Percentage Based Allocation of an Academic Library Materials BudgetPresentation Transcript
PERCENTAGE BASED ALLOCATION OF AN ACADEMIC LIBARARY MATERIALS BUDGET NELINET Annual Collection Services Conference April 15, 2009 Debbi A. Smith [email_address] Collection Development and Management Librarian Adelphi University, Garden City, NY
Liberal arts and sciences undergraduate
Professional schools in business, education, nursing, psychological studies and social work
Main Garden City campus plus 3 regional centers
Carnegie Doctoral Research Institution
Bal/SGC Undergraduate Instructional Program
Doc/Prof Graduate Instructional Program
Four Masters/Three Doctoral programs
667,000 print volumes
30,000 audiovisual items
1,600 print subscriptions
30,000 unique full-text online journals
Adelphi University Libraries Mission Statement
The Adelphi University Libraries play an integral role in the instructional, research, cultural, and student life programs of the University by providing high quality library and information facilities, resources, technology, and services in consonance with the mission and vision of the University . The Libraries serve all members of the Adelphi community representing diverse cultural and ethnic backgrounds as well as a wide range of academic disciplines.
Contributing to the University’s efforts in furthering community relations, the Libraries extend many of their services to high school students and adults in neighboring communities.
The Libraries provide a comfortable, attractive, and safe environment that is conducive to study and to intellectual inquiry. Access is offered to a comprehensive variety of resources and collections that support Adelphi’s curriculum and information needs. We provide an outstanding level of user-centered services through continual assessment of programs, collections, and user satisfaction.
The Libraries support and promote information literacy by teaching members of the Adelphi community to find and evaluate information effectively and to incorporate it ethically in pursuit of their academic, professional, and personal endeavors.
Develop a well balanced collection that supports the parent University goals, priorities, programs and curricula
Collect materials at a level that supports the terminal degree offered by each department
Before I was hired in March, 2004:
No Collection Development Librarian
No budget in place
No allocations by discipline
Subject selectors had no idea what they had been spending or what they should be spending
No collection development policy
No collection assessment
No usage statistics
Purpose Of A Budget
Rational distribution of funds
Allocate limited resources fairly and objectively based on equity and need
Primary tool of collection development
Furthers current collection development goals
Prioritizes future collecting objectives
Monitor spending over the fiscal year
Transparency and accountability
Sound fiscal management
Factors to Consider
Collection needs of institution
Research needs of faculty
Easily understood and implemented
Relation to Other Collection Development Activities
Collection development policy
General collecting guidelines
Subject specific collecting levels
Collection Development and Management Committee
By department and format
Statistics: Collection usage and analysis
Acquisitions and selection of materials
All monographs are firm orders
Workflows for making selections and placing orders use templates with fund codes
Problems with Allocating By Historical Precedent
Yearly increments to a subject based on past spending
Result: Unbalanced collections
Rewards departments and selectors who are or have been more active
Allocate With a Formula
Number of faculty in a department
Number of courses
Course enrollment; number/types of students
Number of majors
Terminal degree offered
Size of current collections
Circulation of and perceived need for materials
Publishing factors – output and cost of materials
Problems with Formulas
Hard to gather data when it gets too elaborate
Hard to explain it
Can not allocate the entire budget
Arbitrary and subjective
Manipulation of formula components based on local conditions and biases
Whether to use just for monographs, journals, or allocating increases
Percentage Based Allocation
Introduced by Genaway in 1986
The percentage of a library’s budget allocated to each department corresponds to the percentage of the total university budget for that department for instruction and research
Representative of how a University as a whole funds each department
Reflects curricula and programs
Indirectly reflects variables in most formulas
University budget to each department reflects the criteria found in most formulas
Balanced collection of library materials reflecting the curricula is desirable
Positive correlation between an academic department’s budget and library intensiveness
Recommended for small to medium sized, non-research oriented academic libraries
Collection that include a variety of formats
Provides a starting point for identifying imbalances and inequities in library allocations
Not practical for non-departmental allocations
Reference, special collections, maps, databases
Does not take into account a discipline’s
Cost of materials
User intensity of library resources
Provides a basis for a documented allocation process
Professional judgment still needed
Determine which part of the Library budget is departmental by excluding
Instructional and research budget from the Treasurer’s office
Documentation The materials budget for the Adelphi University Libraries serves as a tool for collection development by translating collecting priorities into the allocation of appropriate levels of funding for each department and school. Librarians involved in the selection process can then plan and monitor their subject specific purchases for the fiscal year by tracking the spending of their specific fund allocations. The budget also has flexibility for contingencies related to economics, purchase opportunities, budget transfers, and changing curriculum and program needs. It also takes into account collection evaluations and deficiencies, publishing patterns and costs in a discipline, reliance of monographs versus serials in a discipline, user populations and intensity of use, and an overall analysis of expenditures for the previous fiscal year.
The materials budget is divided into non-departmental, general funds and departmental funds. The non-departmental segment of the budget is reserved for the purchase of:
Microform, reference, library science professional materials, lost material replacement, maps, specific University allocations, and non-departmental/general material and electronic resources.
The projected costs for non-departmental materials are then subtracted from the total amount budgeted for Library materials.
Five percent (5%) of the departmental materials budget is next set aside as a contingency fund for special purchases and potential material fund transfers, and is included in the general fund allocations.
The remaining funds are then divided among the academic departments and schools according to a Percentage Based Allocation (PBA), which mirrors the percentage of the total institutional budget devoted to each department/school. While allocations are not solely based on PBA, this formulation serves to provide a base for identifying potential imbalances and inequities in historical allocations.
Periodical subscriptions, continuations, nonprint, and monograph costs are included in each allocation.
Commitments to periodicals and continuations are determined, with the remaining funds then allocated for monographic and, if applicable, nonprint purchases.
The allocations for non- fixed subject specific materials (books and nonprint) are then placed into corresponding fund code lines to create the final budget.
While restricted account funds (such as grants, donations, and gifts from the Friends of the Library, Davis, Ornstein, and Schneider) may be considered part of a department’s overall support, they are primarily to enrich the collection and are not considered part of the materials budget allocation.
The allocations for the Manhattan, Hauppauge, and Hudson Valley center libraries are kept separate from those of Swirbul, the main Garden City campus library. This is because of the more fluid nature of the program offerings at these campuses, which does not allow a firm allocation of materials to specific departments.
The Library fiscal year is September 1 to August 31 of the following year. Monograph allocation funds must be encumbered by subject selectors according to the following schedule in order to have all material received and paid for by the end of the fiscal year:
80% on or before January 1
100% on or before March 1
Selectors should plan to end the fiscal year with 100% of their budget expended and more than 100% committed. The over commitment is because there will be outstanding orders that will not have come in and paid for by the end of the fiscal year.
On March 2, all unencumbered funds are released to fulfill any existing needs within the scope of the budget. These needs may relate to any format or means of access that are deemed necessary to fulfill collection needs, and specific subject fund availability can not be guaranteed after this date Selectors have the ability to check fund reports for their specific subject areas via Millennium. These reports show the allocations for each fund line, the amount encumbered and expended, and the free, unencumbered balance for books and nonprint materials. Expenditures and encumbrances for all subscriptions (periodicals, continuations, electronic resources, microfilm) can be run by request to Acquisitions.
Monthly summary reports
Collection Development and Management Committee sets priorities for rational use of unencumbered funds
Formats may change, but still need guidelines for allocating by discipline
Format as a surrogate for function
Meaning of an electronic resource: database, journal collections, e-books
Allocate databases and journal packages by discipline