1. Academic Research Library Support of Sponsored Research in the United States Brinley Franklin Vice Provost University of Connecticut Libraries Qualitative and Quantitative Methods in Libraries International Conference May 29, 2009

2. Importance of Sponsored Research Usage in the United States Academic research libraries’ mission is to support the educational institution’s objectives, including sponsored research. The United States government allows educational institutions to seek reimbursement for library expenses related to funded research via the university’s indirect cost rate

3. Federal Regulations Allow Two Methods For Assigning Library Expenses to Sponsored Research (1) Standard (Full-time Equivalent) Method (2) Library Cost Analysis Study

5. Library Cost Analysis Study Methodology Has been used with minor modifications since 1982 Conducted 78 times in 198 libraries at 42 institutions using a consistent approach with data from more than 300,000 participating library users 42 institutions include 29 public colleges, 13 private universities and 35 of the 100 largest recipients of science and engineering research in the U.S. The academic libraries surveyed are geographically diverse

6. Overview of the Library Cost Analysis Study COST ANALYSISLIBRARY USER SURVEYS COMPILE DIRECT LIBRARY EXPENSES BY OBJECT CODE FROM UNIVERSITY FINANCIAL ADMINISTRATOR’S YEAR-END FINANCIAL REPORTS. CONDUCT YEAR-ROUND LIBRARY USER SURVEYS TO MEASURE: PATRON CLASSIFICATION PATRON UNIQUE IDENTIFICATION PATRON AFFILIATION SURROGATE USAGE NUMBER OF MATERIALS AND SERVICES USED BY TYPE OF MATERIAL OR SERVICE PURPOSE OF USE FOR EACH MATERIAL AND SERVICE USED NON-RESPONDENTS’ PATRON CLASSIFICATION GROUP LIBRARY EXPENSES INTO DIRECT COST CATEGORIES SUCH AS PERSONNEL, BOOKS, JOURNALS, ELECTRONIC SERVICES, AND OTHER EXPENSES. ASSIGN DIRECT COST CATEGORIES TO SPECIFIC LIBRARIES AND LIBRARY COST CENTERS SUCH AS REFERENCE SERVICES, RARE BOOKS AND MANUSCRIPTS, CIRCULATION, ELECTRONIC SERVICES, AND OTHER EXPENSES. COMPILE INDIRECT LIBRARY EXPENSES AND ASSIGN THEM ON THE BASIS OF SQUARE FEET (SPACE-RELATED INDIRECT EXPENSES) AND MODIFIED TOTAL DIRECT COST (ADMINISTRATION-RELATED INDIRECT EXPENSES) TO SPECIFIC LIBRARIES AND LIBRARY COST CENTERS. COMBINE DIRECT AND INDIRECT LIBRARY EXPENSES FOR EACH COST CENTER AND ASSIGN APPLICABLE CREDITS (I.E., COPY CENTER AND PRINTING REVENUES). CALCULATE USAGE OF SPECIFIC LIBRARY MATERIALS AND SERVICES BY PATRON CLASSIFICATION AND BY PURPOSE OF USE. APPLY NON-RESPONSE FACTORS BY LIBRARY BY CLASSIFICATION (E.G., UNDERGRADUATE NON-RESPONDENTS). CALCULATE TOTAL USE OF SPECIFIC MATERIALS AND SERVICES FOR BOTH RESPONDENTS AND NON-RESPONDENTS TO DETERMINE THE ALLOCATION BASES FOR SPECIFIC COST CENTERS. ASSIGN LIBRARY EXPENSES FOR ALL LIBRARIES AND LIBRARY COST CENTERS BY PURPOSE OF USE (E.G., ORGANIZED RESEARCH, INSTRUCTION, PATIENT CARE, AND OTHER INSTITUTIONAL ACTIVITIES) BASED ON USE OF SPECIFIC MATERIALS AND SERVICES AT SPECIFIC LIBRARIES BY PRIMARY CATAGORIES OF USERS (I.E., FACULTY/STAFF; UNDERGRADUATE STUDENTS, GRADUATE STUDENTS, AND ALL OTHER USERS. DETERMINE TOTAL LIBRARY EXPENSES BY PURPOSE OF USE BY COMBINING RESULTS FROM ALL LIBRARIES INCLUDED IN THE STUDY.

7. Key Components of the Library Cost Analysis Study Library expenses assigned to cost centers Cost centers assigned to sponsored research, instruction, and other activities based on user surveys User surveys are based on the random moments sampling technique and conducted over a 12 month period Remote electronic services users are also surveyed (using MINES for Libraries TM )

10. Who’s Using Academic Research Libraries? (From 2000-2009) Main LibraryMedical LibraryScience Branch Libraries Undergraduates74%9%52% Graduate Students15%57%28% Faculty/Staff5%23%13% Other Users6%11%7% n=18n=15n=40

11. Percentage of Users Only Using the Library for Its Space (From 2000-2009) n = 18 n = 40n = 15

12. Use of Main Libraries (From 2000-2009) In-House UseWeb-Based Use Funded Research7.93%13.49% Instruction/Education71.31%64.95% Patient Care4.71%5.84% Other Sponsored3.75%2.67% Other Activities17.89%18.95% n=18

13. Use of Medical Libraries (From 2000-2009) In-House UseWeb-Based Use Funded Research19.51%23.93% Instruction/Education45.10%44.44% Patient Care13.40%15.69% Other Sponsored3.42%1.80% Other Activities20.59%15.39% n=15

14. Longitudinal Research Use at One Main Library (standard error of plus or minus 2%) Year of Study % of Library Use Supporting Funded Research 19889.40% 199011.40% 19929.80% 199510.20% 199810.40% 200111.23% 20058.36% Average10.11% Std Deviation1.05

15. Major Findings Sponsored research use varies considerably by type of library There is considerable variation in sponsored research use at even the same type of library Interlibrary loan use and journal (print and electronic) use have the highest percentages of funded research use

16. Key Finding: Relationships Between: R&D Funding; Library Expenses; % of Library Expenses Supporting Funded Research High correlation between total research and development funding and total library expenditures Little or no relationship between total library expenditures and library expenditures supporting research as a percentage of total library expenditures Little or no correlation between an institution’s research and development funding and library expenditures supporting research as a percentage of total library expenditures

17. Questions? Brinley.Franklin@UConn.edu