Source: http://www.nysl.nysed.gov/libdev/sarbit/anrpinst.htm
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Budget Applications and Annual Reports for Library Systems (SARBIT): Library Development: New York State Library
/ Annual Report Instructions Instructions: Annual Report for Library Systems
This document available in .PDF format [214k]
Part 1 – GENERAL SYSTEM
1.1	SEDCODE – The twelve-digit agency code assigned to the system by the New York State Education Department for the purpose of receiving state aid payments.
1.2	SYSTEM NAME – The legal name of the library system as indicated on the system's charter (school library system name must match the name of the educational agency that sponsors the program).
1.3 – 1.4 BEGINNING REPORTING YEAR AND ENDING REPORTING YEAR – The reporting year (mm/dd/yyyy).
1.5 – 1.8	STREET ADDRESS - The complete street address of the system. Do not report a post office box or general delivery. Include 4-digit postal zip code extension (if unknown, enter N/A).
1.9 – 1.12 MAILING ADDRESS - The complete mailing address of the system. Do include a post office box or general delivery if appropriate. Include 4-digit postal zip code extension (if unknown, enter N/A).
1.13 TELEPHONE NUMBER - The phone number of the system, including area code (enter 10 digits only and hit the Tab key).
1.14 FAX NUMBER - The phone number for sending fax messages to the system, including area code (enter 10 digits only and hit the Tab key).
1.15 SYSTEM HOME PAGE URL - The Internet's World Wide Web address of the system's Home Page.
1.16 URL OF THE SYSTEM’S COMPLETE PLAN OF SERVICE – The Internet’s World Wide Web address of the system’s complete Plan of Service, Parts 1 through 5.
1.17	POPULATION CHARTERED TO SERVE - The official population counts given in the Bureau of the Census, 2010 Census of Population and Housing, Summary Populations and Housing Characteristics, New York, issued March 2001, U.S. Department of Commerce, Bureau of the Census.
1.18 AREA CHARTERED TO SERVE – Final Square Mile Count issued by the New York State Data Center.
1.19 FEDERAL EMPLOYER IDENTIFICATION NUMBER – The nine-digit number assigned to the system as an employer, by the Internal Revenue Service, for the purposes of reporting taxes withheld.
1.20 COUNTY – The name of the county in which the main system building is located.
1.21 COUNTY (COUNTIES) SERVED – The name(s) of the county (counties) wholly and partially served by the system.
1.22 SCHOOL DISTRICT – For public library systems and reference and research library resources systems, the name of the school district in which the main library system building is located. For school library systems, the name of the school district in which the main BOCES/Big 5 Cities administrative office is located.
1.23 – 1.30	SYSTEM DIRECTOR AND PUBLIC LIBRARIAN CERTIFICATION NUMBER/SCHOOL ADMINISTRATOR AND SUPERVISOR CERTIFICATE AND/OR SCHOOL DISTRICT ADMINISTRATOR CERTIFICATE AND/OR SCHOOOL DISTRICT LEADER CERTIFICATE – The public library system director's name and New York State Public Librarian's Certification number. Public library system directors are required to have a New York State public librarian certificate. The 3Rs director must be eligible for public librarian certification; if a 3Rs director does not have a New York State Public Librarians Certification Number, enter N/A. School Library Systems are required to have a director who is a certified school media specialist who also possesses a School Administrator and Supervisor Certificate (SAS) and/or a School District Administrator Certificate (SDA) or a School Building Leader (SDL) and/or School District Leader (SDL) Certificate. Please do not enter school library media specialist certification numbers.
1.31 – 1.33 TELEPHONE NUMBER/E-MAIL ADDRESS/FAX NUMBER OF THE SYSTEM DIRECTOR – The telephone number and extension or the direct telephone number of the system director. The library e-mail address and fax number for contacting the system director. Enter the fax number even if the same as question 1.14. For privacy issues, the e-mail address is collected for internal use only by Division of Library Development staff and will not be disseminated.
1.34	OUTREACH COORDINATOR – The name of the public library system’s Outreach Coordinator. NEW YORK CITY SYSTEM COORDINATORS – The name, certification and directory information for New York City library system coordinators. For privacy issues, the e-mail address is collected for internal use only by Division of Library Development staff and will not be disseminated.
1.35 – 1.41	SLS DIRECTOR’S SUPERVISOR – The name, mailing address, telephone number and e-mail address of the School Library System Director’s supervisor. For privacy issues, the e-mail address is collected for internal use only by Division of Library Development staff and will not be disseminated.
1.42– 1.46	BOCES/BIG 5 CITIES SUPERINTENDENT – The name and mailing address of the BOCES/Big 5 Cities District Superintendent.
1.48	CONTRACTUAL AGREEMENT – Indicate whether the system has a contractual agreement with a municipality or district to provide direct library services to residents of an area not served by a chartered library. If yes, provide information for each contract; if no, enter N/A in each answer field of one repeating group.
1.49 REPORT OF UNUSUAL CIRCUMSTANCE(S) – Explain any situation(s) or circumstance(s) that affected the statistics reported. Part
2 – PERSONNEL INFORMATION
Report figures as of the end of the reporting year indicated on question 1.4. Include the FTE for all positions funded in the system's budget whether those positions are filled or not. This report requires conversion of part-time hours to full-time equivalents, or FTE's. To compute the FTE of employees in any category, take the total number of hours worked per week for all budgeted positions in that category and divide that total by the number of hours per week the library considers to be full-time.
2.1-2.3 FTE (FULL-TIME EQUIVALENT) CALCULATION - Record the number of hours per week used to compute FTE for all budgeted positions for the purposes of this report. This should be no more than 40 hours per week. (35-40 hours per week equals 1.0 FTE).
2.4 – 2.21 BUDGETED POSITIONS IN FULL-TIME EQUIVALENTS (FTE) As of the end of the reporting year indicated on question 1.4, report the number of full-time equivalents (FTE) in all budgeted positions, as well as any vacant positions funded by the system’s budget. For example, 60 hours per week of part-time work by employees in a staff category divided by a 40-hour per week measure equals 1.50 FTEs. Report the FTE to two decimal places.
2.4, 2.6, 2.8, 2.10, 2.12, 2.14, 2.16, and 2.18 – Report the number of filled positions in full-time equivalents (FTE). Show to two decimal places.
2.5, 2.7, 2.9, 2.11, 2.13, 2.17, and 2.19 – Report the number of vacant positions funded in the library's budget in full-time equivalents (FTE). Show to two decimal places.
2.4-2.9 – System Director – Positions counted in this series must meet relevant Commissioner’s Regulations cited.
2.10-2.11 – Librarian – Positions counted in this series possess or are eligible for a New York State Public Librarian's Certificate, School Media Specialist Certificate or School Administrator and Supervisor Certificate, whether provisional or permanent.
2.12-2.13 – Outreach Coordinator (certified) – Positions counted in this series require a New York State Public Librarian’s Certificate.
2.16-2.17 – Total Other Professional Staff – Count all other paid professional positions. Include business managers, archivists and information technology staff, and other degreed professional staff.
2.18-2.19 – Total Other Staff - Count all other paid staff positions that are not counted on questions 2.2 through 2.15. Count support staff, clerical assistants, building and maintenance staff, custodial staff, building guards, and any other paid staff.
2.22 – 2.25	SALARY INFORMATION - Report the FTE (based on the number of hours reported on question 2.1) and the current annual salary as of the end of the reporting year indicated on question 1.4 for these positions, even if vacant. Where a position is vacant, indicate the FTE and annual salary that the employee would earn if the position were filled. If there is no set "annual" salary figure for a position, then multiply the hourly salary by the number of hours worked per week by 52 weeks (i.e., salary x number of hours worked per week x 52 weeks). The FTE should not be greater than 1. The numbers of hours worked per week should not be greater than 40. If the system does not hire entry-level librarians, enter N/A in questions 2.22 and 2.23. School library systems only – when reporting current annual salary on questions 2.23 and 2.25, enter the current annual salary for the position(s), regardless of how the position is funded (operating aid, categorical aid, Co-Sers or any other funding sources). Part 3 – SYSTEM MEMBERSHIP, OUTLETS
3.8	OTHER (NON-LIBRARY) MEMBERS – Report the number of non-library members, including individuals, retirees, businesses, organizations, etc., per the system’s bylaws in the approved plan of service.
3.9 NUMBER OF MEMBER LIBRARIES – Report the number of libraries that are members of the public library system.
3.10	NUMBER OF MEMBER PUBLIC SCHOOL DISTRICTS – Report the total number of public school districts that are members of the reporting school library system. Report the number of participants/buildings on question 3.14.
3.11	NUMBER OF MEMBER NONPUBLIC SCHOOLS – Report the total number of non-public schools that are members of the reporting school library system. Report the number of participants/buildings on question 3.14.
3.12	TOTAL NUMBER OF MEMBERS –Total of questions 3.10 and 3.11.
3.13	NUMBER OF PARTICIPATING SCHOOL LIBRARY MEDIA CENTERS – Report the total number of school library media centers in the member public school districts and member nonpublic schools.
3.14	NUMBER OF SCHOOL LIBRARY SYSTEM PARTICIPANTS (BUILDINGS) – Report the total number of buildings served by the reporting school library system in both member public school districts and nonpublic schools.
3.15 SYSTEM HEADQUARTERS – System headquarters is the outlet that is the administrative/operational center of a system.
3.16 – 3.21 PUBLIC SERVICE OUTLETS (Public Library Systems Only)
3.16	BRANCHES
A branch library is an auxiliary unit of the library system, which has at least all of the following: 1) separate quarters; 2) an organized collection of library materials; 3) paid staff; and 4) regularly scheduled hours for being open to the public.
Do not include the main library.
Do not include branches of member libraries.
3.17	BOOKMOBILES
A bookmobile is a traveling branch library.
It consists of at least all of the following: 1) a truck or van that carries an organized collection of library materials; 2) a paid staff; and 3) regularly scheduled hours (bookmobile stops) for being open to the public.
3.18	READING CENTERS A reading center is a public service unit established by contract between a community and a public library system which has at least all of the following: 1) separate quarters; 2) an organized collection of materials; 3) paid or volunteer staff; 4) regularly scheduled hours for being open to the public; and 5) is operated under the authority of and within the provisions of the plan of service of the library system.
3.19 OTHER OUTLETS Examples are outlets in senior citizen centers, daycare centers, jails or other organizations or institutions with designated space and with frequently changed collections of books and other library materials.
3.21 NAME OF CENTRAL/CO-CENTRAL LIBRARY The name of the system’s central library. Systems with co-central libraries should enter the names of both libraries.
3.22	NUMBER OF BOARD/COUNCIL MEETINGS- Report the number of business meetings held by the library system's board as of the end of the reporting year indicated on question 1.4. The board of trustees of public library systems and reference and research library resources systems must meet at least six times during the reporting year; school library system councils must meet at least four times during the reporting year.
3.23	URL OF THE SYSTEM’S COUNCIL MEETING MINUTES – The Internet’s World-Wide Web address of the System’s Council Meeting Minutes for the period of July 1, 2010 – June 30, 2011.
3.24 NUMBER OF VOTING POSITIONS ON SYSTEM BOARD/COUNCIL - Report only the total number of voting positions on the library system board/council. Do not include ex-officio (non-voting) members or community liaisons to the library system board/council.
3.25-3.27	OATH OF OFFICE – Indicate whether the system board has taken and filed the Oath of Office, the date the Oath was taken and the date the Oath was filed.
3.28	BOARD/COUNCIL SELECTION CODE - Indicate the code that best represents the selection process for library system board/school library system council members.
E - Board/Council Members are elected by the library association or the member libraries
A - Board Members are appointed by municipality(ies)
O - Other (per By-Laws in the system's approved Five-Year Plan of Service)
3.29-3.40	PRESIDENT/COUNCIL CHAIR – Provide information for the system’s current Board President or Council Chair. For privacy issues, the e-mail address is collected for internal use only by Division of Library Development staff and will not be disseminated.
CURRENT BOARD/COUNCIL MEMBERS – Public library systems should report board members serving for the period January 1, 2012 – December 31, 2012. School library systems and 3Rs systems should report board/council members serving for the period July 1, 2012 – June 30, 2013.
Provide information for current officers and board/council members of the library system board, listing the officers first. Complete one record for each officer and board/council member except for the Board President or Council Chair.
The number of records for the Board President/Council Chair plus the board/council members should be the same as the number of voting board/council positions entered in question 3.23.
Do not report ex-officio (non-voting) members or community liaisons to the library system board/council. If a board/council position is vacant, please select "Vacant" for question 1 and enter N/A in questions 2-10 of the repeating group for each vacant voting board/council position.
If there is no term expiration date, enter N/A in the month and year fields.
3.41	COORDINATED OUTREACH COUNCIL – Indicate whether the Coordinated Outreach Council met at least two times during the (reporting) calendar year per CR 90.3(j)(2)(iv).
Public Library Systems only – report council members serving for the period January 1, 2012 – December 31, 2012. Complete one record for each member of the Coordinated Outreach Council. If a council position is vacant, please select vacant in question 1 and enter N/A in questions 2-5 of the repeating group for each vacant position. The Coordinated Outreach Services Advisory Group includes members of the target population groups and agencies who work with these groups within the system’s service area and one director of a member library. Council members are to serve three-year terms. Part 4 – PUBLIC LIBRARY SYSTEM TRANSACTIONS
4.1 REGISTERED SYSTEM BORROWERS – Report the total number of individual borrowers registered by the system as library cardholders (direct clients of the system only). Include here individuals that reside in areas the system has a written or verbal contract to serve. Multiply by 2.77 if registration method is by household or family.
4.2 TOTAL SYSTEM CIRCULATION
Report direct transactions to system headquarters staff and to patrons handled by the system headquarters, including patrons handled by the system’s branches, bookmobiles and reading centers. Do not include here materials sent to member libraries or member library circulation.
Report the total annual circulation of all library materials of all types charged out for use outside the system, including renewals.
Include items borrowed for users through interlibrary loan (materials received) and charged out for home use.
Items loaned in bulk (bulk loans) to schools or other institutions for circulation by the school or institution are counted as one circulation per item (the initial loan from your system to the school or institution). Items sent from one outlet of the library system to another, i.e., from main library to a branch, are not counted as circulation.
Items packaged together as a unit which are generally checked out as a unit, should be counted once for each loan of the unit (e.g., two compact discs, two films, two video cassettes, a kit or a set of 25 slides).
4.3 SYSTEM VISITS (Total Annual Attendance) – Total number of persons entering the system for whatever purpose during the reporting year.
If annual accounts are available, please report them. Otherwise, provide an annual estimate based on a count taken during a “typical week”. If you have a “typical week” count, multiply the count by 52 weeks to report the annual count.
A “typical week” is a week in which the system is open its regular hours, is neither unusually slow nor unusually busy, and containing no holidays/special events. It is seven consecutive calendar days, from Sunday through Saturday, or whatever days the system is open during that period. Please report all figures for the same week, if possible. It is recommended that systems take a count during a typical week in October.
Report the total number of persons entering the system for whatever purpose during the year. Include persons attending activities, meetings, program sessions, and those persons requiring no staff services. This is an annual attendance record.
4.4 – 4.10 SYSTEM HOLDINGS
For each category of holdings, report the total number of materials to which the system retains title at the end of the reporting year indicated on question 1.4 and are not reported by a member library. This should include all materials owned by the public library system under the Central Book Aid (CBA) program, which are not reported by a member library. This may also include materials secured through Federal programs such as LSTA.
Microform (microfilm, microcard, and microfiche) is not a separate category but is included within each specific category. For example, a microcopy of a cataloged book is counted as one cataloged book volume.
Government Documents – Publications bearing a government imprint (e.g., the publications of Federal, state, local, and foreign governments, and of world organizations such as United Nations, European Community, etc.) are not a separate category, but included within each specific category.
Documents that are fully cataloged and inter-shelved with books are counted as Book Holdings.
Serials bearing a government imprint, but that are treated as part of the serials collection, are counted as Serials.
Documents held in vertical files with other ephemera are counted with All Other Materials.
Government documents held in a separate documents section of the system are also counted with All Other Materials.
A volume is a physical unit of any printed, typewritten, handwritten, photocopied, or processed work contained in one binding or portfolio, hardbound or paperbound, which is cataloged, classified, and made ready for use.
4.4 TOTAL CATALOGED BOOK HOLDINGS Report non-periodical printed publications bound in hard or soft covers, or in loose-leaf format.
Must be cataloged and available for use.
Include foreign language books and books on rental shelves.
Do not include bound serials in Book Holdings.
Include duplicate copies of titles and the number of volumes in sets of books.
4.5 NON-CATALOGED BOOK HOLDINGS – Report all non-cataloged books.
4.6 TOTAL PRINT SERIAL HOLDINGS
Serials are publications, including those in print or on microform, issued in successive parts, usually at regular intervals and, as a rule, intended to be continued indefinitely.
Volumes are a unit established by the publisher. Enter the number of volumes held, including duplicate copies of volumes, regardless of whether the material is bound, unbound or on microform.
Serials include periodicals (magazines), newspapers, annuals (reports, yearbooks, etc.), proceedings, and transactions of societies.
Count unbound serials for prior years as a volume when the library has at least half of the issues in a publisher’s volume.
Do not count serials in electronic format here.
4.7 ALL OTHER PRINT MATERIALS HOLDINGS
Include print library materials which do not meet the definition of a book or serial, and which are not counted in other categories of holdings. Report vertical file materials and similar items not individually cataloged, and any other materials which require special handling.
Examples are pamphlets, documents, catalogs, manuscripts, sheet music, maps, pictures and photographs, framed pictures, and other materials owned by the system that are not counted in other categories of holdings.
4.8 TOTAL ELECTRONIC HOLDINGS
Report library materials requiring the use of special equipment in order to be seen or heard.
Report materials such as recordings, transparencies, tapes, slides, films, filmstrips, and visual/book kits. Include:
Materials on which sounds (only) are stored (recorded) and that can be reproduced (played back) mechanically or electronically, or both.
Included in this category are records, audiocassettes, audio-cartridges, audio-discs, audio-reels, audio-tapes, audio compact discs (CDs) and other sound recordings.
Report audio recordings of spoken text (such as books-on-tape, books on CD and talking books) as well as music.
Materials on which pictures are recorded, with or without sound.
Electronic playback reproduces pictures, with or without sound, using a television receiver or monitor.
Include video laser discs, video tapes, video cassettes, DVDs, etc.
All Other Audio-Visual Materials
Report materials such as films, slides, filmstrips and other audio-visual materials not included in other audio-visual categories.
E-books are digital documents (including those digitized by the library), licensed or not, where searchable text is prevalent, and which can be seen in analogy to a printed book (monograph). Include non-serial government documents. E-books are loaned to users on portable devices (e-book readers) or by transmitting the contents to the user’s personal computer for a limited time. Include e-books held locally and remote e-books for which permanent or temporary access rights have been acquired. Report the number of physical or electronic units, including duplicates, for all outlets. E-books packaged together as a unit (e.g., multiple titles on a single e-book reader), and checked out as a unit, are counted as one unit.
Report the number of databases, including locally mounted or remote, full-text or not, for which temporary or permanent access rights have been acquired. A database is a collection of electronically stored data or unit records (facts, bibliographic data, abstracts, texts) with a common user interface and software for the retrieval and manipulation of the data.
Report the number of NOVEL databases as well as database licenses (subscription or one-time purchases). Each licensed database product is counted individually even if access to several licensed database products is supported through the same interface (e.g., ProQuest, OCLC FirstSearch).
Note: The data or records are usually collected with a particular intent and relate to a defined topic. A database may be issued on CD-ROM, diskette, or other direct access method, or as a computer file accessed via dial-up methods or via the Internet. Include such services as EBSCO and OCLC FirstSearch, but do not include other electronic serial databases (e.g., Project MUSE, OCLC ECO Project).
Other Electronic Material Holdings
Report the number of physical units such as CD-ROMS, diskettes, etc., that are designed to be processed by a computer. Examples are government documents, reference tools or serials distributed on CD-ROM or other portable digital carrier, diskettes or magnetic tapes. Exclude bibliographic records used to manage the collection, library system software, and microcomputer software used only by the library system staff.
CD-ROMS (Compact Disc - Read Only Memory) require the use of a computer, monitor and CD-ROM player.
Include multi-media, interactive CD-ROM kits.
Each CD-ROM is counted as one physical item regardless of the content or material on the CD-ROM (e.g., reference books or encyclopedia).
Report the number of physical units owned or leased by the system, that are designed to be processed by a computer, such as magnetic tapes and magnetic disks.
Examples are U.S. Census data tapes, government documents, reference tools or serials distributed on portable digital carrier, diskettes or magnetic tapes.
Do not count bibliographic records used to manage the collection, library computer system software, and microcomputer software used only by the library staff. 4.9 ALL OTHER HOLDINGS – Include library materials, which do not meet the definition of a book, serial or electronic holding, and which are not counted in other categories of holdings.
4.11 – 4.13 ROTATING COLLECTIONS/BULK LOANS – Indicate whether the library system has rotating collections/bulk loans available to member libraries. Do not include these collections in interlibrary loan. Specify the number of collections and the average number of items per each collection. Part 5 – SYSTEM
5.1 – 5.12 INTEGRATED LIBRARY SYSTEM (ILS)
An ILS is defined as a suite of software programs that support all standard library operations, including acquisitions, cataloging, inventory, serials control, circulation, the on-line public catalog, and may include media booking and community information. Library systems may not implement all of these functions, but cataloging, circulation, and public catalog are considered minimal.
5.2 Indicate which modules of an ILS your library system has implemented. Check all that apply.
5.3 Identify the ILS vendor.
5.4 Indicate how many member libraries in your system fully participate in the ILS.
5.6 Indicate the number of member libraries that participate in some ILS modules.
5.7 Indicate the features of your ILS. Check all that apply.
5.8 Indicate the total number of titles in the bibliographic database in all formats (books, serials, media, etc.).
5.9 Indicate the total number of new titles added to the collection owned by the library system during the reporting year. Include all formats (books, serials, media, etc.). 5.10 Indicate the total number of titles added that were purchased with Central Library Book Aid and Central Library Development Aid in the reporting year. Include all formats (books, serials, media, electronic media, etc.).
5.11 Indicate the total number of titles added by the system’s members only during the reporting year. Include all formats (books, serials, media, etc.).
5.13 – 5.18 UNION CATALOG OF RESOURCES A union catalog is an accessible file of the combined cataloged holdings of all the libraries in a library system or of the collections of a group of independent libraries. This file indicates by name and/or location symbol which libraries own at least one copy of each item.
5.19 – 5.20 UNION LIST OF SERIALS
A union file of serials is an accessible file of the combined serial holdings of all the libraries in a library system or of the collections of a group of independent libraries. This list indicates by name and/or location symbol which libraries own at least one copy of each item.
5.21 COMBINED UNION CATALOG
The catalog contains both books and serials.
5.22 – 5.26 VIRTUAL CATALOG A virtual catalog is a list, stored on multiple computer hosts, of the holdings of all the libraries in a library system or of all or a portion of the collections of a group of independent libraries. This list indicates by name and/or location symbol which libraries own at least one copy of each item. Searches made against these multiple hosts are collated into a single user interface. 5.22 – 5.24 Indicate whether your library system provides a virtual catalog for its members, how many catalogs are included and how many member catalogs are Internet-accessible.
5.25 Indicate the features of the system’s virtual catalog. Check all that apply.
5.26 Provide access to any catalog of library materials not accessible through the library system’s web-based union catalog.
5.27 ANNUAL NUMBER OF VISITS TO THE SYSTEM’S WEB SITE – Count annual visits to the system via the Internet. A visit occurs when a user (internal or external) connects to the system’s web site for any length of time or purpose, regardless of the number of pages or elements viewed. For example, if a user visits the system’s web site and looks at 16 pages and 54 graphic images, your web server records this as a single visit.
5.28 – 5.31 STATEWIDE INTENET LIBRARIES (FORMERLY NOVELNY-READY LIBRARIES) - Indicate how many of the library system's member libraries have achieved any of the three levels of Statewide Internet Library-ready status (report the members under their highest level only; these are not cumulative figures). 3Rs count only academic and special library members; PLS and SLS members should count their members. For definitions of Statewide Internet Library-ready status, refer to the New York State Library’s web site at www.nysl.nysed.gov/libdev/nvlready/levels.htm.
5.32 – 5.36 SYSTEM INTERLIBRARY LOAN ACTIVITY – This category refers only to interlibrary loan activity performed/handled by the system. Include items borrowed or loaned outside the system and for items borrowed or loaned within the system on behalf of member libraries, and not counted as circulation. Include interlibrary loan activity to correctional facilities. (Public library systems only should not include rotating collections/bulk loans to members.)
Count library materials or copies of the materials, including “patron placed” interlibrary loan requests.
Report data as an annual figure.
Photocopied materials mailed or transmitted to fill an interlibrary loan request are included within the count.
Do not count transactions among outlets (i.e. branches and bookmobiles) of the same library.
Total Materials Provided (Loaned) – (question 5.32) – Library materials, or copies of the materials, loaned by the reporting system to other systems, libraries, or agencies to fill a specific title, author or subject request.
Total Materials Received (Borrowed) – (question 5.33) – Library materials, or copies of the materials, borrowed to fill a specific title, author, or subject request (i.e. loans received from other libraries, systems, agencies or suppliers).
5.38 – 5.39 DELIVERY 5.38 – Indicate the delivery methods used by the system. Check all that apply.
5.39 – Indicate the average number of different stops per week. Include both pick up and delivery sites.
5.40 – 5.66 CONTINUING EDUCATION/STAFF DEVELOPMENT
These are programs initiated and sponsored by the system. Include all programs including on-line professional development that the system has facilitated or offered; do not include regularly scheduled system business meetings. SESSIONS: Provide the total number of sessions for each category. Count each session in a series of programs (e.g., a six-week session training course would count as six sessions.) PARTICPANTS: Provide the number of participants for the total number of sessions under each category.
5.40– 5.41 RESOURCE SHARING - Include sessions concerning ILL procedures, collection development, union list of serials, union catalog, virtual reference, delivery, etc.
5.42 – 5.43 TECHNOLOGY - Include sessions concerning computer technology and its use in the delivery of library services. Examples would be sessions on office software, using digital cameras, scanners, union catalog software, Internet search, etc.
5.44 - 5.45 DIGITIZATION – Digitization - Include sessions designed to provide library staff with the skills and information to plan, design and carry out any aspect of a digital project. 5.46 – 5.47 LEADERSHIP – Include sessions designed to provide library staff with the skills necessary to provide direction, guidance, influence and authority in executing their library programs both within the library and in the community. Examples would be sessions on effective public speaking, awareness of current library issues, etc.
5.48 – 5.49 MANAGEMENT & SUPERVISORY - Include sessions designed to assist library staff in developing management and supervisory skills relating to running libraries and library programs. Examples would be sessions on interviewing skills, filling out reports, dealing with difficult employees, etc.
5.50 – 5.51 PLANNING AND EVALUATION - Include sessions designed to help library staff plan and evaluate library programs. Examples would be sessions on “Staffing for Results” or Outcome-Based Evaluation Training.
5.52 – 5.53 AWARENESS AND ADVOCACY - Include sessions designed to educate people, within and outside the library community, to the importance of library services. Examples would be meetings concerning local and statewide library initiatives, meetings with local and statewide legislators, and meetings with community leaders.
5.54 – 5.55 TRUSTEE/COUNCIL TRAINING - These trainings do not include regularly scheduled board/council meetings. They are held specifically for and attended by board/council members, and could include orientation of new trustees, educating trustees on statewide and local library initiatives, a regional or statewide sponsored meeting for several trustee groups, etc.
5.56 – 5.57 SPECIAL CLIENT POPULATIONS - Include sessions held to provide system and member library staff or volunteers with specific skills needed to work with any member of the populations named under Coordinated Outreach Law or with any members of special client populations defined in the system’s Plan of Service. This may include awareness or sensitivity training, as well as training in specific resources, equipment, referral sources and materials which are intended to benefit the community’s special populations.
5.58– 5.59 CHILDREN’S SERVICES/ELEMENTARY GRADE LEVELS - Include sessions held to train staff in providing programs, workshops, story times, etc. for children ages birth through eleven years of age.
5.60 – 5.61 YOUNG ADULT SERVICES/MIDDLE AND HIGH SCHOOL GRADE LEVELS – Include sessions held to train staff in providing workshops, meetings and programs for young adults, ages twelve through 18 years of age.
5.62 – 5.63 GENERAL ADULT SERVICES - Include sessions held to train staff in providing workshops, meetings and programs for adults, ages 19 and over.
5.64 OTHER – Indicate whether the system conducts training sessions in any category not covered in the above. If yes, complete one record for each category; if no, enter N/A in each answer field of one repeating group.
5.67 COORDINATED SERVICES – Indicate which services originated and are coordinated through the system for member libraries. Check all that apply.
Coordinated Print Purchases – The system sends out selection lists and purchases print materials for member libraries through combined print materials orders.
Coordinated Non- Print Purchases – The system sends out selection lists and purchases non-print materials such as e-books, electronic databases, videos, CD-ROMs, and DVDs, etc.
Negotiates Pricing for Licensed Electronic Collection Purchases (Not Purchasing) – The system negotiates a discounted group price from electronic database vendors directly from the vendor or through a statewide consortium for its member libraries.
Provides Cataloging Services – The system provides cataloging services for its member libraries.
Provides Materials Processing Services – The system provides processing, or “shelf-ready” preparation for its member libraries.
Coordinated Office Supplies – The system coordinates office supply orders for its member libraries.
Coordinated Computer Services/Purchases – The system offers computer server services and website design (include purchasing hardware and software; do not include installation and maintenance).
Virtual Reference – The system coordinates participation in a virtual reference service, funding it in whole or in part.
Other (Describe using the State note)
5.68 – 5.82 CONSULTING AND TECHNICAL ASSISTANCE SERVICES – Include number of contacts (customers) relating to program content, grant writing, budget, grants administration, legal, building, technology and other areas of expertise. Include contacts between the library system’s director, assistant directors, coordinators, and specialists (librarians, consultants, coordinators) of all kinds and your system’s member libraries. Visits, e-mail, phone, fax and written correspondence should all be counted here. Sampling (targeting a specific time period to get a representative amount) may be used.
5.80 OTHER – Indicate whether the system provides consulting and technical assistance in any topic not covered in the above. If yes, specify topic and provide the total number of contacts for each topic; if no, enter N/A in each answer field of one repeating group.
5.83 TOTAL REFERENCE SERVICES - Reference transactions, including information and referral services, are defined as an information contact that involves the knowledge, recommendations, interpretation, or instruction in the use of information sources by a member of the system’s staff. Information sources include:
Electronic collections and online tutorials
Catalogs and other holdings records
Communications with and referrals to outside libraries, institutions, community and governmental agencies of all kinds
If an actual count of reference transactions is unavailable, determine an annual estimate based on a count taken during a sample week or month. If the system does not provide reference services, enter zero.
5.84 – 5.90 SERVICES TO SPECIAL CLIENTS (Direct and Contractual)
5.84 SERVICES TO SPECIAL CLIENTS – Indicate the services the system provides to special clients. Check all that apply.
People with disabilities: Those who have a physical, visual, hearing, learning or developmental disability that makes it difficult to participate in library activities in largely the same manner as patrons who do not have such a disability. Include here Books-By-Mail and other services to individuals who are homebound.
People who are educationally disadvantaged: Those who have attended or currently attend schools and educational programs and are not able to function at the level required to hold a job, raise a family, or carry out citizenship duties. Include here services for persons in need of basic literacy skills and English for speakers of other languages.
People who are aged: Those who are age 65 or over, or who, due to their age, identify themselves as members of this group and are in need of special library services.
People who are geographically isolated: Those who do not have a library that is accessible to them due to geographic barriers, physical barriers, language barriers, library hours.
People who are members of ethnic or minority groups in need of special library services: Those who self-identify as members of an ethnic or a minority group that needs special library services. This includes people with special needs due to language barriers, ethnic, religious, sexual orientation or other backgrounds that are not generally addressed by mainstream library programs.
People who are living in an institution on a temporary or permanent basis: Those who reside in a nursing home, correctional facility, are hospitalized, or otherwise spend all or most of their time in an institutional setting.
People who are unemployed and underemployed: Include here system services that support member library and correctional library job information center and education information centers, programming, resume services, small business assistance, job testing, counseling, One-Stop and other employment and training programs.
Services to health care professionals in New York State hospitals through the Hospital Library Services Program: Include here system services that support hospital health care professionals.
5.90 OTHER SPECIAL CLIENT SERVICES – Indicate whether the system provides services not covered in the above, for example: Nursing homes, outlets in senior citizen centers, daycare centers, or other organizations or institutions within a designated space and with frequently changed collections of books and other library materials. If yes, specify service provided and the total number of facilities/institutions served; if no, enter N/A in each answer field of one repeating group.
5.91 – 5.92 FEES FOR PROGRAMS OR SERVICES – Indicate whether the system charges fees for any program or service. If yes, please use the text box to describe the programs or services for which the system charges, e.g., Integrated Library System, interlibrary loan, delivery, training, web services, etc.
The Operating Fund Report and the Capital Fund Report are to be used by library systems in reporting fiscal matters for the reporting year indicated on questions 1.3 and 1.4.
Report whole dollar amounts, rounded to the nearest whole dollar. These reports are cash-in/cash-out reports and reflect only money actually received and disbursed by the system under direction of its Board of Trustees, except as noted in Employee Benefits. Report amounts actually received and/or disbursed during the reporting year indicated on questions 1.3 and 1.4; do not include accruals for anticipated income and/or disbursements. The value of existing assets (e.g., real property, endowment or investment accounts) does not appear on the Financial Report. Do not estimate receipts and/or expenditures for any item furnished free, such as rent, utilities, or volunteer help. Grand Total Receipts must equal Grand Total Disbursements in both the Operating Fund and the Capital Fund.
Note: On Parts 6 and 7, School Library Systems should report receipts and disbursements from Operating Aid, Supplementary Aid and Categorical Aid for Automation. Part 6 – OPERATING FUND RECEIPTS
6.1 – 6.4 LOCAL PUBLIC FUNDS 6.1 FUNDS FROM COUNTIES
Specify by name each of the counties that are the source of the funds, report the corresponding dollar amount, and indicate whether public funds received were subject to a public vote and/or whether the funds were received through a written contractual agreement with the county. Complete one record for each county providing funds to the library system. If the system does not receive county funding, enter N/A on questions 1 through 4 of one repeating group.
6.3 ALL OTHER LOCAL PUBLIC FUNDS
Report all funds supplied by all local taxing agencies that are municipalities, school districts or special districts.
6.5 – 6.44 STATE AID
6.5 – Record amount received for Adult Literacy Library Services Grant. Ed. Law 273.1.h.2.
6.6 – Record Central Library Development Aid. Ed. Law 273.1.b.1.
6.7 – Record Central Book Aid. Ed. Law 273.1.b.2.
6.8 – Record Conservation/Preservation Grants. Ed. Law 273.7.a
6.9 – Record Construction for Public Libraries Aid. Report here only the grant for construction projects at the system’s headquarters and not reported on question 8.3. Do not record Special Legislative Grants or Member Items for construction projects that pass through the system here; these funds should be reported on question 6.35. Ed. Law 273.a.
6.10 – Record amount received for Coordinated Outreach Services Program. Ed. Law 273.1.h.1
6.11 – Record amount received for Aid for State Operated Correctional Facilities Libraries. Ed. Law 285
6.12 – Record amount received for Aid for County Jail Libraries. Ed. Law 285
6.13 – Record amount received for Documentary Heritage Program
6.14 – Record amount received for Family Literacy Grant. Ed. Law 273 (1) (h) (3)
6.15-6.17 – Hospital Library Services Program Aid. Ed. Law 273.4.c.2.
6.15 – Record the amount reserved for projects administered centrally by the 3Rs system.
6.16– Record total HLSPA distributed to members.
6.18-6.20 – Local Library Services Aid (LLSA) received in the current reporting year. Ed. Law 273.1.f.5
6.18 – Record any LLSA retained at system headquarters.
6.19 – Record total LLSA distributed to members.
6.20 – Total system-wide LLSA received in the current reporting year. 6.21 – Record Local Services Support Aid (LSSA) received in the current reporting year. This reflects aid earned under Ed. Law 273.1.f.6.
6.22 – Record Local Consolidated Systems Aid (LCSA) received in current reporting year. This reflects aid earned under Ed. Law 273.1.f.7.
6.23-6.25 – Record amount received for New York State Medical Information Services Program. Ed. Law 273.4.b.
6.23 – Record the amount reserved for projects administered centrally by the 3Rs system.
6.24 – Record total MISP aid distributed to members.
6.25 – Total MISP aid received in the current reporting year.
6.26– Record annual Public Library System Basic State Aid earned by aid formula - population grant, square mile grant, book reimbursement grant, automation grant, annual grant, etc. Ed. Law 273.1.a, c, d, e, l, m. 6.27 – Record Reference and Research Library System Basic Aid. Ed. Law 272, 274.4.
6.28-6.30 – Regional Bibliographic Data Bases Aid. Ed. Law 273.6.
6.28 – Record the amount reserved for projects administered centrally by the 3Rs system.
6.29 – Record the amount of project grants for regional automation purposes to 3Rs members from the reference and research library resources system (RBDB grants only). Ed. Law 273.6.
6.30 – Total RBDB aid received in the current reporting year.
6.31 – Record the total amount of project grants received (by public library system) from the Reference and Research Library Resources System for RBDB projects.
6.32 – Record the amount of project grants received (by school library system) from the Reference and Research Library Resources System for RBDB projects.
6.33 – Record School Library Systems Operating Aid. Ed. Law 284.
6.34 – Record School Library Systems Categorical Aid for Automation. Ed. Law 284 (1)(g).
6.35 – Record Special Legislative Grants and Member Items.
6.36 – Record Supplementary System Aid
6.37 – Record special aid to The New York Public Library, The Research Libraries. Ed. Law 273(g).
6.38 – Record special aid to The New York Public Library, Andrew Heiskell Library for the Blind and Physically Handicapped Aid. Ed. Law 273(i).
6.39 – Record special aid to The New York Public Library, City University of New York (CUNY). Ed. Law 273(g).
6.40 – Record special aid to The New York Public Library, Schomburg Center for Research in Black Culture Library Aid. Ed. Law 273(i).
6.41 – Record special aid to The New York Public Library, Science, Industry and Business Library. Ed. Law 273(g).
6.42 – Indicate whether the system receives state monies from other state agencies, New York State Council on the Arts grants, etc. Report Special Legislative Grants and Member Items on question 6.35. If yes, specify source and amount; if no, enter N/A on both questions of one repeating group.
6.44 – Total State Aid – Total of questions 6.5 through 6.14, question 6.17, questions 6.20 through 6.22, questions 6.25 through 6.27, questions 6.30 through 6.41 and question 6.43.
6.45 – 6.48 FEDERAL AID
6.45 – Record aid from Library Services and Technology Act.
6.46 – Indicate whether the system receives monies from any other Federal program. If yes, specify the name of the act and the amount used for library operations; if no, enter N/A on both questions of one repeating group.
6.48 – Total Federal Aid – Total of questions 6.45 and 6.47.
6.49 – 6.50 CONTRACTS WITH LIBRARIES AND/OR LIBRARY SYSTEMS IN NEW YORK STATE
6.49 – Indicate whether the system contracts with libraries and/or library systems in New York State. If yes, specify the contracting agency, the contracted service and the total amount of the contract; if no, enter N/A on all questions of one repeating group.
Where the library system contracts with its member libraries for service (e.g., technology services), enter in the repeating group Member Libraries as the contracting agency, Technology Services as the contracted service, and the total contract amount received (total fees for service for member libraries must be reported as a lump sum - do not list individual libraries).
Record all contractual money received by the reporting library system from any library or library system in New York State as payment for goods purchased for and/or services rendered by the reporting library system. Receipts include, but are not limited to, automated service fees from member libraries, sale of supplies and printing to member libraries, and database license fees from the central/co-central libraries.
Where the library system has contracts with other libraries or library systems, one record must be completed for each contract specifying the name of the second party and the funds received. 6.51 – 6.58 MISCELLANEOUS RECEIPTS
6.51 GIFTS, ENDOWMENTS, FUND RAISING FOUNDATIONS – Record all money received as gifts from private persons or foundations (including Gates grants paid through the New York State Education Department), or through special/major fund raising activities or events – Specify Gates grants by using a State note including the Project # and amount. Money received from the sale of donated, obsolete, or unneeded books, including used book sales, withdrawn materials sales, etc., should be reported in question 6.55. 6.52 MEMBERSHIP DUES – Record all money received as dues from member libraries.
6.53 INCOME FROM INVESTMENTS – Record interest, dividends and earnings on investments. Do not record the value of investments.
6.54 – 6.55 PROCEEDS FROM SALE OF PROPERTY
6.54 REAL PROPERTY – Record receipts from sales of land and/or buildings.
6.55 EQUIPMENT – Record cash received from sales of equipment and vehicles.
6.56 OTHER – Complete one record for each category of receipts listing the receipt category that is the source of the income and the funds received. Include:
Refunds - Record refunds of disbursements from prior years such as a recovery or an overpayment to a vendor or cancellation of an outstanding check. Refunds of operating fund disbursements for the current year shall not be recorded here.
Sale of Scrap and Excess Materials - Record cash received from the sales of scrap and excess materials.
Sale of Instructional Supplies - Unneeded Books - Record money received from sale of obsolete or unneeded books, including used book sales, withdrawn materials sales, etc.
Library Charges - Record all money received from library charges including reserve fees, photocopy fees, book fine money and rental money from books, records, etc.
Rental of Real Property - Record rent received from the lease of real property to all but other governments.
Rental of Real Property - Other Governments - Record rent received from the lease of real property to municipalities.
Equipment Rental - Record amounts received for rentals of equipment.
Commissions - Record commissions such as those received from the telephone company for pay phones, pay photocopy machine commissions, etc.
Insurance Recoveries - Record recoveries from insurers of all types: for fire losses, compensation for automobile or other personal property damage and reimbursements under Workmen's Compensation Law.
E-Rate Program – Record amounts received for telecommunications services, Internet connectivity, and internal connections.
Other Compensation for Loss - Record receipts for damages to property from other than insurance companies; such as payment from an individual for a broken window.
Other revenue which is not explained elsewhere such as United Way, contracts with non-member libraries or college and research libraries (other than NYPL Research), or libraries out of State, etc.
6.58 TOTAL MISCELLANEOUS RECEIPTS – Total of questions 6.51 through 6.55 and question 6.57.
6.59 TOTAL OPERATING FUND RECEIPTS – Local Public Funds, State Aid, Federal Aid, Contracts and Miscellaneous Receipts (Total of questions 6.4, 6.44, 6.48, 6.50 and 6.58). 6.60 BUDGET LOANS - Record the principal of all budget loans received during the current reporting year indicated on questions 1.3 and 1.4, and not paid back prior to the end of the current reporting year. Omit principal of budget loans made and paid back during the current fiscal reporting year.
6.61 – 6.63 TRANSFERS
6.61 - Transfer from Capital Fund – Record funds transferred from capital fund (same as question 9.6) to be used in the operating fund.
6.62 – Transfer from Other Funds (total of amounts entered on repeating group sub-records) – Record funds transferred from the principal of any trust or endowment funds, other than the capital fund, which are to be used in the operating fund. 6.63 – Total Transfers – Total of questions 6.61 and 6.62.
6.64 CASH BALANCE - BEGINNING OF CURRENT FISCAL REPORTING YEAR – Record operating funds held in checking accounts, interest bearing time open accounts, time certificates of deposit and temporary investments. Beginning balance of current fiscal reporting year indicated on questions 1.3 and 1.4 Public Library Systems – January 1, 2011 (must match closing cash balance as of December 31, 2010)
3Rs Library Systems – July 1, 2011 (must match closing cash balance as of June 30, 2011)
6.65 TOTAL SLS ROLLOVER – OPERATING – Record School Library System Operating Aid funds rolled over as of July 1, 2011.
6.66 TOTAL SLS ROLLOVER – AUTOMATION – Record School Library System Automation Aid funds rolled over as of July 1, 2011.
6.67 GRAND TOTAL RECEIPTS, BUDGET LOANS, TRANSFERS, BALANCE AND ROLLOVER
Public Library Systems and 3Rs Library Systems – total questions 6.59, 6.60, 6.63 and 6.64 – must agree with question 7.83. School Library Systems – total questions 6.59, 6.65 and 6.66 – must agree with question 7.83.
Part 7 – OPERATING FUND DISBURSEMENTS
NOTE: Federal Aid - Library System Operation. Funds for operating purposes received from such Federal programs as the Library Services and Technology Act, etc. (reported as receipts in question 6.44) must be shown as disbursements in the Operating Fund Disbursement report. For example, LSTA money used for library materials must be included in the appropriate question under the Collection Expenditures section.
7.1 – 7.5 STAFF EXPENDITURES
7.1 – 7.3 SALARIES
7.1 SYSTEM DIRECTOR AND LIBRARIANS – Record salaries from system funds paid to the system director and librarians that possess or are eligible for a New York State Public Librarian's Certificate, School Media Specialist Certificate or School Administrator and Supervisor Certificate, whether provisional or permanent. 7.2 OTHER STAFF - Record salaries from system funds paid to all other staff employed by the library system. For School Library Systems: If the School Library System hired professional, certified librarians that are on staff at component school districts to manage a program or to provide training, the New York State Education Department considers them per diem staff. The salary for services rendered by per diem staff should be reported on Q7.2, Salaries, Other Staff. Details (total number of per diem staff, total days worked and total salaries paid) should be provided in the State note. Benefits paid for per diem staff should be reported on Q7.4, Employee Benefit Expenditures. The amount expended for per diem staff should be provided in the State note. NOTE: Expenditures for consultants, other than per diem staff from a component school district should be reported on Q7.42, Fees for Consultants and Professionals.
7.3 TOTAL SALARIES & WAGES EXPENDITURES - Total of questions 7.1 and 7.2.
7.4 EMPLOYEE BENEFITS EXPENDITURES
Record all employee fringe benefits paid from system funds. These include Social Security, retirement benefits, health insurance, worker’s compensation, unemployment insurance, and any other benefits paid to system staff.
7.5 TOTAL STAFF EXPENDITURES – Total of questions 7.3 and 7.4.
7.6 – 7.9 COLLECTION EXPENDITURES
7.6 PRINT MATERIALS EXPENDITURES – Record all operating expenditures for the following print materials: books, serials, current serial subscriptions, government documents, and any other print acquisitions.
7.7 ELECTRONIC MATERIALS EXPENDITURES – Record all operating expenditures for electronic (digital) materials. Types of electronic materials include e-books, talking books, e-serials (including journals), government documents, databases (including locally mounted, full text or not), electronic files, reference tools, scores, maps, or pictures in electronic or digital format, including materials digitized by the library. Electronic materials can be distributed on magnetic tape, diskettes, computer software, CD-ROM, or other portable digital carrier, and can accessed via a computer, via access to the Internet, or by using an e-book reader. Include equipment expenditures that are inseparably bundled into the price of the information service product. Include expenditures for materials held locally and for remote electronic materials for which permanent or temporary access rights have been acquired. Include expenditures for database licenses. (NOTE: Based on ISO 2789 definition.)
7.8 OTHER MATERIALS EXPENDITURES – Record all operating expenditures for other materials, such as microform, audio, video, DVD, and materials in new forms.
7.10 – 7.20 GRANTS TO MEMBER LIBRARIES
7.10 LOCAL LIBRARY SERVICES AID – Record total of cash paid to member libraries for Local Library Services Aid (LLSA).
7.11 CENTRAL LIBRARY AID – Record total of cash paid to central/co-central library under Ed. Law 273.1.b.
7.12 REGIONAL BIBLIOGRAPHIC DATABASE AID – Record total of cash paid to member libraries for Regional Bibliographic Database (RBDB) projects. Do not include centralized services or professional fee used by the system – must agree with question 6.29.
7.13 HOSPITAL LIBRARY SERVICES PROGRAM – Record total of cash paid to member libraries for Hospital Library Services Program (HLSP) aid. Do not include centralized services or professional fees used by the system – must agree with question 6.29.
7.14 MEDICAL INFORMATION SERVICES PROGRAM – Record total of cash paid to member libraries for Medical Information Services Program (MISP) aid. Do not include centralized services of professional fees used by the system – must agree with question 6.29.
7.15 OTHER STATE AID – Record total of cash paid to member libraries from State aid other than aid entered on questions 7.10 through 7.13. Include Construction for Public Libraries Aid, Special Legislative Grants, Member Items and all other State aid paid to the system and distributed to member libraries.
7.16 FEDERAL AID – Record total of cash paid from Federal aid paid to the system and distributed to member libraries.
7.17 OTHER CASH GRANTS – Record total of cash paid to a member library from other system funds. System funds may be from any source other than state and federal funds entered in questions 7.10 through 7.16.
7.18 TOTAL CASH GRANTS – Total of questions 7.10 through 7.17.
7.19 BOOK/LIBRARY MATERIALS GRANTS – Record total amount spent for such library materials as books and other library materials purchased by the system headquarters and given to member libraries to support the Coordinated Collection Development Plan. (For example, grants of reference materials or children's materials, replacement of materials to build up the library’s collection subsequent to a weeding program, etc.) Report the purchase of electronic materials on question 7.7.
7.20 OTHER NON-CASH GRANTS – Record total amount spent for materials, other than those reported in question 7.17, and products and services which are purchased by system headquarters and given to member libraries (furniture, computer equipment, automation costs, communication costs, etc.). System funds may be from any source other than state and federal funds entered in questions 7.10 through 7.16.
7.21 TOTAL GRANTS – Total Cash Grants, Book/Library Materials Grants and Other Non-Cash Grants (Total of questions 7.18, 7.19 and 7.20).
7.22 – 7.27 CAPITAL EXPENDITURES
7.22 BOOKMOBILE – Record cost of bookmobile purchase made from operating funds.
7.23 OTHER VEHICLES – Record cost of other vehicles (delivery vans, staff cars, etc.) purchased from operating funds.
7.24 COMPUTER EQUIPMENT - Record cost of computer equipment (hardware, monitors, accessories).
7.25 FURNITURE/FURNISHINGS – Record costs of furniture and furnishings (chairs, desks, carpeting, window coverings, etc.).
7.26 OTHER – Record cost of other equipment not listed above.
7.28 – 7.30 Use questions 7.28 and 7.29 to break down Total Capital Expenditures (question 7.27) into "From Local Public" and/or "From Other" funds. Question 7.30 must equal question 7.27.
7.31 – 7.35 OPERATION AND MAINTENANCE OF BUILDINGS
7.31 – 7.32 REPAIRS TO BUILDING AND BUILDING EQUIPMENT – Record costs of repairs to building and its equipment. Break down into "From Local Public" and/or "From Other" funds. (NOTE: Repairs to office equipment should be entered in one repeating group following question 7.46).
7.34 OTHER BUILDING AND MAINTENANCE EXPENSES – Record costs of: utilities (fuel, electricity, water, gas, etc.); custodial supplies (materials needed for maintenance and operation of building); rental of quarters (rental costs for main building, branches, store front libraries, stations, etc.); insurance (costs of all insurance other than those reported in Employee Benefits codes); and building service contracts (costs of contracts for janitorial service, window washing, snow removal, etc.).
7.35 TOTAL OPERATION AND MAINTENANCE OF BUILDINGS – Total of questions 7.33 and 7.34.
7.36 – 7.48 MISCELLANEOUS EXPENSES
7.36 TOTAL OPERATION AND MAINTENANCE OF BOOKMOBILES AND OTHER VEHICLES – Record all expenses for operation (gasoline, oil, lubrication, etc.) and maintenance (repairs, labor, parts, tires, etc.) or all automotive equipment except for insurance and personnel costs. Include costs for bookmobiles and other vehicles.
7.37 OFFICE AND LIBRARY SUPPLIES – Record costs of such items as paper, ink and other supplies for photocopy and fax machines, computer diskettes, plastic jackets, cards and pockets, bindery supplies, etc.
7.38 TELECOMMUNICATIONS – Record fees for telecommunications including telephone and Internet operation and installation (e.g., cable, DSL, T1 lines, Internet provider fees, web hosting, etc).
7.39 BINDING EXPENSES – Record all commercial bindery expenditures.
7.40 POSTAGE AND FREIGHT – Record costs of postage, UPS, and other freight and delivery costs.
7.41 PUBLICITY AND PRINTING – Record costs of publicizing library activities; printing costs for materials produced by outside firms; poster and display costs.
7.42 TRAVEL – Record approved travel expenses for staff and trustees of library for attendance at meetings and conferences within or outside system area.
7.43 FEES FOR CONSULTANTS AND PROFESSIONALS – Record fees paid from operating funds to a consultant, auditor, architect, etc. (Salaried personnel are reported under "Total Personnel Costs", question 7.5).
7.44 SYSTEM MEMBERSHIP DUES – Record institutional dues paid to professional associations and organizations (i.e. NYLA, ALA, NYSALB) for the system’s membership only. State aid can not be used to pay for personal memberships in organizations.
7.45 INDIRECT COSTS PAID TO BOCES OR BIG 5 CITIES – Record central administration costs (e.g., expenses connected with the position and office of the chief school administrator; expenditures related to carrying out the responsibilities of supervision, business administration, research, personnel recruiting and orientation; and expenditures made by central administration to maintain and improve school-community relations), and other organization-wide costs that are incurred in connection with a program but that cannot be readily identified with the program (e.g., expenditures for keeping the physical plant open, ready for use, and for maintaining existing grounds, buildings and equipment; expenditures related to cleaning, disinfecting, heating, lighting and other utilities; expenditures for communications including cost-shared postage and telephone, power, moving furniture, providing storage, handling stores and cartage; expenditures for renovating and remodeling of district/BOCES-owned property; and expenditures for site preparation unless specific provisions are made otherwise).
7.46 – 7.47 OTHER MISCELLANEOUS – Record expenses not appropriate to above questions (7.36 through 7.45). Complete one record for each category of expenses, listing the expenditure category and the funds expended. Include here: benefits to retirees, contract money to libraries or systems that are not members of a New York State Public Library System; rental, maintenance and repair of office equipment (rental and maintenance costs for such equipment as typewriters, fax machines, computers, photocopy machines, etc.); and contracts with private concerns for processing (costs of processing books, films, records, etc., when this contract is made with a private concern such as Bro-Dart, Baker and Taylor, OCLC).
7.49 – 7.50 CONTRACTS WITH LIBRARIES AND/OR LIBRARY SYSTEMS IN NEW YORK STATE 7.49 – Indicate whether the system contracts with libraries and/or library systems in New York State. If yes, specify the agency with whom the reporting system contracts, the contracted service and the total contract amount; if no, enter N/A on all questions of one repeating group.
Record all contractual money expended by the reporting library system to any library or library system in New York State as payment for goods purchased for and/or services purchased from the contracting library or library system. Disbursements include, but are not limited to, purchases made for member libraries, county grants to member libraries. Where the library system contracts with its member libraries for service (e.g., computer purchases), enter Member Libraries as contracting agency, Computer Purchases as the contracted service, and the total contract amount received (do not list individual libraries).
Where a library system has contracts with other libraries or library systems, one record must be completed for each contract specifying the name of the second party and the funds expended. 7.51 – 7.55 DEBT SERVICE
7.51 – 7.53 CAPITAL PURPOSES LOANS – Record payment from operating funds of principal and of interest on capital purposes loans issued in a prior year. Use questions 7.51 and 7.52 to breakdown into “From Local Public” and/or “From Other” funds.
7.54 OTHER – Record payment from operating funds of principal and interest on budget loans issued in a prior year, and payment from operating funds of interest on short term loans (i.e., loans made and paid back within the current reporting year indicated on questions 1.3 and 1.4). 7.56 TOTAL DISBURSEMENTS – Total Staff Expenditures, Total Collection Expenditures, Grants to Member Libraries, Total Capital Expenditures, Operation and Maintenance of Buildings, Automotive Expenses, Miscellaneous Expenses, Contracts and Debt Service (Sum of questions 7.5, 7.9, 7.21, 7.27, 7.35, 7.48, 7.50, and 7.55).
7.57 – 7.61 TRANSFERS
7.57 – 7.59 TRANSFERS TO CAPITAL FUND – Record funds transferred from operating funds into capital funds. Use questions 7.57 and 7.58 to break down into “From Local Public” and/or “From Other” funds.
7.59 TOTAL TRANSFERS TO CAPITAL FUND – Recorded as a Capital Fund Receipt (same as question 8.2).
7.60 TRANSFER TO OTHER FUNDS – To be used by systems permitted to have special fund accounts (other than capital funds). Record funds transferred into special fund accounts such as memorial accounts, etc. as well as money returned to municipality, such as fines and gifts, and unspent balance where the municipality requires it.
7.62 TOTAL DISBURSEMENTS AND TRANSFERS – Total of questions 7.56 and 7.61.
7.63 CLOSING BALANCE AT THE END OF THE CURRENT FISCAL REPORTING YEAR – Record operating funds held in checking accounts, interest bearing time open accounts, time certificates of deposit, and temporary investments at the end of the current reporting year indicated on questions 1.3 and 1.4. For Public Library Systems – December 31, 2011; for 3Rs – June 30, 2012.
7.64 – 7.82 SLS ROLLOVER – Record rollover as of June 30, 2012.
7.64 – 7.73 SLS ROLLOVER – OPERATING – Record SLS Operating Aid rollover as reported in codes 15, 16, 40, 45, 46, 80, 90, 49 and 20 of the SLS Operating budget.
7.74 – 7.82 SLS ROLLOVER – AUTOMATION – Record SLS Automation Aid rollover as reported in codes 15, 16, 40, 45, 46, 80, 49 and 20 of the SLS Automation budget.
7.83 GRAND TOTAL DISBURSEMENTS, TRANSFERS AND BALANCE/ROLLOVER Public Library Systems and 3Rs Library Systems – total questions 7.62 and 7.63 – must agree with question 6.67. School Library Systems – total questions 7.56, 7.61, 7.63, 7.73 and 7.82 – must agree with question 6.67.
7.84 – 7.86 FISCAL AUDIT – Enter the date of the system’s last fiscal audit, the time period covered by the audit, and the type of audit performed.
7.87 ACCOUNT INFORMATION – Complete one record for each bank or other financial account.
7.88 CAPITAL FUND REPORT – Please indicate whether the system has a Capital Fund. If “Yes”, you must complete the Capital Fund Report; if “No”, you may stop here.
CAPITAL FUND REPORT
The Capital Fund Report is to be used by library systems in reporting fiscal matters related to the Capital Fund. Please complete the Capital Fund Report along with your financial report. If the Library System has no Capital Fund, the library system is not required to complete the Capital Fund Report.
Part 8 – CAPITAL FUND RECEIPTS
Report all revenue to be used for major capital expenditures. Examples include funds received for a) site acquisition; b) new buildings; c) additions to or renovation of library buildings; d) furnishings, equipment, and initial book stock for new buildings, building additions, or building renovations; e) library automation systems; f) new vehicles; and g) other one-time major projects. 8.1 REVENUE FROM LOCAL SOURCES – Record all revenue to the Capital Fund from local sources. Record any gifts or endowments made to the Capital Fund, interest earned on cash in time deposits and temporary investments; gain on sale of temporary investments; accrued interest on borrowings (amount paid by purchaser over and above the face value of obligations issued and/or interest accrued between the date of the issue and the date of receipt of the proceeds); and financing from other local sources not listed above.
8.2 TRANSFER FROM OPERATING FUND – Record funds transferred from Operating Fund (question 7.59)
8.3 STATE AID FOR CAPITAL PROJECTS – Record State aid received for construction purposes under Ed. Law 273(a) and not recorded on question 6.9.
8.4 TOTAL OTHER AID AND/OR GRANTS FOR CAPITAL PROJECTS – Indicate whether the system receives any other aid or grants for capital projects. If yes, complete one record for each award; if no, enter N/A on questions 1 and 2 of one repeating group. 8.6 TOTAL RECEIPTS – Revenue from Local Sources, Interfund Revenue, State Aid for Capital Projects and Federal Aid for Capital Projects (Sum of questions 8.1, 8.2, 8.3 and 8.5).
8.7 NON-REVENUE RECEIPTS – Record all non-revenue receipts including: advances from other funds (temporary advances from Operating Fund monies not paid back as of the end of the current reporting year indicated on questions 1.3 and 1.4)
sale of investments (the cost price upon the sale of investments; and excess realized or loss sustained will be reflected in question 8.2)
obligations issued – serial bonds – par value of serial bonds sold
obligations issued – installment bonds – par value of installment bonds sold
obligations issued – other obligations – par value of other obligations
obligations issued – bond anticipation notes – the amount of notes issued in anticipation of the sale of bonds
obligations issued – capital notes – par value of capital notes sold
obligations issued – revenue anticipation notes – amount of note issued on revenue anticipation
8.8 TOTAL RECEIPTS – Total of questions 8.6 and 8.7.
8.9 CASH BALANCE – Beginning of current reporting year indicated on questions 1.3 and 1.4 should match the closing cash balance at the end of the previous fiscal reporting year.
Public Library Systems – January 1, 2011 (must match closing cash balance as of December 31, 2010)
8.10 TOTAL RECEIPTS AND CASH BALANCE – Total of questions 8.8 and 8.9. (Must agree with question 9.10)
CAPITAL FUND DISBURSEMENTS
9.1 – 9.5 PROJECT EXPENDITURES
9.1 TOTAL CONSTRUCTION – Record payments for general construction costs pursuant to contract including change orders. Include general construction, heating and ventilating, plumbing, electrical services and other construction costs.
9.2 INCIDENTAL CONSTRUCTION – Record architects’ commissions and other expenses of the architect (record clerk of the work’s expenses when employed and paid by the architect); site acquisition (include options, demolition of existing structures and other expense of preparation of the site for construction); capital project expenditures for furniture and other equipment; and other incidental costs (advertising costs, bond and note issue expense such as printing, travel, etc., watchmen, clerk of the works (unless paid by the architect), legal services, surveying, site improvement, utility system, etc.
9.3 BOOKS AND LIBRARY MATERIALS – Record capital fund expenditures for all library materials.
9.4 TOTAL OTHER DISBURSEMENTS – Record purchase of buildings (cost of acquiring an existing building); interest (payments from capital funds on interest charges for notes); books and library materials (capital project expenditures for books, films, audio and video materials, serials, etc.)
9.5 TOTAL PROJECT EXPENDITURES – Total of questions 9.1 through 9.4.
9.6 TRANSFER TO OPERATING FUND – Record funds transferred from Capital Fund into Operating Fund (question 6.61).
9.7 NON-PROJECT EXPENDITURES – Record all non-project expenditures including: amount paid to redeem bond anticipation notes and revenue anticipation notes; repayment of advances from the operating fund; the cost price of investments purchased; and any other non-project costs. 9.8 TOTAL DISBURSEMENTS AND TRANSFERS – Project Expenditures, Transfer to Operating Fund, Non-Project Expenditures (total of questions 9.5 through 9.7).
9.9 CASH BALANCE – Record capital funds held in checking accounts, interest bearing time open accounts, time certificates of deposit, and temporary investments at the end of the current reporting year indicated on questions 1.3 and 1.4.
Public Library Systems – closing cash balance as of December 31, 2011
3Rs Library Systems – closing cash balance as of June 30, 2012
9.10 TOTAL CASH DISBURSEMENTS AND BALANCE – Total of questions 9.8 and 9.9. (Must agree with question 8.10)
Part 10 – APPROVED CO-SER(S) ADMINISTERED BY
AND/OR THAT BENEFIT THE SCHOOL LIBRARY SYSTEM
10.1 – 10.3 CO-SER(S) LIBRARY AUTOMATION – Record information for Library Automation CO-SER(S).
10.4 – 10.6 CO-SER(S) LIBRARY MEDIA – Record information for Library Media CO-SER(S).
10.7 – 10.18 OTHER CO-SER AID – Record the Activity Code number and dollar amount for other CO-SER Aid. Include other BOCES aidable services managed by the School Library System Director.
Part 11 – 2009-2010 FINAL EXPENDITURE REPORT AND
11.1 – 11.36 OPERATING AID – Record final expenditures and rollover from 2011-2012 Operating Aid. Rollover Funds may be expended for Professional Salaries (Code 15), Support Staff Salaries (Code 16), Purchased Services (Code 40), Supplies and Materials (Code 45), Travel Expenses (Code 46), Employee Benefits (Code 80), Indirect Cost (Code 90), BOCES Services (Code 49), or Equipment and Furnishings (Code 20).
11.37 – 11.69 AUTOMATION AID – Record final expenditures and rollover from 2011-2012 Categorical Aid for Automation. Rollover Funds may be expended for Professional Salaries (Code 15), Support Staff Salaries (Code 16), Purchased Services (Code 40), Supplies and Materials (Code 45), Travel Expenses (Code 46), Employee Benefits (Code 80), BOCES Services (Code 49), or Equipment and Furnishings (Code 20).
Part 12 – PROJECTED ANNUAL BUDGET FOR LIBRARY
12.1 – 12.17 PROJECTED ANNUAL BUDGET FOR LIBRARY SYSTEMS – Record the library system’s projected annual operating budget. Please report total projected operating fund receipts including local aid, state aid, federal aid, contracts and miscellaneous receipts; and total projected operating fund disbursements including staff expenditures, collection expenditures, grants to member libraries, capital expenditures from operating funds, operation and maintenance of buildings, miscellaneous expenses, contracts and debt service. Public Library Systems must report for the period from January 1, 2012, through December 31, 2012. School Library Systems and 3Rs Systems must report for the period July 1, 2012, through June 30, 2013.
Part 13 – SUMMARY OF LIBRARY SYSTEM ACCCOMPLISHMENTS
Using the goals from Section 5 of the approved 2007-2012 Plan of Service for PLS or the approved 2006-2012 Plan of Service for 3Rs and SLS, briefly describe the final results of each element for this reporting year. Example A:
Element: Resource Sharing
Procedures were put in place to allow library users to access materials through a regional catalog of library resources.
ILL procedures were revised and turnaround time was reduced by 1-2 days for the majority of items loaned and borrowed.
Element: Communication among Member Libraries
Results: A Web page was created; 85% of system participants have access.
Element: Continuing Education and Training
Result: Two professional development workshops were sponsored; attended by 17 librarians.
FOR SCHOOL LIBRARY SYSTEMS ONLY
13.11 URL OF THE SYSTEMS BLANK EVALUATION FORM – The Internet’s Wide Web Address of the system’s blank evaluation form for the period of July 1, 2011 – June 30, 2012.
13.12 URL Of The TABULATED RESULTS OF THE SYSTEM’S EVALUATION FORM – The Internet’s World-Wide Web Address of tabulated results of the system’s evaluation form for the period July 1, 2011 – June 30, 2012.
Part 14 – ASSURANCE AND CONTACT INFORMATION 14.1 – 14.3 CONTACT INFORMATION – Provide the name, telephone number and e-mail address of the primary contact person with responsibility for completing/coordinating the annual report. For privacy issues, the e-mail address is collected for internal use only by Division of Library Development staff and will not be disseminated.