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AUTHOR Barrett, G. Jaia, Ed. TITLE ARL: A Bimonthly Newsletter of Research Library Issues and Actions, 1999. INSTITUTION Association of Research Libraries, Washington, DC. ISSN ISSN-1050-6098 PUB DATE 1999-00-00 NOTE 106p.; Published bimonthly. For the 1998 issues, see ED 428 761. AVAILABLE FROM Association of Research Libraries, 21 Dupont Circle, Washington, DC 20036 (members $25 per year for additional subscription; nonmembers $50 per year). Tel: 202-296-2296; Fax: 202-872-0884; Web site: http://www.arl.org/newsltr/newsltr.html. PUB TYPE Collected Works Serials (022) JOURNAL CIT ARL; n202-207 Feb-Dec 1999 EDRS PRICE MF01/PC05 Plus Postage. DESCRIPTORS *Academic Libraries; Copyrights; Distance Education; Federal Legislation; Global Approach; Higher Education; *Information Services; Library Associations; Library Collections; Library Cooperation; Newsletters; Publishing Industry; *Research Libraries; *Scholarly Journals IDENTIFIERS Association of American Universities; *Association of Research Libraries; *Scholarly Communication

ABSTRACT This document consists of six issues of the ARL (Association of Research Libraries) newsletter, covering the year 1999. Each issue includes some of the following sections: "Current Issues"; reports from SPARC (Scholarly Publishing and Academic Resources Coalition), Coalition for Networked Information, Office of Leadership & Management Services, and Office of Scholarly Communication; "Diversity"; "Access Services"; "Statistics & Measurement"; "Federal Relations"; "ARL Activities"; and a calendar of events. "Current Issues" articles cover: provosts' solutions to the journals crisis; what the Digital Millennium Copyright Act and Term Extension Act mean for the library and education community; distance education and the copyright law; measuring the cost effectiveness of journals; and the impact of publisher mergers on journal prices. One special issue (October 1999) focuses on the AAU (Association of American Universities)/ARL Global Resources Program. (MES)

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ARL: A Bimonthly Newsletter of Research Library Issues and Actions, 1999

U.S. DEPARTMENT OF EDUCATION Office of Educational Research and Improvement PERMISSION TO REPRODUCE AND EDUCATIONAL RESOURCES INFORMATION DISSEMINATE THIS MATERIAL HAS CENTER (ERIC) BEEN GRANTED BY U) This document has been reproducedas received from the person or organization originating it. C.A. Mandel Minor changes have been made to improve reproduction quality.

Points of view or opinions stated in this TO THE EDUCATIONAL RESOURCES document do not necessarily represent INFORMATION CENTER (ERIC) official OERI position or policy. 1

By G. Jaia Barrette Ed.

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A BIMONTHLY NEWSLETTER OF RESEARCH LIBRARY ISSUES AND ACTIONS PROVOSTS PROPOSE SOLUTIONS TO JOURNALS CRISIS by Mary M. Case, Director of the ARL Office of Scholarly Communication

It is time we ...focus on panaceas, for this crisis is In their presentations, however, both preceded these growing to the point that scholarship and education explanations with descriptions of the journals crisis will be damaged significantly if we do nothing. and key components that any solution must include. Shulenburger noted that he "no longer believes that With these words, University of Kansas solutions that fail to deal with ultimate ownership of Provost David E. Shulenburger prefaced scholarly communication, i.e., copyright, are viable." his proposal to solve the journals crisis He notes that scholarly articles have market valueas the creation of the National Electronic Article demonstrated by the pricing practices and extraordinary Repository (NEAR), a centralized, public-domain profitability of commercial publishers. He is concerned server of faculty works. Shulenburger argues that that non-profit scholarly societies also recognize this by requiring authors' works to be submitted to market value and, judging by data collected at Kansas, NEAR within 90 days of publication, publishers have begun to exploit it, as well. Shulenburger believes would be forced to reassess the value they add that limiting the rights that faculty authors can transfer and reduce prices accordingly. 000 to publishers (which would be required for the establish- Shulenburger presented his case at the 133rd ment of NEAR) limits the ability of publishers to control ARL Membership Meeting held last October in and exploit all possible value from journal articles. Washington, DC. ARL member directors also heard Phelps concurs that the market value of journals from Charles E. Phelps, Provost of the University of is being exploited by publishers. He characterizes the Rochester, who offered what he characterized as a issue as "not whether the journals provide valuable complementary solution. Phelps is a proponent of servicesthey do without questionbut rather whether 00.0 taking advantage of the electronic environment to the terms of trade are appropriate." Phelps reviews separate functions currently performed by the sys- several steps that the university community should tem of journal publication. Phelps believes that by take: bringing faculty more closely into the collection .5 paying scholarly societies to conduct peer evalua- decision mechanisms; creating criteria for libraries that tion of manuscripts, functions such as publication reward access and consortial activity; evaluating faculty and dissemination can be left to other entities, e.g., scholarship on the basis of quality, not quantity; and discipline- or university-based servers. This separa-modifying the usual practice of total assignment of tion, or "decoupling," of functions breaks the link property rights. But he concludes that "the issues of between the peer review process, which is essential journal pricing can only be resolved by systematic and to the academic enterprise, and the publication of a widespread introduction of vigorous competition into worka link that is exploited by many publishers, the world of publishing...." Phelps believes that it is up as evidenced in their pricing practices. to universities to introduce this competition and sees the The following pages include excerpts from decoupling proposal as one possible alternative. the talks of both Shulenburger and Phelps, focusing ARL and the authors of these papers encourage primarily on the explanations of their proposals. serious consideration of these proposals. Continued

MOVING WITH DISPATCH TO RESOLVE ber is accepted for publication by a scholarly journal, a portion of the copyright of that manuscript be retained for THE SCHOLARLY COMMUNICATION inclusion in a single, publicly accessible repository after a CRISIS: FROM HERE TO NEAR lag following publication in the journal. While the devil is by David E. Shulenburger, Provost, University of Kansas in the details, the details are not important to the principle of my proposal. Moderate alteration of the details I will The following is an excerpt from a presentation at the describe would still leave my proposal a viable solution to 133rd ARL Membership Meeting held in October 1998 in the problem we face. Washington, D.C. Text of the complete talk can be found on At present, essentially all scholarly journals require the ARL website at . nal when a manuscript is accepted for publication. In this proposal, only the exclusive right to journal publication of My perspective is that of the provost of a research the manuscript would pass to the journal. The author university. We place high value on the library would retain the right to have the manuscript included in because of the obligation to preserve knowledge the National Electronic Article Repository (NEAR) ninety for the future and because of the instrumental value the days after it appears in the journal. By federal law, by library has both in educating our students and in making funding agency stipulation, or by contractual agreement possible our contribution to the production of new with the university employer, the faculty member's pub- knowledge through research. lished article would be transmitted to NEAR upon its pub- I became actively involved in the scholarly communi- lication. NEAR would index manuscripts by author, title, cation crisis because the KU faculty became alarmed by the subject, and the name of the journal in which they annual notice that some serials would have to be canceled appeared. (The electronic form would be searchable on and because fewer of their requests to purchase new serials many more dimensions.) NEAR would see to it that arti- and monographs were being granted. Faculty alarm grew cles are permanently archived, thereby assigning responsi- as lack of access began to limit their ability to access pub- bility for the solution to another problem brought to us by lished research and even to assign readings to graduate the electronic age. NEAR could be funded by universities students. We responded as you did, with some increased through "page charges," per article included, by federal funding, increased interlibrary loan activity, cooperative appropriation, by a small charge levied on each user upon buying ventures, use of electronic document delivery, etc. accessing articles, or by a combination of these methods. But these responses were palliatives, not solutions. Access I do not expect that this plan will generate substantial to scholarly communication is being limited by the explo- opposition from faculty members, as it guarantees them sion in cost and increases in sources available. access to all scholarship published by U.S. faculty members After a few years of the librarians' work to explain wherever they happen to be located or employed. The pro- the issues and my speaking on a piecemeal basis about the posal by its universality addresses the fear now extant that nature of the problem, I chose to discuss it in our fall 1997 any attempt by faculty members to withhold any part of opening faculty convocation. Key to any success was the copyright will lead journals to reject manuscripts. If the defining the problem confronting us. It is not "the library requirement to withhold a portion of the copyright for pur- problem" or "the provost's problem," but "the scholarly poses of having it included in NEAR were ubiquitous in communication problem." The address was effective. KU U.S. universities, no journal, domestic or foreign in origin, faculty are now generally aware that extraordinary costs would cut itself off from the possibility of publishing all of scholarly communication must be controlled and new work arising from U.S. faculty. Thus, no U.S. faculty mem- vehicles must be created to gain access to and preserve the bers would need fear that their manuscripts would be burgeoning volume of available scholarship if we are to rejected because of partial copyright retention. maintain access to important scholarly information. Of course, much scholarship is generated outside of the Having said that, I must admit that I did not deliver a panacea. I merely helped faculty understand the para- academy and by scholars abroad. If journals find that the meters of the problem and suggested some efforts they work of U.S. university authors must appear in NEAR, could take individually and through their scholarly surely they would find little reason to oppose inclusion of organizations to keep the problem from growing worse. all their articles in NEAR. The current U.S. government It is time we do focus on panaceas, for this crisis is requirement that only a portion of the copyright of articles growing to the point that scholarship and education authored by its employees be surrendered surely would will be damaged significantly if we do nothing. quickly be modified to require inclusion of such articles in NEAR. Employees of private firms commonly must receive The Proposal clearance from their employer before they publish an article My proposal is simple: We must find a way of requiring based on their work. It would seem reasonable that once that when a manuscript prepared by a U.S. faculty mem- one decides that something a firm paid to produce can be 2 ARL 2 0 2 FEBRUARY 1 9 9 9 4 published, granting wider exposure by including the arti- This proposal returns the appropriate proportion to cle in NEAR would be acceptable. Thus, it is reasonable to universities while allowing others who have marginally expect that work published in U.S. journals by internation- added value to be compensated for doing so. al scholars or by government or private scientists would be How do we get from here to NEAR? An easy solution included in NEAR. would be the passage of a federal law requiring that the Journals now generally have exclusive ownership work published in scholarly journals by U.S. university fac- of the copyright to manuscripts they publish nearly into ulty members be deposited in NEAR within 90 days of the infinity. Under my proposal, this exclusive ownership date of its publication. A variant would be to require that all right would be truncated to a period of 90 days. While work arising out of federally funded research subsequently 90 days is arbitrary, in my view, it is enough time to leave published in a scholarly journal be deposited in NEAR. I sufficient value with the journals. Journal subscribers would welcome the former and cannot envision any serious will continue to pay for more timely access to informa- political opposition to the latter. NEAR, of course, would tion. But free or low-cost access after 90 days would have to be created by the same legislation. Federal agencies surely depress the extraordinarily high prices now as a condition of research grants and contracts also could charged by some journals and curb the publishers' ability require deposit of resulting articles in NEAR. to increase those prices seemingly without limits. Since Alternatively, an organization like ARL, AAU, all scholarly journal articles would pass into the public NASULGC, the Library of Congress, or a private founda- domain in 90 days, individuals, libraries, agencies, and tion might establish NEAR. Then, university by universi- businesses would choose to subscribe only to those jour- ty, we would have to pass copyright ownership policies nals where timely access justified the cost. I suspect that that require deposit of journal articles in NEAR. We in with reasonable pricing most journals would pass this Kansas are moving in this direction in the hopes that such test. Similarly, new journals would be free to spring up, a vehicle will soon be created. The intellectual property but their impact on library costs would be tempered by policy that will be considered by the Kansas Board of the reality that the material they contain would be in Regents in October and November includes the NEAR 90 days after publication. following : In response to proposals that bear some of the Upon the establishment of national governmental or elements of this one (for example, see Bachrach et al. nonprofit entities whose purpose is to maintain in in Science 281 [Sept. 1998]: 1458), scholarly journals often an electronically accessible manner a publicly proclaim that they add value through their refereeing, available copy of academic manuscripts, the Kansas editing, printing, etc., and therefore deserve to reap the Board of Regents will review each entity and upon fruits of their efforts by retaining exclusive rights to arti- determination that providing the manuscripts will cles. I do not deny that journals add value. Furthermore, not jeopardize the publication of articles or infringe I believe that any solution that attempts to eliminate jour- on academic freedom, require the creator(s) to nals would do scholarly communication a great disservice. provide the appropriate entity a limited license for In my field, the title American Economic Review tells the the use of each manuscript. reader a great deal about the quality of the articles within. I add this proposal to those already on the table. There In an age with more information available than time to is room for multiple approaches. Separation of review read it, every screening aid of this nature is valuable. from publication is compatible with this proposal and the What I do deny is that journals are entitled to all the value experiment with that concept should continue. The very of an article. What they are entitled to is the value that admirable SPARC project of ARL has the possibility of their refereeing, editorial, and publishing processes added. quickly addressing cost probleins in specific areas and also As I illustrated above, both for-profit and non-profit pub- deserves support. But any proposal that does not guaran- lishers are raising prices far more rapidly than their costs tee the ultimate right of the academy to inexpensive and are increasing in the effort to gain all the economic value in open access to the scholarly communication it generates the article that they publish, not just the value added. will not solve our problem. We must deal with the thorny Without universities that pay the salaries and con- problem of copyright ownership. I believe I have outlined tribute the space, supplies, and equipment to scholars, a proposal that does so while protecting the legitimate much less new knowledge would be generated. rights of all who make scholarship possible. Universities receive the funds to make expanded knowl- Please evaluate this proposal and either help perfect edge creation possible from all levels of government, and or reject it. Finally, let me thank ARL for its constant from foundations, private contracts, and tuition paid by effort to draw attention to this problem and for helping to students. The majority of the value added by universities shape solutions. comes from these sources and it is time that an appropri- ate portion of this value be claimed on their behalf to This policy was approved in November 1998, see for the full policy. ARL 202 FEBRUARY 1 9 9 93 Mit S 111 Continued

ACHIEVING MAXIMAL VALUE publishing a highly profitable enterprise. They have also succeeded in stifling competition, not only FROM DIGITAL TECHNOLOGIES IN through provision of excellent support for the editorial SCHOLARLY COMMUNICATION boards that they have recruited (often the best minds by Charles E. Phelps, Provost, University of Rochester in the field) but also by such tactics as requiring five- The following is an excerpt from a presentation at the year, non-competing clauses for editors who sign on, or simply by buying the competition. 133rd ARL Membership Meeting held in October 1998 Ultimately, to introduce effective competition in Washington, DC, Text of the complete talk can be found into the world of scholarly publishing, the institutions on the ARL website at . tively create effective alternatives that serve all of the Many ideas have emerged in higher education functions now provided by print journals, and make to deal with [the problem of journal price] these alternatives at least as attractive to scholars (in increases, some helpful, some harmful, some their roles as author, referee, and editor) as current nearly suicidal. At the suicidal end of the spectrum lie journals do. formalized policies from some universities that their Effective components of successful competition libraries shall automatically receive budget increases need not each provide every function now performed necessary to match price increases posted by journal by paper journals. New digital technologies allow the publishers. One might as well put on a deer costume decoupling of these functions in ways that make entry and go out in the forest during hunting season! This into the market easier and cheaper. We must take full simply invites publishers to raise prices without con- advantage of these new technologies wherever possible. straint, and if every college and university in the U.S. Decoupled Certification followed these policies, publishers would drive prices to Ultimately, many observers of the process of scholarly levels that we would need telescopes to find. At the publication feel that the most important step in achiev- opposite extreme, some universities have informed spe- ing effective competition for existing journals is to cre- cific publishers that the total spending on their journals ate an alternative mechanism to provide the referee- is fixed by current spending, so that if they raise prices, ing/certification process now provided uniquely by subscriptions will be canceled so that publishers' rev- the editorial boards of print (and occasionally, elec- enue remains fixed. Since the marginal cost of an addi- tronic) journals. What has become apparent is that tional copy of the journal represents a trivial amount of digital technologies allow the complete separation of the overall costs of production, this has the potential for the certification process from the other publication stemming publishers' price increases, particularly if the processes (distribution, indexing, archiving). Thus, policy were more widely adopted. the Digital Networks and Intellectual Property Fundamentally, however, the issues of journal pric- Management Committee of the Association of ing can only be resolved by systematic and widespread American Universities (AAU) has begun a series of introduction of vigorous competition into the world of discussions designed to learn how to bring into exis- publishing, competition that has not emerged until tence a set of editorial boards that will perform only recently in part because the producers of scholarly the refereeing function, leaving to other mechanisms manuscripts (faculty) and their institutions (universities, the distribution and archiving. Whether this approach both individually and collectively) have left the world succeeds or not remains a completely open question.' of scholarly journals entirely to other entities, both The potential advantages of decoupling appear in commercial and not-for-profit (learned societies). several areas. First, it may introduce more competition Particularly the commercial sector has made strong into the business of journal publication, especially in and successful efforts to expand the realm of journals more highly defined subspecialty areas where scale that they publish and control, and have succeeded economies preclude the introduction of a new paper through time in establishing an intellectual stronghold journal. Put simply, it is easier and less costly to just in our worlds of scholarly communication by creating engage in the certification process than to do that plus excellent editorial boards, attracting (partly through a undertake the subsequent publication process itself. lack of viable alternatives) our best scholarly work, and Second, it will encourage scholars to use digital media hence staking out the high ground in the intellectual for communication (once having achieved the desired hierarchy of our disciplines. Having achieved that high certification of quality) as their final method of "publi- ground, they are now in a position to exploit the eco- cation." This will both enhance the shift towards elec- nomic value of that reputation, and they do so by rais- tronic comm cation andas a secondary conse- ing prices far above production costs, making journal quenceredace the reliance on the paper journal 4ARL 202 FEBRUARY 1999 world, and hence ultimately reduce libraries' acquisi- physics. If e-servers and editorial boards are matched tion costs. I wish to be clear here that the process envi- one-to-one, this simply becomes a system of e-journals. sioned in AAU discussions relies completely on sup- However, if a common site for the servers can be estab- porting the development of various "certification" or lished to service a wide array of editorial boards, then editorial bodies, but does not envision that the AAU or the process of entering into the editorial fray is simpli- any other single organization would actually under- fied. Thus, parallel development of mechanisms to take such work. The goal here is not to establish a support independent editorial boards and to provide "monopoly" certification agency, but rather to support e-server capabilities for distribution and archiving may and encourage numerous groups to engage in such be important. work in their own fields. Several paths for providing this electronic "server" Despite the potential gains from achieving inde- access seem feasible. Without implicating individual pendent (decoupled) certification, some important organizations (and I wish to be clear that I have not issues stand in the way of successful introduction of discussed these issues with any of the named organi- this approach, including (a) finding mechanisms to zations), it seems tractable to expand a JSTOR-like support the costs of operating editorial boards (and environment to serve as a repository for manuscripts refereeing systems); (b) inducing credible and "impor- not yet published elsewhere. The capabilities inherent tant" figures to serve as editors in this role, rather than in ARL's SPARC system to support e-journals could in one leading to ultimate publication; and (c) finding also be adopted to provide the e-server function for parallel mechanisms to provide the other journal-like other editorial boards. Ultimately, a wholly decoupled functions of dissemination, indexing and search, and certification process can completely unlink the certifi- archiving. cation process from the distribution and archival On the last of these points, a variety of mecha- process. And finally, if a national resource is estab- nisms appears feasible. The easiest and lowest costing lished following David Shulenburger's proposal for a one is for authors of manuscripts to post their work (in National Electronic Article Repository (NEAR), the a locked and electronically certified version) on their capabilities of that system would also easily serve as own website, so that the editorial board doing the cer- repository for manuscripts certified by editorial boards tification can produce a virtual journal by simply post- as envisioned in the AAU's decoupling proposal. ing a table of contents with links to the appropriate websites. The problem with this, of course, is the Conclusions Incorporation of digital media into the realm of schol- ephemeral nature of the postings and links: any user arly communication will inevitably occur, but the path of the Web commonly finds broken links or sites that can vary considerably by time, depending on the no longer exist, and the tracking and updating of these efforts and specific steps taken by the participants links (and maintenance of functional copies of the (including institutions of higher education, learned manuscripts) is not a casual undertaking. This concern societies, and commercial publishers). Initially, at for lack of permanence makes web-posting alone an least, the digital and paper worlds will surely coexist, unlikely permanent solution to the problem of scholar- but eventually the digital world will quite likely ly communication, although it may well serve as a good "first step" in the process. The other important become dominant. Two types of changes will be necessary to bring issue is that the current journal editorial process does this system into line with the purposes of universities provide for valuable improvement in the quality of and colleges. First, we must find ways to introduce scholarly writing, through editorial work, style and competition into every phase of the process that jour- format improvement, and the like. Some fields find nals once performed as a bundled effortquality certi- this more important than others, but any world of fication, editorial improvement, distribution, indexing, future electronic publishing may well involve some and archiving. And, finally, as a necessary step in form of editorial improvement (before certification, creating appropriate competition, we must regain at potentially) or some form of archived (paper) publica- least partial ownership of the property rights to the tion for the most "important" works published elec- intellectual work that we collectively produce as the tronically, the latter set obviously being more likely institutions of higher education in the U.S. and around candidates for substantial editorial work and the world. improvement. A more complete process would link an e-server to 1A more complete description of the logic underlying the system, providing systematic oversight of the elec- this approach and the potential problems appears at tronic source of the material, much as the Los Alamos .

7 ARL 202 FEBRUARY 1999 SPA-RC Richard K. Johnson, Enterprise Director, Scholarly Publishing and Academic Resources Coalition SPARC NOTES CAUL will be instrumental in spreading the word about by Alison Buckholtz, SPARC Communications Manager developing support for partnered journals, and identify- ing partnership opportunities." Call to Action SPARC partner Evolutionary Ecology Research (EER) SPARC Communications Effort Expands debuted its online edition in December and the print Alison Buckholtz has joined SPARC as Communications counterpart during the first week of January. If your Manager to lead media and member outreach. Alison library hasn't already subscribed, this is your opportunity will work to expand recognition of SPARC, its partners, to support a more competitive marketplace for scientific and its members, as well as spearhead marketing and journal publishing. EER, founded and edited by web-based outreach. University of Arizona professor Michael Rosenzweig, Alison comes to SPARC after serving as an indepen- was created in response to the escalating dent communications consultant for cost of a Wolters Kluwer title that he 14,1J Washington, DC-based associations, also founded and edited. Along with CtoCcOcco2g web publishers, and corporations. the entire board of editors, Rosenzweig Previous to that, she worked for five left the established journal when anoth- Cidcw IGG@TGeTh years at Boston-area public relations er in a long series of substantial price agencies representing the high-tech increases was announced, bringing the WOW 0ak),:k tsix SPA RC industry and in publicity and marketing 1999 cost of the journal to $777. The EIBEIMMZEI 41! 0+7 5)0 0 [Mil %MOW° functions for Faber and Faber, new EER is available for $305 for the 00%U()13 print and electronic version ($272 for Publishers (U.S.). She can be reached internet access only), and it relies on the at 202-296-2296 or via email subscriptions of SPARC members to be . able to provide an alternative to sky- May We Quote You? rocketing journal prices. For more infor- As the first SPARC-supported journals mation, see . cesses tell a story important to the Oberlin Group future of publishing. But SPARC would Gives SPARC the Nod like to hear your story, too. Would you Fifteen members of the Oberlin Group (;(z (ox or members of your faculty or staff be of libraries, a collection of college willing to be interviewed or supply libraries, have decided to join SPARC. information for articles by national Full members include Bowdoin College, Bucknell reporters? SPARC is currently compiling a list of mem- University, Claremont Colleges, Oberlin College, and bers willing to speak to the press. We would also be Wesleyan University; consortial members include Albion happy to help you place articles you have written on the College, Colorado College, Denison University, Eckerd issue of journal pricing. In addition, please send us copies College, Franklin and Marshall College, Macalester of usage studies, price analyses, or other data that will College, Trinity College, St. Lawrence University, help tell the story of the journals crisis. For more informa- Simmons College, and Williams College. tion, contact Alison Buckholtz at . "The most serious threat faced by academic libraries is continuing high increases in journal subscriptions, Save the Date particularly for academic journals," said Ray English, Ken Frazier, SPARC Steering Committee Chair, will Director of Libraries at Oberlin College. "SPARC repre- moderate "SPARC: Creating Solutions Through sents the first real initiative that has come out of the Partnerships" during the ACRL conference in Detroit (April 8-11, 1999). This panel, to be held on Friday, April library community to try to address this issue." 9, 11:00-12:30 p.m., will outline how and why SPARC Australian University Libraries Join SPARC evolved, how it works, and its progress to date. It will SPARC's international reach broke through another also address SPARC from the perspectives of a publishing geographic boundary when the Council of Australian partner and a faculty member. University Librarians (CAUL) signed on as an affiliate SPARC In the News in December. As SPARC's efforts to shake up the world of scholarly "Changing the face of scientific publishing must be publishing gain momentum, the media is taking note. an international effort," said Rick Johnson, SPARC For in-depth coverage of SPARC, its partners, and its Enterprise Director. "The impact of journal price trends members, see the SPARC website listing of recent articles: is often more devastating for libraries outside the U.S. . 6 ARL 2 0 2 FEBRUARY 1 9 9 9 e0A-L-fft0N-FOR-N-ETWORKE-DiN-FORMATTON Clifford Lynch, Executive Director and records managers dealt exclusively with paper spun WORKING TOGETHER: off from organizational processes, but now the types of A COLLABORATION AMONG materials managed and collected by these professionals is ARCHIVISTS, RECORDS MANAGERS, migrating onto the Net. We are just beginning to address the need and mechanisms for keeping a long-term record AND INFORMATION TECHNOLOGISTS of email that documents institutional processes and poli- by Joan Lippincott, Associate Executive Director, CNI cies, of videoconferencing that may contain the record of Institutions are grappling with questions concerning an official decision, and of website materials that repre- long-term access to electronic records, the policies that sent the history of the institution. need to be put into place to specify responsibilities for retention of electronic materials, and the institutional Major Issues mandate to respond to Freedom of Information Act Participants identified major issues surrounding electronic requests that necessitate searching of electronic records archives and records, including policy-oriented concerns that may not be structured for easy analysis and that may such as: confidentiality, retention versus disposal of elec- include confidential information. Archivists and records tronic records, authority for decision-making and policy, managers have historically had the responsibility for and the legal/regulatory environment. Participants also ensuring the institution's long-term access to its records identified the long-term archiving of web resources and and documents, and many new challenges are apparent email, the economics of long-term archiving, educating in the networked environment. Working collaboratively users and producers about electronic records policies, and with institutional information technologists may help in the lack of input from archivists and records managers into developing policies and solutions. system design as significant concerns. Facilitators Gerry Bernbom (Special Assistant for CNI Working Together Workshop Digital Libraries and Distance Education, Office for CNI first offered a Working Together workshop in 1994. Information Technology, Indiana University) and That workshop focused on facilitating partnerships Fynnette Eaton (Director of the Technical Services between senior library and information technology (IT) Division, Smithsonian Institution Archives) guided the managers and their staffs, an embodiment of CNI's mis- teams, providing an overview of forces affecting collabo- sion. Over the years a broader spectrum of individuals, ration among individuals representing different sectors such as instructional designers and academic administra- of the institution, and finally focusing on an institutional tors, have been included in the teams that participated. project of relevance to each team. CNI realized the need for an expanded program, and one of the areas for redirection was to encourage collabora- Institutional Projects tion among archivists, records managers, and information Teams developed plans to take back to their home institu- technologists. A grant from the National Historical tions. Topics included plans to archive portions of the insti- Preservation and Records Commission provided funding tutional website, to design a system to archive email creat- for revamping of the program and the preparation of a ed by a dean's office that had enduring value to the univer- curriculum and materials geared to a new audience of pro- sity, to design information systems that will provide contin- fessionals. The grant also underwrote many of the costs of uing access to student records, to design a system of legally the first implementation of the specialized workshop. acceptable electronic records for a state agency, and to Teams from 11 institutions participated in CNI's develop a campaign to inform university employees in one Working Together: A Workshop for Archivists, Records case and state employees in another about their responsibil- Managers, and Information Technologists, held on ities in dealing with electronic records. December 16-17, 1998 in Washington, DC. The workshop Perspectives & Future Workshops clearly tapped a growing institutional need for policies and Participants found that the structured agenda, interaction projects that address the thorny issues surrounding elec- with others facing similar problems, and the time away tronic records management and the archiving of electronic from daily work to focus on these issues as key elements documents. The participating teams, selected in response to in their satisfaction with the workshop. a call, represented a wide geographic range (including one CNI is planning two more workshops on this topic European institution) and a diversity of institutional types. for spring or summer 1999. One will be hosted by CIC A New Convergence and held in the Midwest, and the second will be held CNI's Executive Director, Clifford Lynch, stated in his in Washington, DC. Information will be posted on keynote that the diffusion of networked information into or check the CNI website . In addition, a ses- torically archives and information technology have had sion on the issues that institutions face regarding elec- relatively separate missions and realms of work, their mis- tronic records and archives will be held at the Spring sions are beginning to converge. In the past, archivists CNI Task Force meeting, April 26-27, Washington, DC.

CA ARL 2 0 2 FEBRUARY 1 9 9 9 ------0-Fme-E-OF LE A-DERST=11-13-&-M-E-NT-SERVieES- Kathryn Deiss, OLMS Program Manager

DISTANCE EDUCATION: cation between learners and teachers. It is time- and place- independent, unlike the remote classroom approach, and A NEW FRONTIER FOR THE OLMS involves many-to-many interactive communication.' This by Trish Rosseel, Visiting Program Officer approach is unique in its goal of fostering collaboration and /recently had the pleasure of reading Willa Cather's interaction between and among instructors, learners, and My Antonia and 0, Pioneers!. These chronicles of their educational resources. Because networked learning frontier life brought to mind the development of the allows the learner to determine the pace of study and con- Internet's electronic frontier and reminded me that dis- trol his or her activity, it is often considered the more flexi- tance education is yet another new frontier being discov- ble of the two approaches. The predominant mode of ered and settled by pioneers like ourselves. While some delivery for networked learning is the web-based course. settlers have been involved in distance education for some time now, others are just breaking ground. Modes of Delivery While many of your libraries have developed innov- Videoconferencing. Videoconferencing allows two or more ative products and services to cater to this new citizenry, people at different locations to see and hear each other at we as a profession have not yet utilized distance learning the same time. This technology establishes a visual con- capabilities to their full potential. Our library schools nection among participants and facilitates collaboration have paved the way by creating myriad distance learning between delivery sites. It can be one- or two-way in opportunities for librarians. And it is with a pioneering nature. Although videoconferencing bridges distance by linking disparate locations, it does require participants to spirit that ARL's Office of Leadership and Management travel to a downlink site at a pre-defined time. The devel- Services (OLMS) is exploring new territory and under- opment, planning, and coordination of satellite videocon- taking the design and development of distance educa- ferences can be quite complex and costly. However, video- tion opportunities to address the continuing professional conferencing does have the advantage of immediacy. This development needs of our community. technology is an effective medium for learning that is time Distance Learning Approaches sensitive, or for discussion on current issues. Distance education is a planned teaching and/or learning Web-based training. Web-based training is learning that experience that uses a wide spectrum of technologies to presents dynamic content in an environment allowing self- reach learners at remote sites, and is designed to encour- directed and self-paced instruction. Web-based training age learner interaction and certification of learning.' has several key characteristics. It has the ability to deliver Those engaged in distance education adopt a wide diverse media and is fully capable of evaluation and adap- variety of approaches to facilitate learning. Traditionally, tation. It is platform independent. Training resources can distance learning has centered around a print-based cor- extend beyond the basic course content to include Internet respondence approach; however, with the advent of new resources and proprietary databases and resources. technologies a number of new delivery models have Communication between learners and facilitators can be emerged. Although these models originated in the seamlessly integrated into the web-based course environ- academic arena, they are increasingly being used to ment via online discussion software tools. Content can be facilitate organizational learning. Two approaches in easily updated to reflect the changing interests of the particular seem to be at the forefront in both the academic facilitators and learners. and workplace arenas: the remote classroom approach and the networked learning approach. Potential Benefits Beyond bridging the barriers of space and time, distance Remote Classroom. The remote classroom approach to education offers various other tangible benefits. distance learning is modeled after the traditional class- room method of teaching. It is enhanced, however, by Increases motivation. A distance learning environment the use of audio and video technologies. This approach can heighten motivation. A new learning experience is apt is often used in an effort to deal more efficiently with to stimulate and sustain the curiosity of many learners. large groups of students in different locations. It allows The use of new technologies may pique their interest in the instruction to be delivered beyond the confines of the technology and increase their attentiveness to the content originating site, and provides significant opportunities explored. The online environment also provides a won- for real-time interaction. Modes of delivery which sup- derful opportunity to capitalize on the dynamic nature of port this approach to learning include technologies such web-based learning and increase the relevance of the learn- as interactive television and one- and two-way satellite ing experience to participants. For example, if the facilita- videoconferencing. tor of a web-based course receives feedback regarding the course schedule from a participant, they can immediately Networked Learning. The networked learning approach respond by altering the syllabus and developing a new is characterized by the asynchronous nature of communi- module that meets the expressed needs of the learners. ARL 202 FEBRUARY 1999 10 Improves retention. Distance learning improves retention registration costs, we recognize that the associated travel by appealing to a variety of learning styles via diverse and accommodation costs for those participating in our media such as text, video or audio clips, graphics, and face-to-face institutes continue to be an issue. We hope animations. By taking into account the variety of learning to address this by offering a more affordable alternative styles and designing content and exercises that make use by supplementing our repertoire of in-person training of varied media, course developers and instructional events to include distance education options via multiple designers can increase retention rates. modes of delivery. Another catalyst for moving in the direction of Reduces expenditures. Another key benefit of distance distance learning is our desire to broaden our audience. learning is its ability to reduce travel and accommodation While many of our members do take advantage of the expenditures. Many organizations with regional and/or training programs we offer, we feel that there is room global offices spend significant amounts of money to send for expanding our services and increasing access to those employees to one site to receive required training. Those delivering distance education can also realize savings in the services via the use of emerging technologies. Finally, it has often been suggested that OLMS incor- realm of print material creation and distribution. Similarly, many individuals invest their time and porate some technology training into our program offer- money to participatein professional development oppor- ings. Rather than developing a program specifically on tunities. Distance learning can minimize costs, both technology training, distance learning events will integrate financial and human, to the learner by allowing them to technology skill development into each program as well participate in learning events from their work or home. as provide our members the opportunity to use the new technologies that are increasingly being applied in the Key Issues and Challenges provision of library services across North America, as Ownership, Copyright. Intellectual property remains a illustrated in our recent issue of Transforming Libraries on key issue as distance learning programs become better distance learning.' established. It is important to clarify who has what rights With all of these issues in mind, OLMS is poised to both the content and the learning environment in to explore and expand current training and leadership web-based course development. Questions related to development services on behalf of ARL member libraries. ownership also surface when outsourcing to a contrac- Our goal for 1999 is to plan and implement at least three tor. Closely related to this is the issue of copyright. distance learning events. Organizations embarking on the distance education Our first step in achieving our goal was the journey need to determine who is responsible for the development of a partnership with the Southern Illinois development and implementation of copyright policies, University (SIU) Library Instructional Support Services who will instruct online facilitators as to what is permissi- (ISS) team. We are very pleased to be working with ble in the online environment, and who will obtain per- Carolyn Snyder, Dean of Library Affairs; Susan Logue, mission for course materials. Instructional Support Services; and other ISS staff on this Evaluation. Evaluation is another key challenge in the project. The OLMS and ISS will be working together over distance learning environment. It includes, but is not the next three months to develop a prototype for web- limited to, the assessment of learner understanding, based course delivery. Drawing on the success of the faculty capability, and the overall return on investment OLMS Training Skills Institute, the first online workshop (ROI) to the organization. In order to effectively measure to be developed will focus on how to effectively manage ROI, a cost-benefit analysis should be undertaken. Costs the learning process. Our plan is to pilot test this web identified should include not only the money paid out for workshop with select institutions and organizations dur- design, development, technology, etc., but also the mar- ing AprilMay 1999. If you are interested in participating ginal, or hidden, costs, such as the often undocumented in the OLMS distance learning pilot, please contact me overhead of the organization. To ensure a high ROI, . distance learning must be strategic. Distance Education Clearinghouse, University of Wisconsin- Distance Education at the OLMS Extension, July 1998 . of OLMS content and pilot-testing of a number of techno- 2Linda Harasim, et al., Learning Networks: A Field Guide to logically-enabled events were identified by the OLMS as Teaching and Learning On-line (Cambridge: The MIT Press, strategic priorities for 1999-2000. Various issues have 1997). emphasized the importance of moving in this new 3William G. Jones, Issues and Innovations in Distance Learning, direction. Transforming Libraries #6 (Washington, DC: ARL, October First, although we make every effort to minimize 1998). See .

ARL 2 0 2 FEBRUARY 1 9 9 9 De Etta Jones, Senior Program Officer for Diversity

ARL LEADERSHIP AND CAREER The mentoring relationship gave Program participants direct access to library leaders who are in the positions DEVELOPMENT PROGRAM aspired to by participants. It also gave library leaders The pilot experience of ARL's Leadership and an opportunity to build relationships, pass along Career Development (LCD) Program, made advise, and nurture the development of the leaders possible through a Department of Education of today and tomorrow. HEA Title II-B grant, was successfully completed in ARL will seek continued engagement from top July 1998. Based on the strong success of and support leaders in research library and library education in the for the LCD Program, ARL is pleased to report that it mentoring process. A session is scheduled at the May has become an ongoing operation of the Diversity 1999 ARL Membership Meeting to introduce interested Program and will be offered biannually. directors to the Program's mentoring component and Program Components give them an opportunity to volunteer as mentors to ARL's Leadership and Career Development Program the 1999-2000 class of participants. is designed to increase the number of librarians from Through the LCD Program ARL has also been underrepresented racial and ethnic groups in positions able to work with the American Library Association of influence and leadership in research libraries by (ALA) on the mentoring component ALA's Spectrum helping them develop the skills needed to be more Initiative. Many of the mentors working with the competitive in the promotion process. The LCD Spectrum Initiative Scholars are members of the 1997- Program consists of several components: an organiz- 98 class of the LCD Program. The LCD Program par- ing meeting, two five-day institutes, a mentoring rela- ticipants have been mentored as part of their own tionship, ongoing reading and electronic discussions, development and realize that the next level in profes- research project development, and a closing ceremony. sional responsibility is giving back to the library com- munity. Other mentors represent members of ARL Institutes and ALA staff and individuals who have been closely The institutes help participants to assess and develop involved with the Initiative's development. leadership skills and introduce them to leaders in the research library, library association, information tech- Closing Events nology, and higher education arenas who present on A closing ceremony, scheduled in conjunction with the the most pressing issues related to leading research annual ALA Conference, serves as a time for celebra- libraries. tion, information-sharing, and a forum for participant Institutes are also a time for Program participants presentations on field project development. The clos- to develop a professional support network with special ing ceremony for the 1997-98 Program was so highly presenters, ARL faculty, and, most importantly, with received that the ARL Board extended a special invita- each other. LCD Program participants use gathering tion to the participants to attend the October 1998 ARL opportunities and electronic discussion lists as the pri- Membership Meeting. mary means of connecting with each other and sharing Support from and participation of library leaders information. reinforced the importance of the Program and gave it credibility. Furthermore, the ARL Diversity Research Projects Committee has shown resounding support for the con- The LCD Program includes a research project develop- tinuance of the Program. The Diversity Committee ment component to give participants further experi- proposed that ARL membership dues increase slightly ence in the scholarly publication process and to add to to fund the continuance of the Program and member the body of knowledge available in the library commu- institutions have been supportive of this action. nity, particularly by members of minority groups. The Leading Ideas publication series was launched in 1999-2000 Program Information conjunction with the LCD Program as a forum for Preparations are underway for the 1999-2000 offering participants to share their research project results. of the Leadership and Career Development Program. The April 1999 issue of Leading Ideas will highlight an Interested individuals are encouraged to review the article contributed by the 1997-98 class describing the Program timeline and application materials available critical dimensions of the Program and the impact it at , or has had on their careers to date. email DeEtta Jones, LCD Program Director, at . Mentoring Relationships Twenty directors of ARL libraries and one dean of a library and information services program servedas mentors to the 1997-98 LCD Program participants. 1 2 10ARL 2 0 2 FEBRUARY 1 9 9 9 Lee Anne George, Program Planning Officer

IMLS ANNOUNCES NATIONAL HONORS LEADERSHIP GRANT AWARDS Graham R. Hill: On November 9, 1998, the Canadian The IMLS has announced the availability of Association of Research Libraries (CARL) honored the 1999 National Leadership Grant Awards Graham R. Hill, University Librarian, McMaster application and guidelines, at , with a March 19, 1999 for Distinguished Service to Research Librarianship. application deadline. The Institute of Museum and Hill was recognized for his longstanding commit- ment in the areas of copyright reform and education Library Services provides National Leadership Grants as well as his support for unimpeded access to schol- to enhance the quality of library services nationwide arly research materials in any form. and to provide coordination between libraries and museums. National Leadership Grants mark a new opportunity for libraries to address pressing needs in TRANSITIONS education, research, and preservation and for libraries UCSanta Barbara: Sarah M. Pritchard was appoint- and museums to work together to address community ed as the UCSB University Librarian, effective mid- needs, expand audiences, and implement the use of year. She is currently the Director of Libraries at the most efficient and appropriate technologies. Smith College and formerly worked at ARL and the In 1998, ARL institutions received or participated Library of Congress. in leadership grants in three award categories: Iowa: Sheila Creth announced her resignation as Research and Demonstration, Preservation or University Librarian, effective at the end of 1999. Digitization, and Model Programs of Cooperation. A complete listing of 1998 award recipients and Kansas: William J. Crowe will resign as Vice program descriptions can be found at . Libraries, to accept the role of Spencer Librarian at the Kenneth Spencer Research Library, KU's rare Research and Demonstration books, manuscripts, regional history, and archives Model projects to enhance library services through the repository, effective July 1. Marilu Goodyear will use of appropriate technologies and to create methods succeed Crowe as Vice Chancellor. A national search to evaluate the contributions to a community made by for a new Dean of Libraries will soon be announced. institutions providing access to information services. New York: Carol Mandel was named Dean of Recipients included: Duke University; Indiana Libraries, effective Spring 1999. She is currently University; University of Michigan, Bentley Historical Deputy University Librarian at Columbia University Library; New York Public Library; University of and formerly worked at ARL. Pittsburgh; Albany, State University of New York; University of Wisconsin. Preservation or Digitization International Federation of Library Associations: Projects to preserve unique library resources of Ross Shimmon was named Secretary General of national significance, emphasizing access by IFLA, effective April 1999. He is currently Chief researchers beyond the institution undertaking the Executive of The Library Association. project, and projects that address the preservation and archiving of digital media. Recipients included: ARL STAFF TRANSITION Cornell University; University of Hawaii at Manoa; Alison Buckholtz was appointed Communications University of North Carolina at Chapel Hill; Manager for SPARC, effective January 4. She comes Northwestern University; University of Virginia. to SPARC after serving as an independent communi- Model Programs of Cooperation cations consultant for Washington, DC-based associations, web publishers, and corporations. Projects that develop, document, and disseminate both the processes and products of model programs of cooperation between libraries and museums, with emphasis on how the community is served, technology is used, or education is enhanced. Recipients included: University of Florida, Florida Center for Library Automation; University of Illinois at Urbana-Champaign. 13 ARL 2 0 2 FEBRUARY 1 9 9 911 _,

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ARL: A Bimonthly Newsletter of Research Library Issues Executive Director: Duane E. Webster and Actions (US ISSN 1050-6098) is published six times Editor: G. Jaia Barrett, Deputy Executive Director a year by the Association of Research Libraries, Assistant Editor. Karen A. Wetzel 21 Dupont Circle, Washington, DC 20036. Designer Kevin Osborn, Research & Design, Ltd., Arlington, VA !NJ 202-296-2296 FAX 202-872-0884 Subscriptions: Members$25 per year for additional subscription; Nonmembers$50 per year. Copyright: 1999 by the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may ARL CALENDAR 1999

CD 0 March 4 De-Mystifying the Licensing of June 3-4 Project Management Institute: sy Electronic Resources Getting Things Done or Getting bra ARL/SLAVideoconference, the Outcomes You Want 0 CrN 1:00-4:00 p.m. EST Evanston, IL (t) S-- March 10-12 Library Management Skills July 26-27 ARL Board Meeting (D Institute I: The Manager Washington, DC 0 Denver, CO October 7-8 Leading Change Institute O March 15-17 Electronic Publishing of Data San Antonio, TX Sets on the WWW October 12-15 00 Charlottesville, VA ARL Board and Membership Meeting March 26-27 New Challenges for Scholarly Washington, DC Communication in the Digital Era: Changing Roles and Expectations October 26-29 Library Management Skills in the Academic Community Institute II: The Management Washington, DC Process Evanston, IL April 8-11 ACRL 9th National Conference Detroit, MI November 3-5 Assistant/Associate Librarian Institute April 26-27 CNI Spring Task Force Meeting Charleston, SC Washington, DC November 10-12 Edgework Institute: Stimulating May 4-6 Facilitation Skills Institute Innovation in Libraries and Seattle, WA Information Services May 11-14 ARL Board and Membership Washington, DC Meeting November 17-19Library Management Skills Kansas City, MO Institute I: The Manager May 19-21 Training Skills Institute: 14 Atlanta, GA Managing the Learning Process San Diego, CA \ 1 CL 1 ...... , A A D_ F- ) F AUX A V 1 M \A V 1

A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC

O'N O'N IN THE CURL OF THE WAVE What the Digital Millennium Copyright Act and $.4 Term Extension Act Mean for the Library and Education Community by Arnold P. Lutzker, Lutzker & Lutzker LLP

Editor's Note: If you know anyone who thinks that last reminder of the importance of also continuing to fall's passage of two major pieces of copyright reform represent the views of academic users of public legislation in the U.S. Congress puts to rest the need to domain information in ongoing congressional oo sustain a high level of personal and institutional consideration of pending database legislation. engagement in this set of issues, suggest they read on. Digital Millennium Copyright Act Arnie Lutzker's report takes a candid look at why The issues addressed in The Digital Millennium proponents of a balanced copyright lawnow more Copyright Act (DMCA), PL 105-304, that are of ga, than everneed to join forces to make the strongest utmost importance for libraries and the education possible case on behalf of library and other educational 2 community are: access to and fair use of copy- 0rn uses of copyrighted resources. righted works issued in encrypted form; the liability of online service providers for infringing /n the coming 18 months, the library and education 0 behavior by a user of the service; the proper uses community faces a series of fast-paced public of copyrighted works in distance education pro- policy forums where significant copyright and 0 grams; and the use of digital technology to pre- other intellectual property issues will be addressed. serve library and archival materials. In the case of The passage last fall of the most comprehensive 5 all but the last of these issues, major questions reform of copyright law in a generation, the Digital remain about application of the new statutory Millennium Copyright Act (DMCA), along with pas- cn provisions in educational settings. sage of the Copyright Term Extension Act take copy- right principles into the digital information age and Encrypted Works and the establish complicated rules that most users do not Anti-Circumvention Law yet appreciate. The implications of the new statutes Many electronic works are distributed in encrypt- 00 for library and educational use of copyrighted mate-ed form and the DMCA established stiff penalties 6.0 rials, however, were not fully resolved in the legisla-for anyone accessing a copyrighted work protect- .5 tion. To address outstanding questions, the statutes ed by "technological protective measures" (TPMs) 5 0O put into motion three formal public policy processes,without the consent of the copyright owner. The the outcomes of which will be profoundly law also bans equipment or services whose pri- significant for the future of the scholarly mary purpose is for use in defeating technology communication process and for how libraries that limits access to a copyrighted work. Taking may support that process. effect in two years, the new anti-circumvention This article provides a summary of key issues inand access rules will encourage publishers to dis- the DMCA and Copyright Term Extension Act and tribute digital works online; by CD, CD-ROM, or proposes an action agenda for the library and educa-DVD; or in other formats in either encrypted or tion community. The article concludes with a protected form by providing greater assurance to 1 5 URRENT-ISSUES Continued copyright owners that those who abuse access barriers it is likely to use them in the near term, and what the economic will be subject to severe penalties. Legislators and con- and social impacts of the new regime will be. Then, it must tent owners both hope that the severity of the penalties be prepared to participate actively in the regulatory will discourage widespread piracy. proceedings to be established by the Librarian of The new law does provide for certain exemptions to Congress. Careful data collection in 1999 will be neces- the anti-circumvention penalties. However, the one sary if a strong record in favor of fair use, library preser- exemption included for nonprofit libraries, archives, vation, teaching, and scholarship is to be made. and educational institutions is solely for the purpose As with many agency rulemaking proceedings, of determining whether to acquire the work or not. active participation in the initial case will be very A central question not answered in the new law is how important, because procedures will be established for a library, archive, or school may obtain the means to managing the record and early precedents will carry circumvent, since the selling of such equipment is forward for years to come. All issues raised by the leg- prohibited in the law. It also remains unanswered in islation will be novel for the Librarian in the first rule- law whether any fair use can be made of a work making case. The central focus of these proceedings protected by TPMs, absent a future rulemaking. will be to determine (1) the "adverse affects" of the rules No later than October 28, 2000, the DMCA requires upon library and educational users, (2) the significance that the Library of Congress publish regulations control- of licensing alternatives ("pay per use"), and, ultimate- ling access to "particular classes" of copyrighted works. ly, (3) the particular classes of works that should be The new law established a formal rulemaking proce- exempted from the scheme. dure designed to allow any person or institution to The library community did not ask for this struc- make the case that protection systems either had inter- ture, but it was offered as the best compromise that fered, or were likely to do so, with legal uses or with Congress could fashion. Since the burdens of obtaining lawful access to a particular class of copyrighted materi- relief fall on the proponents, library and educational als. If that case can be made, the DMCA empowers institutions will have to make a persuasive record that the Librarian of Congress on the advice of the justifies appropriate relief. It will be a challenge, Register of Copyrights and the head of the National but one that will help shape the future role of libraries Telecommunications and Information Administration in the digital age.' (NTIA)to issue a waiver from the bill's basic prohibi- Limitation of Liability tion on "circumvention" for all materials in the identi- for Online Service Providers fied class. The waiver would cover all materials in the Creation of a new limitation on liability for online ser- class, not just uses by the person or institution who vice providers (OSPs) was perhaps the most complex sought the waiver. The first such rulemaking proceed- task of the DMCA legislators. The new rules establish ing will be conducted during the next two years while certain procedures and conditions that grant OSPs, the effect of the new prohibition is deferred, and then including libraries and educational institutions, an every three years thereafter. exclusion from monetary liability for copyright infringe- The TPM and anti-circumvention provisions of the ment by a user of the service. Balancing a myriad of DMCA will most likely ensure that more works come interests and fashioning legislation for technology that with licenses and with an obligation to pay for each use is arcane and evolving are no simple tasks. Thus, the or access. This change could hit libraries particularly OSP limitation of liability represents a very important hard because it challenges the way in which libraries contribution of the DMCA to copyright law. Also, function as archives of our published history. Libraries the process used to develop this statutory limitation must be prepared to review contracts for the acquisition of congressional committee supervised negotiationsmay digital works more closely than ever before and bargain for also serve as a model for preparing legislation on other full access rights. Libraries must be alert to limitations on issues that require discreet balancing of concerns of access and use of works that are licensed. In short, they contentious but politically powerful interests. must be prepared: For libraries, the initial issue is whether to assert to bargain for the right to a hard copy; status as a "service provider" and register with the to realize that digital access means limited access, Copyright Office. This is not an easy question to unless you own a copy of the work; resolve. Certainly, the definition of "service provider" to pay for the cost of access; and is broad enough to encompass many of the libraries' to understand that equipment that decrypts works online activities. However, the legislation's complex may be illegal to acquire or use. rules will require very careful compliance practices, The library and education community needs to organize including the use of sophisticated software and systems itself and understand how it is using digital works today, how and the development of notification and termination

ARL 2 0 3 APRIL 1 9 9 9 policies. Although monitoring of sites is not required, aggressive and active participation by the library and once a service provider receives notice of an infringe- educational communities. In the initial hearings held in ment, actions such as "notice and take down" or January 1999 by the Copyright Office, owners have "counter notice and put back" must also be taken. already asserted there is no need to change the law. In weighing the benefits of coming within the statu- They argue licensing and other permissive approaches tory limitation terms, libraries should appreciate the to incorporating works into course content will suffice. reduction of potential damages for innocent, but contrib- Moreover, they claim to be the primary producers of utory, infringements. For libraries that are part of larger, course texts and thus any exemption hurts their markets educational institutions, exposure to money damages and damages them competitively. Unless educators are from cyberspace violations by patrons, students, and fac- energized by the opportunity to create a new and ultyas well as third partiesmust be deemed a real important expansion of principles embodied in the cur- threat. It should be understood that online copyright rent classroom and closed circuit transmission limita- infringements are a "hot button" issue for publishers. tions, no change will occur. The central points to be It should also be anticipated that a test case or two would made include the following: be brought in the near future. Obtaining clearances for spontaneous use of Further, it must be underscored that even though copyrighted works in online courses is virtually monetary damages may be avoided, all service providers impossible. are subject to all other copyright legal remedies, includ- Identifying copyright owners of certain works, like ing injunctive relief. It is not known whether content photographs, is so daunting as to make it a task owners will use the website list of service providers not worth pursuing. maintained by the Copyright Office as the "go-to group" Licensing is not an acceptable alternative because, that receives all the infringement notifications. Since when offered, the price is often far too high to each OSP is an online ramp to the cyber-violations, justify the use. whether more than a limited group will receive infringe- Unless the copyright law is modified, the playing ment notices is not yet known. If many owners adopt an field for parties negotiating licenses is out of approach that blankets the potential universe of OSPs, balance. Libraries and educators will find they then those identified service providers could be flooded have less leverage to negotiate fair terms for with requests for take down. Such a situation could ren- digital use within their communities. der operations at small- to medium-sized libraries into The transaction costs associated with clearances an immediate state of chaos. Then, too, how much tech- and licensing requirements threatens to perpetuate nological support in terms of advanced software and or exacerbate the traditional disparities between personnel is required to satisfy the legal strictures "have" and "have-not" communities that is unknown. Perhaps the wiser course for most distance education and the Internet could non-research libraries that do not host websites or otherwise help to mitigate. sponsor chat rooms is to wait for the dust to settle and Even if the Copyright Office study proposes favor- see how implementation of the new rules proceeds. able changes in lawand that result is not certain at allit will be a very difficult road to achieving reform. Study of Distance Education It is always easier to defeat legislation than pass it. But in Networked Environments if the library and educational communities are unified Although DMCA did not include explicit expanded pro- in their desire to update copyright law exemptions so tection for educational activities involving the Internet, that online education is treated on a par with classroom the creation of a congressionally-mandated study of the learning, then there is a chance that reform can be subject by the Copyright Office is important and deserves accomplished in the near future.2 With congressional immediate and active attention by the library community. and presidential elections coming in the next year, edu- From its inception, copyright law has balanced owners' cation will be a very important electoral issue and dis- rights with users' rights. Despite copyright owners pro- tance education should be a central topic in all races. claiming the need for fair return on their creative works and the importance of securing economic rewards in a Library Exemption Update for Preservation global economy, principles like fair use and exemptions The DMCA provides the most significant updating of for classroom teaching and library preservation survive. library and archival preservation rules since procedures Distance education is the latest major battleground in the to cope with photocopy machines were established in effort to balance educational interests in a federal law that 1976. The changes permit preservation and storage of a increasingly emphasizes the commerce of copyright. copyrighted work in a digitized format and describe a Extending the face-to-face and transmission exemp- mechanism for handling preservation of works originat- tions to Internet education will not happen without ing in outmoded formats.

17 ARL 2 0 3 APRIL 1 9 9 9 CURVE-NT ISSUES Continued

The updating of Section 108 to enable libraries to that libraries should be able to exploit works that have work in digital preservation was surprisingly hard lain fallow for decades should not strike one as an fought. Even with the endorsement of the authors of explosive proposal. Yet, the content community the White Paper,3 it required extensive negotiations in aggressively fought this notion to the very end, reced- the House and Senate. The content community is very ing only as the legislation was poised to succeed or fail nervous about allowing digital copies of works to exist for another congressional session. anywhere without explicit authorization. In the end, The Copyright Office, through the vehicle of regu- this update is a modest, yet important, change for lations, will help determine the reach of the new libraries that will make their task of maintaining collec- exception that permits libraries to continue to freely tions easier in a technologically advanced environment. use old works in the last 20 years of the extended term, Copyright Term Extension Act just like public domain works. This is a vital concern and the Library Limitation for the library and education community, because Moving in tandem to the DMCA legislation was another maintenance of the public domain assures the role of libraries as archivists of history, not licensees of copyright reform billterm extension. For the past 4 three years, there was a drumbeat by certain copyright commerce. proprietors, especially those owning movies and musi- Participation in the regulatory process that will cal works, for extension of the copyright term. Since define the terms and establish rules is a relatively effi- many European nations had added 20 years to their cient way to get one's key points across. Just as was standard term of protection, U.S. author interests noted with regard to the anti-circumvention rulemak- pressed for an equal amount of additional time to pre- ing and the distance education study, active participa- vent loss of rights by American copyright interests in tion in these administrative proceedings assures that foreign markets. They also argued it would be a good the library and education community's voice will be incentive for future creativity and the balance of trade if heard at the opportune time and its views not ignored. more works qualified for more years of protection. Once the procedures are in place, libraries will be able Although the legislation had strong support, it was to turn regularly to the Copyright Office website dedi- held hostage to a debate over the demand of certain cated to enforcement of this new limitation and learn groupsnotably restaurants, bars, and religious broad- what works fit within the definition of "normal com- castersto be entitled to relief from the high charges mercial exploitation." for use of music on their premises and in their broad- , Even as the ink was drying on the newly enacted casts. In the closing days of the session, agreement on law, a lawsuit was being initiated to challenge the con- these pesky issues was finally accomplished and the stitutionality of the Copyright Term Extension Act. A legislation was adopted and signed by the President publisher that re-circulates public domain works has (PL-105-298). The new law automatically extends the filed suit in Boston to declare the Act in violation of the copyright term for all protected works to life of the "limited term" provision of the Copyright Clause of author plus 70 years, and 95 years for works made for the U.S. Constitution, Article 1, Section 8. Since test hire. The first works to be affected by term extension case litigation requires several years to complete, noth- are those whose terms of protection would have expired ing will happen overnight, but this is a case to watch. on December 31, 1998. DatabaseThe Other Shoe For the library community, concern about extension When the House of Representatives passed its version of the copyright term was expressed early in the debate. of the DMCA, the bill included Title V, The Collections It was posited that the overwhelming majority of works of Information Antipiracy Act. This provision was the are neither commercially exploited nor readily accessi- number one legislative priority of some major online ble in the marketplace after several decades, much less publishers of data and governmental works, because 75 years (or 70 years after an author's death). Yet, for their databases have been vulnerable to copying with- researchers and scholars, access to such works from out compenSation. The key legal problem identified by the library's collection are important and no limitation proponents is that under U.S. copyright law, as inter- should be made on such noncommercial uses. preted by the U.S. Supreme Court, "facts" (such as Moreover, with regard to already-existing works, no names, addresses, phone numbers, weather conditions, "extra incentive" is needed to spur creativity. stock quotes, and the like) and "works of the federal In an effort to resolve the concerns expressed by government" (including court opinions and govern- library interests, an understanding was reached regard- ment reports) cannot be copyrighted. With the increas- ing the ability of nonprofit libraries, archives, and edu- ing availability of this information online, the concern cational institutions to exploit older works during what has developed that publishers will be unlikely to contin- constitutes the extended copyright term. Suggesting ue to invest in assembling and maintaining information

ARL 2 0 3 APRIL 1 9 9 9 if electronic copiers can snatch the data and republish it waiver request. The American Library Association is working without compensation as soon as it is released. closely with ARL and other national library associations and many others in the public sector to devise and publicize a system of col- Without trying to sound like Chicken Little, it is lecting and analyzing such information on an ongoing basis. nevertheless necessary to point out that the dramatic 2The Copyright Office has conducted hearings on how to promote proposal to establish database protection for collections distance education via digital technologies and whether a change in of information unprotected by copyright law could have statute is needed to accomplish this goal. The hearings were in a devastating impact on what librarians and researchers Washington, D.C.; Chicago, Ill.; and in Los Angeles, Calif. James think of as "the public domain." A database bill such as Neal, Dean of University Libraries, Johns Hopkins University, testi- the one proposed in 1998 would effectively create a new fied on behalf of members of the Shared Legal Capability: ARL, body of material comprised of facts, data, and govern- AALL, ALA, MLA, and SLA. Laura Gasaway, Director, Law ment works that could not be reproduced without con- Library, University of North Carolina Chapel Hill, testified on behalf of AAU, NASULGC, and ACE. The statements are available sent. Such legislation, coupled with a new licensing on the ARL website . munications and scholarship. The proprietary community was well represented at the Although the database bill was deleted from the Washington hearing and testified that changes to the current statute final version of the DMCA, it is fair to say its progress are not needed. In addition, these witnesses echoed the theme that was only impeded. A new version of the bill has already licensing agreements are sufficient and are working very well. Many in the library and education communities testified that licens- been introduced in the 106th Congress.5 ing agreements were problematic and thwarting many distance Recognizing that the House of Representatives education initiatives. ARL reply comments to the Copyright Office adopted the measure twice, there is an urgent necessity will be posted to the ARL website noted above. to maintain effective political alliances that speak to the 3White House Information Infrastructure Task Force (IITF) Working value of free access to facts, data, and government Group on Intellectual Property Rights. Intellectual Property and the works for the purpose of education, scholarship, National Information Infrastructure: The Report of the Working Group research, or teaching. Although legislators heard and on Intellectual Property Rights. Sept. 1995. U.S. Patent and agreed with many of the library and research communi- Trademark Office 9 Mar. 1999 . ty's arguments, have no illusion: database is the num- 4 ber one priority of publishing magnates such as Reed On December 21, 1998, the U.S. Copyright Office adopted interim regulations (effective January 1, 1999) to deal with the library and Elsevier and West Publishing. They have made major archive exception to the 20-year extension of the term of copyright. strides in convincing Congress that protection of their The exception provides for use of a work if: (a) it is not subject to investment in building and maintaining databases from "normal commercial exploitation," and (b) it cannot be obtained at theft is sound public policy. a "reasonable price," unless the owner has filed a notice with the This bill is at the very top of the agenda of the Copyright Office to the effect that the work is subject to "normal House Subcommittee on Courts and Intellectual commercial exploitation" and can be had at a "reasonable price." Property in 1999. Maintaining a strong library and edu- The Copyright Office-sought comments on the interim regula- tions and the response of the library communityespecially cation community presence on this issue is vital lest addressing the meaning of the phrase "normal commercial databases of facts, information, and government works exploitation"are available on the ARL website . The Copyright Office public domain. will issue final regulations after a review of all the comments. 5On January 19, Rep. Coble, (Chair, Subcommittee on Courts and Note: This article is excerpted from Primer on the Digital Millennium, a Intellectual Property, and R-NC) introduced H.R. 354, the report prepared by Arnold P. Lutzker, an attorney and specialist in "Collections of Information Antipiracy Act," legislation that seeks intellectual property and new technology who is a consultant to ARL to provide additional protections to collections of information and and other library groups. The Primer includes the history of the digital databases. There are few substantive changes from the extremely discussions and describes more of the details of the key issues and controversial bill considered last year. Also on January 19, Sen. important statutory provisions only touched upon in this article. The Hatch (Chair, Senate Committee on the Judiciary, and R-UT) placed Primer on the Digital Millennium is available in its complete form on the a statement in the Congressional Record which included H.R. 354 ARL website . It and two other proposals for database legislation. Calling for addi- is also included in ARL's new publication Embracing Ambiguity: An tional protections for databases, Sen. Hatch stressed the need to bal- ARL Copyright Briefing Notebook for 1999 (ISBN 0-918006-46-5. Price: $40; $30 for ARL Member Libraries). To order the notebook, email ance selected interests of the information industries seeking addi- ARL at , or contact the new ARL Distribution Center: tional protections and those of users of information and databases. P.O. Box 531, Annapolis Junction, MD 20701-0531; Phone: (301) 362- The two other proposals include an alternative draft bill supported 8196; Fax: (301) 206-9789. by the library, education, research, and scientific sectors and many in commercial database and telecommunication industries. The Endnotes second proposal includes provisions discussed at the close of the 1Clearly, the collection of data regarding the experience of individual legislative session during negotiations sponsored by Sen. Hatch. librarians and institutions with the use of protection technologies by Sen. Hatch's full statement is available via the ARL website copyright owners will be a critical building block of any successful .

ARL 2 0 3 APRIL 1 9 9 9 18 SPARC Richard K. Johnson, Enterprise Director, Scholarly Publishing and Academic Resources Coalition COMPETITION: A UNIFYING IDEOLOGY delivery model, for example. Each approach has merit and could be supported by SPARC. But each option is also a FOR CHANGE IN SCHOLARLY potentially long-term, high-risk undertaking. COMMUNICATIONS SPARC is not a single-minded venture: the "SPARC It's a hot topic at academic conferences, library associ- Alternatives" program to support lower-priced alternatives ation meetings, and scientific forums. During the to high-priced titles is but the first of a series of initiatives to past decade, the debate about how to transform test for soft spots and demonstrate where the leverage points scholarly publishing has animated discussions across are. In the months since SPARC was formally launched in America and around the globe. The problem is clear: June 1998, it has focused on supporting competition among Scholarly journals cost too much. But though a variety high-priced scientific journals as a means of constraining of solutions has been proffered, none has yet been so and reducing prices. The logic is that: 1) if authors have widely embraced that the underlying structures have superior alternatives to existing high-priced journals, they shifted appreciably. will ultimately move to the outlet that better satisfies their Many participants in the discussion have staked need for both recognition and broad dissemination, and 2) if their claim to one potential solution or another, serving publishers have market support for bold (but inherently as effective champions for change and calling attention risky) new ventures, they are more likely to make the invest- to needs and options. SPARC was created to support ment. SPARC seeks to get the ball rolling by offering pres- these efforts in all their diversity. It is built around a tige, readers, and reduced risk through its "publisher part- unifying ideology that embraces and complements such nership" programs. To do this, SPARC collaborates with initiatives. This central idea is that competitive market qualified scientific societies and other organizations that forces must be unleashed if the status quo is to be chal- have strong, well-established ties to authors and can attract lenged. This simple, but not simplistic, idea is intended leading editors to alternative journals. These editors attract to give voice to a range of actions, to demonstrate at last leading research, which ultimately imbues a journal with its our readiness to act in concert. own prestige. At the same time, the growing recognition of SPARC has not been the first to call for competition SPARC and the high quality of its partners' products will as a response to the growing journals crisis. The roots add another measure of attraction to the new journals. may be seen, for example, in the 1998 Pew Higher But what about readershow will SPARC ensure that Education Roundtable report, "To Publish and Perish," research is widely used and valued? Traditionally, it takes which called for libraries to "be smart shoppers." In years for a new journal to establish itself. During the build- 1994, the AAU Task Force on a National Strategy for ing period it can be difficult to attract authors, and without Managing Scientific and Technological Information rec- authors, there is no prestige (and ultimately no journal). ommended that universities take action to "introduce Here is where SPARC's library support is invaluable. more competition and cost-based pricing into the mar- SPARC library members have earmarked funds to support ketplace for STI by encouraging a mix of commercial the journals published by our partners. So in a relatively and not-for-profit organizations to engage in electronic short period of time, a journal can have a respectable base publication of the results of scientific research." And in of readers as a foundation upon which to further build its 1989 a study of the serials market prepared by Economic circulation and attractiveness to authors. SPARC expects Consulting Services Inc. said, "[T]he library community its endorsement of new ventures will draw attention and would benefit greatly from such measures as the subscriptions from the broader market beyond SPARC's encouragement of new entrants into the business of seri- membership. als publishing, and the introduction of a program to SPARC also supplies an incentive to shift publishers' stimulate greater competition among publishers." product development expenditures away from creating Competition is the one overarching ideology today unique new journals that fill the gap between two estab- that enjoys broad support among the disparate stakehold- lished titles ("twigging"). By reducing the risk of competing ers in the scholarly communication process, including sci- against an established title, we offer motivation for publish- entists in wide-ranging disciplines, librarians, administra- ers to direct their investment toward offering consumers a tors, and societies. The far-reaching support SPARC has choice. This gives societies, for example, an inducement to obtained in the short time since its birth is testament to launch titles that reclaim key ground lost to commercial the breadth of its appeal. SPARC's agenda is entirely publishers. Such strategic action will be essential in the compatible with a range of proposals for potential sys- world ahead, in which control of a critical mass of content temic changereform of promotion and tenure policies, will decide who dominates the users' desktop. NEAR and other proposals that would alter copyright In addition to its support of competition via the assignment practices, "decoupling" of peer review and "SPARC Alternatives" publisher partnership program, publication, or a broad-scale move to the document SPARC is already engaged in identifying solutions

ARL 2 0 3 ° APRIL 1 9 9 9 20 that explore the dynamic of migrating content to SPARC partner Evolutionary Ecology Research (EER), more cost-efficient outlets. The SPARC Scientific reports: "Without a doubt, Evolutionary Ecology Research Communities Initiative is a good example of this. would have failed without the help of SPARC.... SPARC will be providing seed capital to stimulate and [Marge research libraries being the necessarily slow accelerate creation of new university-based "scientific moving organizations that they are, I still believe that the information communities" serving users in key seg- subscriptions we have gotten so far are merely the begin- ments of science, technology, or medicine (what has ning. Subscriptions are still coming in. It is far too early been called the "discipline-based server model"). This to assess the totals." Keep those orders coming. More model offers a promising strategy for addressing ineffi- information is on the Web . A vital step in addressing the scientific journals market is to understand its segmentation and the forces Organic Letters and motivations at work on it. That is what SPARC is r c , Launches Organic Letters, a SPARC doing. Solutions won't come to us in a vision. And they Alternative journal from the won't come from SPARC alone. They will evolve and American Chemical Society, emerge through the kind of market engagement SPARC launches in July 1999. The and others have begun. By starting at the beginning, journal's web edition will be putting one foot ahead of the other, SPARC is initiating free for the first three change that will ultimately lead to more open and months, and the printedi- accessible scholarly communications. -2" tion will be free for individ- Note: Rick's commentary is excerpted from his article ual subscribers for the first that appeared in the March 1999 issue of the Newsletter on six months. For more infor- Serials Pricing Issues . pubs.acs.org/journals/orlef7/index.html>. SPARC NOTES SPARC & Health Sciences by Alison Buckholtz, SPARC Communications Manager SPARC gained support in the health sciences community with the announcement that the Medical Library Mark Your Calendar Association (MLA) and the Association of Academic SPARC's first membership meeting, "Opportunities for Health Sciences Libraries (AAHSL) have become SPARC Scholarly Communications: Crafting New Models," will affiliates. Budgets of health science libraries have been take place on October 14 and 15,1999 in Washington, D.C. hit particularly hard by escalating scientific journal (immediately following ARL's Membership Meeting). It prices. According to EBSCO figures, the average price will be a hands-on event focused on brainstorming and for an Index Medicus title jumped more than 50 percent problem solving. Details will be available soon. between 1994 and 1998. Scientific Communities Initiative International Support Growing SPARC has announced the availability of grants to stim- The University of Manchester's John Rylands University ulate and accelerate creation of new university-based Library (UK) has become SPARC's first non-North "scientific information communities" addressing users in American member. It is the third largest academic key segments of science, technology, or medicine (what library in Britain, formed in 1972 by the merger of has been called the discipline-based server model). Full Manchester University Library and the internationally information and application materials will be available renowned John Rylands Library. on the SPARC web page . SPARC already has affiliations with several library Free Access to PhysChemComm organizations beyond North America: the Conference of The Royal Society of Chemistry announced it will Directors of Research Libraries (Denmark), the Council offer free access in 1999 to its new SPARC Alternative of Australian University Librarians (CAUL), and the journal, PhysChemComm, for any full price subscriber to Standing Conference of National & University Libraries its flagship journal, Chemical Communications (SCONUL, UK and Ireland). (ChemComm). If your library is eligible, log in your IP Overall SPARC membership now stands at over 160 address on the RSC website . the following new SPARC members: Boston College (founding member), University of Missouri-Kansas City Praise! (supporting member), Northeastern University, and A recent letter from Michael Rosenzweig, founder of South Dakota State University. 21 A 2 0 3 ® APRIL 1 9 9 9 AC-CBS SE-RVICES Mary E. Jackson, ARL Senior Program Officer for Access Services

MOVING TOWARD ILL SYSTEM of new messages by partners that had tested a few messages in 1998, and transmission of the first test GLOBAL INTERCONNECTIVITY messages by several IPIG members. During the last half of 1998, significant break- The current state of system interoperability and throughs were made toward achieving the goal the status of testing will be featured at the ARL of interoperability of interlibrary loan (ILL) mes- Directors Forum on Managing ILL/DD Operations on saging systems. In this short timeframe, limited testing Friday, June 25, 1999 in New Orleans. The Forum will by a few vendors grew to the introduction by The showcase ILL systems that use two different types of Library Corporation, Ameritech, and Pigasus Software, communication supported by the ILL Protocol and Inc. of ILL systems able to exchange transactions using IPIG Profile. The first, peer-to-peer, permits ILL the international standard for interlibrary loan commu- departments to send email requests directly to other nication, the ISO ILL Protocol. In addition, OCLC, RLG, ILL departments. Peer-to-peer communication MnSCU /PALS, Clio Software, and Fretwell-Downing requires each partner to maintain a separate copy of have expanded their testing with other members of the the transaction, but it also eliminates the requirement ILL Protocol Implementors Group (IPIG) during this that both libraries must use the same messaging sys- time and several of these plan to introduce Protocol- tem. The second type, direct-connect, is more famil- compliant systems this summer. iaruse of centralized ILL systems such as OCLC or Development of Protocol-compliant ILL messaging DOCLINEin which the two libraries access and systems is occurring in tandem with completion of the update a single copy of the request. The Directors IPIG Profilethe document that records a common set Forum will also provide a tool for the library commu- of decisions, options, and values agreed upon by IPIG nity to evaluate the validity of the growing number of members. Compliance with the IPIG Profile will marketing claims by vendors offering Protocol-compli- advance interoperability among systems claiming com- pliance, as these systems will implement the same ant ILL systems. optional choices and be developed using the same The need to send and receive ILL requests easily understandings of the international standard as docu- and cost-effectively across national borders has sur- mented in the IPIG Profile. Systems conforming to the faced in two of the AAU/ARL Global Resources IPIG Profile may be able to communicate with systems Program projects: the Japan Journal Access Project that cannot or choose not to conform to the IPIG Profile, and the German Resources Project. Both projects have but interoperability can not be assured. encountered issues of how interlibrary loan and docu- In late February, IPIG members finalized work on ment delivery requests should be transmitted because the IPIG Profile. The draft will be submitted to all IPIG the ILL systems in the U.S., Japan, and Germany are members for a formal vote this spring and, assuming not yet fully Protocol-compliant. The ARL ILL/DD approval, the document will be available for use by ven- Performance Measures Study confirmed the cost-effec- dors if they wish their ILL systems to be capable of tiveness of ILL operations that use a single messaging operating with other Protocol-compliant ILL systems. system, which would be possible if all ILL systems Reaching consensus on the IPIG Profile has required were able to send and receive ILL transactions via the many compromises on the part of all IPIG members. ILL Protocol. At some future date, a Japanese library As one example, the IPIG Profile requires that email be will be able to use NACSIS, the union catalog and ILL supported for communication, but strongly recom- system used by Japanese university libraries, to send mends support for direct-connect communication sys- an ILL request to a U.S. library, which would receive it tems (such as the systems now in use by OCLC and via OCLC. In February, NACSIS agreed to implement DOCLINE) as an optional communication method. the ISO ILL Protocol, an important step toward inter- Although some IPIG members strongly preferred direct- connectivity. It is hoped that this testing will lead to a connect, the group did understand the need to require U.S. library using OCLC to send a request to a German one type of communication to ensure that systems can library that would receive and respond to it via their exchange ILL requests. After considerable debate, the preferred ILL messaging system. Discussions about IPIG opted for email as the required communication testing the Protocol by the German system, method to ensure that systems are able to exchange GBVdirekt/NA, have just begun. ILL requests. A number of IPIG members are poised to move Collaboration among IPIG members has been con- from testing to production use of the ILL Protocol as sistent and at a high level. A toolkit developed by The soon as the IPIG Profile has been formally approved. Library Corporation is used by RLG and several other The IPIG Profile is an important infrastructure step in vendors as the basis of their ILL applications. The first facilitating global sharing of resources as advanced by months of 1999 brought a wave of new testingtesting the AAU/ARL Global Resources Program.

ARL 2 0 3 APRIL 1 9 9 9 ?2 STATISTICS MEASUREMENT Julia Blixrud, Director of Information Services

ARL LIBRARIAN SALARIES The average salary of Canadian ARL university libraries salaries was $63,231 (Canadian dollars) in 1998- INCREASED 2.8% IN 1998-99 99, an increase of 2.3% since 1997-98. Women librarians' by Martha Kyrillidou, Senior Program Officer salaries increased 2.8% in Canada, whereas men's salaries he median salary for ARL university librarians was declined about 1%. $45,775 in 1998-99, according to the recently released On average, women's salaries in all ARL university ARL Annual Salary Survey 1998-99. This is a 2.8% libraries (excluding law and medical libraries) were increase compared to last year's median of $44,534, where- $48,230 in 1998-99, a 3.3% increase since last year. Men's as the Consumer Price Index (CPI) increased 1.6% during average salary was $51,696, a 3% increase since last year. the same period. Beginning professional salaries increased The average salary for female directors in university even more, 5.3%, from $28,500 in 1997-98 to $30,000 in libraries was again higher this year compared to the male 1998-99. Librarian salaries in ARL nonuniversity libraries directors, 3.3% higher. However, at medical libraries, though increased only 1.7% from $55,055 to $56,000. female directors earned 11.6% less than male directors, The salary increase was even larger for the subgroup while at law libraries they earned 8.6% less. of U.S. university librarians, whose median salary was Looking at salaries over an 18-year period of time and $46,130 in 1998-99, a 3.7% increase since last year, more holding constant the number of libraries, we can see in the than twice the rate of inflation. Although we do not have accompanying graph that women are gradually closing the earnings gap across different job categories, but the data for university professors for 1998-99 as of the writ- process is very slow. Overall, women in research library ing of this article, the latest report covering 1997-98 pub- professional positions earned 87% of men's salaries in lished by the American Association of University 1980-81, 89% in 1988-89, and 93% in 1998-99. This finding Professors (AAUP) finds that professors received average validates the perception that a gender gap persists in increases of 3.4%, similar to the level of increases U.S. academe, including areas beyond the library, and that a ARL university librarians received in the same year. renewed commitment to resolve the problem is needed. Overall, however, university professor salaries are much higher compared to university librarian salaries; the aver- FEMALE TO MALE EARNINGS RATIOS age salary for a university professor at a doctoral institu- tion in 1997-98 was $61,816 compared to an average 105% salary of $48,680 for ARL university librarians. Directors Librarians at private U.S. ARL university libraries earn _nook V more than their public counterparts. The differential in FY 95% 1998-99 was $2,542, slightly larger than last year's $2,220. 0 Salaries at private U.S. institutions increased 4% over the 90% last year, whereas salaries at public U.S. institutions All Positions increased slightly less (3.5%) and salaries in Canadian insti- 85% tutions declined (-1.4%) when expressed in U.S. dollars, 80% due to the all-time low record of the U.S./Canadian dollar exchange rate. In 1998-99, the average salary at private 75% 80-81 82 84 86 88 90 92 82 94 96 98-99 U.S. institutions was $51,777, at public U.S. institutions Year $49,235, and at Canadian institutions $44,601 (U.S. dollars). ARL ACADEMIC LIBRARIANS, FY 1998-99* Minority librarians in the 97 U.S. university libraries, including law and medical, number 854 (an increase of six Women MenCombined over the previous year) and account for 11.1% of the profes- sional staff. The average salary of minority librarians was Average Salary $48,430$51,696$49,624 $47,525, $2,099 less than non-minorities' salary average.

Average years of experience 17.1 17.5 17.2 Women minorities' salary is 92% of men minorities' salary. The ARL Annual Salary Survey 1998-99 is available for Total number of filled positions 4,427 2,552 6,979 $35 to member libraries and $70 for nonmembers (plus $6 shipping and handling per publication), and is available Minority librarians' average salary $46,453$50,385$47,525 (U.S. only) on standing order. Please contact ARL Publications at Total number of minority librarians 520 195 715 . (U.S. only) Courtney Leatherman, "Faculty Salaries Increased 3.4% in 1997-98; Total number of directors 52 58 110 Highest Raises Were at Doctoral Institutions," The Chronicle of Higher 'Excludes law and medical libraries Education 10 Apr. 1998: A14. Source:ARL Annual Salary Survey 1998-99 'Yolanda Moses, "Salaries in Academe: The Gender Gap Persists," Chronicle of Higher Education 12 Dec. 1997: A60.

23 ARL 2 0 3 o APRIL 1 9 9 9 Prudence S. Adler, Assistant Executive Director-Federal Relations and Information Policy

RETHINKING ACCESS TO FEDERALLY Science, Rep. George Brown (D-CA) introduced legisla- tion, H.R. 88 to repeal the provision included in the FUNDED RESEARCH DATA Omnibus Appropriations bill. There is bipartisan sup- Abrief yet significant provision in the FY 1999 port for the Brown legislation. Omnibus Appropriations bill has initiated a A full text of the OMB-proposed revision is available via: spirited debate in the research and education . ed research data. The provision directs the Office of Management and Budget (OMB) to require federal awarding agencies to ensure that data produced under a LIBRARIES SUPPORT federal award be made publicly available via the FUNDING FOR LC & GPO Freedom of Information Act (FOIA). Complying with by Bradley Houseton, ARL the legislative mandate, on February 4, OMB published n February 10, the House Subcommittee on a draft revision to Circular A-110, a Circular that pro- Legislative Appropriations convened to hear vides the rules of the road regarding grants and agree- testimony regarding the Fiscal Year 2000 budget ments with institutions of higher education, hospitals, requests of the Library of Congress (LC) and the and other nonprofit organizations. Government Printing Office (GPO), among other govern- The inclusion of the provision in some legislative ment institutions that rely on legislative branch appropri- vehicle was a long-term goal of selected members of ations. Two representatives testified on behalf of five Congress. These members have long sought to have library associations: ARL, ALA, AALL, MLA, and SLA. access to federally funded research studies that serve as Patricia Wand, University Librarian, American the basis for new federal regulations. Most recently, University, gave testimony in support of LC's FY2000 the issue surfaced last summer in the Senate Report for budget request. Ridley Kessler, Jr., Regional Documents the Treasury and General Government Appropriations Librarian, University of North Carolina at Chapel Hill, bill which stated: "An issue of growing concern to the gave testimony in support of GPO's FY2000 budget Committee is the public's lack of access to Government request. funded research data despite existing statutory and In her remarks, Patricia Wand stressed the impor- administration guidelines mandating access. Given the tance of LC's role in the larger library community across prevalent use of Government funded research data in the nation. She cited the growth of the digital net- developing regulations and Federal policy, it is impor- worked environment and how the Library is meeting tant that such data be made available to other interested agencies and to the public on a routine basis for inde- the challenge of efficiently disseminating information to pendent scientific evaluation and confirmation." users through new technologies and equipment. In sup- Additionally, during the floor debate in the Senate on port of the Library of Congress's total budget request of this issue in September, Sen. Faircloth, joined by Sens. $383.7 million, Ms. Wand focused her testimony on Lott, Campbell, and Shelby, addressed issues of particu- Services for the Blind and Physically Handicapped, lar concern, including access to research data regarding Technology Initiatives, the Law Library, Security environmental tobacco smoke and health risks, a Measures, and the Staff Success Program. revised particulate matter standard, and criteria for list- Ridley R. Kessler, Jr. noted the significance of public ing new endangered species. access to government information and how this access is Many in the higher education, research, and scien- based on principles the library community and tific community have expressed serious reservations Congress deem essential in our democracy. In addition, with the original legislation mandating the OMB revi- Mr. Kessler emphasized the importance of the partner- sion. Some key concerns include: What is the definition ship that exists between the GPO and the regional of data? When do the data have to be publicly released? depository libraries and the collective efforts to carefully Under what conditions is the privacy of individuals pro- make the transition to a more electronic Federal tected? How long will a researcher be required to pro- Depository Library Program (FDLP), while maintaining vide access to research data? Does the researcher, insti- the level of tangible materials, including print, micro- tution and/or agency bear the cost of compliance? How fiche, maps, CD-ROM, etc. In support of the GPO will these regulations affect public/private partnerships Public Printer's total FY2000 budget request of $31.2 and CRADAs? And what are the impacts of the pro- million, Mr. Kessler focused his testimony on FDLP posed rulemaking on data archives? electronic resources and collections, GPO Access, and the With only the appropriations committees engaging revision of U.S.C. Title 44. on this issue and no hearings in either appropriations or Patricia Wand's and Ridley Kessler's full testimonies are authorizing committees such as House Committee on available at < http : / /www.arl.org /info/letters / >.

10ARL 2 0 3 6 APRIL 1 9 9 9 24 -.-ARL AeTTVMES Lee Anne George, Program Planning Officer

FROM THE EDITOR newsletter category in the 1998 Graphic For the past decade, ARL has published ARL: A Communications Competition, sponsored by the Bimonthly Newsletter of Research Library Issues and Printing Industries of Virginia. Actions. This publication was originally designed to convey news and to highlight the issues being addressed TRANSITIONS by Association programs and activities. Over time, the Connecticut: Paul J. Kobulnicky was appointed to the growing acceptance of email and websites allowed the position of Vice Chancellor for Information Services and Association to report news faster and more efficiently by University Librarian, effective January 1, 1999. Also these other means. This gave the newsletter leeway to effective January 1, Brinley Franklin became Director of give more focus to the issues and, as a result, to become a Library Services and assumed greater responsibility for very different kind of publication. Increasingly, space operation of the Libraries. was given to longer articles, especially those that describe Kent State: Don Tolliver has agreed to serve as Interim innovative changes underway in libraries or seek to Chief Information Officer for Kent State University influence external forces affecting research libraries while a national search is conducted to fill the position. and scholarly communication. Mark Weber, Associate Dean of Libraries and Media The broadening of scope in this publication was a Services, is serving as Interim Dean of the Library. natural one, reflecting the same trend underway within Association programs. Looking back, the evolution of theYale: Scott Bennett, University Librarian since 1994, publication was accelerated by the nature of the agenda has announced his plans to retire in the summer of 2001. and the quality of writing contributed to it by the Coalition for Networked Information. The recent arrival ALA Washington Office: Adam Eisgrau, legal counsel of SPARC and the enthusiastic profusion of new mem- for the ALA Washington Office, has resigned. He has bers, new ideas, and new authors have tipped the scale. taken the position of Director of Federal Relations and To mark this point, we have decided to publicly state the Public Policy with Handgun Control, Inc., an organiza- obvigus: labeling this publication an "ARL newsletter" is tion chaired by Sarah and Jim Brady. no longer accurate. With this issue, it is renamed ARL: Institute of Museum and Library Services: Diane A Bimonthly Report on Research Library Issues and Actions Frankel stepped down as Director of IMLS at the end of from ARL, CNI, and SPARC. March to join the James Irvine Foundation in California. This title change is a first step in a process to review Beverly Black Sheppard was named Acting Director. the publication and assess how it could best meet the Since June 1998, Sheppard served as Deputy Director of needs of the several audiences we intend for it to serve, IMLS, Office of Museum Services; she has more than including all the members and constituencies of ARL and 16 years of professional museum experience. IMLS also SPARC, and as a key communications vehicle to inform announced that Joyce Ray will be detailed to the posi- the research library community about CNI's work. The tion of Director, Office of Library Services. name change is consciously subtle for a practical reason: to avoid triggering work updating library serial records NELINET: Arnold Hirshon was appointed Executive for what may be an interim name change. We do intend, Director of NELINET, effective mid-April 1999. however, for the change to send a signal to readers and Hirshon replaces Marshall Keys, who retired after potential authors that the scope of ARL: A Bimonthly serving 10 years as NELINET's Executive Director. Report reaches beyond ARL institutions and that the format is "more than a newsletter." New Address for G. Jaia Barrett ARL Publications Established Effective March 1, 1999, ARL has moved its HONORS publication ordering and customer service functions Susan K. Nutter, Vice Provost and Director of Libraries, offsite to a contractor. Please begin using the North Carolina State University, has been awarded the following address and numbers immediately: Hugh Atkinson Memorial Award. The award recognizes a leader who has "contributed significantly to improve- ARL Distribution Center ments in the area of library automation, library manage- P.O. Box 531 ment, and/or library development or research." Annapolis Junction, MD 20701-0531 Phone: (301) 362-8196 ARL Diversity Program: Leading Ideas, ARL's bimonth- Fax: (301) 206-9789 ly report on issues and trends in diversity, leadership, Email: and career development, was awarded first place in the

25 ARL 2 0 3 9 APRIL 1 9 9 911 V \

// A \\\\ LEI / /\ i / V_\L=1:1 / / /

A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC ARL: A Bimonthly Report on Research Library Issues and Executive Director: Duane E. Webster Actions from ARL, CNI, and SPARC (US ISSN 1050-6098) Editor: G. Jaia Barrett, Deputy Executive Director is published six times a year by the Association of Research Assistant Editor: Karen A. Wetzel Libraries, 21 Dupont Circle, Washington, DC 20036. Designer: Kevin Osborn, Research & Design, Ltd., Arlington, VA 202-296-2296 FAX 202-872-0884 Subscriptions: Members$25 per year for additional subscription; Nonmembers$50 per year. Copyright: 1999 by the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may

ARL CALENDAR 1999 C May 3-4 License Review and Negotiation:October 7-8 Leading Change Institute (3 Building a Team-Based San Antonio, TX C Institutional Process October 12-14 ARL Board and Washington, DC Membership Meeting May 4 6 Facilitation Skills Institute Washington, DC C Seattle, WA October 26-29 EDUCAUSE '99 May 11-14 ARL Board and Long Beach, CA Membership Meeting October 26-29 Library Management Skills Kansas City, MO Institute II: The Management Process C May 19-21 Training Skills Institute: C Evanston, IL Managing the Learning Process

San Diego, CA November 3-5 Assistant/Associate C Librarian Institute May 21 Copyright in the New Charleston, SC C Millennium: The Impact of November 10-12 Edgework Institute: Stimulating Recent Changes to U.S. cn Copyright Law Innovation in Libraries and Teleconference, 12-3 p.m. EDT Information Services Washington, DC C June 3-4 Project Management Institute: November 17-19Library Management Skills Getting Things Done or Getting Institute I: The Manager the Outcomes You Want Atlanta, GA 00 Evanston, IL July 26-27 ARL Board Meeting SAVE THE DATE FOR SPARC! Washington, DC SPARC's first membership meeting, September 16-17License Review and Negotiation: "Opportunities for Scholarly Communications: Building a Team-Based Crafting New Models," will take place on Institutional Process October 14 and 15,1999 in Washington, D.C. Dallas, TX See .

26 .A1110MII

1 LL _N \NI J

A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC DISTANCE EDUCATION & THE COPYRIGHT LAW

In the fall of 1998, following years of debate, Robert Lapiner, Dean of Continuing Education and Congress passed far-reaching legislation to University Extension, UCLA: update selected aspects of the Copyright Act of Education is education, regardless of the medium 1976 to meet the challenges of the digital environ- in which the learning experience takes place. ment. One key aspect of that debatehow best to The existing frameworks that govern "live" edu- update the pertinent section of the Act (section 110) cation apply uniformly in comparable "distance" that addresses educational interests regarding dis- formats, whatever the technological platform. tance educationproved to be both complex and Security is already in place. Access is carefully extremely contentious. As a consequence, many controlled. members of the Senate Committee on the Judiciary The infrastructure to ensure uniform respect of called for a Copyright Office study to examine standards already exists. "how to promote distance education through "Reasonable standards" are sufficient. Distance digital technologies." This study, included in the education providers should be directed to use all final Digital Millennium Copyright Act, has been reasonable means to adopt the use of electronic underway for the past six months and the final safeguards to protect copyright holders. report is expected shortly. The comments that follow are excerpted from During the course of the study, the Copyright statements presented to the Copyright Office by Office conducted hearings throughout the country members of the library and educational communi- and solicited comments from a vast array of inter- ty. They were selected to provide an overview of ested parties. In both hearings and public com- the issues as Congress considers these concerns in m ment, the Office requested commentary on issues the months ahead. The complete statements, and rI relating to technology readiness, licensing, appro- those of many others, may be found on the follow- ing website: . 0 a rather consistent message emerged from mem- Prudence S. Adler, Assistant Executive Director- bers of the proprietary community. Namely, Federal Relations and Information Policy 0 change is not needed to the law to address dis- tance education issues. Instead, a focus on licens- ing is sufficient as well as allowing the technology LIBRARY ROLES IN DISTANCE to evolve and mature. The education and library EDUCATION PROGRAMS communities' message was also consistent. With the rapid growth in distance educa- Change is required to update the statute and tion initiatives, there is an expanding licensing is by no means a replacement for an role for libraries in distance education appropriate statutory fix. In addition, many support services. Experience to date demonstrates echoed the following themes as noted by a variety of programs supported by different 27 CURRENT-ISSUES Continued

academic departments with the library providing a necessarily require an exemption from Section 106 number of services. These distance education programs rights of distribution and copying, since the material range from instruction at remote sites by traveling must be "distributed" over networks to a computer ter- faculty, to satellite transmission, to distance learning minal or other device and since ephemeral copies are via the network with students and faculty working necessarily made in the course of transmission. from a variety of settings. The challenge to the library is to support all of these disparate activities which, in 2. The distinction in current law between types of part, calls for experimentation to address evolving pro- works that qualify for a distance education perfor- grams. Such support can include maintenance of off- mance exemption should be eliminated. The distinction site collections at regional centers and campuses, inter- between dramatic and non-dramatic works has never library loan units, other delivery services including made educational sense and is now untenable in the electronic delivery of information resources, reference context of new multimedia capabilities. assistance, and access to needed materials locally and Now that technology allows almost any type of off-site via consortium and other arrangements. work to be combined with other types of work in a Providing access to reserve readings in the electronic multimedia presentation, a law that allows a still image environment is one of the most innovative services to be displayed distantly, but does not allow that same being offered. Students enrolled in a distance education image in motion media to be performed distantly course may access readings online. Librarians use pass- undermines the educational possibilities of distance words to protect e-reserve files and make them accessi- education. But the current 110(2) exemption limits ble only to students enrolled in a specific course and the performance right to non-dramatic literary or only for the duration of the course. musical works, placing significant handicaps on In addition, librarians in many instances coordinate distance education programs. Scholarship does not and manage the permissions process for distance learn- draw such distinctions between the many and varied ing courses and provide additional training and techni- forms of art, music, literature, and other forms of infor- cal support to distance education students. Another key mation and entertainment. One cannot study modern role for the library in a distance education program is to culture or ancient civilizations without studying all establish how these students will be authenticated to their manifestations, but the current exemption draws have access to licensed resources in addition to taking educationally irrational distinctions that limit the advantage of other library services. Ensuring effective quality of a distance education course for the student. access, both technologically and with regards to meet- Moreover, it adds to the cost of producing the programs, ing information needs, is a crucially important element because courses prepared for and presented in the of a successful distance learning enterprise. classroom must be specially edited in order to qualify for distance education. James Neal, Dean of University Libraries, Johns Hopkins Performances allowed in a traditional classroom University, testifying on behalf of library associations: should also be allowed in distance education, and the ARL, AALL, ALA, ACRL, MLA, and SLA law should be changed accordingly. 3. These extensions of the 110(2) display and perfor- CHANGES NEEDED IN THE mance exemptions should be available under circum- COPYRIGHT LAW TO SUPPORT stances where the educational institution can provide DISTANCE EDUCATION reasonable protection against downstream reproduc- The basic objective of distance education legislation tion and redistribution. should be to enable remotely all instructional Copyright owners have a valid concern about activities that are currently permitted in the unauthorized copying and distribution. Colleges and classroom, provided that adequate safeguards exist universities, which are owners as well as users of copy- against the misuse of copyrighted material that would righted materials, share this concern. To protect against harm the market for that material. unauthorized copying and distribution, the extension of The following changes in copyright law should be the distance education exemption to include all material made to achieve this objective: that can be displayed or performed in a traditional classroom should be limited to circumstances where 1. Section 110(2) should be changed to enable the dis- reproduction and redistribution can reasonably be play and performance of copyrighted works at remote prevented. locations at times selected by students. Where such Under these circumstances, there is no reason to display or performance is distributed over digital net- treat performance or display in distance education works, such a capacity for performance and display will differently from performance or display in a classroom.

2ARL 2 0 4 JUNE 1 9 9 9 2 8 The educational benefits to society are considerable, reproduced or redistributed. Such performances might and the risk of market harm is minimal. This approach include student performances or other non-commercial also eliminates the shifting distinctions between performances of a current dramatic work. different and rapidly evolving kinds of technology Although we cannot specify at this time exactly and between categories such as synchronous and asyn- how such distinctions would be drawn, the general chronous transmission, local and remote delivery of principle should be that the extent of a distance educa- educational content, and classroom and non-classroom tion exemption should vary directly with degree of settings that currently cloud the debate about copyright control over material that can reasonably be assured. and distance education. Moreover, in both secured and controlled environ- With this approach, the exemption would apply ments, distance education programs should be accom- when the copyrighted material is transmitted to panied by institutional policies governing appropriate students at a remote location through video-teleconfer- use of copyrighted materials and educational efforts to encing. The exemption would also apply when the inform students and faculty about the rights of copy- material is transmitted to a student over the Internet right owners, the limitations to those rights, and the to a home computer terminal, if the technology used circumstances under which they apply. reasonably prevents downloading or redistribution of the work. Fair Use A reasonably secure mode of delivery does not A specific exemption for distance education must not provide absolute assurance that the displayed or be construed to replace or preempt a fair use defense to performed material cannot be reproduced or redistrib- an infringement claim. Fair use provisions apply to all uted; indeed, it is technically possible to reproduce a of the rights of the copyright owner, including the right classroom performance. Reasonable protection would to display and perform publicly. But beyond display mean that material is not easily reproducible or redis- and performance, a fair use defense would apply to all tributable. Under these circumstances, digital works uses of information in distance education as it would made available for distance education would be at no in any other circumstances. For example, a student greater risk than digital works made available directly should be able to reproduce a portion of material by publishers to consumers. In practice, material dis- made available in distance education if the use to tributed by higher education institutions in the context which that reproduction were put met the four-factor of institutional policies governing the appropriate test of Section 107. Similarly, if copying material onto use of copyrighted material may foster greater compli- a server for students to access is not exempted under ance with appropriate use policies than would other- Section 110(2), an instructor might still be able to do wise be the case. so on the basis of fair use. Legislation should specify the policy outcome Laura N. Gasaway, Director of the Law Library and display and performance of all material in distance Professor of Law, University of North Carolina at education circumstances where reproduction and Chapel Hill, testifying on behalf of educational and redistribution can reasonably be preventedwithout computing associations: AAU, ACE, NASULGC, attempting to specify technology-specific means to AACC, AASCU, Educause, and NAICU achieve that end. 4. In circumstances where access to information is THE EDUCATIONAL ROLE OF controllede.g., limited to registered students through passwords or other technological controlsbut the LIBRARIES AND THE NEED TO mode of delivery cannot provide reasonable protections REVISE SECTION 110(2) against reproduction or redistribution, some form of Do not lose sight of the fundamental, primary exemption should be provided but might require a purpose of United States copyright law as stronger assurance against market harmfor example, set forth in our Constitution: to promote the by limiting the conditions of performance. progress of science and the useful arts. Two hundred Thus, an institution should be permitted to perform years of copyright law and our copyright statute itself any work in a distance education environment if repro- recognize the need for limits on the exclusive rights of duction and redistribution can reasonably be prevent- the copyright holder in favor of nonprofit educational ed. However, in a less secure environment where activities which advance that primary purpose of reproduction or redistribution, though unlikely, cannot promoting the progress of science and the useful arts. reasonably be prevented, the institution might only be Section 107 embodies our doctrine of fair use, which permitted to distribute a performance that would not allows, under certain circumstances, the use of copy- have a significant market impact if inappropriately righted materials without the holder's permission for

ARL 2 0 4 TUNE 1 9 9 9 euRRENT-IssuEs Continued purposes such as teaching, scholarship, and research. LICENSING NOT A SUBSTITUTE Section 110(1) allows teachers and students to perform or display any copyrighted work in the course FOR COPYRIGHT LAW of face-to-face instruction at a nonprofit educational Some would have it that the copyright law does institution in a classroom. It is this section which has not need to be updated and, furthermore, that allowed instructors and students to read a poem licenses will adequately protect copyrighted aloud, act out a play, perform musical works, display material. These are two separate issues. Section 110(2) a photograph or slide, or play an entire audiovisual and Section 106 need to be updated to specifically work embodied in a videotape. Without provisions encompass digital technologies. such as these, educational institutions would grind to a Licenses do not adequately address the iterative halt. Can you imagine an on-line classroom where you nature of the research process in a digital environment. cannot do most of those things without engaging in a A student needs to be able to browse a wide range of lengthy and expensive permissions process? resources; a library doesn't always have the handbook As necessary and utilized as these provisions are, or article or newspaper column that the student needs, they do not mean that universities wantonly act with- but one can't "license" quickly (or at all) one piece of out regard to the rights of copyright holders. When information. But, more to the point, many licenses are permissions or fees are necessary for uses beyond problematic. Here are four which we will not sign those allowed in the act, we pay the fees, if they are because of conditions in the license; hence, this material affordable, or we do not use the materials. will not be available to our users. The first license The universities of this country create vast restricts access to terminals "within the library walls." amounts of copyrightable intellectual property, Why would we sign a contract for digital networked and they and their faculty are also copyright holders. information and then restrict use to the library build- Furthermore, it is axiomatic to the mission of the ing? Our goal is to extend access for educational pur- university to teach respect for intellectual property poses to our faculty and students through networks; and the expression in which it is embodied. Plagiarism and, where is the distant student in this scenario? is anathema. Copyright infringement, as with other Another license restricts access to a site or multiple illegal activities, is prohibited. sites if there are multiple campuses (at an increased Educating our campus communities on their cost per site). Again, how does this accommodate stu- rights and responsibilities with respect to copyrighted dents who may be anywhere or who may be traveling? materials is the key to responsible use and is, in the A third license states that subscribers shall not allow final analysis, the only real solution to protection of for any purpose whatsoever any part to be copied, copyrighted materials. duplicated, modified, translated, adopted, merged or But what must we now tell our faculty when edu- dissembled. One could infer that quoting in a presen- cating them about current copyright law provisions tation is not allowed. And, finally, we turned down a applicable to distance education efforts such as broad- license that limits access by IP range (which we find cast or "transmissions" of copyrighted materials. We acceptable) but still requires each user to register and must tell them about Section 110(2) of the copyright to select a password. We are concerned about issues of act, which restricts what kinds of copyrighted materi- privacy to say nothing of the impracticability of each als can be transmitted, even if the only possible recipi- user remembering hundreds of passwords. As these ents of the material are registered students who hap- examples demonstrate, the power to license is the pen to be at a distant location. We tell them that the power to define terms and ultimately to deny access. copyright law treats transmission of materials, which Sharon Hogan, University Librarian, encompasses most forms of distance education using University of Illinois at Chicago digital technologies, differently, much more restrictive- ly, and definitely to the detriment of the quality of their course. The uses that were considered protected, THE DIFFICULTIES OF OBTAINING legitimate, and reasonable in the traditional classroom LICENSES AND PERMISSION TO USE setting are not permitted if the materials are transmit- DIGITAL INFORMATION ted. Why not, they ask? An excellent question, and The University of Maryland University College reflective of a condition in the act that must be reme- (UMUC) works closely with the Copyright died if we are to provide affordable, quality distance Clearance Center (CCC) to obtain the necessary education opportunities to tomorrow's learners. licenses and permissions to use digital information in Peggy E. Hoon, Scholarly Communication Librarian, an effort to comply with current copyright law. The North Carolina State University CCC is the only organization at this time that will seek

ARL 2 0 4 TUNE 1 9 9 9 30 permission on behalf of an institution for the delivery students studying through non-traditional formats, of course materials through e-reserves. Unfortunately, and ensure the course materials are of the highest it takes at least a month, typically much longer, to quality, they must be allowed to use these resources obtain permission. For academic institutions, the without having to pay excessive fees. semester may only be three months in length, and in 4. In some instances, the owner of a copyright refuses many cases it is a shorter period of time. The length of to allow their work to be reproduced in digital form. time it takes to get permission is a barrier to delivering Regardless of the purpose of use (e.g., to educate the content in digital form as part of a course. students in non-profit, public institutions), there are Obtaining permission to deliver e-reserves in con- several publishersthe Harvard Business School junction with distance education is fraught with diffi- being one notable examplethat refuse to allow any culties. UMUC has encountered numerous problems: of their works to be made available in digitally deliv- 1. It is often nearly impossible to determine who ered distance education courses. owns the copyright for a work that is needed for The information [that] publishers own is often course reserves. The lengthy time needed to identify critical to the development and delivery of a course the copyright holderand then to obtain permis- and their policies deprive distance education students sionspresents a significant barrier to delivering of resources that are available to students who take e-reserves that are the most up-to-date and relevant. courses on a traditional campus. The owners of copy- right must be required to establish reasonable fees for 2. Copyright owners, typically the publishers, often the use of their materials. Outright refusal to allow refuse to work with the CCC and require UMUC to their works to be made available in digital format go directly to the publisher for permission to repro- could cause the debate and discussion necessary to duce a work in digital form for reserves. In these cases, the creation of new works to be severely restricted. UMUC must approach the publisher directly after having already waited a month or more to hear from 5. When copyright permission is granted to use a the CCC. Typically, UMUC must request copyright copyrighted work, it is only for one semester. UMUC's permission, which again is time consuming. library must continually request permission, each Occasionally, UMUC is unable to use a work that is semester, when the faculty member wants to use pivotal to the delivery of a course, and has to choose something more than once. This [is] extremely time another item that is not as relevant as the original consuming. work chosen by the faculty member. This can occur Kimberly B. Kelley, Assistant Vice President, especially with video-based materials when the rights Information and Library Services, University of for such materials have been sold by the owner to Maryland University College larger media conglomerates who may in turn refuse to license them or allow fair use. THE SHORTCOMINGS OF 3. Another severe problem is that the costs charged to VOLUNTARY GUIDELINES UMUC to use information in the digital environment are much higher than the costs for making a paper The Copyright Office has also raised the issue of copy. It is not unusual for the cost of using a single the value of voluntary guidelines such as those article for a course to be in excess of $3,000. For exam- discussed over the past few years under the ple, to place one article on electronic reserves from the auspices of the Conference on Fair Use. Despite exten- Washington Post cost $1,200. The publisher charges a sive discussion, none of the draft guidelines were ever royalty fee and an additional fee of $46.00 per student adopted by the higher education and library commu- in the course. Additionally, the permission is only for nity. The proprietary community endorsed the one semester and, as a result, UMUC must pay the CCUMC guidelines, but only after negotiations broke same amount, for one copy of one article, each semes- down. In fact, the CCUMC Guidelines were extremely ter. Previously, if UMUC sought permission to make a controversial in part because of the suggestion that the copy of the same article in print, the publisher charged guidelines could be converted from a 'reasonable safe $50.00 total, a difference in cost of $1,150 and an harbor' to the outer perimeter of fair use. The leading increase in excess of 2000% over the cost of making higher education and library groups (fourteen associa- one copy of the paper. The costs of obtaining permis- tions) opposed them. Thus experience in this arena sion are so high that it is becoming cost prohibitive for demonstrates that development of guidelines upon a non-profit educational institution to continue provid- which all sectors can concur has not been productive, ing a reserve copy for students in a course. If universi- indeed, became a highly controversial exercise with lit- ties are to provide equivalent access to information for tle to show for extensive effort. The library community ARL 2 0 40 JUNE 1 9 9 95 etT-RRENT-ISSUELS Continued

does not support revisiting the process of guideline development in the distance education arena. THE NEED TO DISTINGUISH BETWEEN FORMATIVE USES OF James Neal, Dean of University Libraries, Johns Hopkins University, testifying on behalf of library associations: AND CONSUMER MARKETS FOR ARL, HALL, ALA, ACRL, MLA, and SLA INTELLECTUAL PROPERTIES swe move into the digital age, it is crucial that IMPORTANCE OF MAINTAINING the benefits of freedom of access to research Aand study aids be extended to the new reali- FLEXIBILITY WITHIN CHANGING ties of teaching. The rights students now have to TECHNOLOGICAL ENVIRONMENTS consult and access library and course materials, and doption of new technological developments the rights teachers now have to expose students to seldom happens within restrictive environments. such materials, should be echoed in the protocols AWhen we are prescriptive about what is allow- applied to distance education. Similarly, the restric- able, the precise things we allow may flourish, but all tions now placed on users to prevent misuse of kinds of other things are stymied before they even start. copyrighted materials they access should be borne By being too narrow and precise in defining allowable by the recipients of distance education programs. uses at the early stage of technological development, we Creating intellectual property is like farming: you inhibit new, interesting and exciting uses. Think... what can only reap what you sow. And the university is would have happened if, in 1980, we had followed the one of the soil beds into which these seeds must be wishes of Hollywood studios and defined home video- cast. The current desire among some providers of taping as an infringing act that harmed the motion intellectual properties to maximize profits at the cost picture studios: it's likely that the videotape industry of future growth in the final analysis will prove to be would have never taken off, and the Hollywood studios self destructive and contrary to American interests. would be financially much worse off than today (as they For a robust and fertile market we must distinguish earn half their revenues from the videotape market). between formative uses of, and consumer markets for We must avoid moving too quickly to restrict new intellectual properties; we must encourage giving uses, or we will stifle the creativity and innovation that educators continued access to digital materials, and are vital for growth and development. This is true in must not impose restrictions that inhibit students both the commercial sector and in educational develop- from learning how to use the products of the past ment. We need to give new technological environments and present to create the products of America's the time to play out, and intervene when we can clearly future. We must cling to and act on our belief that see that the harm outweighs the good. education is an investment for the future. In the early stages of an innovation, rightsholders Katie Hollander, Director of Development and tend to be overly protective and overly cautious, and Special Projects, College Art Association innovators need to be able to cross some rightsholder- imposed boundaries in order to innovate. This over- cautiousness led the entertainment industry to oppose the VCR 20 years ago, and is leading the recording COPYRIGHT OFFICE NOTICE industry to oppose technological developments like As this issue of ARL goes to press, the Copyright the Rio today. Office announced that its Report on Copyright and Distance Learning environments were given special Digital Distance Education will be released on exemption under the 1976 Copyright Act because they May 25. It will be published on their website were perceived as a fragile new environment that had that social benefits. Distance Learning is still a fragile new day; copies of the Report, together with additional environment with social benefits. And with many years volumes of comments, reply comments, and hearing of a Distance Learning exemption behind us, rightshold- transcripts, will be made available for purchase ers have still not suffered significant harm. Yet the fail- through the Government Printing Office in June. ure to continue the Distance Learning exemption into the digital environment will be the death knell of that environment. Howard Besser, Associate Professor, UCLA Department of Information Studies and UC-Berkeley's School of Information Management & Syetems

ARL 2 0 4 ® JUNE 1 9 9 9 32 OFFICE-OF-SeHOLARLY-COMMUNICA-TION Mary M. Case, Director

COMMUNITY RESPONDS TO Meeting. Provost Shulenburger, at the end of his presentation last October, had challenged the ARL PROPOSALS REGARDING THE community to help refine or reject the NEAR JOURNALS CRISIS concept. The ARL Board requested that the The participants in the Pew Roundtable on Scholarly Communication Committee coordinate Managing Intellectual Property in Higher the Association's response. At the conclusion of the Education concluded that universities have it recent ARL meeting, the ARL Board passed a resolu- within their power to work with each other and schol- tion' recommended by the Scholarly Communication arly societies to transform scholarly communication Committee that commended Provost Shulenburger into "a system of electronically mediated publications for his leadership and energy in bringing the need to that will provide enhanced access to scholarly infor- transform scholarly communication to the attention mation and relief from the escalating prices of com- of faculty, administrators, and university governing mercial publishers." As one of the sponsors of the bodies, and for his commitment to stimulating discus- Pew Roundtable, ARL continues to play an active role sion as evidenced by his proposal to create NEAR. in engaging the community in discussions of strate- The Board went on to lend their encouragement gies to achieve this transformation. and support to ARL's active engagement and refine- In this spirit, ARL invited presentations last ment of Provost Shulenburger's and other proposals October from two provosts who had developed to transform scholarly communication. To do so, ARL proposals about how to address the problems of will seek opportunities for broad involvement by all journal publishing in science, technology, and medi- of the stakeholders, including scholarly societies and cine (STM). Excerpts of these papers were included nonprofit publishers, and is committed to playing a in ARL #202 (February 1999) with encouragement for catalyzing role in bringing the stakeholders together comment and further discussion. A number of com- to work toward consensus on this complex set of ments were received with opinions ranging widely. issues. Most comments were directed specifically at One important forum for reaching such a broad University of Kansas Provost David E. Shulenburger's constituency is the National Humanities Alliance proposal to create a National Electronic Article (NHA), where key leaders of the humanities and the Repository (NEAR). According to Shulenburger, social sciences, as well as representatives of university NEAR would be a public domain repository of presses and libraries and invited guests such as repre- scholarly works created by requiring authors to sentatives of university administrations, convene. deposit their articles within a certain period of time ARL is a member of this alliance and is committed after they had been published in a journal. This to working within this context, as one opportunity, deposit system would require that authors retain toward a better understanding of humanities and some rights to their work, not transferring the entire social science publishing and the full ramifications copyright to the publisher. of NEAR and other proposals to find relief from Some respondents were very positive, stating escalating prices of scholarly resources. that NEAR's concept of "licensing publicly-funded Following are two lettersone from Janet Fisher, research to commercial organizations only for a limited MIT Press, and another from members of the NHA period ... [could] form a sound basis for the future calling for libraries to bring together university of scholarly communication."' The Big 12 Plus administrators with the humanities and social sci- Consortium of Libraries' issued a Statement of ences communities to work in partnership to ensure a robust society- and not-for-profit-based publishing Endorsement of Shulenburger's proposal (see box, enterprise. As confirmed by the Board, ARL is com- p. 10). Other respondents felt that the proposed 90-day mitted to such efforts and is seeking additional oppor- limit on exclusive rights for the publisher would be tunities for bringing the stakeholders together. much too brief to provide an incentive to publish, but supported the concept if the timeframe were length- Fred Friend, Chair of the Advisory Committee on Scholarly ened. Great concern, however, was expressed by Communication of the Standing Conference of National and publishers in the humanities and social sciences who University Libraries in the UK, 26 Nov. 1998. See . proposals like NEAR meant initially to address the 'The Big 12 Plus Libraries Consortium is a regional consortium of crisis in STM journals. The primary focus of their 23 research and academic libraries located in the greater Midwest & Rocky Mountain area. See . The full range of these responses formed the basis 3See for the full text for further discussion in May at the ARL Membership of the resolution. 33 ARL 2 0 4 JUNE 1 9 9 9 ------effie-E-OF-SeHOLARLY COMMUNICATION Continued Fisher's Response to NEAR Proposal journals at much lower rates than commercial publish- I appreciate the fact that administrators at universities ers because they believed their mission was to enhance are increasingly aware that the scholarly communica- the distribution of scholarly research rather than make tion system is under enormous strain. The proposal profits for themselves. This was great for universities from David Shulenburger, however, overlooks a in the short run, but now non-profit publishers find number of important aspects of the current scholarly themselves needing funds to acquire the hardware, communications system that benefit libraries, software, technical expertise, and new systems for universities, and researchers. marketing the electronic now required. In order to First, he believes that the price of scholarly journals remain in the running with authors, editors, and would go down if publishers were allowed exclusive journal sponsors, non-profits must develop digital publication rights only for a period of 90 days. On the versions of their print products. If they don't, more contrary, journal publishers would lose subscriptions and more journals will go to commercial publishers. and would therefore have to raise prices to the remain- Is that what universities want? ing subscribers because of the very short time in which Fourth, universities do not just altruistically to recover the approximately $2,000 cost they incur to support the scholars that do the research we publish. produce each article in the first place. I expect many They also rely on journalsand the publishers that libraries would still feel the need to subscribe to STM publish themto do the quality peer review that they journals, so this would put even more strain on their rely on in tenure decisions. Journals offer scholars the budgets. So the prices of journals in the fields where the assurance that the broader academic community will prices are already high would just go even higher. review their work, not just a limited group of scholars Second, he believes that "new journals would be at their own university who may or may not be experts free to spring up, but their impact on library costs in their particular field. In addition, many universities would be tempered by the reality that the material they rely on journals for revenue return to the university. contain would be in NEAR 90 days after publication." Journal publishers frequently pay universities for ser- The assumption is that libraries would find it less neces- vices they provide for journal editors, and I guess that sary to subscribe to new journals, which would make it commercial publishers quite often pay universities virtually impossible for publishers to invest in produc- more than non-profits. The amount of payment back ing them and bringing them to the world market. to the university from the journal publisher can be an Maybe he really means new journals would be free to important factor in an editor's decision to go with a spring up from venues outside of the current publishing particular publisher. Commercial publishers then system. But new publications from nontraditional charge more for the journal at least partially because venues are not likely to be easier for librarians to deliver their costs are higher, and it comes out of the pockets to their patrons. Instead, there are more likely to be of universities when their libraries purchase the title. publications that go direct to the scholars and leave the Fifth, what about distribution in alternative forms librarians out. They are likely to be less dependable, than print? Would the appearance of an article in the less permanent because they rely on soft money, less NEAR database mean the article would not need to likely to be in the indexing and abstracting sources that be produced in microfilm or microfiche, or distributed researchers and students rely on, and not available in digital format through an electronic journal in archival forms that librarians prefer (such as micro- delivery system such as OCLC, SwetsNet, Dawson's film and print). Information Quest, High Wire, Ebsco Online, or Third, Professor Shulenburger asserts that non- Blackwell's Electronic Journal Navigator? If NEAR profit publishers (as well as for-profit publishers) were created, I wonder if individuals would still find "are raising prices far more rapidly than their costs are it necessary to go to the library? Would the library be increasing in the effort to gain all the economic value in marginalized and become unnecessary? the article that they publish, not just the value added." Sixth, who will pay the cost of NEAR. The Los Most non-profit publishers find themselves at a distinct Alamos Preprint Archive in Theoretical Physics is disadvantage in the current marketplace. The level of funded through substantial NSF grants. The figure consolidation is making it more difficult for publishers I heard at the recent ARL/AAUP/ACLS Symposium with smaller numbers of journals (i.e., most non-profit was $350,000 per year. The cost of NEAR would be publishers) to bring their journals to the attention of the substantially higher than that since it would include library market. Librarians are rushing to acquire as articles in all fields. Will authors be willing to pay much electronic content as they can in one transaction, page charges to help cover these costs? I doubt it, which is further stressing non-profit publishers. In since page charges are common in certain disciplines addition, such publishers have historically priced their but certainly not most. In fact, the institution of page

8ARL 2 0 4 TUNE1 9 9 9 34 charges by US publishers created even more opportu- makes possible marvelous new search and research nity for commercial publishers to compete because tools, facilitates interdisciplinary work, and even alters they did not require page charges. research, it has not led to reduced costs. On the con- ARL could help the development of solutions by trary, the digital revolution has added to the expenses supporting face-to-face meetings of these key adminis- that libraries, academic presses, and scholarly societies trators with several experienced journals managers must bear. Nevertheless, the groups we represent from the nonprofit sector. I would be happy to work have, to the limit of their resources, moved to take with the AAUP, ARL, and ACLS to develop such a advantage of this new technology in ways that provide team of journal publishers. important benefits to the scholars and students who use research libraries. Janet Fisher But these and other publication efforts depend on Associate Director for Journals Publishing copyright. For over a century, scholarly societies and The MIT Press university presses have made research of high intellec- April 21, 1999 tual caliber available in this country. Both scholarly societies and university presses rely on a system of NHA's Response to Provosts' Proposals scholarly communication that is of mutual benefit to The February 1999 ARL Bimonthly Newsletter of Research the scholars who produce the research, the peer Library Issues and Actions presents several approaches to the "journals crisis" that would radically change the reviewers, the scholarly societies, university presses, system of scholarly communication in this country by and libraries. Each of these groups contributes to a "limiting the rights that faculty authors can transfer to system in which the partners operate in good faith publishers" (p. 1). and which, ultimately, benefits the central teaching Research libraries and universities are rightly con- and research missions of the university itself, as new cerned about the exponential increases in the costs of knowledge informs fundamental university activities, journals in medicine, science, and technology pro- from undergraduate teaching to postdoctoral, spon- duced by commercial publishers, but the not-for-profit sored research. groups we work foruniversity presses and scholarly Universities hire scholars and expect that they societies in the humanities and social sciencesare not will produce pathbreaking research. Scholarly soci- the cause of the financial problems libraries and uni- eties and university presses provide significant addi- versities have been experiencing. In fact, the groups tional value with the opportunity for the publication we represent have conscientiously limited what they of this research. Both quality and clarity are improved charge for their journals and books, and they have through the peer review and editorial processes. agreed to participate in projects like JSTOR, which the National and international networks of scholars volun- Andrew W. Mellon Foundation has organized to pro- tarily and painstakingly review manuscripts for token, duce electronic archives of scholarly journals. In so if any, honoraria, and help select the best for publica- doing, the scholarly societies have agreed to contract tion. Scholarly societies and university presses attend terms that forgo royalties from the future use of their to the administrative chore of selecting editors, editorial journals by the patrons of research libraries. This was boards, and peer reviewers. Whether the research is done to advance experimentation and innovation in distributed in print or electronic form, scholarly soci- electronic dissemination of scholarly journals while eties and university presses provide the services neces- minimizing the price tag that would be put on this sary to ensure that each publication is reliable, consis- service. tent, readable; that it is indexed and searchable; that We therefore urge ARL members to distinguish it is brought to the attention of other scholars in the between the prices not-for-profit publishers in the same field; and that it is made publicly available. humanities and social sciences charge for scholarly Scholars pay dues to learned societies, and univer- works and the prices commercial publishers in medi- sities provide generous subsidies both to scholarly cine, science, and technology charge. We also ask that societies and university presses, subsidies that have ARL members distinguish between financial pressure helped make the results of scholarly research available that results from commercial pricing practices and to all. But dues, subsidies, and voluntary services financial pressure that we are alluniversities, univer- have never borne the full cost of scholarly communica- sity presses, research libraries, and scholarly soci- tionsin the past or the present. A significant portion etiesexperiencing as a result of the digital revolution. of the costs of scholarly communication must be As we have begun to discover, the digital revolu- recovered through sales. tion has not yet proved to be the financial panacea that Copyright provides the legal framework for this many had hoped. While information technology cost recovery. Copyright is a form of ownership, but,

35 ARL 2 0 4 0 JUNE 1 9 9 9 -eFFICE-OF-SCHOL-ARtY-COMMUNICA-TION Continued

unlike ownership of real property, copyright recog- and technical journals. Librarians and scholarly publish- nizes that the true value of information and ideas can ers should be allies in seeking constructive reforms. only be known if they are widely shared. Copyright makes publication possible by granting the publisher Phyllis Franklin, Modern Language Association the exclusive right to recover the costs of publishing of America while also providing fair use and certain limited rights Peter Givler, Association of American University Presses to libraries, archives, and other non-profit educational John Hammer, National Humanities Alliance users. In addition, many scholarly publishers also Arnita Jones, Organization of American Historians grant other limited exemptions to this exclusive owner- Page Miller, National Coordinating Committee for shipgiving authors of journal articles the right to the Promotion of History Catherine E. Rudder, American Political make unlimited copies for their own use in teaching, Science Association for example. But such exemptions must be carefully Robert B. Townsend, American Historical Association limited and well-defined, for they do not reduce pub- lishers' costs. They only reduce the avenues through May 7, 1999 which those costs may be recovered, and the problem of cost recovery for scholarly publishers in the humani- ties and social sciences is especially acute. We have Big 12 Plus Libraries Consortium suffered from the same cuts in funding that have Statement of Endorsement of the Proposal affected libraries in the last 30 years. If there ever on the Future of Scholarly Communication was a time when scholarly publishing carried an extra by Dr. David E. Shulenburger, Provost, ounce of fat, it's long gone; all of us now operate with The University of Kansas budgets that have been pared to the bone, trying to In support of your personal leadership and efforts recover costs in very tight markets. to create a more elastic market for scholarly Proposals for reform in the administration and publications, the Deans/Directors of the Big 12 transfer of copyrights that hamper the ability of schol- Plus Libraries Consortium do hereby endorse: arly societies and university presses to recover most 1. Your proposal to create a higher education of the costs of publishing scholarly research will not public domain for scholarly communication, reduce the economic strain on scholarly communica- and tions. At best the proposed reforms will redistribute 2. Your further proposal to move publicly- costs to other members of the scholarly community supported scholarly publications into the or force lower standards in the quality of scholarly higher education public domain. publishing in the humanities and social sciences. We further endorse your efforts to pursue federal The proposed strategy may further consolidate schol- legislation that would mandate the creation of a arly publishing in the hands of the largest publishers, higher education public domain, as described in who, by virtue of their size and wealth, are best able your proposal for a National Electronic Article to absorb changes in market conditions. Repository (NEAR). Pursuant to this proposed Non-profit publishers differ substantially from legislation, we would like to suggest a meeting commercial publishers, and we reject the implication which would be hosted by Dr. Neil Lane of the in David Shulenburger's address that not-for-profit President's Office of Science and Technology publishers unfairly exploit the work of their authors. Policy and which would be attended by you, We would welcome the opportunity to explore this the Presidents of the National Association of matter in future conversations with colleagues in State Universities and Land Grant Colleges research libraries and university administration, in the (NASULGC), the Association of American belief that consideration of reform would benefit great- Universities (AAU), the American Council of ly from a more complete understanding of how the Learned Societies (ACLS), the directors of the current system of scholarly communication weaves National Institutes for Health (NIH) and the together the interests, talents, and resources of schol- National Science Foundation (NSF).... The ars, their societies, university presses, libraries, and purpose of this proposed meeting would be to universities in a network of mutual benefit that is initiate discussions on the legislative effort to supported by copyright. For over a century this sys- create a higher education public domain, and thus tem has stimulated, produced, and disseminated new the mechanism by which to provide free exchange knowledge for the public good. We believe that it can of publicly-supported scholarly publications. continue to do so. If reform is needed, it should be October 23, 1998 considered apart from the pricing of.scientific, medical,

10ARL 2 0 4 JUNE 1 9 9 9 36 STATISICS AND MEASURE-ME-NT Julia Blixrud, Director of Information Services

SPENDING MORE FOR LESS... meet some of the demands of increasing serial prices. by Martha Kyrillidou, Senior Program Officer Since 1986, the number of monographs purchased by The newly released ARL Statistics 1997-98 shows research libraries fell by 25%, while the unit cost continuing steady increases in the costs of materi- increased by 66%. The median figure of 24,761 mono- als while the amount of materials purchased graphs purchased in an ARL library in 1998 is a record declines. Research library serial expenditures last year low level since data on this trend was first presented in totaled $437 million, an increase of $25 million, or 6%, this time series.' over the previous year. While median serial expendi- Since 1986, the annual average increase for the tures have increased 152% from $1,517,724 in 1986 to serial unit cost has been 8.8% and for the monograph $3,818,832 in 1998, serial purchases have actually unit cost 4.3%, both higher than the Consumer Price declined by 7% (about 1,000 less subscriptions per Index increase (3.4%) during the same period. See institution) during the course of these 13 years. Graph and Table 1 for data on trends in median In the last four years, despite an annual average monograph and serial expenditures, unit costs, increase ranging from 8% to 10% in the serial unit cost, and acquisition patterns. the median ARL library has managed to keep constant The overall financial picture of research libraries is the level of serial subscriptions. However, this has had evident in Graph and Table 2, "Expenditure Trends in consequences elsewhere in the libraries' collections. ARL Libraries." Apart from the large increases in the Monographic expenditures last year totaled $207 serial expenditures and library materials lines, operat- million, an increase of $5.5 million (2.7%) over the ing expenditures, where many automation and elec- previous year. This part of the materials budget has tronic information resource expenditures are reported, also increased over the last 13 years, but only by 33% are also increasing rapidly, from a median $1,134,008 for the typical ARL library from a median $1,120,645 in in 1986 to $2,107,948 in 1998. A slower increase is 1986 to $1,486,764 in 1998. This level of increase was not noted for total salary expenditures, reflecting a combi- enough to sustain library buying power when the costs nation of slightly increasing salaries and staff reduc- of monographs were also rising. This also reflects a tions. Monograph expenditures, although rising, are pattern of shifting funds from monographs to serials to not increasing even as fast as general inflation.

TABLE 1 GRAPH 1 MONOGRAPH AND SERIAL COSTS MONOGRAPH AND SERIAL COSTS IN ARL LIBRARIES, 1986-1998 IN ARL LIBRARIES, 1986-1998 MEDIAN VALUES FOR TIME-SERIES TRENDS 200% Serial Unit Cost UNADJUSTED DOLLAR FIGURES (+175%)

Year Serial Serial Monograph Monograph SerialsMonographs Unit Cost ExpendituresUnit CostExpenditures Purchased Purchased 150% (No. of Libraries)(43) (103) (63) (99) (43) (63)

Serial 1986 $88.81 $1,517,724 $28.65 $1,120,645 16,198 33,210 Expenditures (+152%) 1987 $104.30 $1,770,567 $31.76 $1,064,484 16,518 27,214 100%

1988 $117.25 $1,979,604 $35.63 $1,141,226 16,443 26,541 Monograph 1989 $128.47 $2,130,162 $37.74 $1,241,133 16,015 27,268 Unit Cost (+66%) 1990 $130.81 $2,304,744 $40.26 $1,330,747 16,182 27,999 1991 $152.43 $2,578,309 $42.04 $1,400,738 16,149 28,027 Monograph 1992 $162.72 $2,630,827 $43.31 $1,353,865 15,846 27,158 Expenditures 1993 $184.71 $2,919,756 $41.78 $1,295,807 15,463 25,583 (+33%) 1994 $191.13 $2,932,091 $44.51 $1,309,807 15,583 25,803 1995 $211.29 $3,133,885 $1,365,575 14,942 25,719 $45.27 Serials 1996 $219.46 $3,393,307 $46.73 $1,444,015 15,069 26,262 Purchased (-7%) 1997 $238.69 $3,674,368 $46.42 $1,460,234 15,297 28,658 1998 $243.85 $3,818,832 $47.59 $1,486,764 15,100 24,761 Monographs Annual Purchased average (-25%) percent -50% change 8.8% 8.0% 4.3% 2.4% -0.6% -2.4% 1986 1988 1990 1992 1994 1996 1998 Fiscal Year Source: ARI. Statistics 1997-98

BEST COPY AVAILABLE 311 ARL 2 0 4 JUNE 1 9 9 911 ST-ArsTre5-A-N-D -EA-SU-REM-ENT Continued

Since 1986, total library expenditures increased at $25 million, out of which $22 million would be spent the rate of 5.2% a year for the typical ARL library with a on serials and only $2 million spent on monographs. median $15.4 million budget in 1998. Of that total bud- It is still early to assert a definite answer as to how get, salaries accounted for $7.3 million, increasing by libraries and their constituencies can influence these 4.9% a year, and library materials allocations accounted trends. However, since reporting on last year's ARL for about $5.8 million, with an average annual growth Statistics, there is an important new effort underway. rate of 6.6%. In 1998, serial expenditures accounted for Aimed at expanding competition in the largely monop- about $3.8 million of the median library materials budget olistic marketplace of scientific journal publishing, the and monographic expenditures for $1.4 million. Since Scholarly Publishing and Academic Resources Coalition 1986, median serial expenditures has increased by 8% a (SPARC) was launched by ARL in June 1998. Any year and monograph expenditures by 2.4%. results from SPARC and other efforts that are aimed at Were these trends to continue 20 years into the future containing the prices of scholarly materials are not like- with the same growth rates, serial expenditures would ly to be reflected so soon in the ARL data. The complex- consume close to 90% of the materials budget, and the ity of the problem makes a single or fast reversal of materials budget would require more than 50% of the total library budget. Currently, the median proportions these trends unrealistic. These data therefore are best for serials expenditures out of the materials budget is thought of as a tool for assessing short-term coping about 65% and materials expenditures as a proportion strategies and as a stark reminder of the urgent need of the total expenditures budget is about 38%. for system-wide, strategic initiatives. This would, in turn, impact other parts of the The printed edition of the ARL Statistics 1997-98 is libraries' spending. Salary expenditures as a proportion available from ARL Publications for $70 of the total budget would be slightly reduced if the trends ($35 for members). Machine-readable datafiles for FTP or for continue unaltered, from about 47% to 44% in 20 years or interactive web analysis can be found at . as only about 10% of the materials budget would be spent 1ARL has co-sponsored a conference highlighting the problems facing on purchasing monographs by 2019 if the trends contin- the specialized scholarly monograph. See .

TABLE 2 GRAPH 2 EXPENDITURE TRENDS EXPENDITURE TRENDS IN ARL LIBRARIES, 1986-1998 IN ARL LIBRARIES, 1986-1998 170% MEDIAN VALUES FOR TIME-SERIES TRENDS Serial Expenditures UNADJUSTED DOLLAR FIGURES (+152%) 150°/

Year Library Serial Monograph Total Operating Total MaterialsExpenditures ExpendituresSalariesExpendituresExpenditures 130% Library (No. of Materials Libraries) (106) (103) (99) (106) (106) (106) (+115%) 110% 1986 $2,707,219 $1,517,724$1,120,645 $4,108,616 $1,134,008 $8,390,865 1987 3,083,288 1,770,567 1,064,484 4,390,277 1,191,641 9,006,308 Operating 90% 1988 3,371,421 1,979,604 1,141,226 4,737,470 1,209,633 9,623,944 (+86%) 1989 3,582,400 2,130,162 1,241,133 5,278,104 1,389,321 10,332,186

1990 3,913,466 2,304,744 1,330,747 5,500,869 1,408,280 11,243,645 70% 1991 4,083,358 2,578,309 1,400,738 5,977,903 1,463,873 12,032,893 TOTAL 1992 4,160,064 2,630,827 1,353,865 6,113,071 1,406,661 12,264,226 (+84%) Salaries 1993 4,332,769 2,919,756 1,295,807 6,034,232 1,609,350 12,331,859 50% (+78%) .c 1994 4,577,203 2,932,091 1,309,807 6,183,885 1,686,070 12,775,909 CPI cr, (+49%) 1995 4,729,921 3,133,885 1,365,575 6,349,708 1,871,603 13,204,133 1996 5,157,375 3,393,307 1,444,015 6,675,390 2,035,496 13,885,477 Monograph 1997 5,577,348 3,674,368 1,460,234 6,922,290 2,058,496 14,652,763 Expenditures (+33%) 1998 5,817,324 3,818,832 1,486,764 7,300,236 2,107,948 15,410,758

Annual cry average percent -10 /. change 6.6% 8.0% 2.4% 4.9% 5.3% 5.2% 1986 1988 1990 1992 1994 1996 1998 Fiscal Year Source: ARL Statistics 7997-98

ARL 2 0 4° JUNE 1 9 9 9 '38 FFICE OF LEADERSHIP M-A-NAGEMENT-SERVICES--- Kathryn J. Deiss, OLMS Program Manager

HOT GROUPS: A LIVING SOURCE urgent and overwhelming task of designing effective means to train all staff and users in a new integrated OF ORGANIZATIONAL AGILITY system. The turnaround time at the University of The quest for organizational agility in libraries has Chicago was very short and so a group of 24 people taken on a powerful sense of urgency and impor- selected to train the others how to use the new system tance. The feeling, if not the reality, of rapid was put together and received special training provided changes in the internal and external environments of by the ARL/OLMS's Training Skills Institute for higher education and the need to respond to those Implementing an Integrated Library System. In our article, changes have induced this focus on agility. Yet many we describe that group of trainers as a "hot group" libraries feel that agility is as far out of their institutional because, in spite of the fact that these individuals came reach as dancing would be for a hippopotamus. from all levels and areas of the library, the task before Nevertheless, research libraries have sought strategies them drew them into a tightly knit, high-performing to create organizational agility. Examples of these are unit within days. Although the University of Chicago shortened timelines for strategic plans, cross-organiza- was a particularly vivid example of this phenomenon, tional work projects and processes, new communication these groups exist in many libraries and I believe them patterns and technologies, and new organizational to be one of the most viable and energetic responses to structures. While these strategies may be steps towards the organizational need for agility. increased agility, they often seem to be incomplete in More recently, the Instructional Support Services answer to the quest. group at the Southern Illinois University-Carbondale Hot Groups: A Hidden Source of Agility library helped the OLMS develop its inaugural distance While agility might be something most libraries need to learning program, the Online Lyceum. This group of learn and develop as a way of meeting challenges, I nine peoplefive from SIU and four ARL staffhad would like to suggest that one source of agility already the unique and driven focus of a hot group. Although exists in most libraries and that it needs only to be rec- the full group worked remotelywith members in ognized and encouraged. That source is what is known Carbondale, Washington, D.C., Evanston, and San as a hot group, a term coined by Harold Leavitt and Jean Diegothe group still had the mark of a hot group: Lipman-Blumen, organizational development experts, organized loosely by two driven leaders, it brought in their 1995 Harvard Business Review article, "Hot unique and differing talents together to accomplish Groups." In their newly released book of the same title, work, innovated, engaged in continuous creative prob- Lipman-Blumen and Leavitt go into greater depth on lem-solving, and did all this on an exceedingly tight the special nature of hot groups: "A hot group is a state deadline. Further, the group accomplished this without of mind. It's not a name for some new kind of team or the more common trappings of an organizational task force or committee. The hot group state of mind is structure, such as reporting to others, being limited by task-obsessed and full of passion. It is always coupled bureaucratic policies and procedures, etc. The group with a distinctive way of behaving, a style that is worked to produce one of the most innovative ARL intense, sharply focused, and full-bore." Thus the products to date. authors describe at the outset of their book the basic In many libraries, groups coalesce around both small idea behind the term hot group. and large projects. However, not all teams, committees, We need only reflect on our own individual experi- and working groups become hot groups. In fact, Lipman- ences to identify at least one instance where we were Blumen and Leavitt suggest that standard types of orga- part of a group that was "clicking"that was focused nizational groupssuch as departments, teams, and and impassioned about its task or work, that seemed to committeesrarely become hot groups. Nonetheless, exist in a world of its ownto realize that hot groups it is clear that, if the conditions are right, any group can are a fact of organizational life. We just didn't have a become "hot." name for this phenomenon until now, and we certainly What Makes Hot Groups Different? have not learned to exploit the possibility of hot groups What makes hot groups different from other competent in our heightened need for agility. In part, this is and task-oriented groups in the library? Lipman-Blumen because of the curious' and seemingly serendipitous and Leavitt describe some characteristics of the hot nature of hot groups: we never know, nor can we groups they used as examples of this phenomenon: control, when they are going to spring to life. Each group felt itself engaged in an importanteven Examples of Hot Groups in Libraries vitaland personally ennobling mission. In a December 1995 article, Katherine Haskins and In each, the task itself dominated all other considera- I described the experience of a group of people at the tions. The process was simultaneously arduous and University of Chicago Library brought together by the intoxicating. Contrary to some fundamental tenets of

ARL 2 0 4 JUNE1 9 9 9 FteE-oF-L-E-ADERSI=tIP 8z MANAGEMENT-SERVIon-- Continued

organization development theory, interpersonal groups, group members are likely to be very aware of the relationships played only secondary roles. potential impact of their work while simultaneously hav- All the groups were relatively short-lived (hot groups ing little regard for the bureaucratic rules that may stand tend to organize around finite tasks or objectives), yet in the way of how they manage their work. their participants remember the involvement nostal- Grudin believes that the political and diplomatic gically and in considerable detail. problems that often surround or tamp down creativity or Interestingly, the hot group concept dovetails nicely innovation result from fear of threat to stability. Because with work done on creativity and innovation by Robert there is power in creativity, the threat to organizational Grudin, professor emeritus of the University of Oregon. stability that "power newborn" represents is often Grudin's research shows that true innovation and cre- enough to squelch the group's project or product. For ativity result not only from inspiration but also require this reason, members of the organization need to be edu- an individual or individuals to have deep expertise and cated to understand different types of power and sources knowledge in the area within which they are working. of innovation. To foster the growth of hot groups, orga- Grudin refers to individuals and groups that are discov- nizational leaders must "Make room for spontaneity; erers of the "new" as being habitually attuned to a specif- encourage intellectual intensity, integrity, and exchange; ic realm and having mastery over their own methods. value truth and the speaking of it; help break down barri- Individuals or groups are more likely to be playful with ers; select talented people and respect their self-motiva- a subject about which they feel little anxiety. Their tion and ability; and use information technology to help expertise allows them to depart more easily from the build relationships, not just manage information."8 known, spot disconfirming information and oddities, Further, to take full advantage of the extraordinary and to discover new ways of doing things. There is agility that these groups can lend an organization, leaders every reason to believe that hot groups, then, will need to be alert to the possibility of a hot group coalesc- be creative and resourceful in ways that are not ing around a problem or task and then remove them- reproducible. selves and any bureaucratic impediments out of the It is precisely this irreproducibility of performance group's way. If it seems that hot groups contribute to that makes hot groups so intriguingeach one is sui organizational turbulence, maybe we should consider generis. This may test the patience of some administra- that perhaps the best answer to volatility in our environ- tors and leaders who prefer more control over how and ment is fluidity and action-orientation in the way we when high performance occurs. However, to take full work. We have much to learn from the way hot groups advantage of the hot group, leaders will need to devel- attack work, problem-solve, innovate, and think together. op ways to encourage this unique type of group to form and to manage itself in its own way. Managing the Hot Group The ARL/OLMS will offer its Edgework Institute: To be sure, there may be specific problems that arise Stimulating Innovation in Libraries and Information when hot groups are in existence: jealousy or rivalry Services in Washington, D.C., November 10-12. As part on the part of others outside the group; hot group obses- of that Institute, participants will explore the concept of sion to the point of diminishing returns; and difficulties hot groups as well as learn more about the politics and in managing individuals from different areas of the diplomacy of innovation. library when they are in a hot group. Hot groups engage in play and antics as well as often develop their 'Jean Lipman-Blumen, and Harold J. Leavitt,"Hot Groups," Harvard Business Review 73.4 (July 1995): 109. own private lingo and communication style. They often 2 appear to others in the organization as oblivious and Jean Lipman-Blumen, and Harold J. Leavitt, Hot Groups: Seeding Them, Feeding Them, and Using Them to Ignite Your Organization (New York: even uncaring as they relentlessly pursue something in Oxford University Press, 1999). a manner that is opaque to "outsiders." In their book, Kathryn J. Deiss, and Katherine Haskins, "Training Technology Lipman-Blumen and Leavitt more fully describe some Trainers: Training at the University of Chicago Library," ARL: of the pitfalls and some of the possible ways of dealing A Bimonthly Newsletter of Research Library Issues and Actions 183 with these pitfalls. (Dec. 1995): 10-11. Also available at . tricky to contain, it is clear from Lipman-Blumen and 4See . Leavitt's research that tolerating and even encouraging 5Lipman-Blumen and Leavitt, Hot Groups. this state of mind is worthwhile because hot groups Robert Grudin, The Grace of Great Things: Creativity and Innovation represent potential innovation, forward motion, produc- (New York: Ticknor & Fields, 1990). tivity, and energy. While it is important to make Ibid. accountability to the larger organization clear to hot 8Lipman-Blumen and Leavitt, "Hot Groups," HarvardBusiness Review.

14ARL 2 0 4 TUNE 1 9 9 9 ARL AcTrvrrtEs Lee Anne George, Program Planning Officer

ARL EXPLORES SPECIAL COLLECTIONS IN THE DIGITAL AGE RL's 134th Membership Meeting, hosted by the Linda Hall Library and the University of Kansas ALibrary, was held May 12-14 in Kansas City, Missouri and Lawrence, Kansas. One hundred and eight ARL member libraries were represented at the meeting. ARL President Betty Bengtson, University of Washington, convened the meeting. The program was planned in col- laboration with the ARL Research Collections Committee and brought together directors of libraries with represen- 0 (1 tative directors of special collections departments and fac- ulty to focus on the array of challenges and opportunities Carol Henderson (left) accepts award from ARL President Betty special collections present. Bengtson, University of Washington Werner Gundersheimer, director of the Folger Shakespeare Library, opened the meeting with a keynote CAROL HENDERSON address on the special problems of special collections. Joe HONORED BY ARL A. Hewitt, University of North Carolina and chair of the tt he 134th Membership Meeting held in Kansas City, ARL Research Collections Committee, then presented pre- ARL honored Carol Henderson with a standing liminary findings from the 1998 survey on the status of Aovation and certificate for "her significant contri- special collections in ARL libraries. (Complete findings butions and unwavering commitment to libraries through- of the survey will be published by ARL later this year.) out the United States." Ms. Henderson, Executive Director Through a series of panels and focused discussion groups, of the American Library Association's (ALA) Washington speakers and audience explored the special collections cul- Office and an Associate Executive Director of ALA, will ture, selection criteria for digital preservation, developing retire on August 13 after nearly 24 years of service. collections to meet scholars' needs, and a variety of man- In presenting her with the award, ARL President agement issues. In addition, status reports were provided Betty Bengtson, University of Washington Libraries, cited on JSTOR, the National Learning Infrastructure Initiative, Ms. Henderson's distinguished career and exceptional the disaster recovery efforts at Colorado State University, contributions. "She has encouraged collaboration within efforts to define new measures for describing research the library community, championed new and innovative libraries, Internet2 content projects, and recommendations approaches to difficult and contentious issues, provided for revising the ARL membership process and criteria. Papers presented at the May meeting will be made wise and strategic counsel on a host of issues, and gar- available on the ARL web server as they are received: nered the deep respect of Members of Congress and . officials of countless Administrations. "During her years in the American Library Association Washington Office, Carol Henderson served in the piv- TRANSITIONS otal role of librarian-advocate on a wide range of issues Illinois at Urbana-Champaign: Paula Kaufman was and arenas, including copyright and intellectual proper- named to succeed Robert Wedgeworth as University ty, access to government information, appropriations for Librarian, effective September 7, 1999. Ms. Kaufman is numerous agencies and national libraries, telecommuni- currently Dean of Libraries at the University of Tennessee. cations and networking, and more. Her remarkable abili- Ohio: Julia Zimmerman, Associate Director of Georgia ty to articulate to policymakers an ambitious, compelling, Tech Library, was named Dean of University Libraries at and evolving role for libraries has had a tremendous Ohio University. Current library dean Hwa-Wei Lee will influence on federal policies affecting libraries and the retire in August. people these libraries serve. As an advocate for the public interest, she personifies the very best." HONORS Ms. Henderson became ALA's Washington Office Ann Okerson, Associate University Librarian, Yale Executive Director in 1994. Until then, she was the ALA University, and former Director of ARL's Office of Washington Office Deputy Director for 15 years. During Scientific and Academic Publishing, is the winner of the all these years, she was a key partner with ARL in help- 1999 LITA/Library Hi Tech Award. She was selected for ing to strengthen the message of research libraries to her efforts to discern, influence, and elucidate the impact Congress and other agencies of the U.S. Government. of electronic publishing on libraries. 41 ARL 2 0 4 TUNE 1 9 9 915 /0 I \)\\\ L_L LJ L 00TJ _ l=/ / /L-7///z= n 7T

ARL: A Bimonthly Report on Research Library Issues and Executive Director: Duane E. Webster Actions from ARL, CNI, and SPARC (US ISSN 1050-6098) Editor: G. Jaia Barrett, Deputy Executive Director is published six times a year by the Association of Research Assistant Editor: Karen A. Wetzel Libraries, 21 Dupont Circle, Washington, DC 20036. Designer: Kevin Osborn, Research & Design, Ltd., Arlington, VA 202-296-2296 FAX 202-872-0884 Subscriptions: Members$25 per year for additional subscription; Nonmembers$50 per year. Copyright: ©1999 by the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may CALENDAR 1999

July 26-27 ARL Board Meeting November 10-12 Edgework Institute: Stimulating Washington, DC Innovation in Libraries and September 16-17License Review and Negotiation: Information Services Building a Team-Based Washington, DC Institutional Process November 17-19Library Management Skills Dallas, TX Institute I: The Manager October 7-8 Leading Change Institute Atlanta, GA San Antonio, TX December 13-14CNI Fall Task Force Meeting October 12-14 ARL Board and Membership Phoenix, AZ Meeting Washington, DC SAVE THE DATE FOR SPARC! October 26-29 EDUCAUSE '99 SPARC's first membership meeting, Long Beach, CA "Opportunities for Scholarly Communications: October 26-29 Library Management Skills Crafting New Models," will take place on Institute II: The Management October 14 and 15,1999 in Washington, D.C. Process See . Evanston, IL November 3-5 Assistant/Associate Librarian Institute Charleston, SC

42

BEST COPY AVAILABLE m a- sM1

A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC MEASURING THE COST EFFECTIVENESS OF JOURNALS: THE WISCONSINEXPERIENCE

The University of Wisconsin was thrust into critical in establishing effective working relation- the limelight of journal cost studies when ships with the faculty; they provide library staff Henry Barschall, Professor of Physics there, with an objective information base from which to published articles on the cost effectiveness of begin discussions about journal cancellations. physics titles that resulted in a series of lawsuits The difficulty of collecting data about jour- by Gordon and Breach, a commercial publisher nalswhether it is cost per use, cost per 1,000 whose titles were among the least cost-effective characters, or cost per impact factormay be yet journals cited by Barschall. On top of the law- another reason why libraries do not routinely suits, Gordon and Breach undertook an aggres- gather and share information on journal cost sive strategyincluding threats of additional liti- effectiveness. The process is time-consuming and gationto challenge any adverse commentary on the vagaries of serial publications make the task its journals. The actual and threatened lawsuits complex. In some cases, selectors and faculty fear by Gordon and Breach are well documented.' that data will become the single factor in deciding Believing that this hostile, litigious environ- whether to cancel journal subscriptions. But for ment had a chilling effect on libraries' willingness 00 many institutions that have embarked on journal to gather and share journal cost data, and wishing cost studies, the rewards far outweigh the prob- to commemorate the 10th anniversary of lems. The data provide an overall context for Barschall's publications, the University of assessing the quality, relevance, and cost effec- WisconsinMadison Libraries undertook a cost tiveness of the journals in a given field. They also study in the hopes of encouraging others to highlight titles that may warrant further evalua- ON conduct similar analyses. Using the same tion. The data allow selectors and faculty to dis- methodology, the findings of this new study cuss specific titles with a broader understanding parallel those of Barschall: of the quality and economic structures of the By the measures employed here, commercially journals in a discipline. published journals in all three fields [physics, Data on the cost effectiveness of journals are economics, neuroscience] are significantly less also useful in our efforts to inform policymakers cost-effective than journals published by not- in higher education; national, state, and provincial for-profit enterprises. legislatures; funding agencies; and scholarly soci- The cost effectiveness data collected as part of eties about the dynamics of the current journals the Barschall anniversary study were measured in system and the need for transformation. Data cost per 1,000 characters and cost per impact fac- help us develop and refine strategies for change. tor. These statistics supplement the cost per use But currently, our community lacks consistent, cp data that the Libraries had been collecting for the longitudinal journal cost effectiveness data across previous five years. University of Wisconsin disciplines. We depend on the occasional reports cNi Madison Libraries staff have found both data sets of studies, like the one presented here, of a few 43 euRR-ENT-Issu-Es Continued key fields. To help maximize the use of existing data While one would expect journals published by not- and facilitate the collection of more detailed informa- for-profit publishers to be less expensive than those tion, ARL is working with the Association of American published by commercial publishers, the cost -per- Universities on a proposal to establish a coordinated character ratio of over 40 between the most expensive data collection effort. The creation of a central reposi- commercial and the least expensive not-for-profit tory of data on journalsprices, number of pages, publication is larger than one might have expected. number of articles, number of citations, etc.would We found the variation to be similar for mathematics provide valuable information that could be used for a and physics journals. An unexpected finding was variety of purposes, including policy-level discussions, that the average cost per character is about the same local collections decisions, and increased research into for physics and philosophy journals; subscription the economics of scholarly publishing. Both organiza- prices for philosophy journals are less expensive tions also see such a resource as a strategy to measure because they typically publish far fewer pages, of the impact of electronic information resources and new generally smaller size.' modes of distributing information, such as E-biosci Two years later, Barschall conducted another study (see page seven for "NIH Proposes E-biosci"), on the using a much larger sample of over 200 physics jour- economics of the system. nals. The results of the 1988 study confirmed the results While this discussion and the following article of the earlier study and were published in both Physics extol the virtues of data gathering, it is important to Today (July 1988)4 and the Bulletin of the American restate the obvious: data are only part of the story. Physical Society (July-Aug. 1988); with the former All of the libraries that collect such data would agree presenting the conclusions and the latter the that collections decisions are based on many factors in methodology and data. addition to data, such as the research needs of individ- In this second study, in addition to expanding the ual faculty; support for small, fledgling, or struggling sample, Barschall added the Institute for Scientific programs; consortial obligations; and commitments to Information (ISI) impact factor to his analysis. The ISI programs that seek to sustain comprehensive collec- impact factor is a measure of the frequency with which tions through distributed responsibilities. Data must the average article in a journal has been cited in a partic- be evaluated in context; judgment is always the ular year.' Barschall's tabular data show cost per 1,000 final arbiter. characters, impact factor (for the titles for which it was The following article is an excerpt from a work available), and cost per impact factor. The data, there- prepared for the University of Wisconsin-Madison fore, indicate cost effectiveness in two ways: cost per Libraries by George Soete, ARL/OLMS, and Athena quantity of content and cost as related to value appar- Salaba, University of Wisconsin-Madison School of ently placed on the publication by others in the field. Library and Information Studies. In the longer work, Barschall drew some important conclusions from Soete places the Wisconsin studies in the broader this study. He found, for example, that the cost per library-community context, while Salaba discusses 1,000 characters did not vary greatly for journals pub- the methodology used in the 1998 study and provides lished by the same publisher. More importantly, detailed tables of the titles and data collected. The Barschall concluded that "all the publishers whose jour- complete work can be found at and will be of cost to impact are scientific societies or associations, printed for distribution by ARL later this year. while the publishers whose journals have high costs per Mary M. Case, Director, ARL Office of Scholarly character or high ratios of cost to impact are commercial Communication firms."' This conclusion agrees with his findings from The Barschall Legacy the previous study. One further conclusion has been In December 1986, Henry Barschall, University of borne out in subsequent studies: the need to perform Wisconsin-Madison Physics Professor and comparisons, as much as possible, within comparable Departmental Representative to the Libraries' faculty sets of journals. Within his sample, Barschall found real committee, published a brief article in Physics Today' differences in impact numbers among journals publish- in which he looked at the costs of a small sample of ing review articles, letter journals, and archival journals. physics journals (20 titles), as well as an even smaller In both studies, Barschall was careful to note the number of philosophy and mathematics journals. factors that might be influencing the differences that he Barschall compared the cost per 1,000 characters foundfrom production and distribution costs to page across journalsa methodology previously used charges. He also acknowledged the imprecision of his by the American Mathematical Society and others. methods of counting characters by asserting that His conclusion: "differences in cost of 20% are not significant for several 44 ARL 2 0 5o AUGUST 1 9 9 9 reasons: journals follow different practices in number- publish comparative cost studies of research journals. ing pages, in having blank or partially blank pages, in On the other hand, it is likely that the behavior of the size of the print used in tables and references."' Gordon and Breach had a chilling effect on systematic With all of these caveats, however, the data still told data gathering and cost analysis of journals during the Barschall that there was a wide discrepancy in cost ten-year interval since Barschall published his pioneer- effectiveness between not-for-profit and commercially ing studies. This is unfortunate because, given the pres- published journals. sure on libraries and research institutions to optimize Barschall's studies would have become part of the the benefits of resources and control costs, "consumer growing literature on journal cost effectivenessuseful comparisons" of journal value, performance, and impact but perhaps unremarkable outside the world of journal are sorely needed to inform decision making. collections managementwere it not for the fact that Barschall's publishers, the American Institute of Physics 1998 Follow-Up to Barschall's 1988 Study (AIP) and the American Physical Society (APS), decided In 1998, the University of Wisconsin-Madison Libraries to use his findings to promote their journals. Gordon commemorated the 10th anniversary of Barschall's land- and Breach, a publisher whose journal titles had not mark 1988 study by conducting a follow-up study using come off well in Barschall's comparisons, seized on this essentially the same methodologythat is, focusing on and sued the AIP and APS. Gordon and Breach con- cost per 1,000 characters and the cost per impact ratio tended, in suits instituted in the U.S., German, Swiss, that Barschall found such a persuasive measure of jour- and French courts, that Barschall's studies were flawed, nal cost effectiveness. This time, in addition to physics even biased, representing "illegal comparative advertis- journals (N = 93), journals in economics (N = 128) and ing" of the not-for-profit journals published by the neuroscience (N = 72) were studied as well. From American Physical Society and other members of the April through August of 1998, Athena Salaba of the American Institute of Physics. In August 1997, a U.S. University of Wisconsin-Madison School of Library District court found in favor of AIP/APS, asserting: and Information Studies gathered the data for titles Barschall's methodology has been demonstrated to published in 1997. establish reliably precisely the proposition for which The results of the 1998 study confirm Barschall's defendants cited itthat defendants' physics jour- findings, although there are some differences in the nals, as measured by cost per character and by cost details, as one might expect after ten years. Following per character divided by impact factor, are substan- are the key findings of the study. (See also accompany- tially more cost-effective than those published by ing table.) plaintiffs. Plaintiffs have proved only the unremark- In physics, cost per 1,000 characters varied in the able proposition that a librarian would be ill-advised 1998 study from 0.76 cents to 27.33 cents, that is, by to rely on Barschall's study to the exclusion of all a factor of about 36. In 1988, Barschall found that other considerations in making purchasing these costs for his sample varied between 0.39 cents decisions.' and 31.00 cents, that is by a factor of about 80. And though the German and Swiss courts also Also in physics, the cost/impact ratio in the 1998 ruled in favor of AIP/APS, the French courts, under study varied from 0.20 to 182.00 cents, that is, by a strict French comparative advertising laws, found in factor of about 910. In 1988, Barschall found that favor of Gordon and Breach. All rulings were appealed. these ratios varied from 0.063 to 54.00, that is, by a The German, Swiss, and U.S. courts have recently reject- factor of about 850. ed appeals by Gordon and Breach. An appeal in France Of the three fields, physics had the lowest average is still pending. cost per 1,000 characters (9.84 cents) in the 1998 Henry Barschall died in February 1997, six months study, 8% lower than the average for economics before the U.S. District court vindicated his work. (10.60 cents) and 40% lower than the average for The Barschall legacy is substantial. His studies neuroscience (13.83 cents). Lower costs per 1,000 thrust journal cost issues into the spotlight and spurred characters suggest greater cost effectiveness. libraries and library associations to concerted action. The studies also showed that a relatively inexpensive Neuroscience, on the other hand, had the lowest methodology could produce data of enormous power. average cost/impact ratio (7.69), 49% lower than the The lawsuits motivated by these studies, however, and average for physics (11.45) and 287% lower than the the repeated threats by Gordon and Breach against oth- average for economics (29.76). Lower cost/impact ers daring to criticize its titles may have had two differ- ratios suggest greater cost effectiveness. ing impacts. On the one hand, some librarians may feel The last two findings suggest that assumptions liberated by the recent court rulings to conduct and about the low cost effectiveness of STM (science,

15 ARL 2 0 5 AUGUST 1 9 9 93 ---CURRENT-ISSU S Continued

technology, and medical) journals in relation to One finding of the 1998 study was that differences journals in the social sciences and humanities between commercial and not-for-profit journals need to be tested carefully against the data. were less dramatic in physics than in either neuro- By the measures employed here, commercially science or economics (see the magnitude of differ- published journals in all three fields are signifi- ence figures in the accompanying table). cantly less cost-effective than journals published For the three fields covered, these cost effectiveness by not-for-profit enterprises. data complement and extend the local cost per use data The measure that Barschall found most persuasive that Wisconsin has been collecting for the past five as an indicator of cost effectiveness was the years. Together the data sets provide a strong, objective cost/impact ratio. Lower cost/impact ratios mean base from which to initiate discussions with faculty and greater cost effectiveness. In physics, the average inform judgments on journal cancellations. cost/impact ratio for commercial journals (14.61) Journal Cost Per Use Data is 1.77 times higher than the average ratio for non- The University of Wisconsin-Madison Libraries profit journals (8.23). In economics, the average received no new state funding for collections between for commercial journals (42.62) is about four times 1989/91 and 1997/99, and 6,000 journal subscriptions that for nonprofit journals (11.55). In neuro- were cancelled throughout the Libraries during that science, the average for commercial journals (8.69) time. As with many libraries, cancellations have is 13.63 times that for nonprofit journals (0.64). become virtually an annual ritual. In this climate of Also confirmed was Barschall's finding concern- chronic reduction, the University began gathering jour- ing U.S. and foreign publishers of physics jour- nal use data on a library-wide basis and, for the last five nals. By the measures employed here, physics years, produced cost per use statistical tables.' journals published abroad, on average, are signifi- While cost per use figures have never been the cantly less cost-effective than those published in sole basis for journal cancellations, these data have the U.S. been extraordinarily helpful in identifying potential

COST EFFECTIVENESS OF SELECTED JOURNALS IN PHYSICS, ECONOMICS, AND NEUROSCIENCE PUBLISHED IN 1997

AVERAGE MEDIAN Subscription Cost Impact Cost/ Subscription Cost Impact Cost/ Price per 1,000 Factor Impact Price per 1,000 Factor Impact (US $) Characters Ratio (US $) Characters Ratio (cents) (cents) (cents) (cents) A. Physics Journals Commercial (N=47) $2,539.83 13.83 2.13 14.61 $1,948.00 13.78 1.50 9.80 Nonprofit (N=46) $1,260.52 5.76 2.33 8.23 $1,011.00 3.29 1.83 2.50 Magnitude of Difference 2.01 2.40 0.92 1.77 1.93 4.19 0.82 3.92 All Titles (N=93) $1,907.05 9.84 2.23 11.45 $1,296.00 8.30 1.56 5.96

B. Economics Journals Commercial (N=75) $451.31 15.32 0.64 42.62 $ 355.00 14.30 0.49 27.03 Nonprofit (N=53) $97.17 3.91 0.96 11.55 $90.00 3.41 0.59 5.35 Magnitude of Difference 4.64 3.91 0.67 3.69 3.94 4.19 0.83 5.05 All Titles (N=128) $304.68 10.60 0.77 29.76 $174.50 7.62 0.56 14.46 C. Neuroscience Journals Commercial (N=63) $1,534.99 15.47 3.77 8.69 $838.00 15.54 2.20 6.92 Nonprofit (N=9) $431.11 2.38 4.49 0.64 $332.00 1.91 4.30 0.33 Magnitude of Difference 3.56 6.50 0.84 13.63 2.52 8.12 0.51 20.75 All Titles (N=72) $1,397.00 13.83 3.86 7.69 $756.50 14.01 2.47 5.57

University of Wisconsin-Madison Libraries, 1998

146 4ARL 2 0 5 AUGUST 1 9 9 9 cancellations for discussion with faculty. Such is their speedy document delivery and electronic versions of utility that they have been mounted on the Libraries' journalshas been of critical importance in the website and are freely available both on- and off- Libraries' success. Thus, often the trade-offs are dis- campus. In fact, what have become known as "the cussed in these terms: "Suppose we were able to pro- Wisconsin data" are used frequently by other libraries vide you an electronic copy of any article from this as they seek to open their own cancellation discussions journal, delivered to your desk, at no cost. Would that with faculty. be an acceptable alternative to our holding the print Though a routine part of operations now, the cost journal?" per use tables did not have an easy birth. On the tech- Though getting started can be quite expensive and nical side, there were many challenges, not the least of labor-intensive, says Pitschmann, the results of the ini- which was making sure that every journalevery tial expense have been well worth it. issue and every bound volumewas barcoded and Next Steps use-counts were properly aligned with variable receipt For the University of Wisconsin-Madison Libraries, and payment records. On the human relations side, according to Director Ken Frazier, there is no going there was the challenge of back to the old ways of allaying fears on the part of evaluating journals. The both faculty and library staff ...the high-cost journals cut journal cost effectiveness that the data would be used studies are part of a larger in mechanistic ways to force from the collection were so cultural change taking cancellations. After years of place within the use, stakeholders today rarely used and marginally University. These wonder how they could changes are evident in the have survived the last five significant in their impact that most recent annual report years without the data. of the University Library Tom Murray, Director of Committee.' Ten years they are neither missed nor ago, the faculty would the Wendt Library have been likely to (Engineering), describes the mourned by library users. demand that the Libraries basic data-gathering method: buy all "their" journals, all journal issues and no matter what the cost. volumes are barcoded; Today, faculty are not only supportive of the journal as items are reshelved after use, counts are made cost studies, they are taking a leadership role within by scanning the barcodes, with either a portable or their disciplines to demand changes in the scholarly stationary scanner; communication system. signs"lots of signs!"request that users not While librarians and faculty agree that cost alone reshelve journals and explain the use-study should not be the sole means of assessing the value of rationale; and journals, the accumulating data are compelling. The journals are picked up frequently throughout the measurable differences between journals in cost and day to accommodate heavy use. usage are huge. High-cost journals are not simply more expensive, they are ten, twenty, sometimes thirty, For Murray and Collections Officer Lou times more costly than the most cost-effective publica- Pitschmann, the cost per use data have helped them tions. The studies also confirm (as Henry Barschall avoid the huge crises weathered by other libraries. rightly observed) that the publications of professional First, they say, there is the power of the data them- societies are a relative bargain. Indeed, the Wisconsin selves. But beyond that, faculty see that the Libraries data show conclusively that nonprofit publishers are are using the best data available, consulting closely continuing to produce high-quality journals in both with them, and making decisions that simply make print and electronic formats at prices that are cost- sense. Wisely, the Libraries have not instituted specific effective for research libraries. cutoff points. If there is one, it is the cutoff point of Another consequence of the cost studies for common sense. They ask, Does it make sense for us to Wisconsin is that the journal subscriptions cancelled continue paying this high price to own a paper copy of during the 1990s will not be reinstated, regardless of this low-use journal, especially when alternative the future budget situation of the University of means of access are far less expensive? Wisconsin-Madison Libraries. Frazier notes that there In fact, the provision of alternatives to faculty are simply too many new information products that BEST COPY AVAILABLE7 ARL 2 0 5 AUGUST 1 9 9 95 CritimicTrIssurs .. Continued

are potentially useful and reasonably priced for librarians to spend much time looking back. The THE CORN-ELL JOURNAL PRICE STUDY Libraries' experience since the cancellations has gener- Latiate last year, Cornell University issued a journal ally confirmed that the indicators of the cost and use pricing report on the disciplines of agriculture studies were accurate. That is, the high-cost journals and biology.' Faculty in the College of cut from the collection were so rarely used and Agriculture and Life Sciences, and the Division of Biological Sciences, concerned about the ongoing need marginally significant in their impact that they are for journals cancellations, created an ad hoc task force to neither missed nor mourned by library users. gain a better perspective on the underlying problem. A During the 1999-2000 academic year, the total of 312 core titles in agriculture and biology were University of WisconsinMadison Libraries will con- identified and standard data were gathered on each title duct three additional journal cost effectiveness studies for the years 1988 and 1994. Interestingly, for the biology in chemistry, engineering, and another social science journals studied, the analysis showed no significant dif- discipline, probably education or psychology. The ference in average price increases between commercial concentration of high-use electronic journals in these and other types of publishers. The range of prices and disciplines is expected to provide the Libraries with the average price for commercial publishers were greater their first systematic assessment of the impact of digi- than those for other publishers but the average increases tal publishing on the cost effectiveness of journals. were comparable. Wider disparity was found in the The challenge will be to integrate Barschall's method- price increases of agricultural journals. For example: ology for measuring the cost effectiveness of print between 1988 and 1994, the prices of agricultural journals with new measures of usage for electronic journals, on a price per page basis, increased 64.7% information resources. for all titles, with commercial publishers at a high The cost effectiveness studies will be an enduring of 77.8% and with society and association legacy of Henry Barschall. The University of publications at a low of 33.3%; WisconsinMadison Libraries are working with the of the top 25 most expensive agriculture titles University of Wisconsin Foundation to establish an in 1994 as measured by cost per 1,000 characters, endowment account that will support the ongoing 24 were published by commercial publishers; work of "Barschall Fellows" in cooperation with the increases in the consumer price index (CPI) and School of Library and Information Studies. Professor decreases in the value of the U.S. dollar against Barschall would have been pleased by this commit- European currencies only account for a portion of ment, but, considering the tenacity with which he the price increases; for agriculture, 50% of the price investigated the cost effectiveness of journal literature, increase for commercial titles produced in he probably would have expected no less. Germany and the Netherlands could not be attributed to CPI and currency fluctuations; and 1 See Ann L. O'Neill, "The Gordon & Breach Litigation: A Chronology and Summary," Library Resources and Technical of the 88 agriculture titles published by commercial Services 37, no.2 (Apr. 1993): 127-33; and Leonard B. Sand, U.S. companies, slightly more than half were below the District Court, Southern District of New York, Opinion of August 1.0 impact factor and above the highest cost of the 26, 1997, 93 Civ. 6656 (LBS), 10-16. journals of other types of publishers. 2 Henry H. Barschall, "The Cost of Physics Journals," Physics Today 39, no. 12 (Dec. 1986): 34-36. The task force report concludes that, "There would 3 Ibid., 35. appear to be a disparity of pricing by select publishers 4 Henry H. Barschall, "The Cost-Effectiveness of Physics Journals," some of which can be localized to specific countries. Physics Today 41, no. 7 Uuly 1988): 56-59. These facts are indisputable and may not be dismissed 5Henry H. Barschall and J. R. Arrington, "Cost of Physics Journals: as a change in the U.S. dollar value."' The report A Survey," Bulletin of the American Physical Society 33, no. 7 (July- makes several suggestions for how the academic com- Aug. 1988): 1437-1447. munity can help address these problems, including the 6 The Institute for Scientific Information reports impact factors annually in its Journal Citation Reports. possibility of not submitting articles or providing edi- torial services to journals which have excessive costs, 7 Barschall, "Cost-Effectiveness of Physics Journals," 57. 8 take copyright unto themselves for profit, or restrict Barschall and Arrington, 1437. access to information by high subscription rates. The 9 Sand, 32. full report with tables may be found online at 10 These cost per use data can be accessed at: . . 11 This report can be found at: . 'Journal Price Study: Core Agricultural and Biological Journals (Ithaca, New York: Faculty Taskforce, College of Agriculture and Life Sciences, Albert R. Mann Library, Cornell University, November 1998). 2 Ibid., 25.

6ARL 2 0 5 AUGUST 1 9 9 9 48 OFFICE-OF-SCHOLA-RLY COMMUNICATION Mary M. Case, Director NIH PROPOSES E-BIOSCI searchable large database" and expressed its commit- Dr. Harold Varmus, Director of the U.S. National ment to participate in the development of E-biosci. (A Institutes of Health, has proposed the creation report of the meeting and a general statement by EMBO of a centralized electronic publishing site that can be found at < http : / /www.embo.org /index.html >.) would feature research reports in the life sciences. The The ARL Board of Directors unanimously endorsed site would include both peer-reviewed and preprint E-biosci in July. ARL has long spoken out against the reports available freely to the scientific community, as high prices and limited access created by the current sys- well as to the public. The project would be governed by tem of scientific journals publishing. E-biosci has the a board composed of authors, editors, computer special- potential to transform this system. ARL applauds Dr. ists, and funding agencies. Certified scientific groups Varmus for his willingness to carry out the wishes of the and publishers would be allowed to post peer-reviewed research community in the face of strong opposition. articles, and if they choose, e-prints, to the site. While 1 Harold Varmus, "E-BIOMED: A Proposal for Electronic Dr. Varmus and the other drafters of the proposal Publications in the Biomedical Sciences," 5 May 1999 (Draft), believe that authors should retain copyright to their 20 June 1999 (Addendum), . 2 Ibid. individual editorial boards to resolve. The proposal does state, however, that the "advisory board might...want to consider the possibility that some 'fair CANADIAN NATIONAL SITE use' policy should be adhered to by all journals partici- LICENSING PROJECT FUNDED pating in the system, even those that choose to retain The Canada Foundation for Innovation will provide copyright."' $20 million over three years to fund the Canadian Originally named E-biomed, the project is now National Site Licensing Project (CNSLP). The called E-biosci and has expanded beyond biomedical project is spearheaded by the Canadian Association of literature to include all of the life sciences. In the docu- Research Libraries (CARL) and will be administered by ment outlining the proposal, Varmus states: "In this the University of Ottawa. essay, we propose a system for electronic publication of The goal of the CNSLP is to dramatically increase new results and ideas in the biomedical sciences. We do the quantity, breadth, and depth of the most current this with the conviction that such means of publication research literature available to Canadian academic can accelerate the dissemination of information, enrich researchers. A national consortium of 64 Canadian the reading experience, deepen discussions among universities will negotiate with journal publishers and scientists, reduce frustrations with traditional mecha- vendors to obtain pan-Canadian site licenses for elec- nisms for publication, and save substantial sums of tronic versions of scholarly journals, mostly in public and private money."' scientific disciplines. E-biosci has come under fire from some publishers By uniting their efforts under the CNSLP, Canadian who believe that it would undermine the entire econom- institutions will greatly increase their buying power and ic incentive for publishing. Varmus acknowledges that will be able to negotiate better contractual terms for subscriptions may decline, but encourages societies to explore alternatives for raising revenue. He suggests access to a much larger body of published research. that the review process could be sustained by page In addition, the institutions will improve accessibility charges or submission fees paid by authors. In a recent through electronic delivery of research material, which meeting with the ARL Board of Directors, Dr. David creates the possibility of national digital library services. Lipman, Director of the National Center for The project funding from the Canada Foundation Biotechnology Information (NCBI) at the National for Innovation (CFI) comes from the Institutional Library of Medicine and a colleague of Dr. Varmus, Innovation Fund. The $20 million grant will cover about indicated that E-biosci is moving forward despite the 40% of the cost of the CNSLP, with an additional $30 opposition from publishers. Lipman noted that several million coming from regional or provincial partners and societies who had spoken out against E-biosci were now the 64 participating institutions. CFI is a corporation working with them. These ongoing discussions have established by the federal government to strengthen resulted in the evolution of the E-biosci concept. Canadian capability for research. Lipman also reported that Congress has requested For more information contact either Richard Greene, start date and budget information from NIH. University Chief Librarian, University of Ottawa, E-biosci is intended to be an international initiative. , or Tim Mark, Executive At a meeting on July 21, the European Molecular Biology Director, Canadian Association of Research Libraries, Organization (EMBO) affirmed its support for "a single .

49 ARL 2 0 5o AUGUST 1 9 9 9 SPA-RC Richard K. Johnson, Enterprise Director, Scholarly Publishing and Academic Resources Coalition

RECLAIMING WHAT WE OWN: replaced by tyros who made a lot of mistakes. Then, these were replaced by independent contractors. EXPANDING COMPETITION IN Chapman & Hall did not have to pay them any benefits SCHOLARLY PUBLISHING nor even to provide them any desk space. I would send by Michael L. Rosenzweig, Professor of Ecology & the manuscripts to a copyeditor who did not even live Evolutionary Biology, University of Arizona in London, let alone work for Chapman & Hall. That person handled further communication with authors The author is founder and editor of Evolutionary Ecology and with the typesetters (who worked in Bombay) and a Research, created in response to the escalating cost of a printer (whose plant was in Wales). After printing, Wolters Kluwer journal that he also founded and edited. The journals went to a mailing house with international following is excerpted from a longer address delivered to the offices. All Chapman & Hall did was collect and dis- Ninth Conference of the Association of College & Research pense the money. Your money. There was no risk Libraries held last April in Detroit. because, as you well know, subscribers pay in advance. Several commercial publishers have so emphasized Much later I discovered that ITC kept most of that the maximization of profit that they have restricted money for themselves. For example, in 1998, our jour- the flow of knowledge. In so doing, nal had some 400 subscribers worldwide. they have exiled themselves from the acade- All costs of producing and distributing the mic enterprise. If they actually produced journal amounted to less than $80,000. But that knowledge, maybe we could forgive subscription revenues were somewhere them. But library clients actually produce it, between $250,000 and $300,000. Chapman and taxpayers pay for almost all of it. & Hall never shared this information with Placing blame won't help. We are here me; I had to do a little research to obtain both to take back the hijacked cargo and to my estimates. But I assure you, they are protect it from future raids. To that end, I pretty close to the money! want to contribute the story of Evolutionary For a decade, prices are rising and I am Ecology and Evolutionary Ecology Research. I SCHOLARLY squealing my little head off. I doubt that it believe that our story has two kinds of value. PUBLISHING AND did much good, although I like to think I It illustrates much of the problem and it can ACADEMIC RESOURCES may have minimized the inflation of our illuminate a great deal of what needs to be COALITION journal's prices at least a bit. Basically done to solve it for good. however, I was powerless, absorbing lame In late 1984, I began working with a fine English excuses one after another. "Paper costs are up, mailing commercial publisher to create a new biology journal. is up; typesetting costs more; EE has more pages per Chapman & Hall was Charles Dickens's publisher, and year." All of these things were true, but they had little to Anthony Trollope's too. It had 150 years of proud do with the price increases. The truth rather lay in the accomplishments to its credit. And it was acutely aware unrestrained greed of profiteers who knew they had us of its dual role as profit-maker and disseminator of all locked in. How else can you explain a 275% markup knowledge and of culture. I never signed an agreement on goods paid for in advance? with Chapman & Hallour relationship was based And the publishers say they add value! Horse- entirely on old-fashioned trust. droppings. We add the value, you and I do. We add it Evolutionary Ecology started as a Smythe-sewn quar- as taxpayers. We add it with our hard scholarly labor terly of three signatures each issue. Libraries paid $100 and our dearly won library budgets that add the final a year and individuals, $35. element to valueaccess. We add the value. We sup- Then in 1987, Chapman & Hall suffered a hostile ply the raw material. We pay the copyeditors, the type- stock takeover at the hands of International Thomson setters, the printer, and the mailer. They merely handle Corporation (ITC). ITC paid threefold what others the money. And they have been taking much more than thought Chapman & Hall stock was worth. Why? a fair share at a 275% markup. That's the same as a Because they priced the stock based on what they 73.3% profit margin. Would you deal with a money- planned to charge for Chapman & Hall publications, not changer who demanded almost 75 cents of every dollar on what C&H charged. And ITC planned to charge a lot that you asked him to change into pounds sterling? more! My honeymoon with Chapman & Hall was over. Then, a year ago, the sky fell in. ITC sold Chapman Prices soon began to rise. Yes, the journal grew in & Hall to Wolters Kluwer. My dream of lower prices size. But the sewn-signature binding was replaced by changed from fantasy to foolishness. There was every the much cheaper perfect binding. And there were other reason to expect further price inflation. signs of cost cutting. Skilled employees left and were I had had enough. My editors had had enough.

ARL 2 0 5 AUGUST 1 9 9 9 We pleaded: Sell us to a university press. Please sell it is a target of opportunity. Buy it and get prices up to us. But Kluwer refused. So, guided through the where they can be. Taking full advantage is not illegal. uncharted desert by our fiery attorneya pillar of the It is simply good business. communitywe girded our loins, put sandals on our The homeostatic system implicit in our remarks is feet, took up our staffs and set out for the Sea of Red more complex and varied in its goals. It admits many Ink. We left the established journal to found a compet- stakeholders and sets up a checks-and-balances ing journal that is an affordable alternative: Evolutionary scheme to see that all are served. It views academic Ecology Research. publishing as a partnership among editors, authors, Kluwer could not believe it at first. But, once they publishers, libraries, and the public at large. We must did, they expressed a certain amount of displeasure. make it the ethical alternative. Then we must pursue a How could I blame them? I think they bought the three-C's policy toward those publishers who refuse to Brooklyn Bridge. They apparently believed they would cooperate with it: chastise them, castigate them, and acquire me, my editorial board, and all the backlog of censure them. Make it clear to academics that these unprocessed manuscripts on which we had worked so publishers are ethically suspect and that it is conse- hard. Our lawyers did not agree. Neither did our quently ethically dubious to publish anything with authors. About 90% decided to submit their manu- them, or to edit their manuscripts or to review for scripts to EER rather than to EE. We have to find a way them. to tell this part of the story to all academics. And we Thank you all again for all you have been doing. will. Publishers now claim far more rights than they Not just for EER, but for all your steady support of actually have. And most academics simply believe scholarship over the generations. them. In the complete paper, Dr. Rosenzweig gives his views on the burden of Internet-only subscriptions, at least until con- Foment freedom! I must tell you that academics cerns about archiving are addressed and journal authors have no idea what's going on. They do not know what have made an "emotional adjustment" to Internet-only jour- libraries are going through just now. They have no nals. The full address is posted to the ARL website at sense of what a publisher does or how inexpensive it is . to do it. They don't even know about their own rights and privileges. When it comes to publishing, they are an uninformed herd, fed, milked, and slaughtered at SPARC NOTES will. And happy to be of service! by Alison Buckholtz, SPARC Assistant Director, At first, you might feel daunted by the size of this Communications herd. But we need not start with the hundreds of thou- BioOne sands of yeoman academics who produce the manu- The product of a collaboration among SPARC, the scripts. We can target a much, much smaller group, the American Institute of Biological Sciences (AIBS), the several thousand editors who work alongside a few Big 12 Plus Library Consortium, the University of commercial publishers. Getting to them will not be so Kansas, and Allen Press, BioOne will provide Internet toughtheir names are already published in the jour- accessfor the first timeto a common database of nals they edit, and their snail- and e-mail addresses leading bioscience research journals. won't be that difficult to compile. They need to learn BioOne is committed to ensuring the viability of what is going on and how they can protect their high-impact, low-price society journals in the electron- authors and their professions from the restricted flow ic marketplace. Despite their significance in their of information that now plagues us. respective fields, few of the AIBS-affiliated journals are All this can amount to a homeostatic system. In available electronically. Without BioOne, these under- other words it can regulate itself. Now, in a sense, we capitalized journals are at risk of being squeezed out of already have a homeostatic system. But it is one that the market or taken over by commercial publishers. admits only stockholders as stakeholders. The devil BioOne is geared toward the needs of libraries. with dissemination. Forget about scholarship and the Together, libraries and society publishers will deter- world of the intellect. To blazes with the public's right mine pricing, policies, and development priorities. to access the information they have paid to create. Access will be available in early 2000. For more infor- Build profit. Make as much money as you can! Every mation about BioOne, see the SPARC website at paper is a virtual monopoly and if you can find a way . to own it, you can charge whatever the libraries can BioOne has been featured in Science (25 June 1999), bear to pay. If some publishing house still allows any Nature (24 June 1999), and the Chronicle of Higher of the outmoded values into its pricing system, terrific, Education (2 July 1999). 51 ARL 2 0 5 AUGUST 1 9 9 99 S Continued

Partner News demonstrated again its responsiveness to researchers' needs. A July article by Professor Graham Fleming Evolutionary Ecology Research (University of California at Berkeley) features full color 3D Evolutionary Ecology Research (EER) has adopted an "in interactive figures, while a recent article by Professor Jean- press preprint" feature for articles accepted for publica- tion. In an effort to be responsive to researchers eager to Pierre Hansen (University of Cambridge, UK) was pub- lished just 27 days after submission. see their articles published in a timely fashion, individu- als at libraries subscribing to EER can now read forth- PhysChemComm's new tutorial feature ensures that coming papers after they have been peer-reviewed but readers can make the most of the journal's web-enhanced before they have been copyedited and printed. This articles. The tutorial explains the mouse or keyboard com- makes the article available as an "in press preprint" six to mands that readers may use to rotate molecules for closer eight months before it becomes available in polished inspection or change the appearance of figures to show dif- form in the journal. Authors of accepted manuscripts can ferent attributes. To use the tutorial, follow the link "New take advantage of this free service immediately. Twenty- to Electronic Journals?" on the PhysChemComm homepage five percent of EER's forthcoming papers are already at . accessible. To access EER's in press preprints, go to the The number of people registered with PhysChemComm's "Forthcoming Papers" section of EER's web site at free email alerting service is increasing every day. The ser- . EER's first vice, which is available for both subscribers and nonsub- five issues are now online, and the current issue is avail- scribers, is the best way to stay informed of developments able as a free sample. concerning the journal, such as details of published articles Several dozen ALA Annual Conference attendees as they appear, and also more general news about stopped by SPARC's booth to watch portions of PhysChemComm, such as editorial appointments. Those "Research for Ransom," the KUAT-TV segment that fea- interested can register for the service using the Royal tures the story behind Evolutionary Ecology Research. The Society of Chemistry's online registration form. journal was established by editor Mike Rosenzweig as an SPARC Membership Meeting alternative to more costly journals. If you would like a SPARC's first membership meeting, "Opportunities for copy of the videotape, please email Alison Buckholtz at Scholarly Communications: Crafting New Models," will . be held October 14-15 in Washington, D.C., immediately American Chemical Society following the ARL Membership Meeting. The SPARC The American Chemical Society (ACS), publisher of meeting is shaping up to be two days worth of energizing Organic Letters, the first journal developed through a part- advocacy training sessions, interactive brainstorming, and nership with SPARC, announced its second collaborative panel discussions that will equip members to communicate publishing venture with SPARC at the 218th ACS National SPARC's message on campus. Also, SPARC's publisher- Meeting, August 22-26. Crystal Growth and Design, a new partners will be present to discuss their progress and journal dedicated to publishing original research on the answer your questions, and SPARC's Scientific physical, chemical, and biological phenomena and Communities Initiative grant recipients will be processes related to crystal growth and design of new announced. For more information, see the SPARC materials, will debut in mid-2000. It will follow in the path website at . of Organic Letters, which launched in July 1999. ACS is the first major publisher to work with Australian Vice-Chancellors' Committee research libraries to offer journals at more accessible SPARC has received an endorsement from the Australian prices. Organic Letters and the forthcoming Crystal Vice-Chancellors' Committee. For more information, see Growth and Design are the first two of three journals . ACS will publish in collaboration with SPARC. Each New at SPARC journal features Articles ASAP (As Soon As Publishable), SPARC has appointed Julia Blixrud Assistant Director, a publishing system developed by ACS whereby full-text Public Programs. In this part-time role, Julia will represent articles are posted on the web as soon as they are SPARC at conferences, association meetings, university approved by the author. Articles ASAP appear on programs, and a number of other forums, where she will the web weeks before they appear in print. speak out about SPARC initiatives and the scholarly com- For more information, see the ACS website at . munications industry. To arrange a speaking engagement, contact Julia at . PhysChemComm In a related development, Alison Buckholtz, formerly PhysChemComm, the electronic-only journal focused on SPARC's Communications Manager, was appointed rapid publication of its peer-reviewed articles, has Assistant Director, Communications.

ARL 2 0 50 AUGUST 1 9 9 9 DIVERSITY De Etta Jones, Director of Diversity Initiatives

ARL WELCOMES THE LEADERSHIP LCD PROGRAM CLASS OF 2000 AND CAREER DEVELOPMENT Deborah Abston Haipeng Li Arizona State University Oberlin College PROGRAM CLASS OF 2000 Research Project: Training Research Project: The Role of In 1997-98, ARL launched the first Leadership and Academic Librarians in the Libraries in a Multicultural Use of Various Electronic Society: The Yunnan (China) Career Development (LCD) Program to enhance the Reference Tools Experience leadership skills and visibility of promising librari- Mentor: Carla Stoffle, University Mentor: Scott Bennett, Yale ans of color. The first class consisted of 21 participants of Arizona University representing a diverse combination of professional Stephanie Sterling Brasley Jian Liu UCLA College Library Indiana University experiences (years of library experience range from Research Project: Information Research Project: Electronic Fluency Journals in the Humanities three to seventeen years), cultural backgrounds, library Mentor: Jennifer Younger, Mentor: Joseph Branin, State settings, research interest areas, and academic back- University of Notre Dame University of New York at Stony Brook grounds. Since the closing of that inaugural Program in Xiaofei Chen June 1998,13 of the 21 (62%) participants have advanced University of Michigan Genette McLaurin Research Project: The New York Public Library within their institutions or accepted new positions with Management of Electronic Research Project: Educational increased leadership responsibility in the academic and Resources Related to Chinese Objectives and Potential for Studies Development of Electronic and research library community. Further, Program mem- Mentor: Jack Siggins, George Networked Information bers are assuming visible leadership roles in the local Washington University Resources in Africana Studies Mentor: Meredith Butler, State and national library communities through: Jerome UpChurch Conley University of New York at Miami University Albany mentoring the ALA Spectrum Scholars; Research Project: Fundraising for Libraries in Universities' Elena (Jeannie) Posadas Miller working to design and deliver the Spectrum Capital Campaigns Texas A &M University Mentor: James Neal, Johns Research Project: Science/ Leadership Institute; Hopkins University Engineering Reference presenting at national and international library and in the New Millennium Joseph (Bob) Diaz Mentor: Karin Trainer, Princeton higher education conferences; and University of Arizona University Research Project: Career Choices publishing their research projects in professional Minority Librarians Make Corey Murata Mentor: Kenneth Frazier, University of Washington journals and as book chapters. University of Wisconsin- Research Project: Environmental Madison Survey of Computing and Based on experience with and feedback from the Technology Support in ARL Karen Downing Libraries inaugural Program, several enhancements have been University of Michigan Mentor: William Gosling, Research Project: Did the Peer University of Michigan incorporated into the plans for the next LCD Program. Information Counseling The most significant programmatic improvement is the Program at the University Darlene Nichols of Michigan Influence University of Michigan development of a distance learning component to facili- Career Decisions of the Research Project: Did the Peer tate the ongoing sharing of information and resources Participants? Information Counseling Mentor: Emily Mobley, Purdue Program at the University of before, during, and after Institutes. Distance education University Michigan Influence Career will allow mentors, guest presenters, and ARL faculty to Decisions of the Participants? Deborah R. Hollis Mentor: Paula T. Kaufman, support the participants' project development and max- University of Colorado at Boulder University of Illinois at Urbana- Research Project: Where the Champaign imize learning from the Institutes. Other enhancements Colored Folks Are: A Look at include working with three new facilitators to build on African American Librarians inDajin Sun Management Yale University and go beyond the pilot program design; encouraging Mentor: Joan Giesecke, University Research Project: How Do more frequent communications between participants of Nebraska-Lincoln Research Libraries Provide Bibliographic Access to the and their mentors and home library directors; and Dawn Ventress Kight Digital Resources in Their developing an expanded LCD Program website for Southern University-Baton Rouge Collections? Research Project: Distance Mentor: Paul Kobulnicky, participant, mentor, and faculty interaction at Education and the Academic University of Connecticut Library . Mentor: Pamela Andre, National Judith A. Valdez In June 1999, ARL announced the participants of Agricultural Library University of Colorado at Denver Research Project: Training the 1999-2000 LCD Program. This group consists of Karen Letarte Librarians and 17 librarians, each of whom has already begun forming Southwest Missouri State Paraprofessionals in the University Reference Skills Needed to a mentoring relationship with the director of an ARL Research Project: A Quality Help Patrons with Disabilities library. The 1999-2000 participants are listed below, Analysis of the Program for Mentor: James F. Williams, II, Cooperative Cataloging BIBCO University of Colorado at along with their research project topics and mentors. Core Records Contributed to Boulder The initial Institute, when participants come together the OCLC Database Mentor: Nancy L. Baker, with faculty for a week of intensive programs, took Washington State University place this month. BEST COPYAVAIL ARLE ARL 2 0 5 AUGUST 1 9 9 911 ANAGEMENT'SERVI&ES-- Kathryn J. Deiss, OLMS Program Manager ARL/OLMS LAUNCHES NEW SPEC KITS FROM THE OLMS ONLINE LYCEUM INFORMATION SERVICES PROGRAM With three new courses scheduled for this fall, The OLMS Systems and Procedures Exchange ARL introduces the Online Lyceum, a web- Center (SPEC) publishes SPEC Kits to identify based learning environment integrating the expertise and encourage exchanges among acade- innovative use of technology with time-tested ARL and mic and research library staff. Kits contain practical OLMS program content. The Online Lyceum is a collabo- management information on how libraries deal with rative partnership between ARL/OLMS and Southern today's challenges. The subseries Transforming Illinois University Carbondale, Library Affairs Libraries (TL) focuses on libraries leading technological Instructional Support Services. change. For a comprehensive list of SPEC Kits, see The Online Lyceum is the outcome of the exploration . of options for distance education delivery of OLMS pro- grams, one of the key strategic priorities identified by Web Page Development and Management OLMS for 1999-2000. SPEC Kit 246, June 1999 Online Lyceum participants can work their way by Yaping Peter Liu, University of Delaware through the course content at their own pace. All courses Electronic Reserves Operations in ARL Libraries incorporate elements of synchronous (real-time) and SPEC Kit 245, May 1999 asynchronous communication among and between par- by Cindy Kristoff, Kent State University ticipants, facilitators, and learning resources. The Online Lyceum offers unlimited online contact with content Library Buildings: Renovation experts, both during and after the workshop. and Reconfiguration This fall's course offerings are: SPEC Kit 244, TL9, April 1999 Coaching for Performance, Sept. 27Oct. 15 by William G. Jones, University of Illinois at Chicago Participants will learn the key principles and techniques Service to Users with Disabilities of effective coaching to develop human resources. SPEC Kit 243, TL8, April 1999 Course facilitators/designers are: by GraceAnne A. DeCandido, Blue Roses Editorial Kathryn Deiss, ARL/OLMS Program Manager and Web Consulting DeEtta Jones, ARL Director of Diversity Initiatives Trish Rosseel, ARL/OLMS Program Officer for Library Storage Facilities, Management, Distance Learning and Services Mel Hawks, ARL/OLMS Organizational SPEC Kit 242, May 1999 Development Consultant by Jan Merrill-Oldham, Harvard University, and Jutta Reed-Scott, Consultant for ARL Training Skills Online: Facilitating Effective Learning, Oct. 12Nov. 19 The Gifts and Exchange Function This course will teach participants the basic concepts and in ARL Libraries methods of conducting training. Course facilitators are: SPEC Kit 241, March 1999 Kathryn Deiss, ARL/OLMS Program Manager by Catherine Denning, Brown University George Soete, ARL/OLMS Organizational Marketing and Public Relations Activities Development Consultant in ARL Libraries Trish Rosseel, ARL/OLMS Program Officer for SPEC Kit 240, April 1999 Distance Learning by Evelyn Ortiz Smykla, University of Alabama The Role of Assessment in Advancing Diversity Mentoring Programs in ARL Libraries for Libraries, Nov. 29Dec. 17 SPEC Kit 239, March 1999 Each participant will design a diversity program that fits their library's needs, examine methods to assess the pro- by Barbara Wittkopf, Louisiana State University gram, and identify a strategy for program implementa- The ARL Geographic Information tion. Course facilitators are: Systems Literacy Project DeEtta Jones, ARL Director of Diversity Initiatives SPEC Kit 238, March 1999 Martha Kyrillidou, ARL Senior Program Officer for by D. Kevin Davie, James Fox, and Barbara Preece, Statistics and Measurement Southern Illinois University at Carbondale Julia Blixrud, ARL Director of Information Services For more information about the Online Lyceum, contact To order copies of any of these titles, contact the ARL Trish Rosseel at or see . SPEC Kits: training/lyceum.html>. ISSN 0160-3582, $40 ($25 ARL members).

ARL 2 0 50 AUGUST 1 9 9 9 54 Lee Anne George, Program Planning Officer

RECENT GRANTS NEH Preservation & Access Program A number of governmmental agencies have recently awarded Recent awards from the NEH Preservation and Access grants to pursue research and other projects of importance to program include: research libraries and their users. UC-Berkeley: Digitizing Medieval Manuscripts and Creating a World Union Catalog ($341,040) and U.S.-U.K. Digital Libraries Projects Arrangement and Description of Bay Area Architectural The U.S. National Science Foundation and the United Archives: The First Bay Tradition ($421,874). Kingdom Joint Information Systems Committee UC-Riverside: Completion of an International Union announced the first projects to be funded under a joint Catalog and Bibliography of Early English Serials initiative on digital libraries. Six projects will share a total of almost $5 million over a three-year period. ($300,000). Chicago: Preservation Microfilming of Collections on Cross-Domain Resource Discoveryintegrated the History of Religion ($882,366). discovery and use of textual, numeric, and spatial data: University of California at Berkeley and University of Columbia: Conversion to Machine-Readable Form of Liverpool. the Avery Index to Architectural Periodicals, 1934-1976 HARMONYmetadata for resource discovery of mul- ($180,000/$20,000 match). timedia digital objects: Cornell University, University Cornell: Workshops on Digital Imaging for Libraries of Bristol, and the Australian Distributed Systems and Archives ($223,697). Technology Centre at the University of Queensland. Harvard: Preservation Microfilming of Collections in Integrating and Navigating ePrint Archives through the History of Science ($939,900). Citation-Linkinga three-way partnership to hyper- Hawaii: Preserving and Providing Access to the link the papers in the Los Alamos Physics Archive: Takazawa Collection on Social Movements in Postwar Cornell University, Southampton University, and Los Japan ($154,201). Alamos National Laboratory. Illinois-Urbana-Champaign: Illinois Newspaper Online Music Recognition and Searching (OMRAS): Project: Cataloging ($400,000). University of Massachusetts Center for Intelligent Maryland-College Park: Preservation Microfilming of Information Retrieval and King's College, London. and Improved Intellectual Access to the Gordon W. Emulation Options for Digital Preservationdevelop Prange Collection Newspaper and Newsletter Holdings: and test technology emulation as a method for long- Phase II ($200,000/$100,000 match). term access and preservation of digital resources: New Mexico: Online Archive of New Mexico University of Michigan and Universities of Leeds, ($328,649). Oxford, and Cambridge under the aegis of CURL New York Public: Arranging, Describing, Preserving, (Consortium of University Research Libraries). and Improving Access to the National Civic Federation The IMesh ToolkitAn Architecture and Toolkit for Records ($133,440) and Preservation Microfilming of Distributed Subject Gateways: the Internet Scout Latin American Collections ($944,571). Project at the University of Wisconsin-Madison, the Oregon: Oregon Newspaper Project: Cataloging and U.K. Office for Library Networking at the University of Microfilming ($600,000). Bath, and the Institute for Learning and Research Pennsylvania: Arranging and Describing the Leopold Technology at the University of Bristol. Stokowski Collection, 1909-77 ($62,720/$15,000 match). For information on this joint program see the JISC Pittsburgh: Preservation Microfilming of Bolivian website . Monographs ($219,388). Save America's Treasures South Carolina-Columbia: Preserving and Providing Recent awards from the White House Millennium Intellectual Access to the South Caroliniana Council under the Save America's Treasures initiative Photographic Collection ($106,778/$10,000 match). administered by the National Endowment for the Texas: Graduate Training for Preservation and Humanities include: Conservation of Library and Archives Materials Cornell: Conservation of Anti-Slavery Pamphlet ($250,000/$25,000 match). Collection ($331,000). Tulane: Arranging, Describing, and Creating Access to Illinois-Chicago: Preservation of Jane Addams Records Related to the Modern Civil Rights Movement Photograph Collection ($92,876). ($170,072). Princeton: Deacidification, Repair, and Rehousing of Virginia: Early American Fiction Project: Phase II F. Scott Fitzgerald Papers ($50,000). ($500,000). 55 ARL 2 0 5o AUGUST 1 9 9 913 AR-L-A-e-rrtv-m-Es Continued

HEA Title VI Grants electronic monograph-length texts as valid scholarly Eight projects were funded for the next three years by publication, by creating electronic texts of high quality the U.S. Department of Education under a new Higher in the discipline of history; 2) to promote collaboration Education Act Title VI program: Section 606, among ACLS, its constituent scholarly societies, univer- Technological Innovation and Cooperation for sity presses, and libraries in electronic publishing; 3) to Foreign Information Access. create the framework for a centralized, noncommercial, Digital South Asia Library: Center for Research electronic publication space; 4) to develop electronic Libraries, Columbia University, and University of publishing processes that will streamline production Chicago, to further a project part of the AAU/ARL and make the creation and dissemination of electronic Global Resources Program ($540,000). texts more cost-effective; 5) to establish the viability of Latin Americanist Research Resources Project: The publishing small-market, specialized scholarly texts in University of Texas at Austin, to extend the project part electronic format. of the AAU/ARL Global Resources Program ($300,000). Participating ACLS constituents are: the American Historical Association, the Organization of American Russian Periodical Index Digital Project: Indiana Historians, the Society for the History of Technology, University ($240,000). the Middle East Studies Association, and the American Overseas Digital Library: the American Renaissance Society of America. The university presses Institute for Yemeni Studies, on behalf of the American involved are: Columbia, Harvard, Johns Hopkins, New Overseas Research Centers ($525,000). York, Oxford, Rutgers, and Michigan. NYU Press, as The Digital Asia Library Initiative: University of publishing coordinator, will host the project's adminis- Wisconsin, in collaboration with Ohio State University trative office. Initially, the University of Michigan's and the University of Minnesota ($525,000). Digital Library Production Service (DLPS) will distrib- Global Window on China: University of California ute the electronic publications in this series. DLPS will Los Angeles ($300,000). work with the presses to develop formatting standards Central Eurasian Information Resource: University of and advise on development of the interface, searching, Washington ($300,000). access, and usage logging mechanisms. Accessing African Scholarly Journals: Michigan State For more information see . Other Recent Grants HONORS Center for Research Libraries, Columbia University, Frances Groen, McGill University, was elected University of Chicago, and the Triangle South Asia President of the Canadian Association of Research Consortium in North Carolina, were funded by the Libraries (CARL) for a two-year term. Department of Education (Title VI foreign language Hwa-Wei Lee, Ohio University, was named Dean training) to digitize dictionaries for each of the 26 of Libraries Emeritus upon his retirement in August. modern literary South Asian languages ($445,000). A new library building was named the Hwa-Wei Lee New York State Library's New Netherland Project Library Annex in recognition of Dr. Lee's outstanding received a grant of 50,000 guilders (approximately professional achievements. $25,000) from the Prins Bernhard Fonds of the Hannelore B. Rader, University Librarian, University of Netherlands to transcribe and translate from Dutch to Louisville, was presented with the ACRL Academic/ English the Council Minutes of 1656-1658, a record of Research Librarian of the Year Award for 1999. the earliest Dutch governance of the New Netherland colony. Maureen Sullivan, ACRL President and OLMS Organizational Development Consultant, was presented with ALA's 1999 Elizabeth Futas Catalyst for Change ACLS BEGINS E-PUBLISHING PROJECT Award. FOR HISTORY MONOGRAPHS The Canadian Tri-Universities Group of Libraries The American Council of Learned Societies (ACLS) University of Waterloo, Wilfrid Laurier University, will receive $3 million from The Andrew W. and University of Guelphwas presented with a Mellon Foundation to assist scholars collaborating regional "quality and productivity" award by the with university presses in the electronic publishing of Canadian Association of University Business Officers monographs in history. (CAUBO). The award honors the libraries' The new project has five major goals: 1) to foster Tri-University Group Data Resources electronic broader acceptance by the scholarly community of data service.

14ARL 2 0 5 AUGUST 1 9 9 9 56 TRANSITIONS Philanthropic Service Company (APS) as Vice President for Programs. University of CaliforniaSan Diego: Brian Schottlaender was appointed University Librarian, Carnegie Corporation of New York: Susan King suc- effective in September. He was previously Associate ceeded Avery Russell as Director of Public Affairs and University Librarian for Collections and Technical Program Officer. Services at UCLA. Committee on Institutional Cooperation: Barbara Center for Research Libraries: Donald B. Simpson, McFadden Allen succeeded Roger G. Clark as Director. President, announced his retirement effective National Archives of Canada: Ian Wilson, Archivist of October 29. Milton Wolf, Senior Vice President for Ontario since 1986, was appointed National Archivist of Collection Programs, announced his intention to Canada. retire on December 1. National Endowment for the Humanities: George Georgia Institute of Technology: Director of Farr, Director of Preservation and Access, was named Libraries Miriam Drake has announced her intention Acting Deputy Chairman of NEH; Jeff Field was named to retire in 2001. Acting Director of Preservation and Access. Kansas: Keith Russell is Dean of Libraries, effective ARL and SPARC Staff News August 9. He was previously Deputy Librarian, Summer of 1999 brought a number of staffing changes National Agricultural Library. at ARL and SPARC. In July, Martha Kyrillidou National Library of Canada: Roch Carrier, author resumed her full-time position as Senior Program and former Director of the Canada Council for the Officer for the Statistics and Measurement Program Arts, was appointed National Librarian of Canada. after completing a two-year Fulbright commitment in This fall, Mr. Carrier will assume the duties of Greece. Effective August 4, Julia Blixrud is working Marianne Scott, National Librarian since 1984. from Lawrence, Kansas, as Director of Information Ohio State: Joseph J. Branin was appointed to suc- Services. She is dividing her time among three pro- ceed William J Studer as Director of the University grams: ARL Information Services, ARL Statistics and Libraries, effective January 1, 2000, and pending Measurement Program, and a new role as SPARC approval by the Board of Trustees. Assistant Director, Public Programs. Tennessee: Aubrey Mitchell, previously Associate Trish Rosseel was appointed OLMS Program Dean, was named Interim Dean of Libraries, effective Officer for Distance Learning effective August 1. Ms. August 13. Rosseel came to ARL as a Visiting Program Officer last Tulane: As of July, Carlton Rochell, recently retired year and led the effort to create the ARL/OLMS Online Dean of Libraries at New York University, is Acting Lyceum. Melanie Hawks, Staff Development Officer Dean of Libraries and Academic Information for the University of Utah, began working one-quarter- Resources for the next year. time for OLMS on July 5 and will assist in designing the Online Lyceum's course Coaching for Performance. Wayne State: Robert Holley, formerly Associate Kaylyn Hipps was appointed Editorial Specialist on Dean of University Libraries, was appointed Interim July 1. A former Research Assistant at ARL while earn- Dean effective August 1. He succeeds Patricia Senn ing her MS in Library and Information Science at Breivik, who resigned to accept a position as Dean of Catholic University, she returns after holding library the San Jose State University Library. positions at the University of Virginia and the University Other Transitions of Oregon. Ms. Hipps assumes the editorial duties of American Library Association: Miriam Nisbet Karen Wetzel, who received her MS in Library and joined the Washington Office on August 16 as Information Science from Catholic University in Legislative Counsel. In the past, she served as December 1998 and resigned from ARL in June to accept Special Counsel for Information Policy at the a residency with the University of Massachusetts National Archives and Records Administration. Amherst Libraries. The Andrew W. Mellon Foundation: In July, In addition, five staff members were promoted in Donald Waters relinquished his position as Director recognition of their expanding responsibilities. The new of the Digital Library Federation at the Council on titles for these colleagues are: Mary Jane Brooks, Library and Information Resources in order to join Executive Officer; Alison Buckholtz, SPARC Assistant the staff of the Foundation as Program Officer for Director, Communications; Bradley Houseton, Scholarly Communication. On September 1, Communications and Marketing Coordinator; DeEtta Secretary Richard Ekman will leave The Andrew W. Jones, Director of Diversity Initiatives; and Dru Mogge, Mellon Foundation and begin work at The Atlantic Program Officer for Internet Services. 57 ARL 2 0 56 AUGUST 1 9 9 9 ARL: A Bimonthly Report on Research Library Issues and Executive Director: Duane E. Webster Actions from ARL, CNI, and SPARC (US ISSN 1050-6098) Editor: G. Jaia Barrett, Deputy Executive Director is published six times a year by the Association of Research Assistant Editor: Kaylyn Hipps Libraries, 21 Dupont Circle, Washington, DC 20036. Designer: Kevin Osborn, Research & Design, Ltd., Arlington, VA iN; 202-296-2296 FAX 202-872-0884 Subscriptions: Members $25 per year for additional subscription; Nonmembers$50 per year. Copyright: 1999 b the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may 07 cf) CALENDAR 1999 CD 15.7 CD September 16-17License Review and November 3-5 Assistant/Associate Librarian cr) Negotiation: Building a Institute O Team-Based Institutional crg Charleston, SC CD Process A) November 10-12Edgework Institute: Stimulating Dallas, TX A) Innovation in Libraries and rt September 24-25ARL/OCLC Strategic Issues Information Services Forum for Academic Library Washington, DC co Directors C November 11-13 Keystone, CO Electronic Publishing of Data Sets on the WWW CD September 27- Coaching for Performance Charlottesville, VA 0 cc October 15 ARL/OLMS Online Lyceum November 17-19 Course Library Management Skills Institute I: The Manager CD October 4-6 Training Skills Institute Atlanta, GA rt San Diego, CA 0-1 November 29- The Role of Assessment in 0 October 12-14 ARL Board and December 17 Advancing Diversity for Libraries aro1-d Membership Meeting ARL/OLMS Online Lyceum Course Washington, DC December 6-7 From Data to Action: An ARL October 12- Training Skills Online: Workshop on Strategies to A) cn November 19 .Facilitating Effective Learning Redesign ILL/DD Services 0 ARL/OLMS Online Lyceum Washington, DC N.) Course December 13-14CNI Fall Task Force Meeting CD October 26-29 EDUCAUSE '99 Phoenix, AZ Long Beach, CA 1L SPARC's first membership meeting, 1) October 26-29 Library Management Skills "Opportunities for Scholarly Communications: Institute II: The Management Crafting New Models," will take place on Process October 14 and 15,1999, in Washington, DC. Evanston, IL See .

5 8 BEST COPY AVAILABLE pm

I L 0

A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC THE AAU/ARL GLOBAL RESOURCES PROGRAM: BOTH MACROCOSM AND MICROCOSM

by Deborah Jakubs, Director, AAU/ARL Global ing reliance on electronic information, print book Resources Program, and Director, Collections Services, and journal publishing worldwide continues to Duke University Libraries expand dramatically. Accordingly, the strategies stablished early in 1997 with generous adopted to tackle the goals of the Global funding from The Andrew W. Mellon Resources Program are multiple and varied: Foundation, the Global Resources Program, providing seed money for an initial set of a joint initiative of ARL and the Association of six diverse regional projects (on Africa, American Universities (AAU), quickly set an Germany, Japan, Latin America, South ambitious course. Building on the achievements Asia, Southeast Asia); and findings of the ARL Foreign Acquisitions Project and the AAU Research Libraries Project, gathering information into a clearinghouse and responding to the crisis identified in Jutta on ARL libraries' linkages with institutions Cl) Reed-Scott's Scholarship, Research Libraries, and abroad; 4.4 Global Publishing (Washington: ARL, 1996), the building bridges to scholars who use inter- z U Global Resources Program has broad goals: to national materials, and to the scholarly improve access to international research resources associations to which they belong, in order o for scholars and students, especially through to develop a better understanding of the cooperative structures and new technologies, and research resources they need and how cf) to help libraries contain associated costs. The libraries can facilitate access to them; and cf) Program represents a multifaceted approach to a helping to create new models for recruiting complex problem that will only be solved through and training future area specialists who innovative strategies that require changes in have strong subject knowledge, initiative, behavior (individual and institutional), increased and the right skill set. reliance on a variety of partners, and a new The systematic identification of collection 0" system of financial incentives. The AAU has strengths of North American libraries will be shown a persistent interest in the issues affecting another important step toward the Program's full p_4rah research libraries, and recognizes in the Global implementation, and the launching of other area- Resources Program a model that may be broad- cr) and subject-specific projects as they are designed ened and applied to other areas of library is an ongoing objective. The overarching strategy acquisitions and access. for the Program is to scale up from the projects by The Global Resources Program selecting, from among the models they are testing, as Macrocosm the elements that will contribute to a comprehen- A globally oriented program is by definition sive, cooperative, distributed program of access to ambitious, especially when it is focused on infor- international resources, regardless of their format N mation and its dissemination. Despite an increas- or location. The eventual goal is to move beyond 5 9 AIM IAHSS-UE-ON-G-L-0.13A IV SOU Re-ES Continued

a set of discrete, area-specific projects to an intercon- by ARL and other proponents of the Program led to nected, globally oriented program in which "lead the authorization in 1998 of Section 606 of Title VI of institutions" provide users throughout North America the Higher Education Act. This new program, with both physical collections and access points to "Technological Innovation and Cooperation For diverse resources published in or relating to a given Foreign Information Access," is managed by the U.S. world area. Another long-term goal of the Program Department of Education and makes available $1 million essential for making the vision into realityis to per year in support of projects that utilize technology to develop a system of financial incentives that will gain access to resources that are not readily available in benefit a broad range of institutions, as well as sustain the United States. The recent competition for Section the Program well into the future. 606 resulted in three-year funding for a set of eight The Global Resources Program as Catalyst projects, including the Digital South Asia Library The six regional projects currently underway offer an ($180,000/year) and the Latin Americanist Research impressive array of approaches to addressing some of Resources Project ($100,000/year), both regional the most urgent information needs of scholars research- projects under the Global Resources umbrella. These ing individual world regions. These approaches range awards are notable for several reasons: both proposals from the creation of a web-based union list of sub-Saharan were submitted by ARL member libraries, on behalf of a African newspapers to an international document group of libraries (the Center for Research Libraries for delivery service between North American and German South Asia, and the University of Texas for Latin research libraries, from a Latin American table-of- America), and both attest to the success of the projects contents database with direct, user-initiated article thus far. Nearly all of the funded projects were initiated requesting capability to the digitization, in India, of by ARL libraries either independently or in partnership South Asian reference works and periodicals, and the with academic programs, most represent creative con- creation of an image database of Thai journal literature. sortial initiatives, and all promise digital access. In The full impact of the Program, however, extends addition to the two mentioned above, funded projects beyond this set of projects. For example, awareness of include: the factors that negatively affect the ability of libraries to "Russian Periodical Index Digital Project," provide the materials that users need, that litany of Indiana University ($80,000/year); pressures with which librarians are all too familiar, has "American Overseas Digital Library," the been heightened among faculty and within scholarly American Institute for Yemeni Studies, on behalf associations. Librarians with responsibility for one of the American Overseas Research Centers region of the world are finding common ground with ($175,000/year); those whose principal focus is another. The Overseas "The Digital Asia Library Initiative," the Offices of the Library of Congress are key participants University of Wisconsin, in collaboration with in many of the projects and are uniquely prepared to Ohio State University and the University of address directly the key issue of access through the Minnesota ($175,000 /year); expansion of the services they provide in Cairo, "Global Window on China," the University of Islamabad, Nairobi, New Delhi, Jakarta, and Rio de California-Los Angeles ($100,000/year); Janeiro. The Center for Research Libraries has launched the International Coalition on Newspapers (ICON), "Central Eurasian Information Resource," the an ambitious and much-needed effort to identify, pre- University of Washington ($100,000/year); and serve, and make accessible as wide a range of foreign "Accessing African Scholarly Journals," Michigan newspapers as possible. Collaboration with institutions State University ($100,000/year). outside North America, both formal and informal, has This new Department of Education program has been stimulated by the identification of reciprocal rela- stimulated the development of projects that bring tionships for collection development, interlibrary together librarians and faculty in creative joint undertak- lending and borrowing, and document delivery. In ings whose goal is exactly consistent with that of the short, the AAU/ARL Global Resources Program has Global Resources Program: to expand access to interna- been a catalyst in stimulating interest and action to tional resources through the use of new technologies. strengthen international library resources. Thanks to this additional platform for collaboration, new A New Department of Education players are entering the game, and efforts that are com- Title VI Program plementary to those of the Program are suddenly more An exciting new initiative that is linked to the Global in evidence. At present, the competition is only trienni- Resources Program was launched this year. Lobbying al, but even in its first year Section 606 has stimulated a 6 0 2 A R L2 0 6 O C T O B E R1 9 9 9 great deal of new thinking around issues of access to newspapers, or periodical indexes, for example. global information. This is, of course, all good news Nevertheless, the Program will only achieve its goals and for the Global Resources Program, for ARL, and for realize its full potential when participants take the diffi- AAU. The Department of Education's Title VI program cult steps of redefining collecting policies to focus on has long provided opportunities and support for local strengths and reallocating resources accordingly, campus-based language and area training; now, with while simultaneously moving toward a more inter- Section 606, that knowledge is supplemented by long- reliant network of research libraries. distance access to resources for research and teaching An emphasis on cataloging and preservation is about the areas, and the development of new inherent in all of the activities of the Global Resources technologies to ensure this access. Program. Without attention to rapid and long-term access to the materials that form the core of a distributed From Distributed Collecting collection, the Program goals cannot be met. With col- to Document Delivery lecting responsibility comes a commitment to make The initial focus of the Global Resources Program was on specialized materials available as rapidly as possible, cooperative collection development. as well as a commitment to This is arguably the necessary first preserve them. The Program will only achieve its step toward a distributed network A Next Step: of interdependent collections, and goals and realize its full potential Topical Projects yet the Program has since shifted when participants take the difficult In April 1999, the annual meeting of focus within some of the regional the American Council of Learned projects to concentrate on docu- steps of redefining collecting ment delivery. At first glance, this policies to focus on local strengths Societies (ACLS) featured a special session on the AAU/ARL Global would seem to be a major change; and reallocating resources Resources Program. Executive however, they are part and parcel accordingly, while simultaneously of the same theme. For years, at directors of area studies scholarly meetings of collection development moving toward a more inter-reliant associations and delegates to each librarians and other conferences, network of research libraries. organization, along with other inadequate document delivery and interested participants, responded interlibrary loan capability has been to a presentation about the Program pinpointed as a major obstacle to successful cooperative and expressed their views on its future development. collection development, whether it be on a relatively Comments revealed enthusiasm for the Program's goals small, regional scale, or at the national or North and means of achieving them, and conveyed several American level. Is it a chicken and egg dilemma? suggestions, as well. One of these ideas, which was Which comes first, the strong, distributed collections, or echoed at a June 1999 meeting of the Program's Director the ability to move items around quickly, efficiently, with Library of Congress staff, is to devise cross-regional and at low cost? Certainly, to gain faculty acceptance of projects that focus on a subject or topic rather than a a distributed collection it is critical to guarantee rapid geographic area. The environment, human rights, access to needed materials that are not held locally. migration, popular culture, ethnic studiesthese are And since engaging faculty as supporters of the premis- examples of areas of scholarship with a significant inter- es of the Global Resources Program and illustrating for national dimension, in which research requires access to them the potential of structured interdependence are a multiplicity of resources that may be ephemeral, diffi- among the Program's original goals, a focus on rapid cult to locate, poorly preserved, and undercollected in delivery of the resources they need seems logical. It is North America. A Global Resources project that takes a important to demonstrate to faculty that the Program topical rather than a regional approach would encour- and other cooperative collection-building structures will age links among library collections that are not based on expand access, not decrease it. They are gaining, not the traditional area studies model, that span national losing. boundaries, and yet still address the core challenges of An acute awareness of the importance of building the Reed-Scott book and the studies that preceded it. collections cooperatively still characterizes the Program, Such a cross-regional, topically oriented project although several current efforts focus on disseminating would benefit scholars who are conducting research on information about what is held where rather than on regions with which they were not previously familiar by orchestrating firm cooperative agreements. In order to highlighting resources that are "off the beaten path." It distribute responsibility for collecting, it is important to would also facilitate interaction among a wider group of know who has what, a need that has promoted the devel- collection development librarians, beyond the area stud- opment of projects to establish union lists of journals and ies specialists. A meeting of librarians and scholars is 61 ARL 2 0 6e OCTOBER 1 9 9 93 SPEetAtitSSU-E-ON GLOA-IL-RESOURCES Continued

being planned for late 1999 to identify and map strategic the Union List of African Newspapers (ULAN), the resource needs for the coming five to ten years and to Digital South Asia Library, and the Southeast Asian develop ideas for subject-based global projects. Journals Project. And these projects have counterparts abroad. For example, the digitizing of South Asian A Choice of Models materials is being carried out in India by staff at the To meet its broad agenda, the AAU/ARL Global Roja Muthiah Research Library (Madras) and the Resources Program has had to select initial projects Sundarayya Vignana Kendram (Hyderabad), and the and areas of concentration carefully. The first three, Technical Information Access Center (TIAC) in Thailand focused on Germany, Japan, and Latin America, were will play a role in the Southeast Asian project. The originally recommended by the AAU Research Latin American project will expand in collaboration Libraries Project's Task Force on the Acquisition and with a bookseller in Bolivia who has created a major Distribution of Foreign Language and Area Studies library for Andean studies. Materials. Three other projects, on Africa, South Asia, There are many nonaffiliated projects underway and Southeast Asia, were subsequently proposed by that bear a relationship to the Global Resources groups of bibliographers and received seed money Program, and it is our intention to learn about them, from the Global Resources Program. Proposals for give them visibility, and build connections between additional projects are welcome at any time, provided them and other related projects, when desirable and that they are cooperative in nature and offer expanded appropriate. Similarly, any distributed collection access to international resources development structure will take through the use of technology. advantage of existing consortia The regional projects, though and work in progress. Links focused very explicitly on a single among libraries and scholars, and country or part of the world, are nevertheless paving the way for the the active involvement of faculty in helping to imagine and antici- development of new models with pate future needs, will be critical potential applications beyond the immediate project. Both the to the Program's continued suc- German Resources Project and the cess. Just as important will be a practical vision of a new interde- Japan Journal Access Project are testing international document pendence among libraries. delivery systems, along with all The Global Resources that such systems entail: interfaces, Program as Microcosm payment mechanisms, communica- Although it has focused on projects tion among very different libraries, that expand access to international and user acceptance of the model. research materials, in many cases These projects have also created a vernacular resources, the lessons new common agenda for collection development and of the Global Resources Program are not limited to the interlibrary loan departments. Similarly, the kind of acquisition and distribution of foreign materials. The collecting agreements that are being devised within Program is also raising issues with broader, more gener- the "Distributed Resources" component of the Latin al implications. In this way, the Program contains a Americanist Research Resources Project can be extend- microcosm of the newest challenges and concerns for ed to other fields including, perhaps, the sciences. research libraries, issues that are not peculiar to area And the table-of-contents database that was estab- studies. These include, of course, the creation of lished four years ago as the central element of the cooperative structures for collection development and Latin Americanist project offers lessons for other fields document delivery services that are rapid, efficient, in which the capability to offer unmediated user and international. The Program is built on the need to requests for journal articles is desirable. Furthermore, discover ways to stretch budgets so that libraries collec- the table-of-contents database is an example, of a value- tively can offer access to more than they currently do added function that resulted from new thinking about individually. how to connect users with the materials they need. But in addition to these familiar topics, the Global The regional projects of the Global Resources Resources Program has called into question just what it Program also present collaborative elements that lend means to "build a collection." The Program has stimulat- themselves well to emulation in other areas. ed new thinking about service to users, especially those Partnerships with the Library of Congress and the who are remote but rely on specialized collections held in Center for Research Libraries are basic to the work of our libraries, and has shifted focus to a user-based model 4ARL 2 0 6 OCTOBER 1 9 9 9 C2 of distributed collection development and away from an progress in several interconnected areas: emphasis on amassing collections locally. Participation an understanding on the part of faculty that it is in large-scale collaborative endeavors requires a signifi- in their long-term interest for their university's cant commitment of staff time and energy, and this in library to have an interdependent relationship turn requires a re-thinking of the collection development with other institutions, so that someone, some- librarian's job description. The success of the Global where, is collecting the materials that they, and Resources regional projects would have been impossible their colleagues within North America, need; without the ideas, initiative, and action of a number the autonomy for collection development of area studies librarians. Such energy and creativity librarians to craft cooperative policies that share will continue to be prerequisites for achieving the responsibility for collecting and commit their goals of multi-institutional collaboration, whether inter- institutions to a particular set of areas, the will national or not. and authority to cancel journals that are widely The Transformation of held elsewhere in favor of more specialized Collection Development acquisitions in their areas of collecting responsi- How is "collection development" defined in these days bility, and the political sensitivity to explain when there is so much emphasis on access, and when these decisions to library users in compelling information may not even exist at all in a physical form? and convincing terms; Within the answer to this critical question lies the key to an acknowledgment of the critical role of one of the main challenges facing the Global Resources document delivery and interlibrary loan in Program: how to bring about a "behavior change" and making distributed collections feasible, and to motivate libraries to reallocate funds away from areas a commitment to invest in the redesign of that are well collected elsewhere in North American systems of access; libraries and to capture instead the materials that are the necessary determination and support for being collected sporadically and piecemeal, if at all. rapid cataloging of international materials, To achieve the goals of the Global Resources which will not only make these resources more Program, and any program based on cooperative collec- accessible to users but will also provide bibliog- tion development, we must view "collections" as a wide raphers with important information on holdings array of resources, some held locally but many found that may influence their acquisitions decisions; elsewhereeven outside North Americaand not nec- and essarily in libraries, or in print form. We do not need to own the physical object to consider it part of our "collec- a firm commitment on the part of library and tion." Technology makes it feasible to consider remote university administrators to a new vision of collections to be local resources as long as it is reason- interdependent collections, acknowledgment of ably straightforward for users to gain access to these the benefits of the strategy, and adequate, long- materials. It is apparent that university administrators, term financial support to continue building and faculty, library administrators, and collection develop- preserving the collections for which their insti- ment librarians need a new vision for their local library tution has accepted responsibility. collection, and new ways of measuring its strength as The Latin Americanist Research Resources Project part of a shared North American collection. is experimenting with distributed collecting responsi- It was a major step forward when the instructions bilities through its "Distributed Resources" component, for submitting proposals to the U.S. Department of in which each participating institution commits to redi- Education's Title VI National Resource Center program recting a minimum of either $3,000 or 7% of its mono- were amended to include, in the section documenting graphic budget for Latin American materials towards the strength of the library, information on access to an area of locally established collection strength. By resources and on cooperative programs instead of just a implication, they will rely on other Project libraries for pure volume count. It is not a simple task to adjust materials they will no longer be acquiring. Participants one's sights away from a local focus, away from estab- also agree to catalog these materials rapidly, and make lishing relative status by counting volumes and expen- them available through interlibrary loan. Through this ditures on campus resources. The Global Resources effort, which is voluntary (25 of the 43 member libraries Program forces a redefinition of "collections" if we are have elected to participate thus far, with several others to meet the needs of current users of our libraries and on the verge), the Project has reallocated more than anticipate those of future generations. $170,000, thus deepening access within North America Bringing about the change in perspective that is nec- and making available difficult-to-acquire materials. essary for distributed collecting to succeed will require Participating bibliographers have confirmed that,

6 ARL 2 0 6 OCTOBER 1 9 9 9 ssurorc -(atBA-t-iRIESOURCIES Continued through reallocation, they have been able to acquire collection development librarians and interlibrary loan items that enrich their local collections in areas of staff. ILL librarians are in an excellent position to help emphasis while also providing access to these materials identify where there may be gaps in local collections for users anywhere. In the division of responsibilities coverage. They are also key players in determining the among the participating libraries, based on local nature and usefulness of new document delivery mecha- strengths and local choice, nearly all countries are nisms that are at the core of enhanced access. Additional represented. Thus, the Project is demonstrating broad intra-institutional collaboration will flourish as cross- coverage and balance. regional projects are developed, and subject and area This element of the Latin American project is a studies bibliographers begin to work together to significant step towards strengthening North American implement and publicize the projects and to evaluate collections of Latin American publications. The Project their effectiveness. has succeeded in large part because it is allowing indi- Benefits to Researchers and Students vidual institutions to emphasize local strengths (thereby No one would deny that there is a genuine need for eliminating the tension between local program needs expanded access to international materials. Not only do and national-level commitments) and because it is studies confirm the decline in foreign acquisitions within focusing on materials that do not libraries, but anecdotal evidence generally receive high use. We are already functioning in an from scholars shows that they have An Expanded Role experienced frustration and some- for the Bibliographer interdependent system of access to times failure in their search for this An expansion and redefinition of information, but we have not yet information. To have seen a work the role of the collection develop- called it by its true name, or cited or otherwise to identify it and ment librarian, or bibliographer, has developed it in a rational way. yet not be able to locate or read it can been underway for some time as the seriously inhibit the research process. job has required more contact with This has been a frequent problem in the public and advanced technological skills. In the area studies, as faculty and librarians alike are aware, and Global Resources arena, bibliographers have the oppor- it will be alleviated by efforts underway within the tunity to serve as intellectual leaders in crafting new Global Resources Program. As we move along the path models for access and new structures for cooperative to full implementation, library users will discover that collection building. Rather than being marginalized, they have more and better access to foreign materials, bibliographers have become even more central to the although not necessarily on their own campuses. The success of complex international projects. They play a access may be through document delivery from another visible role in fund raising, including drafting proposals North American institution, or a library abroad; it may be and administering grants. Designing area- and subject- facilitated by a web gateway directly to the information specific projects to address the goals of the Global or to the data source. Whatever the means, the goal is to Resources Program also brings bibliographers together connect students and researchers with the international with faculty to think strategically about the variety of resources they need, and to alert them to the existence of future scholarly resource needs. Working with a much other resources of which they were perhaps unaware. broader definition of "collections" than ever before, bib- The interdependence of collections through distributed liographers are collaborating with colleagues at other responsibility offers a promising antidote to the declining libraries and in other countries to ensure that research ability of libraries to maintain comprehensive collections libraries are together providing access to the widest of foreign materials to meet the expanding needs of range of resources possible. The creation and mainte- scholars. nance of web pages with detailed collection descriptions One major obstacle remains the inherent conflict and links to many other carefully selected and vetted between local needs and a commitment to the larger com- resources is increasingly part of the bibliographer's job. munity. It is no secret that this apparent incompatibility As the Global Resources Program moves toward the of objectives has been the major logjam in the development identification of a network of lead institutions, bibliog- of truly functional cooperative collection development raphers' knowledge and experience will become even structures. Reflection on this topic, and on how to fulfill more important. the vision of interdependent collections, leads to a key The Global Resources Program has opened positive question: who are our users, and what are our responsi- new lines of communication within individual libraries bilities to them? If the response is that they are only each as well. The implementation of the regional projects, university's respective students and faculty, and that the particularly those with significant document delivery library must develop collections and services strictly to components, encourages a closer relationship between meet their needs, then we are lost. We are lost because ARL 206o OCTOBER 1999 we cannot satisfy all their needs locally. No library can. to costlier, high-use collections. The full benefits of the Excellent collections, efficient service, and easy access Program will become evident when the means of rapid are a source of pride for a library and the institution of international document delivery are in place, librarians which it is a part. However, our responsibility to pro- develop local collections while also focusing on consor- vide these resources extends beyond the walls of a single tial responsibilities, faculty and students experience institution to include researchers from elsewhere in expanded access first-hand, libraries become more North America and beyond who visit our collections, as predictably interdependent, and technology has been well as those remote users who access these resources fully utilized for worldwide access. The road is long, via the World Wide Web. We are already functioning in and the goals are ambitious, but the path is open. an interdependent system of access to information, but we have not yet called it by its true name, or developed The author would like to acknowledge the contributions of it in a rational way. Our local users regularly rely on over 20 collection development colleagues, from a variety of other repositories, and are accustomed to doing so ARL institutions, who responded thoughtfully and at length through a variety of means: interlibrary loan, document to a set of questions and issues distributed electronically in delivery, travel to collections, the goodwill of a colleague preparation for this article. Their many insights and ideas or librarian. And users at other institutions rely on our were invaluable, and demonstrate once again that the devel- resources in the same ways. To sustain an interdepen- opment of future collaborative Global Resources initiatives is dent distributed collection program in the long run, each in good hands. institutional commitment must lead to expanded access and other benefits for both local and remote library users. AAU/ARL GLOBAL RESOURCES Conclusion PROGRAM ADVISORY BOARD The impetus of the Global Resources Program is the Betty Bengtson, Chair Carole Moore need to acquire and/or guarantee access to as broad an Director of University Libraries Chief Librarian array of international materials as possible while they University of Washington University of Toronto are still available. The studies in the Reed-Scott book Barbara McFadden Allen Suzanne Thorin document in no uncertain terms that collections of for- Director Dean of University Libraries eign-language resources throughout North America Committee on Institutional Indiana University Cooperation have come to resemble each other more and more, as David Wiley libraries cut back on their acquisitions, particularly of Myles Brand Co-Chair, Council of National those materials that receive less use (but are nevertheless President Resource Center Directors Indiana University Director, Center for African important research resources). This narrowing of col- Studies lecting is happening, ironically, just when publishing is Jonathan Cole Michigan State University increasing worldwide. Primary attention to publications Provost and Dean of Faculties Columbia University from large cities, major editorial houses, and well- ex officio known writers has detracted from our collective ability John D'Arms President Deborah Jakubs to provide students and scholars with the full array of American Council Director, AAU/ARL Global resources they need. There is no reason why this pattern of Learned Societies Resources Program of acquisition, which is clearly detrimental to scholar- Director, Collections Services, Joe Hewitt Duke University ship, need continue in these days of electronic access Director of Academic Affairs and a widespread awareness of the benefits of collabora- Library John Vaughn tion. The challenge is to move from that point of aware- Associate Provost for Executive Vice President University Libraries Association of American ness towards the full implementation of a functional Universities cooperative structure, and to demonstrate to library University of North Carolina Duane Webster users what they stand to gain from a distributed system. Stanley Katz Professor of Public and Executive Director It is generally true that a significant percentage of Association of Research foreign-language materials are not in great demand International Affairs Director, Center for Arts and Libraries throughout North America. It is also true that the most Cultural Policy Studies successful cooperative collection development agree- Princeton University ments have been reached in area studies. Perhaps, just Hwa-Wei Lee as the issues raised by the Global Resources Program Dean of Libraries Emeritus represent a microcosm of the challenges facing research Ohio University libraries today, the models for cooperation the Program offers can be expanded from foreign-language materials BEST COPY AVAILABLE ARL 2060 OCTOBER 1999 SPECIAL ISSUEr-ON GtOBR-E-SOURCES Continued

THE CRISIS IN LIBRARIES' COLLECTION and beyond the library community. What unfolded during the Project was an exceptionally valuable COVERAGE OF GLOBAL PUBLISHING: collaborative process between ARL and the Association AN UPDATE of American Universities (AAU). The operation of the North American research libraries' collection coverage of AAU Task Force on the Acquisition and Distribution of global publishing output, once thought to be comprehensive, Foreign Language and Area Studies Materials in 1993-94 is declining. Each year research libraries in the United States provided ARL and AAU a unique opportunity to define and Canada, in the aggregate, are able to purchase a smaller new cooperative programs with the involvement of portion of internationally published materials than they did university and research library leadership. the year before. Based on the work and recommendations from Jutta Reed-Scott, Scholarship, Research Libraries, the AAU Task Force, ARL in partnership with AAU and Global Publishing (Washington: ARL, 1996) identified and launched three pilot projects on foreign publicationsprojects selected for their potential to ftthree years, the above quotation from the demonstrate the viability of implementing a program final report of the ARL Foreign Acquisitions of distributed, networked, coordinated collection AProject remains an accurate summary of the management for foreign research materials. In 1996, fragile state of North American research libraries' efforts with additional funding and ongoing interest from the to build collections supporting area studies and interna- Mellon Foundation, the two associations joined forces tional education programs. What has changed in the to create the AAU/ARL Global Resources Program, interim, however, is how libraries are using technology described fully in several articles in this issue of ARL. in cooperative programs to respond to budgetary pres- The Global Resources Program has sustained the sures and reverse the downward spiral of declining momentum of the original three projects and expanded foreign acquisitions. This article provides background its geographic reach by scaling up those projects as well on two projects that laid the foundation for the as seeding three new initiatives. AAU/ARL Global Resources Program and highlights Quantifying Trends in Global Resources the findings of an updated statistical analysis of Another dimension of the ARL Foreign Acquisitions overseas publishing and North American libraries' Project was data analysis to quantify trends in the avail- acquisition of foreign imprints. ability of foreign resources within North American Background research libraries. This is not a straightforward task, ARL's Foreign Acquisitions Project began in June 1991 given the complexities of the environment and the with full support from The Andrew W. Mellon inherent limitations of all available sources of data. Foundation. The first step for the Project was to develop With caveats that the data and analysis were neither a clearer understanding of the forces hindering North comprehensive nor definitive, the final report of the American research libraries' ability to build and main- ARL Foreign Acquisitions Project highlighted several tain collections of publications produced outside the key indicators in global publishing and in library hold- United States and Canada. The Project found that while ings of titles published overseas. First, world book nine factors contributed to the problem, at its heart was production outside North America, as reported to budgetary pressure. As each institution faced these UNESCO, was examined for patterns. Second, the demands for fiscal retrenchment, a frequent response OCLC database was analyzed for holdings of foreign was to cut back or eliminate less used foreign-language imprints in libraries. And third, due to the major material in favor of English-language resources. The acquisition role played by the Library of Congress, Project set out to explore whether this problem might be the foreign acquisitions of LC were examined. alleviated through the smart use of networks and infor- In preparation for this special issue of ARL, the mation technology. Were information technologies Foreign Acquisitions Project analysis was partially repli- mature enough to offer unprecedented opportunities for cated with updated data from UNESCO and OCLC (see rethinking global resources management and fashioning accompanying charts for updated representations of this cooperative strategies to ensure the success of aggregate data). The bottom line of the new analysis remains the holdings? same as when it was undertaken in 1995research From the outset, the goal of the Foreign Acquisitions libraries' collection coverage of global publishing output is Project was to develop recommendations for how declining. In addition, some new findings emerged to libraries could reverse this trend of declining foreign provide a better sense of how overseas imprints are imprints in their collections. It was clear that these rec- added to library collections. ommendations needed to be developed with the active One key lesson from the recent data analysis is that a involvement and support of stakeholders from within significant number of original foreign titles with older

ARL 2 0 6 OCTOBER 1 9 9 9 bb Change in 1988-1996 Imprints Cataloged as of July 1999 wftg.., MkArILtan InnI WON

0_10_0%O_30X VS1111111/1 61% Data not included Map by ESRI

Status of Foreign Imprints in Library Collections as of July 1999 100,000 (+100,000) 90,000 Imprint Date 1988 1990 1992 1994 1996 80,000

70,000

60,000

50,000 7 40,000 J

30,000

20,000

10,000

0 Africa Middle East E. Asia S. Asia S.E. Asia Lat. n E. Europe SrW. Europe Australia AmericaFormer USSR Source of data, page 9 In July 1999, the OCLC database was scanned for titles published imprint records entered by libraries outside North America will rise, outside the United States and Canada with imprint dates of 1988-1996. increasing the accessibility of these materials but also making it less These figures are not comprehensive because they are limited to the reliable as an indicator of library holdings in North America alone. A library holdings that are contributed to OCLC. Also, they are not final caveat about the data from the OCLC database scanthe figures limited to records from North American research libraries. As OCLC's for 1996 should be considered especially low because many of the membership continues to grow internationally, the number of foreign items with this imprint date are not yet cataloged. BEST COPY AVAIL Eic 67 ARL 206 OCTOBER 19999 SPEC-Mt-ISSII-E-ON-G-LOBAL-RESOURCES Continued

imprint dates are cataloged in OCLC yearly (see charts on However, when the new data are compared with the page 11). This pattern may be the result of cumulative overall book production figures provided by UNESCO, delays in acquisition, shipment, and processing of foreign there remains a decline in foreign acquisitions but not in materials, as well as backlogs in cataloging. Comparing the absolute numbers suggested from the previous data. the results of the 1995 and 1999 analyses of the OCLC The indicators that emerged from the updated sta- database shows that it takes more than five years for tistical analysis substantiate the importance of the goals many foreign imprint titles to be added to the database. of the Global Resources Program and the tests of new Another lesson from a comparison of OCLC's 1999 models that employ technology to maximize the aggre- database against the snapshot taken in 1995 is the sur- gate acquisition budgets for foreign materials. prisingly steady level of foreign acquisitions. The Importantly, the data also flag delayed holdings records decline in foreign acquisitions identified in the earlier for foreign publications as another issue that must be data was in great part caused by processing and cata- addressed before interdependent collection building is loging delays rather than by reductions in purchases. considered a workable substitute for local ownership.

Trends in Foreign Book Production

120,000

ImprintDate 1980 1992/93H1995/96 100,000 Li

80,000 .

60,000

40,000 li P

20,000 1

0 .11. _J .1. .11. Brazil China France Germany India Italy Japan Russia South Spain United Korea Kingdom

Trends in Foreign Book Production About the data source, page 10 The UNESCO Statistical Yearbook presents the most comprehensive Number of Books Produced data on international book output, but the listings are at times incomplete, the figures do not distinguish between research and 1980 1992/93 1995/96 non-research materials, and they include all published titles. They Brazil 16,000 27,557 U/A are, however, indicative of the growth in publishing worldwide and China 22,000 92,972 110,283 are included here to demonstrate general trends in some of the largest France 25,000 45,379 34,766 book-producing countries. Germany 69,000 67,277 71,515 India 13,000 15,778 11,903 About the charts, page 11 Italy 20,000 29,351 35,236 The following charts compare the 1995 and 1999 analyses of the OCLC Japan 40,000 35,496 56,221 database, which calculated libraries' holdings of non-North American Russia U/A 28,716 36,237 titles published between 1988 and 1994. The charts demonstrate that a South Korea 22,000 27,889 30,487 significant number of original foreign titles with older imprint dates Spain 27,000 41,816 46,330 are cataloged in OCLC yearly. United Kingdom 50,000 86,573 107,263 All charts were produced by the ARL Statistics and Measurement Program. U/A = unavailable Map on page 9 produced by the ESRI Schools and Libraries Program. 10ARL 2 0 6 OCTOBER 1 9 9 9 68 Trends in Cataloging Foreign Imprints in Library Collections Trends in Cataloging S. E. Asian Imprints

100% 100% Records Records as of 1995 80% as of 1995 80/0

Records Records Added 60% Added 60% 1995-99 1995-99 40% 40%

20% 20%

0% 0% Imprint Date 1988 1989 1990 1991 1992 1993 1994 Imprint Date 1988 1989 1990 1991 1992 1993 1994 Records as of 1995 290,549 282,141 268,984 244,143 293,961 222,921 114,382 Records as of 1995 5,223 5,176 4,447 4,229 5,422 4,355 1,394 Records Added 1995-9943,347 55,153 85,736 120,819 70,223 132,978 242,680 Records Added 1995-99 1,593 1,942 3,756 3,622 2,249 3,196 5,774

Trends in Cataloging African Imprints Trends in Cataloging Latin American Imprints

100% 100% Records Records L as of 1995 80% as of 1995 80%

Records Records Added 60% Added 60% 1995-99 1995-99 40% 40%

20% 20%

0% 0% Imprint Date 1988 1989 1990 1991 1992 1993 1994 Imprint Date 1988 1989 1990 1991 1992 1993 1994 Records as of 1995 6,025 5,534 4,638 3,450 4,385 2,551 738 Records as of 1995 22,072 19,935 17,636 14,544 19,990 13,692 5,252 Records Added 1995-99 1,712 2,192 3,300 4,230 3,251 4,585 6,220 Records Added 1995-99 3,260 3,961 6,272 9,403 5,523 11,032 20,579

Trends in Cataloging Middle Eastern Imprints Trends in Cataloging E. European and Former USSR Imprints

1009' 1009, Records Records as of 1995 80% as of 1995

Records Records Added 60% Added 60% 1995-99 1995-99 40% 40%

20% 20%

0% 0% Imprint Date 1988 1989 1990 1991 1992 1993 1994 Imprint Date 1988 1989 1990 1991 1992 1993 1994 Records as of 1995 9,431 8,478 8,356 6,407 9,343 7,342 4,333 Records as of 1995 28,118 26,592 23,517 15,689 22,223 14,647 3,936 Records Added 1995-99 3,319 3,521 6,317 6,288 4,151 6,975 10,344 Records Added 1995-99 11,252 11,871 15,679 21,190 12,156 22,527 33,498

Trends in Cataloging E. Asian Imprints Trends in Cataloging W. European Imprints

100% 100% , I I Records Records as of 1995 80% as of 1995 80%

Records Records Added 60% Added 60% 1995-99 1995-99 40% 40%

20% 20%

0% 0% Imprint Date 1988 1989 1990 1991 1992 1993 1994 Imprint Date 1988 1989 1990 1991 1992 1993 1994 Records as of 1995 38,373 37,933 35,148 28,919 38,788 26,170 8,109 Records as of 1995 156,659 156,004 152,948 151,601 172,795 142,928 86,219 Records Added 1995-99 11,668 12,620 17,527 25,521 14,061 22,213 37,581 Records Added 1995-99 8,028 15,516 27,347 42,649 19,556 44,896 103,432

Trends in Cataloging S. Asian Imprints Trends in Cataloging Australian Imprints

100% 100% I I I I Records Records as of 1995 80% as of 1995 80%

Records Records Added 60% Added 60% 1995-99 1995-99 40% 40%

20% 20%

0% 0% Imprint Date 1988 1989 1990 1991 1992 1993 1994 Imprint Date 1988 1989 1990 1991 1992 1993 1994 Records as of 1995 10,862 10,511 9,466 7,831 11,116 7,354 2,846 Records as of 1995 13,786 11,978 12,828 11,473 9,899 3,882 1,560 Records Added 1995-99 1,189 1,806 3,239 4,432 1,905 3,623 8,160 Records Added 1995-99 1,331 1,724 2,299 3,484 7,371 13,931 17,092

EIESTCOPYAVAILABLE ARL 206 OCTOBER 199911 SPECIAli-SS-UEON w tOAL K oOURCES Continued Editor's Note: The next two articles in this special issue The Union List of African Newspapers showcase the six AALI/ARL Global Resources Program he Africana Librarians Council of the African Regional Projects as well as the libraries worldwide that are I Studies Association (ALC/ASA) and the participating in these initiatives. The project descriptions Cooperative Africana Microform Project (CAMP) of are followed by an overview of selected international library the Center for Research Libraries (CRL) have initiated a programs that work with the Global Resources Program to project to create an electronic union list of Sub-Saharan strengthen scholarly access to global resources. African newspaper holdings. The Union List of African Newspapers (ULAN), a product of ALC/ASA and AAU/ARL GRP CAMP's Cooperative African Newspapers Project, will REGIONAL PROJECTS be accessible to researchers worldwide via the CRL website. ULAN will include newspapers published in The Southeast Asian Journals Project Sub-Saharan Africa in any format or language. Initially, ornell University, the University of Wisconsin, the project will consolidate holdings information for col- the University of Washington, and the Technical lections in the United States, but will later expand to Information Access Center (TIAC) in Bangkok are include holdings in Africa, Europe, and elsewhere. implementing a collaborative indexing project for ULAN will meet scholarly and research needs by pro- Southeast Asian journals on behalf of the Committee viding greatly enhanced access to African newspapers. on Research Materials on Southeast Asia (CORMOSEA). The AAU/ARL Global Resources Program provided Funding from the AAU/ARL Global Resources initial funding for this project. Program will allow these partners to enhance the index- Representatives of ULAN institutions first ing strength of the online Bibliography of Asian Studies for convened in Chicago on 30 October 1998 during the coverage of the 1970swhen indexing was weakand annual meeting of the African Studies Association. to add retrospective indexing of colonial-era journals At that time, the overarching goal of the project was published in English, French, and Dutch. reviewed and short-term priorities were established. Furthermore, the Project participants will establish a David Easterbrook, Curator, Melville J. Herskovits pilot project, based at the University of Washington, to Library of African Studies, agreed to chair the project index Thai journal literature. This pilot database will for the Africana Libraries Council. James Simon, CRL be searchable on English-language index terms and Program Officer for Area Studies, will manage CRL's transliterated Thai names. It will also include images of role in ULAN. Software has been selected, a project the partial text of each article, which will allow users to discussion list has been established, and the ULAN web view the original Thai text in the vernacular script. page has been created. Visit the ULAN website at Articles will be scanned and indexed at University of . Wisconsin, University of Washington, and TIAC. The For a draft ULAN search screen, see . articles from journals being collected under the National Libraries participating in ULAN: Cooperative Thai Program. Project participants will Boston University Indiana University index the articles scanned by CRL. TIAC will contribute University of California University of Kansas scanned images and indexing for government serials Berkeley Library of Congress that are not being received by a U.S. institution. University of California Michigan State University Los Angeles New York Public Library CORMOSEA members: Center for Research Libraries Northwestern University Arizona State University University of Michigan Columbia University Ohio State University University of California Northern Illinois University Hoover Institution, Stanford Ohio University Berkeley Ohio University University Center for Research Libraries University of Washington University of Illinois at Urbana- Cornell University University of Wisconsin Champaign University of Hawaii Madison Library of Congress Yale University Further information about ULAN is available from: David L. Easterbrook, Curator For more information, contact: Melville J. Herskovits Library of African Studies

. Judith Henchy Northwestern University Head, Southeast Asia Section 1935 Sheridan Rd. Box 352900 Evanston, IL 60208-2300 University Of Washington Libraries Phone: (847) 491-4549 Seattle, WA 98195 Fax: (847) 467-1233 Phone: (206) 543-3986 Email: Fax: (206) 685-8049 Email: 70 ARL 2 0 60 OCTOBER 1 9 9 9 The Digital South Asia Library Libraries have agreed to incorporate a tax-exempt he Digital South Asia Library (DSAL) is develop- overseas center for South Asian libraries. This center ing an Internet-based infrastructure for electronic will facilitate scholarly research on South Asia in all document delivery between North American and academic disciplines through improved preservation selected South Asian libraries. The project is index- of and access to the manuscript, print, and electronic ing journals and creating finding aids and other heritage of India, Pakistan, Bangladesh, Nepal, and reference materials to improve access to scholarly Sri Lanka. resources, first in English, Tamil, and Urdu. Direct Lead institutions in the Digital South Asia delivery of scanned articles will allow scholars to Library are the University of Chicago Library, consult these rare publications without traveling to Columbia University Libraries, and the Center for the South Asian subcontinent. Indexing and scan- Research Libraries, in partnership with the Roja ning are currently taking place in partner libraries in Muthiah Research Library (Madras) and the Madras and Hyderabad, India. Sundarayya Vignana Kendram (Hyderabad). Other The AAU/ARL Global Resources Program participating libraries are the members of the South provided initial funding for the DSAL. The project Asia Microform Project (SAMP), anda subset of recently received additional funding of $540,000 for SAMP membersthe members of the Urdu Research three years from the U.S. Department of Education's Library Consortium (indicated with an asterisk Section 606 program. below). Project activities include: Project participants: electronic indexing of 38,000 articles in Tamil University of British Columbia Library of Congress University of California University of Michigan* journals, 38,000 articles in Urdu journals, and Berkeley* University of Minnesota* 4,750 English-language journal articlesall University of California University of Missouri from the nineteenth and twentieth centuries; Los Angeles New York Public Library University of Chicago* University of North Carolina at creating electronic full-text versions of three University of Colorado Chapel Hill classic nineteenth-century South Asia refer- Columbia University* North Carolina State University ence books printed in roman characters; Cornell University Ohio State University creating electronic full-text versions of five Duke University University of Pennsylvania* Florida State University Syracuse University titles selected from the Official Publications Harvard University* University of Texas at Austin* of India; University of Hawaii University of Toronto providing global access to the project's new University of Illinois at Urbana-University of Virginia Champaign University of Washington* electronic resources via the Web; and University of Iowa University of Wisconsin* furnishing online information about contem- Kansas State University porary and historical South Asia, including full-text documents, statistics, digital images, For more information about the DSAL, see maps, and pedagogical resources for language , or contact: David Magier of Education. Director, Area Studies In the future, the project will expand to include a South Asia Librarian library in Nepal. Columbia University Libraries 535 West 114th Street Building on earlier support from the Global New York, NY 10027-7029 Resources Program, the University of Chicago, Phone: (212) 854-8046 Columbia University, and the Triangle South Asia Fax: (212) 854-3834 Consortium in North Carolina (Tri-SAC) received Email: an additional grant from the U.S. Department of James Nye Education for a three-year project to create and Bibliographer for Southern Asia disseminate electronic dictionaries. At least one The University of Chicago Library multilingual dictionary will be selected for each of 1100 East 57th Street Chicago, IL 60637 the 26 modern literary languages of South Asia. Phone: (773) 702-8430 The dictionaries will be digitized and made available Fax: (773) 753-0569 to readers by means of a searchable website, file Email: transfer protocol, or compact disc. Additionally, the University of Chicago, Columbia University, and the Center for Research 71 ARL 2 0 60 OCTOBER 1 9 9 913 SrEerAIL ISSUE-ON-GLOBA-L-RESOURCES Continued The German Resources Project has developed two projects designed to improve the The German Resources Project focuses on improving sense of community among Germanist catalogers in access to German-language materials for scholars in ARL libraries. The first project will result in the North America and fosters closer collaboration between publication of an online directory of Germanist North American and German research libraries, particu- catalogers. By the end of fall 1999, the Working Group larly in resource sharing and the development of digital will document Germanist bibliographic control collections. This project was among the three original specialists at Project libraries. Subsequent participation pilots of the AAU/ARL Global Resources Program, and in this directory will be solicited on relevant email lists. has received additional funding from The Andrew W. The second community-building project of the BCWG Mellon Foundation to bring together librarians from will create a web-based, annotated list of recommended participating libraries in North America with their German cataloging resources. This toolkit will include, colleagues in Germany. In a series of meetings at the but not be limited to, electronic resources and will be Library of Congress and the University of Gottingen, available winter 1999-2000. In addition to these two Project participants established an agenda and four projects, the BCWG is preparing a German translation working groups. of AACR2. The Project's action agenda includes creating a for- The Collection Development Working Group mal system of document delivery between German and (CDWG) has created a prototype for identifying strong North American libraries; harmonizing cataloging rules; German studies collections among Project libraries. coordinating standards for metadata development; pro- The goal of this initiative is to improve awareness of viding new collection development tools; and fostering German studies resources currently available in North collaborative digital library projects. The four areas America and to facilitate future cooperative collection addressed by the working groups are document deliv- development. The prototype includes contact and col- ery, digital libraries, bibliographic control, and collec- lection strength information on 15-20 Project libraries tion development. that are of particular interest to German institutions. The document delivery component of the Project This information will be added to the German WEBIS relies on GBVdirekt/North America, a powerful and website , which innovative document delivery service. (See lists German research libraries with special collecting ). focuses, thereby creating a virtual meeting place for Librarians in the U.S. and Germany have developed and subject specialists on both sides of the Atlantic. tested a North American web interface and accounting Participating libraries: structure for the document delivery system of the University of Adelaide University of Kansas Gemeinsame Bibliotheksverbund (GBV), a consortium University of Alabama Library of Congress University of Arizona Michigan State University of German academic libraries. A search interface makes Bowdoin College University of Michigan the holdings of many German academic and state Brigham Young University University of Minnesota libraries accessible and allows electronic ordering of Brown University New York Public Library multiple articles in a single session, transmitting each University of New York University request directly to the appropriate library. The California-Berkeley North Carolina State University University of University of North Carolina supplying library scans the article and sends the California-Riverside Northwestern University resulting image file as an email attachment to the University of California-Santa Ohio State University requesting library, usually within 48 hours. The typical Barbara Pennsylvania State University cost is $10 for a document of up to 20 pages. GBV and University of Chicago University of Pennsylvania University of Cincinnati State University of New York ARL jointly manage deposit accounts for North Cornell University at Albany American libraries and ARL administers billing. Duke University Texas Tech University The Digital Libraries Working Group (DLWG) is Georgetown University University of Toronto establishing a clearinghouse for digital projects and Georgia University University of Virginia project proposals. The clearinghouse will foster a wide Harvard University University of Washington Southern Illinois University University of Waterloo variety of digital library endeavors and bring them University of Illinois University of Wisconsin under the aegis of the German Resources Project, while Indiana University leaving the initiative for individual undertakings with the institutions involved. One of the goals of the German partners: clearinghouse is to attract a variety of funding sources Stadt- und Universitatsbibliothek, Frankfurt/Main Staats- und Universitatsbibliothek, Hamburg to Project efforts. A prototype clearinghouse is expected Niedersachsische Staats- und Universitatsbibliothek, to be available on the Web on 15 October 1999. Gottingen The Bibliographic Control Working Group (BCWG) Bayerische Staatsbibliothek 72 14ARL 2 0 6 OCTOBER 1 9 9 9 The German Resources Project website is available search by title or subject in English or Japanese. The site at . For more presents an alphabetical list of all titles or pre-selected information, contact the Project co-chairs: lists of titles covering history, language, and literature. Lou Pitschmann The service also permits users to mark titles to receive Associate Director for Collection Development email notification when new issues are added. and Management General Library System Document Delivery with Waseda University University of Wisconsin Waseda University Library, a large private university in Madison, WI 53706-2754 Phone: (608) 262-2795 Tokyo, and 18 North American Project members are Fax: (608) 265-2754 engaged in a yearlong pilot to test the use of OCLC for Email: interlibrary loan. The pilot began in November 1998. Requests are transmitted via the OCLC ILL system, John Van Oudenaren and participants are invoicing with the OCLC ILL Fee Chief, European Division The Library of Congress Management service to avoid the expense of converting Washington, DC 20540-4830 currency. Returnables are sent by airmail; copies via Phone: (202) 707-4543 Ariel. Fax: (202) 707-8482 Email: Document Delivery with the Association of National University Libraries (ANUL) The Japan Journal Access Project In conjunction with the NCC, the Project has embarked he Japan Journal Access Project seeks to expand on a second document delivery projectthis one with 1 access to research materials published in Japan and seven libraries in Japanese public universities. This to coordinate Japanese collection development activities nine-month project is limited to non-returnable copies in North American libraries. The initial focus is on of journal articles and book chapters. Japanese serials and newspapers. The National Participating libraries: Coordinating Committee on Japanese Library Resources University of Arizona* University of Illinois at (NCC) is a key cosponsor of this AAU/ARL Global Brigham Young University Urbana-Champaign* Resources Program project, which has four major University of California Indiana University activities: Berkeley* # University of Kansas University of California Library of Congress* Union List of Japanese Serials and Newspapers Los Angeles Linda Hall Library The Union List of Japanese Serials and Newspapers University of California Massachusetts Institute of (ULJSN) is part of the East Asian Libraries San Diego* Technology Cooperative's Japanese Journal Information Web, a University of California University of Massachusetts Santa Barbara University of Michigan website developed by the Ohio State University Center for Research Libraries* New York Public Library Libraries Japanese Collection for the AAU/ARL/NCC University of Chicago # North Carolina State University # Japan Journal Access Project with supplemental fund- University of Colorado at Boulder*Ohio State University* ing from the Japan-United States Friendship Columbia University* # University of Oregon* # Commission and Honda R + D Americas, Inc. The goal Cornell University* University of Pennsylvania Duke University* # University of Pittsburgh*# of the ULJSN is to include all of the approximately University of Florida* University of Texas # 10,000 Japanese serial and newspaper titles held by Harvard University # University of Toronto* North American libraries. As of July 1999, the Union University of Hawaii* University of Washington # List included nearly 6,000 titles and detailed holdings of Hoover Institution, Stanford Washington University, St. Louis* 25 libraries, as well as URLs for those items that are University Yale University* available on the Web. Ohio State is exploring how the * = Waseda Document Delivery Project participant ULJSN may link via Z39.50 to the online catalogs of # = ANUL Pilot Project participant libraries that own the listed titles for up-to-date hold- ings information. For more information, see , or contact: The Japanese Journal Current Awareness Project Mary E. Jackson The Japanese Journal Current Awareness Project Senior Program Officer for Access Services (JJCAP), introduced in early 1999, is a web-based ser- Association of Research Libraries vice that permits users to browse the contents of 89 21 Dupont Circle Japanese journals and magazines included in the Union Washington, DC 20036 Phone: (202) 296-2296 List of Japanese Serials and Newspapers. The newest Fax: (202) 872-0884 component of the Japanese Journal Information Web, Email: the still-experimental browsing service permits users to BEST COPY AVA LA

73 A R L2 0 6 e O C T O B E R1 9 9 9 SPECIA-L ISSUE ON-et013AL S URCES Continued Latin Americanist Research Resources Project entire Latin American region. The total reallocated She Latin Americanist Research Resources Project is a amount has now surpassed$170,000per year. All par- cooperative initiative to expand the range of research ticipating libraries provide online bibliographic records materials available to Latin Americanist scholars and as quickly as possible, and also make the majority of students, and to enhance access to these resources by these materials available through interlibrary loan. distributing them via the Web. Forty-three libraries are Presidential Messages Project members, including the Felipe Herrera Library The complete texts of Argentine and Mexican of the Inter-American Development Bank, the first presidential messages are available in an image non-ARL library to join. The expansion of the Project to database hosted by UT-LANIC. The Project funded the Latin American institutional partners will be supported digitization of the presidential messages by OCLC's by a $300,000 U.S. Department of Education Title VI, Preservation Resources. View the presidential messages Section 606, grant awarded to the University of Texas at at . As one of the original pilot projects of the AAU/ Latin Americanist Research Resources Project ARL Global Resources Program, the Latin Americanist participants (Distributed Resources component Research Resources Project emphasizes the development participants noted with an asterisk): of cooperative models for improving access to resources produced in Latin America while containing costs. The University of Arizona* University of Miami* Brigham Young University* Michigan State University Andrew W. Mellon Foundation provided initial funding University of University of Minnesota for the Project; contributions from the participating CaliforniaBerkeley* National Agricultural Library libraries have matched and surpassed that funding. The University of CaliforniaLos University of New Mexico* Project consists of three components: Angeles* New York Public Library* University of CaliforniaSan New York University* Journals Table-of-Contents Database Diego* University of North Carolina The Journals Table-of-Contents Database contains infor- University of CaliforniaSanta University of Notre Dame* mation on more than 65,000 articles in over 400 journals Barbara Ohio State University* Center for Research Libraries Ohio University . from Argentina, Brazil, and Mexico. Coverage will soon Columbia University University of Pennsylvania* be expanded to include journals from other Latin University of Connecticut University of Pittsburgh* American countries. Most of the journals covered by Cornell University* Princeton University* the Database are not indexed in any other source. Dartmouth College Rice University Duke University* University of Southern Participating libraries share distributed responsibility University of Florida* California* for collecting the journals and for entering the tables of Harvard University (Harvard Stanford University contents for assigned journals into the Database using a College Library) * Syracuse University* web template. Hosted by the University of Texas at University of Illinois at Urbana- University of Texas Austin's Latin American Network Information Center Champaign University of Toronto Indiana University Tulane University* (UT-LANIC), the Database provides unlicensed, key- Inter-American Development Vanderbilt University* word access to journal tables of contents. Additionally, Bank, Felipe Herrera Library*University of Wisconsin users at participating institutions may electronically University of Kansas* Yale University* request photocopies of the articles indexed in the Library of Congress Database. Search the Database at . Research Resources Project, see Dan Hazen's article, Distributed Resources "The Latin Americanist Research Resources Project: The Distributed Resources component of the Latin A New Direction for Monographic Cooperation?" Americanist Research Resources Project is aimed at inARLno.191(Apr.1997):1-6, also available at strengthening the collective coverage of monographs . and other resources produced in Latin America. For more information, contact: Twenty-five participating libraries have agreed to com- Eudora Loh Chair, Project Advisory Committee mit at least seven percent of their Latin American mono- Latin American and Iberian Bibliographer graphic budgets to this effort. Each library reallocates its Charles E. Young Research Library funds to augment the existing base for an assigned col- Box 951575 lecting area of local emphasis. These fields are selected University of CaliforniaLos Angeles Los Angeles, CA 90095-1575 by the individual participants, but contribute to an inter- Phone: (310) 825-1125 connected network of assignments that together provide Fax: (310) 206-4974 enhanced coverage for "non-core" materials for the Email:

16ARL 2 0 6o OCTOBER 19 9 9 74 INTERNATIONAL LIBRARY PROGRAMS The Library of Congress Office in Jakarta: O acquires materials from Brunei, Cambodia, The Library of Congress Overseas Offices Indonesia, Laos, Malaysia, Philippines, he Library of Congress acquires materials Singapore, Thailand, and Vietnam; from around the world in all formatsbooks, O acquired 48,478 items for LC in FY98; periodicals, maps, music, prints, photographs, recorded sound, videos, etc.and in nearly all subjects O acquired 72,281 items for CAP participants in for its universal collection of human knowledge. The FY98; and Library's collections now total more than 108 million * participates in the AAU/ARL Global Resources items. Program's Southeast Asian Journals Project. Since 1962, the Library of Congress has maintained its Overseas Offices to acquire, catalog, preserve, and The Library of Congress Office in Nairobi: distribute library and research materials from countries O acquires materials from Angola, Botswana, where such materials are unavailable through Burundi, Cameroon, Comoros, Congo conventional acquisitions methods. These materials (Kinshasa), Djibouti, Eritrea, Ethiopia, Gabon, are distributed to other libraries and institutions Ghana, Kenya, Lesotho, Madagascar, Malawi, through the Cooperative Acquisitions Programs (CAP). Mauritius, Mozambique, Namibia, Reunion, Thanks to nearly 40 years of participation in CAP, Rwanda, Senegal, Seychelles, Somalia, many U.S. academic libraries have developed Swaziland, Tanzania, Uganda, Zambia, and unparalleled collections that support advanced Zimbabwe; research on developing countries. In fiscal year 1998, acquired 44,975 items for LC in FY98; the Library supplied more than 400,000 individual acquired 55,116 items for CAP participants in publications to 81 higher education institutions in the FY98; and U.S. and 10 academic institutions abroad. Between 1962 and 1986, 23 Overseas Offices participates in the AAU/ARL Global Resources were funded by Congress; all but six have been closed Program's Union List of African Newspapers because they are no longer needed. Those six offices project. continue operating in Cairo, Egypt; Islamabad, The Library of Congress Office in New Delhi: Pakistan; Jakarta, Indonesia; Nairobi, Kenya; New acquires materials from Bangladesh, Bhutan, Delhi, India; and Rio de Janeiro, Brazil. MARC records Burma, India, Maldives, Nepal, and Sri Lanka, as are prepared for materials acquired by all of the for- well as Mongolian and Tibetan materials pub- eign offices, and two officesthe New Delhi office and lished in several Asian countries; the Jakarta officemaintain large-scale micrographics operations for preservation microfilming. acquired 69,191 items for LC in FY98; acquired 197,096 items for CAP participants in The Library of Congress Office in Cairo: FY98; and acquires materials from Algeria, Bahrain, Cyprus, Egypt, Gaza, Iraq, Jordan, Kuwait, participates in the AAU/ARL Global Resources Lebanon, Libya, Malta, Mauritania, Morocco, Program's Digital South Asia Library project. Oman, Qatar, Saudi Arabia, Sudan, Syria, Tunisia, Turkey, United Arab Emirates, West The Library of Congress Office in Rio de Janeiro: Bank, and Yemen; acquires materials from Brazil, Guyana, Suriname, and Uruguay; acquired 4,694 items for LC in FY98; and acquired 22,323 items for LC in FY98; acquired 7,505 items for CAP participants in FY98. acquired 34,457 items for CAP participants in FY98; and The Library of Congress Office in Islamabad: participates in the AAU/ARL Global Resources acquires materials from Afghanistan, Iran, and Program's Latin Americanist Research Resources Pakistan; Project. acquired 19,156 items for LC in FY98; and For more information about the Library of Congress acquired 52,914 items for CAP participants in Overseas Offices, see .

75 ARL 2 0 6 OCTOBER 1 9 9 917 SPECIAL TSSUE-ON-GL-OBA-L-R-ESOUReErS Continued The International Coalition on Newspapers Gateway Service Center For American and British libraries began facing problems Chinese Academic Journals of crisis proportions concerning domestic newspa- In October 1998, the University of Pittsburgh East Asian pers in the 1950s, which resulted in the formation of the Library launched a demonstration Gateway Service United States Newspaper Project (USNP) in the U.S. and Center for Chinese Academic Journal Publications. The NEWSPLAN in Great Britain. The library community Center established and maintains the first global resource now confronts an even larger-scale crisis with foreign sharing and document delivery service between U.S. and newspapers held in major research libraries in the U.S. Chinese libraries. It delivers digital copies of Chinese- and abroad. Problems range from difficult access and language academic journal articles from six Chinese dismal bibliographic control to challenges of storage and libraries, via the Internet, to scholars throughout the preservation of these materials. United States. Through the Center, American library The International Coalition on Newspapers (ICON) patrons have free and easy access to Chinese-language was conceived to address this foreign newspaper crisis in journal articles otherwise unavailable to them. The libraries around the world. ICON is a multi-institutional project was funded by the United States Institute for cooperative effort to increase the availability of foreign Museum and Library Services (ILMS) through its newspaper collections by improving both bibliographic 1998-2000 National Leadership Grant. Because the and physical access to these resources, and to preserve program is underwritten by the federal grant, U.S. global cultural heritage through preservation of foreign scholars can use the service free of charge. In 1997, newspaper collections held in the United States and the Chiang Ching-kuo Foundation for International abroad. ICON's goals are international, collaborative, Scholarly Exchange funded a pilot study that led to long-term, and multiphased. the current project. The Center for Research Libraries (CRL), acting as the The research libraries in Asia that are partnering in managing institution for ICON, has begun implementing this undertaking include Peking University Library and a strategic plan for this cooperative effort. One of the first Tsinghua University Library in Beijing, Shanghai Jiaotong priorities for ICON is the development of a Union List of University Library and Fudan University library in International Newspapers, to be designed and maintained Shanghai, the Chinese University of Hong Kong Library, by OCLC. The initial Union List will contain over 25,000 and the Fu Ssu-nien Library of Academia Sinica in records of foreign newspapers held by charter members of Taiwan. These library collections are among the largest ICON, and will continue to expand over time. and finest Chinese-language collections in the world. In Simultaneously, ICON is employing a flexible coop- the past, American scholars had to travel to use those col- erative model to prepare several pilot preservation pro- lections; today, they can directly access a portion of those jects of foreign newspaper titles. Using the Union List as valuable materials through the Gateway Center. a tool for prioritization and selection, ICON will identify American library patrons can complete an online titles in need of preservation and pursue funding oppor- request form for the full text of Chinese journal articles tunities towards this aim. at the Gateway Service Center's website: . Once a University of notable collections of foreign newspapers to become char-Pittsburgh librarian has determined that the requested ter ICON members and take part in project activities, and item is not available from an American library, the would welcome inquiries about participation from inter- request is sent electronically to the appropriate Chinese ested institutions. ICON will also seek the involvement library. A librarian there will locate the material in their of key sectors of the information community: academic collection, digitize it, and send it electronically to the institutions, research and national libraries, scholarly and Gateway Center in Pittsburgh. Gateway Center staff professional societies, commercial publishers and micro- will then print the digital text and mail a hard copy of publishers, and funding agencies. the article to the requestor. Most patrons receive their For more information on ICON and its activities, requested items approximately one week after submit- please visit , or contact: For more information, contact: Milton T. Wolf Peter Zhou Senior Vice President for Collection Programs Head, East Asian Library The Center for Research Libraries 234 Hillman Library 6050 South Kenwood Avenue University of Pittsburgh Chicago, IL 60637-2804 Pittsburgh, PA 15260 Phone: (773) 955-4545 x334 Phone: (412) 648-8184 Fax: (773) 955-4339 Fax: (412) 648-7683 Email: Email:

18ARL 2 0 6 OCTOBER 1 9 9 9 7R RLG's International Perspective produced in cooperation with Cornell Serving an increasingly international membership, the University, focuses on digital initiatives with a Research Libraries Group (RLG) comprises research preservation component and on emerging prac- institutions dedicated to improving access to informa- tices in image conversion and digital archiving. tion needed by scholars. Although the majority of DigiNews is available at . association's membersincluding six national For more information, see the RLG website at librariesare in Australia, Europe, and Africa. , or contact: International collaboration permeates all RLG actions. James Michalko RLG advances international library activities in the President following ways: Research Libraries Group 1200 Villa Street RLG promotes international resource sharing Mountain View, CA 94041-1100 among members in Australia, the Consortium of Phone: (650) 691-2243 University Research Libraries (CURL) in the Fax: (650) 964-0943 United Kingdom and Ireland, the American Email: University in Cairo, and North America. CLIR's International Program Members develop protocols to accommodate ror the past decade, the International Program of the international traffic and expedite delivery. RLG 1 'Council on Library and Information Resources is building an "ILL manager" that supports the (CLIR) has focused its efforts on raising preservation complete ISO ILL and ISO 23950 (Z39.50) proto- awareness abroad and helping to identify methods and cols and interoperates with Ariel document strategies for dealing with problems of access to library delivery software. With the ILL manager, mem- and archival holdings. Often, CUR provides modest bers will be able to request and deliver docu- financial support that enables institutions to take the ments across platforms while tracking all transac- next steps in a preservation strategy. The International tions with all partners. Program's activities have included: RLG provides access to holdings of major The Program supports projects that translate European libraries in the same format as biblio- preservation literature into Portuguese and graphic records stored in the RUN union catalog. Spanish. In Brazil, CLIR's Portuguese translation Some resourcessuch as the European Register project led to a series of workshops held of Microform Masters, the Swiss National throughout the country, a nationwide preserva- Library's Helvetica Database, and the current cat- tion survey, and the formation of a national net- alog records from the national libraries of France, work to promote preservation awareness and Italy, and Spainare converted and loaded into improved conditions in Brazilian archives and the RLIN union catalog. Other resourcessuch libraries. The Spanish translations, conducted in as the CURL Union Catalogue, the Deutsche Venezuela, are serving as the basis for a broader Bibliothek Database, and the National Library of translation project in Chile. The Chilean project Australia Catalogueare accessed as needed will be supported by The Andrew W. Mellon through RLG's Z39.50 client gateway, with con- Foundation, and will be modeled on the version done on the fly. In January 1999, RLG Brazilian example to include workshops and a began providing free access to the Deutsche survey. Bibliothek Databases for all AAU/ARL German CLIR established the European Register of Resources Project participants who did not have Microform Masters (EROMM), in cooperation RLIN search accounts. with the Commission of the European Union. RLG offers centralized access to dispersed CLIR has also supported the subsequent creation archival collection guides, which can in turn link and contribution of records from Latin America, to digital materials. RLG's Archival Resources Russia, and Eastern Europe to the EROMM data- service, released in September 1998, indexes find- base. Since 1996, when RLG agreed to exchange ing aids stored on servers worldwide. records with EROMM, the database has rapidly RLG is developing best practices for long-term grown to its current size of 2.3 million records of retention of digital materials through a series of microform masters. EROMM is an excellent symposia and international working groups resource for preservation managers who wish involving RLG members. Additionally, RLG to avoid duplication of microfilming and for DigiNews, a bimonthly web-based newsletter scholars who seek access to materials. 77 ARL 2 0 6 OCTOBER 1 9 9 919 RESOUReES Continued

The Program supported a project at Fudan more than 900 libraries in South Africa to partici- University in Shanghai, China, to microfilm pate in cooperative cataloging and resource shar- more than 4,000 titles of Chinese-language ing using OCLC systems and services. monographs published between 1932 and 1945. In January 1999, OCLC launched the Cooperative Many of the titles were embrittled and most Online Resource Catalog (CORC) research pro- were unavailable in the U.S. The collection ject. Approximately 100 participating institutions includes titles in literature, history, philosophy, in five countries are using a system developed by law, economics, popular culture, and society, OCLC's Office of Research to extend the which are available for loan or purchase from WorldCat collaborative cataloging model to the the Center for Research Libraries. digital resources of the WWW. The research CUR sponsors international meetings among project is exploring the cooperative creation and scholars, librarians, archivists, and information sharing of metadata by libraries. Libraries use scientists to address issues in scholarly commu- prototype software to contribute to a new data- nication. These meetings have included the base of electronic resource descriptions. 1993 conference, "Preserving the Intellectual Automated tools speed subject assignment, Heritage," in Bellagio, Italy, and a recent meet- provide authority control, extract descriptors, ing cosponsored with the Library of Congress to and translate metadata from Dublin Core format discuss the state of library collections about to MARC. modern Greece. During a March 1999 workshop, the OCLC The Program sponsors preservation manage- Institute guided 41 librarians from 18 countries ment workshops in South Africa. in a highly interactive critical analysis of the CUR will continue to raise preservation awareness foundations of global cooperative librarianship. abroad while more actively seeking international part- The OCLC Institute, a recently created ners for cooperation on broader programmatic themes, educational division of OCLC, promotes the such as digital libraries, resources for scholarship, the evolution of libraries through advanced economics of information, and leadership. education and knowledge exchange. Recent international venues include Canada, Iceland, For more information, see the CLIR website at , Jamaica, Russia, Trinidad and Tobago, and the United Kingdom. or contact: Kathlin Smith In April 1999, OCLC and Pica Foundation International Program Officer announced the signing of a letter of intent that Council on Library and Information Resources could lead to the establishment of a jointly 1755 Massachusetts Avenue, NW, Suite 500 owned organization to better serve the European Washington, DC 20036-2188 Phone: (202) 939-4754 library community. Pica Foundation, a coopera- Fax: (202) 939-4765 tive not-for-profit organization based in Leiden, Email: Netherlands, provides cataloging, interlibrary loan, and local and end-user services to libraries OCLC Serves Libraries around the Globe in the Netherlands, France, and Germany. OCLC now serves more than 34,000 libraries in 67 countries and territories; more than 4,000 OCLC OCLC has met quality standards and has user libraries are outside the U.S. Through participa- received registration to ISO 9001, the tion in the OCLC cooperative, each week member International Standard for Quality Systems- libraries catalog more than 700,000 items and add over Model for Quality Assurance in Design, 40,000 unique records to the OCLC WorldCat data- Development, Production, Installation, and base. Servicing. Recent international initiatives include: For more information, see , In 1999, OCLC came to an accord with the or contact: National Library of Australia that will allow the Phyllis Bova Spies Vice President 1,300 Australian libraries using the National Worldwide Sales Library's new Kinetica resource sharing service OCLC to become full or partial OCLC members. 6565 Frantz Road In 1998, OCLC entered into an agreement with Dublin, OH 43017 Phone: (614) 764-6266 SABINETa South Africa-based provider of Fax: (614) 718-7323 online information servicesthat will enable Email: 78 20ARL 2 0 6 OCTOBER 1 9 9 9 MONEM1,

STRENGTHENING ACCESS TO article they identify in the UT-LANIC database. Requests are sent to the OCLC ILL Review file, where OVERSEAS LIBRARY COLLECTIONS ILL staff in the patron's library are alerted to review by Mary E. Jackson, ARL Senior Program Officer the requests, choose locations, and transmit the for Access Services requests to the first potential lenders. This linkage was interlibrary loan (ILL) and document delivery (DD) one of the first examples of transferring bibliographic services involving international trading partners data from an external citation database into the OCLC are playing an increasingly prominent and key role ILL system without re-keying the citation. UT-LANIC in several projects of the AAU/ARL Global Resources and OCLC have agreed to discontinue use of this pro- Program. Traditionally, collection development librar- prietary software by April 2000 and will use instead ians have been hesitant to rely on other libraries to the ISO ILL Protocol to transfer requests into the meet their users' needs, in part because interlibrary OCLC ILL Review file. The Project also established a loan was viewed as too slow, inefficient, and costly. goal of three working days for expedited turnaround Low fill rates, short loan periods, and restrictive and time. The expedited turnaround time provision inflexible lending policies of some libraries have also proved to be unnecessary because many institutions contributed to the view that ILL is not responsive offer such service voluntarily, so it was dropped from to user needs. There has been even less reliance on the second renewal agreement. collections outside North America for all of the above The Project is looking to expand its membership reasons and the added concern about potential loss in and document delivery opportunities by adding Latin the mails and the length of time that an item might be American partners. The first of these partners, a pri- away from its local collection. In the most fundamen- vate Bolivian library that is not an OCLC member, tal sense, the ILL/DD services being tested in the offers another opportunity to implement and test the Global Resources Program prompt a reexamination of use of the ISO ILL Protocol. these negative assumptions. The projects also reexam- ine, in an international context, the perennial dynamics Japan Journal Access Project between acceptable levels of ILL/DD performance Improved interlibrary loan and document delivery for (primarily turnaround time) and the range of costs for Japanese journals and newspapers is being advanced such services. Lessons from the ILL/DD components in three complementary ways in the Japan Journal of the projects will help us evaluate the extent to which Access Project. The first is increased access to North collection interdependence with overseas libraries is a American holdings of Japanese journals and serials viable strategy for strengthening North American via Ohio State University's East Asian Libraries access to global resources. Cooperative Web site at . The site provides access to the Union List of Access Project, and the Latin Americanist Research Japanese Serials and Newspapers, a list which includes Resources Project have strong ILL/DD components. nearly 6,000 titles held by 25 libraries or available on Each is designed to test whether North American the Web. libraries can provide their users with rapid and A second area of focus is the ILL/DD agreement reliable access to materials from other libraries or with Japan's Waseda University Library. Project suppliers, including those that are located in the participants have agreed to send ILL requests via country of publication. This is a significant shift from OCLC, articles via Ariel, books via airmail, and pay the more traditional approach of building strong and any lending fees using the OCLC ILL Fee Management deep local collections and relying on ILL for the (IFM) service. This ILL service is bidirectional occasional item from other North American libraries. Waseda may borrow from North American participants, and the North American participants Latin Americanist Research Resources Project may borrow from Waseda. The agreement, begun in The Latin Americanist Research Resources Project was November 1998, is designed to avoid the creation of the first of the Global Resources Program projects to special procedures or handling outside of the main incorporate an interlibrary loan component when it workflow of ILL operations. introduced an article ordering link between the A third component of the Japan Journal Access University of Texas at Austin's Latin American Project is a new agreement with the Association of Network Information Center (UT-LANIC) table-of- National University Libraries (ANUL), undertaken in contents database and the OCLC ILL system. The conjunction with the National Coordinating ordering link, based on OCLC's proprietary ILL Prism Committee on Japanese Library Resources (NCC). The Transfer software, permits individuals with access to nine-month, bidirectional pilot with seven Japanese the World Wide Web to initiate an ILL request for any public university libraries and ten North American

7 9 A R L2 0 6 ® O C T O B E R1 9 9 921 ----SPECIAIL-ISSUE-ON-GL013A SOURCES Continued

university libraries is limited to non-returnable journal American and overseas holdings of foreign language articles and book chapters. Documents will be trans- resources. mitted from the U.S. to Japan via Ariel and from Japan Patron Identification and Authentication to the U.S. as email attachments. Methods of request- A second issue is patron identification and authentica- ing materials, payment of lending fees, and copyright tion. As scholars, students, and others are offered the compliance are three key elements to be tracked and ability to initiate unmediated ILL/DD requests directly assessed during the project. from their desktops to suppliers without the re-keying German Resources Project or review of orders by ILL staff, library managers need The German Resources Project has taken yet a different to ensure that they are providing this service only to approach to ILL/DD services. North American partic- eligible patrons. A host of legal and financial issues ipants in the German project are being offered access prevent libraries from providing such a service to to the German GBV union catalog patrons without local interlibrary and several article citation databases. Although there is keen interest in borrowing privileges. Early expe- The service, GBVdirekt/North offering unmediated ordering, the rience in the Latin Americanist America, permits North American lack of patron identification and Project suggests that the ILL staff participants to order materials held are not encouraging their patrons by participating German libraries. authentication is requiring the to identify materials and place Initially, the service is limited to Global Resources projects to begin orders using the UT-LANIC/ articles sent as email attachments to with library-mediated services. OCLC link because of the lack of the requesting library. ARL has patron authentication. Currently, agreed to maintain deposit accounts for the partici- ILL managers are more worried about patron authenti- pants and to remit payment to Gottingen University cation than saving their staff time in processing Library for filled requests. Tested in the spring of requests. Perhaps the low volume of ILL transactions 1999, GBVdirekt/North America was made available transferred directly from UT-LANIC into the OCLC to all German Resources Project participants on 1 July ILL system reflects a service philosophy that encour- 1999. Project participants are beginning to explore ages patrons to use the UT-LANIC database for how to expand the service to include requests for searching but requires them to initiate ILL/DD books and other returnables, as well as how to offer requests via the traditional, mediated process. German libraries the ability to order books and articles The 1997-98 ARL ILL/DD Performance Measures from North American participants. Study confirmed the cost effectiveness of unmediated ILL/DD Barriers and Challenges requesting.' Although there is keen interest in offering Although most of these interlibrary loan and docu- unmediated ordering, the lack of patron identification ment delivery services are just getting underway, and authentication is requiring the Global Resources the projects have already identified a number of projects to begin with library-mediated services. The challenges, which are discussed below. Satisfactory German project faces further technical and policy solutions for these problems must be found in order to issues: the system used in the German project consid- permit international ILL/DD services to provide the ers the library as the user; if unmediated ordering required timely, efficient, and cost-effective alternative were offered, one individual would have access to to local ownership. the orders placed by other individuals within that institution, violating the principles of library patron Holdings Information confidentiality and individual privacy. Also, the Verifying the holdings of potential lenders is one of German project is not yet equipped to handle numer- the first steps of the ILL/DD process. The UT-LANIC ous deposit accounts or credit card transactions. database, the Union List of Japanese Serials and Newspapers, Waseda's loading of its holdings into ILL/DD Workflow & Locus of Responsibility OCLC, and the availability of the German GBV union With the initiation of these projects, several practical catalog all simplify the process of identifying potential issues have arisen that are specific to requesting and suppliers for these projects. However, these various receiving ILL/DD services from overseas suppliers. databases and union catalogs still represent only a por- Many North American libraries find it more efficient tion of the universe of relevant resources. The lead to use a single messaging system for all their ILL institutions in the various Global Resources projects transactions; for most, that is the OCLC ILL system. could play an important role by accelerating their cata- Requests sent or received via any other method may loging of relevant foreign language holdings as well as be treated as exceptions and are often handled outside by identifying additional information about North the normal workflow. This tends to delay those

22ARL 2 0 6a OCTOBER 1 9 9 9 8e requests and raise their cost for the requesting library. from efficient foreign suppliers, rather than exhausting For example, will ILL/DD staff receive sufficient North American resources before approaching a numbers of requests for German language articles to foreign library? remember how to order them from GBVdirekt/North Community Readiness America? The Global Resources projects are testing The challenge of providing timely and cost-effective models that use the OCLC ILL system, as well as non- delivery is a key element in encouraging global OCLC systems, for order placement and tracking. All ILL/DD. Use of RLG's Ariel electronic document of the projects are encouraging adoption of the interna- tional standard for interlibrary loan communication, delivery software, Ariel-compatible software, or email the ISO ILL Protocol, by the various ILL messaging attachments eliminates mail delays when sending systems. Implementation of the ISO ILL Protocol scanned copies of journal articles and book chapters. would, for instance, permit an The Global Resources projects may give us a better American library to use OCLC to sense of whether North American initiate a request that could be Are there reasons why North ILL operations and patrons are received by a German library via American participants should not ready and able to accept email attachments in lieu of documents GBVdirekt/North America. In that order first from efficient foreign sent via Ariel to ILL offices. way, both libraries would be able suppliers, rather than exhausting to use their messaging system of The expense of shipping choice. North American resources before books and other returnables over- A related question is, Which approaching a foreign library? seas is an additional issue raised library department should be by international ILL/DD. The responsible for ordering materials from overseas Waseda agreement requires par- libraries? Are there circumstances when area studies ticipants to ship items via Airmail Printed Matter, with bibliographers should place ILL/DD requests because the requesting library responsible for payment of the they have the language and subject expertise? Or, shipping fees. Will that arrangement scale? Even if when should those requests be handled by ILL staff libraries are willing to absorb shipping costs, some because they have knowledge of complex ILL policies remain reluctant to ship their own materials overseas. and procedures and may find ways to mainstream the The Waseda project seeks to minimize hydrophobia, or requests into ILL workflow, thereby minimizing the "the fear of shipping ILL materials over oceans," with costs associated with handling the requests? The the use of insured shipi-nents or carriers and the earn- Japan and German projects are testing both options. ing of trust among partner libraries. It is doubtful that the results will identify a single Managing the Financial Side strategy suitable for all libraries and circumstances, Another major challenge to global ILL/DD service is but the experience should provide insight into the the practical matter of managing the finances: it is pros and cons of each approach. imperative to find an efficient way to pay invoices for Choice of the Most Appropriate ILL/DD Supplier ILL transactions issued in different currencies. An All ILL/DD departments have developed preferred explicit assumption of several of the projects is that trading partners as the result of experience. In most libraries should not and will not waive their normal cases, these preferences reflect reciprocal agreements lending fees when filling international requests; that seek to balance benefits among all partners. The therefore, the projects are seeking ways to reduce the preferred trading partners of most North American expense of paying in different currencies. The Waseda academic and research libraries are other libraries in agreement to use OCLC's ILL Fee Management (IFM) North America. However, when it comes to borrowing service is very promising because the service aggre- foreign publications, should U.S. or Canadian partici- gates and mainstreams all OCLC ILL transaction pants exhaust all North American resources before invoices into a single statement, thereby eliminating initiating overseas requests, or should they instead be the difficulties of handling individual invoices, espe- encouraged to order from the supplier that provides cially those in a foreign currency.Unfortunately, the best and most cost-effective service? This is another OCLC's IFM cannot be used for non-OCLC transac- issue to be addressed in developing international tions. ARL's agreement to serve as the "banker" for ILL/DD programs. The German project is aiming for the German project is a short-term strategy to permit 72-hour delivery at a cost of approximately $10 per the Project to develop a viable long-term payment requestfaster and at a lower fee than many North method. Although the ANUL participants in the American library suppliers. Are there reasons why Japanese project agreed that payment of lending fees North American participants should not order first 1as one of the key elements to be tracked during the

BEST COPY AVAILABLE ARL 2 0 6 OCTOBER 1 9 9 923 SrEcIA-L-Issu-E-ON-6-toAHRESOURCES Continued pilot, no short-term payment option was found that through the more traditional, mediated ILL process? would meet the Japanese legal requirements for trans- What criteria should libraries enlist when attempting action-based invoicing. All participants agreed to to answer these questions? waive their lending fees for the duration of the pilot In the first six months of the document delivery project with the hope that a long-term solution to project with Waseda, six U.S. participants filled 23 charging will be found. requests for Waseda, and Waseda filled 19 requests for the U.S. participants. The volume of ILL/DD requests Copyright Compliance in all of the projects may be modest, but it parallels the Compliance with varying national copyright laws and findings from the ARL ILL/DD Performance Measures related regulations is another challenge to effective Study that suggest that international ILL/DD repre- international resource sharing. The German and Japan sents less than one percent of a library's total ILL/DD projects have identified copyright compliance, espe- traffic. With the exception of Germany, the regional cially regarding digital scanning of printed works, as projects represent areas of the world with which North an area that needs additional study. It is as yet unclear American interlibrary loan operations have had very whether German or Japanese libraries are permitted to little, if any, communication or exchange. Although scan materials using the Ariel software, or whether virtually all of the 119 participants in the Performance their national laws permit libraries to send materials Measures Study engage in international ILL, no partic- directly to end users. ipant indicated that libraries in Latin America, Asia, or A Different Kind of ChallengeAssessing Africa were their most common international trading the Experiments partners. The Global Resources projects may establish Effective interlibrary loan and document delivery new trading partners in those areas of the world, espe- services balance user expectations with sustainable cially as the projects expand to include nonNorth costs. The various projects of the Global Resources American participants. Program offer a wide variety of testbeds to find ways The scale of any single project may never be large of understanding and surmounting the challenges of enough to provide a definitive assessment of different trading with overseas libraries. These challenges arise approaches to ILL/DD services. While the Global from the fact that foreign libraries employ different Resources projects gain experience and grow, thought ordering and delivery systems, use different monetary needs to be given to identifying realistic indicators of currencies, are accountable to different copyright laws, their combined success and impact, perhaps via inter- and have significantly different traditions of lending views and focus groups with users of the service. policies. Evidence at this early stage suggests that merely quan- Assessing the results of the ILL/DD components titative indicators will likely underplay the potential long-term significance of the services. The ultimate of the Global Resources Program presents an addition- success of any or all of the Global Resources projects al challenge, however. The level of use of foreign might be demonstrated when the volume of borrowing language materials-in research libraries has never from a foreign country is equal to or even less than approached that of English language materials. The lending to libraries in that country. True reciprocal potential number of users, and therefore usage, may lending will result when foreign libraries rely on the grow with improved accessibility and awareness of distributed collections held by North American resources, but it is unrealistic to expect dramatic libraries as much as North American libraries rely on increases. This relatively low use is, in fact, one of the foreign collections. reasons these materials are vulnerable to elimination 1The ARL ILL/DD Performance Measures Study was a two-year from so many library collections in North America. effort to measure 1995/96 performance of ILL departments in Yet, they represent an essential component of a 119 North American research and college libraries. The Study, comprehensive research level collection. This charac- funded by The Andrew W. Mellon Foundation, examined four performance measures: direct cost, fill rate, turnaround time, and teristic adds to the challenge of evaluating new models user satisfaction. The Study also examined the differences among of ILL/DD services for these materials. libraries and identified characteristics of low-cost, high-performing How should participant libraries interpret a low ILL operations to suggest strategies for other research and college libraries to improve local performance. For more information about volume of use of a new service? How many requests the study, see . need to be exchanged for the projects to consider any new ILL/DD service to be successful? Is the UT- LANIC to OCLC link unsuccessful because fewer than 50 requests were transferred to the OCLC ILL system over a two-year time period? Or, is the database being used to identify materials that are then ordered 82 24ARL 2 0 6a OCTOBER 1 9 9 9 FROM INDEPENDENCE TO exceptions, restricted library initiatives effecting cooperative collection development to modest pro- INTERDEPENDENCE: SHIFTING portions. Dependence on remote collections is often ORGANIZATIONAL CULTURES resisted by the "organizational culture" of the library by Kathryn J. Deiss, OLMS Program Manager and of the institution of which the library is a part, a culture that by its very nature rallies to protect the The world finished for me on the day my Nautilus dived status quo. Based on these experiences, assumptions beneath the water for the first time. That day I bought my may be implicitly made that extending cooperative last books, my last magazines, my last newspapers, and I collection development agreements "too far" toward would like to believe that humanity has thought or written dependency on another institution is at best risky and nothing since then. at worst threatening to institutional identity and Jules Verne, Twenty Thousand Leagues under pride. the Sea (Captain Nemo to Dr. Aronnax) How can this ingrained and, in some cases, strategically conservative culture effectively adapt Captain Nemo closed the hatch not only on the and learn while navigating an uncertain immediate Nautilus but also on the very possibility that and long-range future? In essence, how can the the human species would produce anything of organizational culture of an institution such as an any consequence beyond the day when he took his academic library change? ship into the sea. The attempted in-dependence of What is Organizational Culture? Captain Nemo could be seen as folly even in the What is the nature of organizational culture? Will nineteenth centuryhe appears to have been the a greater understanding of it help us to overcome ultimate resister of change! In contrast, today, the some of the hurdles we face as we attempt to spark inter-dependence of individuals and institutions carries cultural paradigm changes in academic and research with it an urgency equal to Captain Nemo's, but with libraries? The concepts of social scientist and organi- a realization of the critical nature of shared problem zational behavior expert Edgar Schein help to answer solving in this complex and intellectually accumulat- these questions. Schein created a lasting definition of ing world. organizational culture in his seminal article Coming to At one time, libraries may have had the insular a New Awareness of Organizational Culture: perspective of Captain Nemocollecting for them- Organizational culture is the pattern of basic selves and for their immediate "universes." Now, assumptions that a given group has invented, however, libraries are working to alter their individ- discovered or developed in learning to cope ual and collective cultures for compelling reasons. with its problems of external adaptation and Paramount among these reasons is the realization internal integration, and that have worked well that user access to the world's cultural and intellectual enough to be considered valid, and, therefore, products is vulnerable if we rely solely on long- to be taught to new members as the correct way standing assumptions regarding our ability to build to perceive, think, and feel in relation to those local library collections that are largely self-sufficient. problems.' (Italics his.) In spite of the fact that we have come to some In each piece of this definition lie the clues to how sense of the need for broadened access and coopera- people in organizations work together both to protect tive collection development, libraries struggle to and perpetuate the culture of the status quo. If we change their internal cultures and struggle to develop dissect Schein's definition and apply it to the world understanding within their institutions' broader cul- of libraries and specifically to the world of collection ture of the benefits of shared collections and services. building, we may be able to see how the self-preserving Over the last twenty years of discussion and modest dynamic of organizational cultures operates. movement toward cooperative collection develop- A pattern of basic assumptions means an under- ment, the discourse was dominated by a tension stood set of assumptionsthe assumptions are between investing resources to amass broad and implicit not explicit. They are operationalized values deep local collections versus the budgetary realities and belief systems in that they drive choice, behavior, in a world of constrained resources. This tension was and actions within the organization. We need such fed from many directions. Overall, however, it was patterns so that we don't have to invent approaches the practical and political difficulties of providing to situations every few seconds. So, in relation to local library users with access to remote collections collection building, we have seen a pattern of (be they located across town or across a continent or assumptions surrounding what it means to be a ocean) that loomed large, and with a few notable "complete" library, a relevant and even a practical ARL 206 OCTOBER 1999 SPECIAL ISS-t-E-ON-GLOBAL-RESOUReES Continued

library; what it means to collect for future genera- preferably a comprehensive one. To maintain this tions; what kind of collecting is valued most at any cultural norm meant we had to admit little to no given time; etc. These assumptions have defined questioning of our assumed beliefs, values, and pat- research library collections and what they have to terns of behavior around what a library was, what a offer to the institutions and societies of which they library ought to hold, and what was required to make are a part. a library great. As Schein points out, patterns of assumptions, This led to the need, desire, and organizational such as the ones we have known in libraries, did not imperative to teach these patterns of assumptions to new just appearthey were invented, discovered, or were members as the correct way to perceive, think, and feel. developed by us and others who were in our libraries, This is neither a judgmental statement nor a pejora- our professions, and our universi- tive oneit is merely a neutral ties before us. So, after the estab- fact of organizational behavior. lishment of the first monastic order, It is clear that we have moved From a logical perspective this the first university, and after the beyond the now almost quaint teaching of new people joining invention of the Gutenberg press, "ownership vs. access" discussion the organization makes great the concept of a duplicable text or to an examination of how we mightsenseit is, in fact, an accultura- record of human thought was tion process that allows the invented. Not only did this new make strategic choices about organization to continue to do capability to have the same text in building collections in order to what it has always done and what many places at once serve society in develop our inter-dependencies is expected and demanded of it. immediate socio-political terms, it to the benefit of current and It appears, then, that the cul- signaled that it was possible to be ture of the organizations we call in-dependent of the one location future users. libraries is a very old pattern where the one text used to reside. indeed and that it has functioned In fact, it was possible to create multiple representa- and served well or it would have been eclipsed or tions of scholarly and nonscholarly texts all over the replaced much earlier. Now we are discovering, globe. This new concept was made possible by both inventing, and developing new ways of viewing the discovery and invention and then perfected through world and the roles of ourselves and libraries in it. the development of faster presses, better paper, ship- This has caused a seismic shift in our perspective of ping, etc. Here began a pattern of assumptions: not what is a useful pattern of assumptions in relation to to be dependent on remote places, to have all within our age. The concept of libraries as collections of arti- reachthis was now assumed to be a "good" thing, facts held in one place for a particular, largely local a signal of social health for an individual or scholarly set of constituencies, though still powerful and valid, community to build a library collection. is being tested as we are reminded of our inter- By inventing and discovering these new ways of dependence and the impossibility of a future of interacting with the output of human thought, we institutional and organizational in-dependence. were working toward external adaptation and internal This is not to suggest that we are at the point of integration. We were externally adapting to an envi- tossing out the whole pattern of assumptions we ronment in which it was not only inconvenient to have operated on for centuries but that that pattern is hang on to old ways of doing thingsriding a don- being painfully and thoroughly investigated by none key for miles to the nearest monastic library to read a other than ourselves. We have been driven to this act copy of Aristotle's Poetics, for exampleit was also of investigation and explorationwhich is, in turn, critical to work within a newly forming social norm: leading to new discoveries and adjustments to our that of local education and the belief that owning and patterns of assumptionsby what is known as dis- amassing books was both good and a mark of intelli- confirming evidence, i.e., evidence that tells us our gence (both personally and institutionally). We were stalwart pattern of assumptions will no longer hold internally integrating new discoveries into our daily without some adjustment. We come upon this lives and adjusting our values and beliefs to accom- disconfirming evidence almost everywhere we turn modate the new. (although each of us "sees" and assimilates its signifi- Thus we arrived at a point in more recent history cance on our own timetable, making for heated and where these new values and beliefs underlying the emotional debates on the need for any change). The pattern of assumptions worked well enough to be evidence comes by way of economic pressures and considered valid. It became impossible to consider a constraints, publishers' practices, changing patterns great (or even minor) university without a library of scholarly communication, new user demands, 26ARL 206 OCTOBER 1999 84 11f,

remarkable advances in technology, andI personally present opportunities for the assessment of new models hopeby our own internal urge to explore our curiosity of cooperation within an organizational culture. about what different assumptions could lead to for our Importantly, the report of the Association of American users. Universities' Task Force on the Acquisition and It is clear that we have moved beyond the now Distribution of Foreign Language and Area Studies almost quaint "ownership vs. access" discussion to an Materials proposed four broad points to be considered examination of how we might make strategic choices when measuring progress toward achieving the overall about building collections in order to develop our goals of a comprehensive collaborative program of inter-dependencies to the benefit of current and future foreign acquisitions.' The recommended goals are: users. Our pattern of assumptions has shifted from one o Research libraries in North America have restored and collection sufficient unto itself to a pattern that crafts are maintaining acquisitions of foreign materials at an inter-dependent network of collections for the good levels adequate to North American needs. of the user. Significant progress has been made in assuring Earlier in this issue of ARL, Deborah Jakubs effective and timely access to and delivery of foreign describes the AAU/ARL Global Resources Program as research materials. Specifically, campus networks and a microcosm of the array of new challenges confronting their electronic infrastructures have been developed research libraries, challenges not unique to managing sufficiently to support selective electronic resource collections of foreign language resources. In this con- sharing and that interlibrary loan services have been text, she questions what it means in the current environ- modernized. ment to "build a collection" and then articulates a new vision The projects have developed realistic financial of collections as a wide array of resources, some strategies that incorporate reallocation as a central held locally but many found elsewhereeven funding source. outside North Americaand not necessarily in Foreign area specialists and other faculty who libraries or in print form. We do not need to own routinely rely upon foreign language materials have the physical object to consider it part of our become convinced that the program is producing "collection."' improved access. The impact on users is a critical For some readers, those who have witnessed some factor. form of disconfirming evidence, this may strike them as an By proposing evaluation measures at this broad obvious statement of the new reality. For others, it may level, the AAU Task Force helped to define the scope be an explicit statement that expresses an intuitive of the Global Resources Program as a strategic operation hunch that had not yet been fully assimilated in their with opportunitiesand hurdlesthat reach far own thinking or plans. And for yet others, such a state- beyond the library and have implications for the ment may represent an unthinkable course of action. culture of the institution as a whole. Among the people using libraries and those working in The twenty-first century promises to be a time libraries and in the institutions they serve, there is a of increased global collaboration among all kinds of broad spectrum of readiness for change. That spectrum institutions; consequently, many individuals will need is narrowing as more people gain experience from more effective access to worldwide information projects testing the new environment. resources. By working together in the Global Resources In this context of trying to shift established Program to respond to global needs for improved organizational cultures within libraries and their information discovery and exchange of knowledge, institutions, the regional projects of the AAU/ARL libraries are furthering their mission of providing Global Resources Program may be viewed as foreign language content for coming generations. opportunities to accelerate the acceptance of change. They are also contributing to reshaping the For example, by demonstrating strategies that make organizational culture of the research institutions collection inter-dependence work well enough to be that support the arts, sciences, and humanities. considered valid, some of the hurdles presented by the I Edgar Schein, "Coming to a New Awareness of Organizational "old" organizational culture can be overcome. The Culture" in Sloan Management Review 26 (winter 1984): 3-16. more people who gain experience that convincingly 2 Deborah Jakubs, "The AAU/ARL Global Resources Program: Both demonstrates the workability of new models of Macrocosm and Microcosm" in ARL: A Bimonthly Report on Research cooperation both within and among institutions, the Library Issues and Actions from ARL, CNI, and SPARC no. 206 (Oct. faster the lessons learned from these projects may be 1999): 1-7. 3 Association of American Universities Research Libraries Project and institutionalized. Association of Research Libraries, Reports of the AAU Task Forces Evaluations of individual project experiences also (Washington: ARL, 1994), 27. 85 ARL 206 OCTOBER 199927 ARL: A Bimonthly Report on Research Library Issues and Executive Director: Duane E. Webster Actions from ARL, CNI, and SPARC (US ISSN 1050-6098) Editor: G. Jaia Barrett, Deputy Executive Director is published six times a year by the Association of Research Assistant Editor: Kaylyn Hipps Libraries, 21 Dupont Circle, Washington, DC 20036. Designer. Kevin Osborn, Research & Design, Ltd., Arlington, VA 202-296-2296 FAX 202-872-0884 Subscriptions: Members$25 per year for additional subscription; Nonmembers$50 per year. Copyright: 1999 by the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may TABLE OF CONTENTS AND HIGHLIGHTS

The AAU/ARL Global Resources Program: International Library Programs 17 Both Macrocosm and Microcosm 1 The Library of Congress Overseas Offices by Deborah Jakubs, Director, AAU/ARL Global The International Coalition on Newspapers Resources Program, and Director, Collections Gateway Service Center For Chinese Services, Duke University Libraries Academic Journals The [Global Resources] Program has stimulated new RLG's International Perspective thinking about service to users, especially those who CLIR's International Program are remote but rely on specialized collections held in OCLC Serves Libraries around the Globe our libraries, and has shifted focus to a user-based Strengthening Access to Overseas model of distributed collection development and away Library Collections 21 from an emphasis on amassing collections locally. by Mary E. Jackson, ARL Senior Program Officer The Crisis in Libraries' Collection Coverage for Access Services of Global Publishing: An Update 8 Lessons from the ILL/DD components of the [GRP The bottom line of the new analysis remains the same regional] projects will help us evaluate the extent to as beforeresearch libraries' collection coverage of which collection interdependence with overseas global publishing output is declining. In addition, libraries is a viable strategy for strengthening North some new findings emerged... American access to global resources. AAU/ARL GRP Regional Projects 12 From Independence to Interdependence: The Southeast Asian Journals Project Shifting Organizational Cultures 25 The Union List of African Newspapers by Kathryn J. Deiss, OLMS Program Manager The Digital South Asia Library Dependence on remote collections is often resisted by The German Resources Project the. "organizational culture" of the library and of the The Japan Journal Access Project institution of which the library is a part, a culture that Latin Americanist Research Resources Project by its very nature rallies to protect the status quo.

86 A BIMONTHLY REPORT ON RESEARCH LIBRARY ISSUES AND ACTIONS FROM ARL, CNI, AND SPARC THE IMPACT OF PUBLISHER MERGERS 00 ON JOURNAL PRICES:AN UPDATE' by Mark J. McCabe, Assistant Professor of Economics, Georgia Institute of Technology Near the end of 1997, Reed Elsevier and market definition depends on whether market Wolters Kluwer proposed a merger of power could be exercised by a hypothetical their operations that upset more than a monopolist in the defined market.3 few librarians. Elsevier's publishing "empire" In the case of publishing, the DOJ typically was about to grow even larger. The fear of run- assumed that products consisted of book or away academic journal prices was palpable in journal content and that the appropriate market places where the mere mention of the company's definition included books or journals containing name causes people to grab for their wallets. very similar content. So, for example, if two More than a year and a half later, much has publishers proposed a merger, antitrust officials changed in the academic publishing markets. would focus on the extent of overlap between the Although the proposed Elsevier/Kluwer deal companies' content. If the market definition sug- failed after facing regulatory scrutiny, consolida- gested that the two firms' share of a given market tion continues at a rapid pace. A half dozen major was "too" high, i.e., a postmerger price increase transactions involving science, technical, medical was likely, then a divestiture might be required; (STM), or legal publishers have occurred over if the extent of the overlap was large across the the past 18 months. At the same time, new firms' product range, the DOJ could sue to block web-based technologies are transforming the the entire transaction. Of course, since any jour- production and delivery of scholarly research arti- nal is at best an imperfect substitute for any other cles. These events have provided me with a journal, markets were defined fairly narrowly.4 unique opportunity to assess the economic behav- And because most companies' journal assets were ior of academic publishers and libraries, first at highly differentiated, most if not all mergers the U.S. Department of Justice (DOJ) and now as appeared to be harmless. As a consequence, over an Assistant Professor at Georgia Tech. Last fall I the past decade or so antitrust activity in the acad- reported some preliminary results from this effort emic and legal publishing markets has been very in ARL.2 My intention here is to briefly revisit that quiet. Even the controversial Thomson/West article and then describe my subsequent progress. merger in the mid-1990s resulted in few Traditional Merger Analysis meaningful divestitures. Normally, the most important issue in merger So when the Elsevier/Kluwer deal was analysis is determining the extent of the relevant proposed in 1998, the companies probably market. A narrowly defined market, where the anticipated little resistance from government number and type of products included is small, authorities in the U.S. or Europe. Although the makes it more likely that a merger of two sellers European Union would eventually register con- in this market is anticompetitive. Conversely, in a cerns about overlap among the two companies' broadly defined market the likelihood of harm is European legal products, their argument was not as great. For any given merger the choice of based on the traditional approach to publishing 87 ) trE5 Continued

TABLE 1. ISI-RANKED BIOMEDICAL especially among STM titles. In response, since their JOURNAL TITLES FROM MAJOR budgets were growing more slowly than journal prices, COMMERCIAL PUBLISHERS, 1998 many university libraries had been forced to re-allocate dollars from monographs to journals, to postpone the Titles ObservedPercentage of purchase of new journal titles, and, in many cases, to Published ISI TitlesPublished Titles cancel titles. As a consequence, libraries now need to Observed rely more often on interlibrary loans to satisfy faculty Blackwell 112 99 88% demands. However, the most interesting thing we Churchill Livingston* 17 12 71% learned from these discussions was that library demand Elsevier 262 225 86% for journals was unlike most markets. Given a set of Harcourt 118 109 92% similar titles, libraries do not subscribe only to the jour- Karger 45 39 87% nal offering the best value. Rather, journal cost per use Mosby* 27 25 93% is minimized across a broad field of study, e.g., biomed- Plenum* 22 20 91% icine, subject to a budget constraint. The result is a Springer 99 87 88% demand for a "portfolio of titles" where the cost-per-use Taylor 19 16 84% criterion is applied broadly. Thus, journal titles com- Thomson* 41 88% 36 pete with one another for budget dollars over an entire Waverly* 37 35 95% field rather than across a narrow subfield, as intuition Wiley 78 70 90% might otherwise suggest. Wolters Kluwer 112 98 88%

Totals 989 871 88% Testing the Portfolio Theory Based on this observation, we developed a portfolio Notes: 1. Observed data based on holdings for 194 medical libraries, theory of buyer and seller behavior in academic journal during 1988-1998 period. markets. Given libraries' demand for portfolios of titles 2. Major firms are those with at least 10 ISI-ranked biomedical within broad fields of study, we demonstrated in a journals. simple economic model that, all else equal, publishers 3.Firms marked with an asterisk (*) were acquired in mergers with other firms in the list during 1997-1998. set prices so that higher use (or quality) journals exhibit lower cost-per-use ratios. Thus, higher use journals (that have a lower cost per use) are purchased by most markets. The product market was defined narrowly libraries. Conversely, lower use journals (that have a in terms of content. In the U.S., where these foreign- higher cost per use) are purchased by fewer, relatively language legal treatises had no market, there was little high budget libraries.5 opportunity for a conventional antitrust case. If markets The intuition for this particular ordering is that were defined narrowly, STM journal content overlap higher use imparts a "cost advantage" that makes it between the two companies was fairly minor. more profitable for their publishers to price low and sell Rethinking Tradition widely. Given this strategy, lower use or "high cost" A characteristic of antitrust enforcement in the U.S. is journal publishers find it most profitable to price high that the population of staff attorneys and economists and sell to fewer, relatively high budget libraries. Note experiences a fair amount of turnover from year to year. that although the latter firms could match the "low Furthermore, even if an experienced crew is theoreti- cost" firms' prices, this strategy is less profitable than targeting the smaller base of high budget customers. cally available, they may have pressing commitments Using this model it is also possible to show, in some on other cases. This is both a strength and a weakness: cases, that mergers are profitable for journal publishers. a weakness because good ideas may need to be redis- A corollary is that the merged firm's journal prices covered (or at least learned anew) by a new staff; a increase. The idea here is that the merged firm is able to strength because the staff is more likely to adopt a fresh internalize certain pricing externalities that the merging approach when the staff has no strong prior beliefs parties fail to consider when they act independently. about a case. I like to think that the situation at DOJ at Larger portfolio firms are better able to capture these the time of the Elsevier/Kluwer deal reflected the latter benefits and therefore, all else equal, set prices at a set of circumstances. The staff had no experience with higher level.6 publishing markets. And thanks to discussions with Given these theoretical possibilities, we attempted dozens of concerned librarians, the staff grasped the to test these predictions with actual data. We collected need for a fresh approach. information on literally thousands of STM titles from a Indeed, librarians across the country were con- variety of sources, for the period 1988-1998. We chose cerned about persistent journal price inflation, to focus initially on biomedical titles (see my working

2 A R L2 0 7 G D E C E M B E R1 9 9 9 88 TABLE 2. ISI-RANKED BIOMEDICAL JOURNAL TITLES: SELECTED DESCRIPTIVE STATISTICS, AVERAGE VALUES PER JOURNAL TITLE, BY PUBLISHER

1988 1998 Price Cites Cost/Use Papers Price Cites Cost/Use Papers (in US$) (in US$) (in US$) (in US$) Blackwell 193 1575 0.40 123 508 2652 0.55 156 Churchill Livingston* 183 1726 0.26 103 721 2821 0.62 146 Elsevier 482 3477 0.36 179 1548 4222 0.78 204 Harcourt 209 3713 0.18 164 518 5294 0.34 171 Karger 321 893 0.59 86 711 935 1.01 79 Mosby* 100 4071 0.07 248 241 5369 0.15 269 Plenum* 233 1352 0.25 92 759 1733 1.86 121 Springer 481 2268 0.44 141 1057 2386 0.84 153 Taylor 259 759 0.48 74 658 572 1.67 55 Thomson* 207 1210 0.46 92 733 2788 0.45 140 Waverly* 119 3171 0.10 188 277 5770 0.16 237 Wiley 333 2205 0.38 128 1409 3338 1.10 145 Wolters Kluwer 176 2535 0.19 154 504 3519 0.52 153

Unweighted Averages 253 2227 0.32 136 742 3184 0.77 156

Notes: 1. Numbers based on journals that commenced publication prior to 1989, and had 100 or more cites in 1988 or 1998. 2. Firms marked with an asterisk (*) were acquired in mergers with other firms in the list during 1997-1998. paper for details). By May 1998, we were able to show, New Descriptive Statistics using a so-called reduced-form econometric model,7 that on Biomedical Journals a firm's portfolio size was positively related to journal To estimate the structural model, I used holdings data prices, and that past mergers were associated with higher from 194 medical libraries, selected randomly from prices. However, even after controlling for the effects of among Medical Library Association members. This portfolio size and other variables, we still observed a sub- data includes some 60,000 subscriptions to ISI-ranked stantial inflation residual. journals (those 8,000 journal titles that the Institute of One of the weaknesses of a reduced-form methodol- Scientific Information considers the most significant in ogy is that unless the investigator has strong prior beliefs their contributions to scientific research). Libraries of about the events that are being measured, the cause of a all sizes are represented in the sample, some holding price change may be uncertain. For example, when we less than 10 subscriptions, while others report collec- observe higher postmerger prices is this because the tions exceeding 1,300 ISI-ranked titles. The merged firm is exploiting greater market power or are the preliminary results support the portfolio theory. price increases due to unrelated increases in the willing- Using the ISI-defined biomedical portfolio and the ness of buyers to pay higher prices, i.e., a decrease in the corresponding library holdings, I calculated the actual elasticity of demand? To help eliminate this uncertainty, size of the various commercial publishers' journal economists are sometimes able to estimate structural portfolios as well as the observed sample portfolios econometric models that explicitly identify these separate from the 194 medical libraries. Table 1 reports this factors. To estimate these types of models, price and quan- information using both sources. It is clear from this tity data are necessary. In other words, journal prices need table that significant variation in portfolio size exists in to be supplemented by the number of subscriptions for the industry. each title. Fortunately, during our antitrust investigation Table 2 presents information by publisher on aver- we were able to collect subscription data from a variety of age subscription price, number of times cited, cost per academic and medical libraries. However, unlike other use (price per citation), and number of articles pub- types of information, such as journal price and citation lished in 1988 and 1998. Though prices, citations, and data, library holdings are reported in a highly idiosyn- article counts generally increased during the period, the cratic fashion. Thus, creating a usable database is very rate of change for prices was far more striking, resulting labor- and time-intensive. As a consequence, estimation of in higher cost-per-use numbers by the end of the period. a structural model was delayed until June 1999. For example, Elsevier's average journal price more than

R9 A R L2 0 7 D E C E M B E R1 9 9 9 3 euRRENT-Issr-Es Continued

TABLE 3. 1ST- RANKED BIOMEDICAL price increase was due solely to increased market power.9 JOURNAL TITLES: AVERAGE NUMBER For example, compared to premerger prices, the Elsevier OF SUBSCRIBERS, BY PUBLISHER deal resulted in an average price increase of 22% for former Pergamon titles, and an 8% increase for Elsevier titles. This 1988 1998 asymmetry probably reflects the corresponding asymmetry in premerger journal portfolio size for the two firms. That Blackwell 31.72 30.16 is, Pergamon's relatively small biomedical portfolio pre- Churchill Livingston* 34.00 31.20 vented it from realizing it could profitably set prices at the Elsevier 30.08 27.92 same level as Elsevier for journals in the same class. In the Harcourt 50.51 53.23 Lippincott/Kluwer merger, a 35% price increase in former Karger 28.81 22.77 Lippincott titles was due in part to increased market power, Mosby* 94.50 96.55 but also due in part to an apparent increase in the inelastic- Plenum* 27.61 22.89 ity of demand for the titles. That is, after the merger, Springer 21.60 19.03 Lippincott titles were even less likely to be cancelled. Taylor 11.67 12.08 These results also contain a likely explanation for the Thomson* 13.50 19.42 persistent journal price inflation observed in most academic Waverly* 61.67 63.41 fields.lo The sensitivity of library demand to price increases is Wiley 24.41 23.51 very small by normal standards (a 1% increase in price Wolters Kluwer 41.62 42.28 results in a 0.3% decline in subscriptions). Given this inelas- Unweighted Averages 36.28 35.73 tic demand, publishers have a strong incentive to increase prices faster than the growth rate of library budgets. Based Notes: on the structural model estimates for key biomedical jour- 1. Numbers based on holdings for 194 medical libraries, during 1988-1998 period. nals, the average annual increase in journal prices net of price 2.All titles commenced publication prior to 1989 changes due to journal quality and costs was nearly 10%. 3.Firms marked with an asterisk (*) were acquired in mergers with other firms in the list during 1997-1998. Formulating the Future These new results are consistent with our earlier findings. Consider the policy implications. To date, the cumulative tripled during the period, while the corresponding cita- evidence indicates that conventional antitrust procedures tion and article counts increased less than 25%. are inadequate for evaluating mergers in academic journal Table 3 provides the average number of subscriptions markets. First, market definition needs to be focused on for ISI-ranked biomedical journals, by publisher, in 1988 broad portfolios of journal titles rather than a narrow con- and 1998.8 The average number of subscriptions declined tent-based concept in order to reflect the reality of libraries' only 1.5% from 1988 to 1998. Given that nominal prices demand. Second, mergers involving relatively small com- increased dramatically over the sample period, the appar- panies can have substantial price effects (in 1991, Pergamon ent inelasticity of demand indicated by these numbers is was not among the top five publishers in terms of portfolio remarkable. It suggests that library serials budgets, size). Although antitrust policies in the U.S. and Europe whether through budget increases or a combination of have changed considerably over the past two decades in budget increases and the cancellation of non-ISI-ranked response to new developments in economics, the special titles, were sufficient to absorb most of the price increases case of academic publishing remains to be addressed. At of the ISI-ranked titles. At the same time, these numbers least two options are available. On occasion, the provide indirect support for the model of journal pricing Department of Justice and the Federal Trade Commission that, all else equal, if library budgets increase, firms have have adopted special antitrust guidelines for markets with an incentive to proportionally raise prices. unusual characteristics, e.g., for health care and intellectual property.11 In other instances, antitrust immunity has been Analysis of the Structural Model granted to certain parties when important social objectives During the sample period (1988-1998) two significant are threatened (access to scientific research certainly merits mergers occurred: one between Pergamon (57 biomedical the label of an "important social objective"). For example, titles) and Elsevier (190) and the other between Lippincott the DOJ, with congressional approval, could grant libraries (15) and Kluwer (75). To estimate the impact of these permission to form a single nationwide buying consortium mergers on the prices of the biomedical journals being to counter the substantial market power of publishers. studied, a subset of data from the larger sample of med- In the meantime, this research project is still in its ical libraries was analyzed. According to these empirical infancy. Important future objectives include (1) examining estimates, each of these mergers was associated with sub- the impact of new journal entry on prices of incumbent stantial price increases; in the case of the Elsevier deal the journals, (2) contrasting the behavior of nonprofit and

4ARL 2 0 7 DECEMBER 1 9 9 9 U TABLE 4. ISI-RANKED BIOMEDICAL JOURNAL TITLES: SELECTED DESCRIPTIVE STATISTICS BY TYPE OF PUBLISHER

Nonprofit Variable N 1988 1998 % Change Means Means 1988 to 1998 Price 118 146.31 335.43 129.26% Cites 118 6348.25 12540.22 97.54% Papers 118 207.85 250.50 20.52% Subscriptions 118 53.87 54.88 1.87% Commercial Variable N 1988 1998 % Change Means Means 1988 to 1998 Price 818 258.71 837.82 223.85% Cites 818 1800.37 3167.54 75.94% Papers 818 115.77 157.60 36.13% Subscriptions 818 31.92 32.51 1.85% Notes: 1.Subscriptions based on 194 libraries 2.Citations are for a five-year period, e.g. the 1998 citation number is based on cites to articles published during 1994-1998. 3. The papers number corresponds to the number of papers published in a single year. 4.All numbers are based on journals that existed in both years. Although the overall sample of such journals is larger than (818 + 118), some journals are eliminated from the analysis because prices are missing in either or both years, either due to missing observations or a change in the ISSN. 5. Journals sold by publishers with fewer than three titles are not considered.

my working paper entitled, "Academic Journal Pricing and Market for-profit publishers,12 and (3) testing the robustness of Power: A Portfolio Approach" (July 1999). This paper can be this portfolio approach in other STM fields. Finally, I obtained in portable document format at . their associations for their invaluable assistance over the 6 When acting independently, publishers set prices to maximize the profits of their respective titles, and ignore the external impact upon past year and a half. their competitor's profits. If products are differentiated, as in the case © 1999 by Mark J. McCabe. The author grants blanket permis- of scholarly journals, then this externality is "positive," i.e., if one firm raises its prices, then other firms have an incentive to raise their sion to reprint this article for educational use as long as the prices as well. Since mergers allow firms to internalize this positive author and source are acknowledged. For commercial use, a effect, higher prices are observed. The intuition here is that a positive reprint request should be sent to the author feedback process is at work inside the merged firm: raising the price . of journal A makes it profitable to raise the price of journal B, which in turn makes it profitable to raise again the price of journal A. 1 A version of this paper was published as "Handling Medusa: The 7 For a description of this methodology, see McCabe Oct. 1998,5-6. Impact of Publisher Mergers on Journal Prices: An Update," Against the Grain 11, no.4 (Sept. 1999): 58-61. 8 These numbers exclude titles that commenced publication after 1988. Including these newer titles would tend to lower the reported 1988 2 Mark J. McCabe, "The Impact of Publisher Mergers on Journal Prices: figures relative to the later 1998 numbers. A Preliminary Report," ARL: A Bimonthly Newsletter of Research Library Issues and Actions no. 200 (Oct. 1998): 3-7. . 10 Note that these inflationary trends are not restricted to commercial 3 According to the horizontal merger guidelines (), antitrust prices as well. See Table 4 and endnote 12. authorities "...will delineate the product market to be a product or 11 See the Department of Justice's antitrust guidelines at group of products such that a hypothetical profit-maximizing firm . that was the only present and future seller of those products 12 Descriptive data on nonprofit publishers in the biomedical field ('monopolist') likely would impose at least a 'small but significant indicate that in 1998 the average nonprofit journal provides one and and nontransitory' increase in price." one-half times the number of papers with four times the number of 4 For example, suppose two publishers of economics titles were citations for less than one-half the cost of commercial titles (see Table merging. If one owned a series of labor economics journals and the 4). These differences between nonprofit and commercial titles may second firm specialized in industrial organization, it is not likely that reflect variation in a number of factors, including market power, antitrust concerns would be raised because the market for labor pricing strategies, timing of entry, the choice of product space, etc. economics journals is seen as separate from that of industrial Regardless of the ultimate explanation(s) and their implications for organization journals. social welfare, it appears that the two modes of publishing behave 5 For a more extensive discussion of this model, its predictions, etc., see very differently. 91 ARL 2 0 7 DECEMBER 1 9 9 95 -COMMIJNieA-TION Mary M. Case, Director

UPDATE ON SCHOLARLY text and tables presented here update the sales, income, and stock equity figures as well as the profit ratios for the PUBLISHER PROFITS companies discussed by Wyly. In the latest fiscal year by Kaylyn Hipps, Assistant Editor of ARL reported (FY98), each of these publishers experienced a Brendan J. Wyly's article in the October 1998 issue net margin and return on equity above the median for the of ARL (no. 200), "Competition in Scholarly periodical publishing industry, with two publishers real- Publishing? What Publisher Profits Reveal," izing net margins near or in the upper quartile for the demonstrated that several large, publicly traded schol- industry. arly publishers enjoy profits that are well above average As in last year's study, the publicly traded scholarly for the periodical publishing industry as a whole (see publishers analyzed are Wolters Kluwer, Reed Elsevier, and ). The John Wiley & Sons.' Two nonpublishers-Thomson and

TABLE 1: SALES, INCOME, AND COMMON STOCK EQUITY FOR THE LATEST FISCAL YEAR REPORTED

Net Sales Operatinglncome Net Income Net Income Common (before interest & (excluding Available for Shareholder taxes & excluding extraordinary Common Equity extraordinary items) items) Shareholders (prior year)

Wolters Kluwer* $3,215,237,080 $704,315,397 $362,812,999 $362,812,999 $966,435,802 Dec. 31, 1998 Reed Elsevier $5,297,060,000 $1,349,580,000 $949,520,000 $947,860,000 $2,809,000,000 Dec. 31, 1998 J. Wiley & Sons $467,081,000 $45,263,000 $26,875,000 $26,875,000 $128,983,000 April 30, 1998 Thomson Corp. $6,269,000,000 $912,000,000 $502,000,000 $474,000,000 $4,946,000,000 Dec. 31, 1998 Microsoft $14,484,000,000 $6,940,000,000 $4,490,000,000 $4,462,000,000 $9,797,000,000 June 30, 1998 Source: Respective annual reports and SEC filings. *Wolters Kluwer figures were converted from Dutch guilders to U.S. dollars using the exchange rate as of noon E.S.T. on 31 December 1998 as reported by the Federal Reserve Bank of New York (1.877 guilders =$1).

i TABLE 2: PROFIT RATIOS FOR THE LATEST FISCAL YEAR REPORTED

Operating Margin % Change Net Margin % Change Return on Equity % Change 1997-1998 1997-1998 1997-1998 Wolters Kluwer* 21.9% +2.8% 11.3% +1.8% 37.5% -10.1% Dec. 31, 1998 Reed Elsevier* 25.5% -1.5% 17.9% +0.6% 33.7% +19.5% Dec. 31, 1998 J. Wiley & Sons* 9.7% +19.8% 5.8% +23.4% 20.8% +20.9% April 30, 1998 Thomson Corp.* 14.5% +33% 8% +21.2% 9.6% -13.5% Dec. 31, 1998 Microsoft* 47.9% +6% 31% +2% 45.5% -8.6% June 30, 1998 Periodical Publ. U/A U/A 11.6% (upper +0.9% 62.8% (upper +15.7% (SIC 2721)+ quartile) -8% quartile) +2.7% 4.6% (median) -29.4% 19.3% (median) +7.1% 1.2% (lower quartile) 6.0% (lower quartile) Automotive/S&P 500** U/A U/A 7.8% U/A 56.0% U/A December 31, 1998 Banks/S&P 500** U/A U/A 12.8% -11.7% 13.9% -12% December 31, 1998 U/A = unavailable Sources:* Respective annual reports and SEC filings. + Industry Norms & Key Business Ratios 1998-1999, Dun Sr Bradstreet, 217 establishments. ** "Business Week's Industry Rankings of the S&P 500," Business Week, 29 Mar. 1999, 142.

BEST COPY AVAILABLE A R L2 0 7 0 D E C E M B E R1 9 9 9 92 Microsoftare included as before for comparison. more innovative one built on authors' and readers' Thomson is a vendor of information resources to research shared interests in broad dissemination. One year later, libraries and Microsoft is included as a highly profitable this snapshot analysis of the profits of selected large firm in a monopolistic market. Table 1 presents FY98 fig- publishers of scholarly journals clearly shows that they ures on sales, income, and stock equity for these five continue to be among the most profitable companies in companies, primarily to demonstrate their relative size. the periodical publishing industry. The need to trans- Table 2 provides FY98 profit ratiosmeasures used to form the system of scholarly communication remains as gauge a company's profitabilityfor the five companies as great as ever. well as the periodical publishing industry as a whole. Profit 1 Plenum Publishing is not included in the updated tables because it ratios for the automotive and banking segments of the was acquired by Wolters Kluwer in 1998. Standard & Poor's (S&P) 500 are included as well because 2 "There is no single ideal measure of profitability," wrote Wyly in these were the most profitable sectors in 1998, as measured his October 1998 article for ARL. His article goes on to provide a concise review of how different profit ratiossuch as operating by net margin and return on equity, respectively.' margin, net margin, and return on equityhelp to assess the health Although neither Wolters Kluwer nor Reed Elsevier and profitability of any company. saw significant changes in their operating or net margins ARL extends thanks to Julie Priess, University of Maryland from 1997 to 1998, their net margins remained high- Libraries, for collecting the data for this article. 11.3% and 17.9% respectivelycompared to the periodical publishing industry median of 4.6%. While Wolters Kluwer's return on equity fell by 10% (from 41.7% to RECENT ARL PUBLICATIONS ON 37.5%), Reed Elsevier's rose by nearly 20% (from 28.2% to SCHOLARLY COMMUNICATION 33.7%), and both companies' return on equity remained well above the industry median of 19.3%. In 1998, John New Brochure on Scholarly Communication Wiley & Sons enjoyed a considerable increase in profits A new brochure called CREATE CHANGE is now from 1997: each of the three profit ratios analyzed here available for use in your campus information efforts on rose by close to 20% or more. Wiley's operating margin scholarly communication. It outlines the key issues rose by almost 20% (from 8.1% to 9.7%), net margin rose and offers several actions that faculty can take to help by more than 23% (from 4.7% to 5.8%), and return on create a new system of scholarly communication. equity rose by 21% (from 17.2% to 20.8%). This significant Copies of the brochure can be purchased in bulk for increase in profitability is especially remarkable given the 250 per copy from ARL Publications . modest changes in net margin and return on equity for the The text of the brochure is available on the Web at industry as a whole over the same year. , if you The particularly profitable area of scientific, technical, prefer to customize or create your own product. and medical (STM) publishing accounts for a substantial Managing the Licensing of Electronic Products portion of these three companies' profits. In FY98, scien- SPEC Kit 248, August 1999 tific and medical publishing comprised 18% of Wolters by George J. Soete, with Trisha Davis Kluwer's total sales. The sales for this segment of the com-This SPEC survey sought to discover how research pany rose by 46.4% from the previous year, largely due to libraries have organized the licensing of electronic the acquisition of the Thomson Science titles, Plenum, and products and how they approach the associated Waverly. In fact, the former two acquisitions doubled the problems. Licensing guidelines and related job size of Kluwer Academic Publishers. Similarly, scientific descriptions from institutions, along with a publishing constituted 20% of total sales in FY98 for Reed bibliography, will help libraries who are seeking Elsevier. Elsevier Science experienced a 12% increase in to establish licensing procedures of their own. sales from the previous year, half of which was due to acquisitions. Furthermore, the operating margin for the Educating Faculty on Scholarly scientific segment of Reed Elsevier was 35.9% in FY98, Communication Issues over 10 percentage points higher than that of the company SPEC Kit 250/TL 10, September 1999 as a whole. In FY98, STM publishing generated 48% of by George J. Soete, with Mary Case John Wiley & Sons' revenues. They, too, acquired several Reports of strategies used by ARL libraries to inform new STM journals in FY98, but detailed figures on the faculty about scholarly communication issues are company's STM segment are not provided in their presented, along with a summary of interview findings, annual report. a checklist for assessing your library's educational Wyly argues that the impressive profits of large com- program, and a bibliography of additional resources. mercial publishers are a sign of a dysfunctional, noncompetitive marketplace, and that the current system To order either of these SPEC Kits ($40; $25 ARL members), of scholarly communication needs to be replaced with a contact ARL Publications at .

93 A R L2 0 7 © D E C E M B E R1 9 9 9 FFIeE-Of-LEADERS-111-P Kathryn J. Deiss, OLMS Program Manager

Editor's note: The following document describing guiding affordable and sustainable over the long term. To date, principles for academic libraries was developed by an informal these systems have been created largely outside working group of librarians energized by the discussions held academe and most certainly outside libraries, thus they during a fall 1999 ARL/OCLC Strategic Issues Forum. The exist without the benefit of the expertise gained by group agreed to write a statement articulating the traditional librarians in how information is used and the academic values of academic libraries and how these values may be and societal values librarians bring to the enterprise. reflected in the new roles undertaken by libraries in the digital As new access and storage systems are developed, it is environment. The resulting Keystone Principles were important that the knowledge and values that surround supported and endorsed by the Keystone Forum participants the traditional academic library be incorporated and and the South East Research Libraries Group. The statement systems be developed which restore affordability, is included in this issue of ARL to give it visibility and to provide access for, and embody the values of the encourage further endorsements and discussion of it within educational community. research libraries and the institutions of which they are a part. Affirm the Idea of the Library as a Nexus for Learning and the Sharing of Knowledge THE KEYSTONE PRINCIPLES In addition, institutions of higher education are actively Preamble seeking ways to assess and improve the quality of In September 1999, 80 academic library leaders came learning and research programs. There is increasing together to engage in a series of discussions and public demand for demonstrating value-added working sessions at the ARL/OCLC Strategic Issues outcomes for the dollars invested. Technology is seen Forum for Academic Library Directors in Keystone, as a potential enabler but most campuses lack the Colorado. These discussions created The Keystone human and fiscal resources to make radical changes and Principles, a set of principles and action items to guide to provide the necessary infrastructure for large-scale academic libraries' efforts and establish a foundation for programs. There is fear among the faculty and many joint future-oriented action based on traditional administrators that education will be dehumanized by academic library values. the introduction of the new technologies in the learning The Keystone Principles invoke and express the program. A leadership vacuum exists. The academic urgency of three areas requiring explicit action based on cache of the "library as heart of the print university" a vivid set of user-centered principles. must become "the library as intellectual crossroad, the hub of the knowledge network". Access to Information as a Public Good Scholarly and government information is created at the Principle One expense of public and/or academic institutions. Scholarly and government information is a "public Therefore, there is a public interest in the availability of good" and must be available free of marketing bias, this information. Yet some commercial interests have commercial motives, and cost to the individual user. disrupted availability through unreasonable pricing Action Items: policies, restrictive licensing practices, and legislative assaults on the traditional American copyright balance 1. Libraries will direct resources to mobilize the academic community to adopt Principle One between the rights of the individual creator and the and act in accordance with its spirit. public interest as embodied in the concept of 2. Libraries will direct resources and establish educational fair use. The right to read and know without cost is threatened. Further, in the online coalitions to create local, state, and national legislation consistent with Principle One. environment commercial access services are distorting 3. Libraries will direct resources to create outlets search results for profit without defining how these for academic institutions, government agencies, results are obtained and organized. Individuals are and scholarly societies for their information receiving biased information without any way to products that operate by policies consistent with recognize or identify the source of the bias. Principle One. Need for Bias-free Systems and for Libraries to 4. Libraries will support academic institutions, Create These New Systems government agencies, and scholarly societies At the same time as the technological and economic that maintain outlets that operate consistently environments of higher education have changed, with Principle One. academic institutions are being forced to look for ways 5. Libraries will make purchasing decisions and to create and disseminate knowledge in support of the licensing agreements that embrace the concepts learning and research programs that are more embodied in Principle One.

ARL 2 0 7 DECEMBER 1 9 9 9 6. Libraries will create only those software and Principle Three hardware products that embody the concepts The academic library is the intellectual commons for the espoused in Principle One. community where people and ideas interact in both the 7. Libraries will support aggressively colleague real and virtual environments to expand learning and institutions or colleagues in institutions that facilitate the creation of new knowledge. challenge unfair licensing and copyright restrictions. Action Items: 8. Libraries will direct resources to implement this 1. Libraries will direct librarian activities to principle by: establishing partnerships with faculty in the a) establishing true collaborative resource design of the learning activities of the institution. development and programs; 2. Libraries will direct new and existing resources to b) establishing buying consortia; and create real and virtual environments to support c) partnering with other libraries, publishers, research and learning activities, e.g., electronic societies, faculty groups, etc., to create a reserves, online content, access tools, etc. more competitive information 3. Libraries will create spaces where people and environment thereby reducing the cost of ideas can interact regardless of format or commercial information. location. 4. Libraries will direct resources and create Principle Two partnerships that ensure 24 x 7 availability of Libraries are responsible for creating innovative expertise in support of student and faculty information systems for the dissemination and research needs. preservation of information and new knowledge 5. Through their own efforts and in collaborative regardless of format. endeavors, libraries will create new learning materials and web-based instructional packages Action Items: to teach users the skills needed for successful 1. Libraries will direct resources from traditional information searches. library budgets to create a digital publishing 6. Libraries will create new measures that capability and new access systems. demonstrate the value-added contributions of the 2. Libraries will direct resources to create new library to the learning and research programs. access systems free of bias and ulterior motive and based on customer information seeking patterns. 3. Libraries will partner with faculty, other Members of the Keystone working group are: Karyle Butcher libraries, and/or other entities to quickly (Oregon State University), Jerry Campbell (University of identify, create, manage, and disseminate new Southern California), Bessie Hahn (Brandeis University), digital content critical to learning and research Sharon Hogan (University of Illinois at Chicago), Charlene programs of their institutions. Hurt (Georgia State University), Sarah Michalak (University 4. Libraries will create interoperability in the of Utah), Jim Mullins (Villanova University), Lance Query systems they develop and create open source (Western Michigan University), and Carla Stele software for the access, dissemination, and (University of Arizona). Comments on the statement are management of information. welcomed and may be sent to any member of the working 5. Libraries will accept responsibility for campus group; the chair of the working group, Carla Stoffle "information" management as extension of their ; or the ARL staff liaison traditional role. to the working group, Kathryn Deiss . 6. Libraries will foster the development of systems that ensure long-term access to scholarly The Keystone Principles are also available on the ARL website knowledge. at < http:// www. arl .org /training/keystone.html >. 7. Libraries will develop new measures of quality and educate the campus, accrediting agencies, and profession to the need for these new measures. 8. Libraries will develop assessment techniques and identify outcome measures that help streamline and redirect resources for these activities. 9 ARL 207 DECEMBER 19999 Richard K. Johnson, Enterprise Director, Scholarly Publishing and Academic Resources Coalition

SPARC NOTES physicists. Associate members of New Journal of Physics by Alison Buckholtz, SPARC Assistant Director, include the Australian, Dutch, and Polish Physical Societies. Communications The Internet Journal of Chemistry , created by an independent group of chemists in the U.S., 1999 SPARC MEMBERSHIP MEETING U.K., and Germany, uses the Internet to offer information SPARC's first membership meeting, held October in greater depth than paper journals and in ways that can 14-15 in Washington, D.C., attracted over 220 SPARC be better understood by chemists. Authors will retain members, affiliates, and guests from North America, copyright to articles that appear in Internet Journal of the U.K., Europe, Asia, and Australia. The meeting Chemistry, and the journal will license limited rights to launched with a publisher-librarian forum that allowed these articles. attendees to discuss policy, trends, and the needs of Currently available free of charge, Internet Journal of libraries with SPARC partners. The forum led into an Chemistry subscriptions will be offered in 2000 at $48 for afternoon-long advocacy training session that demon- individuals, $289 for educational and government institu- strated to members how to communicate SPARC's tions, and $489 for corporate sites. SPARC members can message on campus. The second day began with three order Internet Journal of Chemistry with funds earmarked for concurrent panel sessions exploring scholarly communica- their SPARC Purchase Commitment. Orders may be placed tions issues and concluded with a keynote speech from with the publisher, InfoTrust Ltd. () or Jonathan Bagger, professor of physics at Johns Hopkins through the library's serials vendor. Both Internet Journal of University. For a complete summary of the meeting, Chemistry and New Journal of Physics have made commit- please go to . ments to explore with libraries means for collaborative approaches to archiving their e-journals. Both journals are BIOONE stored in SGML format to allow efficient refreshing of data. The BioOne website is now up and running at 2000-2002 SPARC Steering Committee . The website will be Voting for the SPARC steering committee has been com- updated continually to reflect society titles to be included pleted. The 2000-2002 SPARC steering committee consists in the BioOne package of offerings. BioOne has been of: Karyle Butcher (Oregon State University), Ray English incorporated into SPARC's Scientific Communities pro- (Oberlin College), Ken Frazier (University of gram, which supports development of nonprofit portals WisconsinMadison), Fred Heath (Texas A&M that serve the needs of a scientific community by aggre- University), Sarah Michalak (University of Utah), James gating peer-reviewed research and other needed content. Neal (Johns Hopkins University), and Carla Stoffle (University of Arizona). Ernie Ingles (University of NEW AT SPARC Alberta) will serve as the liaison to Canada. Ken Frazier New Partners will continue to serve as steering committee chairman. SPARC has created new partnerships with its endorse- Scientific Communities Initiative Grants ment of the New Journal of Physics and the Internet Journal SPARC announced at the membership meeting the win- of Chemistry. The two journals are now part of SPARC's ners of its Scientific Communities Initiative grants, Leading Edge program, which supports community- awarded to spur digital science publishing ventures based based electronic ventures in science publishing. Leading in academe. Columbia University Press's Columbia Edge projects use technology and innovative business Earthscape, the California Digital Library's eScholarship, models to provide scientists with better ways to dissemi- and MIT's CogNet will each receive substantial support nate their research. (For complete information on all from the Scientific Communities Initiative. SPARC partner journals and your institution's purchase The Initiative's goal is to stimulate and accelerate the commitment, please go to .) users in key fields of science, technology, or medicine. The New Journal of Physics is a awardees were chosen on the basis of an independent peer peer-reviewed, all-electronic journal available at no charge review; compatibility with SPARC values; feasibility of the to readers via the Internet. It publishes articles of out- business model and plan; and likelihood of becoming standing scientific quality in all areas of physics. New financially self-sustaining. The three selected projects Journal of Physics is produced by the Institute of Physics will receive a total of $519,000 in start-up development (TOP), based in London, and the Deutsche Physikalische funding. Grant awards begin immediately and are Gesellschaft (DPG), or Germany Physical Society, based in implemented over a three-year period. For further Bad Honnef, Germany. Both are learned, not-for-profit informativwlease see

0ARL 2 0 7 DECEMBER 1 9 9 9 STAIISTIeS-ANME-AS-U-REMEN Martha Kyrillidou, Senior Program Officer

THE CONTINUING QUEST of service effectiveness measures using the SERVQUAL instrument; c) an identification of library functions that FOR NEW MEASURES are seen as cost-drivers for which a cost study could be by Julia Blixrud, Director of Information Services developed; d) development of an assisted self-study has been exploring new measures of research program applying the results of the recent ARL ILL/DD libraries for several years. The April 1998 study; and e) an invitational meeting to address elec- Aissue of ARL (no. 197), available on the Web at tronic resource measures. , pro- Concurrently, the Office of Leadership and vided a comprehensive look at the state of inquiry into Management Services, together with the Statistics and library performance measures. The status report pre- Measurement Program, are developing workshops on sented here and the three articles that follow bring the assessment. They have also begun collaborating with reader up to date on ARL activities in this arena as well the U.K. organizers of the Northumbria International as related work that is ongoing in the United Kingdom. Conference on Performance Measurement in Libraries Within ARL, members of the Statistics and and Information Services to cosponsor an international Measurement Committee and the Research Library multicenter teleconference on performance measure- Leadership and Management Committee are leading ment, to be held in conjunction with IFLA 2001 in Association efforts to develop new measures that Boston. research libraries can use to better describe and assess The following articles show that the topic of effec- their operations and value. In early 1999, the commit- tive measures for library operations and services is tees sponsored a retreat to address this topic in a multidimensional and global. First is a report from concerted way. Retreat participants identified eight Texas A&M's Fred Heath and Colleen Cook on their areas of interest for which measures would be helpful: assessment of the usefulness of a SERVQUAL study. Ease and Breadth of Access, User Satisfaction, Library Their article outlines the plans for a pilot project that Impact on Teaching and Learning, Library Impact on will expand the number of research libraries using the Research, Cost Effectiveness of Library Operations and SERVQUAL instrument and also evaluates its utility as Services, Library Facilities and Space, Market a best practices tool. Penetration, and Organizational Capacity Ability. The next article consists of excerpts from a sum- Draft papers developed for some of these areas take mary of the recent third Northumbria International the ideas represented at the retreat a few steps further Conference on Performance Measurement prepared by by identifying possible approaches to investigation. A Waterloo's Amos Lakos. The full summary report is website, , available on the ARL website at ; the excerpts included here inviting comment by the community. In addition, an highlight papers presented on the measures of elec- electronic discussion list was established for retreat par- tronic and network services and service quality. ticipants and was expanded to others in ARL member This section on new measures concludes with an libraries interested in the development of new mea- article by Ian Winkworth from the University of sures.l The areas of interest were tested with the larger Northumbria reporting on the groundbreaking work ARL community at the May 1999 Membership Meeting. undertaken through the Standing Conference of The general sense emerging from these membership dis- National and University Libraries (SCONUL). The cussions, and subsequent conversations with other report describes the process that has led to the availabil- interested experts in the profession, is that all of these ity of a new publication that presents six "management areas are important and that an action agenda should be statistics" about U.K. libraries along with further back- advanced to engage the challenges identified. It was ground data about each library and institutiondata also recognized that ARL should make every effort to that was selected to characterize the individuality of the build on the expertise and experience present both institutions. The article also describes some of the diffi- within research libraries as well as in comparable culties and complexities of working in the area of new venues. measures development, demonstrating that we should At the October 1999 Membership Meeting, the ARL take note of the significance of each step made, regard- Statistics and Leadership Committees supported the ini- less of the work that still remains. tiation of specific projects to advance what has come to be called the New Measures Initiative. These projects 1 If you are interested in joining the ARL new measures discussion include: a) an investigation into outcomes activities at list, contact Julia Blixrud at . the university level that could be used as a basis to determine measures fbr library contributions; b) a pilot project, spearheaded by Texas A&M, testing the utility BEST COPY AVAILABLE

ARL 2 0 7 DECEMBER 1 9 9 911 STATisTtes-A-N-D- Continued SERVQUAL AND THE Additionally, a specific analytical model, Six Sigma, was evaluated for its applicability for quantifying the gap QUEST FOR NEW MEASURES between service expectations and perceptions. by Colleen Cook, Executive Associate Dean of University One of the central questions surrounding the use Libraries, and Fred Heath, Dean and Director of University of the SERVQUAL protocol is whether it is useful for Libraries, Texas A&M University cross-institutional analysis and comparisons over time At.t he third Northumbria International Conference as well as of strategic and diagnostic utility at the local on Performance Measurement in Information level. From the Texas A&M perspective, there is no Services, Vicki Coleman of the University of question that the SERVQUAL framework serves as a Kansas and Colleen Cook and Fred Heath of Texas useful tool for management decision making at the local A&M University presented results of the Texas A&M level. The Texas A&M experience finds the protocol less experience administering SERVQUAL as an assessment promising as a quantitative tool for simplistic ranking of tool for library performance in 1995, 1997, and 1999. For cross-institutional library performance. Nevertheless, if a range of services in a given industry, the SERVQUAL the research library community could reach consensus instrument measures the dif- to adopt the instrument as a ference between customers' mechanism for setting nor- minimum expectations and ...if the research library community mative_measures, institutions their perceptions of those ser- could reach consensus to adopt the could be identified that con- vices as delivered, focusing on sistently come close to five customer-valued "dimen- instrument as a mechanism for setting meeting users' service expec- sions" of service. The Texas normative measures...exemplary tations. These exemplary A&M study analyzed percep- institutions could then be fur- tions of library service quality institutions could [be recognized and] ther investigated to identify from 700 participants repre- then be further investigated to the best practices that yield senting four different user such service satisfaction on groups. The results of the identify the best practices that yield the part of their users. study identify performance such service satisfaction... Building upon the experi- issues applicable to all acade- ences at Texas A&M, ARL mic libraries as well as local supported at its October strategic issues useful in managerial decision making at Membership Meeting a 24-month pilot project to test the the institutional level. To realize its full potential as a efficacy of SERVQUAL as a best practices tool for library performance measurement tool, however, the research libraries. The project will adapt the SERVQUAL instrument must be modified. SERVQUAL instrument to measure performance The Texas A&M study revealed that the service across the three library dimensions identified at Texas dimensions evaluated by SERVQUALa tool devel- A&M: (1) affect of service, (2) reliability, and (3) tangi- oped for use in the private sectorneed to be adjusted bles, while defining and introducing assessment of a for use in the public sector. In the Texas A&M adminis- fourth important dimension, (4) resources. Pilot tration of SERVQUAL, scores were highly reliable but a libraries will administer the instrument over the Web, factor analysis failed to capture the five dimensions pre- scribed by the protocol's designers: (1) tangibles, i.e., have the results scored at Texas A&M, evaluate their appearance of physical facilities, equipment, personnel, own results, and seek among the other participants and communication materials; (2) reliability, i.e., ability examples of best practices that may assist with correct- to perform the promised service dependably and accu- ing local service deficits. rately; (3) responsiveness, i.e., willingness to help Six to eight ARL member institutions will be customers and provide prompt service; (4) assurance, selected to, administer to their patrons a common, modi- i.e., knowledge and courtesy of employees and their fied version of the SERVQUAL instrument. The ability to convey trust and confidence; and (5) empathy, participants will be drawn from among the eighteen i.e., the caring, individualized attention the firm pro- member libraries that have expressed an interest in par- vides its customers.1 Only three service dimensions ticipating in the pilot. In order that the entire ARL were isolated at Texas A&M: (1) tangibles; (2) reliabil- membership may assess the applicability of the results ity; and (3) affect of library service, which comprises the to their local context, an effort will be made to construct more subjective aspects of service, such as responsive- as diverse a test group as possible. ness, assurance, and empathy.2 Specific issues of The Texas A&M design team will develop a web strategic interest for local library administrators were form for collecting data, assist each university in devel- considered at the individual question level. oping its survey sample, and score the results. After the

ARL 2 0 7 DECEMBER 1 9 9 9 9S pilot phase, the design will be turned over to ARL. HIGHLIGHTS OF THE THIRD Expectations are that the administration and scoring of future SERVQUAL studies would be conducted on a NORTHUMBRIA INTERNATIONAL continuing basis by the ARL Statistics and Measurement CONFERENCE ON PERFORMANCE Program. MEASUREMENT One of the important early steps in this pilot will be by Amos Lakos, Coordinator, Management Information the revision of the existing SERVQUAL instrument in Services, University of Waterloo Library order to incorporate a resources dimension, which will The third Northumbria International Conference on measure performance in such areas as collections, jour- Performance Measurement in Libraries and nal availability, document delivery, remote access to Information Services,1 sponsored by the databases, and the like.3 Interviews on the campuses Department of Information and Library Management at of the participating libraries will help establish this the University of Northumbria at Newcastle, U.K, was dimension. held 26-31 August 1999. The conference was a truly In the next few months, the Texas A&M design international gathering, with 137 attendees from team will meet with participating institutions in order to 27 countries, including 18 participants from North identify the survey sample at each institution, set up the web forms for data collection, and identify respondents America. The theme of the conference was the "Value who will be tagged for follow-up longitudinal study. In and Impact" of performance measurement activities in the spring of 2000, the instrument will be administered libraries. Information North will publish the proceed- at the participating institutions and the data will be ings in early 2000 for the Department of Information collected and scored. Local and aggregate data will be and Library Management, University of Northumbria shared with the participants. at Newcastle.2 At the conclusion of the pilot, a monograph will be The conference aimed to provide a venue for dis- issued assessing the cross-institutional data on each of cussing various library measurements and assessment the four library service dimensions and SERVQUAL issues and activities, to exchange experiences, to will be evaluated for its utility as a best practices tool for increase awareness of current research, and to identify research libraries. Concurrent with the completion of issues for further study and work. A total of 43 papers the monograph, the findings of the pilot project will be were presented. Some major themes emerged: disseminated at the fourth Northumbria Conference. Defining and Measuring Values; For more information on the ARL pilot project test- Electronic Library and Network Measurement ing the efficacy of SERVQUAL as a tool to identify best Indicators; practices for library service, contact Colleen Cook at Benchmarking; . The Scorecard Models and Their Use in Performance Measurements; 1 See A. Parasuraman, Leonard L. Berry, and Valarie A. Zeithaml, Government Involvement in Library "SERVQUAL: A Multiple-Item Scale for Measuring Customer Perceptions of Service Quality," Journal of Retailing 64, no. 1 (spring Assessments; 1988): 12-40; A. Parasuraman, Leonard L. Berry, and Valarie A. Quality Service Measurements and Zeithaml, "Refinement and Reassessment of the SERVQUAL Applications; Scale," Journal of Retailing 67, no. 4 (winter 1991): 420-450; A. Parasuraman, Valarie A. Zeithaml, and Leonard L. Berry, "A Management Information Services; and Conceptual Model of Service Quality and Its Implications for Activity-Based Costing. Future Research," Journal of Marketing 49, no. 4 (fall 1985): 41-50; A. Parasuraman, Valarie A. Zeithaml, and Leonard L. Berry, Electronic and Network Services Measures "Alternative Scales for Measuring Service Quality: A Comparative Developing new measures for electronic library services Assessment Based on Psychometric and Diagnostic Criteria," Journal of Retailing 49, no. 3 (fall 1994): 201-230; and Valarie A. was the focus of a number of presentations. In an Zeithaml, A. Parasuraman, and Leonard L. Berry, Delivering Quality invited paper, "Measuring Electronic Library Services: Service: Balancing Customer Perceptions and Expectations (New York: Possible Statistics and Performance Measures," John The Free Press, 1990). Carlo Bertot investigates new library services such as 2 Colleen Cook and Bruce Thompson, "Reliability and Validity of SERVQUAL Scores Used to Evaluate Perceptions of Library Service Internet-based databases, website development and Quality" (Manuscript submitted for publication, 1999). maintenance, and online referencewhich are "differ- 3 Related research on incorporating a resources dimension into ent" and difficult to measure. His paper covers SERVQUAL is presented in Peter Hernon, Danuta A. Nitecki, and Ellen Altman, "Service Quality and Customer Satisfaction: An assumptions, models, methodologies, and standards for Assessment and Future Directions," The Journal of Academic networked and web-based data. Bertot describes the Librarianship 25, no. 1 Uan. 1999): 9-17. issues framing the lack of measurement of electronic library services due to lack of agreement about: what to measure; 99 ARL 2 0 7 DECEMBER 1 9 9 913 AT ..M11110 Continued

o how to measure; and mance measurement, and to operate these methods 0 interpretation of the data. within a framework of quality management. The Bertot's paper discusses his and Charles McClure's Project has two primary aims: first, to develop interna- work on measuring electronic library services in U.S. tional agreement on electronic library performance public libraries and state-wide networks run by state indicators emphasizing information access and delivery, libraries.3 Bertot describes measurement variables, their costs, and user satisfaction; and, second, to develop and definitions, and assorted measurement techniques used test an integrated quality management and performance to collect data on those variables. He also emphasizes measurement software tool. the need for libraries, associations, and vendors to agree Service Quality Measures upon measurement indicators, measurement method- Philip Calvert's keynote paper, "A Report on ologies, data collection techniques, and new reporting Preliminary Investigations of Attitudes to Integrated standards. This is especially essential with electronic Performance Measures among New Zealand services, since key data are beyond the library's control University Library Staff," describes inquiries that and in the hands of vendors, remote webhosting compa- attempt to develop user-defined measures that integrate nies, and assorted licensors. Bertot concludes that there measures of library effectiveness with indicators of ser- is much work to be done, especially in developing mea- vice quality, by studying the attitudes of academic surement standards. Without these standards, librarians to integrated measures in seven New Zealand institutional comparisons will be impossible. academic libraries. The study discusses relevant mea- Charles McClure's keynote paper, "Issues and sures of quality and effectiveness as well as the Strategies for Developing National Statistics and constituency perception of measures of market penetra- Performance Measures for Library Networked tion, stock availability, shelving turn-around, staff Services and Resources," provides an overview of how performance, etc. Calvert finds that service quality is one might think about strategies and techniques for what matters to the customer. Libraries should concen- assessing networked library resources and services. trate on quality as expectation and measure the gap Since there is no agreement on what are good data, between customer expectations and actual performance McClure hopes that libraries will settle for data that are (gap analysis). Service quality gaps are difficult to "good enough" in order to have information to build detect in internally foCused institutions. He also advo- upon. Although libraries need to gather facts and learn cates a focus on conformance quality, which means the to analyze them, success in advancing our understand- reduction of errors, defects, and delays. Calvert notes ing of the quality of networked services may depend on that these are issues on which users make judgements paying close attention to customer storiesi.e., qualita- and place value. Libraries need measurements to iden- tive measures. A number of practical guidelines and tify this kind of variance and to connect conformance measurement strategies are offered for consideration: quality with user-defined measures. Calvert advises agree to disagree; focus on a small number of measures; that libraries should undertake gap analysis methods investigate equivalent traditional and electronic mea- and concentrate on reducing the gaps between expecta- sures for clarity; learn from e-commerce websites about tions and performance. He advises concentrating on useful data to measure and the use of automatic data customer related measures of effectiveness, satisfaction, capture; and utilize electronic helpdesk questions and and service quality that asks questions such as: How answers. McClure stresses the need for state and well? How accurate? How responsive? How valuable? national agencies to speed-up data gathering methods, How courteous? How satisfied? All results should be analysis, and reporting to member libraries. The fact recorded and reported for accountability both to stake- that the electronic environment is changing at a very holders and management for decision making. A fast rate is an additional burden for all. number of customer measures are discussed in detail, Zoe Clark from CERLIM also presented a paper and Calvert concludes that measures alone may be focusing on electronic library indicators. Clark insufficient to convince all stakeholder groups of the describes the EQUINOX Project4 in "EQUINOX: The library's value. Libraries need leaders that can convince Development of Performance Indicators for the funding agents of the value of the library's measured Electronic Library." The EQUINOX Library outcomes, and these leaders should insist upon better Performance Measurement and Quality Management reporting tools and management information. System is a project funded by the Telematics for A number of other papers touched on issues of Libraries Programme of the European Commission. quality service: The Project addresses the need of all libraries to develop Vicki Coleman, Colleen Cook, and Fred Heath com- and use methods for measuring performance in the new prised the panel on "SERVQUAL: A Client-Based networked environment, alongside traditional perfor- Approach to Developing Performance Indicators."

14ARL 2070 DECEMBER 1999 1.00 They reported on six years of experience at Texas A&M o measure team effectiveness from a customer Libraries with the SERVQUAL instrument. SERVQUAL point of view; and measures the gap between minimum expectations of o assess individual performance in a way that clients on a range of library services and the perceived would support motivation, self-responsibility, delivery of those services. The panel describes the and continuous learning. Texas A&M results in detail and the use of the Six The system uses Rowena Cullen's Values/Focus/ Sigma analysis tool in conjunction with the SERVQUAL Purpose matrix presented at the second Northumbria instrument in analyzing the data. This is an alternative Conferences and it advances the values of an externally approach to monitoring service and benchmarking. focused, learning library. Phipps and Russell also Marjorie Murfin and Michael Havener presented describe the first-year implementation challenges and their paper on "Perceived Value, Importance and the resulting progress, which indicates positive Impact of Information: How Are They Related? How advances both for individuals and teams at the Do They Influence the Reference Transaction?" This University of Arizona Library. paper analyzes the nature of "patron importance" rat- Ian Winkworth reported on a University of ings and their impact on reference transactions. The Northumbria project carried out by him, Michael Heine, findings are based upon over 10,000 transactions in pub- and Kathryn Ray, titled "Measuring User's Service lic libraries and the same number of transactions in Seeking Behaviour." The objectives of the research academic libraries, as measured by the WOREP tool between 1983 and 1998. The Wisconsin-Ohio Reference project were to clarify in a conceptual way the sequen- Evaluation Program is well established and its utility tial patterns of library use, to explore how well service has been proven. Michael Havener of the University of design matches use patterns, and to design a survey and Rhode Island Graduate School of Library and analysis methodology. The results are very encourag- Information Studies directs the program, which is set up ing. A successful data collection method was on a cost recovery basis. Findings indicate that when developed, new analytical tools are in place, and the patrons assign "importance" to their reference needs, pilot results suggest that this new approach may help these rankings are influenced by factors of alternate libraries learn about patterns of user behavior. The availability and external consequences, i.e., a value mea- analysis package needs more work to make it more user sure is situation dependent. Patrons, who could friendly. identify the impact of not getting their information, Launch of New Journal assigned a much higher value to it. Findings also show During the conference, a new journal, Performance a correlation between how patrons communicate to the Measurement and Metrics: The International Journal for librarian the "importance" of their needs, and the librar- ian's perception of that "importance." Findings Library and Information Services, was launched by Aslib. assigned values of cost effectiveness related to per- The first issue is available on the Web at . customers, and library staff status. Professional librari- ans' time at the reference desk is more cost effective, A more detailed report on the conference is available at since the failure rate is lower, even if they spend addi- . The full tional time on each transaction. The cost of failed report contains a summary of key papers presented on each of reference transactions should be an important factor in the major themes addressed at the conference. measuring reference effectiveness. The next Northumbria Conference is scheduled to take Shelley Phipps presented her and Carrie Russell's place in August 2001 in Boston. paper "Performance Measurement as a Methodology for Assessing Team and Individual Performance." The 1 See the third Northumbria International Conference website at . paper describes the context of developing a methodol- 2 Proceedings of the earlier Northumbria Conferences are available at ogy for assessing team and individual performance as . part of the University of Arizona Library's multi-year 3 Charles McClure and John Carlo Bertot, "Developing National organizational restructuring from a hierarchical, inter- Public Library Statistics and Performance Measures for the Networked Environment," 8 Nov. 1999, . focused, learning organization. The paper describes the 4 See the EQUINOX website at . development of a new Performance Effectiveness 5 Rowena Cullen, "Does Performance Measurement Improve Management System (PEMS), which has three objectives: Organizational Effectiveness? A Post-Modern Analysis," in Proceedings of the Second Northumbria International Conference on o build an evaluation system based on the princi- Performance Measurement in Libraries and Information Services ples of a team environment; (Newcastle upon Tyne: Information North, 1998), 3-20. 1°1ARL 2 0 70 DECEMBER 1 9 9 915 -SURE-MEM' Continued

PERFORMANCE MEASUREMENT OF data collected for higher education college libraries, and university-level datauniversity income, enrollment, U.K. UNIVERSITY LIBRARIES etc.drawn from official Government statistics about by Ian Winkworth, Chair, SCONUL Advisory Committee on universities. The data are presented as six "manage- Performance Indicators, and Director of Information Services, ment statistics" along with further background data University of Northumbria at Newcastle about each library and institution, chosen to character- ize the individuality of institutions and cast light on the This article summarizes current activity in measuring the variations in the management statistics. The manage- performance of United Kingdom university libraries, focusing ment statistics are: particularly on work with Government and with university representative bodies. total library expenditure per FTE user (i.e., full- time equivalent target user group of students and ust like their North American cousins, United academic staff); Kingdom university libraries have a long tradition expenditure on information provision per FTE of collecting and publishing comparative library user; statistics. The association that represents all 135 U.K. expenditure on staffing per FTE user; university libraries and national research libraries, the seat hours available per week per FTE user; Standing Conference of National and University loans per year per FTE user; and Libraries (SCONUL), publishes an annual volume of statistics on member library inputs, throughputs, and interlibrary loans as a percentage of all loans. outputs.1 Additionally, in recent years, the Higher The publication identifies for future inclusion three Education Colleges Learning Resources Group areas where data are not currently collected or are not (HCLRG) has collected and published a smaller set of yet sufficiently robust: stock on loan, electronic ser- data for most higher education college libraries in vices, and user education. We also acknowledge the England, Wales, and Scotland, based on the SCONUL need to address a few gaps where institutions provide definitions (see ). incomplete data and we expect that the increasingly For the past ten years, the SCONUL data have been official nature of this usage will encourage nearer to 100 brought together in a database for trend analyses over percent compliance. The Advisory Committee had time. This work, and production of the annual statistics hoped to have the statistics published as a supplement publication, has been contracted to a specialist agency to the Higher Education Statistics Agency's official vol- the Library and Information Statistics Unit (LISU) at ume of comparative university statistics, but HESA was Loughborough Universitythat also handles the afore- unwilling to publish data it had not itself collected. mentioned HCLRG data as well as data about U.K. Instead, the library management statistics will be pub- public libraries. More information about LISU and its lished by SCONUL in a format as close as possible to publications, which cover all types of U.K. libraries, is that of HESA's official statistics publication. available on LISU's website at . and negotiations. In 1993, the report of a national com- Through its Advisory Committee on Performance mittee of enquiry, the Follett Report, first advocated that Indicators (ACPI), SCONUL has sought to develop the "a coherent and generic set of performance indicators collection and use of statistics into the production of for libraries should be developed as soon as possible."3 useful performance indicators that are recognized The developmental stages have included: nationally beyond the contributing libraries, revealing an initial working party report; trends across time and comparing descriptive and eval- a national consultation on the working party's uative data between libraries. There was initial recommendations; expectation and enthusiasm that we could rapidly agree a data-cleansing project to identify and correct on a small set of indicators that would support and fine- errors and gaps in historical data; tune subjective judgements about the quality of libraries. By the early 1990s, after several years' efforts, a one-year funded research project to explore in the Advisory Committee faced the common truth that detail the validity and usefulness of fifty the exercise would be more technically complex and potential performance indicators; politically difficult than expected. a second national consultation on revised But persistence has finally brought partial success recommendations; and with the imminent publication of a small set of U.K. detailed review and approval by a group set up Higher Education Library Management Statistics, 1997/98.2 by the heads of universitiesthe Higher This publication brings together SCONUL data, parallel Education Management Statistics group.

ARL 2 0 7 DECEMBER 1 9 9 9 102 All this work, of course, sits beside the continuing brevity as the SCONUL Quality Group, has been process of collecting the basic data from university approaching library performance measurement from a libraries. different viewpoint. In the U.K. there has been strong Why has this process proved so difficult? First, Government pressure on the higher education funding there is less underlying commonality of view than agencies and on universities to demonstrate the exis- expected about what makes a good library, leading to tence of effective quality measures for teaching, emotional debate about which indicators to use. learning, and the student experience, and to publish the Second, there are some aspects of library performance results of these measures. The significant influence of for which indicators are less easily definedareas like this concern reflects the dominance of national user education, reference services, overall performance, Government funding of teaching activity in U.K. higher and effectiveness in terms of economy or efficiency. education and a cross-party political determination in a Third, different stakeholderslibrarians, institutions, "customer is king" society to ensure good value for users, library staffhave different priorities and needs. money. As a result, there has evolved what might be Fourth, the task of making definitions watertight and described as a national accreditation agency for univer- effectively understood by data providers has proved as sitiesthe Quality Assurance Agency (QAA) (see taxing as expressing the definitions to users of the ). resulting statistics and indicators. However, it might be Jointly owned and financed by the funding agencies argued that the process of collectively defining the and the educational institutions, the QAA regularly issues has itself been progress, and a learning exercise inspects institutions and particular subject program that probably could not have been avoided. Let's hope areas and issues public reports grading and comment- the outcomes produce some additional useful benefits! ing on its findings. When this process was first The SCONUL Advisory Committee on Performance initiated, coverage of learning resources management Indicators is pursuing other approaches to this issue. and provision was sketchy and inconsistent. The The Committee has sponsored a national benchmarking SCONUL Quality Group was set up as a joint project exercise involving small groups of volunteer libraries in between SCONUL, HCLRG, and UCISA, and represen- jointly producing and testing benchmark processes for tatives of the predecessors of the QAA, in order to particular aspects of library activity, for example refer- develop an appropriate weighting and methodology for ence desk service. SCONUL will publish the outcomes review of the quality of learning resources. The out- of this project as a book late in 1999. A second working come has been that "learning resources" (which covers departmental teaching facilities as well as central ser- group is producing a national user-satisfaction ques- tionnaire. We are monitoring work elsewhere to vices) is one of six aspects of provision that are evaluated in each subject report in each institution, develop management statistics covering electronic ser- vices: there is no point in replicating funded research. using a standard set of question guidelines evolved with input from the SCONUL Quality Group. We have con- The Advisory Committee has also established cross- sequently achieved a good standard of consistent representational links with the Statistics Working Group reporting and a source of detailed databeyond statisti- of the organization that represents U.K. University IT cal measures!about the effectiveness of university Servicesthe Universities and Colleges Information libraries in support of teaching. Furthermore, explicit Systems Association (UCISA). UCISA has recently inclusion in the QAA visit checklist has had very posi- begun to collect statistics about IT activity (see tive effects in encouraging good communication ). between subject departments and university library The aims of this collaboration are: to share knowledge services and the development of joint approaches. and save effort; to use compatible definitions where SCONUL would be happy to provide more infor- appropriate; to deal with the shifting boundaries mation about any of the above activities, and to hear of brought about by growing use of electronic technology; comparative North American developments. The and to ease the situation of the growing number of author can be contacted by email at . The SCONUL Secretariat can be contacted education. More than half of U.K. universities have at or via its website brought their libraries together organizationally with all . or some of their IT services. Some of the resulting units 1 Standing Conference of National and University Libraries, are highly converged and thus have difficulty separat- SCONUL Annual Library Statistics, 1997/98 (London: SCONUL, ing out their resources and activities into traditional 1999). (Volumes for previous years also available.) 2 SCONUL/HCLRG, U.K. Higher Education Library Management "library" and "IT" pockets in order to contribute data Statistics, 1997/98 (London: SCONUL, 1999). separately to both SCONUL and UCISA. 3 Joint Funding Councils' Libraries Review Group, Report (Bristol: Another SCONUL working party, known for Higher Education Funding Council for England, 1993). 10 3 ARL 2 0 7 DECEMBER 1 9 9 9 De Etta Jones, Director of Diversity Initiatives

ARL INITIATIVE TO RECRUIT careers in research libraries, if we could attract their attention at the beginning of their graduate studies. A DIVERSE WORKFORCE; This new program of stipends complements ARL's VPO APPOINTMENTS Leadership and Career Development (LCD) Program. The ARL Initiative to Recruit a Diverse Workforce The stipend program will recruit talented minorities was developed this fall in response to a challenge into research libraries before or as they enter graduate by member leaders to create a strategy for studies; the LCD Program fosters the professional recruiting professionals of color to research libraries. advancement of midcareer librarians of color. The centerpiece of the Initiative is a new program of The new recruitment Initiative also helps ARL stipends that will be made available to minority M.L.S. libraries take advantage of other recruitment opportuni- students who demonstrate talent and interest in a ties. For example, participating libraries may encourage career in research libraries. The Initiative has estab- current nonlibrarian staff members to apply for these lished a fund at ARL that will stipends. Many ARL member generate revenue from yearly interest libraries employ people of color who earnings to award $5,000 stipends. are interested in attending library The fund consists of voluntary contri- school and who could be mentored butions by ARL member libraries: into the profession. $5,000 for each of two years or a one- To support this new effort, ARL time total contribution of $10,000. In is pleased to be working with two exchange for the stipend, the recipi- new Visiting Program Officers, Dawn ent would agree, upon graduation, to Kight and Vicki Coleman. Ms. Kight work in a residency program or other is Manager, Systems and Technology, entry-level professional position in an at the John B. Cade Library at ARL library for a minimum of two Southern University in Baton Rouge, years. Dawn Kight, Southern University, Baton Rouge Louisiana, and is a member of the The Initiative to Recruit a Diverse current ARL Leadership and Career Workforce was discussed at the Development Program class. Ms. October 1999 ARL Business Meeting Coleman is Engineering Librarian at and member support was strong. By the University of Kansas Engineering the end of the Membership Meeting, Library, and participated in the inau- over 40 percent of the member insti- gural class of the LCD Program. Ms. tutions had made a commitment to Kight and Ms. Coleman are helping join this program. ARL is also to develop a strong foundation for approaching private funding agen- the Initiative to Recruit a Diverse cies to leverage the Initiative's Workforce and are expanding ARL's endowment base, increasing the abil- web-based resources for recruitment ity to offer more stipends each year. efforts. In addition to contributions ARL is currently working with an to the Diversity Program, Ms. Kight advisory group to continue laying the is working with Trish Rosseel, OLMS groundwork for this Initiative, with Vicki Coleman, University of Kansas Program Officer for Distance plans to offer 10 stipends for students Learning, to explore funding and enrolled in the fall of 2000 and 15 stipends each year technological development for the Online Lyceum. Ms. thereafter. Coleman is also working with Julia Blixrud, Director of Participating ARL libraries will have greater Information Services, and Martha Kyrillidou, Senior opportunities to hire talented librarians from underrep- Program Officer for Statistics and Measurement, to for- resented groups and to help mentor these librarians as mulate an action plan for the New Measures projects, they enter the research library profession. Most impor- including the SERVQUAL pilot project described by tantly, participating institutions are playing a major part Colleen Cook and Fred Heath on pages 12-13 of this in attracting more librarians from underrepresented issue of ARL. groups into careers in ARL member libraries. Each For more information about the Initiative to Recruit year, talented minority librarians choose positions in a Diverse Workforce or other diversity efforts, please public and special libraries and other new opportunities contact DeEtta Jones, Director of Diversity Initiatives, at in the information field rather than careers in research . libraries. Many of these graduates would find fulfilling 104 18ARL 2 0 7o DECEMBER 1 9 9 9 ', el-=-125 Lee Anne George, Program Planning Officer

September 29 at the White House. The National ARL MEMBERSHIP CONVENES Humanities Medals are a part of the continuing effort by The 135th ARL Membership Meeting, held October NEH to recognize distinguished Americans for their 13 and 14 in Washington, D.C., experimented with a new design. In response to the ARL Board of outstanding efforts to deepen public awareness and Directors' directive to reduce the cost of meetings, the love of the humanities. See the press release at focus was on conducting business through committee . Meeting was structured to allow the membership time Sheila D. Creth, University Librarian, University of Iowa Libraries, was named winner of the 1999 to discuss in detail three issues: Internet2 activities; LITA/Gaylord Award for Achievement in Library and progress on developing new measures to describe Information Technology. The award recognizes out- research libraries; and a new ARL Initiative to Recruit a standing achievement in the creative use of information Diverse Workforce. The Federal Relations Luncheon program included a briefing on the negative impact of technology for improving or enhancing library services. efforts to push adoption of the Uniform Computer Information Transactions Act (UCITA) in each of the TRANSITIONS 50 U.S. states. Center for Research Libraries: Beverly P. Lynch, Professor, UCLA Graduate School of Education and Elections Information Studies, will become Interim President of At the ARL Business Meeting, membership elected three CRL on January 1. new representatives to the ARL Board of Directors: Fred Heath (Texas A&M), Paul Mosher (University of Connecticut: Director of Library Services Brinley Pennsylvania), and Sarah Thomas (Cornell University). Franklin is now responsible for all library operations at Each will serve a three-year term on the Board, October the University. 1999 to October 2002. Dartmouth: Margaret Otto will resign as Librarian of ARL President Betty Bengtson (University of the College in October 2000. Washington) acknowledged the contributions of Board Kent State: Don Tolliver resigned as Dean of Libraries members whose terms expired this OctoberJim Neal to accept the position of Vice-President for Information (Johns Hopkins) and Bill Potter (University of Services/Chief Information Officer for the University. Georgia)and presented each a certificate of apprecia- Mark Weber is serving as Interim Dean of Libraries. tion. She also announced that Shirley Baker Saskatchewan: Frank Winter is on administrative leave (Washington University, St. Louis) had been elected from 1 September 1999 through 31 August 2000, during Vice-President/President-Elect of ARL by the ARL which time Ken Ladd is serving as Acting Director of Board of Directors. Ms. Baker serves as Vice-President Libraries. for a year before becoming President in October 2000. At the conclusion of the Business Meeting, Ms. Other Transitions Bengtson handed the gavel to Ken Frazier (University of American Library Association: In mid-October, Emily Wisconsin), who began his term as President of ARL. Sheketoff, former Deputy Assistant Secretary of Labor The one and one-half day ARL Membership Meeting for the Occupational Safety and Health Administration, was followed immediately by the SPARC Membership succeeded Carol C. Henderson as Associate Executive Meeting. Director for the ALA Washington Office. A summary of the ARL Business Meeting and the presentation by Robert Oakley (Georgetown University National Institutes of Health: Harold Varmus will Law Center) on UCITA will be posted on the ARL web- resign as Director of NIH at the end of this year to head site. The Board will review the reactions from Meeting the Memorial Sloan-Kettering Cancer Center in New attendees to determine whether to repeat this design at York City. future October Membership Meetings. OCLC: Martin Dillon will relinquish his role as Executive Director of the OCLC Institute by 30 June HONORS 2000, but will remain on the Institute faculty. Patricia Battin, former ARL Board member, President of Correction the Commission for Preservation and Access, and On page 13 of ARL 205 (August 1999), the provider University Librarian at Columbia University, is one of of the $500,000 grant to the University of Virginia for eight awardees of the National Humanities Medal for the Early American Fiction Project: Phase II was 1999 by the National Endowment for the Humanities erroneously identified. The grant was awarded by (NEH). President Clinton presented the award on The Andrew W. Mellon Foundation. 105 ARL 2 0 7 DECEMBER 1 9 9 9 ARL: A Bimonthly Report on Research Library Issues and Executive Director: Duane E. Webster Actions from ARL, CM, and SPARC (US ISSN 1050-6098) Editor: G. Jaia Barrett, Deputy Executive Director is published six times a year by the Association of Research Assistant Editor: Kaylyn Hipps Libraries, 21 Dupont Circle, Washington, DC 20036. Designer. Kevin Osborn, Research & Design, Ltd., Arlington, VA 202-296-2296 FAX 202-872-0884 Subscriptions: Members$25 per year for additional subscription; Nonmembers$50 per year. Copyright: ©1999 by the Association of Research Libraries ARL policy is to grant blanket permission to reprint any article in be noted for certain articles. For commercial use, a reprint the newsletter for educational use as long as the source, author, issue, request should be sent to ARL Publications . and page numbers are acknowledged. Exceptions to this policy may

CALENDAR 2000 ft, CD February 3-4 ARL Board Meeting July 24-25 ARL Board Meeting 0 Washington, DC Washington, DC rtrtcf) 5.O 2-3 March Library Human Resources October4-6 Leading Change Institute rD 5. Symposium Washington, DC cro )-0 Washington, DC October 17-20 ARL Board and Membership r7 C . March27-28 cc, CNI Spring Task Force Meeting Meeting rt Washington, DC Washington, DC rt rt rn March28-30 Library Management Skills October23-26 Library Management Skills 00 Institute I: The Manager Institute II: The Management Cdro Las Vegas, NV Process rD Atlanta, GA April12-14 Project Management Institute: (Dui rD Getting Things Done or Getting November1-3 Project Management Institute: the Outcomes You Want Getting Things Done or Getting Et rD Washington, DC the Outcomes You Want 0 Seattle, WA May10-12 Facilitation Skills Institute Denver, CO November 13-15Library Management Skills May 16-19 ARL Board and Membership Institute I: The Manager 0 Meeting Evanston, IL Baltimore, MD June 5-7 Managing Group Process: 0 Advanced Facilitation Lab fi

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