.
  • Ratio of ILL requests to combined student and faculty FTE (could be divided between photocopies and books).
  • ILL borrowing turnaround time, fill rate, and unit cost.
  • ILL lending turnaround time, fill rate and unit cost.

Supporting Documentation

  • A description of the Library?s external activities with details of contracts and the nature of activities over the period 2002-2004.
  • A description of the Library?s policies and procedures and practices that support linkages with the external environment.
  • Information on agreements for collaboration or partnership with other higher education institutions.
  • Other documents that demonstrate support for meeting the criterion.

Other pointers:

  • Community engagement
  • Consortia
  • Funders and fundraising
  • Professional profile within University and external professional library world
  • Benchmarking

Participation in:

- professional organizations

- presentations at conferences, workshops, etc.

No. of staff attendances at training courses, conferences, workshops, etc.

Literature Consulted

ACRL Standards for Libraries in Higher Education

Committee for Higher Education Librarians of South Africa (CHELSA). Library self- evaluation for HEQC audit: draft guidelines, 2004

Council on Higher Education (CHE). Proposed criteria for the HEQC s first cycle of audits: 2004-2009. Discussion Document. March 2003

Council on Higher Education (CHE). Criteria for institutional audits. June 2004

Council on Higher Education (CHE). MBA Re-accreditation Manual

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