December 2001

The charge to the AdHoc Committee to Evaluate Professional Development Funding Process was
· to analyze and identify problems or areas of concern with the current process for distributing professional development funds and
· to make recommendations on possible changes to the system.

The Committee compiled a list of problems and concerns with the present system. These issues were discussed at the LAUC-I membership meeting in October, 2001.

Reimbursement issues:

· There is a significant time lag between travel expenditures and actual reimbursement.
· The current system of reimbursement does not facilitate direct payment of airfare, registrations, etc.
· The current system of allocation creates problems with the reimbursement schedule for travel occurring early in the fiscal year.
· The amount of professional development support is not predictable from one year to the next.
· Reimbursement procedures are complex and governed by several layers of bureaucracy.
· The current systems lacks flexibility to maximize funds through special airfares, early registrations, etc.

Workload for Professional Development Committee members and Business Office staff:

· The current system involves excessive paperwork.
· The formula for distribution is confusing and time-consuming to apply correctly.
· The current system requires mid-year recalculation of tier amounts.
· The current system creates problems during end of year fiscal closing and does not facilitate carry over of unallocated funds.

Issues relating to the over-all funding of librarian travel and development

· The difference between Administrative travel guidelines and budget and Professional Development funds and budget are not well understood.
· There is misunderstanding about the availability and use of training funds
· There is a lack of awareness of funds that are available from campus and other external agencies.
· There is a need for another category of funds for activities like workshops which don't fit into either administrative travel or professional development.

Distribution issues:

· Would a flat amount allocation be more efficient than the tier system ?
· Librarian accountability for funds received is unclear and inconsistent.
· If the allocation and distribution is tier-based -- there is a need for clear criteria which specifies what activities are appropriate for different tier categories.
· The current method lacks flexibility to cover multiple requests and ongoing commitments.

Documentation issues:

· There is a need for clear definitions of the appropriate use of different types of funding (administrative, professional development, and training).
· There is a need for clear written guidelines on which form to use to request support and to request reimbursement.
· There is a need for clear criteria which specifies which activities are covered by what funds.
· There is a need for a web-site for Professional Development.

Survey of UC LAUC Divisions

In an effort to learn how other UC campuses distributed professional development funds the Committee prepared and administered a survey to the other LAUC divisions to ascertain the following:

· Models and methods of distributing professional development funds.
· Method of allocating administrative support funds for travel or professional development.
· Amount of supplemental funding (over the MOU required amount) provided by the University Librarian and/or Library Administration.

The survey results (included as an appendix ) indicate that most campuses (seven) use a flat-amount distribution method with each librarian getting the same amount of professional development support. Three campuses, including Irvine, use a tier method that bases the amount of support on the level of participation. In addition, on almost all campuses, the Library Administration supplements the amount negotiated through the MOU. The amount supplemented however varies from campus to campus. The highest supplement is at UC-San Diego where the supplement is an additional $1,000.00 per librarian above the MOU amount All campuses indicated that there were additional administrative funds for travel, but most were unclear on how much this

The results showed that most campuses (seven) are using a flat-amount distribution method with each librarian getting the same amount. Three campuses, including Irvine, use a tier method, which bases the amount on the level of participation. In addition, on almost all campuses the amount negotiated through the MOU is supplemented by Library Administration. The amount supplemented however varies from campus to campus. The highest supplement is at UC-San Diego where the supplement is an additional 1,000.00 per librarian above the MOU amount. All campuses indicated that there were additional administrative funds for travel but most were unclear on how much this amount was per year.

There was wide variation among campuses in the application process, forms used, and reimbursement process. Five campuses use one form for both professional and administrative travel requests and reimbursement. Most campuses do not need to adhere to a calendar for receiving professional development funding requests because they use the flat-amount method. Only UC-Irvine has a deadline for turning in request forms. The others operate on a fiscal year calendar and forms are submitted throughout the year.

We also asked questions about the turn-around time for reimbursement and the amount of paper work and record keeping done by the Professional Development Committees. Turn-around varied from one week to 6 weeks. The majority of the responses were in the 2-week range.

On the majority of campuses, the bulk of the record keeping and paper work is done in the Library Business Office. One notable practice is at UC-Davis where the Administrative Assistant uses an Access database to keep track of how much each librarian spends on professional development. She sends each librarian a "Travel Summary- by Fund" report. This report shows how much was spent, how much was reimbursed, and how much is remaining for the year.

At two campuses, UC-Irvine and UC-Santa Barbara, the Professional Development committees are responsible for the majority of the processing of professional development requests. This is due, in part, to the tier system of allocation.

We also asked if librarians were required to submit a written report documenting their activities. Only UC-Irvine and UC-Santa Barbara have such a requirement. Most other campuses handle this with oral reports at department or division-wide meetings.

Recommendations:

Based on the concerns expressed by members of LAUC-I and Library Administration we recommend that LAUC-I and Library Administrative consider the following:

1. Discontinue the use of the base and tier method of allocation in favor of a flat-amount per librarian method. This change will greatly simplify the process for both the Library Professional Development Committee and Library Business Office. It would allow for a more flexible calendar and a more predictable funding pattern.

2. The amount allocated per librarian should be sufficient to cover the expense of one major conference per year, at least 1200.00 per year. This amount is comparable to the allocation received by librarians at UC-Berkeley, UC-San Diego, and UC-San Francisco.

3. Because not all librarians will use their full allocation, unused funds should be carried over from one year to the next. ( as a PD account not per individual librarian)

4. If unused money cannot be carried over from one fiscal year to the next, we recommend that these funds be used to cover in-house professional activities and speakers.

5. LAUC-I should work with the Library Business Office to investigate the possibility of direct payment of conference registrations and airfare to help ease the financial burden of conference attendance on librarians.

6. We recommend the use of one form for all types of travel requests. This would address the confusion we now have with multiple forms.

7. The Library Business Office should implement a reporting mechanism for librarians which tracks the use of their allocation (based on the UC Davis model).

8. Eliminate the requirement for librarians to provide a written report of their activities to the Professional Development Committee. Urge Department Heads and AULs to encourage librarians to give feedback on their activities within their Departments and Divisions.

APPENDIX:

UC Professional Development Survey
December 2001

1. Are your professional development funds distributed and administered by your LAUC division ? If not, who does this ?
UCB The LAUC-B treasurer identifies librarians who are eligible-- keeps the roster up-to-date and forwards it to the Business Office.
The Professional Development has nothing to do with this

UCD Yes, the LAUC-D Professional Activities Committee (PAC) handles it. They et the allocation and divide it up and signs off on the request. Library Administration does the record keeping and keeps the spreadsheets

UCI Yes, the Professional Development Committee collects the requests and figures the tier amounts. The Library's Business office tracks the funds and handles the reimbursement.

UCLA MOU divided equally by all librarians which totals about $625 per librarian using the funds. (not all librarians request funding). Administered by LAUC. The Library Business
Office tracks the funds and handles the reimbursements
UCR MOU + additional amount from UL - in 2001-02 total is $692.00

UCSB Yes. MOU and any supplementary funds. (Meets with UL to discuss funding for that year. The UL may or may not agree to supplement.)

UCSC Yes
UCSD
The Library's Business Office tracks the funds. LAUC-SD R&PD allocates the funds provided as per the MOU equally to all librarians and Library Administration supports professional development with an additional $1,000.00 per librarian annually.

2. What constitutes professional development activity at your institution? Does your library have a philosophy or mission statement that reflects this?

UCB It is fairly open but is for participation in professional activities which will contribute to both individual professional development and the mission and goals of campus libraries.

UCD There is no written philosophy or mission statement, only guidelines.
Broad- does not have to be directly related to one's job, can be an educational workshop

UCI As stated in our guidelines "Professional development funding is intended to support and encourage excellence in professional contributions and meaningful professional development activities on the part of LAUC-I members" Funds can be used for travel, conference registration, educational courses and professional development materials, i.e., purchase of books and software.

UCLA Travel, conference registration, educational or other suitable purposes of choice.

UCR
Travel, conference attendance; distinction is made between prof dev and research activity

UCSB This topic is currently under discussion. Do not want to deny too many requests, so have a liberal definition (ex. a grand jury training session used travel money). In practice as long as the AUL signs off on the request, it is o.k. No formal mission statement, but, all librarians are expected to be involved at the national or local level in events that support their profession.

UCSC Very loose definition: travel, research, creative work. No mission statement.

UCSD Typically the funds are used for conference attendance, travel and training that an individual librarian determines will be appropriate for their professional development. There are no written policies or guidelines. If a question should arise, determination of
appropriate use of these funds is at the discretion of the librarian's Dept Head.
UCSF Policy states that funds support attendance and participation in conferences, seminars, and continuing education activities directly related to work activities. They have a policy that states this.

3. Please describe the allocation process for LAUC- Professional Development funds:

Funds --total amount as mandated by the MOU:
-- Amount supplemented by Library Administration above the MOU

UCB She did not have the total MOU amount (check the MOU)

Library Administration supplemented an additional 800.00 per librarian over the MOU

UCD
MOU -- 25,660 last year each librarian received 575.00, this year 540.00
Administration supplemented to account for new librarians

Admin supplemented to bring it back up to 575.00.

UCI MOU- 19,980. Administration supplemented it this year to a total of 37,125.
Each year this is negotiated with Administration
Each librarian received a base amount of 305.00 and were eligible for a tier allocation

UCLA $55k is the professional development budget - basically little is subsidized by UL. Approximately 125 librarians.

UCR Not sure of MOU amount - total budget is $18k including $6k of MOU - has been standard amount for last several years

UCSB MOU amounts: last year 300 per person; new MOU 400-500
Last year total from MOU: 14,000. Spent 17,500.
Discusses funding with UL each year. UL has ultimate decision in how much is funded. (She is very supportive and tries to provide as much as possible.)

UCSC $900 total per year per person (can't remember what is MOU amount; last year the UL added an additional $200 due to two ALA's in one physical year.)

UCSD Our MOU allocation is $18,900.00. R&PD reviews the number of librarians (57 this year) and authorizes the distribution of these funds equally to all librarians. Library Administration supports professional development with an allocation of $1,000.00 per librarian annually, above and beyond the MOU funds.
UCSF UCSF gets the amount mandated by the MOU and that amount is supplemented by the Library Administration each year. The amount varies each year depending on how much money is available from the Administration but the goal is to pay for one national conference (Medical Library Association) and one continuing education course ($250.00) each year.
Number of librarians on staff and Number of librarians eligible for funding
UCB 115 librarians
all 115 eligible for funding
UCD 45 librarians and all are eligible for funding, both unit and non-unit
UCI 55 librarians (this includes vacant lines)
All are eligible, both unit and non-unit

UCLA Approximately 125 librarians - does not include AULs.

UCR Approximately 28 librarians are eligible - 38/39 in LAUC but some on soft money and others are AULs

UCSB 40 librarians on staff in 2000/01 (35 are unit librarians). Unit and non-unit librarians are eligible for funding, including AUL and UL.

UCSC 33 librarians on staff, 30 are not eligible. (The two AULs and the UL are not eligible)

UCSD There are 57 LAUC members who receive funding.

UCSF All 10 librarians receive funding.

Can unused funds be carried over year to year ?

UCB Yes they have been rolling over the money into a general fund -- this helps supplement the amounts per librarian each year

UCD No, unused funds are re-distributed to other librarians in the same year using a percentage allocation based on level of activity

UCI This year we were allowed to carry over the amount of 5,792 which was unused last year. This was added to the total. This was a one time only carry-over. We do not usually do this.

UCLA No, unused funds are redistributed to other librarians in the same year

UCR No

UCSB No. Unused portions are re-allocated. UL is consulted prior to re-allocation.

There are some "equity" issues involving people who do travel early (Sept.), then don't travel again because they have used their allotment. However, they would have traveled again if more funds were available. Once a check has been cut for a particular trip, the account for that trip cannot be re-opened. In other words, "leftover" funding cannot be applied to that trip even if all expenses were not covered by initial funding.

UCSC No. Redistribute unused funds at end of year.

UCSD R&PD funds from the MOU allocation are carried over from year to year. I will double check about what happens with the Library Admin funds.

UCSF Yes, but the funds don't follow an individual.

Criteria for funding ?

UCB Everyone gets the same amount regardless of level of activity.

UCD Lump sum for everyone. Then the unused amount is divided up based on activity level:
50 % -- chair or secretary of committee
25% -- committee member
15% -- attendance only

UCI Everyone is eligible for the base amount. Additional tier funding is based on level of participation.
These activities are eligible for Tier 1 funding:
Chair/officer of a society/committee
Chair/moderator of a conference session
Presenter of a conference paper
Junior librarian (Assistant I - Assistant IV)
These activities are eligible for Tier 2 funding:
Committee member
Continuing education course

The tier amounts vary depending on the toal money available and total number of requests. Tier 2 awardees are funded at two-thirds the level of Tier 1 applicants (for example, if Tier 1 awards are $750, then Tier 2 awards will be $500).

UCLA Everyone is eligible for the lump sum. Amount is not based on level of activity.

- see www.travel.ucla.edu & www.library.ucla.edu/committees/laucla/proffdev/funds02.htm

UCR Participation - librarians submit justifications based on priorities for year

UCSB AUL determines whether or not receives administrative funding or is submitted for LAUC funding.

UCSC Travel and conferences first are funded first, then research.

UCSD There is informal discussion with the review initiator concerning the librarian's participation in a particular activity. Once that happens, the librarian makes a request to the Business Office at least 30 days in advance of the activity

UCSF Librarians make their own decisions about what to participate in keeping the training and travel policy in mind.

Allocation method: flat amount or other method?

UCB
Flat amount -- each librarian gets the same amount regardless of level of involvement

UCD Flat amount. Unused amount distributed to librarians on a percentage basis based on level of activity:
50% for chair or secretary of committee
25% for committee members
15% for attendance only

UCI Base amount for everyone and then additional tier amounts based on activity level.

UCLA Flat amount -

UCR Flat amount

UCSB 4 Tiers:
- Base (MOU + suppl.): For attending event. (Years ago was $300; last year base=$412; now 300 + 200 suppl.= $500 total per person. Currently under discussion because of new MOU: base may become $600 per person.)
- Tier 1: (MOU + lower suppl.--$200 last year): Committee member, Discussion Group chair, presentation, poster session.
- Tier 2: (MOU + medium suppl.--$300 last year) Committee chair
- Tier 3: (MOU + highest suppl.--$400 last year) President

Per diem for LAUC funded activities: granted only for those days individual serves on a panel, chairing or attending a committee meeting.

UCSC Flat-except for redistribution in which junior librarians get more than seniors (complicated formula).

UCSD Flat - each librarian gets the same allocation.
UCSF Each librarian gets the same amount. It varies each year. They get a quarterly report that tells them how much of their money they have used.

Do department heads get more money ?

UCB Not, not out of the PD funds but they get other types of travel funds

UCD No, not from the PD money. They have a separate pot of money for travel

UCI No

UCLA No.

UCR

UCSB No. Dept. heads are not differentiated from unit librarians.

UCSC No

UCSD No.

UCSF No.

Application process -- use forms ?

UCB Any librarian who expects to be reimbursed for professional travel activities must submit an application. With signatures of supervisor, etc.

UCD One form is used for all kinds of travel-- both administrative and Professional Development travel

UCI There is a Professional Development request form. One form must be submitted for each activity. Must be signed by supervisor, department head, AUL, and AUL for Human Resources.

UCLA Librarians do not have to apply. Travel reimbursement forms are submitted after travel is completed..

UCR Internal memos are sent in response to call for needs at beginning of fiscal year

UCSB One form is used for both LAUC and administrative funding-two sided. Form works well. Need to attach description of meeting, application, verification of activities that qualify for supplemental funding. Should fill out form even for release time, but not everyone does so. Committee doesn't see the form if only release time is involved

1. Applicant submits paperwork to supervisor (usually is a dept. head).
2. Dept. head submits to AUL who makes decision if Administrative funding can be used, or if it goes to LAUC committee.
3. If AUL doesn't fund as administrative, AUL sends to LAUC PDC committee.
4. LAUC PDC sends to UL. (UL's office makes copies for Library & business office)
5. UL sends form back to LAUC PDC committee

UCSC One request form for professional development funds and administrative. (Have a check-box at top.) Need to fill it out before travel.

UCSD One form is used for all travel, conference attendance etc., whether covered by administrative travel or professional development funds.
The form goes to the Library Business Office via the individual library's administrative asst.
UCSF They submit a Travel & Meeting Request form (to the Business Office?).

Calendar and/or deadlines for applications?

UCB Not recently because of the flat amount

UCD Real flexible -- can send in requests at any time and can send in as many as needed

UCI Yes. The Professional Development Committee sends out a call with a deadline. In response to this Call, librarians may submit a Librarian Request for Professional Development Support form for each activity planned for the entire fiscal year.

UCLA Deadline for submitting receipts for reimbursement based on the fiscal year.

UCR Fiscal year

UCSB Deadline towards end of fiscal ear. If someone forgets to fill out the form before travel, they can fill it out even after they have traveled. However, need receipts to get refunded. Towards April, start "pulling" their money, so they need to report then.

Wanted to see how many people were turned down for funding, but couldn't track that.

Keep a paper file per person.

UCSC Very loose--everything needs to be turned in by June 1.

UCSD Travel request needs to be submitted 30 days in advance of the activity.

UCSF Can be submitted at any time. Often depends on the timing of the event.

UCR Any time during the year

4. Please describe the reimbursement process for Professional Development activities

UCB Reimbursement requests must include a copy of the approved travel request. All requests for reimbursement, with original receipts attached, must be submitted to the Library Business Office within fifteen (15) days after returning from the meeting/event and must conform to campus guidelines on travel.

UCD Must submit an expense report form with receipts to the Library Personnel Office within 5 working days of trip completion. Librarians who want to be eligible for additional year-end funding must submit a travel reimbursement for each trip

UCI All receipts should be submitted to the Library Business Office within 30 days of return to the Library from the professional activity.

UCLA Usually quick, streamlined process. Direct payment of registrations & airfare can be made by Library Business office if one uses the UCLA Travel office. Librarians submit travel forms that details activity accounting information.
UCR - usually about 4 weeks after attendance of conf or completion of travel - Library can prepay registrations up to allocation limit and has relationship with two travel agencies.

UCSB (See answers to specific questions below.)

UCSC (See answers to specific questions below.)

UCSD Librarian submits a reimbursement form and required documents to the Library Business Office via the individual library's administrative asst.
UCSF They submit a reimbursement request to the Library's Business Office.

Turn around time for reimbursements ?

UCB Could take between 6-8 weeks -

UCD One to two weeks. Can be longer at year end.-- with fiscal closing.

UCI Varies widely. Could be as much as 2 months

UCLA 2-4 weeks

UCR Doesn't seem to be a problem - about 4 weeks

UCSB Varies: 1.5 weeks to 4 months even if paperwork is complete. The delay occurs after the request leaves the library. Sometimes are able to expedite the process for junior librarians.

UCSC Usually less than a week.

UCSD Can be as short as 2 weeks, reliably within the pay period if librarian submits documentation promptly.
UCSF Within 2-3 weeks of submitting the reimbursement request.

Direct payment of registrations, airfare, etc. by the library ?

UCB No. They are trying to work out direct payment of airline tickets

UCD No

UCI No.

UCLA -yes. Uses UCLA Travel Office for airfare. Library Business Office pays bills. Can also sometimes prepay conference registration.

UCR Yes

UCSB Rare for PD travel.

UCSC Possible, but rarely done.

UCSD Yes.

UCSF Airfare only. In order to do this, they must go through the campus travel office who add a $20.00 transaction fee and who do not always get the lowest fares so most librarians make their own arrangements.

How much of the paperwork and record keeping is done by your business office:

UCB
All of it

UCD All of it. The Administrative Assistant had a database/spreadsheet. She keeps track of what each librarian spends, etc. She sends each librarian a report "Travel Summary- by Fund"
This report shows how much was spent, how much was reimbursed, etc.

UCI The Business Office does most of this after the requests have been turned in.

UCLA - All paperwork is done by the Business Office

UCR
Done by Library Budget Office or AA in UL's Office

UCSB Some.

UCSC Paperwork and record keeping done by business office (a wonderful long-term employee.)

UCSD By an Administrative Assistant in the Library's Business Office.

UCSF Almost all.

How much of the paperwork and record keeping is done by your LAUC PD committee

UCB None is done by the PD Committee. The LAUC-B treasurer maintains the roster of librarians

UCD PAC keeps a copy of the travel requests forms only

UCI Signs off on the requests and chair makes an annual report to the LAUCI-I Executive Board. Committee also figures the tier amounts

UCLA None.

UCR Signs off on allocations

UCSB Most. Spends approximately 25-30 hours per year in processing requests.

UCSC Makes sure forms are complete, signs off on forms and sends to Business Office

Librarian submits form to supervisor. Supervisor submits to Dept. Head. Dept. Head submits to LAUC. LAUC submits to AUL. AUL sends to Business Office. Business Office makes sends a copy back to LAUC.

UCSD The administrative asst in each library helps complete the form (keeping one copy) and collect the documentation in an organized way. All other paperwork and record keeping is done by the Library Business Office.
UCSF The LAUC PD committee (one person) reviews a quarterly budget report and reports to others how much is available to them.

5. What responsibility does the librarian have to account for funded activities? Submit a report or other method ?

UCB No written report required. There is an expectation that at the next department of division meeting the librarian will give a brief oral report of the conference or activity

UCD No requirement for written report.

UCI All librarians awarded professional development funding are strongly encouraged to submit a brief report to the LAUC-I Professional Development Committee stating the nature of the activity and the most significant outcomes or issues that may be of interest to
colleagues. During the last few years we have been using Brown Bags for librarians to report on their activities.

UCLA - besides supporting travel form, other reporting depends on the unit. This year there was a Program Committee event where librarians come to report on special conferences & activities.

UCR
none

UCSB Attempted to have librarians submit report, but not enforcement. Long ago, an event wouldn't be funded unless a report was submitted.

UCSC Turn in receipts and registration form. Only submit a report if have received money for a project.

UCSD Varies department by department. At the Biomed Library, the expectation is that the attendee will be able to provide a verbal report on the activity.

UCSF Not strict, but they are considering requesting an oral report at their monthly LAUC meeting to share information.

6. What other sources of funding are available for professional development and travel ?
Administrative funds:

Amount and who is eligible

UCB This past year there was 85,000 for administrative travel -- all librarians are eligible
The same form is used to request this funding

UCD Do not know the amount but it is used a lot. Some very expensive conferences are supported both by PAC funds and Administrative funds

All librarians are eligible to request Admin. funds

UCI There is administrative funding available to all librarians. Amount is unknown.

UCLA The amount of administrative funding varies. If a librarian is asked to attend a meeting it is paid out of administrative funding.
UCR - some grants from the campus or money may be available that is tied to an assignment - similar to
Administrative travel

UCSB New UL last year. Committee for Professional Development is currently charged to write up guidelines for administrative travel.

An activity can be funded using a combination of administrative and LAUC PDC funds. (You're going anyway, but we will give you X amount if you attend/do this while you are there.)

Amount: As determined. Eligibility determined in discussion between UL, Dept. Head, and individual.

UCSC If approved, pay for everything. Receipts needed.
All librarians are eligible.
If representing UCSC-usually for other UC meetings at discretion of UL.

UCSD There are administrative funds available for various purposes. Each AUL and Dept Head is aware of these resources and can suggest and/or authorize appropriate use of whatever funds are available. Generally if a librarian is required to attend an activity, the
funds come from administrative travel or some other source. If a librarian chooses to attend an activity, the expectation is that they will use their professional development funds.
UCSF They have administrative funds to support some activities.

Allocation and distribution method

UCB The same form and reimbursement process is used as with the PD funds

UCD The same travel request form is used -- and all the same signatures are required

UCI Librarian fills out a "Administrative Request Form" All request s have to be approved by the Department Head, AUL and UL

UCLA
UCR Nothing special noted

UCSB

UCSC

UCSD Librarian asks department head. Department head asks their boss.

UCSF Administrative funds are put in a pot and divided by the number of positions.

UCR Not a big practice

Other sources of travel funds -- please explain

UCB Some have grants, or LAUC funding

UCD Grants, Dept. Head funds, LAUC funds

UCI Grants, LAUC

UCLA - Librarians are encouraged to seek additional avenues of funding available via grants, etc. Sometimes there are additional funds made available via the Deans' offices in Schools of Law, Medicine, etc.

UCR Some librarians who work on grants and soft money (ie) newspaper staff, are funded separately

UCSB

UCSC
None, except apply for grants like ACRL;

UCSD Obtaining funds from other sources is always encouraged: grants (LAUC statewide and local R&PD, etc.), awards from professional societies, etc.
UCSF none.

UCR Not noted