ACRL Budget Questions
The library director/dean should prepare, justify, and administer a library budget that is appropriate to the library's objectives. The budget should meet the reasonable expectations of library users when balanced against other institutional needs. The library should utilize its financial resources efficiently and effectively. The library director/dean should have authority to apportion funds and initiate expenditures within the library budget and in accordance with institutional policy. The budget should support appropriate levels of staffing and adequate staff compensation.
1. Does the library director/dean prepare, justify, and administer the library budget in accordance with agreed upon objectives?
The Library Dean works closely with the Coordinator for Technical Services and the Acquisitions staff to ensure that all monies are spent according to standards that are set by herself, the University, and the library’s Budget Committee, which is chaired by the Acquisitions Librarian and co-chaired by the Coordinator for Technical Services. To ensure the justification of every purchase, a stringent approval process has been put in place that involves supervisors in each department of the library, as well as the Dean. Supporting documentation of the Dean’s involvement with budget matters can be found in Budget Committee minutes that are available upon request.
Supporting Documentation:
2. Are the library's annual authorized expenditures adequate to meet the ongoing, appropriate needs of the library?
The Title VI annual authorized budgets for Health Information Management (214702), Occupational Therapy (214704) and Educational Leadership, Policy, and Law (214709) are adequate to meet the ongoing needs of the library in those subject areas. The annual authorized budget for the General Fund (214700), Master’s of Accountancy (214708), College of Health Sciences Physical Therapy (214706), and Media (214710) need to be increased to keep up with inflation. Level funding since “proration” took place in 2001 has led to many cuts that include standing order titles, serials subscriptions, and needed book titles in various areas. The library conducted a thorough evaluation of electronic databases and serials subscriptions using a Database Maintenance Formula and a Serials Maintenance Formula. The database and serials evaluations led to cancellation of the most non-essential library materials. In fiscal years 2006-2008 major cuts were made in the General Account’s serial subscriptions so that funding might be made available for other vital line items in the budget (databases, high usage serial titles, contract services, equipment leasing, etc.). Although the evaluations led to cancellation of non-essential materials, the cuts still limited the growth of new resources. Overall it can be said that the library will have to continue to use the Database Maintenance Formula and the Serials Maintenance Formula as a means to limit costs and acquire the most essential materials. This is especially important due to projected 5-15% annual price increases for databases and serials coupled with level funding for General Fund budget (214700). The library is very proactive in administering the budget in an effort to increase the resources currently available to patrons, and to expand its collection for the future information needs of the University. Supporting documentation can be found in Budget Committee and Acquisitions’ records.
Supporting Documentation:
1. Database Maintenance Formula
2. Serials Maintenance Formula
3. How is the institution’s curriculum taken into account when formulating the library's budget?
The library prepares an annual Budget Proposal request near the end of every fiscal year for the following year’s needs. This Budget Proposal request is presented each year in an oral budget hearing presentation to the Alabama State University President and the Vice Presidents. The proposal takes in to account the rising cost of library materials especially serials and electronic database resources. With regard to the Budget Proposal request, the library department managers and collection subject specialists are responsible for providing their input on the material needs for each subject area as well as equipment requests. The Dean, along with the Coordinator for Technical Services, then determine what needs should be expressed in the Budget Proposal request. These needs are based on information provided by library staff in all areas, what departments might have accreditation concerns that need to be addressed, or the concerns or requests provided by the faculty of the University. Some additional funding in the amount of $27,856.00 was provided for FY2007 by the Title III program to purchase electronic database resources and MP3 players to support the accreditation for the Department of Music. Also, the library’s budget for the Educational Leadership, Policy, and Law program was increased by $11,891.00 in FY2007 and $35,541.10 in FY2008 as a direct result of the annual Budget Proposal requests. Supporting documentation can be found in the form of Budget Request records that are available upon request.
4. How are the instructional methods of the institution, especially as they relate to independent study, considered when formulating the library's budget?
The institution’s instructional methods are taken into account when formulating the University Library's budget allocations. The faculty incorporates a variety of instructional methods into the curriculum to include print, non-print, and electronic resources as a means of instruction. The library formulates budget allocations for each academic department based on the number of faculty, the number of students, and the number of majors in each department. The budget allocations are used to purchase a variety of comprehensive electronic databases to support teaching and research in each academic department. Also, adequate print and non-print resources are ordered to support independent study, research and term paper assignments in all curriculum areas.
5. What methods are used to determine the adequacy of existing collections? Is the budget adequate to maintain an appropriate rate of collection development in fields pertinent to the curriculum?
Adequacy of existing collections is determined by patrons’ opinions and circulation/usage statistics. Checks on the shelves in certain disciplines indicate many current (last ten years) materials in high proportions. An inventory project was completed in FY2005 to verify our holdings. This process continues as each librarian is responsible for reporting concerns to the Cataloging Department and their subsequent revision in Voyager. Consistent reviews have been limited by the extent of funding made available to replace outdated resources. Since proration took place in 2001 and funding levels have basically remained the same in subsequent years for the General Fund budget, it has been a major challenge to acquire adequate materials for all curriculum areas. During the last few years, priority has been given to acquiring materials to support departmental accreditation reviews, in education, business, music, social work, and physical therapy. The Serials Maintenance Formula was created to allow the library to cut print serials in an economical and efficient manner while still providing the most essential resources. Moreover, the Database Maintenance Formula was created to evaluate each electronic resource to provide patrons with the most comprehensive, authoritative, and timely resources.
6. How does the size, or anticipated size, of the student body and the classroom faculty affect the library budget?
The size of the student body is always considered when preparing an annual budget request. Furthermore, statistics from FY2001 show an FTE of 4,231, while FY2007 FTE statistics were 4,607—an approximate 9% increase. This increase, along with price increases via vendors for materials and services have necessitated an increase in budget allocations. The Collection Development Librarian works with the Office of Institutional Research to determine the FTE for all curriculum areas for which a Budget Allocation Formula is devised. The formula is used to ensure that all curriculum areas are provided with adequate print, non-print, and electronic resources based on the number of faculty, the number of students, and the number of majors in each academic field. The library has been faced with a major challenge to acquire adequate resources since proration in FY2000-2001 due to level funding for the General Fund budget. Also, the rising cost of print materials especially serials and electronic databases have also contributed to the challenge. However, through user surveys it has been made clear that for the most part patrons are satisfied. Of course, such surveys cannot take into account hypothetical materials and services that might have been available with more funding.
7. Does the budget support an appropriate level of staffing and compensation?
The University Library’s professional, paraprofessional, and technical staff are highly qualified to provide services to faculty, students, staff, administrators, and the ASU community. However, there is an urgent need to restore several library positions and to hire additional staff. Currently, adequate funding is not available to restore the positions or to acquire new positions. However, the library does expect to receive funding for a Microbiology Librarian to support the doctoral program in Microbiology in the near future. Also, the library was able to hire a part-time security officer in FY2008.
8. How is the adequacy and availability of funding for other library resources (e.g., Archives and Special Collections) determined?
The adequacy and availability of funding for these ‘other’ library resources is determined by need as expressed by library and university staff, as well as patrons. The Special Collections and Archives Department are integral to the accomplishment of the mission of the library to serve its global community. The University Library houses many important documents and archives that relate to the Civil Rights Movement that occurred in this region. Moreover, there has been a steady push from within the library to make all of these resources available to the public through the hiring of an archivist, as well as digitization and union cataloging efforts. The library would like to see an increase in the funding levels for the National Center budget (212450). Preservation and restoration are not inexpensive endeavors and the library hopes to receive increased funding in the coming years to help with the completion of its current projects. It is worth mentioning that these areas of the library did receive a grant in 2006 to pursue digitization efforts linked to the Montgomery Bus Boycott of 1955 and the history of Alabama State University.
9. Does the library budget reflect the library's responsibility for acquiring, processing, servicing, and providing access to media and computer resources?
Roughly 60-70% of the General Fund Account for the library is set aside to provide electronic access for media, electronic, and computer resources. This figure includes all online database user license agreements, e-book collections, as well as the cost of running and maintaining the systems that make providing cataloging, OPAC, and network access possible both inside and outside the library. Currently there is technology available that allows patrons to take advantage of the media collection; however, more funding will be required to provide the kind of service expected in an academic library of the 21st century.
10. To what extent does the library director/dean have authority to apportion funds and initiate expenditures within the library budget and in accordance with institutional policy?
The library Dean has the ability to propose and officially approve all library expenditures within the University Purchasing schema. She is also able to move funds, pending compliance within Fiscal Affairs and other governing agency guidelines, as need or want dictate. It is important to note that Fiscal Affairs holds equal approval powers with regard to all library expenditures and that the Purchasing Department conducts all official contacts with vendors. Alabama State University’s Office of Fiscal Affairs has established guidelines for handling of all financial transactions through various departments including Accounts Payable, the Budget Office, the Cashier’s Office, Comptroller’s Office, Grants and Contracts Office, Payroll, Office, and the Student Accounts Office. Furthermore, the Office of Purchasing which is operated under Administrative Services has established procurement guidelines in accordance with University policies, federal guidelines, and state regulations. The library dean adheres to the policies and procedures that have been established by the Office of Fiscal Affairs and the Office of Purchasing in acquiring all library materials.
11. How does the library monitor its encumbrances and the payment of its invoices? How does the library determine its choices and schedule its expenditures?
All purchasing and payment activities are recorded and monitored through the campus-wide accounting system—the Financial Records System or FRS. Through the use of the system, the Acquisitions Librarian is able to input requisitions, as well as monitor purchase order generation progress, invoice payments, and other important fiscal data. The Acquisitions Librarian creates a monthly report using fund encumbrance and disbursements to detail the financial activities of the library. This document is submitted to the Library Dean. Although this report only includes transactions pertaining to print item orders, a monthly meeting is also held to ensure full disclosure of all other financial transactions. It is important to note that although the library can initiate payment with regard to materials or services purchased by the library, the Accounts Payable department for the University handles all official transactions.
In terms of expenditure choices, the Collection Development Librarian has a large role in selection. Selection requests are also taken from other librarians as well as students, staff, and faculty on campus. Schedule of expenditures is deliberately manipulated when possible, but when using consortium agreements to purchase services such as database agreements, the schedule is set by outside entities. Expenditure schedule is of utmost importance and whenever possible, the Acquisitions Librarian sets terms so as to provide the library with the greatest benefit (i.e. a better ability to expend the budget more effectively or efficiently).
12. Does the budget include adequate support for extended campus programs?
A separate budget is allocated for each extended campus. However, the University Library administrative staff visited the Brewton extended campus in July 2007 to offer services related to collection development. The Brewton campus was provided with a proposal to purchase the ebrary (ebook) collection with discount pricing offered by the Southeastern Library Network (SOLINET). Each branch campus has access to electronic database subscriptions through Alabama State University's webpage.