University Libraries by BronsonDurrant

VIEWS: 44 PAGES: 10

									                            UNIVERSITY OF WASHINGTON 

UNIVERSITY LIBRARIES
Office of the Dean



February 17, 2009
Revised Copy

Phyllis Wise
Provost and Executive Vice President


Dear Provost Wise:

As requested, I am submitting business plans for the University Libraries at levels of reduction in central
support of 8%, 10%, and 12%.

Since 1861, the University of Washington has recognized that a world class university requires a world
class library. The University Libraries has been recognized as a major force in defining the shape of the
21st century academic research library. Our assessment data tells us that the Libraries enables and propels
academic excellence. Our “any time any place library” with delivery of critical resources to the desk top
has contributed significantly to research and scholarship, clinical care, and student achievement. Faculty
use of library collections and services is directly correlated to sponsored research productivity. Graduating
seniors rank the Libraries as the top contributor to their academic success (even higher than instruction in
their major). The depth and breadth of our collections, the expertise of our staff, and the innovative suite of
services we offer represent a strategic advantage to the University of Washington as it fulfills the promise
implied by the phrase, “Discovery is at the heart of our University.” In myriad ways, the University
Libraries nourishes and strengthens the heart of discovery.

We are committed to taking a strategic and transformative approach to the budget challenges. Budget
reductions ideally will be taken in concert with schools, colleges, and university priorities. It will be
important for us to learn about strategies that other units will implement so that we can adjust our programs
and initiatives to reflect these changes.

Rationale for Recommendations
The University Libraries created these scenarios within the context of Vision 2010 (the Libraries Strategic
Plan < www.lib.washington.edu/about/vision2010/>), the University Libraries Budget Planning Principles
(Appendix 1), extensive user and use data, and preliminary consultation with our diverse stake holders and
partners. The Libraries Cabinet is leading the budget planning process, which has and will continue to
include a series of Town Hall staff meetings, Faculty Council on University Libraries consultations,
consultation with the Library Student Advisory Council, and librarian liaisons with academic departments.
Our goal is to minimize negative impact on students and faculty, and to preserve critical and essential
services and collections while positioning the Libraries and the University for the future.

Structure of the University Libraries Budget
The Libraries has three main budget categories: personnel, operations, and materials. At one time these
three budgets functioned somewhat independently. In today’s complex electronic environment where
people, services, and content are intertwined, these budgets have become highly interdependent. We
require the flexibility to manage the Libraries budget as an integrated whole.




                       482 Allen Library Box 352900 Seattle, Washington 98195–2900 U.S.A.
                          Phone: 206.543.1760 Fax: 206.685.8727 www.lib.washington.edu
                                                                                                               2
Approximately 88% of the Libraries annual expenditures are from GOF/DOF funds. Given that the
preponderance of our budget is subject to reductions, our limited ability to raise additional revenue, and a
1.5% FY09 rescission of $458,000, we are challenged in these business plans to continue meeting the
information needs of research, clinical care, and learning for all UW schools and colleges in the
increasingly dynamic and competitive higher education environment.

Cooperative Library Project
The University Libraries budget includes a designated line for the Cooperative Library Project (05-4291;
$576,601 annually). The UW serves as the fiscal agent for this highly successful Council of Presidents
effort which serves the six public baccalaureates. The Interinstitutional Committee of Chief Librarians
(ICCL) annually recommends a budget to the Interinstitutional Committee of Academic Officers (ICAO).
Therefore, the CLP budget should be set aside when calculating the Libraries budget reduction amounts
pending action by the ICAO.

                         FEATURES OF THE LIBRARIES BUSINESS PLAN

The overarching features and characteristics of our business plan include:
    • An evolving service model predicated on documented user priorities, fewer more consolidated
        library locations, and delivery of information services and resources “any time any place”
    • Privileging electronic distribution of information resources where possible and appropriate
    • Efficiencies in processing and operational workflow
    • Consolidation of administrative services
    • Reduction and/or elimination of less critical or essential services
    • Leveraging consortial and collaborative approaches across the campuses, region, and country
    • Safeguarding the essential elements that ensure that the Libraries continues to be a major asset for
        a 21st century world class university

 Library Materials Budget – Current Conditions
While the Libraries has budgeted conservatively with regard to library materials, postponed planned
expenditures, and initiated a massive serial and database review, we are facing something much larger and
more damaging than anything we have faced in the past. We are participating actively in the growing
movement to persuade publishers to minimize price increases or roll prices back to 2005 levels or earlier.
While there has been some limited evidence that such efforts are having an effect, major science,
technology, and medicine publishers (Elsevier, Nature Publishing Group, and Wiley) continue to
aggressively acquire and package journals, and do not yet appear to have been making any pricing
concessions.

The impact of cuts on the purchase and licensing of books and journals must be placed in the context of
continuing price increases. While market pressures could conceivably lead publishers to minimize price
increases, we project that serial price increases will average 8%, and monographs price increases will
average 3.5%. Therefore, we would require approximately $758,000 in new funds just to maintain
our current purchasing power. Coupled with the 1.5% rescission, we would experience a 7.7%
cumulative cut *before* undertaking the 8/10/12% budget reduction scenarios. In other words, even
without an 8% cut, we'd have to cancel the equivalent of 800 journals and forgo the purchase of
approximately 1,600 books.

The reductions indicated in each scenario take into account the rescission and anticipated loss in purchasing
power. We used roughly the current balance of serial versus monograph purchasing as a basis for
projecting numbers of journals, databases, books, and other expenditures that we would have to cut, even
though our final plan could vary from that (see Appendix 2).
                                                                                                                 3
Operations Budgets – Current Conditions
Cutting the operations budgets of the University Libraries will be extremely difficult as these budgets
currently are not adequately nor fully funded. Many expenses covered by the operating budget are
externally driven and fixed – maintenance agreements, delivery van rental, mailing costs, most
telecommunications charges (and these will probably be increased by UW Technology in the coming
years). Moreover, the University has not added to operations budget on a permanent basis for decades.
The Libraries has reacted to the increases in operating expenses largely by shifting temporary funds or
salary saving dollars to cover operating costs. We have also fully adopted University innovations such as
use of the ProCard and always use best practices in our centralized purchasing of supplies and services.

The travel operating budget only exists due to an influx of temporary money. The source of the temporary
money is mostly salary savings, a source that will be extremely stressed as open positions are eliminated
and fewer vacancies materialize since staff are neither resigning nor retiring. By customarily only
providing a fixed dollar amount for travel, the Libraries has sought to encourage awareness to the need for
thrifty travel. Unfortunately, staff have had to augment travel allocations with personal funds. This will
be even more unsupportable in the future.

The equipment operating budget is grossly underfunded and the Libraries relies almost solely on the
temporary equipment dollars allocated by the University to replace broken and worn out equipment The
University’s temporary allocation is essential and should be not be eliminated.

While cutting operating budgets will be difficult, it is imperative that the Libraries seek to lessen the need
to cancel journals and databases and to minimize greater cuts to our ability to purchase critical books,
media and other library material. In addition, avoiding, albeit only minimally, more cuts to the library
workforce is so important that greater cuts to the operating budget should be made initially.

                          OPERATING BUDGET: ACTIONS AND IMPACTS

The initial budget cut to the operating budgets is proposed at the 10% range. No further cuts are
recommended. With a 10% reduction, significant temporary funds will need to be directed to the operating
budget. This is probably feasible but will be challenging.

Cuts to the permanent operating budgets will be taken in the area of supplies, repair, printing/publications,
facilities maintenance and minor remodeling, and the equipment allocation. Travel budgets will also be
cut, although funds will need to be maintained for the campus delivery van rental, recruitment interviews,
and moving expenses for new hires. Support for staff development and training will be trimmed.

Cutting travel and staff development support will restrict participation in national professional associations
and in our librarians’ ability to maintain currency and relationships that can lead to innovation and
improved programs. This is particularly important in a time of upheaval and transformation in the library,
information, and technology landscapes.

Many UW librarians and technology professionals hold committee posts and offices at the national level
and will have to personally fund their own travel in order to continue many of these responsibilities. For
example, the Health Sciences Library has earned a national reputation as a leader in innovation. That
reputation has helped earn grant funding and attracted postgraduate interns and fellows. We will likely lose
that edge and that will degrade our ability to serve the UW community.
                                                                                                               4

                          8% BUDGET REDUCTION SCENARIO ($2,457,962)

In addition to the actions related to the operating budget described above and $758,000 loss in library
materials purchasing power, we would take the following actions as part of an 8% budget reduction
scenario.

PERSONNEL: ACTIONS AND IMPACTS

At 8%, we will eliminate 17.5 vacant positions. This is on top of the 3 vacant positions eliminated to meet
the 1.5% FY09 rescission. In total, we would be eliminating 20.5 vacant positions. Since this approach is
opportunistic, it will leave vacancies in key areas. Staff will be reassigned to cover these critical areas, but
there will be a net loss of capacity and we will be required to make concomitant reductions and changes in
services and collections.

The Libraries has built a reservoir of vacant positions, but given the magnitude of anticipated reductions,
we do not know if it will be a large enough. We are exploring voluntary reduction in time and retirement
options within the Libraries as part of our goal of avoiding layoffs in the 8% budget reduction scenario. At
the 8% reduction level, we will reduce the student hourly budget by approximately $150,000. With the
loss of 20.5 FTE positions and a cut to the student workforce, we will be making the following service
reductions and changes.

LIBRARY SERVICES: ACTIONS AND IMPACTS

Close and consolidate 3 branch libraries and at least 1 service point in the Suzzallo and Allen
Libraries. We will focus on libraries with the least in-person use and lowest reliance on print materials.
We realistically can consolidate two units during summer 2009, with others to be done over a one to two
year period. While much of the cost of consolidation will be absorbed by the Libraries, we will need
approximately $275,000 in one-time transition funding for collection moves, processing, and building out
an additional shelving bay at Sand Point Remote Shelving Facility. Vacated space reverts to the Provost
for reassignment.

As we close units, we will hire fewer student assistants. As UW’s largest employer of students, the
Libraries provides $1.4 million in financial assistance to students and valuable work experiences. This will
be diminished by approximately 10%.

Each consolidated library represents a minimum of 50,000 displaced visits per year. Students will need to
be accommodated for study and computer use in the remaining libraries, creating contention for space and
service. Faculty and graduate students in close proximity to a consolidated branch library will be further
away from collections, course reserves, and in-person support by their subject librarian. Faculty and
students may see their productivity decrease and demands on their time increase.

As we consolidate libraries, we will increase our reliance on the Sand Point Remote Shelving Facility.
Housing more frequently used materials at Sand Point will slow retrieval due to overall volume increase.
In addition, space strategically freed up in the Suzzallo and Allen Libraries to provide flexible student
learning environments and a Research Commons will have to be used to accommodate branch
consolidations.

Reduce teaching, research, and clinical care programs. With the elimination of subject librarian
positions, reference and instructional services, collection building, clinical support, and departmental
outreach and liaison will be compromised as we spread a smaller number of librarians across a larger
number of departments. We will have reduced capacity to develop expertise in emerging areas such as data
curation, research information management, and digital preservation.
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Reduce systems support. System reliability would be diminished and development, usability, and
maintenance of Libraries web sites would be deferred.

Suspend new services such as Open Journal Systems and Open Conference Systems, and a planned
expansion of GIS support. We will slow progress related to emerging forms of publication and scholarship.

Reduce level of description provided for library materials, including archival collections, and defer
project-based processing work. Materials will be harder for faculty and students to find and use. As
archival materials are unique, turning to other institutions for access is not an option. Scholarship and
discovery will be diminished.

LIBRARY MATERIALS: ACTIONS AND IMPACT

All actions related to library materials harm the competitiveness of the UW in procuring sponsored
research funds, educational outcomes, clinical care, and recruitment and retention of students, faculty, and
fellows.

Cancel 1,448 journal subscriptions (using an average journal cost of $734 across all disciplines based on
published estimates). Initially, we would cancel journals that are important, but not necessarily core within
the discipline. At higher levels of reduction, we would be forced to cancel core journals. Faculty and
students will no longer have access to full text articles through Google Scholar, subject and
interdisciplinary databases, or the Libraries Catalog. They will either have to pay directly for individual
articles, request through interlibrary loan, or go without, negatively impacting research and education.

Lose access to approximately 146 additional journals, resulting from the way in which we purchase and
license journal packages from major publishers

Cancel 23 subject and interdisciplinary databases (using an average cost of $10,766 each)

Purchase 4,344 fewer books and scholarly monographs (using an average cost of $66.75). Even though
we can expect some mitigation of impact from our active participation in the Summit catalog and more
efficient regional interlibrary lending, and we will reduce duplication across the three campuses, the extent
to which we can do so without significant impact on teaching and research is limited. Regional libraries are
facing similar budget challenges, and will have to cut their spending. Many have relied on UW to acquire
more specialized research materials, so the impact of cuts here will have a substantial regional ripple effect.
Widespread adoption of aggressive regional sharing practices will likely further undermine the financial
health of university presses. The strategic transition toward increased acquisition of E-books will slow.

Eliminate all print copies of journals received electronically. Reduce preservation and binding
budget by 25%. We will bind fewer print volumes and film fewer newspapers. Issues will be lost or
damaged, and long-term preservation of the collection will be compromised.
                                                                                                              6
                         10% BUDGET REDUCTION SCENARIO ($3,072,452)

In addition to the actions related to the operating budget described above, $758,000 loss in library
materials purchasing power, and the items outlined in the 8% budget reduction scenario, we would take the
following actions as part of a 10% reduction scenario.

PERSONNEL: ACTIONS AND IMPACTS

We will continue to seek voluntary staff reductions, but we also anticipate that at a 10% reduction
approximately 6-8 positions will need to be cut for a cumulative total of 26.5 to 28.5 FTE positions. This
will result in layoff of staff. Some additional student hourly funds will be cut.

LIBRARY SERVICES: ACTIONS AND IMPACTS

Close and consolidate 2 additional branch libraries and an additional service location in the Suzzallo
and Allen Libraries. See 8% reduction scenario for impacts. $120,000 in one-time funds is needed to
realize these additional consolidations.

Close small branch libraries at 5pm Monday through Friday and on weekends. Undergraduate and
graduate students will be disproportionally affected by this action as they will find it increasingly difficult
to complete coursework and access needed materials. In addition, community users who take advantage of
the Libraries primarily nights and weekends will be shut out.

Further reduce teaching, research, and clinical care programs. See 8% scenario for impact.

Conduct full cataloging and subject analysis only for certain classes of material and cease
retrospective cataloging projects. Researchers will find it harder to locate these scholarly materials.

Eliminate memberships in organizations deemed important but not essential. Our leadership position and
platform for collaboration will be diminished.

Fund memberships in essential organizations using endowment funds on a one to two year stop gap basis.

LIBRARY MATERIALS: ACTIONS AND IMPACTS

All actions related to library materials harm the competitiveness of the UW in procuring sponsored
research funds, educational outcomes, clinical care, and recruitment and retention of students, faculty, and
fellows.

Cancel 1,633 journal subscriptions cumulatively (using an average journal cost of $734 across all
disciplines based on published estimates)

Lose access to more than 400 additional journals, resulting from the way in which we purchase and
license journal packages from major publishers

Cancel 26 subject and interdisciplinary databases cumulatively (using an average cost of $10,766
each), including cancellation of major clinical and patient education databases while still trying to
strike as reasonable a balance as possible among support for patient care, education and research.

Purchase 4,898 fewer books and scholarly monographs cumulatively (using an average cost of $66.75)

Reduce preservation binding and microfilming by 50%. Issues will be lost or damaged, and long-term
preservation of the collection will be further compromised.
                                                                                                             7

                         12% BUDGET REDUCTION SCENARIO ($3,686,943)

In addition to the actions related to the operating budget described above, $758,000 loss in library
materials purchasing power, and the items outlined in the 8% and 10% budget reduction scenarios, we
would take the following actions as part of a 12% reduction scenario.

PERSONNEL: ACTIONS AND IMPACTS

The Libraries, absent voluntary retirement and/or voluntary reductions-in-time, will be forced to layoff
approximately 6-8 additional staff, for a cumulative total of 32.5 to 34.5 FTE positions. Additional student
hourly funds will be cut.

LIBRARY SERVICES: ACTIONS AND IMPACTS

Eliminate the 24/5 hours of service in the Odegaard Undergraduate Library. Undergraduate students
would lose a safe, secure, and heavily-used educational environment. Over 1,000 students use OUGL each
night between 11 pm and 7 am to do research, study, write papers, collaborate in groups, use computers,
and engage in other academic pursuits. There is nowhere else on campus for these activities to take place.

Close larger libraries at 5pm Monday through Friday and on weekends. See 10% scenario for
impacts.

Slow build-out of our local digital library collections, and fewer of our rare and unique materials will be
made easily available to scholars, researchers, teachers, and students around the world.

Contribute less to the shared databases that libraries around the world rely upon for cataloging.
Faculty and students would find it increasingly difficult to search for and locate quality, peer-reviewed
information. Time to conduct searches would increase, and results would decrease in value.

Reduce leadership in the global library community. We have done foundational work in developing
metrics for assessing library performance and effectiveness, in creating national and international standards
that allow sharing data between libraries, in building the digital library to improve access, and in promoting
cost-effective, collaborative approaches to enhancing library collections and services. It is not clear that we
can retain that leadership position given budget reductions at the levels contemplated here.

LIBRARY MATERIALS: ACTIONS AND IMPACTS

All actions related to library materials harm the competitiveness of the UW in procuring sponsored
research funds, educational outcomes, clinical care, and recruitment and retention of students, faculty, and
fellows.

Cancel 1,818 journal subscriptions cumulatively (using an average journal cost of $734 across all
disciplines based on published estimates)

Lose access to more than 400 additional journals, resulting from the way in which we purchase and
license journal packages from major publishers

Cancel 29 subject and interdisciplinary databases cumulatively (using an average cost of $10,766 each)

Purchase 5,452 fewer books and scholarly monographs cumulatively (using an average cost of $66.75)

Suspend preservation binding and microfilming operations. Issues will be lost or damaged, and long-
term preservation of the collection would end.
                                                                                                               8
                                       CARRYOVER BALANCES

The Libraries has a relatively small, unencumbered, carryover balance from biennium to biennium.
Approximately one-half of the carryover stems from not yet receiving library material that has been
ordered. Many books are delayed in shipping and because many of our acquisitions are received from non-
US sources, delays in receipt from international publishers, vendors, and government agencies are
common. The carryover funds not related to library material are planned and are scheduled to fund on-
going operations commitments and to be used for temporary equipment expenditures since the Libraries
does not have an adequate permanent equipment allocation.

                                      REVENUE ENHANCEMENT

The Libraries will enhance its focus on sustained funding from non-University sources through our
development and advancement work and grant and contract opportunities. While the Libraries has limited
ability to generate new revenue, we are examining our current fees to ensure they reflect actual costs and
market value, and will make adjustments accordingly. Many peer institutions have instituted a library fee,
and we are interested in pursuing such a strategy if the University deems that it is feasible in the current
environment.

                                           NEW ACTIVITIES

With the emergence of e-science and the proliferation of sensor networks, managing large volumes of data
is an increasingly common research project responsibility. Managing data both for immediate use for
publications and for long-term access, use, and re-use is an additional demand on research teams. In the
same way that research libraries have a long-established reputation for managing publications as part of the
research process, there are opportunities for adding value earlier in the research life cycle through data
management and curation. This is a role that holds great potential for the Libraries to provide a needed
service in an as yet unfilled niche.

This new role and initiative relates directly to the Global Research Alliance for Digital Data (GRADD).
This Libraries-led National Science Foundation DataNet proposal has been invited to submit a full proposal
with solid prospects for funding. The inclusion of GRADD in the UW’s state budget request has and will
continue to send a strong message of institutional support to NSF. A modest financial investment of
$100,000 for a full-time senior level position and a graduate assistant in the Libraries would allow us to
continue the momentum in the high priority arena of scientific data management and curation.


Sincerely,




Lizabeth (Betsy) A. Wilson
Dean of University Libraries



Attachments:      Appendix 1: Libraries Budget Planning Principles
                  Appendix 2: Libraries Materials Budget




Cc:      Libraries Cabinet
         Paul Jenny, Vice Provost, Planning and Budgeting
                                                                 Appendix 1




                  BUDGET PLANNING PRINCIPLES

• Stay future oriented and in alignment with the University and our
  strategic goals.

• Retain and enhance our user-centered focus.

• Maintain commitment to openness, consultation and communication
  with our personnel and our stakeholders.

• Recognize the value of the Libraries staff to enable us to achieve our
  goals.

• Look for opportunities for transformative change, including retraining
  and realigning staff.

• Avoid across the board reductions, and examine all areas and
  programs in order to map our resources to strategic goals.

• Achieve savings now, and create flexibility and options for the future.

• Identify and seek an appropriate level of support from the University
  for Libraries programs for education and research.

• Seek sustained funding sources from outside the University.

• Establish appropriate fees for external parties to pay for services.


                    Approved by the Libraries Cabinet
                           December 2, 2008
                                            Appendix 2: Library Materials 

                                                                 6.2 % Price 
                                                     1.5%         Increase 
                                                   Rescission      Impact        8% Cut       10% Cut      12 % Cut 
1. Scenarios, Funding and Percentages 
   Cumulative Net % Cut                                 1.5%           7.7%          15.7%        17.7%         19.7%
   Dollar Amounts                                   $187,789       $758,661      $986,518   $1,233,148     $1,479,778 
   Cumulative $ Cut                                                $946,450     $1,932,968   $2,179,598    $2,426,228 

2. Purchasing and Access Impact 
   a. Serials                                       $127,697       $716,142     $1,314,418   $1,482,127    $1,649,835 

    i. Journals (cumulative dollars)                $103,284       $579,245     $1,063,132   $1,198,779    $1,334,425 
          Est. Journals Cancelled                        141            789          1,448        1,633         1,818
          Access to Additional Journals Lost                                           146         >400          >400
          Net Journal Access Lost                         141            789         1,594       2,033+        2,218+

    ii. Databases (cumulative dollars)                $24,413      $136,897      $251,286     $283,348      $315,410 
          Est. Databases Cancelled                          2            13            23           26            29

  c. Books  (cumulative dollars)                      $28,168      $107,956      $289,945     $326,940      $363,934 
       Est. Books Not Purchased                           422         1,617         4,344        4,898         5,452

  d. Preservation, binding, microfilming, etc.        $31,924      $122,351      $328,605     $370,532      $412,459 

  e. Total cuts to Library Materials                $187,789       $946,449     $1,932,968   $2,179,598    $2,426,228 

								
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