Re: auditing:
We are finding success in this approach here as well.  We have been pursuing revisions of procedures with campus accounting, including auditing of other workflows (most recently our purchasing card).  Our internal control offices at the campus level are examining their processes more and more, which creates a great opportunity to propose changes for our practices as well.

I have found that it's helpful to make sure that everyone involved at the campus accounting end is aware of the agreed-upon changes.  Occasionally we have experienced a communication gap between the campus accounting representative(s) at the meeting and the staff at the transaction end (e.g., initiating the audits).

Lisa

_________________________________________
Lisa Spagnolo
Acquisitions Librarian
Collection Support Services Department
Shields Library
University of California
100 North West Quad
Davis, CA 95616
Tel: (530) 752-9946
lcspagnolo@ucdavis.edu

----- "Joanne Deeken" <jdeeken@UTK.EDU> wrote:
> Well, sometimes those auditing procedures were set up years ago and a
> library has been doing as it should and following the instructions
> given.  But, when you go to the auditors and ASK them, there is always a
> chance that practices have changed for them and they didn't realize you
> needed to be told.
>
> So, when you find a procedure awkward to follow, it never hurts to just
> talk to the auditors, explain the problem and see if the process has
> been or can be changed.
>
> I've never had one object to a question: it means we're paying attention
> to their rules.  And they will often listen and even consider changing
> their policies--or perhaps gently explain why we've misinterpreted what
> they need.
>
> JoAnne Deeken
>
> -----Original Message-----
> From: SERIALST: Serials in Libraries Discussion Forum
> [mailto:SERIALST@LIST.UVM.EDU] On Behalf Of Cynthia Hsieh
> Sent: Wednesday, January 20, 2010 1:51 PM
> To: SERIALST@LIST.UVM.EDU
> Subject: Re: [SERIALST] Auditing (Re: [SERIALST] Cease claiming,
> checking in, binding)
>
> Again, different library may be facing different situation.  I would
> suggest posters not to jump into conclusion and start judging the
> others.
>
> According my own past experiences, the auditing process was set up and
> dictated by either the University's Controller's Office or the State
> government's auditing procedures. It was not because the library refused
> to change, but because the library did not have the authority to change
> the auditing process.
>
> Cynthia H.
>
>
> Cynthia Hsieh
> Head of Technical Services
> University Libraries
> University of the Pacific
> 3601 Pacific Ave.
> Stockton, CA 95211
>
>
>
> -----Original Message-----
> From: SERIALST: Serials in Libraries Discussion Forum
> [mailto:SERIALST@list.uvm.edu] On Behalf Of Ginanni, Katy
> Sent: Wednesday, January 20, 2010 9:19 AM
> To: SERIALST@LIST.UVM.EDU
> Subject: Re: [SERIALST] Auditing (Re: [SERIALST] Cease claiming,
> checking in, binding)
>
> IMO, continuing to perform the same process (even when it no longer
> makes sense) because "the auditors will question it" is simply another
> way of saying, "We do it this way because we've always done it this
> way."
>
> Just as we should not hesitate to question prices, practices, etc. of
> vendors and publishers, we should not hesitate to question auditors,
> either.  In my experience, they aren't scary people.  And if you can
> logically explain why you need to make a change in a process, they often
> understand and give their blessings.  This has happened to me in 2
> institutions.  Actually, the auditors questioned *us* but were satisfied
> with our explanations.
>
> Katy G.
>
>
> Katy Ginanni, E-Access & Serials Librarian and liaison to Soc/Anth &
> WAGS
> Trinity University
> Elizabeth Huth Coates Library
> 1 Trinity Place
> San Antonio, TX 78212-7200
> 210-999-7613 ph.
> 210-999-8182 fax
> katy.ginanni@trinity.edu
> "Establishing lasting peace is the work of education; all politics can
> do is keep us out of war." --Maria Montessori
>
> -----Original Message-----
> From: SERIALST: Serials in Libraries Discussion Forum
> [mailto:SERIALST@list.uvm.edu] On Behalf Of Rick Anderson
> Sent: Wednesday, January 20, 2010 11:02 AM
> To: SERIALST@LIST.UVM.EDU
> Subject: [SERIALST] Auditing (Re: [SERIALST] Cease claiming, checking
> in, binding)
>
> > Another item to consider is whether you need the print
> > check-in for auditing purposes.  Some universities will require it
> whether it
> > makes sense for you to do so or not.
>
> The auditing objection is one that makes a lot of sense on its face, but
> then kind of falls apart upon closer examination.
>
> If you're a typical academic library, you have many more online
> subscriptions than print ones.  Any auditing argument that applies to
> your
> print subscriptions will apply equally to your online ones -- but if you
> subscribe to, say, 1,000 print journals and 10,000 online journals,
> there's
> no possible way to give every subscribed title the level of oversight
> that
> you can give to your print titles.  So if you have auditors who insist
> on
> print check-in and claiming, you need to ask them what they'd like you
> to do
> about the online titles -- surely those should be checked in and claimed
> as
> well.  But that's impossible without a massive increase in staff.
>
> For what it's worth, I've now worked in two libraries that were audited.
> In
> one of them, we had eliminated check-in and claiming almost entirely
> prior
> to the audit, and in the other we had eliminated those processes
> substantially but not entirely.  In neither case did the auditor raise
> any
> concerns about our procedures.
>
> --
> Rick Anderson
> Assoc. Dir. for Scholarly Resources & Collections
> Marriott Library
> Univ. of Utah
> rick.anderson@utah.edu
> (801) 721-1687
>