Library Documents - AU Library

Athabasca University Library
Strategic Plan to the Year 2000

Table of Contents

Introduction
Vision - Athabasca University Library in the Year 2000
Client Experiences in the Year 2000
A Description of the Gateway to Information Sources
Collaborations in the Year 2000 and Beyond
Vision Implementation - The Transition Into the Year 2000
Technology and Systems
Appendix 1 - Library System Needs

Introduction
A strong, forward-looking library is essential if Athabasca University (AU) is to maintain a prominent position among providers of distance education. This document articulates a vision of AU Library as it enters the next millennium and as the University makes the transition from primarily a print-based delivery and research model to a multi-mode print and electronic delivery and research model. Notwithstanding this transition, the print-based library will still be central to AU.
This vision for AU Library identifies a future and proposes some initial steps toward achieving that future. The vision for AU Library includes new kinds of materials, technologies, and services and emphasizes the centrality of skilled personnel and human interpretation in the scholarly information process. The vision for AU Library honours the past and creates the future, by enhancing and developing the services it has always provided.
Athabasca University Library should develop a rich environment for scholarly and intellectual inquiry. Library staff will continue to provide user-focused services, in many formats and from multiple sources. In addition, users will be taught to obtain and evaluate new forms of scholarly information, a process necessary for students to succeed in AU courses, for faculty and teaching staff to create new knowledge, and indeed, for all users to increase understanding in the information age.
To realize this vision, two challenges must be accepted by the AU Library:

The Library must increase the quality and excellence of service to its primary users from the present collection.
The Library must develop the new electronic Library, and instruct users to benefit from it.

The Mission Statement (1985) of Athabasca University, states that "Athabasca University is dedicated to the removal of barriers that traditionally restrict access to and success in university-level studies, and to increasing equality of educational opportunity for all adult Canadians, regardless of their geographical location and prior academic credentials".
The Strategic University Plan (SUP), the Systems Development Plan, and the Educational Plan form a suite of documents that outline the direction that AU will take over the next few years. These documents clearly identify a transition in AU from primarily print-based course delivery and research systems to electronic and multi-modal systems. Meeting planning goals without violating AU's mission statement is the challenge facing all departments of the University, including the Library.

Vision - Athabasca University Library in the Year 2000
By the year 2000 the main focus of the AU Library will be on access rather than holdings. The Library will not be a repository of information so much as it will be a gateway to information sources. AU Library will function less as a guardian of information and function more as a guide to information. These are important distinctions with respect to the role of the Library that will significantly affect library development over the next 1 - 5 years.
Notwithstanding a change in focus, the library will continue to develop its collection of books and journals and participate in reciprocal borrowing with other libraries. The library must seek opportunities for cost-sharing and find new resources to fund additional resources.
With respect to collaborations with other institutions and agencies, the broad view of access to information must prevail. Later in this document more detail about collaborations and information gateways will be discussed.
The second major focus will be upon teaching users how to access information sources directly and providing assistance and mediation when required.
Regardless of delivery mode, the Library will expand its area of specialization, The Reverend Edward Checkland Collection of distance education materials.
Consistent with AU's philosophy of equality of access to services, a balance must be maintained between cutting edge information technology and a recognition that not all students will have access to new technologies. This must not limit, but must guide decisions.
The distinction between holdings and access and the emphasis upon instructing and empowering, can best be explained by a description of the services provided, the anticipated experiences of clients in the year 2000, and a description of the gateway to information sources.

Client Experiences in the Year 2000
AU Students in the year 2000 will, regardless of their geographic location be able to:

continue to expect communication in traditional ways
search the Library's online catalogue using either a graphical- or text-based interface and request selected materials directly from the catalogue (including journal articles)
determine the most recent journal issue received in the collection
determine if material is on order
access or order digitized supplementary materials from the Supplementary Materials Lists (SML) for any course with an annual home-study enrolment of 200 or greater
connect to, and search online catalogues of other libraries
transfer search results from various catalogues and databases to their own accounts
check status information of catalogued materials in AU Library
use 'hot links' in the AU catalogue to search and connect to other libraries, organizations and agencies
use 'hot links' to access online journals and selected Internet resources
search and retrieve journal articles and documents for desktop delivery from selected databases that include full-text to which AU subscribes by using key word, subject, and author searches among others
search and retrieve articles from selected online electronic journals
initiate their own online interlibrary loan request
initiate requests for information (e.g. reference information)
do their own circulation transactions online including placing holds and renewing materials
check their own library patron record regarding materials on loan or holds
obtain online assistance regarding the technology
obtain online assistance about library services, search, search skills, citations, etc.

AU Faculty and Staff in the Year 2000 will be able to

do all of the above
continue to receive research assistance
make an online request for material acquisitions
initiate their own interlibrary loan requests for journal articles and/or books
have desktop delivery of journal articles from selected databases or commercial document supply sources
conduct online searches from databases to which accounts have been established
develop electronic reserves for courseware for student use (with the electronic
reserve system tracking use and statistics for copyright purposes)

Library staff in the Year 2000 will be able to:

do all of the above
actively teach and advise on accessing information
provide online assistance to students and other library users in addition to traditional communications
provide better reporting of circulation activity by patron group
generate data about loans, renewals, registrations, returns, recalls and various types of loan information about patron groupings
generate better statistics and item history information
catalogue with the user in mind for more focused and consistent searching
enhance the cataloguing process by using templates and by importing records from commercial bibliographic utilities and remote sources of cataloguing
make global changes to the online catalogue (e.g. ensure consistent names, titles, etc. across all appropriate records)
electronic invoicing and ordering
tailor the record display on the catalogue
incorporate electronic resources into the Library catalogue
expand course-integrated library instruction in co-operation with faculty and other teaching staff
upgrade their skills in a changing electronic environment

A Description of the Gateway to Information Sources
The Gateway to information will provide a one-stop menu on the Library web page where patrons, on site, off site, or with library staff mediation, can come for seamless access to a variety of library services:

AU Library catalogue
other selected library catalogues
various selected databases mounted locally
selected Internet resources
supplementary materials including journal articles mounted electronically
forms for initiating service requests such as interlibrary loan transactions, circulation requests, reference inquiries, and materials requisitions

Users may experience and benefit from the gateway in a variety of ways:

users who cannot connect to and search electronic sources directly, will benefit by library staff doing so on their behalf;
users who have the facility to connect and search, but do not have the expertise, will benefit from library staff teaching them to do so;
users who have the facility and expertise to connect and search, will be guided to apply this to their search for scholarly information;
users with a high level of expertise in electronic searching will benefit from subscriptions held by AU and linkages to electronic resources.

Library staff must be ready to assist users to move through this continuum.

Collaborations in the Year 2000 and Beyond
This is the area with the most outstanding issues as libraries negotiate such things as primary client groups and reciprocation, user authentication and policy issues. All librarians speak of access to users that is transparent as to source. Progress has been made within Council of Prairie and Pacific University Libraries (COPPUL) as identified below:

reciprocal loan program for faculty, staff and graduate students across western Canadian universities (Manitoba west)
a consolidated database of the journal holdings of universities in western Canada
consortial licensing of databases for Internet access (better price for COPPUL members)

If we were simply confined to inter-institutional collaboration for increased access, then the vision would be seamless access to holdings, reciprocal borrowing for all members, shared usage of collective databases, barrier-free access to the materials and information resources in all libraries.
However, and fortunately, AU's focus will not be solely on particular institutional holdings (including our own), but rather on access to electronic information to meet the demands for faculty research and to meet the information needs of AU students.
Whereas we might not be able to control the policies of institutions with which we will interact, we can have control over the development of gateways to broad information sources.
Taking this broader view of access, the real vision becomes one over which we have control if we plan carefully. The aim becomes the provision of access to the widest sources of information by the most users. This includes, but is not confined to, inter-institutional collaboration.
AU has a special concern with respect to institutions with which collaborative programs are mounted. AU must ensure that students in these programs have equitable access to information resources. This may mean assisting host institutions with hardware, software and training and negotiating borrowing privileges on an informal institution by institution basis.
The Continuing Issue of Interlibrary Loan (ILL)
Historically, Interlibrary Loan (ILL) has been an issue at Athabasca University. Faculty, staff, and graduate students benefit from the provision of the COPPUL reciprocal loan programme - most undergraduate students do not. The ILL borrowing times of other institutions vary, as does the turnaround time of the ILL transaction which depends on the location and availability of materials. We will continue to lobby for better service but other approaches are possibilities.
A focus on access to information in alternate formats will side-step this problem and improve access to information by students and the speed of access by faculty for research. To serve both these groups, AU Library must ensure access to a broad spectrum of databases and efficient document delivery services.

Vision Implementation - The Transition Into the Year 2000
Collections
AU Library must continue to develop The Reverend Edward Checkland Collection of distance education materials and collection of monographs and serials to support the courses developed and delivered by the University. In addition, it must provide the tools necessary for faculty research. The Library must continue its migration to information resources in electronic formats that can be readily accessed for course development and support for AU courses and research. While AU Library has acquired a number of information databases for use in the Library, it is essential that information resources be made available for access by staff and students on a remote basis, using the Internet.
The core in-house collection of resources must be coupled with electronic materials accessible by users over the Internet, including indexing and abstracting tools, Internet search tools, and the mechanisms for users to obtain the actual information (e.g., the journal article, the reading, or the audio-visual clip). The focus of the collection must be on the information needs of AU users engaged in study and research in the various subject areas represented in Athabasca University.
The Library must acquire the appropriate subscriptions and licensing to selected indexes and bibliographical and full-text databases, and use the most expedient technology to make this information available to both in-house and remote users. The collection of AU Library must be measured not only in terms of the materials housed in the Library but also the materials licensed and accessible by AU users.
In order to provide excellent accessibility to high enrolment courses, the Library must make accessible in digitized format, the supplementary materials from the Supplementary Materials List (SML) for courses with annual registrations of 200 or more.
Training and Education

Staff training:

The Library endorses the core competencies approach to training. As in other departments, baseline skills are variable. The expected outcome is that all staff be able to conduct their duties in the rapidly changing electronic environment. Staff will identify the key competencies they need and the Library will identify a plan to fulfil the training needs.

User education:

Library users must be made aware of, and trained in accessing and using information resources in existing and new formats. A comprehensive training program must be developed and implemented for library users to access and use the collection - books, journals, and electronic resources. Users must expect to receive library instruction that helps them get the most out of the resources available to them. Librarians and teaching staff must work together to integrate library instruction into the courseware. Information literacy, and library and research skills for lifelong-learning are areas that must be developed. Users must be taught to be effective users of information in all its forms.
The reference function has already been revitalized with the recent hiring of a reference librarian. This position will play a lead role in providing service to academic staff and teaching library users to access information sources. Plans are underway to place a public Internet work station in the AU Library. Learning Centres and collaborating institutions already have this facility.
Liaison With the University Community
All areas of the University have particular library needs. The academic staff have course development, course delivery and research needs. The Library Standing Committee (a standing committee of Academic Council) can function as the vehicle for input into library development. In order for this to occur academic members of this committee must be prepared to represent the academic community in this way.
Other staff members and students are not as clearly represented on The Library Standing Committee. At present, the librarians try to provide this input. Perhaps the composition of this group should be re-examined because some groups do not feel well represented. In addition, it may be that The Library Standing Committee should have a standing report at Academic Council.

Technology and Systems
The Systems Development Plan identified the need for an integrated library system. Appendix 1 outlines the specifics of such a system, but, in summary, library systems development must:

upgrade the existing library system to an integrated one that is Z39.50 compliant. Z39.50 and client/server technology are the capacities required to provide graphical user interface and complete integration of WWW resources (including full-text and images) automatically to the user. Z39.50 client/server technology will provide for seamless access to Internet resources and will facilitate user connectivity and access to other catalogues and resources.

Invest in technology to provide electronic reserve capability. This would provide the means for students, in a "one stop" approach, to search the catalogue and acquire selected and/or required readings through electronic reserve, request materials from the Library, or search and retrieve resources available on the Internet.

Investigate and adopt ILL systems technology that interfaces with the online public access catalogue and circulation systems to provide for more streamlined provision of ILL and document delivery.

Retain the database of the university archive holdings in the integrated library system.

Build and expand its WWW presence and utility by means of a WEB-based gateway through which patrons, both off site and on site, can access a variety of library services. This gateway would provide seamless access to our library catalogue and connect to catalogues of other COPPUL, libraries and selected other libraries. Links would be established to various selected Internet resources related to distance education and areas in which AU offers programs. The WEB gateway would provide access to forms for users to initiate selected services such as, but not limited to, circulation requests, reference inquiries, and interlibrary loan transactions. It would be preferable, from a student user perspective, that access to services should be one-stop and made as seamless as possible.

Summary
Guided by AU's Strategic University Plan, this Library Plan focuses on the user's needs recommending an approach that exploits technology to improve access.

Appendix 1 - Library System Needs
The Strategic University Plan (SUP), and the System Development Plan, clearly identify the Library as an area for systems development. Most recently the Library upgraded, through a lease arrangement, its acquisition and serials modules to Release 10 of the INNOPAC Library System.
The components that remain to be upgraded are the OPAC (the online catalogue), and the circulation and cataloguing functions. Ideally any future upgrade would result in a totally integrated library system that is Z39.50 compliant. An integrated system would be most beneficial to the full range of library users and staff. Of immediate benefit would be the enhanced functionality and savings in terms of staff time by eliminating the need to maintain two systems. Immediate savings would also be realized by streamlining database management functions and library operations. Furthermore, a more enhanced suite of services and functions would be available to library users. Students, for example, would benefit by having selected Internet resources available through the Library catalogue.
Specific requirements for the upgrade of the library system apply to three areas; the OPAC, the circulation module, and the catalogue module. The applications and utilities required are itemized as follows and would be integrated with the current acquisitions and serials controls modules:
The OPAC (the online public access catalogue) must accommodate the following functions:

World Wide Web interface. The capacity required is to incorporate selected Internet resources into the Library catalogue. This capacity will make selected sites linkable to the catalogue and will result in a "one-stop information shop" for users. The catalogue must be Z39.50 compliant to accommodate search and retrieval standards for Internet resources. Z39.50 also provides the capacity to search other library catalogues and databases as if searching the "home" catalogue.

Ease of Access. The Library catalogue must be accessible on a remote access by both http and telnet protocols; accommodating both graphical- and text-based user interfaces (i.e., Netscape, Mosaic, Lynx).

Authentication. The catalogue must be capable of verifying users linking to the library patron database, and the student information database.

Searching Capability. The catalogue must have the capacity to be searched by subject, title, author, keyword and a variety of other access points. The catalogue must have the capacity to be searched using extensive boolean logic, searchers being able to combine a wide range of tags into a specific search string.

Search Focus. The catalogue must have a limit function by which a search can be narrowed readily.

Browsing Capability. Capacity required is to "browse" by author, subject, title, and a variety of indexes.

Truncation features. The catalogue must provide the capability to search a root string of characters.

Information Management. There must be the capacity to file and/or print search results to system devices, and to e-mail search results to personal Internet accounts (those other than .athabascau.ca).

Tailoring Capacity. Capacity required is to "tailor" the record display.

Management of Search Results. There must be a capacity to transfer search results electronically from the catalogue to user accounts by themselves, or on their behalf.

Requests Online. There must be the capacity to request materials directly from the catalogue, to place holds on materials, and for patrons to check the status information of catalogued materials.

Menu Driven. The catalogue preferred would be menu driven, and would have a good quality online help function.

The circulation system must accommodate the following:

have the capacity to produce a packing list with the student's address. The system must provide for an option to generate a separate mailing label. The circulation system must interface with the student information system and reflect updated patron information immediately and on a regular basis.

accommodate various loan periods for various types of materials and for a variety of client groups.

have the capacity to do "global" renewals.

accommodate cataloguing on the fly or "quick-cataloguing".

accommodate the circulation of serial issues, and the counting of serial issues at the time of re-shelving

have the capacity to generate statistical data reflecting circulation activity of all materials (monographs, serials) by all patron groups; must be able to generate management data about loans, renewals, registrations, returns, recalls, various types of loan information, and patron group information (student, faculty, tutor, externals); must generate item use statistics and item history information.

have the capacity for patrons to check their own patron record (materials on loan, holds, etc.).

have the capacity to generate lists.

be a secure system.

The cataloguing function requirements are as follows:

templates

importing of records from bibliographic utilities and remote sources of MARC cataloguing.

separate databases (main, course materials, uncatalogued, reserve materials, analytics).

holdings integration; (i.e., one serial record that provides the holdings information about microfilm, fiche, hard copy, and electronic holdings).

global changes to entries.

good authority records. For example, a user should be able to search for "author=bates, tony" or "author=bates, anthony" and be able to determine and arrive at the authoritative entry efficiently and in a timely manner. "See" and "see also" references are essential, referring users to the authoritative headings.

Two additional areas to investigate are identified here because they are components of the library system: electronic course reserves, and Interlibrary Loan (ILL)
Electronic Course Reserves:

The catalogue would ideally accommodate electronic course reserves. This will provide for selected course material items to be cleared for copyright, scanned, and digitized for search and retrieval by students in particular courses. This feature may also accommodate copyright management, i.e. permission information input and tracking on the basis of number of copies printed.

Interlibrary Loan:

An ILL module should be investigated. Innovative Interfaces Inc. has an ILL module available. The intent for adding this module is to accommodate end-user ILL requests of materials not owned or unavailable from the holdings of AU Library. For example, a user having a bibliographic citation on-hand, would search first the holdings of AU Library. If the item is owned by AU, a request for the materials is made. On the other hand, if the item is not owned, the user would initiate an ILL request for the item.

Conclusion
This document outlines the needs identified to this point. The present library catalogue, circulation, and cataloguing systems are nearly 10 years old. To provide information services to the University's users groups in an environment that is increasingly more electronic in nature, and end-user driven, it is essential that a new system be acquired, one that is fully integrated and one that provides for the search and retrieval of selected electronic resources in addition to the specific holdings of AU Library.
AU students are already asking about some of the utilities outlined above, particularly the ability to search other catalogues through ours, and also to search and retrieve Internet resources through the AU Library catalogue.

Note: The Athabasca University Library Strategic Plan to the Year 2000 document has been endorsed by AU Library staff, the Library Standing Committee, and Academic Council. On March 20, 1998, the AUGC Finance Committee endorsed the recommendation to proceed with the INNOPAC integrated library system. It is expected that INNOPAC will be installed and implemented during the summer and into the Fall of 1998.