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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

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

Wanda V. Dole

Washburn University

LISU August 2002

outline
Outline
  • Allocation systems and formulae
  • Percentage Based Allocation (PBA)
  • PBA at Stony Brook, 1993-1998
  • PBA at Washburn, 2002
  • Conclusions
allocation systems formulae
Allocation Systems & Formulae
  • Vast literature
  • Three basic methods
    • Allocation formulae
    • Historical method
    • PBA
literature of allocation review
Literature of Allocation: Review
  • German & Schmidt (2001)
  • Rein (1993)
  • Budd (1991)
  • Packer (1988)
  • Werking (1988)
  • Sellen (1987)
  • Sanders (1983)
  • Yunker and Covey (1980)
  • Schad (1979)
literature of allocation formulae
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
Allocation Formulae
  • Decline in use
    • 73.3% of colleges in 1940’s (Muller, 1941)
    • 67.5% of SE academic libraries (Greaves, 1974)
    • 41% of academic libraries in 1989 (Budd and Adams, 1989)
    • 40% in 1995 (Tuten & Jones, 1995)
slide7
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
Based on Instructional & Departmental (I&DR) Budget
  • Departmental I&DR/Total University I&DR = PBA
  • PBA x Library Materials Budget = Allocation per Department
slide9
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
PBA at Two University Libraries

Large academic research (Stony Brook)

Small comprehensive university (Washburn)

suny stony brook
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
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
cap allocations task force
CAP Allocations Task Force
  • 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
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
task force recommendations
Task Force Recommendations
  • Find an allocation SYSTEM that solves the problems
  • Recommended system: PBA
  • Implement the system
recommendation adapt pba to the university
Recommendation: Adapt PBA to the University
  • Review University budget and calculate percentage received by each unit
  • Apply these percentages to acquisitions budget
  • Make location adjustments
pba at stony brook
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 brook1
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
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 washburn1
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
cap allocations task force1
CAP Allocations Task Force
  • 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
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 washburn2
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
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
Conclusions
  • PBA at Stony Brook: partial success
    • Allocations closer to campus priorities
  • PBA at Washburn: uncertain
    • Allocations NOT closer to priorities
conclusions1
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