Document Ref.

: Issue Date:
CU/SOP/LIBD/23 30th September, 2017
Issue No.: Revision No.:
05 00
Document Title: STANDARD OPERATING PROCEDURE FOR LIBRARY SERVICES MANAGEMENT

CHUKA UNIVERSITY

Standard Operating Procedure

For

Library Services Management

CU/SOP/LIBD/23

Document Review Sheet

The signatures below certify that this Standard Operating Procedure has been reviewed and
accepted, and demonstrates that the signatories are aware of all the requirements contained herein
and are committed to ensuring their provision.

Action Name & Signature Position Date

Prepared by Appointee Senior Library Assistant 25.9.2017

Reviewed by Prof. D. K. Isutsa Deputy Vice-Chancellor (ARSA)/M.R. 30.9.2017

Approved by Prof. E. N. Njoka Vice-Chancellor 30.9.2017

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CONTENTS
COVER PAGE............................................................................................................................... 1
DOCUMENT REVIEW SHEET………………………………………………………......... 1
CONTENTS................................................................................................................................... 2
1.0 AMENDMENT RECORD ………............................................................................. 3
2.0 GENERAL.................................................................................................................... 4
2.1 Purpose………………………………………………………………………............ 4
2.2 Scope…………………………………………………………………………............. 4
2.3 References……………………………………………………………………............. 4
2.4 Abbreviations ………………………………………………...................................... 4
2.5 Definitions ................................................................................................................... 5
2.6 Responsibility............................................................................................................... 5
3.0 ADMINISTRATIVE STRUCTURE........................................................................... 5
4.0 PROCESSES................................................................................................................. 6
4.1 Overview……………………………………………………………............................ 6
4.2 Process for Collection Development …………………………………………………. 6
4.3 Process for Organization of Information Materials ………………………………….. 7
4.4 Process for Weeding…………………………………………………………………… 8
4.5 Process for Short Loan Circulation …………………………………………………… 9
4.6 Process for Long Loan Circulation …………………………………………………… 10
4.7 Process for Reference Section…………………………………………………………. 11
4.8 Process for Registration of New Members……………………………………………. 12
4.9 Process for Management of Computer Resource Centre………..……………………. 13
4.10 Process for Preservation of Books..…………………………………………………… 13
5.0 RECORDS………………………………………………………………………………….. 14
6.0 KEY PERFORMANCE INDICATORS/QUALITY OBJECTIVES............................... 14
6.1. Key Performance Indicators………………………………………………………………… 14
6.2. Quality Objectives…………………………………………………………..………………... 15
Risk Identification Table………………………………………………………………………….. 17
Risk and Opportunities Register………………………………………………………………….. 20
APPENDIX I: PROCESS MAPS………………………………………………………………… 25
APPENDIX II: FORMS……………………………………………………………….………… 28

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AMENDMENT RECORD

This Standard Operating Procedure is reviewed regularly to ensure relevance to the systems and
process that it defines. A record of contextual additions or omissions is given below.

Amendment Record Sheet

Amendment Issue Revision Page Subject of Review /Modification Revised By Approved By
No.
Date No. No.

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2.0 GENERAL
2.1 Purpose
The Library Department provides access to an extensive range of information resources to enhance
studying, teaching and research in support of University academic programmes and in compliance
with this International Standard.

2.2 Scope
This procedure describes the activities carried out by the University Library Department.

2.3 References
 CU Charter, 2013
 CU Statutes, 2014
 CU Strategic Plan, 2017-2022
 ISO 9001:2015 Standard Clauses 4 to 10
 CU ISO Quality Management System Manual, 2017
 CU Students’ Information Handbook (Current)
 Current Library Policy

2.4 ABBREVIATIONS
AFR = Africana
AGORA = Access to Global online Research in Agriculture
BUSF = Board of Undergraduate Studies & Field Attachment
CAS = Current Awareness Services
COD = Chairperson of Department
CTA = Technical Centre for Agricultural and Rural Cooperation
DVC (ARSA) = Deputy Vice-Chancellor (Academic, Research & Student Affairs)
FAO = Food and Agricultural Organization
GSS = Government-Sponsored Students
HINARI = Access to Research in Health Programmes
HOD = Head of Department
LA = Library Assistant
OARE = Online Access to Research in the Environment
OPAC = Online Public Access Catalogue
REF = Reference
SAL = Senior Assistant Librarian
SLA = Senior Library Assistant
SPEC = Special Collection
SSP = Self-Sponsored Students
TEEAL = The Essential Electronic Agricultural Library
Thes = Thesis
WB = World Bank
WHO = World Health Organization
VC = Vice-Chancellor

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2.5 DEFINITIONS
Book = All types of library materials containing information
External users = Patrons from recognised institutions collaborating with CU

2.6 Responsibility
The University Librarian has the primary responsibility of ensuring that this procedure is
implemented and remains adequate for its intended purpose and for providing the information from
which the documentation for its processes and activities can be compiled and for initiating action to
keep them up to date. All departmental staff members are responsible for implementing and
ensuring that this procedure is followed.

3.0 ADMINISTRATIVE STRUCTURE

VICE-CHANCELLOR

DEPUTY VICE-CHANCELLOR (AA)

UNIVERSITY LIBRARIAN (Vacant)

DEPUTY LIBRARIAN(S) (Vacant)

SENIOR ASST LIBRARIAN

ASST. LIBRARIAN(S) (Vacant)

SENIOR LIBRARY ASSISTANT(S)

LIBRARY ASST(S)

LIBRARY ATTENDANT(S)

SUPPORT STAFF

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4.0 PROCESSES
4.1 Overview
The library is charged with the responsibility of providing students and staff access to an extensive
range of information resources by carrying out the basic functions of: acquiring, processing,
organizing, preserving and dissemination of information within the Mission and Vision of the
University. The library enforces security measures in the library and makes collection materials for
the Africana and special sections as well. The core activities of the Library Department are:
(i) Collection development
(ii) Organization of information materials
(iii) Weeding of obsolete books
(iv) Management of short loan circulation
(v) Management of long loan circulation
(vi) Management of reference services
(vii) Registration of new members
(viii) Management of computer resource centre
(ix) Preservation of books

4.2 Process for Collection Development

4.2.1 Source
Donors, CU/SOP/ACAD/16-21, 34-37, 42-44

Required inputs
Written requests from users

4.2.2 Expected Output(s)

Acquisition of information resources

4.2.4 Receivers
CU/SOP/LIBD/23

4.2.5 Process Details

SN /Description Output Responsibility
1 Receiving approved request for titles of Faculty list of HoD, Library
books from Faculty Deans and other required books
Library Users for acquisition purpose
Note: Catalogues from publishers and book-sellers
are circulated to Staff to select titles of books
2 Acquisition Librarian compiles lists of the Compiled Acquisition
selected books Departmental List Librarian
3 Sourcing for quotations through Quotation(s) Procurement
Procurement Department Officer
4 Returned quotations are opened in the Opening of Procurement
presence of Procurement, Audit and the quotations Officer, Internal
Library Department Representatives Auditor, Librarian

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5 Summarized quotations given to Librarian Summarized Procurement

quotations Officer
6 Requisitions are done and taken to the Vote Requisitions HoD, Library
Book in Finance Department
7 Requisitions are delivered to Procurement Delivered Finance
Department to raise LPOs requisition Officer
8 Procurement Department raises LPOs and LPOs Procurement
forwards them to Deputy Vice Chancellor Officer
(AFPD)/VC for approval
9 Approved LPOs forwarded to book Approved LPOs Procurement
Suppliers Officer
10 Approved LPOs are posted to the suppliers Posted approved Procurement
LPOs Officer
11 Supplier delivers books to Procurement Delivered books Procurement
Department Officer
12 The Librarian fills a stores requisition note Stores requisition HoD, Library
for issuance of the books. note
13 Books are received in the Library’s Book delivery note HoD, Library
Technical Section for processing

4.3 Process for Organization of Information Materials

4.3.1 Source
Self (Library)

4.3.2 Required Inputs

Ownership marks on books
Chuka University Library Stamp
Accessioned books
Classification of books manual

4.3.3 Expected Outputs

Processed books

4.3.4. Receivers
Patrons

4.3.5 Process Details

SN Description Output Responsibility
1 Receipt of books from Procurement Book delivery note Technical Section
Department for processing Librarian
2 Received information materials recorded in Register of newly Technical Section
the accessions register. Note: The details of the acquired books Librarian
entry include: date accessioned, author, title, source,
publisher, the price and remarks.

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3 Books are checked in the Library’s OPAC Checking notes Technical Section
to determine whether they are new or added Librarian
copies to avoid duplication of records.
4 Books are classified using the Library of Call numbers/Class Technical Section
Congress (LC) Classification Scheme. numbers Librarian
5 The call number of each individual title is Soft copy of call Technical Section
sourced through the internet from the numbers Librarian
Library of Congress website or in related
websites.
6 Where a class number for a title of book is Cutter number Technical Section
obtained without a cutter number, the Cutter Librarian
number is derived from Cutter table. Note:
details of the LC number and especially the
cutter number are customized in line with
the CU Library collection.
7 The call number settled on is written on the Details of call Technical Section
verso page of the book using a pencil. number on verso Librarian
page of a book
8 Classified books are forwarded to Bibliographic Technical Section
cataloguers to generate catalogue cards for entries on catalogue Librarian
shelf list. cards
9 The cards are filed alphabetically in a Shelf list. Technical Section
classified order of the call number Librarian
10 Bibliographic details of classified books are Koha database Technical Section
then keyed /entered into Koha Library Librarian
Management System
11 The catalogued books are forwarded to the List of processed Technical Section
Library attendants/clerks to do physical books Librarian
processing which includes labelling, spine-
marking and insertion of the magnetic
strips.
12 The processed books are forwarded to the Display processed Technical Section
circulation section for display and books Librarian
circulation
13 A copy of each new book is displayed for Displayed books Circulation Section
one week before releasing for circulation. Librarian

4.4 Process for Weeding Information Materials

4.4.1 Source
Self (Library)

4.4.2 Required Input

Identification of obsolete / unwanted books

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4.4.3 Expected Output

List of weeded books

4.4.4 Receivers
Needy stakeholders, CU/SOP/PROD/25

4.3.5 Process Details

SN Description Output Responsibility
1 Identification of information materials to be Identification list Librarian for
weeded Circulation Section
2 Removal of identified information materials Identified materials Librarian for
Circulation Section
3 A list of weeded information materials is List of weeded Librarian for
prepared books Circulation Section
4 List of weeded information materials is Proposed list for HoD, Library
forwarded to Library Committee for materials to weed
approval
5 Library Committee approves or disapproves Deliberation Library Committee
list of information materials proposed for minutes
weeding
6 weeded information materials are forwarded Approved materials HoD, Library
to the University disposal committee on for weeding Library Advisory
recommendation by University Library Committee
Advisory Committee

4.5. Process for Short Loan Circulation

4.5.1 Source
Library patrons

Required inputs
Request of information material(s) by library user(s)
Stamping of date due/time on book label

4.5.2 Expected outputs

List of Circulated books

4.5.4. Receivers
Library patrons

4.5.5 Process Details

SN Description Output Responsibility
1 Library user consult the Library’s OPAC to A record of Librarian for
identify the books needed bibliographic Circulation Section
details of book(s)

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2 Library user present(s) the call number(s) of Record of Librarian for

the information material(s) to the library bibliographic Circulation Section/
staff on duty to retrieve the book from shelf details of book Short loan Section
3 User produces identity card/document ID/document Library staff
4 The identification document is matched Librarian for
with the user’s account to verify ownership Circulation Section/
Short Loan Section
5 The information material is lend to the User Charging record in Librarian for
following University Library Rules and Library Mgt Circulation Section/
Regulations System (Koha) Short loan Section
Note: one hour or overnight or weekend loan
6 When the information material is due for Discharging record Librarian for
returning following the allocated period the in Library Mgt Circulation Section/
book is returned to the short-loan section System (Koha) Short loan Section
and discharged may be granted.
7 Renewal of the loan may be granted if no Renewed book(s) Librarian for
other user has booked the material. Circulation Section/
Short loan Section
8 The discharged book is then put aside for Books for re- Librarian for
shelving shelfing Circulation Section/
Short loan Section

4.6. Process for Long Loan Circulation

4.6.1 Source
Library patrons

4.6.2 Required inputs

Identified Information material(s) from the open shelves
Circulation counter staff/Stamping of date due/time on book label

4.6.3 Expected outputs

List of circulated books

4.6.4. Receivers
Library patrons

4.6.5 Process Details

SN Description Output Responsibility
1. The Library user identifies the information Call number Library User
materials from OPAC and notes the call number record
2. The user moves to the relevant shelf, traces the Book to be Library User
book and takes to the issue counter. borrowed
3. The user presents the book to be borrowed to Students Library staff
Library Staff on duty at the Long Loan Counter identity card

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4. The user produces identity card Identity Card Library User

5. The Library Assistant matches the identity card Charging record Library
with the users account to ascertain ownership. (The in Library Assistant
Library Assistant verifies the document to make Management
sure details are correct) and stamps on the date slip System (Koha)
the date the book is due for returning.
6. The book is demagnetized to allow its removal Library
from the Library. Assistant
7. The borrower presents the book to the Library Record of Library Security
security personnel to verify whether it is borrowed borrowed books Personnel
and records it at the security counter book.
8. Borrowed books are returned by Library users after Discharge Library staff at
they are through with using them record in LMS counter
9. The returned books are removed to a sorting Returned books Library
shelf/bay for distribution to respective shelves. Assistant
10. The next morning all the retuned books plus those HoD, Library
removed from the study carrels are shelved. All Library Staff

4.6. Process for Reference Services

4.7.1. Source
Library patrons

4.7.2. Required Inputs

Information Request by Library Users
Filled information request forms

4.7.3. Expected Output(s)

Answered queries/Questions

4.7.4 Receivers
Library patrons

4.7.5 Process Details

SN Description Output Responsibility
1. Users present their queries to Reference Desk Filled request Reference
/Information Desk. forms Librarian
2. Reference interviews are conducted to establish Reference Reference
what actually the query is about. Interview Librarian
3. Instant queries are answered immediately while Filled request Reference
complex queries are recorded, by Information forms Librarian
Seekers on information request forms.
4. Contacts of the user are taken during the time of A record of Reference
the interview. information Librarian
seekers

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5. Search for answers involves consulting various Info retrieved Reference

sources of information including the e-resources and recorded on Librarian
on the internet. info request
forms

4.8. Process for Registration of New Members

4.8.1. Source
Library patrons

4.8.2. Required Inputs

 Registration of Library Users

4.8.3. Outputs
 Chuka University Library registered Users

4.8.4 Receivers
Library patrons

4.8.5 Process Details

SN Description Output Responsibility
1. The Library conducts its own orientation once the New students HoD, Library
general University orientation and induction is SAL/SLA
completed before registering new members. Library Assistants
2. The Librarian draws an orientation schedule and Orientation HoD, Library
pins it on notice boards to notify various groups Schedule SLA
when to attend library orientation. Library Assistants
3. During orientation, students are divided into Orientation HoD, Library
manageable groups of about 30 each and are taken groups Library Assistants
on a step by step tour by the Library Assistants. SLA
4. The tour involves Library Instruction and taking Tour itinerary HoD, Library
Students to every section of the Library(Entrance, SLA
Circulation Section, Short Loan section, Library Assistants
Reference/Information Desk, E-resources Section,
Open Shelves, Post-graduate Room)
5. Students are given the rules and regulations via Library Rules HoD, Library
PowerPoint presentation and a hardcopy of the and Regulations SLA
same is issued to each one of them. Library Assistants
6. The patrons are finally given the membership Filled Library HoD, Library
forms to fill and return to the Officer in-charge of Membership SLA
registration to verify whether the forms have been forms Library Assistants
filled correctly.
7. Eligible students who report late to the University Register of Librarian For
are advised by the Library to register at the names of Circulation
circulation desk. students

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8. When a quorum for orientation is attained, students Final HoD, Library

are notified through the notice board when to report orientation lists
for orientation and subsequent registration.
9. Orientation is done to Students who reports late at List of HoD, Library
a scheduled day and time orientation SLA
participants Library Assistants
10 Registration is closed one month after the Orientation HoD, Library
admission of the first year students. exercise report SLA
Library Assistants

4.9. Process for Management of Computer Resources Centre

4.9.1 Source
Library patrons/students

4.9.2 Required Input

ICT Skills to be learned
University Students

4.9.3 Expected Outputs

E-resources Services

4.9.4 Receivers
Students

4.9.5 Process Details

SN Description Output Responsibility
1. The Librarian maintains a Resource Centre Section Computer HoD, Library
within the Library where users carry out research Resource Librarian for CRC
through the internet-connected computers. Centre
2. The Librarian for computer Resources Centre Timing HoD, Library
supervises usage including timing of e-resources Software Librarian for e-
and offers assistance to the users where necessary. resources
3. Each computer is assigned a number/code and users Numbered/code HoD, Library
are directed to one which is free where they fill in d computers Librarian for
the Resource Centre data sheet their personal Names written
details and remarks when they have finished work. on data sheets
4. The Patrons use the Library Resource Centre Librarian for
following stipulated user guidelines (Refer to Computer
Library Policy). Resource Centre

4.10 Process for Preservation of Books

4.10.1 Source
Self (Library)

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4.10.2 Required Inputs

Good housekeeping practices
Adherence to Library Rules and Regulations

4.10.3 Expected Outputs

Appropriately Preserved books

4.10.4 Receivers
Students, Library patrons

4.10.5 Process Details

SN Description Output Responsibility
1. The Library Assistants remove books showing signs List of HoD, Library
of falling apart from circulation and takes to the Damaged books SLA/LA
bindery.
2. Request is made to Deputy Vice Chancellor for Approved letter HoD, Library
books to be bound
3. Loose covers are bound for reinforcements. Quotation Procurement
Officer
3. Books on shelves are loosely shelved for ease of Shelved books HoD, Library
removing and shelving. SLA/LA
4. Environment within the library is frequently checked HoD, Library
to make sure books are not damaged by moisture and SLA/LA
direct sunlight.
5. Backup for databases is done and then kept safely. Data Backup HoD, Library
SLA/LA
ICT Manager
ICT support staff

5.0 RECORDS
(i) Departmental minutes
(ii) Departmental list of titles
(iii)Departmental call number registers
(iv) List of volumes stocked

6.0 KEY PERFORMANCE INDICATORS/QUALITY OBJECTIVES

6.1. Indicators
(i) Books loaned
(ii) Volumes stocked and procured each year
(iii)Number of library users
(iv) Security achieved/lowered complaints/loss of personal property
(v) Refer to separate record of objectives in the Department
(vi) Number of students oriented

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6.2 Quality Objectives

Linked Strategic Objective(s)
SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 19: Utilization of ICT to Enhance Efficiency of University Operations
SO 34: Production of Holistic Graduates
Quality Objective
1. Ensure that 90% of library information materials acquired are processed using ICT facilities
and made available to library patrons for reference annually.
Strategy (Actions/Activities required to achieve the objective)
Stamp books with an ownership mark
Digitize past examination papers
Download call numbers for books from Library of Congress online catalogue
Search cutter numbers from an online cutter table
Spine-mark books/Fix magnetic strips in books for security purposes
Subscribe to Kenya Libraries and Information Services Consortium for supply of e-resources
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF
REQUIRED SUCCESS (KPIs)
HoD, Library Technical Staff Continuous Number of service reports
Technical Services ICT Staff
Librarian
Review dates: Quarterly
Linked Strategic Objective(s)
SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 19: Utilization of ICT to Enhance Efficiency of University Operations
SO 26: Improvement of Productivity, Efficiency and Effectiveness
SO 34: Production of Holistic Graduates
Quality Objective
2. To annually introduce subscribed Kenya Libraries and Information Services Consortium e-
resources in the Library Website for Library Clienteles to easily access and use them
Strategy (Actions/Activities required to achieve the objective)
Select e-resources.
Up-date Library Website with the selected e-resources
Post e-resources to Chuka University Library Website
Annually subscribe to e-resources
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF
REQUIRED SUCCESS (KPIs)
HoD, Library ICT Technical Staff Continuous Receipt for subscription to
ICT Manager Library Website KLISC
ICT Section Librarian E-resources invoice Statistics of particular
ICT Support Staff Funds for subscription database/ e-resources usage
to e-resources/Internet from KLISC
Review dates: Quarterly

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Linked Strategic Objective(s)

SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 26: Improvement of Productivity, Efficiency and Effectiveness
SO 29: Promotion of Staff Development Programmes
SO 30: Development of Motivated Staff
SO 34: Production of Holistic Graduates
Quality Objective
3. Offer information literacy and orientation to students and staff, with the aid of ICT facilities,
on biannually basis to ensure that 80% of Chuka University Library Users develop the habits
of browsing and independent use of library resources.
Strategy (Actions/Activities required to achieve the objective)
Perform Library Orientation
Offer information literacy training workshops
Post e-resources to Chuka University Library Website
Annually subscribe to e-resources
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF
REQUIRED SUCCESS (KPIs)
HoD, Library Library Staff/Users Continuous List of oriented students
ICT Manager Overhead projector List of information literacy
ICT Support Staff Website participants
SAL/SLA Internet enabled
Library Assistants computers
Review dates: Quarterly
Linked Strategic Objective(s)
SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 29: Promotion of Staff Development Programmes
SO 30: Development of Motivated Staff
SO 34: Production of Holistic Graduates
Quality Objective
4. To support study, teaching and research by ensuring that 90% of library materials suggested
by students and staff are compiled, emailed to Procurement Department and availed in the
library for use annually.
Strategy (Actions/Activities required to achieve the objective)
Compile selected books and E-mail selected books to Procurement Department
Avail selected books in the Library for use annually
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF
REQUIRED SUCCESS (KPIs)
HoD, Library Qualified library Staff Annually Selected books
SAL Library Users Acquired books
SLA List of selected books
Library Assistants List of acquired books
Review dates: Quarterly

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Linked Strategic Objective(s)

SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 30: Development of Motivated Staff
SO 34: Production of Holistic Graduates
Quality Objective
5. To market Library Services to the academic community and other stakeholders at least twice a
year through displays, exhibitions, print and electronic media.
Strategy (Actions/Activities required to achieve the objective)
E-mail Heads of Departments a list of books acquired
Display titles of books on the Library Website
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF SUCCESS
REQUIRED (KPIs)
HoD, Library Qualified Library Staff Annually List of e-mailed books
SAL Library website
SLA E-catalogue of books No of email recipients
Library Assistants Internet connectivity
Review dates: Quarterly
Linked Strategic Objective(s)
SO 2: Provision of Relevant Quality Higher Education and Training
SO 3: Enhancement of Academic Competitiveness of the University
SO 30: Development of Motivated Staff
SO 34: Production of Holistic Graduates
Quality Objective
6. To ensure that 65% of Library Users are satisfied with the Information Communication
Technology (ICT) services and products provided by carrying out user surveys biannually.
Strategy (Actions/Activities required to achieve the objective)
Conduct user satisfaction survey
Collect and analyse the data
Disseminate and share data
RESPONSIBILITY RESOURCES TIMELINE MEASURE OF SUCCESS
REQUIRED (KPIs)
HoD, Library Qualified Library Staff Biannually Survey report
SAL/SLA Library website
Library Assistants Internet connectivity
Review dates: Annually

Risk Identification Table

Department: Library. Ref.: CU/SOP/LIBD/23
Project/Process Name: Collection Development
SN Risk Source Impact
(How can the risk occur) (What is the impact of the risk
occurring)
1 Loss of books by library Library users carelessness Under-stocking the library
users/patron

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2 Library users stealing Laxity by library security Under-stocking of the library

books Electronic book detector failure as a
result of power outage/black out
Malfunctioning electronic book detector
due to mechanical problems
3 Failure/delay by teaching Ignorance Decline in library service delivery
staff to propose titles of
books for acquisition
4 Loss of books in the libraryCorruption by Library Staff colluding Under-stocking of the library
with Library Users
5 Delay in delivery of Book supplier delaying to deliver Delays in collection development
requisitioned books requisitioned books
6 Delivery of poor quality Acquisition of poorly bound books from Books are easily damaged.
books publisher(s)/book retailer(s) High cost of repairing books.
Project/Process Name: Weeding of Obsolete Information Materials
1 Weeding relevant useful Lack of a Library Weeding Policy Under-stocking Library
information materials Incompetent inexperienced library staff
2 Delay in weeding obsolete Lack of a Library Weeding Policy Irrelevant obsolete materials on
information materials the Library shelves
3 Delay in reviewing Library Laxity of library staff Lack of up-to-date Library
Weeding Policy Weeding Policy
Project/Process Name: Management of Long Loan Circulation, Management of short loan Circulation
1 Loss of books by patrons Library users carelessness Under-stocking the Library
2 Library users stealing Laxity by Library security Under-stocking of the library
books Electronic book detector failure as a
result of power outage/black out
Malfunctioning electronic book detector
due to mechanical problems
3 Failure by users to pay Ignorance Decline in library service delivery
overdue fines in time
4 Loss of books in the Corruption by library staff colluding Under-stocking of the library
Library with library users
5 Loss of users property in Laxity by security Staff Complain from owner of property
the luggage area Stealing by students Loss of valuables by owner
Project/Process Name: Management of Computer Resources Centre
1 Giving wrong answers to Unskilled/inexperienced library staff. Lack of confidence in library staff
users questions Lack of up-to-date information Lack of confidence on library
Communication Facilities Reference services
2 Misfiling of information Carelessness by Library Staff A lot of time wasted in locating
request forms and retrieving request form
Project/Process Name: Management of Reference Section
1 Register wrong details of a Typographical errors Lack of library
prospective library user Library staff being absent-minded services/information sources
2 External prospective Fraud Loss of information materials
library users submitting
fake documents like
identification numbers
Project/Process Name: Registration of New Library Members
1 System breakdown Power outages/blackouts Loss of data
Attack by electronic virus(es)
2 Vandalism of computers in Theft/malice Computer hardware failure
the library

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3 Lack of equity in the usage Lack of timing software
of e-resource Centre Corruption
4 Power outage/black out Power surge; Electric wire damage,
Heavy rain/rain
Project/Process Name: Preservation of books
1 Fire outbreaks Faulty electric conduits
2 Destruction of books by Lack of good housekeeping practice in
pests (such as rodents, the library
insects such as termites, Failure by library staff to do regular
silverfish) Inspection of the library
3 Accumulation of dust on Lack of good housekeeping practices
books such as regular cleaning and dusting of
books and shelves
4 Malfunctioning air Aged fans
conditioners/fans Faulty wiring
Inequitable provision of ICT
services in the library
Loss of integrity in library staff
Inconveniencing library users
Causes frustration/stress
Loss of lives
Destruction of books and other
literary items by fire
Destruction of property by fire
Destruction of information
materials by pests and insects
Dusty books
Staining of books by dust
Excessive heat.
Accumulation of dust on books

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RISK AND OPPORTUNITIES REGISTER

Note under monitoring, the following provides responses: What = risk described. Why = prevent/correct consequence. How = mitigations/controls. Who = risk owner.
Risk name/ Risk Raw Risk Mitigations/ controls Risk Owner Monitoring
description Consequences (Opportunities source)
Likelihood Consequence Raw Risk
(L) (C) (L x C)
Failure/delay by Delay in 3 2 6 Intervention by Deans of HODS failing to submit lists of
teaching staff in procuring required Management by way of respective books required for procurement
proposing titles of titles of books issuing Memo /circulars Faculties after the deadline specified
books to be to teaching staff Annually.
procured HoD, Library.
Minutes of Library Staff meetings
Delay in delivery Delay in delivery 3 2 6 Regular follow ups by Procurement Delayed requisition cases.
of requisitioned of requisitioned Acquisition Officer Annually.
books by books by book Librarian/HoD, Library HoD, Library.
suppliers with the Procurement Acquisition Librarian.
Department Requisition book.
Letter of approval for the
procurement of books
Delivery of poor Books easily get 1 2 2 Inspection of newly HoD, Library Poor quality books delivered
quality books damaged acquired books on Acquisition University Inspectors.
High cost of delivery Librarian Continuous.
repair of books Delivered books inspection
reports
Weeding relevant Under-stocking 2 2 4 Library Weeding to be HoD, Library List of weeded relevant info
useful information Chuka University done by competent SAL materials.
materials Library Staff SLA Annually.
HoD, Library.
Library Weeding Policy.
Delay in weeding Irrelevant 2 1 2 Have and adhere to a HoD Library Minutes of library meeting(s).
obsolete info information Library weeding policy Annually.
materials materials on HoD, Library.
library shelves List of weeded books.
Delay in Lack of up-to-date 2 1 2 Review Library HoD, Library Date of Library Weeding Policy
reviewing Library Weeding Weeding Policy every 5 Annually
Weeding Policy Policy years or as need arises HoD, Library
Minutes of library meeting(s)

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Terrorism Loss of lives 2 2 4 Installation of CCTV Top No of security breaches reported.

Injury Improve security Management Continuous.
Loss of library Intelligence Security Library Security Personnel.
property Officer/Police Report/Incident book.
Library Users Loss of library 3 1 3 Improvement of HoD, Library Number of theft cases
Stealing books resources Security/ Integrity. Library reported/detected
Vigilance by Security Security Continuous.
personnel Personnel Library Security/Staff.
Report/incident book.
Loss of books in Corruption by 1 3 3 Adherence to Ethics HoD, Library Stock taking exercise.
the Library Library Staff and Integrity Code by Annually.
colluding with Library Staff. HoD, Library.
Library Users Institute discipline Report of lost books annually
Failure by users to Decline in Library 2 2 4 Enforcement of Library HoD, Library List of Overdue fine defaulters.
pay overdue fines Service Delivery rules and regulations Continuous.
HoD, Library
Overdue fine reminders
Wrong answers to Unskilled library 1 3 3 Employment of Skilled University Number of Library patrons
library users staff. Lack of competent Library Staff management complains recorded.
queries communication Acquisition of required HoD, Library Biannually.
facilities to aid in facilities such as HoD, Library.
info searching and computers and internet Librarian for reader’s services.
retrieval connectivity Complaints register
Misfiling of Carelessness by 2 1 2 Proper filing Librarian for Number of forms misfiled
Information Library Staff the Reference Biannually
request forms Section Librarian for Reference Section
Information request file
Library Loss of data 1 1 Data backup ICT Manager System breakdowns experienced
Management Use of Install UPS HoD, Library Continuous.
System Library Staff and ICT Staff.
breakdown Report/Incident book.
Theft of Insufficient 1 2 2 Improvement of University Number of theft cases reported.
Information Information security Management Continuous.
Communication service delivery Vigilance by Library Security Security Personnel.
Technology Security personnel Officer. ICT Staff.
facilities HoD Library Staff.
Library Staff Report/Complaints register

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Loss of library Complaints to by 3 1 3 Improvement of Library Number of complaints reported.

users property library users security and use of Security Continuous.
particularly in the numbered tags at the Personnel. Library Security Personnel.
luggage bay/area luggage storage area of HoD, Library Report incident book
the Library
Fire outbreak Loss lives 1 3 3 Install smoke detectors, Estates Faulty electric cases reported.
Destruction of fire extinguishers, Manager Continuous.
books and other emergency exits HoD, Library HoD, Library.
literary items Regular inspection of All Library Staff.
electric facilities Library meeting minutes.
Survey report by Estates
Department on Library fire safety
Registration of Lack of Library 1 2 2 Staff to be careful when HoD, Library Number of Library Users wrongly
wrong details of a services/Info registering Library All Library registered.
prospective sources for users Users to ensure that Staff Continuous.
library user they don’t key or HoD, Library HoD, Library
upload in the System All Library Staff.
wrong data. Records in Koha Library
Management System
External library Loss of 1 2 2 Adherence to Library Librarian for Number of fraud cases reported.
user(s) submitting information Rules and Regulations Circulation Continuous.
fake identification materials Registration of Library Section HoD, Library.
card(s) to access users Security Officer
library services Occurrence book
Vandalism of Loss of data 2 1 2 Training on integrity Security Number of vandalism cases
computer parts Computer System Operating computers on Officer Continuous.
failure daily basis HoD, Library Library Security Personnel
ICT Staff
Library Staff.
Report/Incident Register.
Computer System Loss of data 2 3 6 Regular Maintenance of ICT Manager Number of systems breakdown
breakdown Computer Systems HoD, reported in the Library
Library. Continuous.
Librarian for ICT Manager.
Computer HoD, Library.
Resource ICT systems break down reports
Centre

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Ltd ICT services Lack of equity in 2 1 2 Adherence to ethics and Library Staff Number of Complains
Lack of Integrity the usage of integrity act in the E- Continuous.
by Computer Computer Resources In charge, Computer Centre.
Resource Centre Resources Centre Centre Timing CRC Users.
users/staff facilities Application of a Timing Software
Decline in Library Damaged Books 1 2 2 Repair of damaged HoD, Library Number of damaged books
stock books All Library Continuous.
Inspection of borrowed Staff HoD, Library.
books returned by users Librarian for Circulation Section.
Record of repaired books
Inadequate Overcrowding in 1 1 1 Decentralizing Library University Regular surveys on number of
reading space in the Library Services Management students lacking seats.
the Library HoD, Library Continuous.
HoD, Library.
Observation/survey reports
Poor house- Destruction of 1 2 2 Train in good HoD, Library Number of books destroyed
keeping e.g. books by pests housekeeping Estates Continuous.
sweeping, dusting (such as Rodents, Regular inspection of Manager HoD, Library.
and clearing Insects such as library materials. Preservation of books
bushes outside termites, Application of Survey reports.
silverfish) rodenticides
Power Damage of 2 2 4 Power Backup University Number of power outages
Outage/Blackout Library and Management Monthly.
Information HoD, Library HoD, Library.
Services Estates Manager
Surveys reports.
Malfunctioning Excessive heat in 1 2 2 Regular repair of fans Estates Fans malfunctioning
fans for air the Library for air conditioning Manager Continuous.
conditioning HoD, Library HoD, Library.
Estates Manager.
Observation reports.
Under-staffing Poor library 2 2 4 Staffing Top Requisition staff recruitment.
services Management Annually.
HoD, Library.
Laxity by library Poor library 2 2 4 Staff Motivation HoD, Library Customer complaints.
staff services Workshops/Seminars Biannually.
HoD, Library.

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Library User satisfaction survey

reports Complaints register.
Internal conflict Poor working 2 2 4 Effective and efficient HoD, Internal conflict reported cases
by library staff relationship library human resource Library. Continuous.
management HR HoD, Library.
guidance and Complaints register
counseling services
Poor health of Sick offs 1 3 3 Regular library staff CMO Sick offs.
library staff medical check ups HOD, Library Continuous
Library Staff
Number of sick offs received

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APPENDIX I: PROCESS MAPS

i. Collection Development
RESPONSIBILITY ACTION
LIBRARIAN

Collection of publishers catalogs &sending to faculties for

selection of preferred titles
DEANS/HODS Approval and returning of lists to the library. NO/YES
LIBRARIAN Sending of the list to Procurement Department to source
quotations
PROCUREMENT DEPARTMENT Sending of quotations to pre-qualified suppliers
PROCUREMENT DEPARTMENT Opening of the returned quotations
LIBRARY & AUDIT
REPRSENTATIVE
LIBRARIAN Sending of acceptable quotations to the DVC (AFPD)
through DVC (AA) for approval of orders
DVC (AFPD) Approval of the list for ordering. NO/YES
LIBRARIAN Making of requisition of required materials & sending to
Procurement Department
PROCUREMENT DEPARTMENT Sending of LPOs to DVC (AFPD)
DVC (AFPD) Approval of LPOs. NO/YES
PROCUREMENT DEPARTMENT Sending of LPOs to suppliers
Receiving of the delivered materials
INSPECTION COMMITTEE Inspection of the delivered materials and writing the
inspection report
PROCUREMENT DEPARTMENT Sending of relevant documents to Finance Department for
payment of suppliers
LIBRARIAN Making of store requisition of the delivered materials
LIBRARY TECHNICAL Receiving and processing of materials for display and use
SECTION in the library

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ii. Short Loans Circulation of Books

RESPONSIBILITY ACTION
USER

Selecting books from reserve catalogue and presenting call number to section staff
to loan out
STAFF Recording of the time of loan (1 hour)
Desensitization of books and stamping of weekend/overnight loans
Counterchecking of books by security desk personnel.

iii. Long Loans Circulation of Books

RESPONSIBILITY ACTION
USER

Selecting of books from shelves & presenting them to issuance desk

Identification of client
STAFF Verification of book details and user identification
Stamping and demagnetizing of books to allow safe passage out of the library
SECURITY DESK Counter-checking of loan transaction
STAFF Filing the days’ loan records. Receiving of due books, re-sensitization and
returning of the books to shelves for circulation

iv. Organization of Information Materials

RESPONSIBILITY ACTION
ACQUISITIONS STAFF

Checking, stamping, and accessioning

TECHNICAL STAFF
CIRCULATION STAFF
Counterchecking books against the shelf list
Classification & cataloguing of books
Physical processing of books
Displaying of new books
Mowing of books from display shelves to circulation shelves

v. Weeding Obsolete Library Resources

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RESPONSIBILITY ACTION

I/C LIBRARY

Identification of obsolete editions of books

LIBRARY COMMITTEE Approval of disposal/retention

PROCUREMENT Disposition of the books following procurement procedure

vi. Library Resources Security

RESPONSIBILITY ACTION

USERS

Entering of clients and leaving of personal belongings such as

luggage/bag at the storage section
STAFF Checking of visiting clients to ensure authorized access
Ensuring availability of emergency lighting e.g. flashlights, or
electric lamps.
ELECTRICIAN Ensuring good working condition of generator

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APPENDIX II: FORMS

LIBRARY INFORMATION LITERACY FORM (STAFF) DATE:……………………
ADMISSI MOBILE
SN NAME SIGN DATE
ON No. phone No.
1
2
3
4
5
6
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13
14
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LIBRARY INFORMATION LITERACY FORM (STUDENTS)

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DATE:……………………
ADMISSI MOBILE
SN NAME SIGN DATE
ON No. phone No.
1
2
3
4
5
6
7
8
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13
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LIBRARY ORIENTATION FORM (STUDENTS) DATE:……………………

SN ADMISSI NAME MOBILE SIGN DATE

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ON No. phone No.

1
2
3
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7
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