Prepared by : Jessica Miramontes and Stacy Nelson
Submitted : July 8, 2002
Approved: Acquisitions Committee
The Reports
UCOP
Local UCSD Report of Holdings
Formats
Bindery
Withdrawals
Statistics Who's Who
This is a summary of who counts what when, who reports counts to whom, and how volume count reports feed into the annual UCOP report. The Head of the Acquisitions Monograph Receiving Unit has overall responsibility for collecting volume count statistics. The Statistics Manager updates and maintains the quarterly spreadsheet UCSD Volume Counts Statistics, Monographs and Serials using the collected volume counts. Volume count statistics are maintained to reflect workload, determine staffing needs, and report yearly holdings to UCOP. Volume counts reflect how many of each category of material we received and whether it was purchased or a gift. Statistics are also used to compile ARL reports.
Statistics are due to the Head of Receiving Unit one week after the counting period ends, either monthly, quarterly or annually.
The general rule is that the person who receives material also counts it. Exceptions, including AAA maps and some U.S. Depository maps, are explained in this document. Material that requires downloaded or keyed records is counted by the person who enters the record into Innopac and inserts an ownership streamer.
MONTHLY
Staff and students who receive material keep a count of receipts. The Head of Monographs Receiving collects monthly tally sheets for Monographs including Approval, Direct Orders and Gifts and compiles them into a 3 page summary. The Acquisitions Serials Statistics Coordinator collects and compiles individual tallies from the Acquisitions Serials Unit for a summary page. These figures are entered into two Excel spreadsheets, Acquisitions Monographs Receiving Monthly Statistics and Serials Receiving Monthly Statistics by the Head of Monographs Receiving and the Serials Statistics Coordinator. Monographs received on standing orders (SAE, SNU) are counted as monographs by serials staff as they check in and entered on the serials statistics spreadsheet by the Serials Statistics Coordinator. Prior to 2001/2002 the Monographs and Serials Acquisitions statistics were entered on one acquisitions spreadsheet and the SAEs and SNUs were included in the serial count. In 2001/2002 the Serials Unit began recording these receipts on their own spreadsheet. Each quarter the Statistics Manager adds these monographs received as part of serial titles and those received as monographs together for pertinent libraries on the UCSD Volume Count Statistics, Monographs and Serials spreadsheet. The Excel program compiles the monthly figures into quarterly compilations which are printed by the Head of Monographs Receiving and the Serials Statistics Coordinator and given to the Statistics Manager. These two reports, one for monographs and one for serials, reflect everything checked in by Geisel Acquisitions. The monthly reports are printed and filed in the Acquisitions Department files.
QUARTERLY
Each quarter the Head of Monographs Receiving requests statistics from BML, CJK, CMRR, DOCS, IRPS, MCL, SIO, Special Collections, Bindery, Bindery Documents and Cataloging Database Management (withdrawals/transfers). The reporting units use the online form Library Materials Added/Deleted which they fill out, print and send to the Head of Monographs Receiving. The Bindery, Bindery documents, CMRR and Non-U.S. Documents report their figures and the Head of Monographs Receiving enters the numbers on the official form. The form Volume Count Statistics Checklist is used to request and record receipt of branch figures. The Statistics Manager enters totals from the Acquisitions Monographs and Serials Quarterly Statistics Reports and the various branch reports into the UCSD Volume Counts Statistics, Monographs and Serials Excel spreadsheet. The final numbers reported for SSH are a total of AAL, Docs, Music and SSH. This report identifies each reporting unit.
ANNUAL
Some volume statistics are only collected yearly by the Head of Monographs Receiving. The Statistics Manager enters them directly on the UCSD Volume Count Statistics Non-Book Material spreadsheet and the UCOP report. Counts and reporting units include:
Archival Materials - SIO Archivist - Archive and Print master microfilm, UC Archival and Personal manuscripts, other Archival materials, Pictorial items
Archival Materials - Special Collections Archivist - Archive and Print master microfilm, UC Archival and Personal manuscripts, all Archival materials
CD-Roms - AAL, Access Services, Biomed, CLICS, CMRR, IRPS, MCL, S&E, SIO. These are counted as received. To verify figures, each Circulation unit is asked to count their holdings at the end of the year.
Computer Files (Machine Readable Data Files) - The Research Services Data Manager counts the holdings at the end of the year. The Statistics Manager subtracts last year's total from this year's total and the difference is the number used as added in the current year. As of 6/00 we no longer use computer tape (reels) or optical disks (disk) as storage mediums (all data now on server disks).
ebooks - Serials Cataloging Unit, Catalog Department - purchased ebooks. Ebooks are electronic material for which the equivalent "hard copy format" would be a monograph. We count ebooks which we pay a fee to access.
Floppy Disks - AAL, Access Services, Biomed, CLICS, CMRR, IRPS, MCL, S&E, SIO. These are counted as received. To verify figures, each Circulation unit is asked to count their holdings at the end of the year.
Maps - Maps Librarian - Maps, gifts and purchases for SSH.
Print master microfilm - Bindery. The Bindery reports positive and negative microfilm copies for monographs and serials. The numbers for negative copies are added together and reported as Print Master Microfilm added. The numbers for positive copies are reported as regular microfilm reels added to the collection.
Serials Received Currently - The Statistics Manager compiles the Active Serials Statistics Report from information retrieved from Innopac and enters total active serials for respective categories. The figure includes Internet and paper titles but not CDL.
Slides - AAL
Volumes withdrawn "in lieu" of Storage - Database Management, Research Services Documents Collection Manager - Volumes withdrawn "in lieu" of storage at SRLF
The yearly UCOP report is requested in mid-June and is due in mid-August. It consists of "schedules" which reflect various reporting areas. The first page is a table of contents. Schedule A is size tables and holdings from the UCSD Volume Count Statistics Monographs and
Serials report. Schedule B is duplicates withdrawn in lieu of storage provided by pertinent units usually including Database Management and Documents. Schedule C is ILL transactions reported by Access Services. Schedule D is material totals by building for risk management. The Statistics Manager uses the UCSD Volume Count Statistics Monos and Serials spreadsheet for most volume totals. The Head of the Annex reports Annex and SRLF totals to the Statistics Manager. Any high numbers, special projects or significant events (such as the UGL closure), should be footnoted.
SCHEDULE A
Schedule A records holdings as of June 30 of the previous fiscal year, all book and non-book material added in the current year, and the final total holdings as of June 30 of the current year. It is compiled using totals from the UCSD Volume Count Statistics Monographs and Serials report plus some annual counts. There are several versions of Schedule A in the report such as holdings listed by building, material type, etc.
Before 2000/01 government documents totals were considered part of total volumes received but appeared as a separate line on Schedule A, General. In 2000/01 the Documents holdings number was subtracted from the documents line and added to the Volumes line.
The first page of Schedule A is a compilation of all libraries holdings, except health sciences, and the second page is health sciences (BML & MCL). The third page of Schedule A is an addendum listing unusual formats including: Art Objects, Beta Tapes (these are being replaced with VHS when possible), Special Collections Broadsides, Science Ref. Tools in card format (counted as Astro Circulars for S&E and checked in by Serials), Archive Master and Print Master microfilm, machine readable data files and eBooks. These three pages are compiled using the UCSD Volume Count Statistics, Monographs and Serials report plus annual statistics. The fourth and last page of Schedule A reports the grand total volume count of all categories for all libraries.
SCHEDULE B
Schedule B records Duplicates Withdrawn In Lieu Of Storage and is used as credit towards our SRLF storage quota. The number is typically 40-50% of the total withdrawn figure. The number includes volumes we send to the regional storage facility that are duplicates of their holdings and withdrawn duplicate books. These figures can come from the Research Services Documents Collection Manager and the Database Management Unit in the Catalog Department. The DBM figure includes Annex withdrawals, regular withdrawals and weeding projects that fit the "in lieu" criteria. In 2000-2001 the weeding projects reflect the closure of UGL and a weeding project at SIO. Origins of withdrawn books should be footnoted if numbers are large or reflect special projects.
SCHEDULE C
Schedule C records ILL transactions and is reported by ILL. These figures are compiled by the Administrative Statistics Coordinator and sent to the Acquisitions Statistics Manager.
SCHEDULE D
Schedule D records Library Materials by Building Location for Risk Management. The three pages of Schedule D list all library buildings by name and number and their current volume holdings and non-book materials. The Head of the Annex provides the Annex figure. More common names and/or explanations for each building or collection appear as footnotes. The Carl Eckart Library is SIO. The Geisel Library Building East Wing is the Science and Engineering Library. The Basic Science building is the Biomedical Library. Galbraith Hall is CLICS. The Robinson Complex Building is IRPS.
Following the UCOP report are nine pages called Local UCSD Report of Holdings. They are total counts for the Geisel Library building (inclusions are listed as a footnote), Biomed, CLICS, and IRPS. Following these are pages for Internet Serials (excluding CDL), MCL, SIO and S&E. In 2000/01 there is also a page for UGL indicating holdings as zero.
The next three pages of the Local UCSD report are not an official part of the Holdings report but are used to calculate Schedule D (risk management). The figures are provided by the Head of the Annex and contain the number of volumes housed at the Annex for each library. In 2000/01 they include SSH, S&E, BML, MCL, AND SIO. The fourth page shows the grand total at the Annex.
The next two pages of the Local UCSD report record the number of volumes at SRLF, listed by library with a grand total. They are provided by the Annex Manager. These numbers are used to calculate holdings in Schedule D.
The last page of the Local UCSD report lists holdings of CMRR which is in a separate building from other libraries and branches. The figures on this page are used to fill in CMRR holdings in Schedule D.
MONOGRAPHS
Most monographs, both purchased and gifts, for SSH (including AAL and Music), IRPS, Biomed, MCL, S&E, SIO, CMRR and CLICS are received by the Acquisitions Monographs Receiving and Gifts Unit. AAL and Music are initially counted as separate categories but are later included as part of the SSH total. Musical scores are counted on the Acquisitions Monographs Receiving Monthly Statistics as monographs for the Music Library and as musical scores.
Exceptions are Special Collections purchased monographs (and gifts), which are counted by Special Collections, and CJK purchased monographs (and gifts) which are counted by the Catalog Department CJK unit. These numbers are submitted to the Head of Monographs Receiving each quarter.
If a branch library reports many monographs (except bindery monographs) the number should be reviewed and verified with the branch.
SAEs (Series Added Entry) are also included in the quarterly and annual counts of purchased monographs, although they are ordered on serial orders and counted by the Serials Unit where they are checked in.
Unbound theses received through ILL for IRPS and SIO are given to the Gifts Manager to create records and count.
CLICS monographs initially received on a lease program are counted and reported by the Catalog Department when added to the SSH permanent collection.
UCSD Dissertations - Special Collections keeps one archive copy of each dissertation for every branch except SIO. They are sent to SRLF after three years. The stacks copies go to the appropriate collections and are included as monographs in the quarterly bindery statistics. Special Collections reports the archive copies quarterly as part of gift monographs.
Loose-leaf updates to bound volumes (for example, law book updates) are NOT counted for serials or monographs.
Exceptions are items which are received unbound and are shelved unbound in the stacks (with no plans to ever bind). At Geisel, these items are all sent to the bindery for review and are counted by the bindery when shelved as shelved unbound (or when bound if such a decision is made). At the branch libraries they are all counted on receipt and should be counted either as gift or purchased serials volumes.
Unbound analyzed serials - In most cases, these are NOT counted on receipt. For SSH, they are counted by the bindery when either bound or shelved unbound. At the branch libraries they are counted on receipt if they are known to be permanently shelved unbound. (They are not counted as regular unbound serials because they might be counted again as part of the bindery's statistics).
Bound serials - Serials received bound are ALL counted on receipt. They should be counted as either gift or purchased serial volumes. This includes BOUND analyzed serial issues.
Reference serials - All reference serials are counted, regardless of whether bound or unbound, UNLESS there is information in the serials record which indicates that issues will be bound. They are counted as either gift or purchased volumes. In cases where the library retains latest volume(s) only, all superceded volumes are counted as withdrawals. The Research Services Collection Manager counts the withdrawals and reports the number to the Acquisitions Serial Unit for inclusion on the Serials summary sheet.
SAEs - SAEs are monographic series classed separately, received on standing orders. They are ALL counted on receipt as bound volumes. These are counted as SAEs on the monthly serials statistics and are then included as part of the purchased monograph volume count. SIO receives a few directly which they count and report on their statistics. They download records and send the books to Acquisitions Serials for further processing.
SSH East Asia serials are checked in and reported by IRPS. The statistics are also used to compile SEAL reports.
Special Collections serials - These are ALL counted, since they are all part of the permanent collection and are never sent to the Bindery. Serials Acquisitions counts issues at check-in. Most Special Collections serials are single issues received as gifts directly in Special Collections and are counted by them.
GOVERNMENT DOCUMENTS
U.S. Government Documents are counted and reported by the Acquisitions Documents Unit. The Documents Unit counts all U.S. Depository receipts (monographs, serials, non-book) as gifts. The count is reported to the Head of Monographs Receiving quarterly. Any items received on depository which are not shelved in the Documents collection are considered "transferred out" items and the total number of these transfers is reported by the Documents Acquisitions Unit. The transferred items are then "re"-counted as gifts by the units that receive them.
Non-U.S. government documents include San Diego, California and European Union documents. Monographs and non-book materials are received and counted as purchased or gifts by the Documents Unit and reported quarterly. Serials are counted by the Acquisitions Serials Unit check-in staff on receipt. When the bindery pulls documents from the shelf for binding, they report to the Head of Monographs Receiving how many unbound items were pulled from the shelf and how many bound volumes were returned to the shelf . See Bindery section for explanation.
NON-BOOK FORMATS
Most non-book formats received by Acquisitions Units are counted and reported monthly as purchased or gifts. The following types of non-book formats are reported in annual counts: Slides, Archive Master Microfilms, Broadsides, Filmstrip, Motion Picture, Other Archival Manuscript (MU), Other Pictorial Material, Pamphlet, Personal Manuscript (MU), Sculpture, Art Object & Artifact, UC Archival Manuscript (MU). Broadsides and pamphlets may be received and reported during the year if they aren't part of the Special Collections or SIO Archives.
Astro Circular - These are received by the Acquisitions Serials Unit and counted as purchased for the S&E Library on the Acquisitions Serials statistics.
Audiocassettes - These are counted on receipt as purchased or gifts. Biomed receives these regularly.
Audiodisc (records) - These are counted on receipt. Most are received and reported as gifts.
Audioreel - These are counted on receipt as purchased or gifts. We receive very few.
Broadside - Most are received and counted by Special Collections.
CD-Digital Audio (Music CDs) - These are counted on receipt in the Acquisitions Department. The Order Unit Music Specialist receives and counts most purchased CDs. The Gifts Manager counts the gifts. The items do not have to contain actual music (they can be spoken word) but are considered as audio items if they are shelved as part of the Music Library.
CD-Roms - These are received and counted as monographs or serials, purchased or gifts by Acquisitions units in Geisel and the branches. Each physical item, regardless of content, is counted as one piece. To verify figures, at the end of each year, the Head of Monographs Receiving asks each Circulation unit to count their CD-Rom holdings. This count is used as the annual UCOP figure.
When receiving multi-format items where only one component is a CD-Rom, count it separately only if it represents a predominant part of the item. For example, if a monograph arrives with an accompanying CD-Rom which has relevant information, count it once as a monograph AND once as a CD-Rom. However, if the accompanying CD-Rom is not significant to the whole and is strictly supplemental in nature to the printed text (e.g. a demonstration or practice disk accompanying a textbook), do not count the item. Do not count an instructional guide or manual which accompanies a data file. Do not count CD-Roms that cumulate or supercede previous receipts.
DVD - These are counted as videodiscs.
Floppy disks - These are counted as received. To verify figures, at the end of each year, the Head of Monographs Receiving asks each Circulation unit to count their holdings. This count is used as the annual UCOP figure.
Maps - All SSH maps are counted in the Geisel Map Room when they are labeled and shelved even if they aren't initially received there. The Map Librarian reports all SSH maps annually as purchases or gifts. Serials processes all AAA maps but does not count them as part of their volume count. Monographs Receiving downloads records for U.S. depository maps that are cataloged but does not count them. SIO counts maps and nautical charts together and reports them as maps to the Head of Monographs Receiving quarterly along with their other statistics. If SIO maps are received initially in monographs receiving, they are not counted.
Microforms - All microforms are counted upon receipt by format (fiche, film) and status (purchased or gift). In the past we also received microcards so we have recorded holdings but no longer receive this format. There is also a category on UCOP for Microprints but we have no holdings in this format. Each fiche or reel is counted as one piece. When large sets of microfiche are received, they usually include documentation which lists the number of fiche included in the shipment. The vendor supplied number is used for counting.
Motion Picture - We receive very few motion pictures that are not in videotape or DVD format.
Music Scores - Music scores are counted in two categories, as monographs received for the Music Library and musical scores. Monographs receives mostly unbound scores and counts both bound and unbound. Serials Acquisitions receives mostly bound musical scores which they count. The musical scores counted as volumes are included in the UCOP holdings report, but the musical score count is not included. This count is for UCSD only.
Pamphlet - IRPS, SIO and Special Collections sometimes receive these.
Videodiscs (laserdiscs) - We don't receive many laserdiscs but DVDs are counted as videodiscs.
Videotapes - All items are counted upon receipt. FVL receives only Videodiscs (DVD's) and videotapes, no books. CMRR videotapes are usually gifts.
Bindery statistics are reported quarterly to the Head of the Acquisitions Monograph Receiving Unit by the Geisel Bindery for SSH and S&E. The branches, including BMD, CMRR, IRPS, MCL, S&E (for monographs), and SIO report their numbers.
The Bindery counts all serials volumes that are bound at the U.C. Bindery, Pambinds and Shelved Unbound. The Bindery keeps separate counts for the three categories but they are added together in the final Bindery statistics. This count is included as a separate item on the annual statistics report as there is no simple way to identify which volumes' issues were originally received through purchase or gift. This count is then included in the total of volumes added to the collection. For SIO statistics, LC bind is counted as a regular bind.
SSH serial analytics and serials shelved unbound in the stacks are also included in the bindery count.
The Bindery reports figures quarterly for document issues that have been bound (both U.S. and non-U.S). They report a number of issues pulled from the shelf each month and the number of bound volumes created from the issues. The number of issues are totaled for each quarter and the resulting number is reported as withdrawn by the Bindery for SSH Serials. The number of volumes for three months is added and reported as Transfer In on the same line. These two numbers are entered on the Bindery line of the quarterly statistics in addition to the regular Bindery number.
Withdrawal statistics for the libraries are collected from different units. The Acquisitions Gift Manager counts the majority of withdrawals. After the Catalog Department adjusts the records, they place the volume(s) on the withdrawal shelf. The Gifts Manager counts and records the volumes by library and includes them on the monthly Gift Statistics. For large withdrawal projects, the Gifts Manager counts volumes where they are staged for processing.
The Database Management withdrawal count includes damaged books and books that have been declared officially missing from the collection. The latter are called paper withdrawals as there is no physical book to count. DBM counts do not duplicate the Gifts count. On the Database Management quarterly statistics, Transfer Out and Withdrawn are added together for a total withdraw figure.
Branch Libraries report quarterly the number of volumes withdrawn directly (those which did not go through the Catalog Department) to the Head of Monographs Receiving. Withdrawal numbers from branches should be reviewed and confirmed if they are high. The Serials Acquisitions Unit reports some withdrawn serials. The SSH Research Services Collection Manager reports the number of directly withdrawn reference volumes to the SSH Serials Acquisitions Unit. The Map Librarian counts map withdrawals. AAL reports withdrawn slides. The Documents Unit reports withdrawn documents.
This is a list of who reports volume count statistics quarterly and yearly. The Head of Monographs Receiving sends a reminder message two weeks before the end of September, December, March and June, another reminder at the end of each month and another if statistics haven't been received. Next to each unit/branch is a list of statistics types typically reported. Other categories may also be included.
QUARTERLY
Bindery - David Jahn - SSH and S&E
Bindery Documents - BC Thompson -U.S. & non-U.S.
document issues bound into volumes
Biomed - Anne Prussing - Bindery, serials, withdrawn
serials
Database Management - Adela Crespin - withdrawals and
transfers of all formats for all branches
CJK - Shi Deng - IRPS and East Asia monographs
CMRR - Jan Neumann - Bindery and videotapes
Documents - Natalie Hutchinson - Non-U.S. monographs,
all U.S.
IRPS - Dennis Kelliher - Bindery, serials
MCL - Anne Prussing - Bindery, serials, withdrawn serials
SIO - Brandon Oswald - Bindery, serials, withdrawn serials,
maps
Special Collections - Sandy Hochberg - all categories
ANNUAL
Archival Materials - Deborah Day for SIO - Archive and Print master microfilm, UC Archival and Personal manuscripts, all archival materials
Archival Materials - Brad Westbrook/Steve Coy for Special Collections- Archive and Print master microfilm, UC Archival and Personal manuscripts, all Archival materials
CD-Rom - Leslie Abrams (AAL), Greg Ferguson (SSH), Patty Carranza (BMD), Esteban Valdez (CLICS), Jan Neumann (CMRR), Dennis Kelliher (IRPS), Jaime Quebada (MCL), Jack Neves (S&E), Shelly Shaffer (SIO). These are counted as received. To verify figures, each Circulation unit is asked to count their holdings at the end of the year.
Computer Files (Machine Readable Data Files) - Doug Tower - The Research Services Data Manager counts the holdings at the end of the year. The Statistics Manager subtracts last years total from this year's total and the difference is the number used as added in the current year.
ebooks - Becky Culbertson - Serials Cataloging Unit, Catalog Department - purchased ebooks. Ebooks are electronic material for which the equivalent "hard copy format" would be a monograph. We count ebooks which we pay a fee to access.
Floppy Disks - Leslie Abrams (AAL), Greg Ferguson (SSH), Patty Carranza (BMD), Esteban Valdez (CLICS), Jan Neumann (CMRR), Dennis Kelliher (IRPS), Jaime Quebada (MCL), Jack Neves (S&E), Shelly Shaffer (SIO). To verify figures, each Circulation unit is asked to count their holdings at the end of the year.
Maps - Larry Cruse - Maps, gifts and purchases for SSH.
Print master microfilm - David Jahn, Brad Westbrook/Steve Coy for Special Collections (included in archival count if there are some). The Bindery reports positive and negative microfilm copies for monographs and serials. The numbers for negative copies are added together and reported as Print Master Microfilm added. The numbers for positive copies are reported as regular microfilm reels added to the collection.
Serials Received Currently - Jessica Meek - The Statistics Manager compiles the Active Serials Statistics Report from information retrieved from Innopac and enters total active serials for respective categories. The figure includes Internet and paper titles but not CDL.
Slides - Vickie O'Riordan (AAL)
Volumes Withdrawn "In Lieu" of Storage - Ryan Finnerty, Dorthea Stewart - Database Management, Research Services Documents Collection Manager - Volumes withdrawn "in lieu" of storage at SRLF