Library Materials Budget Allocation

by

Lois SchultzFebruary 23, 2005

“A balanced collection proportionally reflects all the programs, instruction and research conducted in an institution.” David Genaway

Source: Library Acquisitions: Practice & Theory, Vol. 10, pp. 287-

292, 1986.

Balance collection is achieved through some plan, often a

formula.

“The best formula is one that quantifies need with the minimum number of variables, since each variable adds time and expense of data collection as well as the number of calculations that must be made to implement the formula.” David Schappert

Source: Tuten, Jane H. and Beverly Jones, Allocation Formulas in Academic Libraries, American Library Association, 1995.

History of NKU’s formulas

Formula in 1980’s

• X = .2A + .3B +.3C +.1D + .1E• Where

X = Departmental allocation

A = Departmental library use (circulation statistics): % total library use

B = Cost of books published by subject: % total cost of all books published

C = Cost of serials published by subject: % total cost of all serials published

D = Number of majors in department: % total majors

E = Credit hour production by discipline: % total credit hours

Formula in 1990’s

• Based on previous year’s allocation and credit hour generation by department

Library Materials Budget Advisory Committee formed in

the fall of 2001

Library Materials Budget Formula Subcommittee

Fred Beasley

Tom Heard

Don Kelm

Lois Schultz

Departmental Variables• Number of credit hours

– Graduate– Upper Division– Lower Division

• Number of courses– Graduate– Upper Division– Lower Division

• Number of majors• Number of graduates• Number of faculty

Publications Variables

• Cost of materials– Serials– Books

• Number of items published

Library Use

• Circulation of items in the collection

• Interlibrary loan requests

• Library research orientation of the field

• Faculty publications

Other Variables

• New Programs

• New faculty

• Programs of distinction

• Accreditation

• Historical allocation

• Historical collection development

X = A + 2B + 3C + D +2E

9

Where X = Departmental allocation

A = Lower division courses

B = Upper division courses

C = Credit hours

D = Cost of books

E = Cost of periodicals

No department could lose or gain more than 10%.

Recommended Formula

Revised Formula

X = A + 2B + 3C + D +2E

9

Where X = Departmental allocation

A = Lower division courses

B = Upper division courses

C = Credit hours

D = Cost of books

E = Cost of serialsNo department could lose or gain more than 5%.

Library Materials Budget Formula Subcommittee 2002/2003

Clinton Hewan

Yasue Kawahara

Kathy Schroerlucke

Lois Schultz

Charge

To fine tune the formula for allocating the departmental funds to include the graduate programs.

Recommended Formula

X = A + 2B +3C + 3D + E +2F

12

X = Departmental allocation

A = Percentage of university’s lower division courses generated by the department

B = Percentage of the university’s upper division courses generated by the department

C = Percentage of graduate courses generated by the department

D = Percentage of the university’s student credit hours generated by the department

E = Percentage of the average cost of books published in all subject areas by the average cost of books published in the department’s subject area

F = Percentage of the average cost of periodicals published in all subject area by the average cost of periodicals published in the department’s subject area

Revised Formula

X = A + 2B +2.5C + 3D + E +2F

11.5

X = Departmental allocation

A = Percentage of university’s lower division courses generated by the department

B = Percentage of the university’s upper division courses generated by the department

C = Percentage of graduate courses generated by the department

D = Percentage of the university’s student credit hours generated by the department

E = Percentage of the average cost of books published in all subject areas by the average cost of books published in the department’s subject area

F = Percentage of the average cost of periodicals published in all subject area by the average cost of periodicals published in the department’s subject area

Used in 2003/3004 and 2004/2005 with exceptions for

departments with most dollars in recurring cost items.

In 2003/2004departments with over 80% of their 2002/2003 allocation in recurring cost items received

$500.

In 2004/2005departments with over 95% of their 2003/2004 allocation in

recurring cost items received no dollars for one time purchases.

In 2004/2005 departments with recurring cost items being between 90-95%

received $500.

Journal Increase Cost Example

0

500

1000

1500

2000

2500

3000

1 2 3 4 5 6 7 8 9 10 11

Years

Do

llars

$100 Journal at 10%A $100 Journal at 15%

$1,000 Journal at 10%

Why the High Rate of Increase for Periodicals

• Technology investments• Increases in paper cost• Increase in postage• Page & volume increases• Strength of dollar• Electronic journals

– Bundle paper and electronic– Unbundle paper and electronic

• Cancellations cause publishers to raise prices– Consortial sales– Document delivery– Pay per view– Price

• Mergers and buyouts cause increases in conversion and realignment• General inflation

What for 2005/2006?

• Work on a plan for containing recurring cost.

• Move excluded departments back into the formula

Containing Cost

The Collection Management Committee of the Library is working on ways to contain

recurring cost.

Plans

• Accreditation requirements

• Usage study

• Provide access to content instead of container– Interlibrary loan– Document delivery– Purchase article from the publisher

Is it better to purchase content article by article instead of subscribing to the journal?

Ingenta articles average less than $30, but assume articles

are $50.Ten articles = $500.

Recurring High Cost Items

0

5

10

15

20

Art Biology Literature Management Physics Sociology,Anthrpology

& Philosophy

Department

Numb

er

$500-$999

Over $1,000

All departments back in the formula

To include all departments in the formula with no department

receiving less than last year. $151,000 is needed for the

departmental allocations. Cost is $41,000 more than last year.

12345678910111213141516171819202122232425

A B C D E F G H I J K L M N O P RLower Division A Upper Division 2B Graduate 2.5D Credit Hours 3D Ave. Book E Ave. Cost 2F Formula Allocation

DepartmentCourses (100-200)% of Low. Div.Courses (300-500)% of Upper Div.Courses% of GraduateSum.,Fall,Spring%of Credit HoursCost 2000 % Whole Periodicals% of WholeX=(A+2B+2.5C+3D+E+2F)/11.5$151,000 DepartmentAccountancy5 1.0% 16 3.9% 6 7% 6466 6.6% $58.93 4.2% $196.04 4.4% 2.3% $3,525.08 AccountancyArt 22 4.4% 43 10.6% 6 7% 9802 10.0% $58.19 4.2% $68.77 1.5% 3.3% $4,912.38 ArtBiological Sciences28 5.6% 21 5.2% 3 3% 14981 15.2% $80.54 5.8% $632.61 14.1% 4.3% $6,470.70 Biological SciencesChemistry 6 1.2% 14 3.4% 1 1% 6724 6.8% $147.20 10.6% $1,765.20 39.4% 5.4% $8,211.46 ChemistryCommunications19 3.8% 49 12.1% 1 1% 20953 21.3% $55.89 4.0% $149.77 3.3% 4.0% $5,996.06 CommunicationsEconomics & Finance4 0.8% 26 6.4% 9 10% 9479 9.6% $58.93 4.2% $196.04 4.4% 3.1% $4,666.11 Economics & Finance Education EMS (ELE)1 0.2% 39 9.6% 11 12% 11975 12.2% $42.30 3.0% $175.10 3.9% 3.6% $5,417.26 Education EMS (ELE)Education Specialities (EDU)26 5.2% 48 11.8% 47 53% 12210 12.4% $42.30 3.0% $175.10 3.9% 7.7% $11,698.15 Education Specialities (EDU)History & Geography12 2.4% 64 15.8% 2 2% 23368 23.8% $64.91 4.7% $85.09 1.9% 4.4% $6,661.88 History & GeographyInformation Systems3 0.6% 9 2.2% 16 18% 6105 6.2% $58.93 4.2% $196.04 4.4% 3.1% $4,669.77 Information SystemsLiterature & Language49 9.8% 76 18.7% 8 9% 35745 36.4% $35.83 2.6% $76.16 1.7% 6.8% $10,261.67 Literature & LanguageManagement & Marketing5 1.0% 44 10.8% 23 26% 13429 13.7% $58.93 4.2% $196.04 4.4% 5.2% $7,862.97 Management & MarketingMathematics30 6.0% 40 9.9% 14 16% 24443 24.9% $66.47 4.8% $704.12 15.7% 6.7% $10,097.68 MathematicsMusic 75 15.1% 48 11.8% 3 3% 5488 5.6% $58.19 4.2% $68.77 1.5% 3.6% $5,453.76 MusicNursing 43 8.6% 26 6.4% 28 31% 9960 10.1% $72.04 5.2% $895.72 20.0% 7.1% $10,727.81 NursingPhysics 16 3.2% 24 5.9% 3 3% 6755 6.9% $88.94 6.4% $1,765.20 39.4% 5.7% $8,548.40 PhysicsPolitical Science & International Studies18 3.6% 45 11.1% 25 28% 18562 18.9% $50.83 3.6% $176.12 3.9% 6.0% $9,083.37 Political SciencePsychology 9 1.8% 21 5.2% 1 1% 16447 16.7% $44.85 3.2% $454.84 10.1% 3.3% $5,014.44 PsychologySocial Sciences33 6.6% 50 12.3% 0 0% 24296 24.7% $50.87 3.6% $261.86 5.8% 4.6% $6,977.74 Social SciencesSocial Work12 2.4% 29 7.1% 0 0% 5807 5.9% $55.89 4.0% 261.86$ 5.8% 2.2% $3,322.96 Social WorkTechnology 33 6.6% 70 17.2% 20 22% 9705 9.9% $88.12 6.3% 509.73$ 11.4% 6.4% $9,696.62 TechnologyTheatre 53 10.6% 16 3.9% 2 2% 7093 7.2% $58.19 4.2% 68.77$ 1.5% 2.6% $3,905.94 TheaterWomen Studies1 0.2% 10 2.5% 0 0% 1629 1.7% $55.89 4.0% 85.09$ 1.9% 0.9% $1,342.85 Women Studies

A Compromise

• Apply formula at 50% for departments with high recurring cost items

• Total costs would be $128,500

• Cost is $18,500 more than last year.

123456789

10111213141516171819202122232425262728293031323334

A B C D E F G H I J K L M N O P R S T ULower Division A Upper Division 2B Graduate2.5DCredit Hours 3D Ave. Book E Ave. Cost 2F Formula Allocation

DepartmentCourses (100-200)% of Low. Div.Courses (300-500)% of Upper Div.Courses% of GraduateSum.,Fall,Spring%of Credit HoursCost 2000 % Whole Periodicals% of WholeX=(A+2B+2.5C+3D+E+2F)/11.5$109,000 Department 110,000.00$ Art 22 4.9% 43 13.1% 6 9% 9802 12.6% $58.19 5.6% $68.77 2.2% 4.1% $4,460.68 Art 4,501.60$ Biological Sciences28 6.3% 21 6.4% 3 4% 14981 19.2% $80.54 7.8% $632.61 20.7% 5.6% $6,125.82 Biological Sciences 6,182.02$ Communications19 4.2% 49 14.9% 1 1% 20953 26.9% $55.89 5.4% $149.77 4.9% 5.0% $5,470.17 Communications 5,520.36$ Economics & Finance4 0.9% 26 7.9% 9 13% 9479 12.2% $58.93 5.7% $196.04 6.4% 4.0% $4,363.87 Economics & Finance 4,403.90$ Education EMS (ELE)1 0.2% 39 11.8% 11 16% 11975 15.4% $42.30 4.1% $175.10 5.7% 4.6% $5,034.62 Education EMS (ELE) 5,080.81$ Education Specialities (EDU)26 5.8% 48 14.6% 47 68% 12210 15.7% $42.30 4.1% $175.10 5.7% 9.9% $10,781.87 Education Specialities (EDU) 10,880.79$ History & Geography12 2.7% 64 19.4% 2 3% 23368 30.0% $64.91 6.3% $85.09 2.8% 5.6% $6,065.94 History & Geography 6,121.59$ Information Systems3 0.7% 9 2.7% 16 23% 6105 7.8% $58.93 5.7% $196.04 6.4% 4.0% $4,402.46 Information Systems 4,442.85$ Literature & Language49 10.9% 76 23.1% 8 12% 35745 45.8% $35.83 3.5% $76.16 2.5% 8.5% $9,226.23 Literature & Language 9,310.88$ Mathematics 30 6.7% 40 12.1% 14 20% 24443 31.3% $66.47 6.4% $704.12 23.0% 8.7% $9,464.25 Mathematics 9,551.08$ Music 75 16.7% 48 14.6% 3 4% 5488 7.0% $58.19 5.6% $68.77 2.2% 4.4% $4,790.66 Music 4,834.61$ Nursing 43 9.6% 26 7.9% 28 40% 9960 12.8% $72.04 7.0% $895.72 29.3% 9.3% $10,139.12 Nursing 10,232.14$ Physics 16 3.6% 24 7.3% 3 4% 6755 8.7% $88.94 8.6% $1,765.20 57.7% 7.8% $8,547.04 Physics 8,625.45$ Social Sciences33 7.4% 50 15.2% 0 0% 24296 31.2% $50.87 4.9% $261.86 8.6% 5.8% $6,366.05 Social Sciences 6,424.45$ Technology 33 7.4% 70 21.2% 20 29% 9705 12.4% $88.12 8.5% 509.73$ 16.7% 8.3% $9,016.76 Technology 9,099.48$ Theatre 53 11.8% 16 4.9% 2 3% 7093 9.1% $58.19 5.6% 68.77$ 2.2% 3.2% $3,462.79 Theater 3,494.56$ Women Studies1 0.2% 10 3.0% 0 0% 1629 2.1% $55.89 5.4% 85.09$ 2.8% 1.2% $1,281.67 Women Studies 1,293.43$ Total 448 100% 659 200% 173 250% 233987 300% $1,036.53 100.0% $6,113.94 200% 100.0% $109,000.00 Total 110,000.00$ Average 45.07$ 265.82$ Average

18,500.00$ Accountancy 5 1.1% 16 4.9% 6 9% 6466 8.3% $58.93 5.7% $196.04 6.4% 3.0% Accountancy 1,763$ 1.5%Chemistry 6 1.3% 14 4.2% 1 1% 6724 8.6% $147.20 14.2% $1,765.20 57.7% 7.6% Chemistry 4,106$ 3.8%Management & Marketing5 1.1% 44 13.4% 23 33% 13429 17.2% $58.93 5.7% $196.04 6.4% 6.7% Management & Marketing 3,932$ 3.3%Political Science & International Studies18 4.0% 45 13.7% 25 36% 18562 23.8% $50.83 4.9% $176.12 5.8% 7.7% Political Science 4,542$ 3.8%Psychology 9 2.0% 21 6.4% 1 1% 16447 21.1% $44.85 4.3% $454.84 14.9% 4.4% Psychology 2,507$ 2.2%Social Work 12 2.7% 29 8.8% 0 0% 5807 7.4% $55.89 5.4% 261.86$ 8.6% 2.9% Social Work 1,662$ 1.4%

Questions?

Recurring cost projections 2005 2006\Departmental Allocation for 2005-2006 .xls - Sheet1!A1

• end