I. Types of Plans:
I. Types of Plans:
1. What is the approval plan and how does it work?
Yankee Book Peddler, our major US approval vendor, selects books for us based on profiles created by UCSB collection managers. These profiles are under continuous review to ensure that the books we receive are those that best meet the research and curricular needs of the campus.
The library has three YBP approval plans for trade (i.e. non-university press) books:
|Approval plan||Fund code||Account no.|
|Social Sciences & Humanities||SSHA||5916-11|
|Sciences & Technology||STAP||5916-21|
We also have a university press/blanket order plan (fund code: UNIV; account no.: 5916-13). See section III, #3 for more information on the trade approval plans.
2. What is a blanket order plan and how does it
differ from an approval plan?
Our University Press "approval" plan is a blanket-order plan, that is, we keep virtually every book we receive. Once we profile the plan, YBP supplies the books and we retain all books shipped to us.
3. How does the university press plan work?
The university press books we receive from YBP are paid out of the UNIV fund rather than out of the subject-specific funds (e.g. ARTS, ANTH, EEMB, HIST, etc.). YBP slips (see next paragraph) for university press books are coded UNIV, and any orders placed for these slipped titles are likewise paid out of UNIV. See section IV below for more information on the university press plan.
4. What are slips for?
Based on our profile, Yankee sends us slips (also known as notification slips or vendor slips) that provide bibliographic and ordering information for new titles. These are distributed to collection managers by fund code. Orders based on vendor slips are firm orders and are paid from in one's collection fund (e.g. ARTS, ANTH, EEMB, HIST, etc.) rather than the trade approval funds (SSHA and STAP). UNIV slips are an exception. University press slips, which are coded UNIV and paid out of the UNIV fund. UNIV slips will be distribted to collection managers for review and selection based on the books LC class librarians' subject responsibilities.
Collection managers may also access their YBP slips online: in GOBI, go to Slips > Search Slips, and search on the appropriate fund code combined with slip date or other search criteria.
Rarely and inexplicably, a slip is printed with an incorrect fund code, e.g. QA176 coded GEOG. Please bring such errors to the attention of the Head of Acquisitions so that they can be reported to YBP.
II. Trade Approval Plan: Profile and Review Process
1. How can I see my profile?
We have several approval plan profiles: 5916-11 AP Trade is for trade books; 5916-13 AP UP is for university press books; 5916-19 AP Art TR is for art trade books; 5916-21 Sci/Tech Books is for Science books; 5916-28 Spec Coll is for special collections. You can view them in GOBI. In GOBI, go to Library > Approval Plan > select the plan you wish > click view. Note that there are no separate subject profile documents for individual collection managers. The YBP approval plan profiles are arranged by LC classification for both the trade and university press approval plans.
2. How do I change my profile?
Profile change requests go to the Head of Acquisitions.
3. What is the review process for trade approval books?
Upon receipt of new books and the loading of their MARC records into Pegasus, books go to the new book shelves, where librarians can review them. After several years of refining the approval plan, our return rate for books was low enough that we were able to the move to having books come in shelf-ready, with call number labels on them. Receiving shelf-ready books get them to the shelves faster. At the new book shelves, collection managers may flag a book for relocation (in consultation with other collection managers as appropriate). There is a cart in Cataloging for books flagged for relocation.
A shipment of YBP approval books is received in Acquisitions each week.
Processing Procedure for Trade Approvals:
1. Why do I get the slip and not the actual book?
YBP sends us books or slips as profiled in our approval plans, based on subject areas (LC classification) or so-called non-subject parameters. Examples of non-subject parameters from our SSHA trade approval plan are as follows (B=book; S=slip; X=neither):
Here is another example. The reason we didn't get the book below on approval is because it is classed GV -- Recreation and Leisure. Since this class represents a relatively low priority in terms of research and curricular interest on campus, we have chosen to receive slips coded HUMA (the fund code for the interdisciplinary humanities fund) for GV books rather than the books themselves:
BLACK PLANET: FACING RACE DURING AN NBA SEASON.
ISBN: 060960452X Author: SHIELDS, DAVID. Binding: Cloth
Imprint: CROWN Published: 1999
LC Class: GV889.26.S55 1999 Dewey: 796.3
LC Subject: 1. UNITED STATES--RACE RELATIONS. 2. SHIELDS, DAVID--DIARIES
Bib Notes: DIARY ENTRIES FROM 11/5/94-5/5/95.
US Status: AVAILABLE US List Price: $23.00 Last Received US: 11/1999
UK Status: NOT YET DETERMINED. Last UK Status: 07/28/1999
2. Why do I get serial titles on approval?
Monographic series act somewhat like serials. Thus, what sometimes appears to be a serial subscription according to cataloging treatment is being shipped comprehensively on a (monographic) title by title basis under approval. Unlike serials the individual titles in the series are published irregualarly.
Collection managers should notify acquisitions of which series they have standing orders for so those will be blocked from approval. This will prevent us from receiving duplicates.
3. What is a subaccount and where can I find
a list? Why do I need to know about the subaccounts?
UCSB has one base account with YBP, account no. 5916. Under this account, there are multiple other accounts, which are set up to keep track of activities in different approval plans and are sometimes called subaccounts. In addition to a list maintained by Acquisitions, you can find tables of our YBP subaccounts at the beginning of each of our approval plans, available online in GOBI: Approvals > Approval Plan > select from the pulldown menu. For each approval plan subaccount, there is a corresponding slip ordering account. For example:
|SSHA profiled books||5916-11|
|STAP profiled books||5916-21|
GOBI allows reports to be run that determine how many titles were supplied as profiled books for each subaccount, how many titles were sent as a slip orders, etc.
There is also a 5916-80 subaccount for standing orders, and some "by-pass" subaccounts that enable us to treat some titles as exceptions for cataloging purposes; for example, subaccount 5916-17, under which we receive books in LC class ML410, which come without call number labels since we shelflist these books.
4. What publishers are covered by YBP?
To access publisher lists for the YBP approval plans, go to GOBI: Reports > Library Publisher List, then select the plan whose publisher list you wish to view. Note that these publisher lists include the number of books published annually and the average list price for each publisher. Note also that YBP's publisher coverage is comprehensive, modified only by any limitations defined in our profile.
5. Why do some libraries receive new publications before we do?
With the exception of rush orders or other unusual circumstances, other libraries should not receive books before we do. Something to remember is that many libraries attach their holding symbols to WorldCat records at the time of the initial order. Thus a holdings symbol in WorldCat can mean either that the book has been ordered, or that it has actually been received and cataloged. Also, Library of Congress holdings may be set when LC receives publisher proofs and creates CIP ( Cataloging in Publication) copy to be printed on the book's title page verso.
Often faculty claim that other UC libraries receive new titles before we do, based on Melvyl holdings. This is simply because some UC libraries upload their records to at the time the books are being ordered. Whereas UCSB uploads their records after the books have been received. Collection managers who think we are not receiving books in a timely fashion should refer questions to the Head of Acquisitions.
Sample (optimal) time frame for YBP approval books:
|Nov. 4||New book becomes available from publisher|
|Nov. 8-12||Book is profiled by YBP|
|Nov. 17||Book is "allocated" by YBP (see below)|
|Nov. 24||YBP ships book to UCSB|
Thus UCSB optimally receives new titles from YBP about 3-4 weeks after publication. The YBP "allocation" process means that the book appears on an internal YBP list and is retrieved from their storage; a cataloging record is sent to OCLC; and labels are produced and attached to the book (UCSB receives university press books shelf-ready). Once UCSB receives the book, the usual Acquisitions workflow includes loading the MARC record supplied by YBP to Pegasus and sending the book to the shelf within a week of receipt.
6. What is the difference in the price of paper
vs. hard bound?
Approximately 12 percent of trade books supplied on YBP approval plans are published simultaneously in both paper and hardback bindings. The list price varies from publisher to publisher, but YBP customers (such as UCSB) who have paper-preferred trade plans report that they save about $20 per title on average.
Approximately twice as many university press books, about 25 percent, are issued simultaneously in paper and hard bindings. About 25 percent of university press books are published simultaneously in paper and hardback. Thus the savings to the library for "paper preferred" university press approval plans is even greater than for trade plans--approximately $30 per title. Because of this significant savings, UCSB has designated our university press plan as paper preferred.
YBP can create a subaccount in order to identify a preference for hardback within an individual fund. We have determined that this makes sense only for specific subject areas, e.g., art history, within the trade approval plan.
7. Is there a default set up for paper vs. hard
bound and how do I change it?
The default is paperback for both trade and university press plans. Collection managers can request a change for their own subject area in the trade approval plan through AUL for Collections. A separate subaccount must be set up to accommodate the change.
8. How do we track spending against the approval plans while also tracking spending against
In order to monitor their individual funds, it is essential that collection managers understand our system of approval plan expenditures.
TRADE BOOKS. Trade books received through the approval plans are charged to SSHA or STAP, not to individual funds (e.g. ANTH, HIST, BICO, etc.). YBP fund codes assigned to books received through the trade plans consist of SSHA- (for the Social Sciences and Humanities plan) or STAP- (for the Sciences and Technology plan) followed by the appropriate four-letter individual fund code. For example: SSHA-ANTH, SSHA-HIST, STAP-CHEM, STAP-ELEC. Collection managers can produce reports in GOBI2 that list trade approval titles shipped under these codes for any given date range: GOBI2 > Approvals > Search Shipped Titles; select the desired fund code from the Fund/Other menu (scroll down to the SSHA- and STAP- codes), and enter the desired date range in the Profiled Date box. The resulting report will list all shipped titles for the criteria you entered as well as the total expenditure.
TRADE SLIPS. YBP slips for trade books are coded for individual funds (e.g. ANTH, BICO, HIST, etc.) and thus are charged to individual funds, not to the approval funds SSHA and STAP.
University Press Books and Slips. All are charged to the UNIV approval fund, not to individual funds. Slips are coded UNIV.
IV. University Press Plan
1. Where can I get a list of the publishers participating in our approval plans?
See section III, #4 above.
2. How can I access the university press approval plan?
In GOBI2, go to Approvals > Approval Plan. The tabs on the left should default to Subject Profile. From the second pulldown menu, select 5916-13 AP UP and click Go. Section D, Subject Parameters, contains the LC classification coded for book (B), slip (S), or neither (X). See also section E, Non-Subject Parameters, also coded B, S, or X. The UNIV slips you receive should match a subject or nonsubject parameter coded S. If you wish to order a UNIV slip title, return the slip to the Head of the Acquisitions Order section (as of Jan. 2007, Colter Frazier) to generate a firm order charged to UNIV. Any title slipped in error should be brought to the attention of the Head of Acquisitions, who will contact YBP.
3. What is the review process for UNIV approval
Review and processing procedures for university press press approvals:
1. What is GOBI2 and how do I use it?
GOBI2 comprises YBP's bibliographic database and the library's approval plans, as well as a variety of approval plan management tools, including online ordering and useful report functions. Collection managers can search GOBI2 for approval titles and slips. Those who do not want to use paper approval slips can access their slips entirely online and organize them into folders for later handling. (Slips > Search Slips; limit by slip date and fund code, or other search parameter). GOBI2 also contains the publisher lists for our approval plans (see section III, #4 above).
Username and password:
See the Head of Collections or the Head of Acquisitions to establish a password.
Search > Standard or Advanced Search.
Search the Monographic series instructions in the approval plan:
1. Select Approvals > Approval Plan
2. Select the tab Series Instructions on the right
3. Select your fund from the Fund/Other menu
The resulting report will list monographic series instructions in our YBP approval plans for the indicated fund; B = books (we have a standing order with YBP), X = exclude (series is excluded from our approval plan), and S = slips (YBP will send slips for the series).
You can also search do a monographic series title search in GOBI2: Search > Standard > Series Title.
How to see what approval or direct order (from slips) books were received:
Approvals > Search Shipped Titles. Select the desired fund code from the Fund/Other menu (for the SSHA- and STAP- codes such as SSHA-ARTS, STAP-BICO, etc., scroll down) and enter the desired date range in the Profiled Date box. The resulting report will list all shipped titles for the criteria you entered as well as the total expenditure. Searching on the SSHA- and STAP- codes will retrive a list of trade approval books shipped; searching on the regular fund codes such as ARTS, HIST, BLAC, etc. will retrieve a list of direct order titles (ordered from slips).
It is also possible to search university press approval titles received; go to Approvals > Search Shipped Titles, select UNIV from the Fund/Other menu, and select other appropriate search criteria such as LC Class and Profiled Date. You cannot search UNIV titles by your fund code (e.g. ARTS, HIST, BLAC, CHIC) because the unversity press approval books are charged to UNIV, not to the individual funds.
Keep in mind as well that these searches capture only those titles sent on approval or ordered through YBP, not titles from other vendors we use, such as Harrassowitz.