DIGITAL REFERENCE TRIAGE:
FACTORS INFLUENCING QUESTION ROUTING AND ASSIGNMENT1
This article describes a
Most digital reference services have a team of experts for
assistance with incoming questions. This many-to-many relationship between
experts and questions presents an optimization problem: how can the experts’
talents and time be best used in answering questions? One way to explore this
is to ask those involved with routing and assigning questions (referred to here
as triage) in digital reference services about the factors that influence this
process. The goal of the current study was to identify factors that affect the
process of routing and assigning reference questions. This research began by
identifying factors acknowledged in the literature on desk and digital reference
to affect this routing and assigning process. Next, a
Triage is a particularly important
step in the process of providing digital reference service. Joanne Silverstein
and R. David Lankes [1] and Michael McClennen and Patricia Memmott [2] point
out that digital reference services inevitably receive questions that are
outside the scope of the service. Some of these questions may be within the
scope of another digital reference service; many digital reference services therefore
forward their out-of-scope questions to other services for which the questions
are in scope. This process has become formalized through consortial agreements
between digital reference services in
which the members may forward questions to one another. The Virtual Reference
Desk network is such a consortium: in addition to being a digital reference
service in its own right, the VRD is a clearinghouse to which network members
may forward their out-of-scope and in-scope “overflow” questions. The VRD’s
role is to forward those questions to the most appropriate service. By doing
this, digital reference services are providing reference service beyond what any
one individual service could provide without inconveniencing the patron.
This study begins from the general
process model of asynchronous digital reference presented in Figure 1. This
model is derived from Lankes [3] and the Virtual Reference Desk Project’s AskA
Software specifications document [4]. This model consists of 5 steps:
1. Question Acquisition is a means of taking a patron’s
questions from email, web forms, chat, or embedded applications.
2. Triage is the assignment and routing of a
question to a digital reference service, and to a reference or subject expert
within a service. This step may be automated or conducted via human decision
support. Triage also includes the filtering of repeated questions or
out-of-scope questions.
3. Answer Formulation includes factors for creating “good”
answers such as age and cultural appropriateness. Answers are also sent to the
user at this point.
4. Tracking is the quantitative and qualitative
monitoring of repeat questions for trends. Tracking allows the identification
of “hot topics,” and may indicate where gaps exist in the collection(s).
5. Resource Creation concerns the use of tracking data to
build or expand collections and better meet users’ information needs.

Fig. 1: General Digital Reference
Model [1]
This process model is presumed to be
applicable to all asynchronous digital reference services, though different
services employ variations of the processes at each step. Some services may
even skip steps; for example, not all services may archive questions or answers
to create resources. Additionally, some steps may be repeated, especially if
this model is seen to span more than one service; for example, a triage center
at one digital reference service may receive a question and route it to a
different service, which may then route it to an expert.
As with any step in the general
process model, triage may be performed in a variety of ways by different
digital reference services. This study was exploratory in that it sought to
identify the factors that affect digital reference services’ performance during
the triage process. This study was guided by the hypothesis that there is a
finite set of factors that are important to all digital reference services. A
further hypothesis was that, like referrals performed at library reference
desks, these factors can be grouped based on the nature of the service, the
question, or other criteria. Thus, the research questions for this study are:
1) What factors are important to digital reference
services when assigning and routing electronically submitted reference
questions?; 2) Can these factors be ranked in order of importance?; and 3) Are
there groups of factors that can be discovered?
The literature reviewed here comes from three areas: models
of the question-routing process, factors in referring questions from physical
library reference services, and factors used in triage decisions in virtual
reference services.
A number of researchers have pointed
to the existence of the filtering stage in the processing of digital reference
questions. McClennen and Memmott [2] describe several roles played by
participants in the digital reference process. These roles are similar to roles
in the traditional reference process, but with “some new twists imposed by the
digital environment” (The Model section, ¶ 2).
One of these roles is the Answerer, which is “the customary role of the
reference librarian,” that is, working at the (virtual) reference desk and
answering questions. Another role is the Filterer, who filters questions by deciding
which questions the service should accept, which can be answered with stock
answers, and which are out of scope for the service. Additionally, Filterers
decide which questions should be sent to which answerer and which should be
forwarded to other services. This study is concerned with what criteria are
significant for Filterers in making these internal and external triage
decisions.
Two variations on the triage process are employed by different digital
reference services [3]. The first variation is concerned with the agent that
makes decisions in the triage process: either a human filterer or an automated
process. In either case, criteria must exist for deciding how to assign and route questions. If the filterer is a
human these criteria may be more heuristic, whereas if an automated process
performs the filtering these criteria must be rigorously codified in software.
The second variation on the triage process involves how a question is triaged
to an answerer: questions are either assigned to specific answerers by the
filterer (either human or automated) [5], or questions are stored in a “triage
area” and self-selected by answerers [6].
The Collaborative Digital Reference
Service (CDRS) is an example of a service that utilizes an automated filterer:
a software algorithm that routes and assigns questions to other digital
reference services. This algorithm assigns questions “on the basis of such data
elements as hours of service, including time zones, subject strengths, scope of
collections, types of patrons served, etc.” [7, How Does CDRS Work section, ¶ 2].
The Internet Public Library (IPL) is
an example of a service that utilizes a human filterer and allows experts to
self-select questions. McClennen and Memmott state that the IPL has “developed
written policies and procedures, including guidelines for making the necessary
decisions regarding which questions to accept, reject, or refer” [2, p. 146].
The existence of these policies and procedures demonstrates the necessity for
digital reference services to establish criteria for the
performance of triage, even when those performing triage are the service’s
“most experienced staff” [p. 146].
This study is concerned with only
human Filterers and the assignment and routing of questions to specific
answerers. Filterers have the task of deciding how to triage incoming
electronically submitted reference questions both among digital reference
services, and to a reference or subject expert within a service.
The term “referral” is used here to indicate the practice of
a reference librarian redirecting a patron to another reference service or
organization that the referring librarian believes can better address the
patron’s information need. Desk reference services, like digital reference
services, receive questions that are outside the scope of the service or what
can be answered using the library’s collection. Rather than simply turn the
patron away without an answer, reference librarians may refer the patron to
another reference service or organization for which the question is in scope.
In this situation, the burden is placed on the patron to seek out the service
or organization to which they were referred. This is different from triage,
which is the assignment and routing of a question not only within a service,
but also between digital reference services, and usually takes place without
the participation of the patron. In the triage process, the burden is on the
librarian to seek out an alternative service and forward the question.
While referrals are relatively
common, but not necessary, in desk reference services, triage is a crucial step
in the management of questions in digital reference services. There is only a
small body of literature from desk reference that discusses factors in
referring questions, while a considerably larger body of literature from
digital reference discusses these factors. The literature from desk reference
is concerned primarily with the reference interview, i.e., how to assess when
the patron is satisfied with the information provided and when the librarian
should refer the patron to another source [8 – 10]. The literature from digital
reference is concerned primarily with assigning questions based on what is
known about the patron, the available answerers, and the question itself [2; 3;
6; 7]. A list of thirty-four factors in triage was compiled from these two
bodies of literature for use in this study.
While the list of factors compiled from the literature is an
appropriate starting point for investigating the process of triage, those
performing digital reference triage must also be consulted before finalizing
the list. One technique that allows a panel of experts to reach consensus on a
list of factors is the
The Delphi Method was invented by Olaf Helmer and
Norman Dalkey in the early 1950s as a technique for achieving a consensus of
opinion among a group of experts, on a topic for which a more conventional data
elicitation technique is unfeasible [11; 12]. While early
The
It is unclear how many digital reference services exist. Some
of these services are affiliated with libraries – public, academic, special, or
otherwise – and some are “standalone” services unaffiliated with any physical
library or collection. Evaluation of desk reference services is a long-standing
practice in libraries [8; 15]. There are, however, few studies evaluating
digital reference services, and only recently have guidelines for this
evaluation been proposed [16; 17; 18]. For this study, the researchers
therefore decided to select a panel of elite respondents by seeking out
filterers representing exemplary digital reference services. An exemplary
service is defined as one that is “worthy of imitation” [3, p. 80]. As a
result, the respondent panel may not be representative of all existing digital
reference services. This study investigated the triage process as it is
performed by services that are worthy models: they should serve as examples of “best
practices” for both existing and new digital reference services.
Exemplary services were selected for participation in
this study by relying on expert judgments of what constitutes an exemplary
service. Each year, the Virtual Reference Desk (VRD) Project recognizes
libraries and organizations that provide high quality digital reference service
to their users (http://www.vrd.org/conferences/VRD2001/exemplary.shtml) by
awarding the Exemplary Digital Reference Services Award. Seventeen services
have been presented with this award: seven in 1998, four in 1999, three in
2000, and three in 2001. These seventeen services were selected for
participation in this study. Additionally, the ten digital reference services
that participate actively with the VRD Network in question exchange were
selected for participation in this study. These services are exemplary as they
adhere to the Facets of Quality, a set of standards in a variety of categories,
intended to ensure quality responses and service, and user satisfaction [19].
Finally, the six studies that Lankes [3] selected as elite respondents for his
study of exemplary K-12 digital reference services were selected for
participation in this study. There was some overlap between these three lists
of services, so the total number of services that were selected for
participation in this study was twenty-four.
Some services out of these twenty-four were eliminated
from the respondent pool because they allow answerers to select questions
themselves. Other services declined to participate for reasons that they did
not share with the researchers. Of the final respondent pool of fifteen
services, all responded to rounds one and two, and twelve responded to round
three.
The individual who is the point of contact at each
selected digital reference service was sent an email asking him or her to
participate in the study, and only one individual per service was sent this
email. These points of contact are hereafter known as the Coordinators of their
respective digital reference services. McClennen and Memmott state that, as in
any other reference service, it is the role of the Coordinator to set policies
and procedures [2, Coordinator section, ¶ 1].
Therefore, the Coordinators are in a unique position to know the factors
affecting decisions made at every step in managing questions. To the
researchers’ surprise, every Coordinator contacted responded to the survey
(rather than delegating the survey to an employee). Thus each respondent
represented a service, and there was only one respondent per service.
Respondents were asked to answer the survey questions with the entire service
in mind. The level of analysis for this study is therefore the service level
instead of the individual or role.
In
a
This study was conducted as a Web-based survey listing
the factors from the literature review broken into three groups: 1) General
factors, 2) Factors in routing the question to an individual, and 3) Factors
when routing the question to another service.
In a traditional
Given the iterative and lengthy nature of
During each round of the study, panelists were asked
to rate each factor and add new factors.
Low-scoring factors were then removed, suggestions added, and a new
round begun. In the first round of the study thirty-four factors were listed,
in round two there were twenty-five factors, and in round three there were
nineteen factors (see Appendix A). In each round, the respondents were asked to
vote whether each factor was important or unimportant to their service by
checking a radio button on a web form for Important,
Unimportant, or No opinion. A sample question is shown in figure 2.

Fig. 2: A sample question from
the survey
In addition to voting on the importance of each factor, respondents were asked to suggest any additional factors that affect the triage process in their service that were not listed in the survey. This allowed for the possibility that the original list of thirty-four factors was not exhaustive. In addition if a factor was voted off the list, it could be reinstated if a respondent subsequently suggested it. In fact, eight factors were suggested by respondents that were not in the original list of thirty-four (see Appendix B)and one factor that was voted off in round one was added to the list by a panelist in round two.
The method of data analysis used in this study was
based on Scott Nicholson’s [20] study of academic research on the Web. In the
data analysis, a vote for Important
equals 1, a vote for Unimportant
equals –1, and a vote for No opinion
equals 0. The votes were totaled at the conclusion of each round to create a
score for each factor. The factors that had a final score of zero or higher
were retained; those factors that had a negative final score were dropped. The
final scores from each round were analyzed and presented to the respondents at
the conclusion of each round. Based on these results, a survey was constructed
for the subsequent round, and the respondents were asked by email to fill it
out. This process was repeated until the list of factors stabilized.
The original intention of the researchers was to
continue the study until all factors had positive scores. However, the
researchers decided to conclude the study after the third round because it was
felt that another round would only confirm what was already apparent, and would
be a further imposition on the respondents’ time. In the third round only two
factors had negative scores: “User’s geographic location,” which had been voted
off the list in round one, and “Profile of the user containing personal
information,” which had been suggested in round two. These two were dropped, as
were two factors with scores of zero. As there were no new suggestions, the
list was finalized.
At the conclusion of round three, fifteen factors had
been determined to be important as they had positive factor scores. In
descending order of their scores, these factors were:
1. Subject area of the question
2. The service’s area(s) of subject
expertise
3. The answerer’s area of subject
expertise
4. Level / depth of assistance available
from the service
5. Number of questions that may be
forwarded to the service per unit of time, as set by consortium agreements
6. Response rate of the service
7. The answerer’s experience and skill
in providing reference service
8. Past performance of the service in
providing correct and complete answers
9. The service’s turnaround time for
answering questions
10. Number of questions that your service
may forward to other services per unit of time, as set by consortium agreements
11. Availability of sources to answer the
question
12. The answerer’s experience and skill
with providing customer service
13. Language of the question
14. Scope of the service’s collection
15. Type of question
These results are presented
graphically in Figure 3.

The survey for this study presented the factors in
three groups, according to the recipient of the routing. The fifteen factors
fell into these groups as follows:
Factors that affect the triage process in general:
1. Subject area of the question
2. Availability of sources to answer the
question
3. Language of the question
4. Type of question
Factors that affect the triage process when routing or
assigning questions to an answerer:
1. The answerer’s area of subject
expertise
2. The answerer’s experience and skill
in providing reference service
3. The answerer’s experience and skill
with providing customer service
Factors that affect the triage process when routing
questions to another reference service:
1. The service’s area(s) of subject
expertise
2. Level / depth of assistance available
from the service
3. Number of questions that may be
forwarded to the service per unit of time, as set by consortium agreements
4. Response rate of the service
5. Past performance of the service in
providing correct and complete answers
6. The service’s turnaround time for
answering questions
7. Number of questions that your service
may forward to other services per unit of time, as set by consortium agreements
8. Scope of the service’s collection
This study arose from a research agenda being pursued by the
authors to investigate the steps in the general process model of digital
reference presented above. This research agenda has also led to another study,
investigating the paths that digital reference services take through the
general process model, and the decisions that services make at different points
[21]. This study has investigated one step in that process model in depth;
other studies investigating other steps are needed to provide a more
comprehensive basis for expanding the general process model of digital
reference.
The authors’ research agenda is part
of a larger research agenda, supported by the National Science Foundation’s
National Science, Mathematics, Engineering, and Technology Education Digital
Library (NSDL) project (http://www.ehr.nsf.gov/due/programs/nsdl/). The goal of
the NSDL project is to establish a national digital library for science,
technology, engineering, and mathematics education. The goal of the authors’
research is to design a more effective digital library. One of the ways in
which this goal will be accomplished is by integrating human-intermediated
digital reference service with the digital library environment. As the use of
digital reference services increases, there is an increasing need for these
services to “scale up” to handle an increasingly large number of questions.
This scalability is directly affected by the amount of automation employed by
the service: the more processes that are automated, the more of the human
intermediaries’ time and effort can be dedicated to tasks that cannot yet be
automated. There is, now more than ever, an increased and immediate need in
digital reference services for automation.
Automating the triage process is something that very few
digital reference services are currently doing [21]. In order to automate
triage, a profile of answerers and digital reference services to which
questions may be assigned is necessary, specifying factors such as the answerer’s
or service’s name, days of availability, area of subject expertise, and
whatever other criteria a service deems necessary. Lankes [22] describes the
Question Interchange Profile (QuIP), a protocol for passing this type of
profile with other information about a question. The results of this study
provide fifteen pieces of information that such profiles need to contain about
answerers and digital reference services. Some of these factors already exist
in the QuIP element set, but some do not. Therefore, the results of this study
provide factors that should be included in future revisions of QuIP and any
other standard for profiling digital reference services and answerers.
This study also determined three factors intrinsic to
the question itself that are important to the triage process: subject area,
language, and type of the question. Currently, QuIP contains subject and
language elements, but no element for question type. The results of this study
indicate that question type should be included in future revisions of QuIP and
other standards. A future direction for research will be to investigate whether
these three factors have subsets and what those subsets are. It is easy to
imagine a list of languages, of which one or more could be selected to describe
a question (e.g., English, Dutch, Japanese). But several classification schemes
of subjects exist: the Dewey Decimal Classification, the Library
of Congress Subject Headings, and the ERIC Thesaurus, to name
only a few. Which, if any, of the several existing schemes is the most
appropriate to use for digital reference? Are different subject classification
schemes appropriate for different types of digital reference services? Further,
several classification schemes for question types exist, each designed for a
different purpose. Some schemes address grammatical structure, classifying
questions as types of Wh- questions (e.g., Who, What, When, Which, How) [23; 24].
Some schemes address the content of the desired answer (e.g., definition,
comparison, quantification) [25; 26]. Some schemes designed to classify library
reference questions address the nature of the reference transaction (e.g.,
ready reference, directional, reader’s advisory) [15; 27]. Other schemes
designed to classify library reference questions address the type or genre of
information source likely to contain an answer (e.g., a dictionary, a
geographical source, a biographical source) [28]. Which, if any, of these
existing schemes is the most appropriate to use for digital reference? Are
different classification schemes of question types appropriate for different
types of digital reference services, or should more than one scheme be used to
form a faceted scheme? Additional research is required to answer these
questions, which will enable the determination of what characteristics of a
question need to be known in order for automated systems to perform triage.
This study investigated the factors that affect the triage
process in digital reference. The thirty-four factors in triage that made up
the original list in round one were compiled in part from literature on desk
reference referrals. While this study does not claim to make any conclusions
about desk reference, the same methodology used here may be used to investigate
referrals made at reference desks. In some evaluations of reference
transactions, only questions that are answered fully and correctly are
considered to be successful [29]. According to these evaluation criteria, a
referral is a failed reference transaction. A future direction for research
will be to investigate the criteria that lead to a successful referral being
made at a reference desk.
The goal of the research agenda that gave rise to this study
is to design a more effective digital library service. One of the ways in which
this may be accomplished is to integrate the digital reference service with the
digital library environment to ensure that digital library users have a place
to turn for assistance. However, as the use of digital libraries and digital
reference services increases, these services must be able to scale up to handle
the increased use. One way to handle additional questions without increasing
staff is to automate portions of the digital reference process.
The identification of factors that
affect these processes is the first step in addressing the problem of optimally
utilizing experts’ talents and time in answering questions. For example, one unanswered
question is how to determine how experts’ talents and time can be best used in
answering questions. This question is only one aspect of a larger question
which is determining what processes in digital reference may be automated and
which must be performed by a human being. An automated system to perform triage
must be able to take the same factors into consideration as a human filterer. Certain
factors in the triage process need to be refined: for example, what is the most
appropriate scheme for classification of subjects and question types given
different digital reference services and different contexts? This study, however,
investigated factors affecting only the triage process, and triage is just one
process in the provision of digital reference. In order to address the
optimization problem in digital reference, the other processes in digital
reference must be investigated.
This article described a
General
factors:
1. Subject area of the question
2. Type of question
3. Need for query negotiation
4. Predicted difficulty of the question
5. Complexity of the question (one-part
vs. multiple-part)
6. Length of the question
7. Availability of sources to answer the
question
8. User’s affiliation (student at …,
employee of …, member of …, etc.)
9. User’s geographic location
10. User’s planned use of the information
provided
11. User’s prior search history
12. Date after which the user will not
need or be able to use the information provided
13. Volume of questions submitted on a
given day
14. Your service’s current turnaround
time for answering questions
15. Format of the answer explicitly
requested by the user (e.g., brief factual answer, a document, list of
citations, etc.)
16. Format of answer that the question
seems to indicate (e.g., brief factual answer, a document, list of citations,
etc.)
17. Type of sources explicitly requested
by the user (e.g., print sources, Internet sources, etc.)
18. Type of sources that the question
seems to indicate (e.g., print sources, Internet sources, etc.)
When
routing questions to an answerer:
19. The individual’s area of subject
expertise
20. The individual’s educational
background
21. The individual’s experience and skill
in dealing with users from a particular community
22. The individual’s experience and skill
with providing customer service
23. The individual’s experience and skill
in providing reference service
24. The individual’s geographic location
When
routing or forwarding questions to another reference service:
25. Budget of the service
26. Hours of availability of the service
27. Level / depth of assistance available
from the service
28. Number of individuals who answer
questions for the service
29. Number of questions received by the
service per month/year/etc.
30. Past performance of the service in
providing correct and complete answers
31. Scope of the service’s collection
32. The service’s area(s) of subject
expertise
33. The service’s turnaround time for
answering questions
34. Type of service
1. Language of the question
2. Institutional service agreements
3. Number of questions that may be
forwarded to the service per unit of time, as set by consortium agreements
4. Number of questions that your service
may forward to other services per unit of time, as set by consortium agreements
5. “Profile” of the user containing
personal information
6. Response rate of the service to which
your service routes or forwards questions
7. “Sensitivity” of a question (e.g.,
for personal, PR, or other reasons)
8. User’s willingness to pay a fee for
an answer to his/her question
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FOOTNOTES
1. The researchers wish to thank the
survey respondents for their patience and their contribution to this study, and
the anonymous reviewers for valuable feedback that made this a better article.
This material is based upon work supported by the National Science Foundation
under Grant No. 05-11.
2. Jeffrey Pomerantz, Ph.D. Candidate,
3. Scott Nicholson, Assistant Professor,
4. R. David Lankes, Director, Information Institute of Syracuse,
Syracuse University, Syracuse, New York 13244-4100. Telephone 315-443-1707; Fax 315-443-5448; E-mail
rdlankes@ericir.syr.edu.