DRAFT
How and Why Are Libraries Changing?
Denise A. Troll
Distinguished Fellow, Digital Library Federation
Assistant University Librarian, Library Information Technology,
Carnegie Mellon
January 9, 2001
troll@andrew.cmu.edu
Introduction
The purpose of this paper is to initiate discussion among a
small group of university and college library directors being
convened by the Digital Library Federation (DLF) and the Council
on Library and Information Resources (CLIR) to explore how and
why libraries and library use are changing. This exploration is
envisioned as the first step in a larger initiative that includes
conducting research and presenting the research results to
library directors, their provosts, presidents and faculty. The
ultimate goal is to facilitate understanding of how and why
libraries are changing and better position the library to meet
the needs and expectations of university and college
administrators and library users. This paper and the published
results of the research proposed here will be of interest to all
academic librarians because they address significant issues and
concerns that confront libraries being held accountable for the
learning and research outcomes and cost-effectiveness of their
efforts.
Though librarians have always collected data to support
strategic planning, the rampant changes precipitated by new
technologies are making traditional performance measures less
effective in demonstrating the library's contribution to higher
education. The first section of this paper explains the problem
in detail and describes what is at stake. The second section
analyzes the intrinsic limitations of traditional measures and
our understanding of the trends they reveal. The third section
addresses some environmental factors that may help us understand
why library use is changing. The paper concludes by proposing
research designed to help fill the gaps in our understanding of
changes in library use.
Problem Statement
What do we know about how and why libraries are changing? We
have the traditional measures that quantify a library's raw
materials or potential to meet user needs ("inputs"), the work
done with these raw materials ("outputs"), and fledgling efforts
to assess the impact that library collections and services have
on users ("outcomes"). The purpose of all inputs and outputs is
to achieve outcomes, but neither inputs nor outputs indicate how
well user needs are being met, the quality of library collections
and services, or whether the library is accomplishing its mission
within the larger institution. Traditional measures do not cover
the full scope of how libraries are changing or explain why these
changes are occurring.
The absence of reliable information that documents and
explains shifting patterns in library operations and use is
adversely affecting strategic planning and the cases that
academic library directors must make to win or bolster support
for the library and its changing directions. Academic libraries
cannot effectively prepare for the future or position themselves
on campus until they understand their changing roles in the
current learning and research environment, which is radically
different from the environment a decade ago. Understanding and
evaluating library usage patterns and developmental paths are
prerequisites to formulating a critical and appropriate response
to widespread, rapid changes in higher education.
Sources of library use data exist, but the data are incomplete
and problematic. For example, the data that libraries gather are
often not consistent across institutions or through time, so the
value of peer-comparisons and time-series trends is dubious.
Similarly, usage data from commercial vendors of electronic
resources cannot be compared easily because they measure or
define the data differently. Trend data indicate but do not
explain why library use varies in relation to library size.
Interpretation is confounded by different institutional goals and
local library policies. Differences in institutional mission
affect not only support for and (therefore) use of the campus
library, but the library's commitment to data collection and
analysis. Confronted with these difficulties and yet clamoring
for some vision of what is happening, the tendency is to
aggregate existing heterogeneous data to reveal trends, then
interpret the normalized data cautiously because they may be
misleading. Even if these complicated problems were solved,
traditional library measures would still provide an incomplete
picture of the information landscape because they focus strictly
on information services provided by libraries, ignoring
information services provided by other entities on or off
campus.
Academic libraries may be gathering data because they are easy
to gather or because they have always been gathered, rather than
gathering data that inform clearly articulated purposes or
important decisions to be made. Traditional measures of library
inputs, outputs, and calculated ratios serve to rank and compare
libraries along lines well-entrenched in the profession, but the
data are of little value in meeting the current strategic
planning and case-building needs of library administrators. What
does it mean, for example, to know that X number of books was
added to the collection this year, or that Y materials were
circulated or Z reference questions answered? Though ratios that
relate traditional output measures to the size of the campus
community facilitate comparison, what good is it to know the
ratio of total volumes or library staff to the student
population? Are we assuming that more is always better than less?
Is it necessarily bad if market penetration of interlibrary loan
or reference service reaches only a small percentage of students
and faculty? Is there some magic formula for allocating the
appropriate percentage of a library's total budget to materials,
staff, and operating expenses that will guarantee library
outcomes in line with the university's mission? Ratios and
percentages may be interesting indicators of local trends or
progress toward local goals, but what do they really mean for the
future of libraries and librarianship? Web server statistics are
another case in point. The data easily gathered by Web servers
may be interesting, but their meaning and application are
elusive. Is the number of hits on a Web page low because the page
is unnecessary or because (buried under too many links or a
single, poorly labeled link) the page is difficult to find? In
what context are numbers about total database sessions, Web page
hits, and bytes transferred meaningful or useful?
New technologies have rendered traditional measures less
effective in explaining what is happening in libraries because
the scope of traditional measures is too narrow to encompass the
field of change. For example, traditional measures do not capture
sufficiently the readily apparent changes in the definition,
preservation, and delivery of library collections. In the past a
"collection" was what the library physically owned. Records in
the library catalog referred to items in the collection.
Libraries now license access to remote electronic collections
that they do not own. The library catalog contains records with
interactive URLs pointing to the licensed items and libraries
frequently provide other points of access to these items on their
Web site. If a print subscription is cancelled, the library
retains ownership of the (previous) physical volumes. If an
electronic subscription is cancelled, the library does not retain
access to the (previous) digital volumes. In the past, multiple
purchasing or subscribing libraries in effect archived and
preserved print publications. In the digital arena of licensed
access, libraries no longer play this role, but must look to
publishers to provide this service for digital
collections.[1] Traditional library performance
measures do not reveal these significant changes or the real
concerns or serious implications that arise from them.
Concerns about the stability and longevity of digital
publications discourage many institutions from valuing
publications "born digital" in promotion and tenure
considerations, which is a strong deterrent for faculty, though
such publications are the conspicuous solution to the economic
crisis in scholarly publications. This crisis and efforts to
better serve our constituencies are changing the relationship
between libraries, publishers, authors, and artists. Libraries
become publishers when they digitize collections, host journals
that are "born digital," or assemble student or faculty works
online. [2] Librarians become politicians when
they lobby faculty not to sign away copyright to a print
publisher, who then requires them or the library to pay for use
of their own works. Traditional measures do not capture these new
roles.
As commercial publishers and aggregators usurp much of the
work involved in collecting, organizing, and preserving (digital)
information, the focus of librarians is shifting to teaching and
research. Librarians are expected to facilitate skilled
information retrieval (not Web "surfing"), intervene between the
user and the information to help users evaluate what they
retrieve, and assume greater responsibility for learning and
research outcomes. Knowing that usability affects usage,
librarians are also expected to do more user-centered research
employing a greater variety of research methods than in the past
(for example, focus groups, surveys, interviews, user protocols,
card-sorting studies, and paper prototyping). Developing or
providing access to digital collections and services requires
librarians to collaborate with a wider range of people than in
the past, including computer scientists, graphic designers,
pedagogy experts, archivists, and museum curators. The core
competencies required to perform these new tasks are different
from those required of librarians in the traditional print
environment. Again, traditional measures do not capture these new
roles and responsibilities.
New technologies are also changing the services that libraries
provide, for example, online reference, instruction, document
delivery, user-initiated library loan, direct borrowing and
self-checkout. At least one librarian sees the shift to
user-initiated services as analogous to fast food, a cheapening
or devaluing of what libraries provide, hence the phrase "the
mcdonaldization of libraries." [3] Usage
statistics and cost analyses of these services are not readily
available, but even a simple change in service can have
significant impact on library operations. [4]
Traditional measures do not capture these changes or their
implications.
The cumulative effect of these changes appears to be a
reformulation of the library's mission. The freely accessible
information on the Web, in consort with the escalating cost of
library materials, jeopardizes the traditional mission of
libraries to create and sustain large self-sufficient collections
for their users. Library philosophy and practice have shifted
from purchasing materials and offering services "just in case" to
"just in time." The cost of access appears to be more affordable
than the cost of ownership, though it comes with the accompanying
risk of loss if no one purchases or preserves an item (ending the
viability of interlibrary loan) or if no one archives or migrates
digital collections to the inevitable new formats and platforms
that the future will bring. The widespread adoption of technology
and reduced barriers to access account for these trends and the
speculation that the digital divide is disappearing. [5] If the access model continues to offer more
information at less cost to an increasing number of people, the
ownership model may disappear altogether or be reserved for only
high-cost, low-use materials. What would this mean for the future
of libraries and their assessments of cost-effectiveness and
learning and research outcomes?
Traditional library measures indicate some differences among
libraries and changes over time within libraries but, in the
absence of additional library measures, the consideration of
contextual factors, and clearly articulated assumptions, offer
nothing that will help us recognize which differences or changes
are significant in terms of fulfilling our mission and serving
our constituencies in higher education. The situation is
critical. Without this knowledge, we cannot prove to university
and college administrators that our efforts contribute
substantially and cost-effectively to the learning and research
outcomes of the institution. This fact should fuel reflection,
discussion, the surfacing of assumptions, setting of strategic
goals, and framing of a constellation of existing and new
measures that will provide the context necessary for interpreting
change and planning the future trajectory of libraries. Library
directors must
- Understand how and why libraries and library use are
changing
- Reach agreement on how to measure the learning and research
outcomes and cost-effectiveness of library collections and
services, which entails determining how to define and assess
"value" in a hybrid world of traditional and electronic
collections and face-to-face and online services
- Plot a course into the future that is flexible enough to cope
with the speed of change precipitated by information technologies
and the Internet[6]
If we're not diligent, the speed of change will inhibit if not
paralyze attempts to make sense of what's happening in libraries
and intervene for the good of our constituencies. Admittedly,
change sometimes occurs so quickly that by the time a research
project is designed and implemented, and the results analyzed,
the results are no longer applicable because the situation has
changed. [7] We know that we cannot plan
effectively for the future by projecting increased access to
current technologies, but we dare not be discouraged. The future
of academic libraries is at stake. We must begin now to
understand how and why libraries and library use are changing if
we want libraries to be positioned effectively in higher
education a decade from now.
Trends in Traditional Library Performance Measures
What do we know about how and why libraries are changing? The
points for discussion presented below were garnered from publicly
available statistical data[8] and a telephone
survey of librarians and staff being conducted by the Digital
Library Federation as part of itsusage, usability, and user
support initiative. They address trends and therefore do not
necessarily reflect every library's experience. All that we
appear to know with confidence is what trends have emerged in
traditional library inputs and outputs. The trend data are
indicative but not explanatory of change. They are difficult to
interpret because they lack context and are rife with hidden
assumptions. Nevertheless, reasonable speculation abounds to
account for the trends.
Trends in Traditional Input Measures
Budgets. With rare exception, libraries are
experiencing slight increases in materials budgets, educational
and general operating budgets, and staff salary lines. Operating
expenditures have increased significantly to meet automation and
electronic resource needs, which create shifts in staffing,
resources, materials, space, and equipment. [9]
Current budgets are insufficient to keep pace with the
skyrocketing cost of materials, the increasing burden of capital
expenditures for technologies that rapidly become obsolete, and
the need for retraining or recruiting and retaining staff with
the skills required to use and maintain the technologies.
"Experience has shown that library budgets, exclusive of capital
costs and the costs of physical maintenance, which fall below 6%
of the [institution's] educational and general [operating] [E&GO]
expenditures are seldom able to sustain the range of library
programs required by the institution," [10]
but many libraries receive less than 6% of their institution's
E&GO budget. Another rule of thumb for a successful library
operation is that the percentage of increase in library budgets
each year should equal or exceed the percentage increase of
tuition and fees, yet library budgets appear to seldom reflect
such increases. In some cases, libraries are not informed when
new degree programs, majors or research centers are instituted.
Even when they are informed, more often than not they are
expected to stretch existing budgets to support the new
initiatives. Libraries have been unable to make a convincing case
to university and college administrators to increase their
budgets using traditional performance measures. Aside from these
considerations, library expenditures do not provide
administrators with a complete picture of the cost of information
service provision in a networked environment. The cost of the
campus network, software, and hardware in public computer
clusters or laboratories; and the licensing, storage, and
delivery costs of electronic information provided by other units
on campus, along with the staff costs to manage these facilities,
must also be considered. Libraries are competing for these campus
dollars.
Collections. Most libraries are canceling serial
subscriptions, purchasing fewer monographs, and-to keep pace with
user demands for more desktop delivery of materials-spending a
growing percentage of their materials budget on licensing access
to electronic resources. The decline in acquisitions may be due
to the increased cost of materials, a more effective distribution
of materials through collaborative purchasing (via consortia,
organizational networks and inter-institutional agreements), or a
shift in users' expectations of libraries. "Just in time"
information delivery may be becoming an acceptable replacement
for the traditional "just in case" archival imperative. Libraries
are operating with fewer volumes per student than in the past,
but there is no context in which to determine if this is good or
bad.
Staff. Overall staff size is slowly declining,
but many library systems departments are hiring more people to
maintain the increasing array of library information
technologies. Clerical positions are being eliminated throughout
the library and positions are being created or reclassified at
higher levels (with higher salaries) because more sophisticated
technical or managerial skills are needed now than in the past.
Typically, new or upgraded positions are accommodated by
combining open positions because salary lines are insufficient to
do otherwise. The need to retrain staff to keep pace with
technological change adds the burden of finding increased funding
for travel and training in an already strained budget. [11] Libraries are operating with fewer staff per
student than in the past, but again there is no context in which
to determine if this is good or bad.
Equipment. The era of microform equipment,
photocopiers, and the card catalog has been replaced with a
growing array of hardware, software, and systems. Libraries need
budgets and articulated replacement cycles for all of this
equipment. More often than not, the capital budget is
insufficient to replace equipment before it becomes obsolete.
Furthermore, libraries must find the financial resources to
replace equipment purchased with one-time funding from grants.
Aside from the budgetary concerns, traditional measures do not
help libraries with equipment planning. For example, they provide
no contextual information that would facilitate calculating how
many computers the library should provide for public use based on
the number of students who have their own desktop or laptop
computer or the number of computers available in public clusters
or laboratories on campus. Lacking this information, difficult
and time-consuming queuing studies may be required to determine
whether the number of public computers in the library is
appropriate for the user population.
Space. Following years of reducing or
eliminating user and staff spaces to accommodate growing physical
collections, more and more libraries are looking to offsite
storage to solve their space problems and wondering how to fund
offsite storage from an already strained budget. Current library
standards for user, staff, and collection spaces do not consider
the space occupied by technology, for example, computers,
printers, scanners, and fax machines. Traditional measures have
been ineffective if not irrelevant in efforts to convince
university and college administrators that the Internet and
digitization are not a near-term solution to the library space
shortage.
Trends in Traditional and Emerging Output Measures
Materials circulated. Use of print resources is
decreasing. Use of video and other media appears to be
increasing. Overall circulation is declining. In-house use of
library materials is also declining. Why come to the library to
check out a printed book or use a printed journal when you can
find an electronic version of the book or journal or something
comparable or good enough on the Web? In the absence of any data
about student and faculty use of information resources provided
by entities other than the library, what does a decline in
circulation really mean in terms of supporting education and
research?
Reserve items circulated. The circulation of
print reserves is declining rapidly, even in institutions that do
not offer electronic reserves. In some institutions faculty are
putting fewer materials on reserves. The decline in reserve items
and usage may be due to the availability of full-text resources
on the Web - provided by the library or by other entities.
Faculty may be mounting full-text materials in course management
software like BlackBoard, thereby eliminating use of the library
but accomplishing the same purpose. The decline in reserve use
could also simply reflect the behavior of current students.
[12] In the absence of usage data on other
information sources, what does a decline in the use of reserves
mean for the quality of education and research? Electronic
reserves are popular with students and faculty, but the added
value of desktop delivery is accompanied by added costs. The cost
of providing electronic reserves is significantly higher than
providing print reserves because of the equipment and staff
skills needed to scan, store, link, track usage, and seek
copyright permission to digitize the materials.
Reference questions answered. Use of reference
service has been fluctuating, but appears to have dropped
significantly in the past year. Traditional face-to-face
reference service with a librarian is being transformed by
information technologies deployed to reach an increasingly remote
audience, for example, electronic mail, "chat" and "see you, see
me" videoconferencing software. Reference services provided by
the library are apparently being challenged by reference (or
reference-like) services provided by entities outside of the
library. Why ask a reference librarian when you can Ask Jeeves,
Allexperts.com, or one of the many other Ask-A services now
common on the Web? In the absence of usage data from and quality
assessments of these other sources, what does a decline in the
number of reference questions answered in the library mean for
the quality of education and research? Libraries lack sufficient
contextual information to make sense of what's happening in
reference service.
Interlibrary loan transactions. Use of
interlibrary loan (ILL) is increasing, in many cases
dramatically, probably because of cancelled journal
subscriptions, the purchasing of fewer monographs, and the
provision of citation databases that index materials not owned by
the library. Improved service quality could also be a factor. The
bottom line, however, is that we do not have the contextual
information we need to understand why ILL is increasing. We do
know that new technologies are transforming ILL, blurring the
lines between ILL and document delivery services, and shifting
costs. Increased costs for staff training, hardware, and software
(like ILLIAD and ARIEL) exceed decreases in staff costs
associated with photocopying and mailing, though the added value
to users of patron-initiated ILL and desktop delivery and
tracking no doubt improve service quality.
Library instruction classes. The number of
traditional library instruction sessions and participants was
increasing until recently, but now appear to be on the decline,
perhaps because distance-learning technologies are being deployed
to deliver library instruction. Other environmental factors that
may be affecting library instruction are the increasing
technological savvy of users who can transfer skills from one
vendor's databases to another, or student and faculty use of
information resources and services not provided by the library,
in which case library instruction is not in step with user needs
or behavior. Again, we lack the necessary contextual information
to interpret what a decline in library instruction sessions or
participants really means or why it is happening.
Gate counts. Gate counts are declining. Why go
to the library if you can find the information you need using
your personal computer, create an Internet chat room to discuss
your group project, or use a similar discussion facility provided
in course management software like Blackboard that integrates
your class syllabus, assignments, readings, quizzes, and grades?
We can speculate all we want, but we lack the contextual
information to interpret why gate counts are declining or what
the decline means for education and research.
Electronic resource use. The demand for desktop
delivery of materials is increasing. Use of electronic resources
is growing more rapidly than expected. Use of older journal
volumes in electronic format is increasing even more rapidly than
use of electronic resources overall. [13] The
problems associated with vendor statistics are well known and
many organizations, including the Association of Research
Libraries (ARL) and the International Coalition of Library
Consortia (ICOLC), are working with vendors to create standard
definitions, methods of measurement and delivery formats to
facilitate comparative analyses. [14]
Printing and photocopying. The trend appears to
be that the volume of printing is increasing and the volume of
photocopying is decreasing, probably because of the increased
availability of full-text electronic resources and printing of
electronic journal articles. However, additional contextual
information is needed to understand what is actually happening in
any given institution. For example, in at least one library that
charges for printing in an institution where printing in public
computing labs is still free, printing has dropped because users
seek free printing, yet photocopying has remained constant. At
Carnegie Mellon, where printing is free campus wide, printing in
the libraries dropped significantly this past year, particularly
printing by library staff. Users may be printing more information
outside of the library, but the dramatic decline in staff
printing is inexplicable. Regardless of the volume of printing,
more expensive printers and supplies are required now than in the
past to accommodate printing color and new file formats like PDF,
TIFF, GIF, and JPEG. If libraries can recover costs for printing,
the new income may eventually offset the potential decrease in
revenue from photocopying. [15]
Trends in Outcomes Assessment
Outcomes assessments are hampered because they rely on input
and output measures that are difficult to interpret and on
institutional performance objectives that frequently are only
vaguely defined and perhaps even contested on campus. If
university and college administrators and faculty have not
clearly articulated the learning and research outcomes they
expect from the library, how do libraries know what outcomes to
assess in order to demonstrate their contribution to the
institutional mission?
Learning and research outcomes. In response to
the (vague) call for accountability for student and faculty
achievements, libraries are beginning to measure the impact of
their collections and services on users. The effort to date has
focused on assessments of user satisfaction and service quality.
The easiest and most popular measurement is a survey of user
satisfaction, but this assessment alone is a "facile outcome"
because it provides little if any insight into what contributes
to user dissatisfaction. [16] Nevertheless,
the trend in these assessments indicates that user satisfaction
is a function of the individual user's perception of the quality
of the library's resources, the competence and demeanor of
library staff, and the physical appearance of library facilities.
[17] In contrast, service quality focuses on
reducing the gap between user expectations of excellent service
and their perception of the service delivered. Studies of service
quality assess the collective experience of many users and
suggest that reliability is the most important characteristic of
service quality. [18] Though these approaches
to outcomes assessment are sufficiently interesting and
informative to warrant continued use and development, they may be
doomed to failure in terms of winning or bolstering library
support from university and college administrators and faculty if
the outcomes they assess are not based on proficiencies aligned
with the nature and mission of the institution or integrated with
the campus's overall assessment efforts.
Cost-effectiveness. Libraries appear to be
stymied about how to assess the cost-effectiveness of their
operations. To survive they must understand the costs associated
with their collections and services. The difficulty of allocating
the costs of a particular collection or service to content,
staffing, facilities, hardware, and overhead is compounded by the
difficulty of distinguishing between start-up costs and ongoing
expenditures in an era of rapidly changing technologies, prices,
and workflows. A thorough cost analysis must include purchasing
or licensing costs and operational costs, such as the cost of
selection, ordering, cataloging, shelving, checkout, networking,
printing, associated reference questions, instruction, technical
support, and maintaining related Web pages and links.
Furthermore, such analyses must be repeated to keep abreast of
changes. For example, a 1993 functional cost analysis of
interlibrary loan indicated that staff costs accounted for 77% of
the total cost of the service. [19] Given the
technological changes and accompanying cost shifts in providing
ILL, this analysis needs to be repeated.
Even if libraries could periodically and accurately allocate
and calculate increases and decreases in costs for collections
and services, the analyses would be insufficient to determine
cost effectiveness. Cost effectiveness requires a clear
definition of "value" to users and some way to factor this
qualitative indicator into an otherwise quantitative model. For
example, undergraduate students appear to value convenience and
delivery speed more than the quality of the information
delivered. (Confronted with this dilemma, what is the appropriate
role for academic librarians? What do we do when we have a
compelling reason to believe that what users want is not what
they need?) Purchasing electronic resources or digitizing
information adds value, but increases costs. In an environment
where faculty want electronic access but are reluctant to
dispense with print, [20] the additional
expense of acquiring and maintaining both print and electronic
collections is difficult to determine but predicted to be
exorbitant and unsustainable. Libraries need to explore
alternatives and conduct more cost analyses like the 1998 journal
study at Wellesley College to compare the cost-effectiveness of
subscribing to a title with the cost of purchasing articles from
that journal on an as-needed basis. [21] To
make informed decisions, such analyses must be accompanied by
assessments of user satisfaction or service quality with the
different alternatives. Assessments of cost effectiveness are
subordinate to and must be placed in the context of outcomes
assessments to take into account the value of library collections
and services to users.
A study of costs associated with electronic journals conducted
at Drexel University illustrates the complexity of doing cost
analyses. The Drexel study reveals that providing electronic
journals creates significant shifts in staffing and operational
costs. While the purchasing power of an electronic-journal dollar
is greater than that of a print-journal dollar (because of
bundling and backfiles), providing the requisite infrastructure
of hardware, software, and systems staff significantly increases
operating costs. The cost of staffing increases with electronic
journals, partly because library administrators must be involved
in negotiating licenses, joining consortia to get better pricing,
developing collection strategies, and managing change
(restructuring workflow, reorganizing staff positions, and
building staff with appropriate skills, including the skills
needed to track usage statistics and produce meaningful reports).
The cost per unit of processing electronic journals is less than
print, but requires staff with computer skills and the ability to
adjust to continuous change in procedures. Even if the physical
journals are no longer maintained, the increased cost of system
maintenance, license negotiation, printing, and reference is
greater than the decreased cost in physical collection
acquisition and maintenance (including check-in, claiming,
circulation, re-shelving, weeding, binding, converting to
microform or offsite storage). [22] The
question remains, is the overall increase in costs incurred by
providing electronic journals offset by the added value to users?
Even if we believe that it is, how do we effectively make that
case to university and college administrators so that budgets can
be increased appropriately?
Difficult tasks take a significant amount of time to
accomplish. Librarians and staff are already overburdened with
increasing and changing responsibilities. Even if the institution
has clearly defined the outcomes it expects, many libraries do
not have people with the requisite skills either to assess the
teaching, research, and financial outcomes of the library's
efforts or to prepare the materials required to present them
effectively to university and college administrators in the
limited time typically allotted to libraries to make their case.
In the absence of clear guidelines and supportive models,
libraries appear to be doing what is simple. For example,
libraries perform simple calculations of the cost-per-search or
cost-per-session of electronic resource use, based on the license
cost alone, to determine whether to maintain a subscription,
regardless of the fact that the calculation is misleading because
it ignores the many associated costs and the user-centered
qualitative dimension that ought to be the focus of any outcomes
assessment. Usage is not synonymous with value.
What value do users place on library collections and services?
The commercial enterprise called Questia may provide a measure of
the library's dollar value to students. Questia's success depends
on students being willing to pay $20-22 a month for access to
50,000 digital volumes and software tools that facilitate writing
their papers. If Questia succeeds, will it help or hinder
academic library efforts to illustrate their value and win
support for digital library development? We don't know the answer
to this question in large part because we do not really know what
university and college administrators and faculty want or expect
the library to contribute to the institution's mission.
Administrators and faculty must clearly articulate their
expectations and identify the performance indicators that they
believe measure them before libraries can conduct meaningful and
convincing outcomes assessments. Library inputs, outputs, and
assessment efforts should be guided by what the institution says
it wants. Without such guidance, libraries may fail to win
support for their initiatives.
Environmental Factors
In the absence of environmental contextual data, traditional
measures are difficult to interpret and explanations of why
library use is changing are destined to be speculative. The
larger context surrounding libraries must be examined to identify
environmental factors that may be influencing the changes
occurring in libraries and confounding interpretation of library
trend data. The list of factors explored below is not
comprehensive. It is presented to stimulate reflection and
discussion. Exploration of additional factors is invited and
encouraged.
Changes in Literate Habits
Research indicates that a rapidly growing percentage of the
use of electronic library resources occurs outside of the
library. At some institutions, the percentage approaches or
exceeds 75%. Remote use of library resources means that users of
unrestricted resources and services may not even be affiliated
with the institution. Where once students and faculty turned to
libraries, they now turn to their personal computers when they
need to find information. Faculty members appreciate the
convenience of the Web, but know that often the best resource is
still only available in print. They know how to determine whether
an information source is authoritative and timely, and generally
have months or years to complete a project, so interlibrary loan
and document delivery services are viable options for their
research. Students, in contrast, are unable to distinguish
appropriate from inappropriate resources for their assignments,
have little time to complete their projects (in part because they
procrastinate) and are enamored of the Web. In many cases, if the
information is not available on the Web, it does not exist for
them. They want a way to restrict their queries to retrieve just
full-text electronic resources, regardless of whether the best
material for their assignments is available only in print.
Focus group and survey research indicates that undergraduate
students typically turn to popular Web search engines when they
need to find information. These search engines index only the
"surface Web," where less than 7% of the information is
appropriate for educational or scholarly purposes. No single Web
search engine indexes more than 16% of the surface Web, [23] yet we have no evidence that students use more
than one search engine when they look for information. According
to BrightPlanet, the "deep Web" is 500 times larger and growing
faster than the surface Web. The deep Web provides information in
all disciplines, for all constituencies, that is 1,000-2,000
times better in quality than the surface Web. Approximately 95%
of deep Web content is publicly accessible without fees or
subscriptions, but deep Web content, like scholarly commercial
resources licensed by the library, is not indexed and therefore
not accessible using popular Web search engines. [24] The growing concern is that many undergraduate
students may be searching only 0.03% of the Web to complete their
assignments, ignoring entirely the books, journals, databases,
full-text digital resources and other scholarly materials
provided by the library. Because of easy access to the Web,
undergraduates are using library collections and services less
than in the past and, in the absence of quality information and
tools on the surface, this may imperil the quality of student
learning. For this reason, some faculty members do not allow
their students to use Web resources in class projects.
Even if undergraduate students turn to the scholarly
electronic resources licensed by libraries, their search skills
are poor. They seldom if ever use advanced search features, do
not understand that result sets are not necessarily organized by
relevance to their query, and look only at the first Web page of
ten to twenty items retrieved. Even if they come into the
library, they seldom consult a reference librarian. In response,
librarians are developing Web-based training materials to teach
critical thinking skills and search techniques to remote or
Web-enthralled users.
These are desperate times for outreach to students. Even if
the Web accounts in part for the decline in library usage, other
factors must be considered if we want a complete picture of the
environment that constrains library use.
Changes in Students and the Curriculum
Do current students read less or have less intellectual
curiosity than former students? Are they just too enamored of the
surface Web or too busy to explore or learn how to explore what
libraries offer? Years ago, Carnegie Mellon students had
difficulty using the online catalog, but could find the books
they needed on the library shelf using the Dewey Decimal System.
Today, they have no difficulty using the Web-based catalog, but
they cannot find the books they want on the shelf because they do
not understand the classification system. They ignore the numbers
to the right of the decimal point and appear to be oblivious of
the alphanumeric Cutter number. [25]
Students today want 24-hour access to digital library
collections and services, as evidenced by a study of the online
habits of 2,000 American college students conducted by
netLibrary.
- 82% of the students surveyed own a computer and "virtually
all of them use the Internet."
- 93% claimed that finding information online makes more sense
than going to the library.
- 83% said they were frequently unable to get the materials
they need from the library because it is too late or too early to
go to the library.
- 75% said they do not have enough time.
- 75% liked the convenience and 71% liked the time saved by
finding information online any hour of the day. [26]
Library directors can only wonder what impact Questia will
have on student use of the library. Perhaps students have (or
will have) little if any need to use the library. Faculty may be
assigning fewer projects that require use of library resources.
Like librarians, faculty members are being held accountable for
the educational impact of their efforts. Does the preparation of
course packs or the use of courseware like BlackBoard that
bundles all the materials students need for a course simplify
faculty outcomes assessments by eliminating the independent
variable of student skill in using the library? Do faculty in
certificate and graduate degree programs that are designed to
move students quickly through with minimal burden on their time
pre-package materials to eliminate the need to spend time using
the library? What impact does the growing interest in online
courses and distance education have on library use? In the
absence of digital user certificates, libraries provide proxy
servers for remote access to restricted electronic resources and
services, but this technology is problematic, high maintenance,
and may be circumvented by pre-packaging course materials.
Changes in the Technological Infrastructure
As computers become more affordable and more and more students
purchase their own, what impact does this have on library use?
What impact do wireless access and the growing number of
student-owned laptops have on library use? Students clearly
prefer desktop delivery of information and if they have a
personal networked computer, in their eyes they may have no need
to come to the library - hence the decline in gate counts and
reduced circulation of traditional library materials. Do
differences in student ownership of computers and the bandwidth
of the campus computing infrastructure account for the
differences in trends among large and small libraries? Is the
percentage of remote use of electronic resources and services
influenced by the penetration of computing and network bandwidth
of the campus?
Perhaps equipment configurations and replacement cycles are
also a factor in library use. Why, for example, would students
come to the library to retrieve electronic resources using
obsolete equipment when their own computers are faster, better
equipped to handle multimedia and loaded with all of the software
they need to complete their assignments? Libraries typically
restrict their public workstations to information retrieval tasks
only, preferring students to go elsewhere to do email, word
processing, programming, etc.
Information Resources and Services Provided by Entities
Outside of the Library
What impact do Ask-A services, Questia, and Web sites like
LibrarySpot have on student use of their local library? We need
systematic quantitative and qualitative studies of these
information resources and services to understand their impact on
library use and the constituencies that libraries aim to serve.
If the goal is to provide quality service to users, does it
matter whether libraries provide the service or someone else
does? If students are using these services and their quality is
poor or inconsistent, how do librarians direct them to the better
services and teach them how to critique the information they
retrieve? Perhaps most importantly, how do libraries factor in
the impact of these services in their efforts to assess the
educational outcomes of the collections and services that they
provide?
Proposed Research
Librarians must lobby university and college administrators
and faculty to articulate clearly what they expect the library to
contribute to the institutional mission. Meanwhile, librarians
must continue to develop strategic plans for the future and
endeavor to win or bolster support for the library and its
changing directions. To do these tasks effectively, we must
understand how and why libraries and library use are changing.
Traditional library measures are inadequate for this purpose.
Substantial research is required.
The range of changes that libraries are experiencing is too
broad for a single research study to address. The study proposed
here is to conduct an exemplary quantitative analysis that will
begin to explain how and why library use is changing
significantly. The study is warranted because existing trend
data, anecdotes, and speculation, however reasonable, are
insufficient evidence for planning and case building with
university and college administrators. To start filling the gaps
in our current understanding, at least three tasks must be
accomplished. A small, representative group of concerned and
motivated library directors need to
- Identify and define a manageable set[27]
of measures, including new environmental indicators, that can be
used to document and explain how and why library use is
changing
- Recruit staff to collect and analyze genuinely comparable
data about library use and influential environmental factors
- Publish and disseminate the results of this analysis to
inform strategic planning and case-building and spur discussion
of the implications of changing patterns of library use for the
future of libraries and librarianship
Performance measurement is admittedly a political activity.
Electronic resource vendors are hesitant to share certain kinds
of usage data for fear libraries will cancel subscriptions.
[28] Similarly, libraries are hesitant to
share certain kinds of usage data for fear their institutions
will interpret the data to mean that the value or importance of
libraries is declining and consequently cut their budgets.
However, non-disclosure of data inhibits understanding and
jeopardizes effective planning. [29] The
challenge is twofold. First, stakeholders must understand how to
interpret the data and the context in which it is meaningful.
Second, they must trust one another. Caution and perseverance are
essential to the goal of understanding how and why library use is
changing. Library directors who participate in the research
proposed here must be both bold and sensitive, understanding that
the importance of the comparative aspect of this work and the
need for trust must outweigh concerns about sharing confidential
data that may reveal significant declines in library use and the
striking impact of our competitors in the information
marketplace.
The proposed research calls for changing or expanding
traditional library measures in a new direction. Management
literature offers encouraging guidance. For example, the
eight-stage process for creating change outlined by John P.
Kotter begins with establishing a sense of urgency (by examining
competitive realities and identifying opportunities) and creating
a guiding coalition to articulate the vision, plan the strategy,
and lead the change. Kotter explains that encouraging agents of
change is less important than identifying and removing obstacles
to change-like reluctance to trust one another or to tackle the
difficulty of assessing the impact of Ask-A services on library
use. [30] Stephen R. Covey says that to change
a situation, we first have to change ourselves. [31] Daryl R. Connor's research on change indicates
that we will necessarily move from a period of "uninformed
optimism to informed pessimism," but we should not be
discouraged. [32] The future of libraries and
librarianship and the learning and research outcomes of our
institutions of higher education will be determined by what we
initiate today. The question is do we have the chutzpah to
pioneer the frontier that currently overwhelms us?
The Digital Library Federation and the Council on Library and
Information Resources are providing the opportunity to examine
the competition and create the guiding coalition. For practical
reasons they have invited only a small number of libraries to
participate in the proposed research, but all academic libraries
are invited and encouraged to follow the group's work and to
supply input and feedback that will help refine the project and
interpret the results.
Notes
1. Publishers offer lip service, but
have done little if anything to demonstrate their commitment to
archiving and preservation or to assure libraries that the
service will be affordable.
2. Conversations at conferences with
vendors of digital rights management software indicate that
vendors do not perceive libraries as publishers and consequently
are not developing affordable software to meet library needs.
Similarly, vendors of e-book devices seem to be unaware or
naïve about how universities operate, believing that the
campus bookstore or library is organized and prepared to load
each student's device with the textbooks and other materials
needed for their courses when these become available.
3. B. Quinn, "The McDonaldization of
Academic Libraries." College and Research Libraries, Vol.
61, 3, pp. 248-261.
4. For example, the shift to
providing email notices of overdue books and enabling online
renewals resulted in a significant drop in revenue from fines in
Carnegie Mellon University Libraries.
5. S. Singleton and L. Mast, "How
Does the Empty Glass Fill? A Modern Philosophy of the Digital
Divide." EDUCAUSE Review. November-December 2000,
pp.30-34, 36.
6. According to Raymond Kurzweil, the
rate of technological progress currently doubles every decade, so
a hundred years of progress at the current rate will happen in 25
years. Change itself will reach an exponential rate of growth by
2015. Kurzweil, Founder and Chief Technology Officer, Kurzweil
Applied Intelligence, and Founder and Chief Executive Officer,
Kurzweil Educational Systems, made this projection at the
Earthware Symposium at Carnegie Mellon in October 2000.
7. For example, years ago Carnegie
Mellon consulted with experts in the field and began to design a
queuing study to determine whether we had enough public
workstations for our users. Before the study design was even
completed, we abandoned the project because more and more
incoming freshmen arrived on campus with their own computers.
Similarly, we considered how to stretch our already strained
budget to accommodate adding network ports (a "Netbar") for the
conspicuously growing number of laptop computers that students
were bringing into the library. This project too was abandoned
when wireless computing and affordable wireless cards rendered
"Netbar" unnecessary.
8. The trends discussed in this paper
are based on an examination of aggregate data from ARL and annual
reports from selected Oberlin Group libraries. Aggregate Oberlin
Group data is not publicly available.
9. For example, the shift from print
to electronic journals dramatically changes the workload and kind
of work to be done, and affects space, equipment and supply
needs.
10. Standards for College Libraries
of the Association of College and Research Libraries
11. EDUCAUSE recently released a
report stating that insufficient funds to recruit or retain
qualified information technology staff has reached crisis
proportions in higher education, a crisis that requires the
attention and support of university presidents and provosts to
solve. See EDUCAUSE Executive Briefing. "Recruiting and Retaining
Information Technology Staff in Higher Education." EDUCAUSE
Quarterly, Vol. 23, 3, 2000, pp. 4-7.
12. A presentation at the annual
American Library Association Conference a couple years ago
reported on a comparative study of print and electronic reserves
use. The results revealed that some students do reserve readings
and some do not. The delivery media was irrelevant.
13. K.M. Guthrie. "Revitalizing
Older Published Literature: Preliminary Lessons from the Use of
JSTOR." March 23, 2000. Cornell University and the University
of Michigan have seen similar results with the Making of America
collections.
14. The licensing and associated
costs of electronic resources are addressed later in this
paper.
15. The equipment that enables cost
recovery for networked printing is expensive, so it may take
years to break even.
16. "Task Force on Academic
Library Outcomes Assessment Report." Association of College
and Research Libraries, June 27, 1998, p. 3.
17. S.S. Andaleeb and P.L.
Simmonds. "Explaining User Satisfaction with Academic Libraries:
Strategic Implications." College and Research Libraries 59
(March 1998), pp. 156-167.
18. D.A. Nitecki, "Assessment of
Service Quality in Academic Libraries: Focus on the Applicability
of SERVQUAL," Proceedings of the 2nd Northumbria International
Conference on Performance Measurement in Libraries and
Information Services (Newcastle on Tyne, England: Department
of Information and Library Management, University of Northumbria
at Newcastle, 1998), pp. 181-196. One of the primary thrusts of
ARL's New Measures Initiative is converting the service-specific
SERVQUAL instrument into a library-wide LIBQUAL instrument, which
is being pilot tested at this time.
19. Referenced in C.H. Montgomery
and J. Sparks, "Framework for
Assessing the Impact of an Electronic Journal Collection on
Library Costs and Staffing Patterns.".
20. A survey of ARL and non-ARL
libraries in 1997-1998 indicated that 29% of the ARL libraries
and 34% of the non-ARL libraries had canceled print journals for
electronic access in the previous year, but 51% of the ARL
libraries and 40% of the non-ARL libraries said that they did not
and will not cancel print for electronic subscriptions because
the academy is not ready to relinquish print. Referenced in C.H.
Montgomery and J. Sparks, "Framework for
Assessing the Impact of an Electronic Journal Collection on
Library Costs and Staffing Patterns.". The 1999 survey of 214
JSTOR subscribers revealed that 64% of the institutions had no
plans to discard bound volumes of JSTOR titles, 39% had moved or
planned to move physical copies of JSTOR titles to offsite
storage, and only 24% had stopped binding or planned to stop
binding recent issues. See http://www.jstor.org/about/bvs.html.
21. Referenced in http://www.wellesley.edu/Reaccreditation/seven.html.
22. C.H. Montgomery and J. Sparks.
"Framework
for Assessing the Impact of an Electronic Journal Collection on
Library Costs and Staffing Patterns."
23. S. Lawrence and L. Giles.
"Accessibility and
Distribution of Information on the Web." 1999. (See also,
Nature 400 [1999]: 107-109.)
24. M.K. Bergman. "White
Paper - The Deep Web: Surfacing Hidden Value." July 2000.
25. This observation is based on
the author's experience of being interrupted in her office on the
second floor of Hunt Library, which houses all the monographs in
the social sciences and humanities, to help students find books
they discovered using the public workstations outside her
office.
26. "Yankelovich
/ netLibrary Study Looks at Online Habits of American College
Students."
27. "A limited amount of data
gathered with clear intentions is much more valuable than a vast
amount of data with no specific purpose." W. Shim, C.R. McClure,
J.C. Bertot et al. "ARL E-Metrics project: Developing Statistics
and Performance Measures to Describe Electronic Information
Services and Resources for ARL Libraries, Phase One Report."
November 7, 2000, p. 55.
28. One of the librarians
interviewed in the DLF survey of usage and usability assessments
told a story of a vendor who called to report a large number of
turn-aways trying to access their resource, presumably to get the
institution to license more simultaneous users. A close
examination of the usage reports indicated that the turn-aways
were clustered over two days during which there were very few
database sessions, suggesting that the problem was technical, not
a licensing issue. Vendors also neglect to discern logouts from
time-outs in their usage reports, which librarians believe
significantly skews reports of average session length.
29. See, for example, M.
Kyrillidou. "Overview of
Performance Measures in Higher Education and Libraries."
30. J. P. Kotter. "Why
Transformation Efforts Fail." Harvard Business Review.
March-April 1995, p. 61.
311. S. R. Covey. The 7 Habits
of Highly Effective People. Simon & Schuster, 1990, p.
18.
32. D. R. Conner. Managing at
the Speed of Change. Random House, Inc., 1992.
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