Downsizing in Academic Libraries: The Canadian Experience 9781442674042

Table of contents :
Contents
Tables
Figures
Preface
1. Introduction
2. Perspectives on Downsizing in the Literatures of Management and Library Science
3. National and Regional Trends in Enrolment, Expenditures, Holdings, and Staffing Levels
4. The Management of Downsizing
5. The Impact of Downsizing: Programs and Services
6. The Impact of Downsizing: Factors at the Organizational and Individual Levels
7. The Legacy of Downsizing
Appendix: List of Participating Libraries
References
Index

Citation preview

DOWNSIZING IN ACADEMIC LIBRARIES: THE CANADIAN EXPERIENCE

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Downsizing in Academic Libraries:

The Canadian Experience

Ethel Auster Shauna Taylor

UNIVERSITY OF TORONTO PRESS Toronto Buffalo London

www.utppublishing.com © University of Toronto Press Incorporated 2004 Toronto Buffalo London Printed in Canada ISBN 0-8020-8975-5

Printed on acid-free paper

National Library of Canada Cataloguing in Publication

Auster, Ethel, 1942Downsizing in academic libraries : the Canadian experience / Ethel Auster, Shauna Taylor. Includes index. ISBN 0-8020-8975-5 1. Academic libraries - Canada - Administration. 2. Academic libraries - Canada - Personnel management. 3. Libraries - Canada Reorganization. 4. Downsizing of organizations — Canada. I. Taylor, Shauna, 1961- II. Title. Z675.U5A857 2004 025.1'977 C2004-900152-3 This book has been published with the help of a grant from the Canadian Federation for the Humanities and Social Sciences, through the Aid to Scholarly Publications Programme, using funds provided by the Social Sciences and Humanities Research Council of Canada. University of Toronto Press acknowledges the financial assistance to its publishing program of the Canada Council for the Arts and the Ontario Arts Council. University of Toronto Press acknowledges the financial support for its publishing activities of the Government of Canada through the Book Publishing Industry Development Program (BPIDP).

Contents

Tables

vii

Figures

ix

Preface xiii

1 Introduction

3

2 Perspectives on Downsizing in the Literatures of Management and Library Science 11 3 National and Regional Trends in Enrolment, Expenditures, Holdings, and Staffing Levels 36 4 The Management of Downsizing 87 5 The Impact of Downsizing: Programs and Services 111 6 The Impact of Downsizing: Factors at the Organizational and Individual Levels 141 7 The Legacy of Downsizing 161 Appendix: List of Participating Libraries References185 Index

197

183

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Tables

1.1 1.2 3.1 3.2 3.3 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 5.1 5.2 5.3 5.4 5.5

5.6 6.1 6.2

Institutional response rate 9 Profile of questionnaire respondents 10 Average FTE enrolment by level of study 44 Average library expenditures per FTE student by type 62 Average staffing levels per 100 FTE students by type of position 82 Extent of use of a workforce reduction strategy 88 Extent of use of employee cost reduction tactics 89 Extent of use of a work redesign strategy 91 Extent of use of a systemic change strategy 97 Extent of employee involvement in downsizing decisions 103 Frequency of communication source 107 Frequency of communication medium 107 Frequency of transformational leadership behaviours 109 Number of respondents who indicated whether programs, services, or activities in the library have been eliminated in the last five years 112 Number of respondents who indicated whether any of the eliminated programs, services, or activities have affected them 112 Number of respondents who indicated whether any programs, services, or activities in the library have been reduced noticeably in the last five years 113 Number of respondents who indicated whether any reductions in programs, services, or activities have affected them 113 Number of respondents who indicated whether any new programs, services, or activities have been added to the library in the last five years 114 Number of respondents who indicated whether any of the new programs, services, or activities have affected them 114 Extent of agreement with organizational characteristics 143 Extent of agreement with attitudes towards the job 150

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Figures

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10

3.11 3.12 3.13

Cumulative percentage change in average FTE enrolment since 1982/83, CARL universities, Canada 40 Percentage change in average FTE enrolment over five-year periods CARL universities, Canada 41 Average FTE enrolment, CARL universities, by region, 1982/83, 1987/88, 1992/93, and 1997/98 42 Percentage change in average FTE enrolment over five-year periods, CARL universities, by region 43 Library expenditures as a proportion of university general operating expenditures and as a proportion of university total expenditures 47 Percentage change in average library expenditures by type over five-year periods, CARL universities, Canada 48 Types of library expenditures as a proportion of total library expenditures, CARL universities, Canada, 1982/83 to 1997/98 50 Average library expenditures per FTE student, CARL universities, Canada, 1982/83 to 1997/98 51 Percentage change in average expenditures per FTE student by type over five-year periods, CARL universities, Canada 52 Library expenditures as a proportion of university general operating expenditures, CARL universities, by region, 1982/83, 1987/88, 1992/93, and 1997/98 53 Percentage change in average library expenditures by type from 1982/83 to 1997/98, CARL universities, by region 54 Percentage change in average library expenditures over five-year periods, CARL universities, by region 55 Types of library expenditures as a proportion of total expenditures, CARL universities, British Columbia 57

x

3.14 3.15 3.16 3.17 3.18 3.19 3.20 3.21 3.22 3.23 3.24 3.25 3.26 3.27 3.28 3.29 3.30 3.31 3.32 3.33 3.34 3.35 3.36

Figures Types of library expenditures as a proportion of total expenditures, CARL universities, Prairie region 58 Types of library expenditures as a proportion of total expenditures, CARL universities, Ontario 59 Types of library expenditures as a proportion of total expenditures, CARL universities, Quebec 60 Types of library expenditures as a proportion of total expenditures, CARL universities, Atlantic region 61 Percentage change in average library expenditures per FTE student by type from 1982/83 to 1997/98, CARL universities, by region 63 Average holdings, CARL universities, Canada, 1982/83 to 1997/98 64 Percentage change in average holdings, over five-year periods, CARL universities, Canada 65 Average holdings of monographs and microforms per FTE student, CARL universities, Canada, 1982/83 and 1997/98 66 Average holdings of audio-visual and machine-readable materials, CARL universities, Canada, 1992/93 to 1997/98 67 Percentage change in average holdings from 1982/83 to 1997/98, CARL universities, by region 68 Average holdings per FTE student, CARL universities, by region, 1997/98 69 Average staffing levels, by type of position, CARL universities, Canada, 1982/83 to 1997/98 71 Cumulative percentage change in average staffing levels from 1982/83, CARL universities, Canada 72 Ratio of non-professional to professional staff, CARL universities, Canada, 1982/83 to 1997/98 73 Average staffing levels per 100 FTE students, CARL universities, 1982/83 to 1997/98, Canada 74 Percentage change in average staffing levels from 1982/83 to 1997/98, CARL universities, by region 75 Percentage change in average staffing levels over five-year periods, CARL universities, by region 76 Average staffing levels, CARL universities, British Columbia 77 Average staffing levels, CARL universities, Prairie region 78 Average staffing levels, CARL universities, Ontario 79 Average staffing levels, CARL universities, Quebec 80 Average staffing levels, CARL universities, Atlantic region 81 Percentage change in average staffing levels per 100 FTE students from 1982/83 to 1997/98, CARL universities, by region 83

Figures 3.37

xi

Ratio of non-professional to professional staff, CARL universities, by region, 1982/83 and 1997/98 84 4.1 Extent of use of a workforce redesign strategy: work changes. 92 4.2 Extent of use of a work redesign strategy: technology changes 93 4.3 Extent of use of a work redesign strategy: structural changes 94 4.4 Changes relating to work, technology, and structure, library level 95 4.5 Changes relating to work, technology, and structure, regional level 96 4.6 Extent of use of downsizing strategies 97 4.7 Extent of use of downsizing strategies, regional level 98 4.8 Extent to which changes in reward and recognition systems have been implemented in connection with the downsizing effort 100 4.9 Extent to which changes in employee appraisals systems have been implemented in connection with the downsizing effort 101 4.10 Extent to which training and orientation programs for staff have been implemented in connection with the downsizing effort 102 4.11 Extent of employee involvement in downsizing decisions 103 4.12 Extent of employee involvement in downsizing decisions, library level 105 4.13 Frequency of transformational leadership behaviours, library level 110

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Preface

The 1990s presented both challenges and opportunities for managers of libraries. In the early years of the decade, a severe recession engulfed many sectors of the economy. With less money at their disposal, federal and provincial governments reduced their transfer payments to publicsector institutions that were traditionally heavily dependent on them for financial support. Universities endured repeated cuts to their budgets, and in light of decreasing government subsidies, they had little alternative but to reduce the amount of money available to their component units. Academic libraries, largely dependent for their funds on their host universities, faced years of repeatedly shrinking budgets. Their situation was compounded by the decreasing value of the Canadian dollar relative to its U.S. counterpart and the increasing use of rapidly changing technologies to perform functions and deliver services. As the decade wore on, with scant relief in sight, we started wondering how this prolonged period of decreasing resources was affecting academic libraries. How was it being handled? What was changed? What remained the same? Were there opportunities for innovation and creativity? Anecdotal evidence presented to us by practitioners confirmed that changes were occurring to virtually every aspect of the library, to staff, to collections, and to services. As we listened, it became clear to us that a research study was needed to investigate how academic libraries were managing under conditions of downsizing. We envisioned a study, national in scope, that would examine not only what was being done to adapt to shrinking resources but how these changes were being implemented. We were interested not only in the theoretical framework used to examine such situations but in the real-life experiences of the professionals working on the frontlines. Before we could begin to research how

xiv

Preface

academic libraries were managing downsizing, we had to verify whether downsizing had actually taken place. This required a prior and separate study that examined the post-secondary education environment in which the academic libraries were situated. The results of our work could then be viewed within the broader context of student enrolments, university expenditures, library holdings, and staffing levels. Once statistical analysis confirmed our premise that downsizing was indeed pervasive, we were ready to proceed with the formulation of research questions that would focus and define the scope of our subsequent work. To begin with, we wanted to know how other researchers had gone about looking at downsizing. By reviewing the research literature we would discover what was already known about the topic and therefore did not need to be repeated and which investigative approaches had proved to be most fruitful. We wanted to ascertain what strategies managers actually use to reduce staff and the effectiveness of the processes they employed when doing so. The changes to programs and services that followed downsizing efforts were important, as were the consequences of these changes. Organizational climate and employee attitudes towards the job concerned us as well. Last, we wanted to reflect on the meaning and possible lessons of this decade of upheaval. These interests and concerns resolved themselves into the four research questions presented in Chapter 1. These questions served not only to guide our investigation but also to shape the contents of this book. Chapter 1 presents an introductory overview of the study including the objectives, research questions, study population, data collection methods, and profile of respondents. Chapter 2 reviews the relevant literatures on downsizing from the perspectives of management and library science. Chapter 3 presents a statistical analysis of national and regional trends in enrolment, expenditures, library holdings, and staffing levels. Chapter 4 describes the strategies and processes used to implement downsizing. Chapter 5 details the impact that downsizing, including the changes made to programs and services and the consequences of these changes, had on the professional library employees who experienced them. Chapter 6 shows the impact downsizing had on the organizational climate of the libraries and on the attitudes of professional employees towards their jobs. The book concludes with Chapter 7 which discusses the legacy left by downsizing in the academic libraries and the issues that raises for managers, stakeholders, and researchers. This book will be of interest to policy makers in government, universi-

Preface

xv

ties, and libraries; to managers and staffs of academic libraries; to researchers, teachers, and students of organizational strategies, processes, and behaviour, and library and information studies; and, indeed, to all stakeholders of academic libraries who are interested in what took place in the 1990s as a result of downsizing in Canadian academic research libraries. The research upon which this book is based took place over a period of seven years. During that time, many organizations and people contributed to our work and helped to ensure its successful completion. We acknowledge with gratitude the financial support of the Social Sciences and Humanities Research Council of Canada. The Canadian Association of Research Libraries endorsed the study and through its executive director, Tim Mark, continued to encourage us throughout. The chief librarians, directors, and chief executive officers of the Canadian academic research libraries provided access to their staff while their human resources personnel provided us with verified staff lists. These included language preference, which allowed us to direct English or French versions of our questionnaire as appropriate. We wish to thank the 1,154 academic librarians who responded to our survey and wrote extensively of their experiences. We trust that we have done justice to the faith and trust they put in us. The development of the lengthy, bilingual questionnaire benefited from the superb translation skills of Eric Schvartz and Clement Arsenault, the astute suggestions of the pre-test focus group, and the scholarly generosity and encouragement of Kim Cameron. Ray Ferris and his staff were responsible for the accuracy of the data processing and the translation and transcription of qualitative responses. Our colleague Donna Chan not only wrote Chapter 3, which analysed the national and regional trend data, but she also provided statistical knowhow throughout the study. The Inforum staff handled all requests for information and materials with efficiency and good humour. Susan Brown and Kathy Shyjak kept us financially responsible; Ricky Cameron handled our secretarial needs, and Curline Francis directed voluminous quantities of out-going and in-coming mail. We are grateful to them all.

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DOWNSIZING IN ACADEMIC LIBRARIES: THE CANADIAN EXPERIENCE

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CHAPTER 1

Introduction

The 1990s was a very difficult period for Canadian universities. For almost a decade, governments cut back their expenditures on higher education, which meant that universities received substantially less money from them. Reductions in government support forced universities to rely more heavily on alternate non-public sources of revenue such as tuition fees, investment income, gifts, donations, and contracts and grants from the private sector. Yet despite these other sources of funding, universities have not been able to make up for the loss in government funding. Since 1993, the real level of government support, adjusted for inflation, is down by an average of 20 per cent across Canada (Association of Universities and Colleges of Canada (AUCC) 1999). In response to these unprecedented financial cuts, virtually all Canadian universities have had to downsize, in terms of services and staffing levels — while at the same time accommodating significantly increasing student enrolment levels. In learning how to do more with less, they have also had to reevaluate how their institutions work and even reconsider the missions of the academy. Background to the Study

The academic library is a sub-unit of the larger and more complex university. It is tightly tied to and fiscally dependent on its parent institution. Like their strained parent institutions, Canadian academic libraries are being stretched like never before. Libraries and the services they offer are an intrinsic and essential part of the mission of the university. Libraries are expected to acquire or promote access to the resources necessary to support teaching and research at their institutions. They are

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Downsizing in Academic Libraries: The Canadian Experience

also expected to devote more time than in the past to teaching and research, providing more support to students, and exploring and experimenting with new means of making the world's accumulated knowledge accessible (Field 1996). This would be a challenge in the best of situations, and academic libraries have been hard pressed to meet their basic mission to select and acquire, organize, provide equitable access to, and preserve information of all types, while burdened by the millstone of declining operating budgets. Compounding the fiscal situation in Canadian academic libraries are a number of trends, including the increase in price of all library materials and the shrinking value of the Canadian dollar, the enormous expansion of the body of published knowledge, changing technologies for the delivery of information, and greater demands for library services. These trends put a relentless squeeze on existing resources while simultaneously demanding more spending. It is not likely that any of these trends will become less significant or less ubiquitous in the years ahead. The current financial situation and the general economic climate facing higher education will not substantially improve any time soon. Thus, for academic libraries the coming years will require greater refinement of purpose and invention in method. Choices will have to be made on an ongoing basis and new ways of accomplishing library objectives will have to be found. Over the past two decades, organizations of all types and sizes have been under constant pressure to cope with factors such as resource scarcity, increased competition, slow economic growth, vastly increased utilization of information technology, and an increase in mergers and/ or acquisitions. Often, an adaptive response to these environmental pressures has been organizational downsizing. In fact, downsizing represents one of the most widespread organizational strategies employed by management today (Vanderheiden, De Meuse, and Bergmann 1999). Although the stimuli to downsize can be many and varied, the basic motivation is to optimize the achievement of fundamental organizational objectives, such as improving effectiveness, efficiency, and productivity. Some of the expected benefits from downsizing are lower overhead costs, less bureaucracy, higher profits, and greater efficiency in decisionmaking, communication, and productivity (Cascio 1993; Freeman and Cameron 1993). Yet, after nearly two decades of indiscriminate downsizing, the purported organizational benefits have not materialized (Cascio 1993; De Meuse, Vanderheiden, and Bergmann 1994).

Introduction

5

Although the theory is that downsizing has positive outcomes for the organization, in fact, the negative consequences of downsizing often outweigh the benefits. The negative consequences associated with downsizing are well documented; they include loss of productivity, downtime of employees learning to do more with less while simultaneously learning new jobs, increased job insecurity among those not laid off or fired, reduced loyalty to the organization, and general demoralization (e.g., Noer 1993; Tomasko 1991). Much of the recent theoretical development related to organizational downsizing has been directed towards individuals who survive downsizing (e.g., Armstrong-Stassen 1993; Brockner, Greenberg, et al., 1986; Brockner 1990; Mishra and Mishra 1994; Mone 1994; O'Neill, Lenn, and Caimano 1995). The general consensus is that downsizing affects the emotions, attitudes, and behaviours of those who remain in the organization. The impact on them is often referred to as the 'survivor syndrome' and is considered to be a major contributing factor to the failure of most organizations to achieve their objectives after downsizing (Clark and Koonce 1995; Labib and Appelbaum 1993). The symptoms of survivor syndrome are lack of motivation, loyalty, and trust, together with feelings of fear, anxiety, depression, guilt, sadness, and anger (Noer 1993). These employee attitudes influence behaviour and action and may have an impact on performance level. Consequently, it bears remembering that an organization's post-downsizing success is contingent upon the reactions of the remaining employees. Downsizing is a complex phenomenon. Many issues intervene between the decision to downsize, the implementation of downsizing, and the eventual impacts of downsizing at the levels both of the individual and organization (Cameron, Freeman, and Mishra 1991,1993; Kozlowski et al. 1993). There is, however, a wide gap in the theory and research addressing the implementation processes of downsizing and the impacts of these processes on outcomes. There is a need for research that recognizes the perspective of the individual employee who remains. This requires the development of a comprehensive framework of downsizing that takes into consideration all three of the following components: (1) the strategies used to downsize, (2) the processes used in implementing downsizing, and (3) the impacts of downsizing at both the individual and the organizational levels. Amidst a high level of awareness of the problems and consequences associated with organizational downsizing, few investigative efforts have focused on downsizing in academic libraries. Although there is some

6

Downsizing in Academic Libraries: The Canadian Experience

anecdotal material on why downsizing has occurred, how it has been managed, and what its impacts are likely to be, there is little substantiating theory and even less research. As a result, we are currently uninformed about the implementation of downsizing and the impact this has had on Canadian academic libraries. How library employees react to downsizing and what issues need to be confronted are critical questions for library directors and senior management; the surviving library employees are too important a resource to risk alienating. Study Objectives

Our study investigates the patterns of downsizing in academic libraries in Canada, with the following three objectives: to provide a comprehensive and in-depth picture of their downsizing over the fifteen-year period represented by the academic years 1982/83 to 1997/98; to document the strategies and processes that were used to implement the downsizing, particularly during the last five-year period examined (1993 to 1997), which followed the recession of the early 1990s; to determine what outcomes these had for the libraries examined and the librarians who work in them. Research Questions / To what extent did downsizing take place in Canada's academic libraries?

After the recession of the early 1990s, word-of-mouth stories of downsizing proliferated, and the business literature paid abundant attention to organizational downsizing in both the not-for-profit and for-profit settings. This treatment in other sectors highlighted the need to update the research on Canadian academic libraries, although an earlier study (Auster 1991) provided a statistical portrait of the period 1972/73 to 1982/83. While student enrolments were increasing in the 1970s, library budgets, holdings, and staffing levels experienced cutbacks or, at best, modest expansion, and by 1982/83, 'fewer staff were serving more students from collections that had failed to sustain adequate growth' (1991: 185). What happened since 1982? Would objective data confirm the abundant anecdotal evidence? Statistical data were obtained and analysed in order to describe national and regional trends as experienced by university libraries in Canada (see Chapter 3).

Introduction

7

2 How was downsizing implemented in academic libraries?

Once we knew the breadth and depth of the pervasive downsizing that had indeed occurred, we turned our attention to how the downsizing had been managed. Academic research libraries were and still are under intense pressure to cut costs and simultaneously improve the quality of services. The question is, how are they doing this? What does it mean to do less with fewer resources? Cameron, Freeman, and Mishra (1991, 1993) identified three types of downsizing strategies: workforce reduction, work redesign, and systemic change. The first aims to reduce the number of employees in an organization. The aim of the second is to change work processes and organizational arrangements in order to reduce the amount of work rather than the number of employees. The third aims to promote more fundamental change that affects the structure and thus the culture of the organization. The three downsizing strategies can be implemented individually or jointly: Downsizing may be realized solely through reducing the size of the workforce, or in combination with reducing the quantity of work undertaken and/or structural and cultural changes in the organization. Once the downsizing strategies are identified, the processes of implementing them must be selected and managed. The processes that occur in organizations as they downsize are significant, and some of the most important ones are: participation, communication, and leadership. The way these processes are used influences the way organizational change is understood and accepted. The primary objective of the processes by which downsizing is managed is to ameliorate the negative effects of downsizing. 3 What impact has downsizing had on academic libraries? The services the library provides are central to the mission of the university. Through provision of these services the library interacts with its user community and meets the needs of its constituents. While public investment in post-secondary education has been declining, demands on the system to meet the educational and research needs of a knowledge-based economy have been increasing, as the new capabilities of information and communications technology provide ever-greater capacity to access information. Rapid advances in technology and heightened user expectations have forced change at an accelerated pace. How have academic libraries changed? Specifically, what changes have been made to the

8

Downsizing in Academic Libraries: The Canadian Experience

library's programs and services in conjunction with the need to downsize? What were the choices made so that fewer resources could be stretched across existing responsibilities? Downsizing has many consequences. Employee attitudes and work behaviours are negatively affected as employers cut the number of people they employ, redesign work, or change the organizational culture. The collective attitudes of employees affect the organization as a whole. Cameron, Freeman, and Mishra (1993) identified twelve characteristics that emerge in organizations during downsizing and negatively transform the climate of the organization. A negative organizational climate may undermine any efforts for long-term organizational improvement. 4 What is the legacy of downsizing in academic libraries?

The approaches we used to study downsizing are wide-ranging and yielded much information. We knew the breadth and depth of the downsizing that had occurred across the country. We learned the management strategies and processes used to implement the downsizing. We documented the changes that took place with regard to the programs and services delivered by academic libraries. We found that downsizing had an impact not only on the organizational climate but on survivors' attitudes towards their jobs. We had hard numbers and personal experiences to describe a decade of cutbacks. The ultimate challenge, however, was to ascertain the meaning of these disparate data and determine what was of ultimate and long-lasting importance to the academic library. Study Population

The population of the study consists of the professional employees (excluding chief librarians) of all but one of the university libraries that are members of the Canadian Association of Research Libraries (CARL). These libraries were selected because of their importance in the Canadian academic library community. Their combined holdings form the largest, and in many respects, the most comprehensive library resource for study and research in Canada. At the time of this study CARL comprised Canada's twenty-seven major university libraries, the National Library of Canada, and the Canada Institute of Scientific and Technical Information. Membership is institu-

Introduction

9

TABLE 1.1 Institutional response rate (A/= 26) University

Questionnaires sent (n)

L1 L2 L3 L4 L5 L6 L7 L8 L9 L10 L11 L12 L13

59 26 33 35 61 38 42 29 42 17 60 98 36

Response rate (%)

73 85 73 51 66 71 67 83 81 82 67 50 72

University

Questionnaires sent (n)

Response rate (%)

L14 L15 L16 L17 L18 L19 L20 L21 L22 L23 L24 L25 L26

30 25 39 18 30 183 29 34 42 23 39 50 44

83 72 79 67 73 67 59 68 64 70 51 68 73

tional, and is open primarily to libraries of Canadian universities that have doctoral programs in both the arts and the sciences. Ontario had the largest concentration of CARL member institutions (ten). All CARL university libraries were invited to participate in our study; one declined to do so. The twenty-six CARL member universities that participated in this study are listed in the appendix. Data Collection A total of 1,154 survey questionnaires were mailed to librarians employed in participating CARL member libraries. The number of surveys sent to each library ranged from 17 to 182. Surveys were received from all twenty-six libraries, for a 100 per cent response rate at the institutional level. The lowest individual response rate from any one library was 50 per cent, while the highest was 85 per cent. At the individual level, overall, 789 of the 1,154 questionnaires were returned, for a response rate of 68 per cent. Thirty-one individual respondents (4 per cent of the total returned) indicated that downsizing had not occurred in their libraries and therefore they were excluded from the analyses. The number of questionnaires usable for analysis was 758. Table 1.1 shows the institutional response rate.

10

Downsizing in Academic Libraries: The Canadian Experience TABLE 1.2 Profile of questionnaire respondents (N = 758) Sex

Percentage

Male Female

29.0 71.0

Age group 65

Not stated

0.0 6.2 22.1 49.3 21.4 5.0 5.0

Years in current library system 20 Not stated

20.0 13.9 14.7 37.6 1.0

Profile of Questionnaire Respondent

The 'typical' respondent is female, between the ages of 45 and 54, and she has worked in her current library system for more than twenty years. Table 1.2 shows the respondents' profile by sex, age, and years of service In the next chapter, we will further define organizational downsizing and describe the theory on which this research study is based.

CHAPTER 2

Perspectives on Downsizing in the Literatures of Management and Library Science

To ground our study, we undertook a literature review, which we summarize here in two sections. First, we explored organizational downsizing with specific attention to how downsizing is defined, the strategies used to accomplish it, the processes used to manage it, and the ensuing consequences associated at the level of both the individual and the organization. Second, we examined the literature on downsizing as it pertains to the field of library science. Organizational Downsizing

Downsizing has been a pervasive phenomenon of the workplace since the mid-1980s. Today, downsizing represents one of management's most widely used organizational strategies (Vanderheiden, De Meuse, and Bergmann 1999). Downsizing has touched almost all organizations, whether they be for-profit companies or a not-for profit university, agency, or church. Indeed, 'as America enters the twenty-first century, we see that organizational downsizing has become solidly entrenched in its corporate and public sectors' (McKinley, Zhao, and Rust 2000: 227). Moreover, this seems to be a global phenomenon. In a 1993 study of six industrialized countries (Canada, France, Germany, Great Britain, Japan, and the United States), it was found that more than 90 per cent of the firms had downsized, and more than two-thirds were planning to do so again (Wyatt Group 1993, cited in Cameron 1998: 186). The most common reasons why management may decide to downsize are economic contractions, competition for the production and sales of goods and services, increased applications of technology in the workplace, increased availability of a contingent workforce, and changes in

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Downsizing in Academic Libraries: The Canadian Experience

public policy (Appelbaum, Simpson, and Shapiro 1987; Cascio 1993; Freeman and Cameron 1993; Kozlowski et al. 1993). When we conceptualize downsizing within these frameworks, we are speaking of downsizing both as a response to and as a catalyst of organizational change. 'Downsizing' is a term that originated in popular business usage, and as a consequence it lacks a universal definition. It first appeared in the automotive industry during the mid-1970s and referred to the practice of producing smaller, more economical cars (Oxford English Dictionary]. By the early 1980s the term 'downsizing' had come into general usage to mean workforce reductions of blue-collar employees in the manufacturing sector. Soon after, it became a commonplace expression, as interest in the subject intensified and the scope of downsizing broadened beyond manufacturing organizations and blue-collar employees to include the professional staff of service organizations. Moreover, 'downsizing' took on a broader definition encompassing not only change in the size of the workforce but also changes in what work was done and the way it was done. Efforts by researchers to bring more precision to the term 'downsizing' have resulted in the pre-eminence of two definitions, the distinction being between whether the term is narrowly or broadly defined. Narrowly restricted, downsizing is the planned reduction of an organization's workforce (Brockner 1988a, 1988b; Cascio 1993; McCune, Beatty, and Montagno 1988; McKinley, Sanchez, and Schick 1995). Broadly defined, downsizing is a 'set of activities, undertaken on the part of the management of an organization, designed to improve organizational efficiency, productivity and/or competitiveness. It represents a strategy implemented by managers that affects the size of the firm's work force and the work processes used' (Freeman and Cameron 1993: 12). In accordance with this viewpoint, downsizing encompasses a wide variety of activities beyond workforce reductions. It may include any number of combinations of personnel reductions, work redesign, and organizational restructuring. For the purposes of our study, we follow Freeman and Cameron (1993), and define downsizing as 'a planned organizational change made in response to declining resources. It is a set of strategies undertaken on the part of management that has wideranging implications for many aspects of the organization including the personnel, processes, structure, and climate. Organizational downsizing may involve workforce reduction, changes to programs and services, and simplifying processes.' Although the stimuli to downsize may be many and varied, the basic motivation is to optimize the achievement of fundamental organizational objectives, for example, improving effectiveness, efficiency, and productivity.

Perspectives on Downsizing

13

Implementing Downsizing

Initially, decisions must be made as to what segments of the organization will be targeted and what strategies will be used to accomplish the downsizing. Once the downsizing strategies have been identified, the processes must be implemented and managed. These are important because they influence the way in which organizational change is understood and accepted. Downsizing Strategies

The most extensive empirical investigation of downsizing to date is a four-year longitudinal study by Cameron, Freeman, and Mishra (1991) of thirty organizations in the American auto industry. During their study's timeframe, these researchers conducted multiple interviews with the chief executive officers (CEOs) and collected 2,500 questionnaires from a sample of white-collar employees from these same organizations regarding their perceptions of the strategies, culture, leadership, and outcomes of the downsizing. Based on this research, Cameron, Freeman and Mishra (1991, 1993) advanced a typology of three core strategies that organizations use to downsize. One is a workforce reduction strategy aimed at reducing an organization's number of employees. It may consist of such tactics as offering early retirement, transfers and outplacement, buyout packages, attrition, and layoffs and firings. While the main advantage of this strategy is one of cost reduction, its disadvantage is that it is difficult to predict who will go. Consequently, it may lead to the loss of critical knowledge, skills, and abilities and have negative consequences for remaining employees. The second type of downsizing strategy is work redesign, which involves changing work processes and organizational arrangements so that the amount of work is reduced rather than the number of employees. This can be accomplished through three basic elements: changes in work, such as eliminating specific tasks; changes in technology such as introducing automation; and/or changes in structure, as in the case of merging two departments that have overlapping functions. The main advantage of this strategy is the degree of efficiency that should result from the organization's redesign, as in the cases of simplified work processes and a more streamlined structure. The disadvantage is that it is difficult to implement quickly because it requires some advanced analysis of the areas to be redesigned. The third downsizing strategy is systemic change to structure and, thus, the culture of the organization. Changes are directed at the values

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Downsizing in Academic Libraries: The Canadian Experience

and beliefs that govern employee behaviour. This strategy also focuses on the internal (e.g., human resource) and external (e.g., suppliers and customers) systems of the organization. It may consist of activities such as employee development programs to reinforce new career paths and new performance standards, changes in the reward and recognition systems of the organization, and employee (re) training programs. The advantage here is that employees are valued as critical resources needed to successfully implement downsizing. Rather than being targets for cost reduction, employees are seen as strategists in identifying cost savings. This is a long-term strategy and, as a consequence, will not generate the immediate reductions in expenditures that a workforce reduction strategy will generate. In fact, it may lead to an increase in spending while the organization invests in employee development and training. These three downsizing strategies are not mutually exclusive; they can be implemented individually or jointly. Downsizing may occur solely through reducing the size of the organization's workforce or in combination with one or both of the other strategies with their focus on reducing the amount of work undertaken and bringing about structural and cultural organizational change. Organizations that rely solely on a workforce reduction strategy experience a reduction in organizational performance (Cameron, Freeman, and Mishra 1991). In comparison, when work redesign and systemic change strategies are used, organizational performance is enhanced. However, the highest levels of performance are achieved in organizations that used all three strategies in concert. Yet, according to Cameron (1994), it is much more common for organizations that are downsizing to rely on several methods of a single strategy than to adopt several alternatives across the different strategies. Downsizing Processes

Downsizing is one of the most disruptive and dramatic types of change that an organization is likely to experience (Drew 1994). Thus, the management of downsizing is a subset of the more general problem of managing change. As in any organization preparing for any change, personnel management is a difficult problem. Downsizing may have a tremendous impact on people, especially because of related consequences such as job loss or relocation, new working environments, or new technologies (Tomasko 1993). Downsizing challenges people's perceptions of their organization and their place in it. It increases uncertainty and brings a concomitant rise in stress levels, together with a decrease in satisfaction, commitment, intentions to remain in the organization, and

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perceptions of the organization's trustworthiness, honesty, and caring (Cascio 1993; Mone 1994; Noer 1993). These attitudes may spread and become endemic. Employee attitudes are intangible and, as a result, often difficult to assess and manage. Consequently, management often underestimates them and their powerful effect on achieving the organization's goals. The primary function of the processes used to manage organizational downsizing is to ameliorate the negative effects that downsizing may have on the individuals who remain in the organization. A number of implementation processes used when downsizing - particularly, participation, communication, and leadership - may ameliorate its negative effects (see Appelbaum, Leblanc, and Shapiro 1998; Brockner 1992; Cameron, Freeman, and Mishra 1993; Freeman 1999). A major theme in the literature on change is that decentralized decision-making is conducive to successful organizational change and adaptation. Indeed, employee participation has long been recognized as a tool for reducing resistance to change and gaining support (Coch and French 1948). Participation encompasses a range of policies that, at the low end, permit employees to suggest improvement and, at the high end, provide all employees with the motivation and authority to continuously improve how the organization operates. Employees affected by change may resist either actively or passively (Clark and Koonce 1997). In the case of downsizing, such reactions can appear as visible resistance to new objectives or as subtle resistance to new ways of doing work, and they can jeopardize or even destroy the goals that the changes were intended to produce. Organizational change theory suggests that those who are to be affected should be involved in the decision-making that brings the change about (see Jick 1993; Ranter 1984; Tichy 1983). By encouraging participation in decision-making, organizations can increase both the probability that the change will be accepted and the overall effectiveness of that change (Tichy 1983). The more extensive the anticipated changes, the more people have reason to be involved (Freeman 1992). For example, changes in structure and the redesign of jobs should move decisions to lower levels of the organization so that the targeted employees may make relevant and salient decisions about their work and work lives (Kotter 1996). Involving employees in decision-making helps secure their commitment, reduce their resistance, and thus motivates them to make the change work (Coch and French 1948; Ranter 1984; Rotter and Schlesinger 1979). When change is occurring at multiple levels of an organization, as is

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Downsizing in Academic Libraries: The Canadian Experience

usually the case when downsizing, more people need to be involved because top managers do not have all the relevant knowledge or details necessary to plan and execute the change. People have a greater quantity and diversity of information about their own jobs and, in most cases, are in the best position to know how to solve the problems associated with their jobs because they are closest to the situation (Kotter 1996). Although it is not always possible, it is crucial to involve employees in at least part of the decision-making process related to downsizing (Appelbaum, Leblanc, and Shapiro 1998; Brockner 1992; Hardy 1987). Such involvement helps employees better understand the constraints and opportunities facing the organization, as well as reduces feelings of powerlessness, while providing a forum in which employee interests can be protected. Communication is one of the most important processes of downsizing, yet management often reduces communication while downsizing (Brockner 1992; Cameron, Freeman, and Mishra 1993; Freeman 1999; Hirschhorn 1983). Numerous reasons have been given for this. One is that downsizing happens so fast that it results in too much to do in too little time (Kets de Vries and Balazs 1997). A second is that downsizing is a stressful event, and during stressful times no one likes to be the bearer of bad news. A further reason for insufficient communication is the management dilemma of whether to reveal or conceal bad news. Management is reluctant to share any negative information during downsizing periods for fear of damaging employee morale and productivity (Kets de Vries and Balazs 1997). The literature on organizational change and downsizing consistently reports that employees become preoccupied with how the changes could affect them (e.g., Brockner 1992; Isabella 1989; Schweiger and DiNisi 1991; Smeltzer 1991; Smeltzer and Zener 1992, 1995). Survivors of downsizing worry about their long-term job security and future possibilities for promotion and advancement (Isabella 1989). Anxiety and feelings of insecurity about their ability to function in a new environment also plague survivors, especially if their jobs are redesigned as part of the downsizing. Schweiger and DiNisi (1991) contend regardless of its cause, failure to communicate increases employee uncertainty, stress, and anxiety levels. The common management practice of deliberately withholding information regarding organizational change results in employees feeling starved for information, especially in an uncertain environment (Hirschhorn 198S; Isabella 1989). One way that organizations may minimize the negativity felt by survi-

Perspectives on Downsizing

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vors after a downsizing is to design survivor programs that seek to communicate consistent and clear information concerning the transition plans (e.g., Appelbaum, Everard, and Hung 1999; Brockner 1992; Clark and Koonce 1997). Employees will benefit from information about the reasons for the downsizing, how they will be affected, what will be required of them following the changes, and what help they will be given to adapt to the new demands placed on them. In other words, communication should be proactive, not reactive. Furthermore, information regarding downsizing should be shared early on in the process rather than later. Leadership style counts. The literature on organizational downsizing is quite consistent on this. For example, in their extensive literature review Kozlowski et al. (1993) point out that among the most common mistakes when downsizing is the tendency towards an authoritarian management style. Organizations that implement downsizing effectively couple strong leadership at the top of the organization with communication (Cameron, Freeman, and Mishra 1993). In an extensive benchmark study on downsizing, entitled Serving the American Public: Best Practices in Downsizing (1997) the research team chartered by Vice President Al Gore's National Performance Review* found that senior leadership plays a vital role in downsizing. Successful downsizing resulted when senior leadership became involved early on in the process, remained visible and active throughout the process, and was perceived by employees to be their source of communication concerning major downsizing actions. One of the most difficult tasks for senior management in managing change during downsizing is to challenge 'the way things have always been done.' Senior management plays a critical role in creating a vision of the future for the organization, motivating employees to embrace that vision, and providing the necessary resources and support for employees who strive towards the realization of the vision. Without a clear understanding of where the organization is headed, it is very difficult for employees to understand why their jobs are being eliminated or their work processes changed when they are doing as good a job - if not better - than they have always done. Employees need to know the *Eight federal agencies joined together to study the topic of downsizing. The sample consisted of a mix of federal agencies, state and city governments, and several private sector companies, all of which had been recognized for best practices in some area of downsizing. For further discussion see, http://www.npr.gov/library/papers/benchmrk/ downsize.html.

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Downsizing in Academic Libraries: The Canadian Experience

rationale behind the downsizing, the expected organizational benefits, and the personal ramifications - be they positive or negative. One important benefit of having senior management explain the reasons for downsizing to employees is that it helps dispel rumours. Another is that it demonstrates to employees that senior management are aware of what is happening, are committed to keeping their people informed, and are concerned about the impact of its decisions on their employees. A belief that senior management are reliable, credible, and trustworthy may lead to more constructive employee responses during downsizing (Mishra and Mishra 1994). When implementing organizational downsizing senior management need to be sensitive to the fact that they play an integral role in mobilizing and motivating employees towards change and that their actions and statements will be scrutinized by employees. It is critical that they provide employees with a clear picture or vision of the future, demonstrate commitment to change, tell people exactly what is expected of them, and offer positive reinforcement. When the organization has a widely shared and clear sense of its purpose, direction, and desired future state, people in the organization are able to define their roles in that organization. The Effects of Downsizing

The consequences of downsizing are many. At the individual level, there are likely to be changes in attitudes towards the job, as employers cut the number of people they employ, redesign work, or change the organizational culture (Brockner 1988a, 1988b; Cameron, Freeman, and Mishra 1993; Isabella 1989; Noer 1993). There may be a loss of productivity and a drop in long-term financial performance (De Meuse, Vanderheiden, and Bergmann 1994; McKinley, Sanchez, and Schick 1995; Morris, Cascio and Young 1999), as well as a negative organizational climate (Cameron, Freeman, and Mishra 1993). Individual Level

The goals of personnel and human resources management are to staff an organization with competent, high-performing employees capable of sustaining their performance level over the long term. These goals are consistent with contemporary human resources philosophies that emphasize that organizational success is directly related to success in attracting, developing, and retaining a competent and motivated workforce. Yet downsizing may be an obstacle to achieving these goals given that

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reducing the number of employees still continues to be the primary downsizing strategy used today. In response to the downsizing phenomenon, there has been much research on the effects of layoffs both on employees who have been terminated (the victims) and those who remain (the survivors). The general finding from the fields of psychology and sociology is that victims of layoffs, along with their families, experience a high degree of stress on many levels - financial, sociological, psychological, and physiological (Leana and Ivancevich 1987; Leana and Feldman 1988, 1992). There has been research on the role of institutional support systems in assisting layoff victims (Latack 1990; Leana and Feldman 1988, 1990, 1992) and in managing downsizing in terms of the fairness of treatment, respect, compassion, and sensitivity towards the victims (Bennett, et al. 1995). Generally, it is proposed that treating laid-off employees with respect and dignity while providing support systems and programs (such as job search assistance, extended medical coverage, and retraining) helps them to cope better with their job loss. As well as those who were laid off, there are those who continue to be employed by the organization. Survivors' emotions, attitudes, and behaviours are affected by the downsizing (Brockner 1990; Greenhalgh and Rosenblatt 1984; Noer 1993; O'Neill, Lenn, and Caimano 1995). The impact on these remaining employees is often referred to as the 'survivor syndrome' and is considered to be a major factor contributing to the failure of most organizations to achieve their objectives after downsizing (Clark and Koonce 1995; Labib and Appelbaum 1993). The symptoms include lack of motivation, loss of loyalty and trust, and feelings of fear, anxiety, depression, guilt, sadness, and anger (Noer 1993). These emotions and attitudes of survivor syndrome affect behaviour making these individuals indecisive and risk-averse, and reducing their commitment to the organization (Brockner, Greenberg, et al. 1986; Brockner, Grover, et al. 1987; Cascio 1993; Noer 1993). Interestingly, Allen (1997) points out that victims and survivors of downsizing share the same set of characteristics. The only difference is that the victims take their negative feelings elsewhere, while the survivors remain in the organization. The long-term implications of survivor syndrome - lowered morale and commitment - are likely to be damaging for organizations. The aftermath of downsizing may affect the working environment of survivors in numerous ways. Remaining employees may breathe a sigh of relief for having retained a job. But this feeling may pass quickly, and be overtaken by a sense of insecurity and a reduced feeling of loyalty to the

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Downsizing in Academic Libraries: The Canadian Experience

organization. This may lead to withdrawing any form of commitment to the goals and values of the organization since those who remain may feel both sad about the past and anxious about the future (Appelbaum, Bethune, and Tannenbaum 1999). Survivors miss their former colleagues while they worry about the stability of their own future employment (O'Neill, Lenn, and Caimano 1995). In their study of downsizing in a telecommunications company, Doherty, Bank, and Vinnicombe (1996) found that survivors experienced a decrease in motivation because their confidence in a future with the organization was diminished as the number of layoffs escalated. Although the workforce may be smaller after downsizing, this does not mean that the workload is in anyway reduced. Often, just the opposite is the case, and survivors face more demands, more deadlines, and more responsibilities as a result of the downsizing (e.g., Isabella 1989; O'Neill, Lenn, and Caimano 1995; Tombaugh and White 1990). Isabella (1989) identified key employee concerns that focus on career questions after a downsizing and grouped them into three categories: performance related, advancement related, and growth-and-security related. She found that survivors are usually not informed about their place in the newly structured organization, expected performance standards, and the existence or lack of opportunities for advancement. Instead, they are assigned the work and responsibilities of their departing co-workers in addition to their normal work duties. Not surprising, they are often unclear about their responsibilities and what managers expect of them, especially if their jobs have been redesigned. As a result, they worry that they will not have the skills necessary to meet the requirements of their new job descriptions (O'Neill, Lenn, and Caimano 1995; see also, Tombaugh and White 1990). In their empirical study of downsizing survivors, Tombaugh and White (1990) found that, while management expected employees to handle increased responsibility and decisionmaking, employees reported significant increases in role conflict, role ambiguity, and role overload. Furthermore, survivors who had intended to leave the organization had greater increases in role conflict and role ambiguity than those who had decided to remain. Finally, downsizing and the accompanying changes in the workplace challenge fundamental assumptions about employee careers (Evans, Gunz, and Jalland 1999; Feldman 1996). Traditionally, organizations have offered employees a set of inducements to participate in and contribute to the organization, for example, lifetime careers in exchange for compliance and loyalty. The onset of downsizing threatens the contin-

Perspectives on Downsizing

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ued availability of inducements and thereby abrogates the existing 'psychological contract.' Removing levels of management undoubtedly reduces opportunities for career progression and leaves survivors concerned about future chances for promotion and advancement. The perceived break in the psychological contract alters employees' relationships to the organization. Band and Tustin (1995) note that changes in sources of employee motivation go hand in hand with changes in the nature of the job. For example, if work burdens increase without relative increases in compensation or other types of inducements, resentment towards the more for less attitude can be expected to rise. People see themselves having to work harder just to stay in the same place. As a result the affected variables include job security, propensity to leave, job involvement, job effort, and organizational commitment. In a case study of a Fortune 100 company, Mone (1994) found that employees with high self-efficacy and high role self-esteem may be more inclined to leave the downsizing organization than would their counterparts with low self-efficacy, low role, and low self-esteem. These employees leave because they are more likely to have the capabilities and confidence to successfully pursue job opportunities elsewhere. The employees more likely to stay, those with low self-efficacy and low role self-esteem, tend to perform at lower levels. This phenomenon hinders the future success of organizations because "highly capable and confident people are precisely what the downsizing organization needs most to compete and survive" (Mone 1994: 296). Organizational Level

Although a broad range of organizations have been implementing downsizing over the past two decades, the general consensus seems to be that the expected benefits - to cut expenses, improve productivity, and become more profitable - are elusive (Cascio 1993). Several researchers have investigated the effects of downsizing on the long-term financial health of organizations (De Meuse, Vanderheiden, and Bergmann 1994; McKinley, Sanchez, and Schick 1995; Morris, Cascio, and Young 1999). The impact of downsizing on performance and long-term productivity does not always lead to improvement in profitability. Companies using layoffs as a strategy for financial improvement often fail to achieve that result; instead profit margins, return on assets, and return on equity continue to deteriorate, at an even faster rate than before the downsizing (De Meuse, Vanderheiden, and Bergmann 1994). Morris, Cascio, and Young (1999) assessed the financial performance of 537 companies

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Downsizing in Academic Libraries: The Canadian Experience

listed on Standard and Poor's 500 Index from 1981 to 1992. Using returns on assets and stocks as measures, they found no significant or consistent evidence that laying off employees leads to improved financial performance. Cameron, Freeman, and Mishra (1993) discovered that very few organizations implement downsizing in a way that improves their effectiveness. To assess the effectiveness of downsizing, their respondents were asked to compare their organization's current performance with (1) its performance during the previous two years, (2) the performance of its best domestic and international competitors, (3) the stated goal for the year, and (4) perceived customer expectations. Based on the data analysis, these authors concluded that the majority of companies failed to improve their performance on any of the four measures. Layoffs continue to be the most frequently used tactic to reduce the size of the workforce in the corporate sector. In public sector organizations, however, attrition (limiting the influx of new employees) and incentive packages (retirement incentives and buyouts) are the primary tactics used to reduce the workforce (Jones 1998). Attrition and incentive packages are generally thought to be a more humane way to reduce the workforce because they have fewer negative effects on employees who remain (Tomasko 1991). A workforce reduction that is accomplished via attrition is less threatening to employees who remain in the organization because they have no reason to feel guilty about being spared, and they also have no immediate reason to worry about job loss (Greenhalgh, Lawrence, and Sutton 1988). However, these tactics can negatively affect the organization's future performance, in two ways. First, future performance may be negatively affected by the change in the composition of the workforce. Individuals who leave the organization may possess knowledge, skills, and abilities that the organization will need in the future. The effect of attrition tactics is to eliminate a cohort of entrants. This usually alters the age and experience distribution of the organization's employees. Fewer young people are hired into junior positions; thus, there is less inflow of new ideas and new perspectives and no bottom-up mechanism for retooling and re-educating older workers (Feldman 1996). Subsequently, the organization's capacity for innovation will be low. This is a consequence of employee homogeneity and of limiting or freezing the infusion of new individuals who bring to the organization an awareness of new technology or stimulate a search for novel solutions to existing problems (Kuzmits and Sussman 1988; Greenhalgh and McKersie 1980). Additionally, when a significant number of valued employees accept an organization's early retirement offer

Perspectives on Downsizing

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or cash buyout, the success of current and future programs and activities can be jeopardized. Fisher and White (2000) argue that the loss of an individual in downsizing is directly related to the quantity and value of the information held in that individual's memory and not retained elsewhere in the organization. Individual memories represent necessary pieces in the collective organizational memory. Thus, the loss of a significant individual memory 'chunk' can create a hole in the organizational memory that damages ongoing processes. A second way workforce reductions can negatively affect future performance is that the individuals who remain may become less inclined to exert effort on the organization's behalf. As a consequence organizational productivity may suffer. Cameron, Freeman, and Mishra (1991, 1993) identified twelve characteristics of organizations, labelled the 'dirty dozen' that emerge during downsizing and make the organization's climate dysfunctional (see also, Cameron, Kim, and Whetten 1987). These include increased centralization of decision-making, adoption of a short-term crisis mentality, loss of innovativeness, resistance to change, decreasing morale, an increase in politicized interest groups, non-prioritized cutbacks, loss of trust, increasing conflict, restricted communication, lack of teamwork, and lack of leadership. In their study of the automotive industry, they found these dysfunctional organizational characteristics to be associated with deterioration in organizational performance. A major factor that contributes to the failure of most organizations to achieve long-term financial health after downsizing is that the needs of those remaining with the organization are often overlooked or not given due attention during the downsizing effort (Labib and Appelbaum 1993). Although considerable financial resources are often allocated to provide personal counselling, job searching techniques, and support to those exiting the organization, very little support is given to the employees who remain. Moreover, because it leads to negative reactions in survivors, downsizing driven by the aim of cost reduction and relying mainly on a workforce reduction strategy is likely to impair the achievement of organizational objectives and performance. Downsizing in Academic Libraries

Managing and coping with the effects of downsizing are not challenges unique to library administration - they are problems which have touched almost all organizations in all sectors of society. Yet, public sector organizations, such as university libraries, faced with having to absorb major

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Downsizing in Academic Libraries: The Canadian Experience

reductions in funds, are rarely able to turn away customers and close down part of their operations (Jones 1998). Instead, choices have to be made and new ways of accomplishing objectives must be found to make diminished resources accommodate all existing responsibilities. This literature review on downsizing in academic libraries is divided into two sections. The first describes the fiscal environment of academic libraries in Canada over the past ten years. The second identifies how academic libraries have coped with downsizing. Fiscal Environment in Canadian Academic Libraries

Academic libraries are tightly tied to and fiscally dependent on their parent university, and like the universities, Canadian academic libraries are under intense financial pressure. Over the five fiscal years 1987/88 to 1992/93, average expenditures in Ontario academic research libraries increased by 17.2 per cent ($2.4 million), representing an average annual increase of 3.2 per cent. In the next five-year period library expenditures dropped by 1.9 per cent ($0.3 million), for an average decrease of 0.4 per cent per year. This drop in the amounts disbursed by academic libraries takes on greater meaning when examined in more detail. Library expenditures include costs associated with salaries, wages, fringe benefits, travel, acquisitions, operational supplies, furniture and equipment purchase and rental, contracted services, and professional fees and institutional memberships. They can be broken down into three major categories: salaries and wages, materials, and other operating expenditures (such as insurance, memberships, and equipment). Salaries and wages accounted for 63.1 per cent of total library expenditures in 1992/93, materials and other operating expenditures took 29.9 per cent and 7.0 per cent, respectively. Five years later, salaries and wages represented 54.9 per cent of total library expenditures and materials and other operating expenditures 36.3 per cent and 8.8 per cent. Other operating expenditures remained fairly steady; however, salaries and wages dropped by 8.2 per cent while expenditures for materials rose by 25 per cent. Clearly, material expenditures increased at the expense of salaries and wages. Compounding the fiscal difficulties in Canadian academic libraries are a number of trends. First, the cost, number, and extreme diversity of publications and other information sources have all increased enormously, and the emphasis has shifted from building strong local collections for the long term to accessing remote materials for current use.

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According to CARL, the acquisition budgets of academic libraries have increased steadily since 1990. Yet despite the increase in money spent, the steep increases in journal prices and the shrinking value of the Canadian dollar have decreased real spending power. For example, since 1986 average subscription prices have increased for U.S. journals by 207 per cent and by 148 per cent for Canadian publications (Schofield 2000). However, the effective purchasing power (of the Canadian dollar) for journals has declined by more than 40 per cent (CARL 2000a). Consequently, academic libraries are being forced to carry out massive journal cancellation programs. CARL libraries have had to cancel thousands of subscriptions worth more than $25 million since 1995 (Schofield 2000). At the same time, the expanding use of information and communications technology (ICT) is also having an impact on academic libraries. Both the role of the library within the university and the internal operations of the library itself have been dramatically changed as academic libraries have been building an 'infostructure' for the twenty-first century. They have been continuously updating and acquiring a wide range of resources including software, fibre optic hook-ups, broadband requirements, and terminal outlets. Although libraries have been able to offer new services and improve existing ones based on rapidly changing technology, these changes have not brought about a reduction in cost. Hardware and software expenditures are taking an increasingly significant share of library budgets. For example, the average expenditure on hardware in CARL libraries was $420,350 (in 1998/99), software expenditures averaged $485,618 (in 1996/97; CARL 2000b). The capabilities of ICT cannot be viewed simply as an extrapolation of what has gone on before. They are essentially additive, and the large sums invested in ICT have to be viewed not simply as a one-off expenditure, but as a long-term commitment. Public investment in post-secondary education has declined. Meanwhile, demands on the system to meet the educational and research needs of a knowledge-based economy have increased, as the new capabilities of ICT have provided greater capacity to access information. Library users are becoming more diverse and decentralized, as their parent institutions expand programs and increase distance education. This in turn has implications for how and where the libraries provide services and information. In addition, academic libraries are required to service both the traditional information-gathering behaviour of students and academic staff as well as their new needs as they participate in the scholar's workstation environment. Consequently, libraries have to invest

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Downsizing in Academic Libraries: The Canadian Experience

in new technologies to organize and deliver information, maintain services and collections in parallel environments (print and electronic), and maintain and preserve existing collections. Each of these trends presents demands for increased spending. It is unlikely that vast new sums of money will be forthcoming. Therefore, the years ahead will require ongoing refinement of purpose and invention in method for academic libraries. Retrenchment, Cutback Management, and Doumsizing in Academic Libraries

Retrenchment, cutback management, and downsizing have become all too familiar in academic libraries in the past two decades. The terms 'retrenchment' and 'cutback management' date back to the 1970s and early 1980s when there was a prevailing belief that the economic slowdown was temporary. The term 'retrenchment' has been defined as 'the imbalance between the purposes outlined in an organization's strategy and the resources it can mobilize to achieve them' (Behn 1980: 205). Retrenchment connotes a set of short-term emergency measures undertaken in response to adverse conditions. Therefore, the actions it entails are typically designed to be adopted and implemented rapidly. According to Behn (1980: 205), 'cutback management is based on strategies used by managers to accomplish more with less and is a syndrome that develops when organizations experience retrenchment.' It implies a more thoughtful approach in responding to adverse conditions. Although cutback management may employ both short-term and long-term responses, these responses insulate the organization from the problem and focus on doing better what has normally been done. Thus, cutback management consists of reactive and defensive actions undertaken to reduce financial pressures and ward off crises. The trigger for action is immediate financial and budgetary stringency. Therefore, the initial phase of retrenchment and cutback management consists of gaining control over the current cash position and cash flow. The traditional methods of cutting costs are squeezing, eliminating, postponing, and shifting. Retrenchment and cutback management are more narrow in their focus than downsizing. For example, downsizing may be an anticipatory strategic response designed to realign the organization and improve performance before environmental factors (such as resource constraints, loss of market niche, or competition) that create crisis conditions are in evidence. Ineffectiveness or impending failure is not a prerequisite to

Perspectives on Downsizing

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downsizing; indeed, the intended purpose of downsizing is regenerative (Cameron 1994). Finally, downsizing is a long-term strategy and a way of life rather than a short-term strategy to be completed and abandoned (Cameron 1994). Downsizing, retrenchment, and cutback management are all responses to environmental conditions, and all three have the same target - cutting expenses while at the same time improving productivity. Therefore, a change in terms from 'retrenchment' and 'cutback management' to 'downsizing' is more than fad and fashion; it signifies a change in concept and practice. The broader term 'downsizing' updates and incorporates the terms 'retrenchment' and 'cutback management.' First Responses to Financial Stress: Retrenchment and Cutback Management In the golden decade of the 1960s academic library administrators were sought for their ability to handle growth and expansion. Administrators during the 1970s and 1980s, however, were confronted with steady-state or declining budgets (Martin 1993). Under the assumption that the good times would soon return and the reductions would be restored, administrators put money first and ideas second. In other words, budget crises led to decisions about the distribution of money among existing activities and not to decisions about whether the existing activities served the library's mission. A strategy of decrementalism was pursued - remov ing small and proportional amounts of money from everyone's budget while trying to keep some semblance of normal operation. Little attention was paid to planning and the setting of priorities. A study of retrenchment in Canadian academic libraries concludes that 'having analyzed the content of the responses, one cannot help wondering about what is not there, that is, the apparent absence of evidence that would indicate long-term library planning to cope with budget restraints is taking place. Repeatedly, respondents refer to decisions being made on an ad hoc basis that carry with them serious implications for the future. It is not clear whether decision makers simply refused to believe that retrenchment would last as long as it did, or whether they recognized what was happening and chose to ignore it' (Auster 1991: 146). This finding is confirmed in Riddle's (1992) study of long-range planning by university library members of the Association of Research Libraries (ARL)*; only 57 per cent of respondents had either developed a long*ARL represents the largest research libraries in North America, with 15 Canadian and 107 U.S. members at the time this study was undertaken. The 13 Canadian and 98 U.S. academic libraries constituted 91% of the membership.

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Downsizing in Academic Libraries: The Canadian Experience

range plan or were in the process of doing so. These two studies strongly suggest that in the 1970s strategic planning was not yet a time-honoured part of library operations. The constrained fiscal climate of the 1970s and 1980s was generally met with a series of short-term retrenchment strategies aimed at stabilizing the revenue-expenditure balance rather than at effecting long-term organizational or structural changes to the library. Academic libraries addressed financial restraint by reducing purchases of serials and monographs, relying on interlibrary loan (ILL), and developing cooperative acquisition policies with other libraries; staff-related strategies included replacement of regular full-time jobs with part-time positions, leaving unfilled positions vacant, and hiring temporary staff (Auster 1991). Other strategies included curtailing library hours and services (e.g., bibliographic instruction and continuing education programs), elimination of sub-units (e.g., audio-visual library, government publications department, and periodicals room) and services to faculty (e.g., compiling bibliographies and offering current awareness services). Although the response to retrenchment can be characterized as reducing and eliminating, there was one notable exception: automation. Every library reported the introduction of online bibliographic retrieval, and most libraries reported the automation of technical services. However, in general, the above strategies are neither creative nor innovative, while they are characteristic of the retrenchment and cutback management approach of the 1970s and 1980s. The financial problems pressuring academic libraries during the 1970s and 1980s stemmed from three basic causes (Martin 1989). The budget problems of higher education, in general, being primarily the result of inflation, short-term recessions, and declining enrolments were one cause; the other two relate specifically to the library and its programs. First, let us consider the library's budget for materials. Historically, the annual cost increase for library materials has exceeded inflation by a wide margin. Beginning in the mid-1980s the prices for serials started to climb very rapidly. According to statistics published by ARL both total expenditures for serials and the price per serial subscription almost doubled between 1986 and 1993. The price per subscription rose, on average, 13 per cent per year during this period - a rate much higher than the general inflation trends in North America. Second, new developments in information technologies such as automated catalogues, CDROMs, and online links to external databases forced academic libraries to turn increasingly to automation. Ultimately, this required more capi-

Perspectives on Downsizing

29

tal investment and increased operational expenditures. The early assertions that automation would result in internal savings to make up for the added costs proved to be overly optimistic. Instead, libraries found themselves having to raise new funds or cut other services (Martin 1989). In an economic climate shaped, first, by an unexpected decline in financial resources, followed by a revised expectation for little or no growth for the remainder of the 1980s, the stage was set for most academic libraries to rethink their previous responses. Library administrators finally came to the realization that existing ways of operating were not responsive enough in dealing with the rapidly changing environment. Indeed, in a 1990-1 update of Riddle's long-range planning study, the survey findings revealed that the proportion of libraries actively involved in long-range planning efforts had increased to nearly 90 per cent(Biddle 1992). Long-term Fundamental Change: Restructuring and Downsizing As the 1990s progressed, a new reality dawned on the academic library horizon - libraries must change, fundamentally and irreversibly. Declining budgets coupled with changes in information technology, institutional imperatives, and user expectations require a fundamental rethinking and redesign of the library's roles, services, and operations in universities which themselves are undergoing great change (e.g., Martin 1994; Phipps 1993; Stoffle 1995; Sweeney 1994). According to the new philosophy and management style of the 1990s, instead of implementing changes incrementally, academic libraries should undergo a transformational change: 'we must rethink and rebuild our libraries from the ground up. The radical restructuring of our libraries must focus on adopting a user (customer) focus, committing to quality service - with quality defined by the user - accepting the need for continual change, creating teams rather than departments or individual-based work units, and empowering front-line staff to make the decisions necessary to meet the missions and goals of the library on a daily basis' (Stoffle 1995: 6). Richard Sweeney (1994) envisions a radical redesign of academic libraries that he has dubbed the 'post-hierarchical library.' This posthierarchical library would have a customer focus and be characterized by a flattened organizational structure, cross-functional teams, continuous learning, and reliance on local and national infrastructures. Although Sweeney admits that no academic library has achieved this structure to date, he proclaims this post-hierarchical library is the form of the future.

30

Downsizing in Academic Libraries: The Canadian Experience

Academic libraries have been subject to restructuring and redesign (e.g., Cargille 1995; Distad 1995; Shapiro and Long 1994; Shaughnessy 1996). Management strategies include reducing the number of library staff and forming work teams in order to flatten the organizational structure, reconfiguring library units by eliminating library activities and services, and reducing library materials. Although reports and case studies describe instances of restructuring and change in a single library, they are descriptive rather than analytical, and none provides any evidence as to the efficacy of the new library structures. These reports and case studies do, however, suggest that academic libraries generally may be undergoing structural changes. The following studies provide substantial evidence that restructuring is taking place within and across academic libraries. The traditional separation of the two major divisions of libraries, public services and technical services, has often been the focus for discussions of library change. Larson (1991), Buttlar and Garcha (1992), and Hoffman and Belanger (1999) all examined how the work of academic libraries is structured and attempted to determine to what extent there has been a departure from the traditional bifurcated pattern of public and technical services divisions to a more integrated pattern. Larson (1991) surveyed U.S. academic libraries during the period 1985-90 to assess the extent of library restructuring. The survey focused on the existence of public services and technical services divisions within the libraries and on whether those divisions had undergone changes within this time. The study concludes that the traditional divisional structure is alive and well. Of the sample of 118 academic libraries, 79 per cent had a public services division and 81 per cent had a technical services division. It was found, however, that the responsibilities delegated to both public and technical services are being shifted, and their respective roles within the library have changed. Moreover, the driving force for such change is most often rooted in the continuing search for efficient organizational models (1991: 91). In general, Larson found that very few libraries have undertaken a radical restructuring. Buttlar and Garcha's (1992) surveyed ninety-three U.S. academic libraries. They found that sixty had both public and technical services divisions and that thirty had partial integration of these services. However, 22 per cent of the libraries reported that within the previous five years they had reorganized in a way that blurs these two divisions. Approximately 9 per cent of the libraries surveyed planned to have this type of reorganization soon.

Perspectives on Downsizing

31

In a study of Canadian academic libraries, Hoffman and Belanger (1999) confirm the findings of the two earlier U.S. studies: the traditional divisional structure of public and technical services still predominates. Of the thirty-five libraries participating in the study, only two did not have structurally separate technical services and public services divisions. Although the majority of libraries still have a traditional public services and technical services split, 74 per cent of the participating libraries indicated that at least some of their librarians had crossdivisional assignments. In the introduction to ARL's Spec Kit entitled Library Reorganization and Restructuring (1996), Eustis and Kenney declare that 'change in most research libraries at this time is incremental rather than dramatic.' This is based on the results of a 1995 survey of how academic libraries were undergoing organizational redesign. The survey was sent to 108 ARL libraries affiliated with institutions of higher education. Of the 53 libraries that responded only 17 indicated that they had completed, within the last three to five years, or were currently engaged in a library-wide reorganization. However, twice as many, 34 libraries, indicated that they were engaged in or planning the reorganization of specific units (e.g., reference, cataloguing, ILL, and circulation and reserves). As part of library-wide restructuring, these libraries have been combining units, forming new partnerships with other university units, and eliminating and expanding services. They have also placed a greater emphasis on networked information and decreased their emphasis on the collection of print materials. In a study of organizational change in Canadian public and academic library workplaces, Harris and Marshall (1998) examined librarians' perceptions of their organization's attempts to change. Of the 182 respondents who answered the questionnaire, 31 per cent worked in academic libraries and 69 per cent in public libraries. When asked what managerial strategies were used to implement change, 70 per cent of the respondents indicated that strategic planning, re-engineering, and/or a review of organizational priorities were part of the managerial response to the major problems facing their institutions. In addition, a change in the strategic direction of the library (either contemplated or underway) was reported in 86 per cent of the public libraries and 72 per cent of the academic libraries. In terms of library restructuring, respondents reported greater centralization and consolidation of activities in their libraries through the amalgamation of public and reference service points and an increase in the deployment of work teams. They also

32

Downsizing in Academic Libraries: The Canadian Experience

reported a decrease in service levels such as reductions in hours of opening, closure of branch libraries, and closure of units such as children's departments. Regarding staffing changes, 86 per cent of respondents reported that restructuring has resulted or will result in reduced staffing levels in their libraries. Consequently, employees remaining in the library had their duties streamlined and merged and their job descriptions rewritten. They also had to assume a variety of new tasks which often required working in more than one department. In addition, work previously performed by librarians was now assigned to less expensive non-professional staff. In turn, the work of non-professional staff was transferred to library users. The transfer of work is due, in part, to the use of new technology that allows for self-service (e.g., automated self-service renewals and automated self-checkout). In the absence of recent comprehensive Canadian publications on downsizing, librarians must continue to rely on scattered reports and word of mouth. Although academic libraries are aware of their own financial situations, they lack a general overview of what has happened across the academic research community. The few research studies, largely American, that do provide a picture of how academic libraries are responding to downsizing are described below. A 1995 survey of ninety-five academic and public library directors in North Carolina examined the degree to which their libraries had experienced downsizing and the expectations of these librarians regarding downsizing (Burgin 1997). One-third of the respondents represented academic libraries (thirty-two), and two-thirds represented public libraries (sixty-three). The most frequently reported result of downsizing was the reduction of library staff, followed by budget cuts in non-staff areas, and the redesign of work. When asked how well their libraries were prepared to deal with a major downsizing in the next twelve months, 48 per cent of academic library respondents indicated that they were not feeling well prepared, with many of the necessary elements of a downsizing plan not in place, while another 10 per cent felt badly prepared, with no plan in place. Only 41 per cent of academic library respondents felt well prepared, with all necessary elements in place. Burgin speculated that the reason preparedness for downsizing was so poor among academic libraries was the lack of appreciation of the extent of downsizing among libraries in general. In other words, few of the respondents expected downsizing to take place in their libraries. In the most recent and comprehensive study on fiscal restraint in

Perspectives on Downsizing

33

academic libraries, Annette Melville (1994) explores the resource strategies taken by ARL academic library administrators in response to the changing budget environment for the three-year period 1990-2. This study closes a long-standing gap in the library literature on retrenchment practices in academic libraries. The survey captures data from eighty-seven academic members (ten Canadian, twenty-five U.S. private, and fifty-two U.S. public) on revenues, adaptive tactics, and budgetary practices. Melville found that all respondents sought outside revenues to supplement their university allocation. In terms of adaptive strategies, every respondent implemented some form of internal restructuring, such as consolidating or eliminating units and/or abolishing managerial positions, thereby flattening the organizational hierarchy, using salary savings to fund other areas, and substituting part-time for full-time librarians. The most frequently used budget strategies were cutting acquisitions by subject and/or an across-the-board percentage, followed by delaying equipment purchases or automation upgrades, freezing hiring, and cutting travel or conference support. Melville also found some cost-cutting strategies more common to Canadian and U.S. public academic libraries than to private academic libraries. For instance, about half of the Canadian and U.S. public academic libraries reduced the number of hours that the library was open, whereas only 16 per cent of U.S. private academic libraries followed suit. Cutting expenditures across the board was reported by 42 per cent of the U.S. public academic libraries, but only 10 per cent of the Canadian and 16 per cent of the U.S. private academic libraries. Similarly, for acquisitions, 69 per cent of the U.S. and 60 per cent of the Canadian public academic libraries used an across-the-board approach, as opposed to 36 per cent of the U.S. private academic libraries. In general, while the survey is an important step in increasing our knowledge of downsizing in academic libraries, it is difficult to interpret the real impact of the reported changes. Although academic libraries appear to be undergoing reorganization, it is impossible to say if this reorganization accompanies a redefinition of the academic library mission, strategy, and structure. In other words, we do not know if the strategies implemented by the eighty-seven ARL academic library admin istrators represent a desire to do different things - replace former processes and structures and fundamentally change the library's mission or if they are a continuation of older practices - a reinforcement of the library's current mission and strategy accompanied by incremental finetuning of the library's existing systems and processes.

34

Downsizing in Academic Libraries: The Canadian Experience

The Effects of Downsizing Although in theory downsizing is presumed to have positive outcomes for the organization, the review of the business literature identified its negative impacts, especially for individuals. Layoffs are perhaps the most ominous change facing employees during a downsizing. In Melville's (1994) study, a total of 716 positions (professional and support staff) were lost between 1990 and 1992. In the study of academic library reorganization and restructuring by Eustis and Kenney (1996), twentythree libraries lost an average of 10.5 support staff and twenty libraries lost an average of 5.5 professional staff. Yet, surprisingly, this topic has not been addressed in the library literature, with the sole exception of Leckie and Rogers (1995). Their study represents an initial examination of how academic librarians react to and cope with job loss. It consists of personal interviews with eleven librarians who had previously worked at six different academic libraries in Ontario. They based their study on the work of Harold Kaufman (1982) that suggests there are four stages through which people progress in dealing with job loss: (1) shock, relief, and relaxation; (2) concerted effort; (3) vacillation, self-doubt, and anger; and (4) resignation and withdrawal. Many of the reactions described by the four stages were verified in the study of the eleven librarians, who also reported the absence of support services - referred to in the business literature as caretaking activities - for those laid off. Caretaking activities typically include counselling after the termination notice, lessons in job hunting, and career replanning. While redundancy policies did exist at the academic institutions, the personnel departments handling those laid off were less than helpful. In fact, those who were laid off reported feeling ignored, misunderstood, and humiliated by the personnel departments whose very job it is to help. In addition to those laid off are the employees who remain. In contrast to the volumes that have appeared in the business literature on the survivors of downsizing, very little has appeared in the library literature on this topic. Nor is there research or advice available to library administrators on how to revitalize their organization after downsizing. Although downsizing is ultimately intended to be regenerative in purpose, there is a tendency to view downsizing as a negative process. As a result, it may be a subject that library administrators are hesitant to talk about, both to colleagues and to researchers. Management of academic libraries has become increasingly important over the past twenty years, as library budgets have stabilized or declined,

Perspectives on Downsizing

35

the demand for their services has increased, the cost of library materials has exceeded the rate of inflation, and new technological advancements have opened up many new service options. Managing in a time of change requires that library directors think strategically and challenge assumptions about the traditional roles of academic libraries. Summary

The conclusion to be drawn from the existing literature on organizational downsizing is clear: the value of people's knowledge, skills, abilities, and the intellectual capital and productive opportunities they represent has not always been adequately considered as part of the downsizing equation. When downsizing is driven by a strategy of cost reduction, and relies mainly on a workforce reduction strategy, it is likely to impair the achievement of organizational objectives and organizational performance through the consequential generation of negative survivor reactions. This is problematic for one critical reason: it is these remaining employees who are instrumental in determining future productivity and quality, and ultimately, organizational growth, profit, and survival (Mone 1997). The conclusion to be drawn from the existing literature on downsizing in academic libraries is that academic libraries are in a ferment of change. Although most changes seem to be incremental in nature, some libraries appear to be preparing themselves for more transformational change by redesigning their work processes and restructuring the organization. Academic libraries, like other organizations, do adapt to new circumstances, and this adaptation is a sign of a healthy organization. However, what is noticeably absent from the literature is any discussion about best practices in implementing downsizing. If, in fact, library administrators are relying on both short-term and long-term strategies to accomplish downsizing, there has been no evaluation in the literature as to which strategies are most effective. A partial explanation for this gap could be that the long-term strategies library administrators seem to be turning to are difficult to implement quickly because they require some advanced analysis of the areas that should be consolidated or redesigned. Perhaps administrators are still waiting to see the results of their efforts before they speak.

CHAPTER 3

National and Regional Trends in

Enrolment, Expenditures, Holdings, and Staffing Levels Donna Chan*

To what extent did downsizing take place in academic libraries? The purpose of this chapter is to answer that question by presenting a statistical overview of Canadian academic research libraries during the fifteen-year period covering the academic years 1982/83 through 1997/98. Data on student enrolments, expenditures, staffing levels, and holdings of libraries were collected from Statistics Canada and from the Canadian Association of Research Libraries (CARL). These data provide the background against which the downsizing took place. The trends described in this chapter are representative of CARL academic libraries. Membership in CARL is open primarily to libraries of Canadian universities which have doctoral programs in both the arts and the sciences. There are currently twenty-seven university libraries that are members; in addition, the National Library of Canada and the Canada Institute for Scientific and Technical Information are members, but they were not included in this study. Statistical Sources The annual CARL statistical survey is the source for library-related data used for this chapter, while Statistics Canada is the source for institutional-level data. CARL conducts a survey of its members annually and publishes a broad range of statistics in its statistical report. The subset of statistics used here are data on library expenditures, staffing, and holdings. From 1983/84 to 1986/87, there were only twenty-six university libraries that were members of CARL; thus, the statistics for those years cover only the twenty-six member libraries. *Faculty of Information and Media Studies, University of Western Ontario

National and Regional Trends

37

CARL universities are large and complex institutions. For the most part, the data in the statistical reports pertain to libraries of the main campus and exclude affiliated colleges, but administrative changes in the parent institution can lead to changes in the reporting of the data. For example, until 1995/96 data for the University of Toronto libraries excluded information about the libraries at affiliated colleges and at the Ontario Institute for Studies in Education (OISE). Data for the University of Toronto for subsequent years include these institutions. The categories covered in the CARL statistical reports have varied over the fifteen years covered in this study. For example, data on sources of university funding for libraries were added to the report for the 1991/92 academic year and thereafter; however, this item was not included in the 1996/97 and 1997/98 reports. The questionnaire used to collect the data also changed somewhat over these fifteen years. For example, questions about audio, film, and video holdings were included starting in 1984/85. From 1991/92, only one number for audio-visual holdings was reported. Then from 1996/97, audio units and film and video units were reported separately. Many libraries are unable to report data in the form requested, as they do not collect them in that way. Although the questionnaire used to collect the CARL data remained more or less stable over this period, for certain questions the variance in the questionnaire contributes to the variability of the statistics. There are other sources of variability in the statistics. Differences in interpretation of definitions may lead to different statistics; institutions may count items in different ways; or some of the numbers reported may be estimated (Holmes 2000). In some cases, missing data were imputed in order to maintain continuity. As a conservative measure, the previous year's information was carried forward. Information about the educational institutions was gathered from Statistics Canada. Data on student enrolment levels and university operating expenditures are used to provide a broader picture of the environment in which university libraries operated throughout the study period. Both published and custom tabulations produced by Statistics Canada were used. Student enrolment and university expenditure data reflect the reporting units of the CARL statistical data. For example, during the years that there were twenty-six member libraries of CARL, only the enrolment and expenditure data for these twenty-six are included. Enrolment and university expenditure data also reflect the inclusion or exclusion of affiliated colleges, as identified in the CARL statistics. It was a complex and time-consuming task to obtain usable data in a comparable form for such an extended period and across all regions of

38

Downsizing in Academic Libraries: The Canadian Experience

Canada. Given the many sources of variation in the data, only averages are reported in this chapter, either at the national level for all CARL university libraries or on a regional basis. The twenty-seven universitie have been grouped into five regions in the following manner: British Columbia (Simon Fraser, universities of British Columbia and Victoria); the Prairies (universities of Alberta, Calgary, Regina, Saskatchewan, and Manitoba); Ontario (Carleton, Guelph, McMaster, Ottawa, Queen's, Toronto, Waterloo, Western, Windsor, and York); Quebec (Concordia, McGill, Laval, Montreal, Universite du Quebec a Montreal); and the Atlantic region (Dalhousie, Memorial, and New Brunswick). Trends in Higher Education

The fiscal, social, and technological environments of universities and academic libraries changed dramatically between 1982 and 1998. Universities had to cope with reduced budgets while facing higher student enrolment levels and increased expenditures on technology that was changing rapidly. In the mid-1990s the federal government made significant reductions in transfer payments to the provinces for education and health. In 1995/96 federal government support for health, post-secondary education, and social assistance through the Established Program Financing (EPF) component of the Canada Assistance Plan (CAP) was almost $30 billion in the form of cash and tax transfers. In 1997/98, the Canada Health and Social Transfer (CHST) provided just $25 billion in total transfers (Association of Universities and Colleges of Canada (AUCC) 1999:28-9). Provincial governments also reduced their support for post-secondary education. In the 1980s they allocated a little under 25 per cent of their budgets to education, but in the 1990s this share declined to barely more than 21 per cent (AUCC 1999: 22). Universities received less than onefifth of the provincial dollars spent on education. The net effect was that governments' contributions to the operating budgets of universities declined from 81.7 per cent in 1982/83 to 63.4 per cent in 1997/98 (AUCC 1990: 98; AUCC 1999: 7). At the same time, student enrolment levels in post-secondary institutions increased strongly from the early 1980s, peaking in 1992; they have since stabilized. This growth reflects the increased participation of youth, particularly women, in post-secondary education. In 1980 both male and female participation rates were 10 per cent; but by 1996 the male participation rate was 14 per cent while the female rate was almost 21 per cent

National and Regional Trends

39

(AUCC, 1999: 58). The stabilization of enrolment levels since 1992 reflects several trends: the stabilization of the size of the youth population, improvement in the economy, plateauing of the social value of a university degree, increased tuition costs, lower personal savings rates leading to decreased ability to pay higher tuition fees, and decreased levels of student financial support (AUCC 1999: 51). Rapid improvements in computer and other technologies during this period placed pressure on universities to upgrade and replace aging equipment, facilities, and physical plants. In libraries, technological change has been unrelenting since the mid-1960s. The Machine Readable Cataloging (MARC) format was developed in 1965 at the U.S. Library of Congress as a standard format so that catalogue records could be used interchangeably on different computers in different systems. Online databases were developed in the 1970s to handle the explosion of scientific information. In the 1980s online public access catalogues (OPACs) began to replace the traditional card catalogue. The 1990s saw the growth of the Internet and the proliferation of electronic resources alongside traditional paper-based resources. These developments require up-to-date computer hardware and software for optimal usage and efficient access. This chapter examines the effects of these broader trends, as reflected in information about academic libraries in the twenty-seven largest universities in Canada. The analysis focuses on four sets of data pertaining to student enrolments, library expenditures, holdings, and staffing levels. Within each subsection, the overall trends at the national level are described followed by more detailed examination at the regional level. Trends in Student Enrolment Enrolment at Canadian universities grew strongly over the study period. To put this growth into perspective, enrolment data were obtained from several Statistics Canada sources. For the years 1982/83 to 1987/ 88, enrolment data were obtained from the CANSIM cross-classified database of education statistics. Data for the years 1988/89 through 1991/92 were obtained from Universities: Enrolments and Degrees (cat. no. 81-204). Custom tabulations for 1992/93 to 1997/98 were provided by the Centre for Education Statistics of Statistics Canada. Data were obtained on full-time and part-time enrolments at the undergraduate and graduate levels for each of the institutions. Full-time equivalent (FTE) enrolment was calculated by adjusting part-time en-

40

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.1 Cumulative percentage change in average FTE enrolment since 1982/83, CARL universities, Canada

rolment (PTE) by a factor of 3.5. The formula for calculating FTE enrolment is: FTE enrolment = Full-time enrolment + (Part-time enrolment -f 3.5) National Trends

Between 1982/83 and 1997/98, total FTE enrolment at the twenty-seven CARL universities increased by 21 per cent, from an average of 15,027 to an average of 18,222 students per university. Figure 3.1 shows the cumulative percentage change in FTE enrolment from the base year. In 1992/ 93, the cumulative increase in total enrolment over the previous year peaked at 24 per cent. Graduate-level enrolment increased by 42 per cent over the study period, and climbed especially steeply between 1988/ 89 and 1993/94. Undergraduate-level enrolment grew by 18 per cent over the entire study period; although early on there was strong growth, it levelled off starting in 1991/92. Figure 3.2 shows the five-year growth rates in average FTE enrolment. The rate of increase over the fifteen-year period was not even. Total student enrolment increased by 13 per cent in the first five years and by

National and Regional Trends

41

Figure 3.2 Percentage change in average FTE enrolment over five-year periods, CARL universities, Canada

10 per cent in the second. In the last five-year period, total student enrolment dropped by 2 per cent. The trend in undergraduate enrolment mirrored that of total enrolment. Undergraduate enrolment rose by 13 per cent in the first five-year period and by 9 per cent in the second, but fell by 4 per cent in the third. The increase in graduate-level enrolment was greater: it was 14 per cent in the first five years, 18 per cent in the second, and 5 per cent in the third. The higher graduate-level enrolment rate in the 1990s reflects the poorer economy in the early part of the study period. Increased enrolments in graduate programs have important consequences for research libraries, putting pressure on budgets and staffing patterns: 'Undergraduate enrollments can be doubled without doubling the cost of library service, while a handful of students in two or three new graduate programmes may need more books than are required for an entire undergraduate library' (Williams 1962: 18). Regional Trends

Total average FTE enrolment over the fifteen years examined here increased in every region. Figure 3.3 shows enrolment levels at five-year

42

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.3 Average FTE enrolment, CARL universities, by region, 1982/83, 1987/88, 1992/93, and 1997/98

intervals by region. Average FTE enrolment at B.C. universities increased by 49 per cent (from 12,312 to 18,304 students); by 18 per cent at Prairie universities (from 14,754 to 17,387 students); by 13 per cent at Ontario universities (from 16,917 to 19,186 students); by 27 per cent at Quebec universities (from 16,660 to 21,109 students); and by 24 per cent at Atlantic universities (from 8,631 to 10,682 students). Five-year growth rates in average FTE enrolment at CARL universities (Figure 3.4), clearly show the differential growth experienced by the regions. Only in British Columbia and the Prairies was there enrolment growth in all three five-year periods. In the first five-year period, universities in Quebec had the highest growth rate (21 per cent), while Ontario universities showed only an 8 per cent increase in FTE enrolment. The other regions experienced growth rates of between 10 and 15 per cent. In the second five-year period, B.C. universities experienced the highest growth (22 per cent), while Prairie universities had the lowest (2 per cent). In the other regions, enrolment jumped by 11 per cent. In the period 1992/93 to 1997/98, B.C. universities showed increased enrolment of 11 per cent, and Prairie universities a 1 per cent increase. Ontario and Quebec had a 5 per cent drop in enrolment, and the Atlantic a drop of 2 per cent.

National and Regional Trends

43

Figure 3.4 Percentage change in average FTE enrolment over five-year periods, CARL universities by region

In all regions, growth in graduate-level enrolment outpaced that of undergraduate enrolment over the fifteen-year period. In British Columbia, FTE graduate-level enrolment almost doubled (from 1,749 to 3,411 students; see Table 3.1). Meanwhile, undergraduate enrolment increased by 46 per cent (from 10,563 to 14,893 students). Graduate enrolment in Quebec increased by 46 per cent (from 2,840 to 4,141 students), while undergraduate enrolment increased by 23 per cent (from an average of 13,820 to 16,968 students). In the Atlantic region, too, growth in graduate-level enrolment was strong at 45 per cent over the fifteen-year period (from 912 to an average of 1,325 students), while undergraduate enrolment grew by 21 per cent (from 7,719 to 9,357 students). In the Prairie region, graduate-level enrolment increased by 35 per cent (from 1,714 to an average of 2,316 students), while undergraduate enrolment increased by 16 per cent (from 13,040 to 15,071 students). Ontario showed an increase of 29 per cent in FTE graduate-level enrolment (from 2,235 to 2,894 students) compared with an 11 per cent increase in undergraduate enrolment (from 14,682 to 16,292 students, on average).

44

Downsizing in Academic Libraries: The Canadian Experience TABLE 3.1 Average FTE enrolment by level of study, CARL universities, by region, 1982/83, 1987/88, 1992/93, and 1997/98

Region and level of study

1982/83

1987/88

1992/93

1 997/98

Change 82/83 to 97/98 (%)

British Columbia Undergraduate Graduate

10,563 1,749

11,512 2,025

13,312 3,154

14,893 3,411

41 95

Prairies Undergraduate Graduate

13,040 1,714

14,967 2,022

15,011 2,256

15,071 2,316

16 35

Ontario Undergraduate Graduate

14,682 2,235

15,790 2,433

17,441 2,741

16,292 2,894

11 29

Quebec Undergraduate Graduate

13,820 2,840

16,733 3,375

18,382 3,928

16,968 4,141

23 46

Atlantic Undergraduate Graduate

7,719 912

8,794 1,076

9,675 1,247

9,357 1,325

21 45

Summary of Trends in Enrolment

Enrolment levels at Canadian universities increased by 21 per cent over the fifteen years examined here. Graduate enrolment increased more rapidly than undergraduate enrolment (42 per cent compared with 18 per cent). There are regional variations in these patterns. Average enrolment levels at universities in Quebec were the highest in the country, while universities in the Atlantic region tended to have the lowest average enrolment. British Columbia experienced the strongest growth in enrolment at both the undergraduate and graduate levels, while Ontario showed the weakest growth. The consequences of strong enrolment growth, particularly at the graduate level, are increased demands on library collections and services. Trends in Library Expenditures

As student enrolment levels increased, universities struggled to fund their libraries adequately. This analysis of library expenditures is based on data obtained from Statistics Canada and the CARL statistical reports.

National and Regional Trends

45

To place the data about library expenditures in perspective, information about university operating expenditures (general and total) are used. The data for all fifteen years were obtained from custom tabulations provided by the Centre for Education Statistics, Statistics Canada. The two categories of university expenditures are: General operating expenditures. These include costs associated with instruction, non-sponsored research, library, computing, administration, physical plant, and student services for the whole university. Total operating expenditures. These include general operating expenditures in addition to expenditures on special purposes and trusts, sponsored research, ancillary enterprises, and infrastructure for the whole university. The CARL statistical report provides information about expenditures of the library in the following categories: Salary expenditures. These include the library director's salary and all salaries paid, regardless of the source of funds, including contract positions. The cost of fringe benefits is included. Material expenditures. These include the costs of acquiring documents such as monographs, archival materials, microforms, and serials, as well as one-time expenditures (e.g., on monographs) and recurring expenditures (e.g., on serials), and the costs for bindings and repairs. Other operating expenditures. These include all other costs to the library, such as the costs of technology acquisition, communications, training, and recruitment. Because the financial data cover a large time span, all expenditure data have been adjusted using the consumer price index (CPI), 1996 classification from Statistics Canada. The base period for the CPI data is 1992, that is, the CPI for 1992 is set to 100 and all CPI values are considered in relation to the 1992 value. Expenditure data throughout this chapter are expressed in 1992 dollars. An index was calculated on a fiscal year basis by averaging the monthly CPI all-items index from July of one year to June of the following year. For each of the fifteen study years, an index was calculated for Canada and for the five regions. For the Atlantic region, only data for provinces with CARL member libraries - that is, New Brunswick, Newfoundland, and Nova Scotia - were used. The CPI monthly all-items indexes were

46

Downsizing in Academic Libraries: The Canadian Experience

obtained from CANSIM, matrices 9940 through 9950 inclusive, excluding 9942 (Prince Edward Island). To adjust for inflation, the expenditure data for the current year were divided by the CPI for that year. For example, Canadian CARL libraries spent an average of $8,298,440 on salaries in 1997/98. The CPI index for that year was 108.1. To obtain average expenditures on salaries in 1997/ 98 expressed in terms of 1992 dollars, $8,298,440 (current dollars) is divided by 108.1, to obtain $7,676,040. National Trends

Across Canada, CARL universities' average library expenditures increased by 19 per cent. At the start of the study period, expenditures averaged $11,612,000 per year, while by the end of it this figure had risen to $13,855,000. Library expenditures include costs associated with salaries, wages, fringe benefits, travel, acquisitions, operational supplies, furniture and equipment purchase and rental, contracted services, professional fees, and institutional membership fees. This information about the growth in library expenditures takes on greater meaning when examined in relation to the broader context of university expenditures (which include the costs of salaries and fringe benefits, supplies, utilities, taxes, and other expenses associated with running the university). Over the fifteen-year period, library expenditures as a proportion of university general operating expenditures fluctuated around the 7 per cent mark (i.e., 6.9 per cent at both the beginning and the end of the period). This proportion was lowest in 1990/91 (at 6.6 per cent). It seems that universities were trying to maintain their level of support for the library at a fixed proportion of their general operating expenditures. Total university operating expenditures include not only general operating expenditures but also special purpose or trust funds, research funds, and other infrastructure costs. Thus, library expenditures form a smaller proportion of total expenditures. Library expenditures showed a small decline (from around 4.7 per cent to about 4.3 per cent) of university total expenditures. This suggests that an increasing proportion of university funds are devoted to other programs and services, such as trusts and research, rather than the library. Figure 3.5 shows total library expenditures as a proportion of university general operating expenditures and as a proportion of university total expenditures in the fifteen years examined in this study.

National and Regional Trends

47

Figure 3.5 Library expenditures as a proportion of university general operating expenditures and as a proportion of university total expenditures, 1982/83 to 1997/98, CARL universities, Canada (1992 constant dollars)

Library expenditures can be broken down into three major categories: salaries, materials, and other operating expenditures. Salaries and wages (including fringe benefits) grew by only 2 per cent over the fifteen years. Actually, this masks the overall trend of slowr increases followed by fairly steep decreases in the 1990s. Expenditures on materials, which include the costs of acquiring and maintaining the collection of the library, grew steadily, showing a 52 per cent overall increase. Other operating expenditures which include the costs associated with communications, insurance, professional association and institutional memberships, bibliographic utilities, operating supplies, furniture and equipment purchase and rental, staff training, and other miscellaneous expenses, rose by 50 per cent over the fifteen years; most libraries include the costs of acquiring technology in this category. The uneven growth in the components of the library budget is reflected in the five-year growth rates of library expenditures, as shown in Figure 3.6. These are based on figures adjusted for inflation. Total expenditures grew by 6 per cent in the first five-year period and by 15 per cent in the second, while in the third five-year period they declined by 2 per cent. The three components of library expenditures (salaries, materials,

48

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.6 Percentage change in average library expenditures by type over fiveyear periods, CARL universities, Canada

and other costs), did not grow at the same rates. Salary expenditures increased by 1 per cent in the first period and by 15 per cent in the second, but declined by 13 per cent in the third; this represents an overall growth of only 2 per cent. In sharp contrast, expenditures on materials increased steadily, showing 52 per cent growth over the fifteen-year period: 16 per cent in the first five years, 11 per cent in the second, and 19 per cent in the third. There were serious pressures on budgets for the materials, particularly because of the increased number and prices of serials. Many new titles were published, especially in science and technology, and the prices of serials increased at rates greater than inflation. Libraries responded both by increasing the amounts spent on acquisitions and by redistributing allocations within their budgeted resources. Faxon Canada (1998) has produced an annual Foreign and Domestic Periodical Price Index for Canadian libraries since 1989. It includes more than 4,000 print serials but excludes microfilm editions, annual

National and Regional Trends

49

journals, and electronic journals. In January 1998 the average price of a serial was $619.08 per year, compared with $545.47 in 1997 and $203.44 in 1989. This represents an increase of 204 per cent over a nine-year period. Because many journals are published in other countries, the foreign exchange rate plays a significant role in these price increases. In 1999 Faxon Canada (1999) found that 11 per cent of the 17 per cent increase in prices of serials published in the United States was attributable to a decline in the value of the Canadian dollar; more than half of the journals included in the price index are published in the United States. Thus, in 1999, for a library with subscriptions to all the U.S. journals included in the index, 7 per cent of the overall increase in the serials budget was the result of the falling exchange rate. In the late 1980s, the Association of Research Libraries (ARL, 1989) in the United States initiated a study of the escalating prices of serials. The reasons for the large price increases were examined, beyond the basic increases in the costs of production related to the increased size of journals, the initiation of new journals, and the overall inflation in the economy. It was found that publishers had increased the prices of journals at a faster rate than the rate at which their costs increased. The multiple causes identified included the publishers' behaviour in adding titles, increasing the size of the journal, and increasing the frequency of publication; exchange rate fluctuations; the growth in the volume of published research; market dominance by a relatively small number of publishers; and the expansion of commercial publishers into the academic serials sector. Canadian data show that similar price increases were occurring in Canada at the same time (Salt 1989). Over the fifteen years being investigated here other operating expenditures increased by almost 50 per cent: there was virtually nil growth in the first period, a 37 per cent increase in the second, and a 9 per cent increase in the third period in the amount of money spent on other operating expenditures. This reflects the growth in expenditures on computers and other new information technologies. Throughout this fifteen-year period, libraries continued to automate many of their functions, including, for example, local cataloguing with online cataloguing support systems interface, authority control, circulation, online patron access catalogue, acquisitions, serials control, inventorying, information and referral, media booking, and journal citation files. These systems run on powerful supermicro-, mini-, or mainframe computers which need to be upgraded regularly; other information technologies that have a place in libraries are CD-ROMs, online database services, and the Internet (Boss 1997).

50

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.7 Types of library expenditures as a proportion of total library expenditures, CARL universities, Canada, 1982/83 to 1997/98

Figure 3.7 shows library expenditures by type as a percentage of the total library budget. Conventional wisdom is that 60 per cent of the library budget should go towards salaries and wages, 30 per cent towards materials, and 10 per cent towards other operating costs (Werking 1991). In Canadian academic libraries, in the academic year 1982-83, these proportions were 65 per cent, 28 per cent, and 7 per cent, respectively. Personnel costs declined from 65 per cent to 55 per cent of total library expenditures in the period under study, while the share of expenditures on materials increased from 28 per cent to 36 per cent, and the proportion spent on other expenditures grew from 6 to 8 per cent of the budget. When the growth in student enrolments is factored into library expenditures, a different picture emerges. Figure 3.8 shows average library expenditures per FTE student enrolled in CARL universities. Average total library expenditures, per FTE student actually declined by 2 per cent over the fifteen-year period. Total expenditures fluctuated between a high of $780 in 1982/83 and a low of $722 in 1990/91, ending the period at $762 in 1997-98. The decrease in expenditures on salaries is noticeable, from an average of $506 per FTE student in 1982/83 to $421 in 1997/98. This represents an overall decrease of 17 per cent. The

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51

Figure 3.8 Average library expenditures per FTE student, CARL universities, Canada, 1982/83 to 1997/98 (1992 constant dollars)

average amount spent on materials increased from $222 to $277, for an increase of 25 per cent over fifteen years. The average amount spent on other costs increased from $51 to $63 over fifteen years, representing growth rate of 23 per cent. Figure 3.9 shows five-year growth rates in average expenditures per FTE student, by type of expenditure. In the first five-year period expenditures on salaries decreased by 10 per cent and on other costs by 11 per cent, while there was slight growth (of 2 per cent) in expenditures on materials. This situation was reversed in the second five-year period, with only a slight increase in expenditures on salaries (4 per cent) but a large increase in expenditures on other costs (24 per cent); expenditures on materials continued to increase (by 1 per cent). In the third period there was a decline of 11 per cent in expenditures on salaries, while expenditures on materials and other costs increased by 21 per cent and 12 per cent respectively. Total library expenditures declined by 7 per cent in the first five-year period, increased by 5 per cent in the second, and remained unchanged in the third. Regional Trends

There were regional variations in the support that the CARL libraries received from their parent institution. Universities in British Columbia,

52

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.9 Percentage change in average expenditures per FTE student by type over five-year periods. CARL universities, Canada

on average, devoted the highest proportion of general operating funds to their libraries. Figure 3.10 shows library expenditures as a proportion of university operating expenditures at five-year intervals by region. In 1982/83 library expenditures at B.C. universities represented 8.5 per cent of general operating expenditures; by 1997/98 this had decreased to 7.7 per cent. Universities in the Atlantic provinces and Quebec devoted the lowest proportion of general operating funds to their libraries. At the beginning of the period under examination here, library expenditures as a proportion of university general operating expenditures were 6.2 per cent in universities in both the Atlantic region and Quebec. At the end of the period, these proportions were 6.4 per cent in the Atlantic region and 6.1 per cent in Quebec universities. In terms of dollar expenditures, B.C. and Ontario universities spend the most on their libraries. In 1982/83 B.C. universities spent an average of $14,168,000 on their libraries, while Ontario universities spent $12,404,000 on theirs. Five years later, B.C. universities spent on average $12,304,000 and Ontario universities $13,005,000 on their libraries. In 1992/93 these figures were $15,283,000 and $16,043,000, and, in 1997/ 98, they were $16,261,000 and $15,736,000. Universities in the Atlantic

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53

Figure 3.10 Library expenditures as a proportion of university general operating expenditures, CARL universities, by region, 1982/83, 1987/88, 1992/93, and 1997/98

region spent the least on their libraries, ranging from $6,689,000 at the beginning of the study period to $8,836,000 fifteen years later. Figure 3.11 shows the percentage change in average library expenditures by type of expenditure for each region. Most regions reported small decreases in the amounts spent on salaries, but large increases in expenditures on materials and other operating costs. Ontario and the Atlantic region increased the amounts spent on salaries, while only Quebec decreased spending on other operating costs. University libraries in Ontario and the Atlantic region increased their amounts spent in all three categories of expenditures. In Ontario, expenditures on salaries increased by 9 per cent over the entire period, while expenditures on materials increased by 49 per cent, but other operating expenditures increased by 106 per cent. In comparison, in the Atlantic region, expenditures on salaries increased by 33 per cent, materials, by 24 per cent, and other operating costs, by 69 per cent. In British Columbia, expenditures on salaries decreased by 4 per cent, while expenditures on materials and other operating costs increased by 52 per

54

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.11 Percentage change in average library expenditures by type from 1982/83 to 1997/98, CARL universities, by region

cent and by 34 per cent respectively. The Prairies showed a similar pattern: spending on salaries decreased by 4 per cent, but spending on materials increased by 34 per cent, while other operating expenditures increased by 56 per cent. In Quebec, salary and other operating costs decreased by 13 per cent and 27 per cent respectively, while materials expenditures increased by 88 per cent. The regional patterns of spending on libraries can be seen in Figure 3.12. In most regions, total expenditures grew in the first ten years and decreased in the last five. The exceptions were British Columbia, which showed decreases in the first five years and increased spending in the last ten years, and the Atlantic region, which showed increased total expenditures over all three periods. Universities in British Columbia showed a large decrease in total expenditures (13 per cent) in the period 1982/83 to 1987/88, followed by a large increase (24 per cent) in the next five-year period and a more modest increase (6 per cent) in the last. The decreases experienced by university libraries in British Columbia were more dramatic in the first five-year period and the increases were more gradual than the pictur

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55

Figure 3.12 Percentage change in average library expenditures over five-year periods, CARL universities, by region

conveyed by Figure 3.12. The breakdown by five-year periods conceals this fact. For example, for 1983/84 B.C. library expenditures increased by 12 per cent over the previous year; this was followed the next year by a reduction of 9 per cent. Then expenditures remained fairly stable until 1987/88 when they fell by 13 per cent in one year. Thus, the lowest level of expenditures by B.C. libraries came in 1987/88, but when the percentage change is calculated for the five-year period ending with 1988/89, expenditures for B.C. libraries show a decrease of 26 per cent. Since 1988/89, expenditures have grown more or less steadily with only two years showing slight declines. If the rate of growth over the fifteen-year period is considered, university libraries in British Columbia increased their total expenditures by 15 per cent. In the Prairie region, the overall growth in total expenditures over the fifteen-year period was 11 per cent. It was a modest 5 per cent in the first five-year period and 10 per cent in the second, followed by a decrease o 4 per cent in the third. These figures mask the fact that library expenditures in the Prairies peaked in 1985/86. University libraries in the Prairie

56

Downsizing in Academic Libraries: The Canadian Experience

region experienced two years of reductions in the order of 10 per cent, followed by four years of modest growth - so that expenditures peaked again in 1991/92. Since 1991/92, library expenditures in the Prairie region have declined about 6 per cent. Total expenditures of university libraries in Ontario increased by 27 per cent. In the first five years of the study period, there were steady annual increases of about 2 per cent per year; growth in this period was 10 per cent. In the late 1980s and early 1990s, small decreases followed by a large increase were experienced, so that average expenditures were near their peak in 1991/92. In the second period library expenditures grew by 17 per cent, while in the last five-year period they decreased slightly (by 2 per cent). In Quebec, average expenditures on university libraries increased by 7 per cent overall. In the first five years, growth averaged 7 per cent; in the second, 11 per cent. Although library expenditures decreased by 10 per cent over the third period, in fact, they continued to rise in the first two years to reach their highest level in 1994/95. The decrease in the last three years accounts for the negative growth rate for those five years as a whole. University libraries in the Atlantic region increased their expenditures by 32 per cent. Expenditures decreased in only four of the years since 1982/83, and this accounts for the steady growth observed overall. Although average library expenditures increased, Atlantic libraries were faced with inflated costs for books, serials, and technology which were higher than the budgetary increments they received. As a result, the libraries adjusted the proportions of their budgets spent on the three components of salaries, materials, and other operating costs. In most provinces, libraries reduced the proportion spent on salaries and increased the proportion spent on materials and other operating costs such as technology. Figure 3.13 presents types of library expenditures as a proportion of total expenditures for CARL universities in British Columbia at five-year intervals: 63 per cent of total expenditures were for salaries (including fringe benefits) in the first period, but by the third, salaries took only 53 per cent. Materials accounted for 28 per cent of total expenditures in 1982/83 and 37 per cent fifteen years later. The proportion of the budget spent on other operating costs remained virtually unchanged through all three five-year periods. In the Prairie region, a similar trend in expenditures was observed as shown in Figure 3.14. In 1982/83, university libraries in the Prairie

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Figure 3.13 Types of library expenditures as a proportion of total expenditures, CARL universities, British Columbia, 1982/83, 1987/88, 1992/93, and 1997/98

region allocated 64 per cent of their budget to salaries, 30 per cent to materials and 6 per cent to other operating costs, by 1997/98, the proportions were 55 per cent allocated to salaries, 36 per cent to materials, and 9 per cent to other operating costs. Figure 3.15 shows the trends in expenditures by component at Ontario university libraries. Although absolute salary costs were higher at the end of the study period, they actually represented a smaller proportion of the budget then than they had fifteen years earlier. In 1982/83, salaries accounted for 64 per cent of total expenditures of CARL libraries in Ontario, while by 1997/98, this was down to 55 per cent. The proportion spent on materials increased from 30 to 36 per cent and on other operating costs from 5 per cent to 9 per cent. In CARL libraries in Quebec, as shown in Figure 3.16, in 1982/83, salaries represented 72 per cent of total expenditures, while materials accounted for 21 per cent and other operating costs, 7 per cent. Fifteen years later, the proportions of total expenditures allocated to salaries,

58

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.14 Types of library expenditures as a proportion of total expenditures, CARL universities, Prairie region, 1982/83, 1987/88, 1992/93, and 1997/98

materials, and other operating costs were 58 per cent, 37 per cent, and 5 per cent respectively. Figure 3.17 shows the types of expenditures as a proportion of total expenditures at five-year intervals for the Atlantic region. Salaries consumed 53 per cent of the total budget in 1982/83. This proportion was slightly higher in 1987/88 and in 1992/93, but by 1997/98 it had fallen back to 54 per cent. The materials component remained fairly stable, at about 38 per cent. Other operating costs represented 7 per cent of total expenditures at the beginning of the study period and 10 per cent fifteen years later. Expenditure data, when adjusted for student enrolment, present a different picture. Although total expenditures on university libraries increased in all regions over the fifteen years examined here, when considered on a per capita basis total expenditures actually decreased in most regions. In British Columbia, library expenditures decreased by 23 per cent on a per capita basis, while increasing by 15 per cent overall. During the fifteen years, student enrolment increased by 49 per cent. In

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59

Figure 3.15 Types of library expenditures as a proportion of total expenditures, CARL universities, Ontario, 1982/83, 1987/88, 1992/93, and 1997/98

Quebec, library expenditures per FTE student decreased by 15 per cent, while increasing by 7 per cent overall; at the same time, student enrolment increased by 27 per cent. In the Prairie region, expenditures per FTE student declined by 6 per cent, while overall library expenditures increased by 11 per cent, and student enrolment increased by 18 per cent. In the Atlantic region and Ontario total library expenditures per FTE student increased, by 12 and 15 per cent respectively, while overall expenditures increased by 27 and 32 per cent, and student enrolment by 13 and 24 per cent. Table 3.2 shows that university libraries in British Columbia consistently spent more on salaries, materials, and other costs per FTE student, while the other four regions reported expenditures that were at comparable levels over the study period. University library expenditures in British Columbia averaged $1,151 per FTE student in 1982/83, but decreased to $888 in 1997/98. In the Prairie region, they were $764 per FTE student and decreased to $720. In Ontario this amount increased from $733 to $820, while in Quebec it fell from an average of $731 per

60

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.16 Types of library expenditures as a proportion of total expenditures, CARL universities, Quebec, 1982/83, 1987/88, 1992/93, and 1997/98

FTE student in 1982/83 to $619 fifteen years later. In the Atlantic region, total library expenditures per FTE student rose from $775 to $827. Figure 3.18 shows the percentage change over the fifteen-year period in types of library expenditures per FTE student by region. It is interesting to compare this with Figure 3.11 which shows the change over the same time period for library expenditures but does not take student enrolment levels into account. The effect of higher student enrolment across the country has been to reduce the magnitude of the increases in expenditures and to increase the magnitude of decreases in expenditures that were observed. In some regions, the percentage increases in straight dollar expenditures translate into percentage decreases in expenditure per capita. In British Columbia, salary costs per FTE student decreased by 36 per cent in the period 1982/83 to 1997/98. Spending on materials per student rose, by 2 per cent, while spending on other operating costs per FTE student decreased by 10 per cent. In die Prairie region, salary expenditures per student decreased by 19 per cent, but expenditures on

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Figure 3.17 Types of library expenditures as a proportion of total expenditures, CARL universities, Atlantic region, 1982/83, 1987/88, 1992/93, and 1997/98

materials and other operating costs rose by 14 per cent and 32 per cent respectively. Libraries in Ontario reported a 4 per cent drop in expenditures on salaries per FTE student and increases in spending on materials and other operating costs per student of 32 per cent and 81 per cent respectively. Expenditures on salaries and other operating costs decreased by 31 per cent and 42 per cent respectively in Quebec, while per student expenditures on materials increased by 49 per cent. University libraries in the Atlantic region were the only ones to report increased expenditures on salaries per student, in the order of 8 per cent, as well as on other operating costs per student, in the order of 37 per cent; spending on materials per student showed no change over the fifteen-year period. Summary of Trends in Expenditures

The fiscal pressures on academic libraries have been enormous. Provincial and federal governments decreased their support for universities. Nevertheless, universities maintained support for their library, with li-

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Downsizing in Academic Libraries: The Canadian Experience

TABLE 3.2 Average library expenditures per FTE student by type, CARL Universities by region, 1982/83, 1987/88, 1992/93, and 1997/98 (1992 dollars) Region and type of expenditure

BC Salaries Materials Other Total Prairies Salaries Materials Other Total Ontario Salaries Materials Other Total Quebec Salaries Materials Other Total Atlantic Salaries Materials Other Total

1 982/83

1987/88

1992/93

1 997/98

Change 82/83 to 97/98 (%)

730 318 103

561 288 60

548 277 94

470 325 93

-36 2 -10

1,151

909

928

888

-23

488 227 49

435 220 43

468 224 62

396 259 65

-19 14 32

764

698

754

720

-6

467 226 40

463 243 46

502 238 56

450 298 72

-4 32 81

733

751

795

820

12

527 153 50

426 175 46

418 189 41

362 228 29

-31 49 -42

731

647

648

619

-15

414 303 58

418 273 33

428 271 51

445 303 79

8 0 37

775

723

750

827

7

brary expenditures averaging 6.8 per cent of general operating expenditures over the fifteen-year period. However, libraries have had to cope with steeply rising serials prices and rapidly changing information technologies. This led to budget re-allocations within libraries, whereby a smaller proportion of the budget was devoted to salaries and a correspondingly larger proportion to materials.

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Figure 3.18 Percentage change in average library expenditures per FTE student by type from 1982/83 to 1997/98, CARL universities, by region

Regional variations in support of university libraries are evident. University libraries in British Columbia and Ontario generally received a higher than average share of operating funds from their parent institutions, while in Quebec they generally received a below average share. However, libraries throughout Canada have pursued the same strategy, that is, reducing the proportion of the budget spent on salaries and increasing the proportion spent on materials. Trends in Holdings The increased spending on materials is reflected in the statistics on holdings, particularly with respect to monographs and microforms. Information on holdings of university libraries was obtained from the CARL annual statistical reports. The categories used in the reports include the following: Monographs - volumes of books, bound and unbound serials, documents and technical reports Microforms - volumes/reels of microfilm and microfiche

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Downsizing in Academic Libraries: The Canadian Experience

Figure 3.19 Average holdings, CARL universities, Canada, 1982/83 to 1997/98

Serials - number of titles of publications constituting one issue or a continuous series under the same title published at regular or irregular intervals (such as periodicals, serials, or newspapers) over an indefinite period Audio-visual materials — number of titles of audio, file, and video materials Machine readable materials — number of CD-ROM titles and units of magnetic media: floppies, magnetic tapes, magnetic cartridges, and magneto-optic media National Trends Over the fifteen-year period 1982/83 to 1997/98, average holdings of monographs increased from 1,488,000 to 2,454,000 volumes, representing an increase of 65 per cent. Average holdings of microforms increased from 670,000 to 2,090,000 volumes, for an increase of 212 per cent. In contrast, the number of serial titles held declined from 13,260 to 12,970, for a decrease of 2 per cent. Figure 3.19 shows the average levels of holdings throughout the fifteen years. The percentage changes in the sizes of collections over five-year periods are shown in Figure 3.20. The growth rate in monograph holdings

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Figure 3.20 Percentage change in average holdings over five-year periods, CARL universities, Canada

was over 20 per cent in the first and third periods, and fell to 9 per cent in the second five-year period. Collection of microform materials was strong throughout the fifteen years, particularly in the third period, when average microform holdings grew by 57 per cent. The size of the serials collection decreased in the first and last periods by 7 per cent and 6 per cent respectively. In the second period, serials holdings grew by 12 per cent. The steady growth of collections is strongly related to the growth in graduate-level enrolment. Particularly in the case of doctoral programs, this results in expanding scholarly and research activities on the part of faculty and students. To support these activities, research libraries must continue to build their collections. Data from the United States show a close correspondence between trends in doctorates conferred and trends in library volumes added (Cummings et al. 1992: 17): 'It is hardly a coincidence that universities with large numbers of active doctoral programs are the same universities that have large - and growing - collections' (1992: 16). The lack of growth in serials collections is related to the increases in prices of serials (discussed earlier in this chapter under library expendi-

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Downsizing in Academic Libraries: The Canadian Experience

Figure 3.21 Average holdings of monographs and microforms per FTE student, CARL universities, Canada, 1982/83 and 1997/98

tures). Although expenditures on materials increased, particularly in the period 1992/93 to 1997/98, the number of serials in library holdings decreased. When holdings are considered on a per student basis (see Figure 3.21), CARL university libraries held 99 monograph volumes per FTE student in 1982/83, compared with 135 monograph volumes per student in 1997/98, for an increase of 36 per cent in the fifteen-year period. The number of microforms per student increased from 45 to 115, representing an increase of 157 per cent. In 1984/85, CARL started to collect data on holdings of audio-visual (AV) and machine-readable materials. As expected, in the beginning years of this survey, collections of these materials were fairly small; on average, CARL libraries held 28 AV titles and 86 machine-readable titles. Figure 3.22 shows average holdings of AV and machine-readable materials in the 1992/93 to 1997/98 period. Because of the great difference in the size of the collections, monographs and serials could not be included in the graph. The number of machine-readable titles increased dramatically, from 528 in 1992/93 to 1,376 titles in 1997/98. This reflects the growth and development of electronic resources in this period. Many

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67

Figure 3.22 Average holdings of audio-visual and machine-readable materials, CARL universities, Canada, 1992/93 to 1997/98

journals are now available in both electronic and print formats, and libraries often retain both formats in their collections. During the same period, the collection of AV titles decreased, from an average 80 down to 34. Regional Trends

Over the fifteen-year study period, university libraries throughout Canada were building their collections of monographs and microforms. In most regions, serials collections increased, except in Ontario and the Atlantic region. Figure 3.23 shows the percentage change in holdings by region. In British Columbia, the monograph collection increased from an average of 1,598,000 to 2,704,000 volumes or by 69 per cent over. The microform collection grew by 109 per cent, from 1,241,000 to 2,599,000 volumes. The serials collection increased from 28,390 to 53,030 titles or by 87 per cent over fifteen years. Of all five regions, British Columbia had the largest average collections of microform volumes and serial titles in 1997/98. In the Prairie region, the monograph collection increased from an

68

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.23 Percentage change in average holdings from 1982/83 to 1997/98, CARL universities, by region

average of 1,592,000 to an average of 2,611,000 volumes or by 64 per cent over fifteen years. The average number of microforms held in university libraries grew by 225 per cent, from 760,000 to 2,470,000 volumes. The serials collection expanded from 10,480 to 13,340 titles, for an increase of 87 per cent. The average number of monographs held in Ontario university libraries increased from 1,729,000 to 2,768,000 volumes or by 60 per cent. The average size of the monograph collections of Ontario universities was the largest of the five regions in 1997/98. The microform collection grew from 639,000 to 2,267,000 volumes, which represents an increase of 255 per cent. The average number of serials titles held decreased from 15,960 to 15,250, for a decline of 4 per cent. The monograph and microform collections in Quebec universities showed the largest increases in size. The monograph collection increased from an average of 1,197,000 to 2,183,000 volumes. This represents

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Figure 3.24 Average holdings per FTE student, CARL universities, by region, 1997/98

growth of 82 per cent over the fifteen-year period. The microform collection grew 309 per cent, from 306,000 to 1,252,000 volumes. The serials collection increased from an average of 8,820 to 11,050 titles or by 25 per cent. In the Atlantic region, the monograph collection increased from an average of 986,000 to 1,439,000 volumes or by 46 per cent. The microform collection grew 160 per cent, from 783,000 to 2,038,000 volumes. The serials collection, however, decreased from 9,450 to 8,140 titles or by 14 per cent over fifteen years. Figure 3.24 shows the regional averages of monographs and microforms on a per student basis in 1997/98. Libraries in the Prairie region reported the greatest number of monographs per FTE student, with 150 volumes. British Columbia had the second highest number (148), followed by Ontario (144), the Atlantic region (135), and Quebec (103). Atlantic universities showed the largest number of microform volumes per FTE student (191), compared with 142 in British Columbia and also the Prairie university libraries; 118 in Ontario libraries; and 59 in Quebec university libraries.

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Downsizing in Academic Libraries: The Canadian Experience Summary of Trends in Holdings

University libraries, in response to higher student enrolment and higher budgets for materials, increased the size of their collections, most noticeably in microforms and monographs. Serials collections, under severe pressure from steep price increases, did not fare as well. The statistics suggest that the nature of the academic collection is changing. The growth in the collection of machine-readable materials since 1995/96 is most discernible. Trends in Staffing

Over the fifteen-year period of this study, university libraries scaled back the proportion of the budget spent on salaries. This translated into reduced levels of staffing. Information on staffing was obtained from the annual CARL statistical report. The following definitions are used by CARL: Professional staffinclude professional librarians in administration and non-administration positions. Non-professional staffinclude non-professional staff in administration and non-administration positions. Casual FTE staffincludetemporary and part-time staff. The number of positions is expressed as FTE positions. Full-time equivalent positions are calculated by dividing person-hours worked by 1,820 hours. National Trends

Staffing levels decreased in CARL-member libraries in the fifteen-year period beginning in 1982/83. That year there were an average of 234 FTE staff members and by 1997/98 there were, on average, 198. This represents a decrease of 15 per cent. Figure 3.25 shows the average number of personnel, by type of position, in CARL libraries throughout the study period. Professional positions decreased in number, from 54 librarians to an average of 46. The decline in non-professional positions in CARL libraries has also been dramatic, from an average of 160 nonprofessionals on staff down to 127. The number of casual FTE workers increased from an average 21 to 25 per library.

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71

Figure 3.25 Average staffing levels, by type of position, CARL universities, Canada, 1982/83 to 1997/98

Figure 3.26 shows the cumulative percentage change in staffing levels, by type of position, from the base year 1982/83. The 15 per cent drop in the number of professional librarian positions over the fifteen-year period can be clearly seen. The number of non-professional staff also decreased steadily, particularly in the last five-year period. Overall, 21 per cent of non-professional positions disappeared. Meanwhile, libraries increased the number of casual staff by 17 per cent. The ratio of non-professional to professional staff at CARL libraries generally declined over the study period (see Figure 3.27). At the start it was 2.94. It peaked at 3.07 in 1985/86, but by the end of the period it had dropped down to 2.75. The mix of professional, non-professional, and casual staff used by academic libraries over the fifteen-year study period was affected by the broader environment in which academic libraries function. The growth in the numbers of part-time students had implications for how and when libraries provided service. Changing academic programs made new and significant demands on library staff and collections. Declining expenditures on salaries together with staff reductions required a re-assignment of duties and responsibilities. In addition, the automation of library functions resulted in a realignment of duties and responsibilities. As

72

Downsizing in Academic Libraries: The Canadian Experience

Figure 3.26 Cumulative percentage change in average staffing levels from 1982/83, CARL universities, Canada

routine tasks were absorbed by computer systems, non-professional staff were able to assume greater job responsibilities. Non-professional staff include library technicians, paraprofessionals who may have subject expertise but do not have credentials in library and information science (Howarth 1998), and clerical staff. The term paraprofessional is sometimes used to refer to the category of library employee who ranks above a clerk but below professional librarians in the status hierarchy of the library (Oberg et al. 1992). Many tasks previously performed by professional librarians have now been transferred to paraprofessionals or technicians. For example, until the mid-1970s, nearly all cataloguing was carried out by professional librarians. The development of bibliographic utilities and shared machine-readable records made this process more routine, and the responsibility for copy cataloguing devolved to paraprofessionals or technicians. In many academic libraries, original descriptive cataloguing, as well as subject analysis and classification, are assigned to paraprofessionals (Johnson 1996; Oberg et al. 1992). Paraprofessionals may provide reference service and bibliographic instruction, carry out online database searches, and assume collection development duties.

National and Regional Trends

73

Figure 3.27 Ratio of non-professional to professional staff, CARL universities, Canada, 1982/83 to 1997/98

Looking at staffing levels per 100 FTE students (Figure 3.28), we can see the decreased number of non-professional staff in academic libraries in Canada. Their average number per 100 FTE students was 1.06 in 1982/83, but 0.70 in 1997/98. In comparison, the number of professional staff per 100 FTE students decreased at a slower rate over the study period, from 0.36 to 0.25. The number of casual FTE staff per 100 FTE students remained essentially unchanged, at 0.14 at the end of the period. Overall staffing levels per 100 FTE students decreased from an average of 1.55 personnel per 100 FTE students to 1.09 fifteen years later. Regional Trends

Staffing levels decreased in university libraries in all regions of Canada over the period 1982/83 to 1997/98, but the magnitude of the decrease was markedly lower in the Atlantic region. There, total staffing levels decreased by 1 per cent, from an average of 145 to 143 positions, compared with declines in the 14 per cent to 18 per cent range in the other regions. The total number of staff decreased by 14 per cent in British Columbia (from an average of 260 to 225 positions) and the

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Downsizing in Academic Libraries: The Canadian Experience

Figure 3.28 Average staffing levels per 100 FTE students, CARL universities, 1982/83 to 1997/98, Canada

Prairies (from 227 to 196 positions), while decreases 16 per cent (from 227 to 191 positions) and 18 per cent (from 259 to 211 positions) were seen in Quebec and Ontario respectively. Regional differences are noticeable in Figure 3.29, which shows the percentage change over the fifteen-year period in staffing levels, by type of position, by region. In general, the decrease in non-professional positions was greater than the decrease in professional positions, while the number of casual FTE positions increased. The exceptions to the general trend are evident. The percentage decrease in the number of professional positions in the Atlantic region was in the order of 1 per cent, compared with 11 per cent in British Columbia, the Prairies, and Ontario. The decrease in Quebec was 16 per cent. The Atlantic region at 13 per cent, also had the smallest drop in the number of nonprofessional positions, while at 25 per cent, Ontario had the largest. The number of non-professionals working in B.C. university libraries decreased by 21 per cent in the fifteen-year period; by 19 per cent in Quebec; and by 16 per cent in the Prairie region. The Atlantic region showed the largest percentage increase in the number of casual positions, as the number of casual FTE positions more than doubled. Casual staff decreased by 5 per cent in the Prairie region. In the other regions casual FTE positions rose by 47 per cent in Quebec, by 29 per cent in British Columbia, and by 7 per cent in Ontario.

National and Regional Trends

75

Figure 3.29 Percentage change in average staffing levels from 1982/83 to 1997/98, CARL universities, by region

It is interesting to note that the staff cuts occurred throughout the study period, although, in general, the deepest cuts were in the last five years. Figure 3.30 shows the percentage change in total staffing levels over five-year periods for the five regions. Staffing levels dropped in all regions in the last five-year period, although in previous periods there were regional variations. In the first five-year period, staffing levels fell in British Columbia (by 13 per cent), Quebec (by 3 per cent), and the Prairies (by 1 per cent), while Ontario (3 per cent) and the Atlantic region (less than 1 per cent) showed increased staffing levels. In the second five-year period, staffing levels increased in British Columbia (by 5 per cent), the Atlantic region (by 4 per cent), and Quebec (by 2 per cent). The Prairie region (5 per cent) and Ontario (10 per cent) showed decreases. In the third period, the decreases in overall staffing levels ranged from 15 per cent in Quebec to 5 per cent in the Atlantic region. In Ontario, the decrease was 13 per cent, in the Prairie region 9 per cent, and in British Columbia 6 per cent. Figure 3.31 shows staffing levels at B.C. university libraries at four points in time. At the start of the study period, they employed, on average, 63 professionals, 173 non-professionals, and 24 casual FTE staff,

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Downsizing in Academic Libraries: The Canadian Experience

Figure 3.30 Percentage change in average staffing levels over five-year periods, CARL universities, by region

for a total of 260 staff. The number of professional staff peaked at 74 in 1983-84, and the following year the number of non-professional staff peaked at 183. The number of casual staff was highest in the years 1985/ 86 and 1986/87. Since then, the number of staff in each category has been falling. In 1987/88, on average, 227 staff were employed in B.C. university libraries. There were modest increases in staffing levels between 1987/88 and 1992/93, but starting in 1992/93 annual reductions in staff complement occurred. By 1997/98 there were, on average, 225 staff, composed of 56 professional librarians, 138 non-professionals, and 31 casual FTE staff. In the Prairie region, staffing levels showed small increases until the late 1980s, after which time reductions began to occur (see Figure 3.32). In 1982-83 there were, on average, 227 staff in total working in university libraries, with 49 professionals, 155 non-professionals, and 23 casual FTE staff. The total number of staff peaked in 1986-87 at 232 staff which was because of an increase in non-professional positions. Over the next eleven years, there were steady reductions in staff numbers, although increases were reported in the last two years of the study period. By

National and Regional Trends

77

Figure 3.31 Average staffing levels, CARL universities, British Columbia, 1982/ 83,1987/88, 1992/93 and 1997/98

1997/98 there were 44 professional librarians, 131 non-professionals, and 22 casual FTE staff, for a total of 197 personnel. As can be seen in Figure 3.33, 1987/88 was the peak year for employment in university libraries in Ontario. Total employment reached 267 staff, with 53 professionals, 172 non-professionals, and 43 casual staff. Since then, the total number of staff has fallen to an average of 211 in 1997/98, with 48 professional, 130 non-professional, and 33 casual staff. The number of professional librarians working in Ontario university libraries was highest in 1990/91, when 56 librarians were employed on average. The number of non-professionals remained fairly stable from 1982/83 to 1989/90, at around 170. In the 1990s steady declines in the number of non-professionals (of 3 per cent per year) occurred. The use of casual staff remained steady, with an average of 32 casual FTE workers employed over the fifteen-year period. In Quebec, staffing patterns remained fairly stable until the mid1990s. This is reflected in Figure 3.34 which shows staffing levels at four points in time. In 1982/83 there were an average of 57 professional librarians, 162 non-professionals, and 8 casual FTE staff, for a total of

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Figure 3.32 Average staffing levels, CARL universities, Prairie region, 1982/83, 1987/88, 1992/93 and 1997/98

227 staff in university libraries in Quebec. This level of staffing was maintained, in general, throughout the 1980s and into the 1990s. The use of casual staff increased; by 1993/94 there were 17 casual FTE workers in libraries. However, after 1995/96 reductions in staff started to occur, and by 1997/98 there were, on average, 48 professional librarians, 131 non-professionals, and 13 casual FTE staff, for a total of 191 staff. University libraries in the Adantic region maintained stable staffing levels over the fifteen-year period (see Figure 3.35). In 1982/83 there were 145 staff members, of which 31 were professional librarians, 102 were non-professionals, and 11 were casual FTE employees. The number of staff peaked in 1991/92, with 158. Since that time, the number of nonprofessional staff has been reduced and the number of casual employees increased. By 1997/98 there were, on average, 143 employees, of which 31 were professional librarians, 89 were non-professionals, and 23 were casual FTE staff. Taking student enrolment levels into account gives a different picture of staffing patterns on a regional basis. Table 3.3 presents information about number of staff per 100 FTE students, by type of position, and by

National and Regional Trends

79

Figure 3.33 Average staffing levels, CARL universities, Ontario, 1982/83,1987/ 88, 1992/93,and 1997/98

region. In general, British Columbia shows the highest ratios of staff per 100 FTE students in each year, while Quebec shows the lowest. B.C. university libraries had 0.51 professional librarians per 100 FTE students in 1982/83; by 1997/98 that ratio had fallen to 0.31. There were 1.41 non-professional per 100 students in 1982/83, but fifteen years later that ratio had fallen to 0.75, while the ratio of casual FTE employees per 100 students fell from 0.20 to 0.17. University libraries in Quebec tended to have the lowest ratios of employees per 100 students. The ratio of professional librarians per 100 FTE students dropped from 0.34 to 0.23. Although at the beginning of the study period Quebec did not have the lowest ratio of professional librarians per 100 FTE students, fifteen years later, it did. The ratio of non-professional employees per 100 students fell from 0.97 to 0.62. Quebec university libraries showed the lowest use of casual FTE employees, at about 0.06 per 100 students. The other regions reported professionals/100 students ratios at levels around those of Quebec, but ratios of non-professionals/100 students and casual employees/100 students closer to the levels in British Columbia.

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Figure 3.34 Average staffing levels, CARL universities, Quebec, 1982/83,1987/ 88, 1992/93, and 1997/98

Figure 3.36 shows the percentage change over the study period in average staffing levels per 100 FTE students by region. When enrolment levels are taken into account, the effect of higher enrolment on the change in ratios results in larger percentage decreases in staffing levels. In general, the decreases in professionals per 100 students are between 20 and 40 per cent, compared with decreases of between 1 and 16 per cent when only the absolute number of professionals is considered. The decreases in the number of non-professionals per 100 students are between 29 and 47 per cent, compared with decreases of between 13 and 21 per cent in the absolute number of non-professionals. The use of casual FTE employees per 100 students increased by two-thirds in the Atlantic region and by 16 per cent in Quebec. In the other regions, the use of casual FTE employees per 100 students declined between 5 and 20 per cent. In absolute numbers, the use of casual employees increased in all regions except the Prairies. The ratio of non-professionals to professionals reflects the ways that the organization and management of academic libraries changed in the

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Figure 3.35 Average staffing levels, CARL universities, Atlantic region, 1982/ 83, 1987/88, 1992/93, and 1997/98

fifteen-year period covered by the data. Figure 3.37 shows that in 1982/ 83, the ratio of non-professional staff to professional staff was higher than in 1997/98, in all regions. The highest ratio was 3.24 non-professionals for each professional librarian in Atlantic Canada, and the lowest ratio was 2.76 in British Columbia. In the same year, Ontario reported a ratio of 3.22; the Prairie region, 3.16; and Quebec, 2.81. By 1997/98 the Prairies reported the highest ratio of 2.99 non-professionals per professional, compared with 2.46 in British Columbia. The Atlantic region had the second highest ratio of 2.87, followed by Quebec at 2.71, and Ontario at 2.70 non-professionals per professional. Summary of Trends in Staffing

Downsizing has been occurring at Canadian academic libraries continually over the fifteen years of the study period. Reductions in the absolute number of professional and non-professional positions occurred, while the number of casual (full-time equivalent) positions increased. When

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TABLE 3.3 Average staffing levels per 100 FTE students by type of position, CARL universities, by region, 1982/83,1987/88, 1992/93, and 1997/98 Region and type of position

BC Professional Non-professional Casual FTE Total Prairies Professional Non-professional Casual FTE Total Ontario Professional Non-professional Casual FTE Total Quebec Professional Non-professional Casual FTE Total Atlantic Professional Non-professional Casual FTE Total

1982/83

1987/88

1992/93

1997/98

Change 82/83 to 97/98 (%)

0.51 1.41 0.20

0.42 1.09 0.17

0.36 0.94 0.16

0.31 0.75 0.17

-40 -47 -13

2.11

1.68

1.45

1.23

-42

0.33 1.05 0.16

0.29 0.90 0.14

0.27 0.85 0.12

0.25 0.75 0.13

-24 -28 -20

1.54

1.33

1.24

1.13

-27

0.32 1.03 0.18

0.29 0.94 0.23

0.27 0.77 0.15

0.25 0.68 0.17

-22 -34 -5

1.53

1.47

1.20

1.10

-28

0.34 0.97 0.05

0.27 0.76 0.06

0.26 0.69 0.06

0.23 0.62 0.06

-34 -36 16

1.36

1.10

1.01

0.90

-34

0.36 1.18 0.13 1.68

0.33 1.00 0.14 1.47

0.31 0.93 0.15 1.38

0.29 0.83 0.22 1.34

-20 -29 66 -20

student enrolment levels were factored into the staffing patterns, there were deceases in the number of all types of positions per 100 FTE students. Downsizing most strongly affected non-professional positions. In the academic libraries, the proportion of professional positions remained more or less constant, while the proportion of casual FTE positions increased slightly in all regions of Canada. Non-professional positions took the brunt of the cuts.

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83

Figure 3.36 Percentage change in average staffing levels per 100 FTE students from 1982/83 to 1997/98, CARL universities, by region Summary

This chapter described the downsizing that occurred in academic libraries across Canada over the period 1982/83 to 1997/98. These reductions were attributed to several influences. Universities received less support from both the provincial and federal governments. However, over the period, academic libraries did continue to receive the levels of support that were traditional for their institution. Unfortunately, universities were facing large increases in student enrolment, and libraries were facing sharply rising costs for materials and technology. Libraries increased spending on materials (books, serials, and other items) and other operating costs (primarily computers) at the expense of personnel costs. This led to reductions in staffing levels of professional and nonprofessional positions. The study of retrenchment in Canadian academic libraries (Auster 1991) covered the period 1972/73 to 1982/83. Taken in conjunction with the present study, we have a twenty-five year overview of the state of Canadian academic libraries. The retrenchment observed in the earlier

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Figure 3.37 Ratio of non-professional to professional staff, CARL universities, by region, 1982/83 and 1997/98

period seems mild compared with the more severe cutting of budgets and staff that occurred in the later period. Although libraries attempted to maintain the proportion of their budgets spent on salaries while reducing that spent on materials in the period 1972/73 to 1982/83, in the period 1982/83 to 1997/98, the reverse was observed. Over the twenty-five years, the collections of the university libraries grew at a modest but steady rate. The adequacy of the collection to support a growing number of students, particularly at the graduate level, cannot be assessed. The long-term trend in staffing patterns over the twenty-fiveyear period has been to decrease numbers of staff, both professional and non-professional, despite a growing student population. Technologies (such as library automation) and work practices (such as copy cataloguing) have had major implications for the allocation of staff resources within the library. For example, the use of consortia, partnerships, and alliances between university libraries has led to a greater sharing of resources and a concomitant increase in efficiencies in staffing and services. Outsourcing, especially of technical services, has also resulted in reductions in cataloguing staff. The self-serve philosophy, which has seen the widespread proliferation of OPACs and the implementation of

National and Regional Trends

85

automated check-outs, has also resulted in fewer staff at academic libraries in Canada. What is the optimum deployment of staff in academic libraries? There are several trends that will determine future staffing levels in Canadian academic libraries. On the one hand, student enrolments are expected to continue to increase and create demands for additional staff. However, the realization of virtual libraries, with their emphasis on 'access' as opposed to 'acquisition,' might require fewer staff. It is likely that the number of professional librarians in CARL libraries will remain stable. Nevertheless, there will be increased hiring of professional staff resulting from the large number of retirements anticipated in the next ten years. For example, the data reported elsewhere in this book show that over 70 per cent of professional librarians in CARL libraries are forty-five years of age or older. Based on demographic trends alone, student enrolment levels are expected to increase. The 'echo boom,' the children of the baby-boom cohort, is graduating from high school and entering post-secondary institutions. However, forecasting enrolment is not an easy task (O'Heron 1997). Student enrolment levels depend on other factors such as the perceived value of a university degree; tuition and related costs; the availability of loans and overall debt load; and the availability of jobs that do not require university degrees. In Ontario, secondary school reforms will produce a surge in enrolment in 2003. Although the bulge from the 'double cohort' is expected to disappear by the end of the decade, there will be significant demands placed on the post-secondary system in the meantime. Additional resources, in the way of faculty, physical space, and academic support (such as libraries) will be needed. Graduate students place greater demands on the university library than do undergraduate students. In the 1990s, there was stronger growth in graduate enrolment than in undergraduate enrolment, but there is some doubt as to whether this trend will continue. The belief in lifelong learning may be contributing to the growth in graduate enrolments, together with the competitive edge that is often provided by a professional degree. However, the cost of tuition and education-related expenses and the burden of student debt is becoming prohibitive for some students. The fiscal situation of universities may ease somewhat, as governments become less concerned with the elimination of the deficit. Assuming that universities benefit from increased spending on education, it might be expected that library budgets, in turn, will be increased. This could result in increased hiring.

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An important factor affecting the deployment of staff in university libraries may be the fuller realization of the virtual library. In a virtual library users gain access to electronic documents, while in the traditional library the collection of physical monographs and serials is of prime importance. In the future, academic libraries will continue to maintain a physical collection, as well as provide access to information in electronic form. The question is how libraries will staff such an institution. Libraries are experimenting, and it is too early to say how the demand for professional librarians, library technicians, and administrators will be affected.

CHAPTER 4

The Management of Downsizing

How was downsizing implemented in academic libraries ? The initial concern of organizations is how to accomplish the downsizing. Decisions must be made as to what segments of the organization will be targeted for downsizing and what strategies will be used to accomplish the downsizing. Once the downsizing strategies have been identified, the process must be implemented and managed. Downsizing Strategies As noted in Chapter 2, Cameron, Freeman, and Mishra (1991) produced a four-year study of the American auto industry, conducting interviews with the chief executive officers (CEOs) and collecting over 2,000 questionnaires from white-collar employees regarding the implementation of the downsizing. From this research, the authors generated a typology of three core strategies that organizations use to downsize. The first is a workforce reduction strategy aimed at reducing the number of employees in an organization. A workforce reduction strategy may consist of offering early retirements, transfers and outplacement, buyout packages, attrition, and layoffs and firings. Although the main advantage of this strategy is one of cost reduction, Cameron compares it to 'throwing a grenade into a crowded room, closing the door, and expecting the explosion to eliminate a certain percentage of the workforce' (1994: 197). In other words, the disadvantage of such a strategy is that it is difficult to predict who will leave, and it may result in the loss of critical knowledge, skills, and abilities when employees leave, as well as negative consequences for those remaining.

88

Downsizing in Academic Libraries: The Canadian Experience TABLE 4.1 Extent of use of a workforce reduction strategy

Workforce reduction tactics Attrition Early retirements Regular retirements Transfers to a new job within the university Buyouts Layoffs Firings

N

Mean

SD

741 731 716 701 601 682 641

4.36 4.06 3.67 3.20 2.53 1.68 1.19

1.98 1.07 1.17 1.15 1.55 0.98 0.60

Workforce Reduction Strategy

Respondents to our study revealed the use of seven workforce reduction tactics by answering the question, 'Please indicate the extent to which your library engaged in these tactics regarding staff during the last five years,' using a rating scale where 1 represents not at all and 5 represents a great deal. The mean responses and their standard deviations are shown in Table 4.1. They are presented in descending order of mean score. The overall index mean score for a workforce reduction strategy is 2.95. As a group, the respondents indicated that the most frequently used strategies for reducing the number of professional employees in their libraries were attrition (freezing or limiting the influx of new employees), early retirements (offering incentives for senior employees to resign voluntarily before their normal retirement date), and regular retirements. Transfers to a new job within the university and buyouts were used to some extent to reduce the number of employees, while layoffs and firings were relatively underused. Attrition and retirement strategies are thought to be a more humane way to reduce the workforce because they do not threaten employees' continuity of employment (Greenhalgh, Lawrence, and Sutton 1988). However, the effect of such strategies alters the organization's age and experience distribution that results in an aging workforce, skill imbalances, the disruption or loss of organizational memory, and the preclusion of individuals who bring new approaches to existing problems. Our study comprises a very homogeneous group of employees working in academic libraries. For example, of the 758 who responded, 71 per cent are female and 29 per cent are male. As a group, they may be described as an aging workforce, with over 70 per cent being 45 years of age or older. The largest group, almost 50 per cent, is between 45 and 54 years

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89

TABLE 4.2 Extent of use of employee cost reduction tactics Employee cost reduction tactics Salary freezes Transfer to a new job within the library Leaves of absence Salary cuts Job sharing

N

Mean

SD

691 701 629 668 623

3.45 3.20 2.19 1.81 1.62

1.49 1.15 1.16 1.33 0.96

of age; only 6 per cent are in the 25 to 34 age group. In terms of professional experience, 47 per cent have more than twenty years, while only 6 per cent have worked between one and five years. Once employed, these professionals tended to stay put in the same library system. Over half, 52 per cent, have sixteen or more years of experience in the same library system. In the coming years, when many of these professionals begin to retire, one wonders if the libraries will have the right people in place with the necessary skills, experience, and training to pursue the organizations' long-term goals. Libraries also considered alternative strategies that avoid or minimize the need to reduce employees, as shown in Table 4.2. The alternatives considered include salary freezes, transfers, the use of contract staff, leaves of absence, salary cuts, and job sharing. These alternatives are aimed at reducing the cost of employees rather than reducing the number of employees. The mean responses and their standard deviations are shown in Table 4.2. They are presented in descending order of mean score. The most preferred alternatives adopted were salary freezes and transferring employees to new jobs within the library. Leaves of absence, salary cuts, and job sharing were considered to a much lesser extent. Naturally, these alternatives are not workable in every downsizing situation. The most appropriate strategies to reduce the workforce depend on both the magnitude of the reduction required and the amount of time available to accomplish it. For example, organizations that need to implement deep cuts almost immediately have few options available other than across-the-board workforce reductions. In contrast, organizations with an immediate economic threat, but one that does not require deep cuts, have more alternatives. The majority of the member libraries of the Canadian Association of Research Libraries (CARL) fell into the second category of organizations - those with an immediate economic

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Downsizing in Academic Libraries: The Canadian Experience

threat but one that did not require deep cuts. As a result, these libraries were able to consider a number of strategies aimed at reducing both the number of employees and the cost of employees when implementing downsizing. Work Redesign Strategy

The second type of downsizing strategy, work redesign, involves changing work processes and organizational arrangements so that the amount of work, rather than the number of employees, is reduced. A work redesign strategy may consist of activities such as eliminating hierarchical levels, functions, or departments; redesigning tasks; reducing work hours; and consolidating and merging units. The main advantage of this strategy is the degree of efficiency that should result from the organization's redesign, as in the cases of simplified work processes and a more streamlined structure. The disadvantage of this strategy is that it is difficult to implement quickly, as it requires some advanced analysis of the areas to be redesigned. Respondents indicated the extent of use of thirteen work redesign activities by answering the question, 'Please indicate the extent to which your library engaged in these activities during the last five years,' using a rating scale where 1 represents not at all and 5 represents a great deal. The mean responses and standard deviations are shown in Table 4.3. They are presented in descending order of mean score. The overall index mean score for a work redesign strategy is 3.24. As a group, respondents indicated that the following work redesign activities were used to a great extent by their libraries: automated work processes wherever possible, redesigned tasks and jobs, merged or reorganized departments, improved technologies, redesigned work to take advantage of technological improvements, and decreased number of individuals doing the same tasks or work. The following activities were used to some extent by libraries to redesign: implementation of new technologies to reduce the number of staff required, elimination of specific tasks, reduction of the number of hierarchical levels, reorganization of the senior management team, and formation of work teams. Finally, reduction of interaction with users and outsourcing of tasks formerly done within the library were two additional redesign activities. These thirteen redesign activities can be categorized into three types of changes: changes relating to work, changes relating to technology, and changes relating to organizational structure. Figure 4.1 shows the

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91

TABLE 4.3 Extent of use of a work redesign strategy Work redesign activities Automated work processes wherever possible Redesigned tasks and jobs Merged or reorganized departments Improved technologies Redesigned work to take advantage of technological improvements Decreased the number of individuals doing the same tasks or work Implemented new technologies to reduce the number of staff required Eliminated specific tasks Reduced the number of hierarchical levels Reorganized the senior management team Formed work teams Reduced interaction with users Outsourced tasks formerly done within this library

N

Mean

SD

732 743 743 741

3.94 3.94 3.87 3.84

1.06 1.02 1.08 1.04

734

3.72

1.07

695

3.50

1.08

713 697 703 699 663 706 653

3.27 3.05 2.74 3.00 2.74 2.28 2.34

1.22 1.08 1.43 1.44 1.34 1.18 1.29

mean frequency of use of the five work redesign activities that can be categorized as changes relating to work. In this bar chart, the five work redesign activities are listed down the side and the rating scale of 1 to 5 is given across the bottom. The bars represent the mean frequency of use of the activities. The five activities are presented in descending order of mean frequency. The mean score for the five activities is 3.02. Figure 4.2 shows the mean scores for the extent of use of four work redesign activities that can be categorized as changes relating to technology. The four activities are presented in descending order of mean score. The four activities are presented in descending order of mean frequency. The mean score for the four activities is 3.69. Figure 4.3 shows the mean scores for the extent of use of four work redesign activities that can be categorized as changes relating to organizational structure. The four activities are presented in descending order of mean score. The four activities are presented in descending order of mean frequency. The mean score for the four activities is 3.08. Overall, libraries more frequently engaged in work redesign activities relating to technology changes than to organizational structure and work changes. Changes in work (e.g., eliminating tasks or decreasing the number of people doing the same task or work) require less change than changes in technology (e.g., automating work processes or redesigning

92

Downsizing in Academic Libraries: The Canadian Experience

Figure 4.1 Extent of use of a work redesign strategy: work changes

work to take advantage of technological improvements). In turn, changes in technology require less change than changes in structure (e.g., merging or reorganization departments or reducing the number of hierarchical levels). Each type of change builds on the one before, as the hierarchy progresses from less extensive change on the individual or task level to more extensive change on the organizational level. Figure 4.4 shows a bar chart comparing the types of changes made by the twenty-six libraries in this study. The grouped bars represent the mean extent of changes in work, technology, and structure for each library. As we can see, the libraries implemented both low-level and highlevel changes, where they differ are in the extent of changes made. Although all libraries undertook low-level changes aimed at reducing the size of the organization (e.g., eliminating tasks or decreasing the number of people doing the same task or work), they did not solely rely on these types of changes when downsizing. Not a single library in the study relied exclusively on implementing changes in work. In fact, with the exception of libraries 11 and 22 (Lll and L22), which implemented the most changes in structure, the libraries implemented more changes in technology than any other type of change. This finding does not come as a surprise, given the rise in the use of information and communica-

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93

Figure 4.2 Extent of use of a work redesign strategy: technology changes

dons technology in academic libraries as well as changes in technological capabilities. In Figure 4.5 the libraries are grouped together at the regional level based on the changes made to work, technology, and structure. On average, the libraries in each regional grouping made the same amount of changes in work and technology. The greatest variance is in the extent of the structural changes made. The libraries in the Atlantic region, on average, made the most changes in structure, while the libraries in Ontario, on average, made the least. The third downsizing strategy, systemic change, focuses on changing the culture of the organization. The changes are directed at the values and beliefs that govern employee behaviour. It is systemic - that is, focused on systems - in two ways. It focuses on internal systems (e.g., values, communication, and human resource systems) and on external systems (e.g., suppliers and customers; see Cameron 1994). This strategy may involve employee development programs that provide new career paths and new performance standards, changes in the organization's reward system, and employee training programs. Within this strategy, employees are regarded as resources critical to successful downsizing. However, this

94

Downsizing in Academic Libraries: The Canadian Experience

Figure 4.3 Extent of use of a work redesign strategy: structural changes

strategy takes a long-term perspective and as a consequence will not generate immediate cost savings. In fact, it may lead to an increase in spending, as the organization invests in employee development and training. Systemic Change Strategy

Respondents indicated the extent of use of ten systemic change actions by answering the question, 'Please indicate the extent to which your library engaged in these actions during the last five years,' using a rating scale where 1 represents not at all and 5 represents a great deal. The mean responses and standard deviations are shown in Table 4.4. They are presented in descending order of mean score. The overall index mean score for a systemic change strategy is 2.41. As a group, respondents indicated that the following systemic change actions were used to some extent by libraries: a new direction for the library has been developed, downsizing activities have been closely coordinated with the union (s), training and orientation programs for staff have been implemented in connection with the downsizing effort, and mechanisms to increase communication and information sharing have been implemented. Least used systemic change actions were the following: a systematic analysis of jobs and tasks to determine the downsizing strategy, a systematic analysis of personnel to determine the downsizing strategy, a continuous improvement philosophy, input from library

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95

Figure 4.4 Changes relating to work, technology, and structure, library level

users regarding downsizing activities, changes in employee appraisal systems, and changes in reward and recognition systems. The majority of mean scores for the ten systemic change actions lie between 1.38 and 3.08, indicating a relatively small range and an overall low level of use of a systemic change strategy when implementing downsizing in libraries. Compared with the overall index mean scores for a workforce reduction strategy (2.95) and a work redesign strategy (3.24), the overall mean index score for a systemic change strategy is 2.41. In general, it appears that the culture of most academic libraries in our study largely remained unchanged during the downsizing process. In other words, although a systemic change strategy was used in conjunction with downsizing, it was not used to any great extent. The three downsizing strategies - workforce reduction, work redesign, and systemic change - are not mutually exclusive. In fact, all of the libraries in the study implemented all three strategies to some extent. The key finding was that libraries were found to differ in the extent to which one strategy took precedence over the others. When we compare

96

Downsizing in Academic Libraries: The Canadian Experience

Figure 4.5 Changes relating to work, technology, and structure, regional level

the three strategies used to downsize (Figure 4.6), the number one downsizing strategy used by all libraries when implementing downsizing was a work redesign strategy. This redesign effort primarily focused on changing the way work is accomplished by automating work processes, redesigning tasks and jobs, reorganizing departments, improving technologies, and decreasing the number of individuals doing the same work. In a few cases, notably LI, L2, L6, L9, and L26, a workforce reduction strategy was used in close conjunction with a work redesign strategy. The least used strategy when downsizing was a systemic change strategy. At the regional level (Figure 4.7), libraries from the Atlantic Provinces and Ontario, on average, relied more closely on workforce reduction and work redesign strategies when implementing downsizing. In comparison, the libraries from the other three regions, on average, primarily relied on a work redesign strategy. In four of the five regions, on average, a systemic change strategy was least used in conjunction with downsizing. A notable exception is British Columbia, where both workforce reduction and systemic change strategies were used to almost the same extent. It is interesting to note that while libraries were busy redesigning many aspects of their organization, they did not implement a systemic change

97

The Management of Downsizing TABLE 4.4 Extent of use of a systemic change strategy Systemic change actions A new direction for the library has been developed. Downsizing activities have been closely coordinated with the union(s). Training and orientation programs for staff have been implemented in connection with the downsizing effort. Mechanisms to increase communication and information sharing have been implemented since downsizing began. A systemic analysis of jobs and tasks was conducted in order to determine the downsizing strategy. A systemic analysis of personnel was conducted in order to determine the downsizing strategy. A continuous improvement philosophy has been adopted. Input regarding downsizing activities has been sought from library users. Changes in employee performance appraisal systems have been implemented. Changes in reward and recognition systems have been implemented.

Figure 4.6 Extent of use of downsizing strategies

N

Mean

SD

720

3.08

1.26

592

2.76

1.37

713

2.66

1.18

727

2.54

1.23

645

2.36

1.24

626

2.21

1.31

645

2.19

1.24

679

2.06

1.13

688

1.72

1.16

693

1.38

.71

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Downsizing in Academic Libraries: The Canadian Experience

Figure 4.7 Extent of use of downsizing strategies, regional level

strategy in conjunction with this effort. As was noted in Chapter 2, a systemic change strategy takes a long-term perspective, is integrated with a larger set of objectives, and focuses on preserving the knowledge, skills, and abilities of employees through the human resources management system. If an organization makes changes to the work it does, it must also change the capabilities and attitudes of its people, the formal structures and processes, and ultimately, its culture. An organization may be viewed as consisting of the following four major components: the work, the people, the formal arrangements, and the informal organization (Nadler and Tushman 1995). The first component is the organization's work - the specific work activities or functions that need to be done by the organization. A second component of organizations involves the people who perform tasks. The third component is the formal organizational arrangements. These are the structures, systems, processes, methods, and procedures that are explicitly and formally developed to get individuals to perform tasks. The final component is the informal organization, also known as the organizational culture. The informal organization consists of arrangements that tend to emerge over time in any organization, and they are usually implicit and unwritten. These are the common values, beliefs, and relationships that develop within and between groups, and they can exert considerable influence on individual behaviour. These four components

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99

affect and are affected by each other. No one component can be considered in isolation. Congruence between components is the degree to which the needs, demands, goals, objectives, or structures of one component are consistent with and complementary to the needs, demands, goals, objectives, or structures of another component. To maintain congruence between organizational components, changes in one component necessarily demand changes in the others to improve overall fit among the components. Many of the structural, technological, and process changes taking place as a result of a work redesign strategy have the potential to change each of the organizational components. Lasting changes in redesigning work require multiple leverage points to modify more than a single component. Otherwise, the changes run the risk of creating poor fits among organizational components. The changes must be structured so that they are consistent; the training of individuals, for example, should dovetail with new job descriptions or reporting relationships. Pay systems, promotions, recognition, job assignments, and so forth need to be carefully examined during major organizational changes and then restructured to support the direction of the transition. Changes in all four components are needed to bring about significant and lasting changes in organizational behaviour. The libraries in our study did not make the necessary changes to other organizational components when implementing a downsizing. For example, from the results of this study it was found that 73 per cent of library professionals indicated that changes in reward and recognition systems had not been implemented in connection with the downsizing effort (Figure 4.8). Regarding changes in employee appraisal systems, 65 per cent of academic librarians indicated these too were not implemented (Figure 4.9). In terms of training and orientation programs, 56 per cent indicated that these programs were implemented to some extent, while 21 per cent indicated they were not implemented at all (Figure 4.10). So, although libraries are implementing work redesign strategies, they may be undermining the potential benefits of these strategies by not making consistent and supportive changes in the other components of the organization. Downsizing Processes

Independent of the downsizing strategies are the processes used to manage downsizing. There are certain significant processes that occur in

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Figure 4.8 Extent to which changes in reward and recognition systems have been implemented in connection with the downsizing effort

organizations as they downsize. Some of the most important are participation, communication, and leadership. The processes by which downsizing is managed are important because they may influence the way in which organizational downsizing is understood and accepted. For example, because people attribute meaning to the events that they perceive, the same downsizing is likely to evoke different reactions among employees. Consequently, much of what management does during the downsizing process itself has profound implications for how successful the efforts to minimize the negative effects for survivors will be. Participation

During downsizing, many employees feel confused and anxious, and often they experience a loss of personal control in response to the multitude of changes affecting work procedures, organizational values, reporting relationships, and so on (Noer 1993). This seems to be especially true where the changes are led by directive strategies rather than through the processes of employee participation and consultation. Several authors have suggested that it is crucial to involve employees in at least part of the decision-making process related to downsizing

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Figure 4.9 Extent to which changes in employee appraisals systems have been implemented in connection with the downsizing effort

(Appelbaum, Leblanc, and Shapiro 1998; Brockner 1992; Hardy 1987). Such involvement would help employees to better understand the constraints and opportunities facing the organization, as well as reduce feelings of powerlessness and provide a forum in which employee interests can be protected. Participation encompasses a range of policies that, at the low end, permit employees to suggest improvement and, at the high end, provide employees complete decision-making power, from identification of problems to implementation of solutions. Respondents indicated their extent of involvement in ten downsizing decisions by answering the question, 'To what extent were you involved in the following downsizing decisions regarding your library during the last five years,' using a rating scale where 1 represents not at all and 5 represents a great deal. The mean responses and standard deviations are shown in Table 4.5. They are presented in descending order of mean score. As a group, respondents indicated that implementation of new services for users, implementation of new work processes, design of new services for users, redesign of work processes, and implementation of new training programs were all downsizing decisions with which they were involved to some extent. For the following nine downsizing deci-

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Figure 4.10 Extent to which training and orientation programs for staff have been implemented in connection with the downsizing effort

sions, respondents indicated they were marginally involved: design of new training programs, implementation of new communication methods, design of new communication methods, development of an overall downsizing plan, implementation of downsizing strategies regarding staff, design of downsizing strategies regarding staff, initial decision that downsizing would be necessary, implementation of new performance measurement criteria for staff, and development of new performance measurement criteria for staff. Figure 4.11 compares the extent of involvement in the ten downsizing decisions for professional employees and for management employees. The grouped bars represent the mean scores for the extent of involvement in these decisions for professional employees and for management employees. As a group, management employees indicated that the implementation of new work processes, the redesign of work processes, the implementation of new services for users, the design of new services for users, the implementation of new training programs, the implementation of downsizing strategies regarding staff, and the design of new training programs were downsizing decisions that they were involved with to some extent. For the following three downsizing decisions management

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TABLE 4.5 Extent of employee involvement in downsizing decisions Downsizing decisions Implementation of new services for users Implementation of new work processes Design of new services for users Redesign of work processes Implementation of new training programs Design of new training programs Implementation of new communication methods Design of new communication methods Implementation of downsizing strategies regarding staff Design of downsizing strategies regarding staff

N

Mean

SD

702 714 703 714 687 688 637 643

2.80 2.76 2.64 2.62 2.46 2.35 2.06 1.97

1.41 1.36 1.36 1.32 1.36 1.31 1.23 1.20

673 672

1.92 1.81

1.29 1.21

Figure 4.11 Extent of employee involvement in downsizing decisions

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Downsizing in Academic Libraries: The Canadian Experience

employees indicated they were marginally involved: the implementation of new communication methods, the design of downsizing strategies regarding staff, and the design of new communication methods. The academic librarians indicated that the implementation of new services for users and the design of new training programs were the only two downsizing decisions with which they were to some extent involved. For the following six downsizing decisions librarians indicated they were marginally involved: the implementation of new work processes, the redesign of work processes, the design of new services for users, the implementation of new training programs, the implementation of new communication methods, and the design of new communication methods. Academic librarians reported they were not involved regarding two decisions: the design of downsizing strategies regarding staff and the implementation of downsizing strategies regarding staff. Although the level of involvement in downsizing decisions is slightly greater for management employees than for professional employees, in general the level of involvement for both groups is relatively low. When we look at participation at the library level (Figure 4.12), we can see that most libraries on average scored very low; the exception is LI. These results indicate that the decision-making process regarding downsizing in the CARL libraries was fairly centralized, that is, the decisions were made at higher levels in the library. The centralization of decision-making during downsizing may serve many useful functions to the senior management team facing a transition. For example, it ensures that information flows to the top, allowing senior management to map out a downsizing strategy to carry the organization forward. In an authoritative decision-making mode, the senior management team only has to answer to themselves. They are not bothered by irrelevant information, and they do not have to explain themselves to subordinates favouring other decisions. Centralization of decision-making, however, can have its costs. For example, centralized decision-making can shut off the senior management team from relevant knowledge or details that might be developed in an open exchange with subordinates. It can also insulate the team and promote a 'group think' mentality, as downsizing strategies are considered. In most cases, employees are in the best position to know how to solve problems or serve their clients because they are closest to the situation. In addition, different groups of people have a greater quantity and diversity of information and can readily identify more alternatives. More importantly, by encouraging participation in decision-making, organizations can increase both

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Figure 4.12 Extent of employee involvement in downsizing decisions, library level

the probability that change will be accepted and the overall effectiveness of that change. The process of helping to shape a decision creates employee identification with the decision. For example, it is difficult for individuals to resist a change decision in which they have participated. Moreover, if employees are involved in the change decision, they tend to see it as their decision, rather than one imposed upon them. Their involvement can reduce resistance as well as secure their commitment, which is required to design and implement change more effectively. Communication

Communication is probably one of the most significant aspects of any change process. This is particularly important in a downsizing situation where resistance and confusion frequently develop because people are unclear about what the future state of the organization will be. In the absence of a clear image of the future, rumours develop and spread, and people interpret their own situation to be much worse than it really is. Thus, it is generally agreed that in a downsizing situation it is in the employees' interests that management disclose as much information as

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they can, when they can, and as often as they can. It is particularly important to communicate information to everyone involved in the changes - specifically, how the changes will come about, the way the changes will be implemented, and how people will be affected by these changes. To measure the communication process used during downsizing, we asked one question relating to the source of communication, for example, from whom did respondents receive most of their information regarding downsizing in their libraries? We also asked respondents a second question relating to the medium of communication, for example, through what medium did they receive this information? Source of Communication

Respondents indicated how frequently they received information regarding downsizing from six sources by answering the question, 'How frequently did you receive information regarding downsizing in your library from the following sources during the last five years,' using a rating scale where 1 represents never and 5 represents always. The mean responses and standard deviations are shown in Table 4.6. As a group, respondents indicated that they most frequently received information regarding downsizing in their libraries from their immediate supervisor and colleagues. They also indicated that they sometimes received information regarding downsizing from senior management and the chief librarian. Other university administrators and employees were not frequent sources of information regarding downsizing in their libraries. Medium for Communication

Communication media differ in the information they deliver and can be considered along a continuum from lean to rich. Richness has to do with the ability to handle multiple information cues simultaneously, facilitating feedback, and establishing a personal focus. As one moves from impersonal notices and bulletins, to personal letters and memos, up through interactive media such as telephones and electronic mail and finally to face-to-face communications, one moves from leaner to richer media. An individual meeting or face-to-face meeting is the richest form of communication because during the discussion the individual can ask questions and note non-verbal clues (e.g., gestures, postures, and facial expressions). Media such as written notices, reports, and bulletins are considered lean information media because there is no feedback and cues are limited to the words on paper.

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TABLE 4.6 Frequency of communication source Communication sources Immediate supervisor Colleagues Senior management Chief librarian Other university administrators Other university employees

N

Mean

SD

758 758 758 758 758 758

3.83 3.52 3.38 3.32 2.29 2.25

1.50 1.44 1.58 1.75 1.76 2.02

N

Mean

SD

758 758

3.43 3.22 3.08 2.95 2.55 1.92 1.76

1.43 1.60 1.78 2.17 1.86 2.05 2.02

TABLE 4.7 Frequency of communication medium Communication methods Group meetings Letters or memos Electronic mail Individual meetings Newsletters Telephone Voice mail

758

758 758 758 758

Respondents indicated how frequently the senior management team used seven media to communicate to staff about downsizing by answering the question, 'How frequently did the senior management team use the following media to communicate to staff about downsizing during the last five years,' using a rating scale where 1 represents never and 5 represents always. The mean responses and standard deviations are shown in Table 4.7. As a group, respondents indicated that the senior management team most frequently used group meetings to communicate information regarding downsizing in their libraries. Other media used to some extent by the senior management team to communicate information to employees were letters or memos, electronic mail, individual meetings, and newsletters. The least used media for communicating downsizing information to employees were telephone calls and voice mail. Overall, the CARL libraries scored fairly well on the communication process during downsizing. According to a number of studies on implementing change in organizations, supervisors are the key link in the

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chain of communication. Employees want interpersonal communication (a rich medium), and they expect most of it to come from their supervisors (an authoritative source). Transformational Leadership

An important factor in the implementation of downsizing is the leadership behaviours of the senior management team. Change by definition requires a shift in direction, which in turn demands leadership. It is very difficult for employees to understand why their jobs are being eliminated or their work processes changed dramatically when they are doing as good a job - if not better - than they have always done. Thus, senior management play a critical role in creating a vision of the future for the organization, motivating employees to embrace that vision, and providing the necessary resources and support for employees who strive towards the realization of the vision. Visions are necessary for change in an organization because they help define and shape the direction in which an organization will go in the future. They reflect the purposes, values, and beliefs of the organization. Unless people in the organization clearly understand what must change to achieve the leader's vision, the leader has no reliable mandate. Respondents indicated how frequently the senior management team displayed the twelve transformational leadership behaviours by answering the question, 'For each statement we would like you to judge how frequently the senior management team displayed the behaviour described during the last five years,' using a rating scale where 1 represents never and 5 represents always. The mean responses and standard deviations are shown in Table 4.8. As a group, respondents indicated that the senior management team sometimes displayed all twelve behaviours. The transformational leadership behaviours are listed in order of descending mean score: encourage me to express my ideas and opinions, treat each subordinate individually, have been visible and active in leading the way, enable me to think about old problems in new ways, have provided me with new ways of looking at things, find out what I want and try to help me get it, command respect from everyone, inspire loyalty, have a clear direction or vision for the future of the library which they transmit to me, continually value and praise organization members, provide a vision of the future that I can get excited about, and make everyone around them enthusiastic about assignments. The range of mean scores for the frequency of displayed leadership behaviours is between 2.35 and 3.09,

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TABLE 4.8 Frequency of transformational leadership behaviours Transformational leadership behaviours Encourage me to express my ideas and opinions Treat each subordinate individually Have been visible and active in leading the way Enable me to think about old problems in new ways Have provided me with new ways of looking at things Find out what 1 want and try to help me get it Command respect from everyone Inspire loyalty Have a clear vision or direction for the future of the library which they transmit to me Continually value and praise organization members Provide a vision of the future that 1 can get excited about Make everyone around them enthusiastic about assignments

N

Mean

SD

733 685 736 732 731 733 719 728

3.09 2.91 2.88 2.70 2.68 2.65 2.65 2.63

1.22 1.13 1.14 1.12 1.06 1.11 1.03 1.19

731 727

2.57 2.53

1.11 1.08

737

2.50

1.09

719

2.35

.98

indicating a fairly low level of transformational leadership behaviours by the senior management team. When we look at leadership at the library level (Figure 4.13), we can see that all libraries, on average, scored in the middle range. Our study reveals that the leadership behaviours of the senior management team in CARL libraries undergoing downsizing was less than inspiring. This is problematic for one reason only: leadership plays an integral role in mobilizing and motivating employees towards change. Although leaders interpret environments, create visions, and fuel change, the senior management team, and ultimately every individual throughout the organization, actually translates the visions into reality. Therefore, the senior management team should exhibit a sense of vision and foster a culture of change and growth. Failure to do so may result in an organization that has no widely shared, clear sense of its purpose, filled with employees who are unable to define their roles in that organization. Consequently, employees may value their stake in the organization less and less, and this may negatively influence their subsequent behaviour. Summary We started the chapter off with the question, How was downsizing implemented in academic libraries'? We found that the majority of libraries reduced the size of their workforces through attrition and induced attrition.

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Figure 4.13 Frequency of transformational leadership behaviours, library level

They also relied on monetary incentives to encourage employees to voluntarily resign or retire. Additionally, many libraries supplemented these employee reductions with reducing employee costs with measures such as salary freezes, transferring employees within the library to a new job, and filling job openings with contract staff. We also found that libraries mainly focused on redesigning their work processes and organizational arrangements. This redesign effort was primarily accomplished by changes in technology, but it was also accompanied by changes in work and organizational structure. In terms of the processes used to manage downsizing in libraries, we found that the decision-making was highly centralized. That is, the academic librarian participated only marginally in most of the decisions relating to downsizing. In terms of the communication process used to manage the downsizing, libraries scored high marks in that employees received their information regarding downsizing from authoritative sources and that these sources used a very rich medium - group meetings - to convey this information. Finally, the leadership process used during downsizing may be characterized as very low key. In other words, the senior management team was not highly visible during the downsizing process and failed to inspire or foster a culture of change and growth.

CHAPTER 5

The Impact of Downsizing: Programs and Services

What was the impact of downsizing on academic libraries? A statistical picture illustrating the impact downsizing had on library budgets, collections, and staff complements was presented in Chapter 3. These objective data served as the background for Chapter 4, which described the processes and strategies that libraries used when they implemented downsizing. This chapter brings downsizing to the level of the individual and how he or she experienced the impact of downsizing on a day-to-day basis. To capture the reality of the library workplace, we relied on the responses of academic librarians to closed and open-ended questions on our survey. Although we cannot claim to account for every change made in every library, we are confident, since our response rate was so high, that our depiction is reasonably representative. Indeed, what impressed us was the exquisite detail the librarians invoked to relate their experiences. Their narratives constituted over 800 pages of textual evidence. The similarity of the experiences was remarkable: across regions, across institutions, and across languages, the tales bore striking resemblances. This chapter presents the essence of those revelations. To elicit the detailed narratives about their downsizing experiences, librarians were asked whether programs, services, or activities in their library had been eliminated, reduced, or added in the last five years; whether they had been affected by the eliminated, reduced or new programs, services, or activities; and how they had been affected by these changes. Of the 757 academic librarians who responded to the survey, 437 or 57.7 per cent indicated that programs, services, or activities had been eliminated in the last five years (Table 5.1); of these, 227 or 51.9 per cent indicated that they had been affected by the cuts (Table 5.2). Of the total respondents, 505 or 66.7 per cent indicated that programs, services,

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TABLE 5.1 Number of respondents who indicated whether or not programs, services, or activities in the library have been eliminated in the last five years, by region and percentages within region Region

Programs eliminated

Programs not eliminated

Total (incl. not stated)

Number

%

Number

%

Number

%

Atlantic Quebec Ontario Prairies B.C.

21 106 190 72

32 58 113 58 38

55.2 33.9 36.6 43.9 43.7

58 171 309

48

36.2 62.0 61.5 54.5 55.2

132 87

100.0 100.0 100.0 100.0 100.0

Total

437

57.7

299

39.5

757

100.0

TABLE 5.2 Number of respondents who indicated whether or not any of the eliminated programs, services, or activities have affected them, by region and percentages within region Region

Affected

Total (incl. not stated)

Not affected

Number

%

Atlantic Quebec Ontario Prairies B.C.

9 40 111 37 30

42.9 37.7 58.4 51.4 62.5

12 63

Total

227

51.9

Number

%

Number

%

77 35 18

57.1 59.4 40.5 48.6 37.5

21 106 190 72 48

100.0 100.0 100.0 100.0 100.0

205

46.9

437

100.0

or activities had been reduced noticeably in the last five years (Table 5.3); of these, 318 or 63.0 per cent indicated that they had been affected by the reductions (Table 5.4). Finally, 627 or 82.8 per cent of the total number of academic librarians who responded to our survey indicated that new programs, services, or activities had been added in the last five years (Table 5.5); of these, 460 or 73.4 per cent indicated that the additions had affected them (Table 5.6). Academic librarians in the Atlantic region were least likely to indicate that the elimination of programs, services, or activities had occurred, while those in Quebec were most likely to identify cuts. Only 36.2 per cent of librarians in the Atlantic region indicated that there had been

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113

TABLE 5.3 Number of respondents who indicated whether or not any programs, services, or activities in the library have been reduced noticeably in the last five years, by region and percentages within region Region

Programs reduced

Programs not reduced

Number

%

Atlantic Quebec Ontario Prairies B.C.

37 105 207 95 61

63.8 61.4 67.0 72.0 70.1

Total

505

66.7

Number

Total (incl. not stated)

%

Number

%

16 64 93 34 24

27.6 37.4 30.1 25.8 27.6

58 171 309 132 87

100.0 100.0 100.0 100.0 100.0

231

30.5

757

100.0

TABLE 5.4 Number of respondents who indicated whether or not any reductions in programs, services, or activities have affected them, by region and percentages within region Region

Affected

Total (incl. not stated)

Not affected

Number

%

Atlantic Quebec Ontario Prairies B.C.

24 57 128 70 39

64.9 54.3 61.8 73.7 63.9

Total

318

63.0

Number

%

Number

%

13 44 73 25 22

35.1 41.9 35.3 26.3 36.1

37 105 207 95 61

100.0 100.0 100.0 100.0 100.0

177

35.0

505

100.0

cuts in the last five years, compared with 62.0 per cent of those in Quebec. The percentage of librarians indicating cuts had occurred in the Ontario region was 61.5; in British Columbia, 55.2 and in the Prairie region, 54.5 (Table 5.1). In response to the question as to whether any programs, services, or activities had been reduced in the last five years, 61.4 per cent of respondents in Quebec answered 'yes,' while 72.0 per cent of those in the Prairie region answered 'yes.' The percentage of academic librarians indicating that reductions in programs, services, or activities had occurred were 70.1 in British Columbia; 67.0 in Ontario; and 63.8 in the Atlantic region (Table 5.3).

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TABLE 5.5 Number of respondents who indicated whether or not any new programs, services, or activities have been added to the library in the last five years, by region and percentages within region Region

Programs added

Total (incl. not stated)

Programs not added

Number

%

Atlantic Quebec Ontario Prairies B.C.

44 134 253 118 78

75.9 78.4 81.9 89.4 89.7

Total

627

82.8

%

Number

%

9 33 48 12 8

15.5 19.3 15.5 9.1 9.2

58 171 309 132 87

100.0 100.0 100.0 100.0 100.0

110

14.5

757

100.0

Number

TABLE 5.6 Number of respondents who indicated whether or not any of the new programs, services, or activities have affected them, by region and percentages within region Region

Total (incl. not stated)

Not affected

Affected

%

Number

27 19

18.2 26.9 25.3 22.9 24.4

134 253 118 78

100.0 100.0 100.0 100.0 100.0

154

24.6

627

100.0

Number

%

Atlantic Quebec Ontario Prairies B.C.

36 94 180 91

8 36 64

59

81.8 70.1 71.1 77.1 75.6

Total

460

73.4

Number

44

%

The percentage of respondents who indicated that new programs, services, or activities had been added to the library in the last five years was highest in British Columbia (89.7) and lowest in the Atlantic region (75.9). The percentage indicating that additions to programs, services, or activities had occurred in the Prairie region was 89.4; in Ontario, 81.9, and in Quebec, 78.4 (Table 5.5). Although these descriptive statistics affirm that changes in programs, services, and activities did take place following downsizing, they do not reveal what these changes were nor how the individual staff members were affected. To get a more specific picture of what actually took place between 1993 and 1998, we turn to the qualitative data.

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115

Eliminations and Their Consequences Public Services

The areas identified by academic librarians as having been eliminated may be classified as those pertaining to access, collection, services, and staff. The eliminated programs, services, and activities that related to the ability of users to access collections ranged from the closing of entire branch libraries to the shutting of rooms devoted to specialized activities. The cuts mentioned repeatedly were the closing of the undergraduate library whose collection, services, and staff were transferred to the main library; and the closing of libraries dedicated to specific faculties such as those in engineering and science, which merged with the main or other campus libraries, or the map library, which merged with the data centre. Government documents departments, reading rooms devoted to current periodicals, and listening and viewing facilities for audio-visual (A-V) materials were also closed. Those libraries that remained open no longer provided services after 10 p.m. except during examination periods. In terms of the collection, both monographs and serials suffered. Major cancellations to journal collections were mentioned often and ordering activities for monographs were done in large part not through individual selection but by approval plans. Print indexes to materials were no longer purchased, and newspaper clipping files were no longer maintained. Many services previously available were no longer provided. The closing of branch and subject libraries, special collections, and facilities eliminated local service points and those satellite libraries that continued to exist no longer offered evening and weekend circulation services or interlibrary loans for undergraduates. Other services that undergraduates could no longer call upon included library tours, which were replaced with brochures, and one-on-one consultations when preparing research papers. Mediated online searches of commercially available databases were replaced by user searches of CD-ROMs and the Web, while previously free printing from CD-ROMs became cost per use. Reading lists for faculty were no longer compiled or checked, nor were current profiles compiled for faculty from the lists of new acquisitions. Users could no longer request to have newly received items rushed or lost items traced. They could not borrow material from special collections

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or ask that materials be set aside for later perusal. Those telephoning in with a query would find phone answering replaced with voice mail, and if they appeared in person, the reference desk was in all likelihood staffed by students and support staff rather than by professionals. Finally, changes in staffing patterns were frequently mentioned. The most obvious were the positions lost to normal and early retirement which were not filled. Those on leave, no matter the reason - sickness, research, or holiday - were not replaced. Positions mentioned as having been eliminated were those of branch head, departmental head, map librarian, and subject librarians. Support staff positions were eliminated even more frequently. Some of the positions identified included administrative assistant, secretary, clerk, reference and circulation staff, technicians, and cleaners. The elimination of programs, services, and activities made in the area of public services was severe and pervasive. The consequences affected everyone involved in the research, teaching, and learning activities that are the core of university life. Perhaps the most obvious effects occur when a branch or subject library ceases to exist. Where undergraduate or engineering libraries have closed, for example, the specialized services, collections, and staff that have been developed to meet their needs are dispersed, merged, and absorbed into other library locations. Undergraduates who were formerly helped, either through orientation sessions and information literacy classes, or in individual consultations designed for them by subject specialists, were now expected to navigate their way through the larger and more complex information environments of main campus libraries where their primary guide was a map and a brochure. It is not difficult to imagine the anxiety and frustration that resulted or where and how such negative feelings were often released. Students are not the only ones to suffer when branches close and services are curtailed. Faculty too must accommodate to fewer services designed to assist them in their research and teaching responsibilities. Their primary concern, of course, is that the quality of the collection be maintained. The elimination of subject experts, the merging of special collections, and the acquisition of new materials via approval plans, do not bode well for the future scope and depth of research collections. Although the repercussions of these choices may become more apparent in the coming years, the changing conditions under which reference services are now delivered are having their effects on the daily lives of faculty at present. Whereas formerly a professor could be confident that

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the library would facilitate the research and teaching processes, that confidence has now been badly eroded. Faculty members who can no longer telephone with an enquiry, or have books set aside for scanning, or be informed of new acquisitions relevant to their research interests, or have class reading lists compiled or checked are faced with several choices. They can visit the library personally for each and every need, thus wasting precious time that could have been used more productively in other ways. They could simply choose to channel their teaching and research activities in directions that do not necessitate extensive use of the library and in so doing undermine the importance of the library. They could hire students and research assistants to perform the services no longer available to them from the library, in effect removing themselves as direct users. These alternatives for coping with deteriorating service and increased inconvenience translate into an increasingly dissatisfied and powerful user group whose support is critically needed on university planning and budget committees. Perhaps the group most affected by the cuts of recent years have been the library staff, both professional and support. For academic librarians, the closing and merger of libraries and departments have meant significant professional and personal upheaval. Those who did not take early retirement often found themselves transferred from a collection and services that made maximum use of their expertise to a setting where they were often expected to be generalists. Operating in this mode took considerable personal and professional flexibility. Most recognized that their new situation was unlikely to change anytime soon and became resigned to it: 'As professionals we have to accept the fact that we are no longer able to have an in-depth knowledge of the various products/ services we offer. There are too many of them and not enough time. We must now operate with a superficial knowledge of a really broad range of products and be prepared to fly by the seat of our pants.' In some situations, the new position was a combination of what were previously two positions. In effect, 'the position went away, the work didn't,' as one librarian put it. The amount of work increased but the type of work done by librarians also changed. With the elimination of support staff positions, librarians spent more time doing routine but necessary tasks formerly done by clerks, secretaries, and technicians. They coped with the increased errors and problems that resulted from staffing reference desks with part-time and support staff in the evenings and on weekends and bore the brunt of the complaints lodged by confused and frustrated users. With no slack in the system, they were

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hesitant about requesting leaves to which they were entitled, knowing they would incur resentment from colleagues who were left to pick up the work that remained. Academic librarians often mentioned that they no longer had time for professional development and reading. The cumulative effect of work overload, role ambiguity, devaluing of expertise, and deskilling of tasks had an almost inevitable result: higher stress, lower morale, decreased collegiality, and lower job satisfaction. A few did, however, point out the upside of their changed working conditions. They viewed their new jobs as opportunities to learn new skills, stretch their capabilities, and reinvent their professional lives. Although most deplored the loss of experience and expertise that resulted from lost positions, a few also mentioned that the cuts allowed the library to get rid of 'dead wood' and staff with negative attitudes. The situation for support staff was also seriously affected by the changes in their work environment. Most obviously, their staff positions were cut most. Those who survived were expected to assume many of the responsibilities formerly held by library professionals. At times, they staffed reference desks with little training and often delivered evening and weekend service unsupervised. They dealt with the increased queries and requests generated by users who could no longer go to their special libraries and collections that were no longer available. Although most undoubtedly met the challenges of their new positions to the best of their ability, their predicament was described succinctly by a library professional: They don't know what they don't know.' Technical Services

The eliminations of programs, services, and activities in public services were wide-ranging and serious but they pale in comparison with those made to technical services and the toll these exacted. The areas hardest hit may be classified as those that pertain to the collection, the services, and the staff. While universities generally attempted to protect the acquisitions budgets of their libraries, they could not totally control for the relentless rise in the cost of serials, the shrinking value of the Canadian dollar, and the rapid obsolescence of information technology and systems. Collections that had previously been selected by subject experts experienced in the needs of their defined users were now ordered through blanket approval plans. Academic librarians stated that they had lost control of the selection process. One lamented, 'I no longer select, I accept,' referring to

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the increased reliance on approval plans especially for monographs. Another gave a more detailed description: 'As a collections librarian, I do a lot less selection. Sixty percent of the budget for my area is not devoted to approval plans. The acquisitions staff who did pre-order checking, reader selection, and the placing of orders no longer exist. As an added efficiency, I no longer examine approval books. Thus what we really have is an acceptance plan that we hope is performing well.' Many stated that their library no longer purchased much foreign material because language expertise had been lost in the staff cuts, and others referred to major cancellation projects in serials collection. The shift in acquisition from monographs and serials to electronic resources and services was universal. The finer aspects of collection development such as revision and evaluation were eliminated, and new materials were no longer closely checked for physical imperfections, correct edition, or against order records. Duplicate and problem books were not returned to the vendor. Responsibility for gifts and exchanges that were formerly handled centrally as a separate entity was dispersed to different units as was donor relations. Activities that had comprised the very foundation of technical services departments for decades were fundamentally changed. Chief among these changes were the outsourcing of cataloguing, the abandonment of local systems in favour of purchased ones, and the implementation of 'levels of cataloguing.' Following closely on the heels of these dramatic and far-reaching changes came a host of smaller cuts to services that cumulatively combined to add to the deterioration of the collection and its access to users. Academic librarians described situations where books were processed to be shelf-ready sometimes using only the acquisition number, where dissertations did not receive subject analysis, and where CD collections were not catalogued or added to. They wrote of missing journal claims that were not sent, deteriorating books that were not rebound, and delicate items that were not preserved. Other services previously performed for users that were eliminated included routing of journals, mailing out to borrowers lists of items that needed to be returned or renewed at the end of term, picking up large gifts of books, and making deliveries to departments. Interlibrary loan requests were no longer tracked or routed to selectors for purchase. Of all the major library areas that underwent staff cuts, technical services were without any doubt hit the hardest. In some libraries, twothirds of the cataloguing positions were eliminated. Serials bibliographers, collection development experts, and preservation staff and

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language specialists, to name a few, all went. Most but not all either retired or took early retirement packages. Few, if any, were replaced. For a collection to be used, the appropriate materials must be acquired and organized by a knowledgeable staff and made accessible and available to library users. The deep cuts made to all areas of technical services seriously undermined the capabilities of academic libraries to fulfil their mandates. The more immediately discernible effects may be classified as those pertaining to access to the collection, the collection itself, services to users, and the working environment of staff. The policies and practices implemented in technical services to cope with downsizing impeded the ability of users to find the materials they were seeking. The closing of many subject specialized libraries and collections meant that users accustomed to having their information needs met in an environment dedicated to their requirements had to navigate their way through much larger collections often without the expertise of the academic librarians who knew and understood their research and teaching interests. Finding materials in the larger, amalgamated library was further hindered if the new merged collection was not included in the system's online catalogue, a situation that was far from uncommon. Locating recent materials presented other problems. With the severe cuts to cataloguers, backlogs of thousands of items accumulated, rendering these resources as inaccessible to users as if they had not been purchased at all. In attempts to alleviate the backlogs as well as the lack of cataloguers and no doubt to reduce costs, most libraries instituted 'levels of cataloguing,' whereby certain types of material were differentially treated. For example, books were processed to be shelf-ready by assigning them only an acquisition number but not cataloguing them. Theses and dissertations no longer received subject analysis. These practices, by ignoring one of the primary methods whereby researchers seek to satisfy their information needs, that is, by subject, effectively sabotaged the users' chances of finding what they needed. The outsourcing of cataloguing was also regarded by many academic librarians as providing inferior access points to academic library collections. The nature of the collections also underwent significant changes. With far fewer selectors, bibliographers, and subject specialists, and much greater reliance on approval plans, it was inevitable that many of the unique features of local collections would be lost, that collecting materials in foreign languages would be curtailed, and that users with specific interests would be referred elsewhere. The wholesale cancellations in serials obviously narrowed the coverage of journals and left gaps

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that may never be filled, and greatly increased the use of interlibrary loans and document delivery. The inconvenience and frustration caused to users by these practices may be easily imagined. Although the damage to the major sections is clear, other less visible areas of the collection did not remain immune. The elimination of gifts and exchanges sections that dispersed the handling of donor relations, ranging from the delicate matter of gift solicitation to the complex issuance of tax receipts, not only relegated more work to inexperienced staff but created unnecessary inconveniences for potential benefactors. Finally, the lack of staff to perform the myriad activities involved in maintaining and preserving the collection virtually ensured that the quality and usability of the collection would continue to deteriorate. Reduced access and deteriorating collections had an impact on the types and levels of support and assistance that technical services could provide to other areas of the library, especially public services. Public services staff, in turn, were no longer able to maintain the high levels of support and assistance that their users had come to expect. They were put in the awkward position of having to cope with the increased frustrations and complaints of dissatisfied users - a situation largely not of their making. When the online catalogue is not up to date, when a favourite journal is no longer available, when a new or overdue book cannot be located, the staff in reference must deflect and defuse the user's anger. It is understandable if daily exposure to such stressful occurrences damaged the collegiality between library departments and between staff and users. Indeed, the impact of cuts in technical services may have had their most dire effects on cataloguers and their colleagues. The sheer elimination of positions was unequalled elsewhere in the library system. Those who remained spoke of having to manage multiple sections with almost no clerical help. They lamented the devaluing of their expertise and the loss of professional pride. The wholesale changes prompted many to reassess their professional lives. The thoughts of many were reflected in this cataloguer's poignant observation: 'We've had to give up doing things we thought were important and valuable. They're apparently not as important as we thought. What does that imply about our effort in the past. Was it wasted work? Were we doing the wrong thing all those years? Did it have value then? Does it now?' Respondents tell of entire cataloguing departments that were disbanded and the cataloguing outsourced. They claimed that their involvement in making these decisions was minimal at best or non-existent at worst. They reported that as a result their anger rose, morale plum-

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meted, and trust disappeared. Many felt that their loyalty and commitment had been betrayed and that a mockery had been made of their professional experience and expertise. Administrative Services

Eliminations in these areas may be categorized as those that related to the buildings and physical plant of the library system, the organizational structure, and those that occurred as a result of changing policies regarding staffing. It is clear that major changes took place in the number and location of branch, specialized, and departmental libraries at universities across the country. Buildings were closed or put to other uses. In most, but not all cases, collections and staff were amalgamated or merged with existing libraries and collections in other locations on campus. In some cases, removal of some specialized libraries led to renovation and upgrading of the physical space and its dedication to different uses, some libraryrelated, others not. The organizational structure of libraries underwent discernible changes as well. At the broadest level, the disappearance of some branches and departments meant fewer units reporting to senior management. The heads of branches and departments found that in many cases their positions were now redundant. Although some chose to retire with enhanced early retirement packages, others took up the offer to become heads of newly merged departments, collections, or services. The net result was fewer managerial positions in the library system and fewer opportunities for promotion. These new positions sometimes also included increased administrative responsibilities to replace those lost when entire managerial layers were eliminated from the library's organizational structure. Personnel departments were especially vulnerable and were entirely eliminated in many places. Support staff suffered the deepest cuts. Administrative assistants and secretarial staff were cut everywhere. It was inevitable that the need to operate efficiently in a climate of declining resources would necessitate significant policy changes regarding almost every aspect of the library's existence. Those pertaining to staff were most keenly felt. The notion of having a full staff complement with the requisite expertise available the entire time the library was open became a thing of the past. Shift work, flexible scheduling, and the greater use of support staff in positions formerly held by professionals

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became the norm. Many positions left vacant when professionals departed remained unfilled, and few, if any, part-time librarians were hired to cover for those who were ill, on holiday, or on research leave. Staff who remained saw the perquisites of their jobs eliminated. Financial support for attendance at professional conferences either was cut substantially or dried up altogether. Maintaining competence and professional development were increasingly regarded by management as responsibilities of the individual staff member. The closing of branch, specialized, and departmental libraries, the amalgamation and merger of collections and services, the cuts to positions and transfer of staff all contributed to the centralization and shrinking of library operations. Viewed positively, they contributed to the library's ability to operate more efficiently with fewer resources. They helped ensure the library's long-term viability. Not all changes were positive, however. In the short term, the physical dislocation from one site to another involved the planning and implementation of the actual move and the absorption and integration at the new location. The upheaval to staff, services, collections, and users varied in magnitude depending on the size of the closing library, the number of staff involved, the distance to be moved, and the ability of the receiving site to adjust to the new circumstances. More permanent results of such moves included inconvenience to users who had to expend more time and effort to access resources that were farther removed from them; poorer service as queries were handled by generalists rather then specialists; and increased workloads for the reduced staff who had to cope with servicing the new as well as the old collection. The disappearance of personnel departments within the library system seemed especially ironic at a time when staff issues were so predominant. Some of the functions such as recruiting were picked up by university personnel offices. Grievance handling became more problematic, leading to more grievances. The cuts to managerial layers flattened organizational structure and removed a layer of bureaucracy. It also served to shift tasks downward increasing, yet again, the functions performed by the decreasing numbers of middle managers. While some welcomed the challenges presented by their expanded responsibilities, most lamented that they no longer had time to think, much less to be creative or experiment. The nature of work for support staff also changed. Those that survived the deep cuts found themselves in positions of greater responsibility

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performing tasks previously done by professionals. Although these new opportunities increased the job satisfaction of some, others resented the imposition of these tasks without a commensurate increase in compensation. The trend that began a decade earlier, the deskilling of professionals and the 'professionalizing' of support staff continued unabated. It is probably safe to say that when the dust settles from the profound changes that occurred in this period, the nature of libraries and librarianship will have been changed forever. Reductions and Their Consequences Public Services

In analysing the answers that academic librarians gave in response to the request to identify programs, services, and activities that had been eliminated, noticeably reduced, or newly introduced, it became obvious that they had no trouble in identifying those that were new, that is, had not been offered or done before. What also became obvious was that they were not always able to make clear distinctions between those programs, services, and activities that underwent noticeable reductions and those that were eliminated altogether. In order to represent as accurately as possible the perceptions of the academic librarians who responded to the survey, we have chosen to present the data as they categorized it. Activities, programs, and services that they perceived as eliminated or cut are presented as eliminated or cut; activities, programs, and services that they perceived as having been noticeably reduced are presented as reductions. Inevitably, this decision to maintain the integrity of the data as submitted by those undergoing the realities of the downsizing experience has resulted in some overlap and redundancy. Any repetition, however, serves to underline the commonalities and severities of the downsizing as experienced by academic librarians. To maintain consistency and aid in comparisons with the section on eliminations, this section will discuss the reductions in public services under the same classifications as those used previously, namely, access, collections, ser vices, staff, and other. The reductions are presented first, followed by their consequences. While the closing of branches and the elimination of services provided dramatic evidence of the changes wrought by downsizing, there were many more subtle but nonetheless significant changes that also took

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place and that cumulatively served to change forever our assumptions about and understanding of academic librarianship. Although reference services continued to exist, the hours during which users could access them were curtailed. Evenings and weekends were the first to go, although attempts were made across the board to provide longer hours of access before and during examination periods. In general, however, hours, service points, and branch libraries were all reduced. With regard to the collection, the issues of concern to those in public services were the reduced buying power of the Canadian dollar, which hovered in the mid-sixty-cent range compared with the American dollar during the late 1990s, coupled with the escalating prices for monographs and journal subscriptions. The introduction of multiple formats and the increasingly interdisciplinary and diverse broadening of the curriculum added further pressure to attempts to maintain the breadth and depth of collections. Reductions in services were a source of frustration to many library professionals. In general, the types of services that had previously been offered were curtailed. General orientation activities were reduced and library instruction was more specifically targeted at larger classes. There was an overall reduction in the services available at the reference desk, with little time and few staff on hand to provide assistance in finding materials or using machinery. The number of mediated online searches also decreased, as users coped with increasingly complex systems on their own. One reference librarian described the situation this way: 'All we do 90 per cent of the time is get people started on using databases. We no longer have the time to assist in-depth reference users who perceive us as being too busy. Only in the last two years have I heard people routinely say "I'm sorry to trouble you" when requesting assistance. They never said this before.' On-demand retrieval of material from the stacks was restricted to two or three times per day, and less time was devoted to systematically maintaining the collection. With fewer cleaning staff, even the physical environment began to show signs of neglect, as dust and litter were removed less often. Although librarians regretted the restricted access, deteriorating collections, and declining services, their greatest concern centred on the reduction in staff, professional and support, full-time and part-time. No category of library employee, it seemed, remained unscathed with the exception, perhaps, of contract personnel. Librarians, circulation assis-

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tants, secretaries, and stack personnel were all reduced, and their departure precipitated profound changes in the nature and delivery of reference services. The consequences of having reference facilities open for fewer hours meant that consultations and requests from users as well as other library staff were increasingly made by e-mail and voice mail. With fewer hours in which to obtain service, users found themselves increasingly inconvenienced having to fit their needs to match the availability of service. Reduced schedules sometimes resulted in users receiving little or no assistance in finding materials, using electronic resources, or operating microform reader-printers. Non-primary users were referred to public libraries and other external resources whenever possible to allow reference staff to handle the compression of requests from internal users in the limited time available. The situation was exacerbated by the reduction of service points which further increased the number of difficult reference requests funnelled to the reference desk. Although most reference librarians deplored the increasingly stressful working environment and regretted the deterioration of services, a very small minority welcomed the opportunity to go home earlier. As prices for monographs and serials soared, and the value of the Canadian dollar fell, tough choices were made. Decisions concerned breadth versus depth in the collection, ownership versus access through resource-sharing, local selection versus approval plans, and in-house cataloguing versus outsourcing, among others. From the perspective of the reference librarian, these abstract, even arcane concerns acquired very real substance as users became increasingly frustrated at being unable to locate materials, or were required to wait longer for their requests to be filled, or were referred to other locations altogether. Professionals watched helplessly as their standards of service steadily deteriorated. As one librarian put it: 'The method of doing reference has been changed to reflect the lack of staff available for an increasing number of students admitted on campus. In-depth reference has basically been eliminated for lack of time. Our time is mostly spent answering quick reference.' Another librarian felt that because she did fewer online searches than previously, she no longer had the protocols at her fingertips and consequently took longer to do a less expert search. With time pressures greater than ever before, librarians commented on the difficulty of building and maintaining their expert knowledge. As expertise eroded, so did professional self-esteem: T have changed from being an A-l

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reference librarian to a B reference librarian,' lamented one librarian who expressed a feeling shared by many of her professional colleagues. As librarians became less able to provide services to the increasing numbers of individuals seeking help at the reference desk, they turned to other modes and formats of instruction such as group teaching and instructional outreach. Many found these to be a productive and satisfying alternative that increased their contact with faculty and gained them increased recognition as skilled specialists and partners with faculty in the educational enterprise. As lecturing to classes, especially on electronic resources and information retrieval became an accepted part of course work, the goal librarians had of having subject-oriented information retrieval accepted as a required credit course was more widely achieved. The changes in access, collections, and services came as a direct result of reductions in staff. When full-time librarians left, whether through normal retirement, enhanced early retirement buyout packages, or other means, their jobs did not disappear but devolved onto those who remained. These survivors coped with the work overload as best they could, but their sense of professionalism was severely strained. The following comment is typical: 'We no longer have adequate time to assist patrons who have complex questions or requests. I feel the service we now provide at the reference desk is much more marginal and cursory. We no longer have time to deal with our students' needs nor to build our collection adequately.' Some libraries continued to staff reference desks with professionals but librarians with bibliographic responsibilities had trouble keeping up with the ordering as well as the desk shifts and the collection suffered. Most libraries used increasing numbers of non-professionals. This practice brought its own problems: 'Support staff with no background in reference or public service and in some cases inadequate social skills were put on the reference desk with minimum training and virtually no supervision. This resulted in some very poor service to clients and stress for reference staff.' In addition, 'library assistants or library school students staff the desks. This practice is increasing: they're cheaper than we [librarians] are. However, no matter how much we train them, many are uncomfortable saying "I don't know" and referring users to someone who does. Librarians often comment that they get more calls for help from other librarians than from library assistants or library school students. Lots of users are getting misinformation.' Furthermore, the high turnover of part-timers placed an increasing

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training burden on librarians who already felt stretched thin. Although suffering from the stresses and strains of work overload, some were nevertheless, able to recognize some benefits that resulted from fewer staff: 'Reductions in reference staff had one positive effect: collectively, librarians have been forced to become more active and better trained in the area of creative fund-raising and grant application/proposal writing. We now teach internal workshops in this area and each year the library system takes in many thousands of dollars in extra funding as a result.' The involvement of technical services staff in public services was also cited as having the beneficial outcome of breaking down traditional barriers between the two groups and increasing the awareness among cataloguers of how users actually work with catalogue records and serials holdings. This, in turn, led to a 'more realistic attitude to the trade-off between what processing staff view as quality output and what actually serves the needs of users.' Technical Services

Reductions in technical services are analysed using the categories established earlier, namely, collections, services, and staff. While book budgets tended to be at least somewhat protected from the full ravages of reductions that occurred elsewhere in the library, serial collections received no such reprieve. The question was not whether serial titles were reduced but the method used to do so. Some places preferred the gradual approach, others a more definitive set of periodic purges. Collection development in general was scaled back, planned reductions were made in designated areas such as children's books, government documents, and the reference collection, and overall, fewer books were ordered. Many of the services and activities performed by staff, indeed those that formerly constituted the bedrock of technical services, underwent changes. Those that were reduced included in-house cataloguing, processing, binding, and preservation. Thesis cataloguing, if done at all, received low priority, catalogue information became sparse, and derived copy was accepted 'as is' with little authority work. There was reduced editing of machine-readable cataloguing (MARC) records and differing call numbers of editions were not always reconciled. Outsourcing was common but received mixed reviews with managers regarding it in more positive terms than other staff members. When it came to reductions in staff, no part of technical services

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remained unscathed. Those who were not enticed to leave by enhanced early retirement packages, buyouts, or other means were often transferred to public services functions. For many, it was debatable which choice was preferable. The reduction in serial titles precipitated a chain reaction. With fewer titles available locally, interlibrary loan and document delivery increased, users required a greater level of assistance to correctly identify and order documents and had to wait longer to receive the materials. The costs of ordering interlibrary loans and document delivery rose, and negative comments from users followed suit. As collection development was scaled back, less time was spent on selection and ordering. An acquisitions librarian described how she implemented reductions in her area: 'I have cut back on the scanning of lists and bibliographies to select government documents for the collection. The result is that we no longer get as many publications from Ontario and get virtually nothing from other provinces and territories except from B.C. Selections from foreign countries and international organizations are also minimal. These reductions date back to around 1990 and my hope to catch up has never materialized.' Reductions in acquisitions led to decreases in cataloguing workloads, more coordination with faculty over purchases, and transfer of staff to other parts of the library, most often reference and other public services. The reductions in services and activities had wide-ranging repercussions. Less in-house cataloguing resulted in larger backlogs, sometimes of a year or more. As materials sat for lengthy periods, they were in effect inaccessible to users. In many cases, no records at all existed for an alarming proportion of works in process, rendering unavailable materials that had been acquired to meet identified needs. The effect on users was predictable: anger, frustration, helplessness, and eventually, resignation. Reductions in staff demanded a reorganization and prioritizing of activities. Policies for technical services activities, especially cataloguing, were studied, negotiated, and rewritten. Although cataloguing for rare books, older publications, non-trade publications, added copies, and items in exotic languages remained in-house, the bulk was outsourced to commercial companies. The degree of success achieved by outsourcing was described in positive terms by a manager: 'The outsourcing of routine cataloguing of material to ISM in Winnipeg three years ago resulted in the transfer of more than 40 positions from technical services into public service units. From a personnel standpoint, the transfers were very successfully carried out and the reduction still left more than

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50 people in technical services in areas such as acquisitions, cataloguing, database and binding preparation.' A technical services staff member viewed it somewhat differently: When the bulk of cataloguing activities were outsourced, all those doing original cataloguing were transferred to public service areas. Administration attempted to make the process fair by allowing applications for positions with interviews and provision of orientation tours of the units, but almost no one got their first choice of position. In my case, I got one for which I did not apply and for which I was not particularly well suited. There was a strong feeling that many positions were foregone conclusions and that management had its own agenda. Much of the process backfired when half the cataloguers within one year of the changes either relocated, retired early, appealed the change successfully or negotiated a part-time return to cataloguing. There were stop-gap appointments on term contracts - not satisfactory in an academic library - and both the reduced cataloguing positions and the public services units had far more difficulties to cope with than had been anticipated.

Insufficient time to learn new tasks, inadequate training for the new positions, and heavier workloads were all cited by survivors as contributing to higher stress and greater job dissatisfaction. Morale plummeted as cataloguers surveyed the carnage and reassessed their professional lives: 'To a member of the original cataloguing team, the loss of colleagues and expertise that have not been replaced is demoralizing and tiireatening. Questioning and eliminating local policies - full cataloguing, use of subject headings - puts into question what I have spent my library career doing. Did it have little value then? Does it have little value now?' Administrative Services

The adjustments that academic librarians were required to make in light of the many changes in their work environments were considerable. They assumed new responsibilities, learned new tasks, related to new colleagues, and served new users in unfamiliar locations. They coped with the loss of experienced colleagues and tackled the stress of burgeoning workloads. To make matters worse, they could no longer call upon the extensive services formerly provided by senior managers and various categories of support staff. Among those whose ranks were

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thinned were administrative, secretarial, clerical, cleaning, and security personnel. Activities related to professional development such as career counselling were curtailed, as senior managers responsible for these areas either left or transferred to other positions. Those who chose to pursue professional development on their own found financial support for attending conferences and workshops greatly reduced and highly competitive. With fewer staff, library-wide communication occurred less often and staff newsletters became a thing of the past. The reduction in senior managers and all categories of support staff had the inevitable results of shifting administrative responsibilities downward while at the same time increasing the amount of clerical work performed by professionals. The reduction in staff did not necessarily eliminate the necessity of the functions they had performed and many of these, especially training and development, were picked up by remaining professionals. Assuming such responsibilities, of course, added to already heavy workloads but many viewed this positively, as an opportunity to branch out into new areas and broaden their expertise. What was universally resented was the need to perform clerical work such as typing of correspondence or reports made necessary with the severe reduction in secretarial support staff. Although new generations of desktop computers streamlined office functions, they did not make up for reductions in support staff. Understandably, librarians found themselves increasingly hard-pressed for time to perform professional activities. Reductions in support staff also impacted organizational communication. In turbulent times, communication becomes more important than ever. The loss, therefore, of a familiar and trusted mode of disseminating news is bound to be viewed in negative terms and, indeed, such was the case where staff newsletters ceased to exist. Although the reason behind such a move may have been to reduce costs, the symbolic meaning attributed to the action was usually quite different and served to reinforce a sense of isolation among staff from those who made decisions. Email and official press releases, commonly used by administrators to convey information, were not regarded as satisfactory substitutes for the traditional house organ. In the absence of information they trusted, staff relied increasingly on the grapevine and gossip for news. Lines of communication were further weakened, as the ranks of senior managers who performed liaison functions between library directors and library staffs thinned and in some places disappeared entirely.

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The availability and use of increasingly sophisticated technologies transformed the provision of public services. The advent of the Internet in 1993 added a vast array of new electronically based resources and modes of communication. To CD-ROMs, online bibliographic retrieval, and OPACS, the Internet added digital libraries, catalogues, listservs, chat rooms, e-mail, and local home pages with hotlinks. The new technologies allowed remote users to submit reference requests and receive answers using e-mail. Those who came to the library could search Internet resources directly, browse thousands of electronic journals, catalogues, and digital libraries, submit interlibrary loan requests, and choose among document delivery options. They could pay for their purchases with Interac bankcards, credit, debit, or smart cards. To assist users to navigate through their new and sometimes confusing electronic environment, help desks were introduced in strategic locations adjacent to workstations and roving librarians walked the aisles to solve technical and other information-related problems. With many libraries offering Unix, Windows, and Web-based as well as print products concurrently, the need for information literacy programs increased substantially. These instructional activities varied widely in format and coverage. Some were given one-on-one, others in group tutorials, hands-on workshops, lecture hall presentations, or as full credit courses. Content included a wide range of library-related topics such as database searching; finding information on the Internet; subject-based electronic resources in science, business, law or medicine; and the use of bibliographic management software such as ProCite, REF Manager, and End Note. The library became a partner in campus-wide technology training programs for faculty. Other instructional activities included compiling guides to electronic resources for the library's home page Web site and locating Web-based resources for faculty. Liaison with faculty became increasingly important and formalized with subject specialists assigned to specific academic departments to locate and enhance the use of the new resources. The growth of distance education combined with the new enabling technologies also increased the participation of the library in the educational enterprise. In addition to these programs and services, librarians assumed a host of other responsibilities related to the advanced technologies. They searched, evaluated, and added appropriate Web sites to the library's

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home pages. They managed all aspects of the acquisitions of electronic resources including contact with vendors and/or publishers, licensing agreements, and distribution of passwords. All of these additional programs, services, and activities occurred against a backdrop of shrinking budgets and fewer staff. The academic librarians who responded to our survey generally expressed enthusiasm for the opportunities afforded them by the new technologies. They viewed the shift of reference service from primarily print-based resources to electronic ones as inevitable and were in the forefront in adopting and promoting the Internet at their institutions. They welcomed the choice to expand their professional skills and tackle new intellectual challenges. Many expressed satisfaction with what they regarded as a more service-oriented environment. Their access to reliable e-mail, online catalogues, word-processing and, of course, the Internet, increased their productivity in areas supported by these technologies. One example given was how electronic networking via listservs had improved their awareness of professional issues, informed them of how other libraries dealt with problems, and thus enhanced their ability to make better decisions. Although the benefits both professionally and personally were many, the dramatic changes brought about by the new technologies and the programs, services, and activities that followed in their wake were not without their toll. Academic librarians refer to the stress and anxiety of having to keep up with the rapid and relentless changes in systems, software, resources, and equipment. Many described doing jobs for which they had little or no training: designing and creating Web pages, acquiring and providing electronic publications, or planning and delivering instructional programs. 'The library without walls increasingly means a job without limits' was how one described the situation. Many mentioned the increased time spent in meetings deciding whether to buy print or electronic reference sources and how to select and send electronic journals, databases, and text. They alluded to the many hours needed to liaise with faculty and computer centre staff, participate in research projects, and co-ordinate Web activities across campus. The new technologies spawned a different breed of reference questions, ones that were more time consuming and required a broader range of skills to resolve: 'On the reference desk, the answers to questions are more complex and more involved as users need a lot more assistance to understand their options, learn how to use the myriad sources, and get assistance when things go wrong, especially technically.' As workstations proliferated, librarians reported that they were called

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upon to fix equipment problems and explain software bugs and glitches to a greater extent than ever before. Adapting to the new job roles now expected of them was easier for some than for others. One librarian compared the pressure of keeping up with rapid changes to 'drinking from a fire hose.' Another claimed that 'between e-mail, chat lines, porn sites, et cetera, there are days when I forget I'm a professional librarian in an academic setting.' For others, the unrelenting pace of change was just too much: 'Staff are burned out! It's been five years of: maintain service hours; add new tech products; increase instruction; add Web searching and page development; assume responsibilities of colleagues who have left; do more with less - and be creative about it!' Technical Services

The loss of staff in technical services areas did not preclude the introduction of new programs, services, and activities. These were brought about largely as a result of adopting technologies with advanced capabilities. The changes will be categorized as those related to the catalogue, the collection, and the services. Because many aspects of electronic resources are shared with public services, and because not all libraries organize their services in the same manner, some overlap in reporting occurs. Where it does, the technical services viewpoint was taken. Whereas the prevalent theme relating to cataloguing in the 1980s was the in-house development of online public access catalogues, the trend of the 1990s was the outsourcing of cataloguing to commercial vendors, the proliferation of modules available, and most of all, the ascendance of the Web for old and new functions. Some respondents told of operating three types of catalogues simultaneously: the home grown one, the commercial text-based system, and the commercial Web-based one. The closing of branch and specialized libraries and the transfer of the collections to the main library required the integration of catalogues, while the collaborative arrangements undertaken by some libraries with nearby sister institutions necessitated the creation of joint catalogues to facilitate public access. The catalogues and cataloguing services supplied by commercial vendors were followed in quick succession by a host of other online capabilities including modules for acquisitions, circulation, and serials check-in. The explosion of electronic services and especially electronic journals posed many challenges as the nature of the collection continued to shift away from paper-based holdings.

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The new technologies made many new services available to users. Users could search collections held locally and in remote geographical locations on Web-based catalogues. They used the Web to request interlibrary loans or renew books or journals. They purchased documents on the Web for delivery directly from vendors. They received overdue notices in electronic rather than paper formats. They checked out their materials on automated self-serve machines. In short, just about every aspect of acquiring, organizing, and providing access to library resources used the new technologies to provide services to more users with fewer staff. For the most part, users adapted well to the high tech world that the modern academic research library has become. They appreciated being able to make loans and renewals on the Web and check out their materials on self-serve machines. From their point of view, these services eliminated the time and annoyance of waiting in long line-ups at busy circulation desks. The capabilities of the new technologies increased their independence and decreased their reliance on staff for routine matters. One largely unanticipated outcome of the proliferation of workstations was the use of the machines for e-mail. In some places, this became such an issue that use of terminals for this purpose was restricted and 'research only' areas were designated. The consequences of the new programs, services, and activities for the staff were more mixed. The introduction of each new service meant not only that they themselves had to become proficient in its use but they had to teach it to those users who were not technologically adept. Many found themselves helping students with fairly mechanical processes such as downloading or printing lists of citations or filling in online interlibrary loan forms. Self-serve check-out machines were great when they worked but when they failed, staff were lightning rods for user frustration and annoyance. Not surprisingly, many concerns were raised regarding the state of the catalogue. Many academic librarians in technical services felt that the use of commercially available cataloguing systems was more complex and time-consuming than the in-house system and that the records were not as clear or as complete. They pointed to the extra time and patience necessary to master each new module in an environment where there was little time available for professional upgrading. The existence of multiple catalogues was regarded as a source of frustration as staff needed to train users to navigate in each one. Catalogue-related changes, although widely prevalent, were not the only ones alluded to by librarians. The significant increases in inter-

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library loans stretched reshelving capacity to the limit and beyond. The introduction of automated check-out machines and online renewal were lauded for easing the workload of circulation staff. Because the use of electronic overdue notices was a less labour-intensive process than using the paper format, it became possible to reallocate staff resources to other hard-pressed areas. Electronic report files made it easier to keep track of how many books each department had ordered and how much of their budget allocation had been spent, as well as allowing the compilation of up-to-date information rather than monthly reports. The acquisition and cataloguing of electronic resources including journals posed challenges, especially in the absence of local policies as well as universally accepted standards. But most respondents welcomed the opportunity to work with staff in systems and in public services in new and different ways. Institutional cooperative agreements had wide-ranging consequences. They resulted in more collaboration among selectors in collection development, harmonization of cataloguing policies and conversion to integrated catalogues, cooperative approaches to serials cancellations, shared off-site storage, and the development of plans to create shared electronic databases, information services, and training. Planning and implementing these and other changes involved travelling to other sites, serving on task forces and committees, and communicating with outside groups all labour-intensive and time-consuming activities. Those involved referred to the increased workload that occurred as they expanded their services to serve users from other sites. Some felt that their roles had evolved from being primarily supervisory to being largely managerial in nature. These consequences, although they are by no means complete or comprehensive, are nevertheless representative of what occurred in technical services areas in the 1990s. Administrative Services

The period under consideration in this study, 1993 to 1998, was characterized by two seemingly contradictory forces: the need to reduce staff and the need to meet the challenges and opportunities presented by the new technologies. Even as total staff complements in academic libraries were reduced, positions reflecting new and pressing concerns were created. The following selection of job titles provides an indication of the directions in which libraries were going: coordinator of management information services, digital collections librarian, document delivery librarian, and Webmaster. In some cases, these positions were filled by

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137

fresh recruits but more often existing staff were promoted or received lateral transfers. Still others delivered new services that were not reflected by specific job titles: liaising and consulting with academic departments, creating and delivering training programs, and planning and organizing fund-raising and development activities. As some departments shrunk, became obsolete or redundant, new ones were formed, often through mergers. Representative titles include: academic data centre, data resources centre, electronic services department, electronic text centre, and information services unit. These new configurations of staff and resources again reflected the ways in which academic libraries responded to the massive changes in their electronic environments. Other structural changes also occurred, although they were not as pervasive. Partnerships were formed with school boards and collaborative agreements were signed with sister institutions in adjacent and remote geographical regions. Teams, task forces, and working groups were created to tackle the many short- and long-term issues that arose. Reporting relationships shifted and policies covering a host of new areas were either implemented or in the advanced planning stages. Among the areas that required new or revised policies were those pertaining to all aspects of electronic resources - selection, acquisition, organization and access, consortial relationships, staff training and development, and direct user services such as check-out, document delivery, and interlibrary loan. Policies on financial matters covered user fees for services such as document delivery, duplication, and interlibrary loan, fee-based services to special client groups such as corporations, and graduated library membership fees. Almost all academic librarians mentioned changes that had been made to the physical space and equipment. Some buildings were closed, others renovated for different purposes. All had to provide facilities for the numerous workstations and other equipment that provided access to the new world of digital information. The impact of creating new positions, departments, and inter-institutional agreements transformed the structure, decision-making, and reporting relationships, as well as the policies and procedures of the institutions involved. As accommodating to the rapid proliferation and increasing complexity of the new technologies became the overriding imperative, libraries scrambled to create and staff units that could coordinate and maintain the acquisition of electronic collections, provide related services to users, and handle system support for the library as a whole. Transfers from other departments, new hires, and casual help

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were assembled in new configurations to supply services that had not been possible previously. Technical skills were at a premium, and since staff with the appropriate expertise were relatively rare, they enjoyed a competitive advantage. In some places, these experts, recognizing their value, left for more lucrative jobs in the for-profit sector. Those that remained found themselves in departments that were expanding rapidly but never rapidly enough to keep up with the expectations and demands of their users. The new technologies that demanded the creation of new departments and positions also, of course, had a steering effect on the budget. To fund the new departments, staff, equipment, and services required larger budget allocations. These allocations often came at the expense of other units in the library and thus incurred some understandable resentment. The imposition of fees for many user services and especially for corporate clients helped defray some costs, but since the money collected rarely went back to the unit that had earned it, many staff saw this as merely another task that contributed to work overload. Collaborative, cooperative, and consortial inter-institutional agreements had wide-ranging consequences. They expanded and changed the jobs of those involved, created new decision-making groups, and altered communication patterns and reporting relationships. Most academic librarians welcomed the opportunities to engage in innovative activities, exercise their leadership and decision-making skills, and influence the future direction of their library. They recognized the long-term benefits inherent in serving a larger user base, increasing access to specialty collections, integrating workloads, and realizing economies of scale in the development, maintenance, and provision of electronic resources. A few, however, pointed to the short-term consequences resulting from parallel decision-making groups, the awkwardness of reporting to someone outside their own institution, and the adverse effect of serving more users with fewer staff. On the whole, however, the librarians who responded to the survey, most of whom had had decades of experience behind them, expressed confidence in their ability to meet the challenges presented to them and optimism in their own futures and those of their institutions. Summary During the 1990s profound changes took place in all aspects of library operations. Programs, services, and activities were either cut entirely or

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reduced substantially. Yet even as downsizing dictated that staffs and services shrink, the rapid advances in technology demanded that new programs, services, and activities be introduced. Possibilities became expectations as professionals struggled to keep abreast, instruct users, and provide high standards of service with vastly diminished resources. Some flourished in the climate of rapid change and embraced the opportunities to expand their knowledge and develop new skills. Others fared less well and had difficulties adapting to the high stress workplace. Whereas the recession of the early 1980s and the years of retrenchment that followed precipitated major changes in public services, the downsizing that followed the recession of the early 1990s took its greatest toll on technical services. The responsibilities, functions, and tasks were largely outsourced to commercial firms; departments and staff were drastically reduced if they survived at all; de-skilling, multi-tasking, and cross-functional teams became the norm as non-professionals took on more managerial roles and cataloguing librarians assumed reference roles. In other words, what was done, where it was done, and who did it were all substantially altered. Although changes in technical services were most dramatic, the nature of reference services was hardly left untouched. Professionals performed substantially fewer mediated searches, became more involved in the teaching function, and relied to a greater extent on mushrooming electronic resources. Services were delivered by a more diverse staff then ever before, and users were expected to be largely self-sufficient. Charging for services, a practice that had been highly contentious for decades, was implemented everywhere as cost-recovery became imperative. It is arguable that the advent of increasingly sophisticated technology played a large part in the changes that occurred. It is certainly true that outsourcing, networking, resource sharing, and document delivery were all facilitated by computer technology. The increased electronic capabilities do not negate the fact, however, that academic libraries suffered very real budget decreases and needed to find other ways of fulfilling their mission while at the same time decreasing costs. Computer technology acted as the facilitator that enabled them to do so. Because academic libraries had undergone a serious bout of retrenchment a decade earlier, one would have expected libraries to have learned from that experience, developed successful coping strategies, and discarded processes, strategies, and practices that had proved to be unsatisfactory. From all the evidence, this does not appear to have happened. Decision-making continued to be largely centralized with senior man-

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agement even further removed from frontline staff a? !avers of middle managers disappeared. The collapsed organizational structure seemed to have little impact on improving communication, and professionals perceived themselves as deprived of vital information and excluded from the decision-making process. Crisis management prevailed; long-range planning was rare. In this turbulent, uncertain environment, staff morale and job satisfaction suffered and cynicism, frustration, and anger surfaced. Distrust of leaders was widespread, and in some cases CEOs were blamed for matters over which they had little or no control. Scapegoating was more prevalent in the larger academic libraries, owing, perhaps, to the increased challenges of leading and communicating in complex organizations. The detailed narratives that formed the raw data that were analysed for this chapter provide consistent support for and amplification of the quantitative data presented earlier. The sweeping changes that affected all aspects of the library, from organization to policy to staff and services, confirm that all the libraries underwent major changes. The former ways of doing things were replaced by something new. Staff thought differently about their work, their organization, the way work was done, and the future of the library. Major modifications occurred in the mission, strategies, structure, and processes of the library. The narratives also support the earlier data that describe the weak leadership behaviour, poor communication, and lack of participation in decision-making that prevailed in too many places. Conspicuously absent from these narratives is any mention of support offered by human resources personnel either at the library or university level. There is no mention of any counselling provided to the survivors of downsizing; no recognition of the emotional and psychological upheaval precipitated by the downsizing; no supportive interventions to ease the adjustment to different personal and professional circumstances; and no actions taken to rebuild the shattered trust. Individuals were left to cope on their own as best they could. They devised their own survival strategies and, as the turmoil abated, took refuge in the professionalism that allowed them to carry on.

CHAPTER 6

The Impact of Downsizing: Factors at the Organizational and Individual Levels

What impact has downsizing had on academic libraries ? The preceding chapter presented one set of answers to this question by exploring the effects of the changes that occurred to programs and services. Reductions and eliminations were widespread, although some new programs were added, particularly those using the new technologies. The consequences of these changes were substantial and keenly felt. Pervasive as they were, they were not the only aspects of academic libraries affected by downsizing. Downsizing is experienced at both the organizational level and the individual level. The organizational climate is affected by downsizing (Cameron, Freeman, Mishra, 1993). Downsizing probably leads to changes in employees' attitudes towards the job, as employers cut the number of people they employ, redesign work, or change the organizational culture (Brockner 1988a, 1988b; Cameron, Freeman, and Mishra 1993; Isabella 1989; Noer 1993). We were interested to know whether the negative attributes of downsizing described in previous research would be found in academic libraries as well, or whether these organizations would react differently. Organizational Climate Cameron, Freeman, and Mishra (1993) identified twelve characteristics that tend to emerge during downsizing which contribute to creating an organizational climate that can be described as negative. They are: low morale, loss of trust among organization members, restricted communication, loss of innovativeness, resistance to change, politicized special interest groups, non-prioritized cutbacks, increasing conflict, lack of teamwork, lack of leadership, centralized decision-making, and short-

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term mentality. These characteristics describe damaged relations and dysfunctional structures that have long-term consequences for the organization. It was found that organizations that scored high on the twelve characteristics, and thus exhibited a negative climate, were those that used a strategy of workforce reduction to downsize, for example, via attrition and layoffs. Organizations that increased their leadership behaviours, and their communication with and participation by organization members had lower scores and a more positive climate. Therefore, we would expect downsizings achieved principally by reliance on a workforce reduction strategy, and with less reliance on a work redesign strategy and/or a systemic change strategy, to be associated with a negative organizational climate. Conversely, downsizings achieved with less reliance on a workforce reduction strategy, but greater reliance on a work redesign strategy and/or a systemic change strategy would be associated with a positive organizational climate. We would also expect academic research libraries implementing low levels of participation, low levels of communication, and low levels of transformational leadership behaviours to be associated with a negative organizational climate. In academic research libraries implementing high levels of participation, high levels of communication, and high levels of transformational leadership behaviours we would expect a positive organizational climate. On the survey used to collect the data for our study, academic librarians indicated their extent of agreement with twenty-four descriptive statements about organizational characteristics by answering the question, 'Please indicate the extent to which you agree or disagree that the statement describes your library as it is right now,' using a rating scale where 1 represents strongly disagree, 3 represents neutral, and 5 represents strongly agree. The mean responses and standard deviations are shown in Table 6.1. Low mean scores represent negative perceptions of organizational characteristics, while high mean scores represent positive perceptions of organizational characteristics. Fifteen of the twenty-four statements about organizational characteristics are stated in the negative. For these statements, reversed scoring was applied to calculate the mean scores shown in Table 6.1. For example, where respondents disagreed with the negative statement by selecting either 1 or 2, they were scored 5 or 4 for the item. The fifteen negative statements are: 1 A lot of resistance to change exists in this library. 2 Creativity has decreased in this library. 3 Special interest groups within the library are becoming more vocal.

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TABLE 6.1 Extent of agreement with organizational characteristics (Canada-wide)

N

Mean

SD

748

3.6

1.2

749

3.2

1.3

740

3.6

1.0

746

3.4

1.1

Morale Lack of commitment is common in this library.3 Morale is increasing in this library.

751 751

3.3 2.1

1.2 1.0

Innovation Innovation activity in this library is increasing. Creativity has decreased in this library.3

749 748

3.2 2.9

1.0 1.2

750

3.1

1.3

745

3.0

1.2

Conflict Grievances are common in this library.3 Conflict is increasing in this library.3

747 749

3.1 2.8

1.2 1.1

Change Our library is very responsive to change. A lot of resistance to change exists in this library.3

746 750

3.1 2.6

1.0 1.1

749

3.0

1.2

750

2.4

1.0

745

2.9

1.1

739

2.9

1.0

Organizational characteristic Cutbacks Downsizing has been done in selected areas in this library. Downsizing has been applied to all units in this library.3 Communication Only good news is passed upwards in this library.3 Staff share little information with others in this library.3

Orientation Long-term planning is neglected in this library.3 Senior management team have a short-term orientation.3

Leadership Our library has a long-term purpose and direction. We have a shared vision of what our library will be like in the future. Factionalization Special interest groups within the library are becoming more vocal.3 Demands from special interest groups within the library are increasing.3

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Organizational characteristic Teamwork Working in this library is like being part of a team. There is extensive use of problem-solving teams in this library. Trust Trust levels in this library are low.3 Senior management team have high credibility in this library. Decision-making Major decisions are very centralized in this library.3 Most major decisions are made by the senior management team in this library.3

N

Mean

SD

751

2.8

1.2

751

2.4

1.2

751

2.5

1.1

746

2.5

1.1

752

1.9

1.0

749

1.7

.9

3

Reversed scoring for items in the index.

4 5 6 7 8 9 10 11 12 13 14 15

Demands from special interest groups are increasing. Conflict is increasing in this library. Staff share little information with others in this library. Only good news is passed upwards in this library. The senior management team have a short-term orientation. Long-term planning is neglected in this library. Most major decisions are very centralized in this library. Trust levels in this library are low. Grievances are common in this library. Lack of commitment is common in this library. Downsizing has been applied to all units in this library. Major decisions are very centralized in this library.

The twenty-four descriptive statements about organizational characteristics can be subdivided into twelve dimensions relating to (1) cutbacks, (2) communication, (3) morale, (4) orientation, (5) leadership, (6) change, (7) innovation, (8) factionalization, (9) conflict, (10) team work, (11) trust, and (12) decision-making. As a group, librarians indicated that regarding cutbacks they agreed with the statement, 'Downsizing has been done in selected areas in this library'; they were neutral regarding the statement, 'Downsizing has been applied to all units in this

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145

library.' In terms of communication they disagreed with the statement, 'Only good news is passed upwards in this library'; they were neutral regarding the statement, 'Staff share little information with others in this library.' Regarding the morale dimension, librarians were neutral with the statement, 'Lack of commitment is common in this library'; they disagreed with the statement, 'Morale is increasing in this library.' Again, they were neutral regarding the two statements related to the innovation dimension: 'Innovation activity in this library is increasing' and 'Creativity has decreased in this library.' In terms of orientation, respondents were neutral regarding the statements, 'Long-term planning is neglected in this library' and 'The senior management team have a short-term orientation.' In terms of conflict, they indicated they were neutral about the two statements, 'Grievances are common in this library' and 'Conflict is increasing in this library.' For the change dimension, librarians indicated they were neutral regarding the two statements, 'Our library is very responsive to change' and 'A lot of resistance to change exists in this library.' Regarding the two statements about leadership, 'Our library has a long-term purpose arid direction' and 'We have a shared vision of what our library will be like in the future,' they were neutral about the first and disagreed with the second. For the factionalization dimension, librarians indicated neutrality regarding the two statements, 'Special interest groups within the library are becoming more vocal' and 'Demands from special interest groups are increasing.' Responding to the teamwork dimension, they were neutral regarding the statement, 'Working in this library is like being part of a team,' and they disagreed with the statement, 'There is extensive use of problem-solving teams in this library.' Regarding the two statements about trust, 'Trust levels in this library are low' and 'The senior management team have high credibility in this library,' respondents were neutral about both. Concerning decision-making, they agreed with the two statements, 'Major decisions are very centralized in this library' and 'Most major decisions are made by the senior management.' These results, which assess characteristics of downsizing at an organizational level, are more muted than we expected based on the findings of previous downsizing studies reported in the research literature. The neutral responses to seventeen of the twenty-four statements may indicate a weakness of the Likert-type 5-point measurement scale. When faced with five choices, respondents tend to avoid the extremes and gravitate towards the middle or moderate position, in this case 3, which is designated as neutral. Another explanation may be that attempting to

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provide a description in a brief statement of such a complex and prolonged occurrence as downsizing is somewhat unrealistic. For example, the statement, 'Our library is very responsive to change,' which at first glance may appear to have surface validity, may in fact have prompted in thoughtful librarians a variety of more finely calibrated and multifaceted answers: 'Well, yes, our library responds quickly to technological change but not to changes in roles and functions of personnel.' Or they may have thought, 'Yes, in the long run the library responded to change but in the early days of downsizing there was much resistance.' So, faced with having to make a choice between 1 and 5, and balancing the different stances that likely occurred over time, academic librarians chose a neutral position. This interpretation of the results was supported by the qualitative data. There, through their extensive anecdotal evidence, librarians took pains to ensure that we did not come away with an oversimplified view of the outcomes of downsizing. First, however, we return to the data on organizational characteristics. Although the majority of the statements describing organizational characteristics commonly associated with downsizing elicited neutral responses, a few did prompt more intense reactions. These statements fall under the areas of cutbacks, communication, morale, leadership, team work, and decision-making. Under cutbacks, the statement, 'Downsizing has been done in selected areas in this library' received the strongest agreement among respondents. We interpret this to mean that, in most cases, cutbacks were not made mindlessly across the board but rather were more carefully targeted. If this interpretation were true, one would expect a lower mean score, that is, a more neutral stance to be taken to the second statement of the pair, 'Downsizing has been applied to all units in the library,' and this indeed turns out to be the case. With regard to communication, that librarians disagreed with the statement 'Only good news is passed upwards in this library' may indicate that this vocal and articulate group of professionals perceived themselves as purveyors of news from the frontlines. They would have seen themselves as fulfilling their professional roles by informing senior managers of the situation in the trenches. Equally, they perceived their information as all too often falling on deaf ears. The situation of librarians communicating upwards but receiving insufficient downwards communication was reinforced by the responses related to morale, leadership, team work, and decision-making. Most respondents felt that morale was not increasing, a shared vision of the future was lacking, problem-solving teams were not used extensively, and

Factors at the Organizational and Individual Levels

147

major decisions were centralized in the hands of senior managers. All these perceptions combine to create a picture of staff who feel isolated from their leaders, uninformed about the nature and severity of the circumstances surrounding them, and excluded from the decisions being made that would have an impact on their professional lives for years to come. After weighing the evidence, that is, the largely neutral positions taken by librarians regarding the characteristics of their organizations, as well as the more strongly held opinions on several crucial dimensions, we were able to conclude that some of the dysfunctional attributes associated with downsizing in organizations did indeed exist in the member libraries of the Canadian Association of Research Libraries (CARL) that we studied; however, these dysfunctional attributes were neither as severe nor as universal as we anticipated. The nature of CARL libraries may offer one explanation: belonging to large publicly funded institutions, the employees are protected from the extremes encountered in the forprofit sector. Although these institutions may shrink and reconfigure, it is highly unlikely that total extinction is a real possibility. In such mitigated circumstances, dysfunctional attributes are more easily containable and manageable. Employee Attitudes towards the Job

Changes in the workplace may have implications for employees' attitudes towards their jobs, given the potential for uncertainty that may accompany such changes. Changes resulting from downsizing may be perceived as threats or as opportunities (Brockner 1992; Greenhalgh, Lawrence, and Sutton 1988: Noer 1993). For example, a workforce reduction strategy is often viewed as threatening to the remaining employees. The evidence from this research is that survivors 'may feel a profound sense of job insecurity, i.e., wondering whether they are the next to go' (Brockner 1988a: 227). In addition, a workforce reduction strategy can create job demands that employees are not prepared for or equipped to handle (Cameron, Freeman, and Mishra 1993). With fewer people to do the work, the remaining employees find themselves overburdened and unsure as to who should be performing the duties previously performed by those let go. Another common workforce reduction strategy is freezing actions on new positions and not filling vacant jobs. Translated into career paths, this means organizational plateauing or limited career advancement opportunities (Feldman 1996; Isabella 1989).

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In sum, a workforce reduction strategy threatens the very building blocks on which survivors have been constructing their future careers. Cameron, Freeman, and Mishra (1993) found that a workforce reduction strategy is rarely effective, especially if work redesign and systemic change strategies do not accompany it. Therefore, we would expect that downsizings achieved by greater reliance on a workforce reduction strategy, less reliance on a work redesign strategy, and less reliance on a systemic change strategy to have the greatest negative impact on employees' attitudes towards their job. In contrast, a work redesign strategy may be seen as an opportunity for new and different career options. A work redesign strategy examines what work is being done and how the work is being done; this may lead to creative ways to make the work more interesting - a process known as job enrichment. Moreover, when jobs have been altered, the organization may have to provide training to employees to handle their new responsibilities. Opportunities to develop new skills can be seen as providing chances for growth and contribution despite lack of upward mobility (Feldman 1996; Isabella 1989). While the consequences of a work redesign strategy are often better than those of a workforce reduction strategy, the work redesign strategy's contributions can be increased if the strategy is broadened to incorporate the systemic change strategy (Cameron 1994). A systemic change strategy focuses on changing the organization's culture and the attitudes and values of employees. Accumulating evidence suggests that both work redesign and systemic change strategies are more effective than a workforce reduction strategy by itself at leading to long-term improvements in organizational performance and at minimizing survivor problems (Cameron, Freeman, and Mishra 1993; Cascio 1993). Therefore, we would expect that downsizings achieved by less reliance on a workforce reduction strategy, greater reliance on work redesign strategy, and greater reliance on a systemic change strategy to have the least negative impact on employee attitudes towards their job. During times of organizational change, employees' need for information increases. The information should be timely, complete, accurate, and given frequently. To the extent that employee attitudes towards the job are dependent on the work setting, a meaningful level of the responsibility for employee attitudes rests with those in positions of leadership. Therefore, we would expect academic research libraries implementing low levels of participation, low levels of communication, and low levels of transformational leadership behaviours to be associated with negative employee attitudes towards the job.

Factors at the Organizational and Individual Levels

149

To assess such perceptions, we asked library professionals to indicate the extent of their agreement with thirteen descriptive statements about attitudes towards their job by answering the question, 'Please indicate the extent to which you agree or disagree that the statement describes how you feel about your job right now,' using a rating scale where 1 represents strongly disagree, 3 represents neutral, and 5 represents strongly agree. The mean responses and standard deviations are shown in Table 6.2. Low mean scores represent negative employee attitudes towards the job, while high mean scores represent positive employee attitudes towards the job. Five of the thirteen statements about attitudes towards the job are stated in the negative. For these statements, reversed scoring was applied to calculate the mean scores shown in Table 6.2. For example, where academic librarians disagreed with the negative statement by selecting either 1 or 2, they were scored 5 or 4 for the item. The five negative statements are: 1 2 3 4 5

I have so much to do, I can no longer do everything as well as I used to. I have so much to do, some things are not getting done. My workload has increased significantly. The security of my job is a source of anxiety to me. I am unclear about the scope and responsibilities of my job.

The thirteen descriptive statements about attitudes towards the job can be subdivided into five specific areas relating to (1) role ambiguity, (2) job enrichment, (3) work compensation, (4) job security, and (5) workload. As a group, librarians indicated that regarding role ambiguity, they agreed with the two statements, T know how my job contributes to the overall goals and objectives of the library' and 'My work objectives are well defined.' They disagreed with the statement, T am unclear on the scope and responsibilities of my job.' In terms of job enrichment, library professionals agreed with the two statements, 'Opportunities to develop new skills exist for me in this library' and 'Opportunities for personal growth and development exist for me in this library.' They disagreed with the statement, 'Opportunities for advancement and promotion exist for me in this library.' Regarding job security, librarians disagreed with the statement, 'The security of my job is a source of anxiety to me.' They agreed with the statement, 'My future in this library looks secure.' Regarding work compensation, respondents agreed with the statement, T am fairly paid for the work I do in this library,' and were neutral with the statement,

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Downsizing in Academic Libraries: The Canadian Experience TABLE 6.2 Extent of agreement with attitudes toward the job (Canada-wide)

N

Mean

SD

751

3.9

1.1

750 751

3.7 3.6

1.4 1.1

751

3.8

1.0

750

3.5

1.2

743

2.4

1.3

Job security The security of my job is a source of anxiety to me.a My future in this library looks secure.

754 753

3.7 3.5

1.4 1.2

Work compensation \ am fairly paid for the work 1 do in this library. My financial future will continue to improve.

754 747

3.5 2.6

1.2 1.1

748

2.2

1.2

752 753

2.0 1.7

1.2 .9

Employee attitudes towards the job Role ambiguity 1 am unclear about the scope and responsibilities of my job.3 1 know how my job contributes to the overall goals and objectives of this library. My work objectives are well defined. Job enrichment Opportunities to develop new skills exist for me in this library. Opportunities for personal growth and development exist for me in this library. Opportunities for advancement and promotion exist for me in this library.

Workload \ have so much to do, 1 can no longer do everything as well as 1 used to.a 1 have so much to do, some things are not getting done.3 My workload has increased significantly.3 a

Reversed scoring for items in the index.

'My financial future will continue to improve.' In terms of workload, they agreed with the following statements: 'I have so much to do, I can no longer do everything as well as I used to'; 'I have so much to do, some things are not getting done'; and 'My workload has increased significantly.' These findings corroborate the results of previous research that reports that individuals remaining after a downsizing (i.e., survivors) experience a decline in their job attitudes as a result of the uncertainty surrounding the change effort (Brockner and Wiesenfeld 1993; Kozlowski et al. 1993). In general, this research suggests that downsizings that rely

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primarily on workforce reductions generate doubts throughout the entire organization regarding job security because employees feel that they have lost their ability to control the continuity of their employment. In addition, the workload rarely gets smaller when the workforce does, and those who return to work following a workforce reduction have seen their workload increase but no commensurate increase in compensation has been offered (Cameron, Freeman, and Mishra 1993; Sutton 1990). Moreover, when they set their sights on the future, people become further dismayed; reductions in the number and layers of positions have reduced opportunities for career progression. Research conducted by Isabella (1989) found that individuals remaining after a downsizing have key concerns regarding their careers. Most employees are not informed about many issues, such as their place in the newly structured organization, expected performance standards, and the existence or lack of opportunities for advancement. Research examining survivor attitudes and work behaviours following a layoff consistently shows that survivor job attitudes become less favourable after co-workers are laid off (Allen et al. 1995; Brockner 1988a; Brockner, Davy, and Carter 1985; Brockner, Konovsky, et al. 1994; Feldman and Leana 1994; Leana and Feldman 1992; Mishra and Mishra 1994). This research suggests that, more often than not, remaining employees trust the organization and their managers less, experience lower morale and increased stress resulting from job insecurity and increased workloads, lack of concentration, and reduced satisfaction. Likewise, those who have interviewed the surviving employees of layoffs find that survivors are often insecure, angry, and confused (Clark and Koonce 1995; Noer 1993; O'Neill, Lenn, and Caimano 1995). These researchers found that employees worry that they will not possess the skills necessary to meet the job requirements of their new job descriptions. Moreover, these same employees tend to feel that they no longer have any influence over their career paths. Our findings show that surviving individuals' attitudes towards their jobs are negatively associated with workforce reduction strategies even when these strategies do not involve the layoff of co-workers. Attrition (freezing or limiting the influx of new employees), early retirement (providing retirement incentives for senior employees before their normal retirement date), and regular retirements were the primary strategies used to reduce the number of professional employees in academic research libraries. Thus, we find similar employee attitudinal responses to a workforce reduction accomplished by attrition and retirements as those found with layoffs.

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These findings are important because negative employee attitudes towards the job may affect the level of subsequent work effort that the remaining employees invest in their organizational roles and duties. For example, employees may perceive reduced or limited career development and advancement opportunities as a breach in the 'psychological contract' between the organization and themselves. The psychological contract defines what employees are prepared to give by way of effort and contribution in exchange for something they value from their employer, such as job security, pay and benefits, or continuing training. The psychological contract is an individual's beliefs regarding reciprocal obligations between themselves and their employer, and has traditionally been based on loyalty and commitment to the organization in exchange for employment security and career progression, linked to increases in status and rewards (Newell and Dopson 1996). Therefore, if after a downsizing employees are left feeling that the scope and responsibilities of their work have increased while opportunities for career development or advancement have decreased, they may respond with reduced work effort and/or organizational commitment. Perceptions of Downsizing

Towards the end of the survey questionnaire, academic librarians were given the opportunity to reflect on the downsizing experience as a whole and to summarize their views in their own words. They were asked the following questions: Tn your opinion, what have been the most positive outcomes of downsizing in your library?' and Tn your opinion, what have been the most negative outcomes of downsizing in your library?' Responses to these questions are given below beginning with those outcomes of downsizing that were regarded as positive. Positive Outcomes

At the organizational level, there was a reduction in management layers and the flattening of hierarchical structures. With fewer administrators and reporting levels, academic librarians enjoyed more direct communication, greater involvement in the decision-making process, and a new sense of empowerment. The combining and centralization of departments led to the standardization of policies and processes, the elimination of wasteful duplication, the improved alignment of like responsibilities, and greater efficiencies of cost. The need to work within

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a reduced budget forced the rethinking of priorities and introduced formal planning processes where none had existed before. Innovative alliances were formed to foster greater inter-institutional cooperation with new relationships and resource sharing initiated among university libraries and with boards of education, community colleges, and local businesses. Staff utilization received renewed attention. With fewer people to do the work, job redesign and cross-training became imperative and human resources issues assumed a new importance. At the individual level, academic librarians were presented with unprecedented opportunities to learn new skills, assume more responsibilities, and exercise greater autonomy. Fewer managers resulted in more management teams, better communication, and a greater sense of empowerment. The rotation of duties among several departments allowed staff to get to know colleagues in other areas, gain an appreciation for their work, and acquire a better understanding of the library as a whole. Old divisions and rivalries were replaced by a greater commitment to collegiality and a pulling together to cope with the strain. As new staff alignments and relationships came into existence, previous power structures within departments disappeared. In some libraries, staff themselves provided the impetus for change: 'Staff are becoming leaders, taking more risks, becoming more creative, taking the initiative and growing tremendously - more than any staff development plan could have accomplished. Staff have "picked up the ball and run with it." We will have a very open organization at the end of this, if there is an end to downsizing.' With fewer staff to do the work the need to set priorities became paramount: 'We had to look hard at what we did, why we did it, and how well we did it. We began to really ask our users what they want and expect from the library rather than telling them.' The rethinking of priorities led to the elimination of needless tasks and a renewed emphasis on service. The rapidly evolving technologies acted as both catalyst and enabler. The introduction of self-checkout, remote access to the library catalogue, development of the Web, networking of CD-ROMs, shared cataloguing, and e-mail reference and notification were introduced faster than they might have been without the pressure to reduce staff and to cut costs. Such automation allowed staff to broaden their expertise and encouraged users to become more self-reliant. Librarians enjoyed their new status as campus technology innovators and perceived themselves to be effective, productive, and forward-looking professionals. They had achieved a major victory: they

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had survived and even thrived under adverse circumstances and were prepared to meet whatever the future had in store for them. Negative Outcomes

Unfortunately, these positive views of the outcomes of downsizing were not universally held. In fact, for every positive outcome mentioned, there were three negative ones identified. Sometimes academic librarians pointed out that some outcomes had both positive and negative aspects simultaneously. For example, working in several departments presented opportunities to learn new skills and broaden expertise. At the same time, it scattered energies, heightened stress, and prevented specialization. The downsizing strategies (workforce reduction, work redesign, and systemic change) as well as the downsizing processes (participation, communication, and transformational leadership) that were used prompted some of the most passionate and negative comments. The reliance on attrition as the predominant method of reducing the size of the workforce was generally regarded as an abdication by management of their responsibility to make the tough decisions, as well as an inability or refusal to engage in meaningful strategic planning. The following comments are typical: The use of the word downsizing assumes a rational, cohesive, planned approach complete with long-term strategies and vision. There has been nothing of the sort in this library: no plans have been made and decisions are piecemeal, as the need arises. When a position becomes vacant, it is simply not filled. The department where the vacancy has occurred is left to find ways to fill the gap and the library administration doesn't care how this is done as long as it doesn't cost anything. Because attrition rather than layoffs was used to reduce staff, reductions were not distributed evenly and according to the need but rather according to chance separations.

This somewhat haphazard approach resulted in a host of problems, which, with the benefit of hindsight, should have been foreseeable: increased workloads for those who remained, increased levels of stress, illness, absenteeism, and lowered morale. The widespread use of early retirement incentives to reduce the size of

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the workforce served to compound the problem: 'Excellent staff were lost and cuts did not happen in the areas where they were needed and/ or where efficiencies were possible.' The result was often the loss of expertise, organizational memory, specialized language skills, and subject knowledge, as those with the most marketable experience and valuable intellectual capital chose to seek employment elsewhere. Although layoffs or actual firings were rarely used as a workforce reduction strategy, where they did occur their impact was devastating. A manager described her experience: 'When people received letters saying their jobs were redundant (which was a lie), they cried in my office. The personnel department did not provide any counselling or information on possible counsellors at the university. The whole event was shameful.' To compound the problem, the work done by those declared 'redundant' did not disappear but 'nobody knows how it should be done or who is to do it.' The use of work redesign as a downsizing strategy, while it focused on changing work processes and organizational structure rather than specifically reducing the number of staff, was also not without its attendant problems. The transfer of staff and the consolidation and merger of units led to resentment on the part of those who were transferred: 'My position has been reorganized into an area where I have no professional interest. I have been removed from areas where I derived a great deal of job satisfaction.' Those in the receiving units were no less disgruntled, especially where collective agreements were in force: 'Due to union contracts, the restructuring has meant that staff with more seniority but not necessarily the skills or inclination to meet the needs of the new organization are more likely to remain. Staff who have left were not always the staff you wanted to lose and those who remained were not always the staff who could adapt or who would even try.' Difficulties arose in finding suitably senior levels of activity for relocated academic librarians, while some of those who were relocated complained that they were subjected to unrealistically high performance expectations in their new units. Everyone underestimated the time and energy required to train and reorient relocated staff. The reduction of hierarchical levels, functions, and departments were seen as decreasing chances for advancement, while at the same time increasing the workload of the fewer remaining managers whose responsibilities expanded to include areas in which they had little or no expertise. Systemic change, the third downsizing strategy, perhaps because it

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involved changing the culture of the organization, its values, and reward systems, was perhaps the most difficult to implement and was roundly criticized for being either ineffective or neglected altogether. Most lamented were the lack of a new organizational vision that would provide a clear sense of direction, the absence of an overall strategic plan, the ad hoc nature of decisions, and the reluctance to engage in fundamental organization-wide change. Although most respondents claimed that their libraries were undergoing major changes, their subsequent comments seem to qualify this judgment. They point to curtailed career paths, lack of training and development opportunities, and diminished reward and recognition systems, that is, few incentives and little hope. In such a workplace 'it is difficult to maintain commitment to a job where the workload increases while the quality of the working environment decreases, there are no rewards or even time to do as well as one would like at one's tasks.' Although the downsizing strategies used (workforce reduction, work redesign, and systemic change) came in for widespread criticism, the most disparaging comments were reserved for the downsizing processes (participation, communication, and transformational leadership). Ironically, the purposes of these processes are intended to ameliorate the negative effects of downsizing. Allowing staff to participate actively in the decisions regarding layoffs, work redesign, and organizational change; explaining the reasons for the changes clearly and often; and formulating and maintaining a vision of the future direction of the organization through proactive leadership are all seen as critical in building staff support, maintaining productivity and morale, and implementing successfully the multitude of changes involved in downsizing. Unfortunately, few academic libraries were perceived by their staffs to have engaged effectively in these processes. This neglect was felt keenly and generated a host of negative outcomes. Although there is ample evidence to suggest that broad participation in decision-making is desirable, and that those affected by the decisions should be involved in the decision-making process, these practices do not seem to have been generally followed. Often decisions were made by administrators far from the frontlines, in an arbitrary fashion with little or no involvement of those affected: 'Decisions are made at a high level with a lofty disdain for the impact further down the line. Most downsizing measures have been sprung on us.' Where attempts were made to obtain input from staff, it was seen largely as unsatisfactory: 'Library administration engages in mock con-

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sultation exercises from time to time in which we are asked for input into the policy and decision-making process, and then does what it wants to anyway. Often there is no perceivable rationale for the decisions that are made except to placate certain volatile personalities.' Decisions were seen to be arbitrary, taken because they could no longer be avoided, and based on immediate rather than long-range goals. The results were predictable: 'The ad hoc nature of downsizing in the library pushes the paranoia levels up and morale down. Programs and activities important in the long term have been sidelined by focussing primarily on shortterm goals.' Had participation of staff in decision-making been more widespread and meaningful, it is likely that more relevant information necessary to the successful planning and implementation of change would have been available, more alternatives would have been generated, and the necessary changes would have been more widely accepted. Much of the resistance to the changes can be attributed to the poor communication that existed between many administrators and their staff: 'No one in administration ever spoke to us about the consequences or implications of reductions or expressed the slightest interest or concern about what they had done.' Before implementing any significant changes, it is generally recommended that administrators communicate clearly and often regarding the reasons for the changes, their nature, and probable result. In the absence of such communication, rumours arise, individuals create their own reality, and uncertainty and anxiety prevail. When communication is poor and information is not forthcoming, individuals may take matters into their own hands: 'There is increasing aggressiveness on the part of all staff toward management and one another. There is a sense of polarization between groups and factions, ideas and visions.' The perceived secretive and non-collegial approach to downsizing intensified competition for increasingly scarce resources, eroded trust in management, and, in a few instances, precipitated some very negative behaviours. One department head stated that there were 'actual personal attacks, cloaked as suggestions on the staff intranet about how individuals in my department could be reassigned.' In the absence of formal communication channels, informal ones arose. Although the two downsizing processes, participation and communication, were regarded as deficient, it was the third, transformational leadership that drew the most negative comments. Among the shortcomings cited were the lack of vision and overall direction, short-term outlook with a bottom-line emphasis, and lack of collegiality, 'valuing flash

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and dash projects while neglecting solid quality and smooth running of everyday functions': 'Senior managers seem to be out of touch with almost every aspect of the library except the bottom line and are perceived as almost irrelevant to the organization. They have almost collapsed from the weight of downsizing though their numbers have not been cut. Managers have dropped the ball. Staff are bailing them out.' The lack of vision and overall direction are a common refrain. With no apparent plan in place to determine how cuts were to be applied, some areas were seen as suffering more than others. Scholars who currently write about leadership and what constitutes effective leaders propose that effective transformational leaders can be characterized by four factors: their ability to inspire respect and admiration among their followers; their ability to communicate, motivate, and inspire confidence in their vision and values; their ability to intellectually challenge their followers by providing them with interesting work that develops their problem-solving skills; their concern for the personal and developmental needs of the individual followers. These leaders embrace change as an opportunity, develop a clear vision which they communicate to their followers, and motivate and empower them to take responsibility for transforming the organization. Although upheaval may result in the short term, the long term holds the promise of achieving a transformed organization, one that is better able to achieve its goals and thrive in a new environment. After examining the perceptions of academic librarians, we cannot doubt that widespread organizational changes did occur. In fact, librarians across the country agreed that major rather than more moderate changes had taken place in their libraries. Our data concur with these perceptions. There is also evidence, however, that leaders did not universally exhibit the characteristics required of transformational leaders. How can these two apparently contradictory facts be reconciled? Several explanations are possible. First, academic librarians may simply have impossibly high expectations of their leaders. The idealized terms in which transformational leaders are described by scholars in management courses, textbooks, and conferences may actually do a disservice to the profession by setting standards for successful leaders so high that they are impossible to meet by most people. Academic librarians, having been trained to expect their leaders to be of the highest calibre, are disappointed when they discover their leaders are not very different from themselves. To learn in the midst of a crisis that the leader is not a visionary with transformatory qualities comes as a blow. Such

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disappointment may engender cynicism and prompt staff to view any actions the leader takes in excessively negative terms. Another explanation questions whether having transformational leaders is an absolute necessity for an organization undergoing radical changes. If the views of academic librarians are taken as fact regarding the extent and impact of the downsizing strategies and processes they experienced, then we conclude that the implementation of major changes was universal. The changes described in greatest detail occurred at a grassroots level, in specific departments, to particular functions, and to individual positions. There is virtually no mention of high-level changes, those involving new missions and overall direction. Perhaps it is possible for professional staff to adapt to a changing environment with minimal guidance from the top. Perhaps their own professional ethic propels them to identify and make the changes needed so that they can continue to provide levels of service that meet their professional standards. There were many who said that the professionals 'bailed out' weak leaders. Perhaps transformational changes depend at least as much or even more on the quality of the staff as on the quality of the leaders. A final explanation treads the middle ground between ascribing successful change primarily to the leader, on the one hand, or to the staff, on the other. Perhaps it is more useful to take an approach that gives each side its due. Certainly, it helps to bring about change if a strong, farsighted visionary captains the ship. But without the sailors, the ship is unlikely to stay its course and reach its destination. It may be time to moderate our view of what we expect leaders to be. We can expect them to steer us in the right direction using all the means at their disposal. We cannot expect them to be heroic figures who perform deeds of mythic proportions. Summary

This chapter described the impacts of downsizing as they affected three factors: organizational climate, employee attitudes towards the job, and aspects that were regarded as positive and/or negative. We found that the strategies used to downsize affect organizational climate as well as employee attitudes towards the job. We also found that a workforce reduction strategy that relied primarily on attrition, retirement, and regular retirements had a negative impact on both employee attitudes towards the job and organizational climate. In contrast, a systemic change strategy, which focuses on changing the culture of the organization, had

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a positive impact on both organizational climate and employee attitudes towards the job. In addition, it appears that a workforce reduction strategy and a systemic change strategy are relatively more critical to the determination of organizational climate than they are to employee attitudes towards the job. The findings also suggest that much of what management does during the downsizing process itself has profound implications for how successful the efforts to minimize the negative effects for survivors, and ultimately the organization, will be. Our analysis identified three management processes in which organizations could intervene to reduce the incidence or alleviate the negative effects of organizational climate and employee attitudes towards the job. We found that participation, communication, and transformational leadership behaviours had a positive impact on both organizational climate and employee attitudes towards the job. These processes involve the critical participation of all employees in the design and implementation of the changes relating to downsizing; the presence of timely, open, and ongoing communication during all phases of the downsizing; and the demonstration of senior management commitment and support of the changes made during the downsizing.

CHAPTER 7

The Legacy of Downsizing

What is the legacy of downsizing in academic libraries? Previous chapters explored various aspects of downsizing. As each topic was investigated, data were submitted and analysed, and implications drawn. For the most part, results related to the short-term and immediate impact of the downsizing efforts that took place. Although these were undoubtedly important, especially for those affected by them, they were not the only or perhaps even the most important results. The repercussions of downsizing in the 1990s were not confined to that decade: their longterm consequences are still with us and continue to shape academic libraries today. The Management of Downsizing Revisited To understand why the effects of downsizing continue long after the initial steps to downsize have been taken, it is useful to consider downsizing as a type of change that organizations undergo. Cameron and Freeman (1993) provide a hierarchy of three types of changes common in organizational downsizing, each of which varies in scope and depth. Those organizations that implement fewer changes rely mainly on changes in work and much less on changes in technology and structure. Those organizations that implement more changes rely on changes in structure and technology rather than on work changes only. Changes implemented by the libraries were pervasive. They spanned the continuum from low-level changes that affected primarily individuals to high-level changes that affected the university as a whole. Most often, however, they relied on mid-level changes, that is, changes in technology which focus on both individual and organizational levels and include automating work processes, and making use of technology to redesign

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work and reduce staff. For such changes to be successful, great care must be given to the strategies and processes by which they are introduced and implemented. Downsizing Strategies

Once organizations decide to downsize, their first step is to decide how to do it. The three core strategies used to downsize, following Cameron, Freeman, and Mishra (1991, 1993) were (1) a workforce reduction strategy, which is used to reduce the number of employees and so to cut costs; (2) a work redesign strategy, which changes processes and organizational arrangements and so emphasizes reducing the amount of work rather than the number of people; and (3) a systemic change strategy, which is aimed at promoting fundamental changes that affect the culture of the organization. This last strategy involves changing the organization's values and beliefs, recognizing employees as critical resources in the change effort, and implementing human resources programs, including training and development opportunities and recognition and reward systems that are congruent with the new mission, goals, and objectives of the organization. To achieve downsizing successfully, that is, to maintain performance and organizational climate all three strategies must be used. Neglect of one strategy or the exclusive use of one strategy are seen as undermining performance and organizational climate. Of the choices available to them, academic libraries, for the most part, used all three strategies. Workforce Reduction Strategy

The emphasis of a workforce reduction strategy is to reduce the number of employees in an organization. The tactics for achieving a reduction in the workforce may range from the relatively benign use of attrition, early and regular retirement, and transfers, to somewhat less benign transfers and buyouts, through harsher tactics such as layoffs and firings. Not only can the organization lose much knowledge, skill, and memory when employees leave, but those who remain are likely to experience more negative attitudes towards their job. These negative attitudes encompass role ambiguity, job security, workload, compensation, and job enrichment. Our findings showed that remaining employees experienced negative attitudes about the security of their job and their future in the library, the scope and responsibilities associated with their work, the amount of work they have to do, and the compensation they receive for

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that work, as well as the existence of opportunities for career development and advancement. As was discussed in chapter 6, our findings reflect the results of earlier research, which found that employees who remain after a downsizing experience a decline in their attitudes towards their job as a result of the uncertainty surrounding the change effort. Certainly, the findings of our work confirm those of earlier researchers and suggest that it will be many years before organizational trust, loyalty, and commitment of employees are restored. Work Redesign Strategy

Organizations are complex entities that comprise an intricate mix of work, people, and formal and informal organizational arrangements. Organizations have functions that are performed by individuals who work within formally developed structures, systems, processes, and methods. The informal organization emerges over time and is implicit, unwritten, but no less important in influencing individual behaviour. When organizations undertake change, they must consider the consequences of their proposed changes on the various organizational components. Changes in work affect people and vice versa. Changes in systems affect work, people, and the organization. Tinkering with one without giving due consideration to the others is likely to upset the delicate integrative balance among the organizational components that is necessary for bringing about positive organizational outcomes (Hackman and Oldham 1980). Our research found that 73 per cent of participants indicated changes in reward and recognition systems had not been implemented in connection with the downsizing effort (Figure 4.8). Also, 65 per cent indicated that changes in employee appraisal systems had not been made (Figure 4.9). In terms of training and orientation programs, 56 per cent indicated that these programs were implemented to some extent, while 21 per cent indicated they were not implemented at all (Figure 4.10). By neglecting to make such changes, libraries may have undermined the benefits they hoped to derive from implementing work redesign strategies. The consequences of not implementing consistent, supportive changes to all organizational components contribute to a long-term deterioration of organizational performance. Systemic Change Strategy

The strategy likely to transform the organization in the most profound and long-lasting ways, that is, the systemic change strategy, was used the

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least. Among the actions comprising the systemic change strategy are those involving systemic analysis of personnel, jobs, and tasks prior to downsizing, input from users, and changes to employee appraisal, reward and recognition systems. Of these, the changes affecting employees were used least of all in the downsizing effort. In contrast, the strategy used most often to downsize was a work redesign strategy. This involved such activities as automating work processes whenever possible, merging or reorganizing departments, reducing hierarchical levels, forming work teams, and outsourcing tasks formerly done in-house. The normative literature on organizational downsizing suggests that a systemic strategy aimed at changing the culture of an organization by fostering a philosophy of continuous improvement is associated with more positive employee attitudes toward their jobs. Libraries implementing systemic change strategies generally experienced more positive employee attitudes related to role ambiguity, job security, workload, compensation, and job enrichment. The normative literature on organizational downsizing suggests a systemic change strategy is most likely to produce positive employee attitudes. This is because employees are recognized as an organization's most valuable assets and thus require organizational behaviour modification in order to accept and implement new work processes (Applebaum, Everard, and Hung 1999; Cameron, Freeman, and Mishra 1991, 1993). Behavioural modification occurs through the appraisal, reward, and development systems for employees (De Meuse, Vanderheiden, and Bergmann 1994), and the identification and evaluation of employee skill, knowledge, and abilities (Mone 1994). To illustrate this point, Mishra and Mishra (1994) propose that training or retraining of employees boosts employees' confidence to work in a new environment, and as a result, they are more competent to deal with any uncertainty they may face. Similarly, Doherty and Horsted (1995) suggest that survivors need professional advice, training, counselling, and support if they are to manage change successfully and counteract the effect of 'survivor syndrome.' We find the same thinking in the literature on organizational change. This literature suggests that culture change (Nadler, Shaw, and Walton 1995; Tichy 1983) cannot occur without employees learning new ways of behaving and thinking. This is accomplished through a combination of information (e.g., where the organization is headed and how great a gap exists between reality and the goal), communication (e.g., the what, the why, and the how), and education (e.g., training and retraining programs). As a result, organizations that equip their employ-

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ees with the skills, strategies and resources to adjust to changes report much greater employee commitment to the changes, and by implication, more positive employee attitudes towards their working environment. Ironically, although all the evidence suggests that implementing a systemic change strategy when downsizing may minimize negative employee attitudes towards the job, this strategy was not universally used by academic libraries. The negative experiences encountered by librarians and conveyed to us so vividly in their lengthy narratives indicate to us the lingering consequences of relying on workforce reduction and work redesign strategies - essentially quicker, cheaper, and simpler fixes rather than choosing a systemic change strategy. Although the latter admittedly takes longer to implement, and is unlikely to produce immediate cost reductions, it is more likely to cause fewer problems and lead to a more successful downsizing effort. Dozvnsizing Processes

If the strategies represent what was done, the processes (participation, communication, and transformational leadership) indicate how downsizing was implemented. Involving employees in decisions related to downsizing, communicating frequently using rich media, and exercising a transformational leadership style are all needed to reduce the negative aspects of downsizing, ensure commitment to the organization, and maintain performance levels. Participation

The literature on organizational change is unequivocal: to reduce resistance to change and promote adaptation, employees who are likely to be affected should be involved in the decision-making processes regarding the changes (e.g., Jick 1993; Ranter 1984, Tichy 1983). The degree of participation may vary, but the more widespread the proposed changes, the greater the need to involve more people (Freeman 1992). The literature on organizational downsizing strongly encourages employee participation in the decision-making regarding downsizing (Applebaum, Simpson, and Shapiro 1987; Cameron, Freeman, Mishra 1991, 1993; Cascio 1993; Freeman 1992). Cameron, Freeman, and Mishra (1991) suggest that the most effective downsizing strategies are those that are recommended and designed by the employees of the organization. Cameron (1994) suggests that employees should be consulted when identifying what needs to be changed and that by actively includ-

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ing all employees in the planning stage of downsizing, it is possible to avoid the negative consequences felt by survivors. Similarly, Cascio (1993) also associates survivors' syndrome with a lack of employee involvement. Our study showed moderate employee involvement in decisions related to downsizing (Table 4.5). Employees were more involved in decisions regarding the implementation of new services to users and new work processes than they were in the design and implementation of downsizing strategies regarding staff. Management employees were more involved in making downsizing decisions than other professional employees, the one exception being the design of new training programs. In other words, many frontline professionals perceived that they were not involved in making many of the decisions that directly affected their organizational lives. Such involvement, however, has been shown to play a critical role in minimizing the negative organizational climate while at the same time mobilizing and motivating employees towards change. Its absence may be expected to produce disgruntled, disillusioned, and anxious employees whose attitudes towards their jobs are significantly affected for years to come. Communication

A high level of communication during downsizing is associated with more positive employee attitudes towards the job. That is, employees who perceived the information they received regarding downsizing as timely, accurate, and complete generally experienced more positive attitudes regarding role ambiguity, job security, workload, compensation, and job enrichment. The literature on organizational downsizing strongly suggests that in a downsizing situation it is in the employees' interests if managers disclose as much information as they can, when they can, and as often as they can (Cameron, Freeman, and Mishra 1993; Feldman and Leana 1994; Smeltzer and Zener 1992). Otherwise, the absence of information regarding downsizing can possibly lead to an increase in the amount of ambiguity and uncertainty felt by employees in an organization. Increased ambiguity and uncertainty within an organization's environment contributes heavily toward negative employee attitudes (Noer 1993). If ambiguity and uncertainty grow, employees may value less and less their stake in the organization which may negatively impact their subsequent behaviour. Thus, increased communication during downsizing helps employees understand the difference between where they were and where they are now (i.e., with respect to tasks, responsibilities, and reporting relationships) and also to ensure that they have the appropri-

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ate organizational support to develop the necessary competencies to meet these objectives. High levels of communication regarding downsizing are also associated with a more positive organizational climate. That is, employees who perceived the information they received regarding downsizing as timely, accurate, and complete also perceived the organizational climate more positively in terms of decision-making, orientation, innovation, trust, morale, conflict, factionalization, team work, leadership, change, cutbacks, and communication. Freeman (1992) and Cameron, Freeman, and Mishra (1993) found that increased communication with organizational members during downsizing was positively associated with organizational climate. In addition, Cameron (1998) also found increased communication during downsizing to be an important predictor of organizational effectiveness, performance, and improvement. Our study showed that, on the whole, academic libraries did a reasonably good job in communicating information regarding downsizing to their employees. Immediate supervisors and colleagues were the most frequent source of communication (Table 4.6), while group meetings and letters or memos were the most frequently used media of communication (Table 4.7). Findings suggest that there is still room for improvement; some employees learned about the downsizing from other university employees, some by means of telephone or voice mail. Such sources and media contravene the normative literature on organizational downsizing, which strongly proposes the need for management to over-communicate pertinent information related to downsizing (Feldman and Leana 1994; Smeltzer and Zerier 1992). To maintain the credibility and trust of employees, senior management must communicate all information related to downsizing, constantly, and in full detail. High levels of communication during downsizing can play a key role in minimizing negative organizational climate and mitigating against negative employee attitudes towards the job while at the same time mobilizing and motivating employees towards change. When communication is deficient, the success of downsizing efforts are undermined not only in the short term but in the long term as well. Transformational Leadership

Of the three processes associated with the effective implementation of downsizing, transformational leadership is the most important in determining a more positive employee attitude towards the job and a more positive organizational climate.

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Transformational leadership behaviours are characterized by the ability to stimulate interest among subordinates to view their work from new perspectives, generate awareness of the mission or vision of the organization, develop subordinates to higher levels of ability and potential, and motivate subordinates to look beyond their own interests towards those that will benefit the organization (Avolio and Bass 1988; Avolio, Waldman, and Yammarino 1991; Bass 1985; Bennis and Nanus 1985). The literature on organizational downsizing suggests that the senior management team should exhibit a sense of vision and foster a culture of change and growth (Applebaum, Simpson, and Shapiro 1987; Hill et al. 1994). When the organization has a widely shared, clear sense of its purpose, direction, and desired future state, people in the organization are able to define their roles in that organization (Tichy and Devanna 1986; Tichy and Ulrich 1984). In research conducted by Freeman (1992) and Cameron, Freeman, Mishra (1993), the most important predictor of 'success' (i.e., positive organizational climate and organizational performance) was the personal behaviours of top management. The behaviours of top managers were characterized by the extent to which they (1) excited and motivated employees; (2) praised them; (3) used symbolic means to provide a vision of future possibilities for them; and (4) remained accessible and visible to them. This finding was duplicated in another study by Cameron (1998) where he found leadership of the organization to be an important predictor of organizational performance, effectiveness, and improvement. Unfortunately, our study found that the senior management teams charged with the responsibilities of downsizing exhibited fairly low levels of transformational leadership behaviours. They scored lowest on providing a vision for the future that could excite employees, and generating enthusiasm for their assignments among employees, 2.50 and 2.35, respectively on a 5-point scale (Table 4.8). The top score, 3.09, indicating the extent to which librarians perceived senior management to encourage their expression of ideas and opinions, was moderate. Because all the evidence confirms that transformational leadership behaviours by the senior management team during organizational downsizing play an integral role in minimizing negative employees' attitudes towards the job and a negative organizational climate, while at the same time mobilizing and motivating employees towards change, this deficiency is particularly troubling. Changing a corporate culture and the attitudes and behaviours of people are long-term undertakings. Furthermore, it

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is unlikely that those leaders whose credibility and authority were diminished in the eyes of their employees are the ones capable of turning the organization around. Such concerns are not amenable to quick fixes or short-term solutions. But they must be recognized and addressed if academic libraries are to remain viable organizations in the long term. User Services and Program Delivery

The downsizing that followed the recession of the early 1990s appears in retrospect to have been somewhat haphazard. Very little long-term planning took place, and cuts were made with scant thought to their broader implications. In many cases, this shortsightedness is understandable: few universities had multi-year budget planning processes in place, and so managers of academic libraries faced continuing and unrelenting uncertainty from one year to the next. In such situations, it is hardly surprising that cuts tended, at least at first, to be ad hoc - owing more to expediency than their fit with organizational visions for the future. With two-thirds or more of library budgets devoted to personnel costs, and with acquisitions budgets largely protected, adapting to fewer resources that continued to decrease year after year became a real challenge. The shrinking value of the Canadian dollar in relation to U.S. and European currencies and the rising prices of serials increased the pressures on libraries to maintain and augment their collections. In addition, rapidly changing technologies demanded that almost all aspects of the academic library be rethought. On the one hand, updating and replacing equipment and systems were a seemingly endless drain on resources. On the other, they presented alternatives to labour-intensive practices and services. Advances in technology mingled with the imperatives to downsize to such an extent that it is difficult to disentangle the changes and consequences wrought by one from the other. Taken together, there is no doubt they changed just about every aspect of academic libraries. It would be a mistake to think of pre-downsizing days as the golden era of user services. A decade earlier, in the early 1980s, a previous recession took its toll on academic libraries. That retrenchment, however, resulted in cuts to rates of increases rather than to base budget numbers and in reductions primarily in support staff rather than professionals (Auster 1991). Then, too, technology was an important mediating factor in service delivery as the spread of online retrieval and cataloguing systems took hold and became fixtures of library life for staff and users. In

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retrospect, however, the changes of the 1980s were relatively mild compared with the veritable revolution that transformed academic libraries in the 1990s. Access

Convenience and speedy access to information resources are important to the user. The literature on information needs and uses repeatedly documents the fact that when they seek to satisfy their information needs, users turn first to their bookshelves. Next, they consult colleagues. Only after exhausting these sources in close physical proximity, do they turn to sources further afield, among them, libraries. Although quality and reliability are important, the convenience of satisfying information needs close at hand in many cases supercedes other attributes of information sources. (Auster and Choo 1993; Lengel and Daft 1998; McKinnon and Bruns 1992; O'Reilly 1982). When faced with the necessity to downsize, libraries chose to consolidate as many of their collections as possible in a central location. Departmental, special, and branch collections were relocated to the main library as a cost-cutting measure. This centralization, which made financial sense, was not entirely compatible with the information behaviours of users who now had to traverse campuses to find materials in unfamiliar settings. Most adapted, of course, or devised ways of minimizing the inconvenience. But the fact remains that physical access became an issue that needed to be attended to. Having arrived at the library, the user faced other frustrations: shortened hours, fewer professional specialists, backlogs of uncatalogued items, and computer-based systems unlikely to be user-friendly. Taken together, these circumstances amounted to a library experience that was less than satisfactory. As the years went by, some of these shortcoming were mitigated by desk-top access to library catalogues. With an increased emphasis on resource sharing, however, these holdings were as likely to be found at other university libraries as to be available locally. Accessing materials now required planning ahead, learning new systems, and lowering expectations. Collections

The core of the academic library is its collection. In the 1990s, the nature of the collection underwent radical change even though university bud-

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gets attempted to protect acquisitions as far as they were able. The convergence of diminished purchasing power of the Canadian dollar, the dramatic rise in serial prices especially in the areas of medicine, science, and technology, and the proliferation of rapidly changing technologies combined to reshape the meaning and content of collections. Resource sharing became an alternative to ownership, as libraries chose to concentrate on designated areas of the collection, relying on interlibrary loan to augment their own resources. Local selection gave way to approval plans as a less expensive alternative to employing selectors. Libraries banded together in consortia to extract greater economies from publishers and providers. Cataloguing was outsourced as a costcutting alternative to maintaining a full complement of technical service staff. Perhaps the single most dramatic change in terms of collection content was the advent and rapid growth of electronic-based information resources, notably e-journals and other Web-based information. The ascendancy of enabling technologies demanded and obtained shifts in how budgets were allocated. Acquiring, maintaining, and updating technology and electronic collections, and digitizing collections became new priorities and ate up increasingly larger portions of the budget. The virtual library grew, in many cases, as the rest of the collection remained stagnant or deteriorated. Pressures on the collection will continue into the foreseeable future, as student enrolments increase, research becomes more interdisciplinary, and users become ever more diverse. Services

Years of downsizing took their toll on the working environment of academic librarians across the country. Fewer staff shouldered increased workloads while having limited input in decisions made by leaders in whom they had little confidence. When such factors are perceived to be present, organizational climate and attitudes towards the job deteriorate. Certainly, under such adverse conditions, dedication and commitment and the performance and productivity of academic librarians were stretched to the limit. Given that service is the bedrock of the profession, however, it is likely that academic librarians made every effort to maintain the quality of services provided to users and to shield them, insofar as possible, from the personal misgivings they may have had. Nevertheless, with fewer resources available, increased user demands, and rapidly changing technologies, it was inevitable that changes in the types of services offered would occur.

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The typical user now encountered fewer experts and more contract, part-time, and student employees. Services formerly available were reduced or eliminated. The advent of the Internet opened up new realms of information possibilities but pinpointing precise needs was difficult. The self-service library that charged for a wide array of services became the norm. Ironically, the notion of the independent learner gained ascendancy, just as the information world reached unprecedented complexity. Academic libraries soon realized that technological advances were no substitute for professional intervention and that, if users were to benefit from the capabilities of the technologies, they would need specialized training and support. So, as one set of services was abandoned, another was embraced and academic librarians became leaders in the adoption and use of academic technology on campus. Human Resources Concerns

The strategy used most often by academic libraries to cut staff numbers was the workforce reduction strategy, and the tactics relied upon most frequently were attrition and retirements. This was also the strategy that Cameron likened to 'throwing a grenade into a crowded room, closing the door, and expecting the explosion to eliminate a certain percentage of the workforce' (1994: 197). Although this strategy did indeed reduce costs, it also saw the departure of experienced staff whose cumulative organizational memory, knowledge, skills, and abilities left considerable gaps in organizational capabilities. This seemingly 'soft' approach to staff reduction relied more on the optimistic hope that less valued employees and those nearer retirement would choose to leave than on careful analysis of organizational requirements and service priorities stemming from a reduced staff complement. In fact, some who chose to leave were nearing retirement age; others were those who possessed marketable, transferable skills, and were confidant of finding employment in different settings. The immediate reactions of those who survive downsizings and remain employed are fear, anxiety, depression, guilt, sadness, and anger, as well as a lack of motivation, loyalty, and trust (Noer 1993). More long-term reactions are lowered morale and commitment and, as a result, lowered performance and productivity. The perceived psychological contract between the organization and the individual has been broken and the result is mistrust and cynicism, negative feelings and attitudes that once present take many years to dispel.

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New Roles and Work Configurations

With fewer academic librarians on the job, the need to employ the skills of those available in the most efficient and effective manner possible became imperative. Adding to the pressures of staff reduction to rethink professional roles and services were those exerted by increasing student enrolments and rapidly changing technologies. The natural tendency to resist change was not a viable option, and libraries explored new staff configurations and roles. To cope with increased workloads, some additional staff were required. However, budget constraints dictated that as few fixed financial obligations as possible be incurred. As a result, greater use was made of part-time, contract, and casual staff who received hourly wages and few benefits. Essentially three categories of staff were employed. They can be visualized as concentric circles with a small core group of full-time academic librarians and support staff; a middle group of part-time and limited term contract employees; and an outer circle of casual employees, consortia, and outsourcing services called upon for specific tasks or functions as necessary. Old departmental structures appropriate for previous work designs and job descriptions gave way to broader, more fluid configurations to accommodate more flexible use of staff. Multitasking and working in teams became increasingly important as ways to maximize the expertise of the decreased number of library specialists and to counteract the effects of fewer middle managers. As staff categories and configurations changed, so did their roles and responsibilities. Positions whose task it was to replenish diminished library coffers by cultivating new sources of funds were either created fresh or expanded where they already existed. Positions for negotiating the various issues related to membership in consortia, and purchasing, leasing, copyright, and privacy agreements related to digital resources became ever more important, complex, and time-consuming. But perhaps the shift that involved the largest number of staff involved the area broadly referred to as information literacy. Mediated searches which increased in the 1970s and 1980s with the availability of online databases declined in the 1990s with the introduction of the Internet, search engines, and free-text searching. Academic librarians, with more demands on their time, provided specialized assistance for complex searches. Their attention shifted to responding to e-mail and voice-mail reference requests and from teaching individuals and small groups to assuming

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responsibilities for campus-wide instruction in the academic uses of technology for teaching, learning, and research. Academic librarians provided workshops in basic, intermediate, and advanced computer languages and software and gave seminars and demonstrations on the latest tools and research in academic technology. They taught faculty and staff how to build home pages and upload course syllabi onto the Web and consulted on the use of multi-media and data visualization as well as the use of mathematical and statistical computer packages. Many academic libraries created a centre for advanced academic technologies and/or an information commons to meet the technological needs of their users. In doing so, they became a more integrated, integral, and indispensable part of the university enterprise and thus presumably less vulnerable to cuts necessitated by recessions and downsizings in the future. Professional Development

The changes to roles and responsibilities placed a renewed emphasis on the importance of continuing training and development for academic librarians. Subject expertise has always been important, but with new disciplines emerging, especially in the scientific and technological areas, a greater concern with interdisciplinarity, and the growth of digital scholarly communication the pressure to maintain up-to-date knowledge is challenging. New organizational structures, work redesign, and staff allocation require that management skills adapt accordingly while rapid advances in systems, hardware, and software demand constantly updated skills. The academic expectations that librarians research and publish presupposes that professionals have a valuable contribution to make and to do so they must devote the requisite time and effort to scholarly and professional activities. Perhaps the most overlooked is the area that has grown and developed most, the many forms of teaching that academic librarians now provide on a routine basis to individuals, small groups, and large audiences comprised of learners with diverse needs. To ensure that academic librarians have the opportunity to update their knowledge and skills is vitally important, yet there is evidence to suggest that few academic libraries have in-house training and development programs and that little money is allotted for this purpose (Messas 1997; Sudduth and Livingston 1994). Informal coaching by co-workers was a method used often to update technological skills (Hallmark and Garcia 1996), but on the whole, academic librarians participated less

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often than other professionals in updating activities which ranged from formal courses, to conferences, to professional reading (Chan 2002). The deterrents to participation in updating activities were identified as the poor quality of the activity and inconvenient location (Stone 1969). Academic librarians in our study also referred to the lack of opportunities provided, the lack of staff to fill the gap left by the absent librarian, the accumulated workload encountered by the librarian upon return, the resentment of other staff, and the guilt feelings of the participant. These are indeed troublesome issues that require attention but they are not intractable problems. Indeed, there is ample research to show that the two most important factors necessary to encourage participation in professional development are managerial support (Birdi, Allan, and War 1997; Maurer and Tarulli 1994; Noe and Wilk 1993; Pazy 1996; Tharenou 1997a, 1997b, 2001) and a positive updating climate that values such activity (Dorsett 1994; Kozlowski and Hulls 1987; Schambach 1994). Downsizing has aggravated the difficulties of participating in professional development activities. There is no organizational slack to perform the functions of absent staff. Reduced budgets are stretched to cover ongoing necessities as well as new demands. Ironically, however, the importance of keeping up to date has never been greater. New roles, expanded user expectations, and changing technologies are some factors that increased the pressure on academic librarians to maintain their competencies and remain current. Their ability and willingness to respond will determine in large part their future as valued partners in the academic environment. Recognition and Rewards

Although the inherent professionalism of academic librarians served to propel them forward, it often did so despite human resources management systems that failed to incorporate the many changes in the work environment that resulted from the combined forces of years of downsizing and the introduction of new technologies. In fact, every component of human resources management required overhaul: from job descriptions outlining different skill sets, working arrangements, and reporting relationships to promotion criteria and compensation policies. Such wide-ranging revision was rarely undertaken and the reluctance to do so was understandable. Academic libraries were largely in crisis mode, handling each successive budget blow as best they could with no time to spend on more long-term concerns. The time, effort,

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and expertise needed to change policies were fully deployed in the immediate need to reduce staff costs; long-term and extensive revisions to human resources policies assumed a low priority. In addition, other factors mitigated against updating policies: the natural tendency to resist change, the difficulties of renegotiating collective bargaining agreements, the lack of organizational commitment to analyse, revise, and implement human resources management systems. Rather than comprehensive frameworks to guide them, managers worked on an ad hoc basis adopting a patchwork of procedures to satisfy their immediate requirements. Ironically, at this critical juncture, many academic libraries eliminated their own human resources positions and relied on those of their parent institution. Academic librarians who survived the repeated staff cuts and who worked hard to make up for their lost colleagues felt that they had limited input in designing the policies that ultimately affected them. Some perceived that their efforts were not recognized or appreciated in perceptible ways. In other words, the performance appraisal policies and procedures that governed their recognition and reward did not take into account the realities of their work environment after downsizing. The functions of performance appraisal are to set work standards, to assess the work performance of the employee against these standards, and to provide feedback to the employee that will reduce or eliminate deficiencies, motivate the employee to higher performance, and plan for future development (Dessler, Cole, and Sutherland 1997). Numerous tools exist to aid in this process, but the most commonly used are graphic rating scales, behaviourally anchored rating scales, management by objectives programs, and critical incident reports. Each of these methods is relatively easy to adapt so that it incorporates the knowledge, skills, and behaviour valued by the organization, required for the job, and reflective of the reality experienced by the employee. The new roles and responsibilities assumed by academic librarians, among them the emphasis on team work, multi-tasking, teaching, and fundraising were not reflected in the outmoded performance assessment criteria in general use. Expectations for professional development as well as achievement also need to coincide with the new realities of the workplace. In for-profit settings, outstanding performance is routinely recognized with merit pay, club memberships, company stock, bonuses, and profitsharing. Although such incentives are not normally available in academic libraries, other less lucrative but nonetheless desirable forms of recognition and reward are. The offer of better equipment, release time,

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and financial assistance to attend conferences, courses, and workshops, and support for publication in professional and scholarly journals are possible alternatives. Another form of tangible appreciation is publicizing achievements in organizational and professional bulletins, newsletters, journals, and annual reports. Celebratory events to honour awards and grants won, works published, or degrees conferred also serve to recognize exemplary achievement. The most meaningful forms of recognition and reward emerge from organizational values and resources and employee input. Properly used, they can demonstrate the dignity and respect that the organization holds for the individual, mitigate some of the negative aspects of downsizing, and motivate the employee to improved performance. Demographics, Retention, and Recruitment

The repercussions of downsizing combined with rapid technological change are compounded by the demographics of the population in general and the profession in particular. In Canada, the median age has been steadily rising and now stands at an all-time high of 37.6 years. In 1966, at the end of the baby boom, it was 25.4 years. Between 1991 and 2001, the proportion of Canadians aged 45 to 64 grew by 36 per cent. The growth in this age group was exceeded only by the 41 per cent growth in the number of older seniors, those aged 80 and over. Those in younger age categories, either rose far less rapidly or declined. Those in mid-career, aged 35 to 44, increased in number by 17 per cent, while younger workers, aged 25 to 34, fell by 18 per cent. Projections based on current immigration patterns and low fertility rates predict that the median age of the population will increase by 3.4 years between 2001 and 2011 (Statistics Canada 2002). In the United States the pattern is substantially the same. While 13 per cent of the Canadian population was 65 years of age and over in 2001, in the United States, those in this age group constituted 12.3 per cent of the population in 2000 (Statistics Canada 2002). In our study, two-thirds of academic librarians were aged 45 years and over. In the United States, 63 per cent of librarians were in the same age group (Wilder 1999). Wilder projects that by 2003 of the 122 directorships of libraries which are members of the Association of Research Libraries (ARL), thirty will be vacant. In 1998, 91 per cent of ARL directors were over 50 years of age and 30 per cent were over 60 (Lenzini, 2002). Clearly, our profession is greying and while a few will benefit from the

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competitive environment for their services, demographic trends pose serious challenges on many fronts. With staffs already lean from attrition, regular retirements and early retirement incentives commonly used during the downsizing years to reduce staff costs, it has become vitally important to retain those experienced academic librarians who remain and to give serious attention to attracting young people to the profession. To ensure that experienced academic librarians remain on the job, problematic issues that arose in the working environment as a result of downsizing need to be addressed. The restoration of trust among those who survived the cuts is of prime importance, if performance and productivity are to be maintained and the destructive effects of cynicism are to be avoided. The implicit psychological contract between the organization and its staff which was broken during downsizing must be mended if the reputation of and regard for the institution is to be restored. The reduction in positions, especially the shrinking of management jobs, has resulted in fewer opportunities for promotion. Mid-career plateauing has become a serious issue that threatens to stall the advancement ambitions of academic librarians, and serious alternatives are needed to forestall migrations from the profession (Montgomery 2002). Professional development acquires a renewed importance for expanding the repertoire of employee skills and revitalizing careers. Improving the organizational climate, increasing participation in decision-making, reducing burdensome workloads, and creating a shared vision to which staff can devote their creative energies constitute the basic steps of a successful retention strategy. In Canada, there exists at present a massive disincentive to remain in the workforce past the age of 65. In all but three provinces - Alberta, Manitoba, and Quebec - 65 is the mandatory age of retirement, and employees are restrained from making further contributions to most pension plans and other benefits. In some workplaces, pensions are maximized after thirty-five years of work and age 55 are reached. Such policies encourage early retirement at a time when worker retention is paramount, and they therefore need to be adapted to the realities of worker shortages. Recognizing the impending labour shortages, Canada, with a total population of thirty million, has adopted an immigration policy that permits 250,000 people a year to be admitted. There is no assurance, however, that there is a match between those admitted and the professional positions that need to be filled. Relying on immigration to replenish the profession is at best only a partial solution. Acutely aware of the greying of librarians, the professional associations

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have undertaken aggressive strategies to attract new recruits. The American Library Association (ALA) has. mounted awareness campaigns to alert the public to the benefits of choosing a career in librarianship, sponsored scholarships, and specifically targeted minority groups, currently under-represented in the profession. The association has actively encouraged practising librarians to act as mentors and to become personally responsible for recruiting new librarians. The Association of College and Research Libraries, the division of ALA especially concerned with academic librarians, has established recruitment and retention task forces to address these human resources issues in academic libraries (Lenzini 2002). Ultimately, the success of these recruitment and retention efforts depends on changing the public's perception of the role and status of librarians, increasing salaries, and providing challenging work and reasonable expectations of career advancement. Conclusion: Getting It Right the Next Time

Economic downturns are part of the normal business cycle. The recession of the early 1990s was not the first, nor will it be the last. Indeed, since the 1960s, recessions have occurred in each decade, with the latest one in 2001. Although the length, severity, and sectors most affected may vary, one thing is certain: recessions are part of the economic, social, and organizational landscape, and the better we become at handling them, the greater our chances of minimizing their damage. Given that there is much consistency between our results and previous research, it is possible to identify several implications that may help improve the practice of management during an organizational downsizing. The practical implications of the present study are noteworthy for management in general, and library managers specifically, who wish to minimize the negative effects of downsizing on employees' attitudes, because negative attitudes may well translate into poor job behaviour, which will ultimately incur costs both for the individual and the organization. Being aware of the likelihood of, and the problems accompanying, negative employee attitudes towards the job can assist those involved in the decision-making process to plan accordingly. In other words, there is scope for the management of library organizations to intervene in order to reduce or alleviate the negative effects of downsizing on employees, and ultimately, on the organization. The implications of our research findings listed below are congruent with many of the 'best practices' outlined in the organizational literature on downsizing (Appelbaum,

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Everard, and Hung 1999; Burke and Nelson 1997; Cameron, Freeman, and Mishra 1991). The first and most important implication of this study involves the power of transformational leadership behaviours during organizational downsizing. Our findings suggest that those in leadership positions can influence employees' attitudes towards the job and the organizational climate during downsizing. It would certainly be appropriate for senior management in organizations undergoing downsizing to utilize the four Ts' of transformational leadership - idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration (Avolio, Waldman, and Yammarino 1991). By assuming these leadership roles, senior managers can create an awareness of the need for change, clarify the focus of the organization, and provide the necessary resources and support for change. Senior management need to be sensitive to the fact that they play an integral role in mobilizing and motivating employees towards change and that their actions and statements will be scrutinized by employees. Therefore, they must be seen to act in accordance with the stated mission, goals, and values of the organization. The senior management team need to demonstrate a wide variety of changed management skills that include the ability to lead and motivate their employees behind the goals of the organization, the ability to inspire trust by acting openly and fairly, an attitude of positive change acceptance, which they can inspire in others, and the ability to facilitate open and honest communication of the facts. The second implication involves the power of participation. The organizational change literature has long discussed the importance of decisional participation by employees in determining the acceptance of organizational change (Coch and French 1948). The line of reasoning is that by encouraging participation in decision-making, organizations can increase both the probability that change will be accepted and the overall effectiveness of that change. The process of helping to shape a decision creates employee identification with the decision. For example, it is difficult for individuals to resist a change decision in which they have participated. Moreover, if employees are involved in the change decision, they tend to see it as their decision, rather than one imposed upon them. Their involvement can reduce resistance as well as secure their commitment, which is required to design and implement change more effectively. The third implication involves the power of communication for facilitating effective change. Employees do not resist change, they resist being

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changed (Woodward and Buchholz 1987). The reason behind this resistance is related to the fear of the unknown. It stands to reason that employees cannot support the changes the organization is making if they do not know what is taking place, when it is taking place, and how it affects them. Employees can only benefit from information about the reasons for the changes, how they will be affected, what will be required of them following the changes and the expectations associated with this requirement, and what help they will be given to adapt to new demands placed on them. The fourth implication involves the organization's commitment to its human resources. To get the most from employees before, during, and after downsizing, management must pay attention to their employees. Employee reactions to the downsizing depend upon their perceptions of how the library will change as a result of the downsizing. Many employees worry about long-term job security, even when management assures them their jobs are not in jeopardy. Employees also worry about their ability to function in a new environment, especially if their jobs have been redesigned. Additionally, employees are concerned about future chances for promotion and advancement. Although downsizing may eliminate opportunities that used to exist in the organization, it may also open up new and different options. Therefore, management will need to consider the implications of this and where it is likely to lead to the creation of negative survivor reactions. In an attempt to avert this type of outcome, library organizations will need to consider the competencies that they require, the design and implementation of career management programs to develop these, and how they communicate these aspects to employees. Management needs to clearly articulate employees' new roles within the organization, including new career paths and potential opportunities. Employees should be able to see how their individual roles fit with the objectives of the organization and how they can contribute to ensuring future success. In fact, it may well be that part of understanding the future is an acceptance that the traditional notion of progression up the organizational hierarchy is no longer a valid expectation. In that case, management should be prepared to address this issue and give consideration regarding what can be offered to employees as a replacement. Otherwise, this threat to career progression will represent a breach of the psychological contract, what employees are prepared to give by way of effort and contribution in exchange for career progression. If employees view this contract as null and void, the result could be a negative impact on the effectiveness of the organization, not only in performance

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outputs but also in the areas of employee job satisfaction and commitment to the organization. Consequently, this situation presents employers with the particular challenge of continuing to motivate and retain key employees in the context of downsizing. Downsizing does not have to end with adverse effects on employees. When management implements a downsizing using high levels of transformational leadership behaviours this results in employees having more positive attitudes towards their jobs. Additionally, when management implements a downsizing using high levels of participation, communication, and transformational leadership behaviours this results in employees having a more positive organizational climate. The implications for management are that organizations that understand the importance of these management processes when downsizing will be able to eliminate or reduce the negative effects of downsizing. The way downsizing is implemented has a strong impact on employee attitudes towards the job and on the climate of the organization, and in the long-run, quite likely on the overall effectiveness of the organization.

APPENDIX

List of Participating Libraries

University of Alberta University of British Columbia University of Calgary Carleton University Concordia University Dalhousie University University of Guelph Universite Laval University of Manitoba McGill University Memorial University of Newfoundland Universite de Montreal University of New Brunswick University of Ottawa Universite du Quebec a Montreal Queen's University University of Regina University of Saskatchewan Universite de Sherbrooke Simon Fraser University University of Toronto University of Victoria University of Waterloo University of Western Ontario University of Windsor York University

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Index

academic librarians: age of, 85; change in nature of work of, 124; decline in numbers of, 70-83; and downsizing, 32, 153; new roles and work configurations, 172-3 academic libraries: consequences of closings, 115-17, 123; downsizing in, 23-33; loss of funding, 3, 24; structure of in Canada, 31; structure of in U.S., 30; within the university, 3-4 addition of services, 132-8 administrative services: additions and their consequences, 136-8; consequences of cuts to, 122-4; reductions in, 130-1; structural changes, 136-7; user fees, 138, 139 Allen, R., 19 American auto industry, 87; downsizing study, 13 American Library Association (ALA), 179 Association of College and Research Libraries, 179 Association of Research Libraries (ARL), 177, 179; long-range planning, 27-8; resource strategies of

administrators, 33; Spec Kit, 31; study on rising serials prices, 49; survey on organizational redesign, 31 Atlantic region, 38; enrolments, 423; holdings, 69; holdings per FTE student, 69; staffing levels, 73-4; staffing levels per 100 FTE students, 80 attrition, 151, 162; effect of, 22-3; negative outcomes, 154; in public sector, 22; workforce reduction tactics, 88 Band, D., 21 Bank, J., 20 Behn, R., 26 Belanger, A., 30-1 'best practices,' 179-80 Biddle, S., 27-9 British Columbia region, 38; enrolments, 42-3; holdings, 67; holdings per FTE student, 69; staffing levels, 73-4; staffing levels per 100 FTE students, 79 budgets: acquisition, 25; materials, 25, 28-9, 49, 125-6, 169, 171; responses to declining, 27-9

198

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buildings: changes to space, 137; consequences of cuts to administrative services, 122 Burgin, R., 32 Buttlar, L., 30 buyouts, 162; as workforce reduction tactics, 88 Cameron, K., 8, 12, 22, 87, 165-6; American auto industry study, 1314; on communication, 167; 'dirty dozen' characteristics, 23; downsizing strategies, 7, 161, 162; employee participation, 165; management behaviour, 168; organizational climate characteristics, 141; workforce reduction strategy, 148, 172 Canada Assistance Plan (CAP), 38 Canada Health and Social Transfer (CHST),38 Canada Institute of Scientific and Technical Information, 8 Canadian Association of Research Libraries (CARL), 8-9, 25; downsizing strategies, 89-90; dysfunctional attributes in, 147; source for library-related data, 368; statistical report about expenditures, 45 CANSIM, 39, 46 card catalogue, 39 Cascio, W., 21-2, 166 casual FTE staff, CARL definition of, 70 cataloguing: changes in, 135-6; consequences of cuts to technical services on, 128-30; levels of, 11920; outsourcing of, 84, 119-21, 129-30, 134; technical service additions, 134

changes: employee appraisal systems, 99, 101, 163; reward and recognition systems, 99, 100, 163; working conditions of academic librarians, 116-18; to work, technology, and structure, library level, 92-3, 95; to work, technology, and structure, regional level, 93, 96, 166 collections, 170-1; centralization of, 170; consequences of cuts, 115; consequences of cuts to technical services, 118-19, 128; and growth in graduate-level enrolment, 65-6; reduction in public service, 125; reductions in acquisitions, 126 communication, 7, 15, 105-8, 156-7; frequency of communication medium, 106, 107, 167; frequency of communication source, 107, 167; impact of reductions in administrative services, 131; medium for, 106-8; negative comments about, 157; during organizational change, 148; positive outcomes, 166-7; power of for effective change, 180-1; sources of, 106; while downsizing, 16-17 consumer price index (CPI), library expenditures and, 45-6 corporate sector, downsizing in, 22 cutback management. See retrenchment and cutback management decision-making, 165-6; centralized, 104; decentralized, 15; employee involvement in, 101-5, 156-7; See also participation demographic trends: echo boom, 85; and the profession, 177 DiNisi, A.S., 16

Index distance education, addition to public service, 132 Doherty, N., 20, 164 double cohort, 85 downsizing: assessing effectiveness of, 22; definition, 12, 26-7; effects of, 18-23, 34-5; extent of employee involvement in decisionmaking, 101, 102, 103, 104, 105; implementation of, 7, 13-18; negative outcomes, 5, 8, 154-9; perceptions of, 152-9; positive outcomes, 152-4; and priorities, 153; processes, 7, 14-18, 99-109, 154, 156, 165-9; programs and services, 111, 112, 113; respondents affected by changes to programs and services, 111, 112, 113; respondents affected by changes to programs and services, 111, 112, 113; training and orientation programs, 99, 102, 163 downsizing strategies, 13-14, 87-99; 162-5; extent of use of, 95-6, 97, 98. See also systemic change strategy; work redesign strategy; workforce reduction strategy early retirements. See retirements elimination of services: administrative services, 122-4; public services, 115-18; technical services, 118-22 e-mail, and work-stations, 134-5 employees: attitudes towards change, 8, 15-16, 148, 149; attitudes towards the job, 147-52; career assumptions, 20-1; cost reduction tactics, 89, 89; motivation of, 21

199

enrolments, 39-44 Established Program Financing (EPF),38 Eustis,J., 31, 34 expenditures: information and communications technology (ICT), 25; Ontario region, 25; trends in library, 44-63 Faxon Canada, 48-9 federal government, transfer payments, 38-9 financial restraint strategies, 28-9 firings, 162; impact of, 155; workforce reduction tactics, 88 fiscal environment, in academic libraries, 24-6, 28, 32 Fisher, S., 23 Foreign and Domestic Periodical Price Index, 48-9 foreign exchange rate, impact on materials budgets, 25, 49, 125-6, 169, 171 Freeman, S., 8, 12, 22, 87; American auto industry study, 13; on communication, 167; core strategies in downsizing, 161, 162; 'dirty dozen' characteristics, 23; downsizing strategies, 7; employee participation, 165; management behaviour, 168; organizational climate characteristics, 141; workforce reduction strategy, 148 FTE (full-time equivalent) enrolment: CARL universities, by region, 42; cumulative percentage change in, since 1982/83, CARL universities, 40; five-year growth rates, percentage change in, CARL universities, 41f, 43; formula, 3940; by level of study, CARL univer-

200

Index

sides, 43-4; national trends, 40-1; regional trends, 41-4 FTE (full-time equivalent) positions, calculation of, 70 Garcha, R., 30 Gore, Al, 17 graduate students, demands on university library, 65-6, 85 Harris, R., 31 Hoffman, S., 30-1 holdings: audio-visual and machinereadable materials, CARL universities, 67; CARL universities 1982/ 83 to 1997/98, 64; categories of, 63-4; graduate-level enrolment and collection growth, 65-6; monographs and microforms per FTE student, CARL universities, 66; national trends, 64-7; percentage change from 1982/83 to 1997/98, CARL universities, 68; percentage change in over fiveyear periods, CARL universities, 64-5; per FTE student, CARL universities, 69, 69; regional trends, 67-9; trends in, 63-70 Homed, J., 164 human resources, 162, 172-9, 181 individuals: effects of downsizing on, 5, 18-21; negative impact, 34 inflation, impact on library budgets, 28-9 informal organization. See organizational culture information and communications technology (ICT), impact on academic libraries, 25, 28-9, 49

information literacy, 173-4 information resources, electronicbased, 171 'infostructure,' 25 institutional cooperative agreements, 136 Internet: addition to public service, 132,172; growth of, 39 Isabella, L., 20,151 job loss, stages of dealing with, 34 Kaufman, Harold, 34 Kenney, D., 31, 34 Kozlowski, S.W.J., 17 Larson, P., 30 layoffs, 19, 34, 162; corporate sector, 22; impact of, 155; workforce reduction tactics, 88 leadership, 7, 15, 17; See also transformational leadership Leckie, G., 34 library expenditures: materials over five-year periods, 48; national trends, 46-51; other costs over five-year periods, 48; percentage change by type from 1982/83 to 1997/98, CARL universities, 53-4, 54; percentage change by type over five-year periods, CARL universities, 47-9; percentage change over five-year periods, CARL universities, 54-6; percentage change per FTE student by type from 1982/83 to 1997/98, CARL universities, 63; percentage change per FTE student over five-year periods, CARL universities, 52; per FTE student, CARL universities,

Index 51; per FTE student, CARL universities, Atlantic region, 59, 60; per FTE student, CARL universities, British Columbia, 58, 59; per FTE student, CARL universities, Ontario, 59; per FTE student, CARL universities, Prairie region, 59; per FTE student, CARL universities, Quebec, 58-60; per FTE student by type over five-year periods, CARL universities by region, 62; as proportion of university general operating and university total, expenditures, CARL universities, 46-7; as proportion of university general operating expenditures, CARL universities, 52, 53; regional trends, 51-61; salaries over fiveyear periods, 48; trends in, 61-3; types of as proportion of total expenditures, CARL universities, Atlantic region, 58, 61; types of as proportion of total expenditures, CARL universities, British Columbia, 56, 57; types of as proportion of total expenditures, CARL universities, Ontario, 57, 59; types of as proportion of total expenditures, CARL universities, Prairie region, 56-7, 58; types of as proportion of total expenditures, CARL universities, Quebec, 57-8, 60; types of as proportion of total library expenditures, CARL universities, 50 Library Reorganization and Restructuring (ARL), 31 library technicians, 72 Likert-type 5-point measurement scale, 145

201

long-range planning, 29-33; ARL, 27-8 Machine Readable Cataloging (MARC) format, 39 management: and communication, 17-18; of downsizing, 161-9; and negative effects of downsizing, 179 Marshall, V., 31 Melville, Annette, 33, 34 Mishra, A., 8, 22, 87, 164; American auto industry study, 13; on communication, 167; core strategies in downsizing, 162; 'dirty dozen' characteristics, 23; downsizing strategies, 7; employee participation, 165; management behaviour, 168; organizational climate characteristics, 141; workforce reduction strategy, 148 Mishra, K., 164 Mone, M., 21 Morris, J., 21-2 National Library of Canada, 8 National Performance Review (U.S.), 17 non-professional staff, 72; CARL definition of, 70; downsizing, 82 North Carolina, survey on downsizing, 32 online public access catalogues (OPACs), 39, 134; addition to public service, 132 Ontario Institute for Studies in Education (OISE), 37 Ontario region, 38; enrolments, 423; expenditures in research libraries, 24; holdings, 68; holdings per

202

Index

FTE student, 69; staffing levels, 74 organizational change, 11-23; decisional participation, 180; expected benefits, 21-2; implementation of, 7; librarians' perceptions of, 31; structural, 14; theory, 15; and transformational leaders, 158; types of, 161-2 organizational characteristics, extent of agreement with, 143-4 organizational climate, 141-7; dysfunctional attributes of, 147; twelve characteristics of, 141-2, 144-5 organizational culture, 13-14, 98, 164; corporate sector, 168-9; systemic change strategy, 164-5 organizations: components of, 98-9; 'dirty dozen' characteristics of, 23 paraprofessionals, 72 participation, 7, 15, 100-5, 156-7, 165-6, 180; See also decisionmaking performance appraisal, 99, 101, 163, 176 personnel management: and change, 14-15; elimination of, 122-3; and those laid off, 34 post-hierarchical library, of Sweeney, 29 Prairie region, 38; enrolments, 42-3; holdings, 67-8; holdings per FTE student, 69; staffing levels, 74 professional development, 131, 1745 professional staff: CARL definition of, 70; reductions in professional development, 131 programs and services: added in past five years, by region, 112, 114;

respondents affected by addition of, by region, 112, 114 provincial governments, support for post-secondary education, 38 psychological contract, 21, 152, 172, 178, 181-2 public academic libraries, costcutting strategies, 33 public sector: downsizing in, 22; incentive packages in, 22 public services, 30-1; additions and their consequences, 132-4; consequences of elimination of, 115-18; consequences of reductions to, 124-8 Quebec region: enrolments, 42-3; holdings, 68-9; holdings per FTE student, 69; staffing levels, 74; staffing levels per 100 FTE students, 79-80 recessions, impact on library budgets, 28-9 recognition. See reward and recognition systems reduction of services: administrative services, 130-1; public services, 124-8; technical services, 128-30 reference services, 116-17, 125-6, 133,138 respondents, profile of: 10, 88-9 restructuring: collective agreements, 155; long-term fundamental change, 29-33; management strategies, 30 retirements, 151, 162; effect on future programs, 22-3; labour shortages and, 178; negative outcomes, 154-5; workforce reduction tactics, 88

Index retrenchment and cutback management, 26-33; in academic libraries, 83-4 reward and recognition systems, 163, 164, 175-7 Rogers, B., 34 role ambiguity, 162 rumours: and communication, 105; dispelling, 18 Schweiger, D.M., 16 serials: cancellation of, 120-1; increases in prices of, 48-9; See also foreign exchange rate services: academic technology and, 172; impact on of downsizing, 7. See also addition of services; elimination of services; reduction of services Serving the American Public: Best Practices in Downsizing (Gore, National Performance Review), 17 staffing: categories, 173-4; national trends, 70-3; ratio of non-professional to professional, CARL universities, by region 1982/83 to 1997/98, 84; ratio of non-professional to professional, CARL universities 1982/83 to 1997/98, 71-2, 73; reductions in administrative services, 131; regional trends, 73-81; technical skills, need for, 138; trends in, 70-86 staffing levels: CARL universities, Atlantic region, 78, 81; CARL universities, British Columbia, 75-6, 77; CARL universities, Ontario, 77, 79; CARL universities, Prairie region, 76-7, 78; CARL universities, Quebec, 77-8, 80; consequences of cuts to, 116-18; consequences of

203

cuts, administrative services, 121-2; percentage change in, CARL universities, 1982/83 to 1997/98, 71-2, 74, 75; percentage change in, over five-year periods, CARL universities, by region, 75, 76; percentage change per 100 FTE students, 1982/83 to 1997/98, CARL universities, 83; per 100 FTE students, by type of position, CARL universities, 78-9, 82; per 100 FTE students, CARL universities 1982/ 83 to 1997/98, 73, 74; reductions in public service, 125-8; reductions in technical services, 128-30; restructuring and change in, 32; trends in, 70-83; by type of position, CARL universities 1982/83 to 1997/98, 70-1 Standard and Poor's 500 Index, 22 Statistics Canada: Centre for Education Statistics, 39, 45; source for institutional-level data, 36-8 structural changes, 30; administrative services, 136-7; organizational change, 14; work redesign strategy, 91,94 support staff, 72; change in nature of work of, 122-3; consequences of elimination of, 116-18; cuts in administrative services, 122, 131 surveys: divisional structure of public and technical services, 30-1; organizational redesign, 31 survivor syndrome, 5, 164, 166; symptoms of, 19-20 survivors: attitudes of, 150-1; of downsizing, 34; effects of layoffs on, 19-21, 23; failure to communicate with, 16-17; need for support for, 23, 164

T

index

Sweeney, Richard 29

systemic change strategy, 7, 93-9, 163-5; American auto industry, 1314; core strategy, 162; extent of use of, 94, 97; negative outcomes, 1556; organizational cultural change, 148, 164; positive outcomes, 164; training programs, 164 technical services, 30-1; additions and their consequences, 134-6; consequences of elimination of, 118-22; reductions in, 128-30; service reductions, 128-9 technology changes, 4; additions, 1324,136-8; administrative services, 136; and downsizing, 153; and program delivery, 169-70; since 1960s, 39; and user expectations, 78; work redesign strategy, 91, 93 Tombaugh,J., 20 transfers, 162 transfer within the university, workforce reduction tactics, 88 transformational change, 29-33 transformational leadership, 108-10, 167-9; characteristics of, 158-9; during downsizing, 180; frequency of transformational behaviours, 108,109, 110,168; four Ts of, 180; negative comments about, 156, 157-8 trends: in academic libraries, 24—6; CARL libraries, 36-86; demographic, 177-8; in enrolment, 3944; in holdings, 63-70; in library expenditures, 44-63 Tustin, C., 21 universities responding to surveys, 38, 183

University of Toronto libraries, data collection, 37 user services: access to, 124-6, 16970; consequences of cuts to, 11516; and knowledge-based economy needs, 25-6; and program delivery, 169-72 victims, effects of layoffs on, 19 Vinnicombe, S., 20 virtual libraries, 85 White, L., 20 White, M., 23 Wilder, S.J., 177 women, increase in participation rate of, 38-9 work redesign strategy, 7, 90-4, 163; advantages and disadvantages, 90; American auto industry, 13-14; core strategy, 162; extent of use of, 91; job enrichment, 148; most often used, 164; negative outcomes, 155; structural changes, 91, 94; technology changes, 91, 93; work changes, 90-1, 92 workforce reduction strategy, 7, 8890, 151; American auto industry, 13-14, 87; core strategy, 162-3; disadvantages, 88-9; employee attitudes towards, 147-8; extent of use of, 88; negative outcomes, 22, 162-3, 172; and organization's dysfunctional climate, 23 workload, 20, 162,172 World Wide Web, 132-5, 171 Young, C., 21-2