PBA: A Statistics-Based Method to Allocate Academic Library Materials Budgets

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PBA: A Statistics-Based Method to Allocate Academic Library Materials Budgets. Wanda V. Dole Washburn University LISU August 2002. Outline. Allocation systems and formulae Percentage Based Allocation (PBA) PBA at Stony Brook, 1993-1998 PBA at Washburn, 2002 Conclusions.

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### PBA: A Statistics-Based Method to Allocate Academic Library Materials Budgets

Wanda V. Dole

Washburn University

LISU August 2002

Outline
• Allocation systems and formulae
• Percentage Based Allocation (PBA)
• PBA at Stony Brook, 1993-1998
• PBA at Washburn, 2002
• Conclusions
Allocation Systems & Formulae
• Vast literature
• Three basic methods
• Allocation formulae
• Historical method
• PBA
Literature of Allocation: Review
• German & Schmidt (2001)
• Rein (1993)
• Budd (1991)
• Packer (1988)
• Werking (1988)
• Sellen (1987)
• Sanders (1983)
• Yunker and Covey (1980)
Literature of Allocation Formulae
• More theory than practice
• Allocation Formulae
• NOT scientific formulae (Shirk, 1984)
• Often akin to Rube Goldberg contraptions: “fascinating to watch, but overly elaborate means to ends.” (Lowry, 1992)
Allocation Formulae
• Decline in use
• 73.3% of colleges in 1940’s (Muller, 1941)
• 67.5% of SE academic libraries (Greaves, 1974)
• 40% in 1995 (Tuten & Jones, 1995)
PBA
• Proposed by Genaway (1986)
• Based on assumption that “any method used to allocate university-wide resources will ultimately be reflected at one point – the budget line given to each college or department”
Based on Instructional & Departmental (I&DR) Budget
• Departmental I&DR/Total University I&DR = PBA
• PBA x Library Materials Budget = Allocation per Department
PBA
• Literature contains no mention of implementation
• Young (1992) rejects it as a proposed, but not reported at implemented, “formula”
• Rein (1993) cites it as example of “allocation without formula”; calls it “seductive.” Reports it is “untested”.
PBA at Two University Libraries

Small comprehensive university (Washburn)

SUNY Stony Brook
• Carnegie Research I
• 20,855 students; 1849 faculty
• Melville Library + 6 branches
• 2 million vols.
• 6117 print serials
• 1960s & 1970s: rapid growth, generous funding
• 1980s & 1990s: reduced funding, slow growth
Stony Brook Identifies Need for Rational Allocation System
• Strategic Planning, 1991-92
• ARL/OMS Collection Analysis Project
• Develop rational allocation system
• CAP ,1992-93, identifies
• Problems in allocation system
• Objectives
• Method for solution
• Described how allocation decisions are made
• Identified influences on allocation decisions and conflicts that will arise from changes
• Analyzed strengths and weaknesses of current practices
• Examined serials to monographs ratio
Findings: Problems in the Allocation System
• Did not reflect priorities of the University
• Could not adapt to fluctuations in funding
• Was not based on objective criteria
• Find an allocation SYSTEM that solves the problems
• Recommended system: PBA
• Implement the system
Recommendation: Adapt PBA to the University
• Review University budget and calculate percentage received by each unit
• Apply these percentages to acquisitions budget
PBA at Stony Brook
• Institutional data
• Historical acquisitions data: serials & monograph expenditures by fund code
• University’s Operating Budget (annual publication): Instructional & Department Research (I &D R)
• Calculations
• I & DR percentages are calculated (=PBA)
• PBA percentages applied to budget
• Last year’s expenditures percentages
PBA at Stony Brook
• Modifications
• Acquisitions budget:
• 10-15% set aside for access
• 5% set aside for contingencies
• Arbitrary PBA established for library depts.
• PBA cannot vary from from previous year’s expenditure by more than 10%
PBA at Washburn
• Carnegie Master’s University I
• 6200 students; 250 faculty
• Mabee Library + one branch (CRC)
• 345,000 vols.
• 385 print serials
PBA at Washburn
• Strategic Planning, 2000-02
• ARL/OMS Collection Analysis Project
• Develop rational allocation system
• CAP ,2001-02, identifies
• Problems in allocation system
• Objectives
• Method for solution
• Described how allocation decisions are made
• Identified influences on allocation decisions and conflicts that will arise from changes
• Analyzed strengths and weaknesses of current practices
• Examined serials & monographs
Washburn: Problems in the Allocation System
• Complex and old (1980) formula for monographic allocations
• No system or formula used for serials allocations
• No system for e-resources
• No system for ILL/DD
PBA at Washburn
• Institutional data
• Historical acquisitions data: serials & monograph expenditures by fund code
• University’s Operating Budget (annual publication): Instructional & Department Research (I &D R)
• Calculations
• I&DR percentages calculated (=PBA)
• PBA percentages x materials budget
• Comparison with previous year’s actual expenditures
Washburn: PBA Results
• Unexpected discrepancies between University I&DR % and University “Priorities”
• Discrepancies do not follow a pattern
• Discrepancies
• Specific to Washburn?
• Related to size and mission of institution?
Conclusions
• PBA at Stony Brook: partial success
• Allocations closer to campus priorities
• PBA at Washburn: uncertain
• Allocations NOT closer to priorities
Conclusions
• PBA works at one research library
• PBA appears not to work at one master’s I university
• Results may be
• Specific to these two libraries
• Related to size and mission of the library
• Needs more research: replication of PBA at other libraries