I
HISTORY
Fr. Jose T. Bacatan, SJ
Fr. Jose T. Bacatan, SJ was first assigned to the Ateneo de Zamboanga in 1975 as guidance
counselor and librarian. He also taught theology, speech improvement and Basic English at the
college. From 1985 to 1995 he was Chairman of the Mass Communication department while
concurrently Dean of College from 1985 to 1988. In 1993 to 1995 he was Dean of the Graduate
School and part-time professor at the Western Mindanao State University’s doctoral program. In
1996 to 1998 he taught English at Sogang University in Seoul, South Korea.
Since then he has been here at the Ateneo de Zamboanga and has been involved with the
research and work of the Graduate School and the Ateneo Research Office. He has contributed
invaluable work in editing research papers all these years. Most of the instruments of our popular
AdZU Brass Band were solicited or purchased by Fr. Bacatan through his connections abroad.
Fr. Bacatan was born on January 22, 1931, in Paranas, Western Samar. He joined the
Society of Jesus on June 20, 1951 and was assigned at Xavier University for his regency years. He
studied for the priesthood at Bellarmine School of Theology in Illinois, USA, and was ordained
priest in San Francisco on June 4, 1965.
He taught theology and was guidance counselor at Xavier University in 1967 to 1970. He
then became the librarian at the Ateneo de Naga while teaching theology in 1970 to 1972. He was
assigned assistant parish priest and later, parish priest of Ipil, Zamboanga del Sur 1972 to 1975
before coming to the Ateneo de Zamboanga.
Fr. Bacatan was the administrator of the Ateneo de Zamboanga library from 1975 to 1988.
He has contributed so much to the growth and expansion of the school library during his 13 years
of dedicated service. He was also a past president of the Academic Libraries Book Acquisition
Systems Association (ALBASA) and a board member of the Philippine Library Materials Project
(PLMP). It is but fitting our university library be named in his honor since the 21st day of
September, 2012.
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II
STATEMENT OF MISSION, VISION AND GOALS
MISSION
The University’s Library mission is to establish, promote and maintain quality services to
support the ADZU community’s commitment to teaching, research, scholarship and services.
VISION
The University Library envisions itself as a library of excellence recognized for its resources and
services that positively impact the lives of those it serves in the ADZU community and other
researchers in the region.
GOALS
1. Build an outstanding library collection in suitable formats that supports teaching and
learning and research of ADZU clients.
2. Improve the quality of scholarly resources and information services that support the
advancement of academic excellence.
3. Enhance access to and delivery of information resources through outreach, reference and
instructional services and application of information technologies.
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III
ORGANIZATIONAL
CHART
3
IV
FR. JOSE T. BACATAN, SJ LIBRARY
RULES AND REGULATIONS
(Based on the College Handbook)
GENERAL RULES
1. Observing SILENCE is the first and the most elementary rule of any library. Idle
conversation, loud laughter and other unnecessary noise disturb the clientele. Talking must
be done in subdued tone.
2. In order not to annoy other library patrons, such activities as eating, smoking, sleeping are
not allowed in the library.
3. Books in the reading areas should NOT be returned to their shelves but left on the tables
(to avoid their being misplaced). Exception: Individual volumes belonging to a set, such as
encyclopedias, should be returned to their proper places.
4. The clientele should always keep things in order. Every user is expected to push back the
chair against the table before leaving the library.
5. Students have unrestricted access to thousands of volumes at the Reference, Filipiniana,
American Corner, and General Collection shelves. The Graduate/Faculty Section,
however, may be used only by members of the faculty, Special Program in Nursing
students and graduate students (that is, masteral and doctoral students). Undergraduate
students may ask permission from the librarian to use graduate books.
6. Registration
6.1. New library users are required to present a validated form, to register and submit a 1x1
recent picture to be scanned and stored in the database (Patron Information) before they
can borrow books.
6.2. Old students are requested to activate their library records every semester, including
summer, to be able to borrow books.
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7. Use of Identification Card
7.1. All regular clients present an I.D. card at the Periodical, Reserve, CD-ROM and
Special Areas whenever library materials are asked for. This card is not transferable.
The owner of the card is held responsible for any library material drawn upon it.
7.2. When returning library materials, one must be sure to get back his/her identification
card. The library will assume no responsibility for loss of one’s I.D. after one has left
the counter.
8. Control Section Procedures
8.1. Every library client should pin his/her I.D. upon entering the library.
8.2. Upon leaving the library, every user will be required to:
8.2.1. Open and show contents of bags, attaché cases, big envelopes, folders, etc.
8.2.2. Show date due slip of every library material that he/she takes out.
RULES ON BORROWING
1. Stack (S) and General Collections (CO)
Three (3) days, renewable for another three days, unless wanted by another patron.
2. Fiction (F)
One (1) week, renewable for another week, unless wanted by another user.
3. Reserved Books (Res)
3.1. Used for one hour at a time, within the library only. Extension for additional hour is
granted, if there is no prior request by another user.
3.2. May be borrowed for home study/overnight use from 6:00 pm Monday to Friday; 4:00
pm every Saturday and should be returned at 8:00 am the next service day.
4. The following types of materials are read only in the library. They are not circulated
for home use:
4.1. General References, such as encyclopedias, dictionaries, atlases, almanacs, yearbooks
etc.
4.2. Art books
4.3. Special Collections
4.4. Filipiniana materials
4.5. Theses/Dissertations
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4.6. Periodicals
4.7. Non-print materials (video tapes, slides, microfiche)
4.8. Electronic materials (DVDs, VCDs, CD-ROMs, VHs)
5. Maximum number of books that may be borrowed at any one time:
5.1. Undergraduate students are allowed to borrow three (3) books at a time.
5.2. Graduate students may keep five (5) books at a time.
5.3. Bonafide regular employees of the school are allowed to borrow two (2) books at a
time, subject to the same time limit given to other library patrons.
5.4. Bonafide ADZU faculty members, including elementary and high school, are allowed
to borrow for the length of one (1) semester, two (2) books for every subject they teach,
up to a maximum of 15 books in all the libraries. Library books not clearly connected
with the subject taught by the faculty member may be borrowed two (2) at a time,
subject to the same time limit given to other library patrons.
FINES AND OTHER PENALTIES
1. For overdue books, the following fines are imposed:
1.1. Stack and browsing books, including Fiction – ₱0.50 a day, excluding Sundays and
holidays.
1.2. Reserved Books – ₱1.00 for the first hour or a fraction of an hour; ₱0.50 per hour for
the second and succeeding hours; ₱5.00 for each full day, including Saturday, if this is
a service day.
2. Lost Books
2.1. If an item is lost, the library should be notified immediately. Overdue fines continue
to be assessed until notification is received.
2.2. All library patrons are responsible for the replacement of the lost items plus the
accumulated overdue fines. Faculty members are required to replace lost books without
paying overdue fines.
2.3. Lost books must be replaced with the same title, edition and author. If the first
condition is not possible, a book on the same subject or closely related subject may
serve as a replacement provided that it is hardbound and the most recent edition.
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2.4. In case the lost book is no longer available, the decision to accept the replacement
book is determined by the Library Director.
2.5. If the patron found the book after being declared or reported lost and returns it, and if
the book is in acceptable condition, the patron will be required to pay only the
accumulated overdue fine.
3. Mutilation and stealing of library materials are serious offenses penalized by a fine
equivalent to the cost of the replacement or restoration of the mutilated material. There
might be an additional penalty of expulsion or suspension from the school depending on
the gravity of the case.
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FR. JOSE T. BACATAN, SJ LIBRARY
RULES AND REGULATIONS
(New and Updated Version)
REQUIREMENTS FOR THE LIBRARY USERS:
1. All library users are required to register in the library at the Circulation section by
presenting a validated form and a 1x1 recent picture to be scanned before they can borrow
books.
2. Library users should present a school ID card whenever library materials are asked for.
This card is not transferrable. The owner of the car d is held responsible for any library
material drawn upon it. When returning the library materials, make sure to get your ID.
The library will assume no responsibility for loss of one’s ID.
3. Library visitors from other institutions should present their school/validated ID card and
visitor’s ID/slip at the entrance of the library and should pay a library fee of P20.00 before
they are allowed to use the library resources.
GENERAL RULES
1. Every library users should swipe their ID card upon entering the library.
2. Observe SILENCE. Talking must be done in subdued tone.
3. Activities like eating, smoking and sleeping are not allowed in the library.
4. Books in the reading areas should not be returned to their shelves but left on the table
except individual volumes like encyclopedias should be returned to their proper places.
5. Every library user is expected to push back the chair against the table before leaving the
library.
6. Upon leaving the library, every user is required to open and show contents of bags, laptop
bags and big envelopes. Show date due slip of every library material that take out.
7. SHS Library is exclusive for SHS students and faculty only.
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8. SHS students are not allowed to loan out books from Circulation, Filipiniana and American
corner though may use the collections w/in the library premises and for photocopying
purposes, except for fiction books.
9. College students are not allowed to loan out books from SHS Library, however,
photocopying is allowed.
RULES ON BORROWING
How to Borrow Book/s:
1. Search the book/s on OPAC and locate them on the shelves.
2. Present your school ID at the Circulation Desk and the book/s to be borrowed.
3. Librarian checks student information.
4. Can student still borrow? If yes, librarian checks out the book/s.
5. Stamp the due date at the back of the book/s.
6. Transaction receipt is issued.
7. Student signs on transaction receipt, after signing
8. Librarian keeps the transaction receipt for file.
9. Student receives book/s for home use.
10. When leaving the library, present borrowed library materials at the control area for
checking.
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PATRON TYPE
NUMBER OF BOOKS
(max.)
DURATION
College Student
3
3 days
Medical Students
3
3 days
Graduate Students
5
1 week
Staffs
3
1 week
Part-time Faculty
5-7
1 semester
Full-time Faculty
10-15
1 semester
THE RESERVE AREA

The reserve area is on closed shelves. Reserved books in great demand for various courses
are placed in the reserve area to enable all students to have access to the books. All reserved
books are on hourly basis and may be renewed for another hour if there is not demand for
it by another student.

Books for overnight use are borrowed at 6:00 pm, Monday to Friday, 4:00 pm Saturday
and should be returned at 8:00 am the next service day.

Reserved books for overnight use is ₱5.00 per book if book is not returned the following
service day and an additional of ₱1.00 per hour for the succeeding hours, including
Saturday.
FINES AND OTHER PENALTIES
1. Overdue books including Fiction – a fine of ₱5.00 a day shall be imposed excluding
Sundays and holidays. For reserved books ₱5.00 for the first day; ₱1.00 per hour for the
succeeding days including Saturday.
2. Lost books must be replaced with the same title, edition and author should pay the
accumulated overdue fines and processing fee of ₱100.00. Any borrowed materials found
with missing pages must be reported immediately to the library staff assigned at the
Circulation Section.
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3. Mutilation and stealing of library property is penalized by a fine equivalent to the cost of
the replacement of the mutilated material. There might be an additional penalty of
expulsion or suspension from the school depending on the gravity of the case.
Overdue Book/s:

General collection/American Corner Collection – ₱5.00 overdue fines/day.

Reserve books for overnight use – ₱5.00 if book is not returned the following service day
and additional ₱1.00 per hour for the succeeding hours including Saturday.

Overdue fines below ten pesos (₱10.00) are to be paid at the circulation desk counter. More
than ten pesos are to be paid at the finance office. Please ask a transaction receipt to be
given to the teller when payments are made. Then go back to the circulation desk counter
with the OR from the finance office to clear your accounts.

Delinquent borrowers are reminded of their overdue accounts. Names are posted at the
Circulation Section bulletin board twice a month. Students are not allowed to borrow unless
all library accounts have been settled and all books are returned.

Overdue fines are remitted to finance office every Friday of the week.
Lost Book/s

If the book is lost, the library should be notified immediately. Overdue fines continue to
assess until notification is received.

All library patrons are responsible for the replacement of the lost items plus the
accumulated fines and processing fee of ₱10.00. Faculty members are required to replace
the lost books without paying overdue fines but processing fee of ₱100.00 per book is
included.

Lost book/s must be replaced with the same title, edition and author. If the first condition
is not possible, a book on the same subject or closely related subject may serve as
replacement provided that it is the most recent edition and same price or not less than the
price of the missing books.

In case the book is no longer available, the decision to accept the replacement book is
determined by the Library Director.
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
If the patron found the book after being declared or reported lost and returns it, and if the
book is in acceptable condition, the patron will be required to pay only the accumulated
overdue fines.
RULES ON RETURNING & RENEWING
How to Return Book/s:
1. Bring the book/s to the Circulation Desk Counter.
2. Give the book/s to the librarian/staff.
3. Librarian/staff checks in the books.
4. Overdue? If yes, student pays overdue fees, if not, librarian/staff updates his/her records.
5. Transaction receipt is issued.
6. Librarian clears overdue account.
7. Student signs on the transaction receipt, after signing
8. Librarian keeps the transaction receipt for file.
NOTE: All the borrowed materials must be returned at the Circulation desk counter on or before
the due date, to avoid overdue fines.
How to Renew:

Bring the book to the circulation desk counter to have it renewed once or twice if it is not
in demand.

Renewal over the telephone is not accepted.
BOOKS ARE ARRANGED
Left to right on each shelf, top shelf to bottom shelf.
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V
OPERATIONS PROCESS
A. ACQUISTION PROCESS
FLOWCHART
13
14
NARRATIVE FOR THE ACQUISITION PROCESS
The acquisition process begins when a teacher or student fills out a request form to request
and recommend a specific book. The request form will be collected by the circulation officer or
librarian and forwarded to the library director for approval. The library director will assess if the
budget allocated for the year's fund is sufficient to cover the request. If the budget is not enough,
the request to purchase the book is postponed for the next acquisition. On the other hand, if the
budget is ample, the approved request is forwarded to the acquisition section. The acquisition
section will canvass for the book and make the actual purchase. Once the book order is finalized,
the acquisition section will transmit the order slip to the supplying company or publisher.
When the books are delivered, an invoice for the book order is produced by the supplying
company or publisher and the acquisition will assume the custody of delivered books and prepare
a record for purchase order received. They will inspect if the invoice matches the books received.
If they do not match, the acquisition will inform and make a follow-up to the supplying company
or publisher. If they do, the books will undergo the stamping process and the invoice and purchase
forms are forwarded to the library director for the approval and confirmation of order. The library
director will produce a request for payment and transmit it to the finance office. The finance office
will manage the payment of the books ordered.
The books together with the book list will be forwarded to the technical section for the
labeling of barcodes and call number. They will also update the system, OPAC (Online Public
Access Catalog), with their new acquisition. The books will then be ready for the library display
of new acquisition. After the display, the books are segregated and distributed by the technical
section according to the requesting department and library units. Books for general collection,
American corner, Filipiniana collection are brought up to circulation section for shelving.
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B. DONATION PROCESS
FLOWCHART
16
17
NARRATIVE FOR THE DONATION PROCESS
The process begins with the donor sending information to donate to any authorized
personnel from the university. The information received is forwarded to the library director for
confirmation, and the director will then authorize the acquisition section to receive the donations.
After receiving the donation, the acquisition section will issue the notice of donation. They will
likewise determine whether the notice of donation agrees with delivered collections. If the notice
and the delivery do not match, the acquisition section will have to inform the donor. If the delivered
collections agree with the notice, the books are stamped. The stamped books and necessary forms
are sent to technical section.
The technical section will be responsible for labeling donated books with barcodes and call
numbers then consequently update the system for the new books and store it in the library database,
OPAC (Online Public Access Catalog). The books are ready to be forwarded to the circulation.
The circulation will segregate and distribute the books to their appropriate book sections and from
there the books are shelved.
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C. BORROWING/RETURNING PROCESS
FLOWCHART (BORROWING)
19
FLOWCHART (RETURNING)
20
NARRATIVE FOR THE BORROWING/RETURNING PROCESS
The process begins with the circulation support staff determining the borrower’s account.
The circulation support staff will identify from the system if the borrower already has an account
in the library. If the borrower does not have a registered account or has to renew it, they will be
required to sign up the registration slip or the form for updating, which are then programmed and
updated into the system. If the borrower is already registered, the staff will receive the book/s to
be borrowed and scan each one for check out. Thereafter, the due date slip is produced and signed
by receiving staff, as well as the borrower’s slip for record-keeping. As the book’s barcode is
scanned, it will automatically make changes in the system and lead to updating of the database.
After or within the maximum time allowance given to borrowers, they are expected to
return the books. The books returned on time will be received by the circulation and scanned back
into the system. Thereafter, the borrower’s account will be cleared and the circulation staff will
shelve the books. If the books are not returned on time, the circulation staff will want to know if
they were lost, in case they were, the borrower will have to pay for the overdue fines. If the
unreturned book is lost the borrower will also have to replace it. Once replaced, they will be issued
a replacement slip containing the replaced book’s title, author, and copyright information. Said
replacement slip will be forwarded to the technical section. Only then will the technical delete
records of the lost book (in the duration of it missing, it is labelled as such in the records) and
update the system with the replacement. The replaced book is programmed into the library
database, OPAC (Online Public Access Catalog). Technical section will label the replacement with
barcodes and call number and afterwards will return it to the circulation section for shelving.
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LIBRARY DOCUMENTS
ADZU MAIN LIBRARY REQUEST
SLIP
This slip is used when a student or a teacher
requests or recommends a specific book that
is needed in their class discussion. The slip
must be filled out with specific information
e.g. title of the book, author, edition,
publisher, publisher date and etc. The slip
can be found in the library at the circulation
section.
REGISTRATION CARD
This is a registration form for student’s
account in the library. It can be used for
updating student’s account if the student has
already an account in the library or if none,
in creating a new one. The account contains
student’s information and shows student’s
library record. The registration form can be
found in the library at the circulation
section.
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USER/BOOK INFORMATION SLIP
This is the slip used for replacement of the
book. It must be filled out with student’s
information as well as the lost book’s
information. The slip can be found in the library
at the circulation section.
DUE DATE SLIP
The slip contains information of when the
borrowed book should be returned. It is filled
out by the librarian. The slip can be found at the
back cover page of the book.
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These are two samples of library
records of borrowed books. These
two are library receipts which show
users’ borrowing records.
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VI
AUDIT PROGRAM
PROCESS FLOW FOR MANAGEMENT OF AN AUDIT PROGRAM
ESTABLISHING THE AUDIT PROGRAM
OBJECTIVES
ESTABLISH THE AUDIT PROGRAM
Initiating the Audit
IMPLEMENTING THE AUDIT PROGRAM
Preparing the Audit
Activities
Conducting the Audit
Activities
MONITORING THE AUDIT PROGRAM
REVIEWING AND IMPROVING THE AUDIT
PROGRAM
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ESTABLISHING THE AUDIT PROGRAM OBJECTIVES
AUDIT OBJECTIVES
ASSERTIONS
1. To be able to confirm whether the roles and
responsibilities of each library personnel and section is
performed according to the library rules/guidelines.

Compliance
2. To be able to determine if the books acquired by purchase
and donation are shelved and forwarded to their
respective requesting departments.


Completeness
Occurrence
3. To be able to determine how the borrowing process is
carried out and whether there is a need to improve it.

Completeness
4. To be able to reconcile the number of books actually on
hand/shelved with the books listed in the system.


Accuracy
Existence
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ESTABLISH THE AUDIT PROGRAM
AUDIT PROCEDURES
DONE BY
DATE DONE
1. The audit team received a letter which contains
the request of auditing the library’s operation.
The letter was made and signed by the
Accounting 214 Instructor, Mrs. Melanie
Manuel.
Mrs. Melanie A. Manuel
November 26,
2018
2. The audit team convene to discuss with each
other the activities to be accomplished by the
group in auditing the operations of the library.
The team established and have agreed to the
objectives and the scopes of the audit operation.
Questions to ask for the interview were also
created.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
November 26,
2018
3. Meeting with the library director, Mrs. Lynie M.
Calingacion, to give the letter. Upon approval of
the letter, the library director was informed about
the objectives and the scopes of the audit
operation. The scopes are the acquisition of
books by purchase and donation, and the
borrowing of books. The team also interviewed
the director about the acquisition of books by
purchase. Also, the library director approved the
request of the team to interview other library
personnel.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
November 28,
2018
4. Before the team continues the interview with
other library personnel, they first conducted
observations as to the process in the library
particularly the scopes of the audit operations.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
November 29,
2018
5. Data such as the Library History, Organizational
Chart, Rules and Regulations of the Library, and
the Library Operations Process were gathered by
the team.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
November 29,
2018
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6. Interview with Mrs. Agnes S. Lim, American
Corner/Filipiniana Librarian, was done for the
donation process.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
December 10,
2018
7. An interview was conducted with Mrs. Victoria
D. Sabac, Support Staff in the Circulation and
Reserve Section, for the borrowing process.
Documents such as Due Date Slip, User/Book
Information Slip, Borrower’s Slip, Request Slip
and Library Registration Card were obtained by
the group.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
December 13,
2018
8. Second interview was done with Mrs. Agnes S.
Lim, American Corner/Filipiniana Librarian, and
Mrs. Victoria D. Sabac, Support Staff in the
Circulation and Reserve Section, for other
inquiries related to the donation and borrowing
process. The group also inquired about the
library inventory and the library system.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
January 9,
2019
9. The team conducted an inventory of books
through random sampling. To validate if the
records in the library system match with the
inventory done by the team through manual
counting, the team used the Online Public Access
Catalog (OPAC), a database connected to the
library system.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
January 11,
2019
10. The audit team discussed with each other the data
gathered from the audit operation to identify the
discrepancies in the library operations. The team
established recommendations for the identified
problems.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
January 14,
2019
11. The narratives for the Acquisition by Purchase,
Acquisition by Donation, and Borrowings, were
presented to the library director. The team also
asked for confirmation as to the data gathered as
well some questions were asked for clarification.
April Lorraine Cabrera
Ronie Giap
Golden Merry Quitoy
Katleen Mae Tampos
Kristine Joy Zacarias
January 18,
2019
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IMPLEMENTING THE AUDIT PROGRAM
INITIATING THE AUDIT
A letter was given to the audit team that contains the request for auditing the library’s
operation written by Ms. Melanie Manuel, Accounting214 Instructor. The audit team had a
meeting with the library director to give the letter and inform that the audit team will be auditing
the library operations. Furthermore, this is also to ensure that the audit team will be able to schedule
an interview with the library director to get an overall view on the library operations and to get the
approval on conducting interviews in order to gather relevant information from different library
staff and personnel who are working directly in the acquisition, donation and borrowing of library
books and other materials.
PREPARING FOR THE AUDIT
As a head start, our audit team defined our audit objectives and audit scope, including
identifying the flow of our auditing program. We also discussed the activities to be conducted in
the auditing which includes the meeting with the library director and the follow-up interviews with
the library staff and personnel. In line with this, our audit team formulated questions to be asked
during the interview. The questions are divided into three sections; for acquisition, donation, and
borrowing.
Our audit team decided to incorporate a random sampling method to validate if the physical
count of the books corresponds with what is shown in the system called Online Public Access
Catalog (OPAC) and collect documents such as request slip, registration card and other forms
necessary for their operations.
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CONDUCTING AUDIT ACTIVITIES (FLOW OF PROCESS)
SOURCE OF
INFORMATION
Library director,
library staff and
personnel
Inventory count and
system information
COLLECTION BY
MEANS OF
APPROPRIATE
SAMPLING
Interview and Random
Sampling per section.
(General Circulation,
American Corner,
Filipiniana,
References)
REVIEWING
AUDIT FINDINGS
The major
contributor of the
discrepancy seen
between the physical
count and the system
records (OPAC) is
the borrowing and
returning of books
There is a detected
discrepancy with the
physical count and
the system records.
(OPAC)
Refer to the given
Table 1
AUDIT
CONCLUSION
The borrowing
process should find
an alternative way to
assure the books will
be returned on time.
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AUDIT
EVIDENCE
Comparison between
the randomly
selected materials
with its physical
count and the system
records. (OPAC)
EVALUATING
AGAINST AUDIT
CRITERIA
There are differences
are some differences
between the audit
criteria and the actual
processes.
TABLE 1: AUDIT FINDINGS (INVENTORY THROUGH RANDOM SAMPLING)
SECTION
BOOK TITLE AND
AUTHOR
MANUAL
(SHELF)
SYSTEM
RECORD (OPAC)
General
Circulation
Intermediate Accounting
by Weygandt and Kieso
( CO – CA HF 5635 .K53 )
3
3
American Corner
The Best American
Travel and Writing
by Theroux Paul and Jason
Wilson
( CO – PS T7 B47 2001c.4 )
5
6
Filipiniana
Teaching Approaches
and Strategies
by Gloria B. Salandanan
( CO – FI LB 1025.3 S24 )
9
5
References
Encyclopedia of Modern
Asia
( CO- R DS 4/ E62 2002 )
6 volumes
6 volumes
31
SUPPORTING DOCUMENTS
GENERAL COLLECTION
PHYSICAL COUNT
SYSTEM RECORD
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AMERICAN CORNER
PHYSICAL COUNT
SYSTEM RECORD
PHYSICAL COUNT
SYSTEM RECORD
33
FILIPINIANA SECTION
PHYSICAL COUNT
SYSTEM RECORD
34
REFERENCE SECTION
PHYSICAL COUNT
SYSTEM RECORD
35
NARRATIVE FOR CONDUCTING ACTIVITIES
Our audit team gathered information from the library director, library staff and personnel
in regards to the different processes involve in the acquisition by purchases, acquisition by
donations and borrowing operations. In order to collect the information, the audit team conducted
several interviews with the library director and with some library staff and personnel directly
involved in the following operations mentioned. The team also conducted an inventory through
random sampling method in assessing whether the number of books in the shelf corresponds to the
number of books recorded in the system Online Public Access Catalog (OPAC). A photograph of
the books and the record in the system is shown labeled as supporting documents. These
photographs are our audit evidence that provides the mismatches of the physical count and the
system (OPAC).
Base on the evidence, it only shows that the audit criteria are not thoroughly followed.
There is a problem with the actual processes in the operation which needs to be addressed and
improved. The audit team provided a table to show the audit findings. These findings are the result
of our random sampling method. Refer to table 1 – Audit Findings. These prove that there is a
discrepancy between the physical count and the system (OPAC).
The audit team believes that the major contributor of these discrepancies is in line with the
borrowing process. Reviewing the operation, we have realized that due to the lack of reminders to
the students of their borrowed book’s due date, they tend to forget to return it on time and
sometimes misplace the book. Hence, the records in the system is not updated immediately
especially when the book is missing. Therefore, the library should find an alternative way to assure
that the books are returned on time and to ensure that the lost books will be reported immediately
to the librarian.
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VII
AUDIT REPORT, FINDINGS AND RECOMMENDATION
STANDARD/CRITERIA
ACTUAL PROCESS
 Main operations of the library:
a. borrowing
b. Acquisition by purchase
c. Acquisition by donation
 The shelves are to be orderly arranged and are labeled
according to their genre/subject, alphabetical order
and vol./ed.
 Inventory:
a. Conducted once a year
b. Conducted by a number of library staff
c. Conducted separately by each library section
d. Facilitated by the required cataloging materials and
other equipments such as tables, carts and extra
shelves
 OPAC/library system:
a. functional
b. easily accessible to users
c. updated as changes occur
 The list of books in the OPAC should agree with the
number of books in the inventory.
 Borrowers are encouraged to return books on time
 Each operation is monitored and facilitated by
authorized library staff/personnel
a. Borrowing—Circulation section
b. Acquisition by purchase- Acquisition and
technical section
c. Acquisition by donation- Acquisition and
technical section
 The shelves are arranged accordingly. There are call
numbers posted at both sides per shelf.
 Inventory:
a. Conducted once a year (March-indefinitely)
b. Conducted by three library personnel at most per
section
c. Facilitated by required cataloging materials, carts,
tables and extra shelves
 OPAC automatically records movements in the
borrowing through scanning
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AUDIT FINDINGS
RECOMMENDATION
 Everytime there are changes in the number of books
in the physical records, the technical system is
informed to update system.
 The borrowing protocol/guidelines are posted outside
the library on the bulletin board as a reminder for
users. The names of borrowers with books due for
returning are posted at the circulation section.
 Borrowing operations cannot be completely
controlled by the library.
 The call number posted per shelf is not enough to
assist users to locate the books. The books are
misshelved and not easily located because of the lack
of labeling in the division of the shelves.
 Occurence of human error in labeling:
a. Some books have different call number from the
records
b. Some books have incorrect barcodes
 Number of missing books that are not
monitored/traced have accumulated because the
inventory counting is done only once a year.
 .There are books listed in the system/OPAC that are
not in the shelves and vice versa.
 The library system/OPAC is difficult to navigate and
tend to stop working and not show accurate records.
 The unequal records of physical inventory and the
ones listed in the library system are attributed to
human error and borrowing process—considering that
it cannot completely guarantee the return of books.
 Posting the borrowers’ names at the circulation desk
is not enough to encourage the returning of books.
 The inventory is to be done after every after semester
to avoid cumulative loss/misplacement of books. This
would immediately point out the books the library has
to supply, weed out, correct (in labeling).
 The OPAC/library system is to be upgraded so as to
easily detect and respond to changes in the records.
 The borrowers are to be reminded of their deadline
for returning the books by sending out email
reminders through their AdZU portals.
 At the end of each week, a list of the names of
borrowers who have past due obligations are posted
on the library bulletin board and circulation desk.
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Standard/Criteria:
Being the sector that manages the circulation of books and other references needed by the
university, it is important that the library is able to secure, as much as possible, every reading
material that is under their regulation. Even if there is no detected inconsistency with their
budgeting as they maximize their allocated funds to all the book requests made by departments
and other library units, the risk in their operation lies mainly on the management of book
inventories.
For the list of books in the system agree with the books in the physical count, there should
be a constant and definite way of cataloging and monitoring the movements in the acquisition and
borrowing, which basically requires a well-organized inventory counting. First of all, it is ideal for
every shelf to be properly and consistently labeled for efficient sorting, be it for the borrower’s use
or conducting the inventory count. Before going through the inventory process, the library must
first be equipped with necessary devices such as library book carts, extra shelves or tables and
other cataloging materials that would assist them to accurately count their collections per shelf and
per section or per category. The other important thing that the library must consider is the number
of staff members to assist in the inventory counting—having more capable hands doing the
inventory would be more convenient than solely depending on a few library staff to deliver an
estimate of the counting.
The library system should be able to properly update the records as changes occur in the
collections. The technical system itself should also be improved in order to make necessary
adjustments as frequently and conveniently as possible. This would be highly beneficial to the
inventory and circulation staff in cases of book theft, loss, replacements, human error, weeding
out and account-renewal. That being said, the physical inventory should be maintained in the same
way. Inventory counting is to be done once a year. Having miscounted records would again create
inconsistency with the system resulting to disparity in the documentation.
For borrowing, the library should encourage borrowers to return books on time. This would
be helpful in their inventory and for future reference. Because the books are contained in the
library, the books would be made available to awaiting users as well. In connection to this, the
supporting documents prepared for every borrowing, such as the borrower’s slip, reservation and
39
request card, must be complete and properly filled out to identify each borrower, the information
of books that were lent to them and the due date for returning. Assessment of such borrowing must
be regulated by the circulation staff and any disparity in the records after inventory must be raised
to the higher supervisory officers and the director for them to implement new measures in securing
the books and other reading materials that are in the possession of the library.
Actual Process:
The Fr. Jose T. Bacatan, SJ, Library operating under the direction of Mrs. Lynie M.
Calingacion, has four major sections: Technical, Acquisition, Reference and Circulation. Each of
them serves different purpose in the general operation but are all concerned with the distribution
and custody of books and other reading materials, be it donated or acquired. The signatories and
authorized personnel are the ones approving, confirming requests and making acknowledgments
for any form of donation.
To ensure that the number of books and other resources are consistent with the records,
each section of the library conducts independent inventory over the collections they are responsible
for. The inventory is conducted by the support staff in-charge, which are three (3) persons at most,
for every section. The library performs book inventory once a year only. They utilize vacant
shelves, tables and carts to assist them in carefully counting the books.
Once conducted, the inventory record is sent as a feedback to the circulation section,
reference and acquisition—according to their designated section heads. This information is
forwarded to the technical section for the updating of the system and thereafter sent to the director
for confirmation and noting. Any form of authorization must always come from the director.
The library observes a unified computer system, which allows every section to have access
to the general records. However, only the technical section can be authorized to rectify, input or
change any data as deemed necessary. The computers provided for reference and circulation
section are used by students, teachers, and other library-goers to search for the call number of their
desired books. Once found, any of the circulation support staff processes the borrowing and makes
the borrower sign slips. The borrowers return the books to circulation after how many days; some
return the books past the due date and others who are able to make it on time are immediately
assisted by the circulation personnel in clearing their records. After the due date, the system
40
automatically forwards the borrower’s account to the finance office, hence the ones who are
charged with overdue fines go to finance for payment. For book replacements, they are facilitated
by the circulation section.
Audit Findings:
The audit team gathered that despite the conformity of the list of acquisition to the records
of distribution, there can still be some inconsistency in the circulation of books. Taking into
account the standards/criteria of the library, which the audit team used as basis, the findings
presented in the audit evidence in the previous pages shows that there is a disparity in between
records.
The system preserved and regulated by the technical section does not always match the
number of books actually shelved. The information from the system appeals to be either
understated or overstated because the physical counting conducted by the audit team suggests
irregular number of books. Based on our observation, some books are not registered in the system,
and the available ones could not be easily located in their designated shelves. Although there is a
sample of the call number provided in every shelf, the labeling is sometimes not accurate as well
as the ordering. We also observed that some books in the general collection are not arranged
according to their classification, probably due to mishelving and failure of users in putting them
back where they were retrieved.
The system itself is outdated. It is difficult to navigate and does not have an arranged
sequencing of searches. The way some of the physical books being actually shelved but labeled as
“Out” could indicate that the information may have been neglected, not thoroughly updated or
takes long to be updated. Due to human error, some books are failed to be labeled accurately and
the barcodes are sometimes mistakenly put on the wrong books. Thus, our audit team gathered that
human error and borrowing operations mainly contribute to the disparity of the records.
We have learned from our interview that despite the existing controls, the borrowing of
books could hardly be monitored. Security could not always detect if somebody sneaked out a
book. In a similar way, the system of fines would not exactly encourage borrowers to return the
book as early as expected.
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Recommendation
After conducting the entire audit, we recommend the library to develop a way of ensuring
that the physical book collections agree with the records. We have considered the likelihood of
this being contributed to the fact that a lot of borrowers lose track of their time allowance for
borrowing and their tendency to misplace the borrowed books, which led us to our
recommendation of conducting the inventory every after one (1) semester. This is so to avoid
cumulative miscounting and to refrain from exhausting their resources to search for missing books.
If the books have been gone for a long time it is unlikely for them to be immediately recovered.
For the same reason, there is a dire need for the system to be updated, which is something
they are trying to achieve at present. We recommend that they develop a system that is highly
functional and could cater to their operations in the best possible way. The upgraded system must
be easily accessible and show accurate records; this is also to help the inventory counting in terms
of matching both records. Having a new unified library system would be able to give users the list
of what is actually available and not currently on hand.
We also recommend the circulation section to send out reminders to borrowers by emailing
them through their ADZU portals one to two days prior to their dues. Borrowers tend to
unintentionally go past their deadlines for returning because they forget the date they borrowed
the books or that they even borrowed something. After giving out reminders, the names of the
remaining borrowers are to be posted weekly on the bulletin board and circulation area for them
to get notified. It is important that the borrowers are able to return their books on time to give way
for other users to utilize the books. Through ensuring a complete number of books in the record
and in the actual collections, as per achieving their objective as a university department, the library
will be able to respond to the need of users and fulfill their duties in providing access to complete
and quality references.
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FLOWCHART
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