Inherent Strategies in Library Management [1st Edition] 9780081012970, 9780081012772

Table of contents :
Content:
Front-matter,Copyright,Dedication,PrefaceEntitled to full textChapter 1 - Overview of Library Management, Pages 1-11
Chapter 2 - Influence of Business Management Theories on Libraries from 1960s to 2010s, Pages 13-29
Chapter 3 - Incompatibility of Business Management Theories in Library Management, Pages 31-92
Chapter 4 - Evolution of Library Organisation and Librarian Specialities*, Pages 93-203
Chapter 5 - General Strategies and Specific Strategies for Libraries, Pages 205-215
Postface, Page 217
Index, Pages 219-223

Citation preview

INHERENT STRATEGIES IN LIBRARY MANAGEMENT

INHERENT STRATEGIES IN LIBRARY MANAGEMENT

MASANORI KOIZUMI

Chandos Publishing is an imprint of Elsevier 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States The Boulevard, Langford Lane, Kidlington, OX5 1GB, United Kingdom Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. ISBN: 978-0-08-101277-2 (print) ISBN: 978-0-08-101297-0 (online) British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress For information on all Chandos Publishing publications visit our website at https://www.elsevier.com/books-and-journals

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DEDICATION For Namiko and Sumiko

PREFACE After the economic crisis in 2008, during the global recession that took place in the latter half of the 2000s, libraries fell into a state of hopelessness, in which many librarians lost confidence in their work. Within the domain of library management, news of staff reductions or restructuring due to business management theories like business process re-engineering or outsourcing was frequently seen, all of which was a result of decisionmaking by the government or library directors in response to the recession. However, the author strongly felt that despite the difficult financial situation, library management should have considered other options. The author came to the conclusion that there was a need to elucidate the influence of business management theories on library management, as well as to examine inherent management theories in libraries. This was the impetus for the research in this book. Despite initial worries about the state of libraries, the author began to develop a conviction in the soundness of library management, as well as hope for the future of libraries as this research progressed. In other words, even if library management was not conspicuously visible, it had in fact been well established. Furthermore, as can be seen in this book, core knowledge and skills that have long been cultivated by libraries can be adapted in response to the constant changes in environment or library operations, or form a foundation for the development of new knowledge or information. The management strategies presented in this book conceptualise these implicitly performed library operations and core knowledge as inherent library management. These inherent strategies in library management consist of general and specific strategies that will be defined later. In short, the influence of business management theories on libraries makes up the first part of this book, and the inherent strategies comprise the rest. This book is an expansion of the author’s doctoral thesis in 2013 and his work in 2016, ‘Theory of Management Strategies for Libraries: Triggers for Innovative and Fundamental Changes’. The author sincerely wishes to express his appreciation for Shuichi Ueda (Professor Emeritus, Keio University), Keiko Kurata (Professor, Keio University), and Itsuo Miura (Professor Emeritus, University of Tokyo), who have offered many suggestions and criticisms concerning the concepts incorporated in his thesis. ix

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Preface

At the phase of publishing this book, a huge debt is also owed to Sophia Chow (close friend, independent writing specialist) who has continued to encourage and assist the author, and check his logic in the writing process of this book. Without her sincere assistance and kindness, this book could never have been completed. Nicholas DeDomenico (close friend, Japanese translator, software engineer at PNC Bank, alumnus of the iSchool at the University of Pittsburgh) and Michael M. Widdersheim (close friend, PhD candidate at the iSchool of the University of Pittsburgh) also spared their precious time to proofread. The author could not have finished his research without them. Appreciation has been expressed to the many librarians whom the author visited and interviewed. Lastly, thanks beyond thanks to Namiko. Just as the author began to focus on the writing of this book, our second son was born. Taking care of both children simultaneously was enough work for more than two parents. Thank you so much, Namiko, for your patience and your perseverance. Finally, the author would like to express his appreciation for his mother, Sumiko. After she recommended him to enter Keio University in his high school days, his journey studying library and information sciences started. While the author was writing this book, she always selflessly took care of her grandsons even while taking care of her mother, who has been suffering from dementia. Thus, the author dedicated this book to both women, Namiko and Sumiko, with love. Masanori Koizumi December 29, 2016

CHAPTER 1

Overview of Library Management Contents 1.1 Introduction 1 1.2 Historical Background of Library Management 3 1.3 Past Core Research on the History and Theories of Library Management: The 1900s to the 1950s 4 1.4 Modern Strategic Management: After the 1960s 6 1.5 Object of Analysis and Framework of Analysis in this Book 9 References 10

Public libraries walk a fine line between a commercial and a public world, and the competing languages of citizenship and consumption, which often produces stresses and strains in library management philosophies and policies. – Greenhalgh, Worpole, Landry, and Landry (1995), Libraries in a world of cultural change.

1.1 INTRODUCTION This book describes library management strategies from the first half of the 20th century, when numerous management theories emerged, to the present day. Library managers have been earnestly learning business management theories and applying them to libraries since few management theories have been developed specifically for libraries. We must acknowledge that libraries have been referencing management theories meant for private enterprises to develop their own management strategies, but these management theories have continued to exert positive and negative influences on libraries. The negative influences have been especially critical for libraries over time, since once the culture of a library is changed radically, it is very difficult to redevelop and cultivate it again. In Usherwood’s book, Rediscovering Public Library Management (1996), he cautioned against this kind of library situation. Thus, it is necessary to look carefully at what has been going on in the library world. A multifaceted discussion of this subject from a variety of perspectives has been undertaken in this book. Inherent Strategies in Library Management. DOI: http://dx.doi.org/10.1016/B978-0-08-101277-2.00001-7 Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved.

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In the library world, if one were to take the approach typical of traditional case analysis in which a single aspect of a particular time is assessed, one would only find librarians who are being pulled and swayed by momentary trends and fads. However, if we look at the gamut of library systems over time, we realise that change is inevitable for libraries, which operate in the realm of knowledge and information, and which have steadily and successfully adapted to on-going changes. Though there may occasionally have been slight delays in libraries’ responses/reactions to changes in the external environment, they nonetheless have demonstrated the capacity for business management in a changing environment, and they have executed their mission within the realm of knowledge and information. Indeed, libraries have demonstrated that the knowledge and skills they have cultivated over their long history remain useful, even though these assets may change in shape and form, and they provide a firm foundation for responding to the realm of knowledge and information despite the constantly emerging tasks and demands that are placed on library operations. The problem is that those library management strategies had been invisible for a long time. If we are able to successfully describe the inherent/underlying strategies in library management, they could become robust and consistently used for libraries. The management strategies developed and presented in this book are based on libraries’ long-standing management practices. These are management strategies unique to libraries, premised on ideas and purposes specific to libraries that are not evident in the management theories of private enterprises, which have the pursuit of economic efficiency as their ultimate purpose. For instance, Wrigley and McKevitt pointed out the huge differences between public and private sectors (1994, p. 83): For public sector managers, the major implication is that the public sector really is different from the private sector, and all those ideas about reinventing government to bring in management practices of private enterprise are just cocktail party chatter.

It is thus necessary to analyse library management over a long period of time, since short-term observation cannot reveal the management strategies that have been used implicitly and effectively by librarians so far. In so doing, we will be able to elucidate the inherent management strategies of libraries. The purpose of this book, then, is to describe a theory of library strategy based on library priority values. As Pfeffer (1993) mentioned, the

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library management field has long used the same paradigm as for-profit organisations, and researchers need to build a foundation for a new paradigm developed for library management. In order to construct a fundamental theory of library management, we need to formulate a strategy that encompasses all basic and common services from the perspective of librarians into a strategic management theory for the library world. This will make libraries become more resilient to outside environmental influences, and allow the library director to focus on obtaining a clear understanding of fundamental strategic management for libraries in order to explain it to stakeholders both inside and outside of the library. This book also aimed to include both management practices of academic and public libraries, because recently boundaries between different types of libraries are diminishing. For instance, a public library director may often become an academic library director, and collaborative works between public and academic libraries often occur. Furthermore, information technologies have blurred the differences in the functions of different types of libraries. Additionally, this book is intended not only for researchers but also for managers who wish to put these findings into practical use, because library and information sciences are tightly connected to the actual operation of libraries. Managers may find these library management strategies helpful and applicable as they are constructed based on actual research data.

1.2  HISTORICAL BACKGROUND OF LIBRARY MANAGEMENT In the latter half of the 1970s, Mittermeyer and Houser (1979) pointed out that until that time, there had been few library management theories based on research. Later on, textbooks appeared with titles that included ‘Library Management’. In much of the literature, however, business management theories were introduced with partial modifications for application to libraries, despite the fact that these theories were developed with private enterprises in mind. If the literature did not reference business management theory directed at profit-making enterprises, many of them only introduced library operations such as ‘cataloguing’ or ‘reference services’. The reasons for this disregard toward researching or theorising about library management can be seen in McClure’s article (1982). The article presents the following ideas: (1) library work was considered ‘woman’s

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work’ since it fell into the category of ‘cultural and community activities’; (2) the library was considered to be ‘a good thing’ and little justification of its existence needed to be provided; and (3) the library was simply ‘to hold books’. The notion of the library as integral to the development of a larger institution or community was generally ignored and held only by cultural dilettantes who had nothing better to do. In brief, McClure suggests that the library world, until now, has not only ignored management theories, but management itself. Biddle (1992) pointed out a similar result in his research: ‘Little managerial expertise was required’.

1.3  PAST CORE RESEARCH ON THE HISTORY AND THEORIES OF LIBRARY MANAGEMENT: THE 1900s TO THE 1950s This section reviews historical and theoretical research on library management, starting in the early 20th century when business administration began until the present. The few detailed historical reports in existence include those by Kittle (1961) and Biddle (1992). These two studies make up the core research of library management. Kittle carried out a case study and interviews with library personnel to uncover the history of how public libraries were run from 1925 to 1955, as based on management theories targeted at profit-making companies. Biddle used a document survey to elucidate the history of how university libraries were operated, starting in the early 20th century until about the 1970s. He first set the period he would survey beginning in 1636, when the first university library was opened in the United States. In order to focus on the history of library management starting in the early 1900s (strategic management theory did not officially appear until the 1950s), this research paper refers to the work of Kittle (1961) and Evans (1976). Biddle mentioned university library management beginning in the 1980s based on his own survey. In addition, some scholars have discussed the history of library management in libraries of all kinds (Hayes & Becker, 1970; Rizzo, 1980; Wheeler, Goldhor, & Rochell, 1981). As for describing library strategic management, Kemper (1967) consolidated theories of management planning for profit-making companies and performed a fact-finding survey using library case studies. He also carried out a questionnaire in order to build a theory of strategic planning for libraries. Judging from past research, the 1900s through the 1930s was an era when library management was not emphasised. Libraries during this

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period were able to employ a large number of staff and house huge collections thanks to generous budgets. Libraries almost never had to depend on outside funding, and external organisations rarely demanded reports on the current state of management. Consequently, libraries could expand even without being overseen; without anyone being aware of the need for management, little effort was devoted to it. From the mid-1930s to around 1955, efforts were made to apply ‘scientific management’ to libraries (Kipp, 1954); this philosophy was mainly developed for profit-making enterprises. From the mid-1930s to the mid-1940s, the United States experienced harsh economic conditions, which encouraged library managers to introduce accounting systems and demand, guided by cost-effectiveness. As a result, large public and university libraries in particular promoted accounting systems and mechanisation, and adapted scientific management in the same way as profit-making business (Bostwick, 1920; Casey, 1981; Goldhor, 1954; Joeckel, 1935; McDiarmid, 1954; Shaw, 1954). This method became the foundation of future strategic management theory. Beginning in the late 1940s, generous investment in libraries resumed and they expanded both in scale and functionality. From around 1955 onwards, like profit-making companies, libraries also started trying to apply the human relations approach in library management (Kittle, 1961). Kittle and Evans explained the history of library management based on almost identical periods. Therefore, one can probably conclude that from the 1900s to the 1950s, library management went through a threestage process: (1) from the 1900s to the 1930s, management did not exist; (2) from the mid-1930s to 1955, efforts were made to apply scientific management; and (3) beginning in 1955, the human relations approach was changed into the organisational management theory approach. However, it is assumed that even after 1955, intermittent efforts occurred to apply scientific management (Casey, 1981; Evans, 1976). The flow of management theory until the 1950s corresponds almost perfectly with the flow of management theory for profit-making enterprises throughout time, as explained below. Kittle, Biddle, and Evans agree that library management reflects the history of how management theory was applied in profit-making businesses. Evans explains that from the 1900s to the 1950s, the application of business management theory in library management was slightly delayed by about 10 years at that time (Evans, 1976). This tendency has still continued up to recent times (Moran, 2001).

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McClure, on the other hand, attempted to organise library management history using the framework of Koontz, a business administration scholar. Koontz’s framework arranged management theory in detail, calling its complexity from the 1900s to the 1950s the ‘management jungle’. Although libraries attempted to apply management theory intended for profit-making enterprises, Koontz’s framework was not suited to the history of library management. McClure himself, in the same document, also touched on the fact that, as argued by Kittle, Biddle, and Evans, ‘scientific management’ and ‘the human relations approach in organisational management’ theory have strongly impacted library management. For these reasons, it is probably correct to conclude that from the 1900s to the 1950s, library management history was (as shown by Kittle, Evans, and others) marked by two major trends: ‘scientific management’ and ‘the human relations approach in organisational management theory’. Furthermore, ‘scientific management’ is considered to have become the foundation of strategic management theory.

1.4  MODERN STRATEGIC MANAGEMENT: AFTER THE 1960s Not many definitions of management have been recorded, but it is possible to find a detailed definition in a classic book on business administration by Henri Fayol. He is known as the ‘Father of Management’ or ‘the Real Father of Modern Management Theory’. Fayol (1949) defined management as overseeing activities indispensable for an enterprise to lead to the realisation of the goals of the enterprise while striving to maximise the profits from all the resources entrusted to the enterprise. He presented six essential activities for an enterprise: (1) technical (production, manufacturing, processing); (2) commercial (purchasing, selling, exchanging); (3) financial (procuring and operating capital); (4) security (protecting property and employees); (5) accounting (inventory, balance sheet, costing, statistics, etc.); and (6) managerial (planning, organising, command, coordination, control). Looking over present corporate activities, one can see that the ‘activities indispensable for an enterprise’ presented by Fayol at the beginning of the 20th century encompass almost all endeavours undertaken by present-day companies. Recently, ‘management’ is often considered synonymous with ‘strategic management’. This is thought to result from the fact that the most important function of management is assumed to be ‘strategic management’. In brief, this

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means that the relative importance of strategic management is higher than that of other functions. The concept of strategic management came from the idea of strategy originally used by military schools, later becoming a part of management studies, as described in Chandler’s Strategy and Structure (1962). As identified by Drucker (1954), up until the 1950s, functions indispensable to management were often discussed separately. However, Chandler’s writings posited the idea that utilising the notion of strategy would unify enlarged functions within the organisation. Management strategies can be compared to onions, where each part of the strategy is a layer. If one peel off each element of the strategy, there is nothing left in the centre. In other words, strategic management is a concept, and it is a central idea that integrates all elements (services, organisations, accounting, finance, environments, etc.). In the 1960s, the idea of ‘strategy’ was introduced in business management, first presented by Chandler in Strategy and Structure (1962). As Drucker (1954) pointed out, until the 1950s, functions essential to management were nearly always discussed separately. It was under such circumstances that Chandler attempted to integrate the individual functions in management by applying the concept of ‘strategy’ in 1962. As a result, ‘strategy’ became a concept that incorporated not only the various functions indispensable for management that Fayol cited, but also individual and social psychology, economics, and other academic domains on the periphery of business administration. The notion of ‘strategy’ that Chandler proposed has continued to have a major impact on the business management world up to the present time through the systematic theorisation carried out by Ansoff (1957), Steiner (1969), Andrews (1971), Hofer and Schendel (1978), Schendel and Hofer (1979). Moreover, Itami (2003) recently summarised their core concepts into a short concrete definition, which is ‘Long-term general plans for organisational activities in the market’. This is also shown by the fact that Koontz (1960) prioritised planning, and planning is one of the functions of strategic management. As will be explained later, planning that developed into long-range planning is placed at the centre of management according to Chandler’s concept of strategy, which integrates all the ‘activities’ or ‘functions’ of an organisation into ‘strategic management’. This book is focused on the domain of strategic management, which has high relative importance in modern management. Strategic management is – as a reflection of its dominant function in modern management – defined

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in many ways. Mintzberg’s The Rise and Fall of Strategic Planning (1994) includes in-depth past definitions; he clarifies the concept of strategic management by analysing many past studies. According to him, strategic management consists of: (1) long-term planning, patterns, positioning, and perspective; (2) controlling the future; and (3) decision-making. Based on these definitions, Mintzberg describes strategic management as ‘the process of preparing – the person in charge of making plans provides support and forms a written plan’. Such ‘strategic management’ did not remain exclusively theoretical; it was introduced into practical administration in the 1960s, where it has had a great impact on managers and actual management. A report by a Boston consulting group contains the following statement (Mainer, 1965, p. 1): Managements of business organisations are giving increasingly greater emphasis to their efforts at planning. This activity has a variety of designations, such as long range planning, corporate development, or strategic planning. By whatever term the activity is called, the common ingredient is a view toward the corporate future. This Commentary is focused on the nature of the planning process and its special requirements as a management task. In particular, the work of planning is contrasted with the work of managing a business that is traditional to the organisation.

This shows that the strategic management born in the 1960s significantly changed both theoretical and practical management. The size and functions of libraries had continually expanded from around the 1920s to the 1950s (Molz, 1990), which led up to an important turning point in the 1960s for library management. Library managers needed to operate the expanded library organisations comprehensively. Just as forprofit organisations needed strategic management to handle expansion, so too did libraries. This is apparent in reports indicating that approximately 20 departments functioned separately and had no connection with one another in the 1930s at the Boston Public Library (Whitehill, 1956), but that library management styles significantly changed in an attempt to integrate the separate departments strategically starting in the 1960s (Manning, 1993). Another prime example is the University of Pennsylvania, which began to prepare a strategic management beginning in the 1960s (Cline & Meringolo, 1993). These cases show that libraries began borrowing ideas from the realm of business management as their operations evolved. The Library Services and Construction Act (LSCA) was enacted in 1964 and this supported the expansion of business management theories. Furthermore, in the 1970s, the widely used textbook

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of library management, Library Management (Stueart & Eastlick, 1977) appeared, which contained many business management theories. Casey (1981) expressed the trends of the 1970s era that surrounded libraries as ‘Efficiency, and Taylorism’.

1.5  OBJECT OF ANALYSIS AND FRAMEWORK OF ANALYSIS IN THIS BOOK This book first analyses major strategic management theories cited in textbooks on ‘library management’ and ‘business administration’ in order to see the influence of business management on libraries. No documents concentrate on management theory based on libraries over the approximately 50 years from the 1960s to the 2010s, except for textbooks on library management. This book also refers to textbooks on business administration since the history of libraries shows that they applied theories in the domain of business administration. However, it is also necessary to examine the major management philosophies of each era from a perspective other than that of textbooks on library management. Second, this study clarifies strategic management theory in libraries by examining cases where strategic management theories have been applied. Moreover, it seeks to point out problems that occur when these management theories have been actually implemented. The ‘microscopic’ view consists of conclusions reached by analysing cases of individual libraries. To support this microscopic perspective, the author also analyses from a macroscopic perspective by employing databases to conduct a ‘bibliometric analysis’. The bibliometric analysis illustrates to what degree discussions of each management theory took place in the domain of library and information science by looking at their popularity over time, and also their prevalence in each individual year. The extent of management theory’s impact on library management is the ‘macroscopic’ standpoint. From these micro- and macroscopic analyses, we are able to realise the strong need to develop inherent strategies in library management. Third, in Chapter 4, Evolution of Library Organisation and Librarian Specialities by using in-depth case analysis of library management, the author explains inherent traits of library management by describing the constant development and evolution of library organisations. In particular, the managing of the adoption of technologies and the inclusion of digital media transformed library organisations into current libraries. Instead of looking at the borrowing of business management theories in libraries,

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we can see the results of a library’s own decision-making process from its organisational structure and position descriptions, and consequently unveil the strategies inherent to library management. Finally, the author summarises all of the results of the previous chapters, and describes a theory of inherent strategies in library management. Because these strategies have been created in the library world, we ought to use them faithfully. In addition, when this book uses the word ‘library’, unless otherwise specified, it refers to all libraries without identifying the type, e.g., a public or university library. As a matter of course, public and university libraries each have their own ideals and organisations, which are likely to also be part of their actual administration. However, the reason for nevertheless treating all libraries uniformly is because there are cases where different types of libraries apply a similar management philosophy.

REFERENCES Andrews, K. R. (1971). The concept of corporate strategy. Homewood, IL: Dow Jones-Irwin, Inc. Ansoff, H. I. (1957). Strategies for diversification. Harvard Business Review, 35(5), 113–124. Biddle, S. F. (1992). Planning in the university library. Westport, CT: Greenwood Press. Bostwick, A. E. (1920). Some principles of business-like conduct in libraries. Chicago, IL: American Library Association. Casey, M. (1981). Efficiency, taylorism, and libraries in progressive America. Journal of Library History, 16(2), 265–279. Chandler, A. D. (1962). Strategy and structure: Chapters in the history of the industrial enterprise. Cambridge: M.I.T. Press. Cline, N. M., & Meringolo, S. M. (1993). A strategic planning imperative: The Penn state experience. Journal of Library Administration, 18(3/4), 201–221. Drucker, P. F. (1954). The practice of management. New York, NY: Harper Collins Publishers. Evans, G. E. (1976). Management techniques for librarians (2nd ed.). New York, NY: Academic Press. Fayol, H. (1949). General and industrial administration. New York, NY: Putnam Publishing. Goldhor, H. (1954). Scientific management in public libraries. Library Trends, 2(3), 368–389. Greenhalgh, L., Worpole, K., Landry, C., & Landry, C. (1995). Libraries in a world of cultural change. London, UK: Routlege. Hayes, R. M., & Becker, J. (1970). Handbook of data processing for libraries. New York, NY: John Wiley & Sons, Inc. Hofer, C. W., & Schendel, D. (1978). Strategy formulation: Analytical concepts. St. Paul, MN: West Publishing. Itami, H. (2003). Mobilizing invisible assets (3rd ed.). Cambridge, MA: : Harvard University Press. Joeckel, C. B. (1935). A national plan for libraries. Bulletin of the American Library Association, 29(2), 91–98. Kemper, R. E. (1967). Strategic planning for library systems. Seattle, WA: University of Washington. Kipp, L. J. (1954). Scientific management in research libraries. Library Trends, 2(3), 390–400. Kittle, A.T. (1961). Management theories in public library administration in the United States, 19251955 (Library Science). New York, NY: Columbia University.

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Koontz, H., & O’Donnell, C. (1960). Principles of management: an analysis of managerial functions. New York: McGraw-Hill. Mainer, R. (1965). The impact of strategic planning on executive behavior. Boston, MA: Management Consulting Division, Boston Safe Deposit and Trust Co. Manning, L. A. (1993). A strategic planning process for the multi-campus university system: The role of one campus and library. Journal of Library Administration, 18(3/4), 181–199. McClure, C. R., & Samuels, A. R. (1982). Strategies for library administration: Concepts and approaches. Littleton, CO: Libraries Unlimited. McDiarmid, E. W. (1954). Scientific method and library administration. Library Trends, 2(3), 361–367. Mintzberg, H. (1994). Rise and fall of strategic planning. New York, NY: Simon and Schuster. Mittermeyer, D., & Houser, L. J. (1979). The knowledge base for the administration of libraries. Library Research, 1(3), 255–276. Molz, R. K. (1990). Library planning and policy making:The legacy of the public and private sectors. Metuchen, NJ: Scarecrow Press. Moran, B. B. (2001). Restructuring the university library: A North American perspective. Journal of Documentation, 57(1), 100–114. Pfeffer, J. (1993). Barriers to the advance of organizational science: Paradigm development as a dependent variable. Academy of Management Review, 18(4), 599–620. Rizzo, J. R. (1980). Management for librarians: Fundamentals and issues. Westport, CT: Greenwood Press. Schendel, D., & Hofer, C. W. (1979). Strategic management: A new view of business policy and planning. Boston, MA: Little, Brown & Company. Shaw, R. R. (1954). Scientific management in libraries. Library Trends, 2(3), 359–483. Steiner, G. A. (1969). Top management planning. London, UK: Macmillan. Stueart, R. D., & Eastlick, J.T. (1977). Library management. Littleton, CO: Libraries Unlimited. Usherwood, B. (1996). Rediscovering public library management. London, UK: Library Association. Wheeler, J. L., Goldhor, H., & Rochell, C. C. (1981). Wheeler and Goldhor’s Practical administration of public libraries. New York, NY: Harper & Row. Whitehill, W. M. (1956). Boston public library: A centennial history. Cambridge, MA: Harvard University Press. Wrigley, L., & McKevitt, D. (1994). Professional ethics, government agenda and differential information. In D. McKevitt & A. Lawton (Eds.), Public sector management: Theory, critique and practice (pp. 71–84). London, UK: SAGE Publications, Ltd.

CHAPTER 2

Influence of Business Management Theories on Libraries from 1960s to 2010s Contents 2.1 Objectives and Framework of Analysis 13 2.2 Citation Analysis Findings 15 2.2.1 Type of Organisation 15 2.2.2 Management Area in Library Management Textbooks 17 2.2.3 Management Philosophers/Authors 19 2.3 Conclusions 26 References 27

In recent years the populist approach appears to have had a considerable influence on the practice of public management. – Bob Usherwood (1996), Rediscovering Public Library Management

2.1  OBJECTIVES AND FRAMEWORK OF ANALYSIS In order to see the broad influence of business management theories on library management, we can use citation analysis of a distinguished textbook that represents the evolution of library management within the library world. First, the author selected a set of strategic management theories from well-known textbooks on library management in the world. The American textbook on library management used for this analysis is Library Management (Stueart & Eastlick, 1977). Although the book was originally published in 1977 under the title Library Management, its title was revised to Library and Information Center Management for the fourth edition (Moran, Stueart, & Morner, 2013). It has the distinction of having been revised eight times by 2013. It is used as a textbook in the United States and in several other countries, and it contains 4,855 citations. The textbook was selected for analysis for three reasons. Inherent Strategies in Library Management. DOI: http://dx.doi.org/10.1016/B978-0-08-101277-2.00002-9 Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved.

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The first reason it was selected is that this textbook is part of the Library and Information Science Text series. Since it is part of a textbook series, it must maintain a quality of work comparable to other subjects in the series. Additionally, as several authors were involved in writing this text, it is more likely that each would verify the others’ writing, the content would be more well rounded, and therefore more suitable for a library management textbook. In fact, one book review states that this textbook has superior content to other library management textbooks. The second reason for selecting this text is that it is primarily focused on public and university libraries. Management theories are most often applicable to a wide range of businesses, which is consistent with the purpose of this research book, namely to analyse libraries without limiting this research to a particular type of library. Third, as is evident from multiple book reviews (Gates, 2004; Williams, 2008), this textbook has been useful to students learning library management, and has been used by library practitioners for decades to provide a foundation for library management. This textbook indicates that it is being written for both the practitioners of library management and students. In other words, it is not intended to be used in a vacuum, but rather, it is intended to be referenced during actual library management. It has indeed been referenced and used in the field. This means that the textbook has heavily influenced students and librarians who study and learn library management. The author studied the original concepts of each business management theory contained in the library management textbook in order to more deeply understand each theory. Doing so, the philosophy and content in each theory could be analysed and categorised by subject, such as the principles or ideologies of libraries, management theories (strategies, organisational theories), operations, library administration, and law in order to facilitate citation analysis. Citation analysis consists of using the bibliographic information cited in the library management textbook to determine and analyse the following three points: (1) For what type of organisation was the theory or the literature written?; (2) What area of management was considered when proposing a specific management theory?; and (3) Who developed that management theory? In order to determine these elements, four categories were used to organise each citation: (1) title; (2) subject; (3) the author’s area of specialisation; and (4) the publisher. For example, see Hammer (1990). Hammer has a background in business, and from reviewing the title of the book it is clear that the subject matter relates to organisation, information technology (IT), and operational management. Since

Influence of Business Management Theories on Libraries from 1960s to 2010s

15

the book is published by Harvard Business Review, it logically falls into the category of business theory. The first point in the analysis requires that the literature referenced be categorised based on three types of organisations: (1) literature written for commercial organisations (private sector, business sector, or the commercial sector); (2) literature written for libraries (library sector); and (3) literature written for non-profit organisations (public sector). The characteristics and philosophies of the literature change depending on the organisations for which the literature was written. In answering the second question of the analysis, the cited literature is categorised by the area or field in which the managers would be engaged. After referencing some other business management and library management books (Corrall, 2000; Evans & Alire, 2013; Grant, 2010; Moran et al., 2013; Todaro, 2014), the management fields or spheres can be categorised into the following six areas: 1. Strategic management and strategic planning (these include management-related decision-making, management evaluation, and other aspects covering overall management activities) 2. Organisation (this includes staff training, and individual training) 3. Finance and accounting 4. Marketing 5. Operational management and information technology (matters relating to information technology that supports management and operations) 6. Environmental management Finally, in answering the third question, the cited literature was tallied by author name, to clarify whose management theories were most referenced in library management over time. The various forms of the authors’ names were standardised based on the format used by the United States Library of Congress. In this study, certain authors’ management theories were repeatedly cited, and had a relatively strong influence on library management. In these cases a more detailed case analysis was conducted. The classified citation data was also analysed by the ratio of author citations to total citations.

2.2  CITATION ANALYSIS FINDINGS 2.2.1  Type of Organisation Library management textbooks in the United States primarily discuss the purpose of library management, its principles, history, management theories, and organisations. A notable characteristic of library management

16

Inherent Strategies in Library Management

theories is that they primarily used management theories meant for commercial organisations to describe themselves. It can be observed that the management theories developed for business organisations and the management theories developed for libraries make up the majority, and the largest percentage are those aimed at business organisations (Fig. 2.1). One can see that citations of management theories meant for commercial organisations increased greatly between the first edition (1977) and the fifth edition (1998). Management theories developed for libraries were also cited increasingly between the first edition (1977) and the sixth edition (2002). Though both the theories meant for commercial organisations and those meant for the libraries have been cited less in the seventh edition (2007) of the library management textbook, this is due to a change in the editorial policy. Management theories intended for non-profit organisations were cited much less often than other management theories. By comparing the rate at which they are being cited, we can see that between the first edition (1977) and the fourth edition (1993), there has been an increase in the rate of citations for management theories concerning commercial organisations. Since the fifth edition (1998), there has also been a decline in the number of citations of management theories meant for commercial Business

Library

Non-Profit

Others

1200 Others: 23 NPO: 17

1000

23 17

800

Others: 16 NPO:19

Others: 11 NPO: 3

400 Others: 6 NPO: 1 Library 58

0

32 17

Library 388 Others: 30 NPO: 8

16 19

600

200

Library 325

Others: 32 NPO: 17

Library 204 Business 599

Others: 10 NPO: 1 Library 73

30

Library 195

Business 422

Others: 21 NPO: 5 21 Library 215

Business 582

Business 210

116

Figure 2.1  The amount of literature based on organisational type.

Business 320

Business 350

Influence of Business Management Theories on Libraries from 1960s to 2010s

17

organisations. However, this does not change the fact that the overall trend has been that management theories designed for commercial organisations have been cited with greater frequency than the others (Figs 2.1 and 2.2). Based on this information, it can be understood that in the case of library management textbooks, (1) management theory meant for commercial organisations had a great influence on library management; and (2) they had hardly any content related to management theories designed for the non-profit organisation. If one focuses on both strategic management and organisational literature in regard to businesses and libraries, the rate of citations about strategic management is more than 50% (Fig. 2.3). The rate of citations about organisation is even larger than that of strategic management (Fig. 2.4). Business theories in both areas have had large impacts on the library world.

2.2.2  Management Area in Library Management Textbooks The citation analysis focuses on the six areas described in the management theories that were considered part of the field of business administration. The six areas are (1) strategic management, (2) organisation, (3) finance

Figure 2.2  Citation rate of literature based on organisational type.

Figure 2.3  Citation rate of strategic management literature.

Figure 2.4  Citation rate of organisation literature.

Influence of Business Management Theories on Libraries from 1960s to 2010s

19

and accounting, (4) marketing, (5) operational management and information technology, and (6) environmental management. The results of the characteristic analysis are presented next for each area. The most commonly cited area was organisation, with strategic management coming in second (Table 2.1). Although the citations of literature related to strategy and organisational theories increased dramatically after the textbook was first published (1977), they declined after peaking in the second edition (1981). What was noteworthy is that marketing theories, which play a vital role in management, were rarely cited. Fig. 2.5 shows that organisational theories from the business management field were heavily cited, and marketing theories are rarely seen. This suggests that librarians are more concerned with organisational matters and less with marketing.

2.2.3  Management Philosophers/Authors The aim of conducting a citation analysis by author is to reveal which authors have been cited most often in relation to management strategy, which is central to management. This section will reveal which management theory has been most often cited in relation to the areas of strategic management and organisational management. Other areas were rarely cited. Additionally, the results table will summarise only the management theories aimed at commercial organisations, since a variety of authors were cited (Table 2.2). First, in the area of strategic management aimed at business sectors, from the 1970s to the early 1990s, Koontz and O’Donnell (1960) and Fayol (1949) were heavily cited (Table 2.2). Koontz and O’Donnell were business management scholars who specialised in traditional management theory that emphasised efficiency and used long-term management planning as its foundation. Henri Fayol – a business management scholar who laid the foundation for management – is considered the father of business administration. The analysis also revealed that over an extended period of time, from the first edition to the eighth edition, Drucker (1954, 1967, 1974, 1990, 1992, 1993) was often cited. Drucker was a business management scholar and a management consultant who specialised in management theories that included management strategies, manager theories, and overall management. He is considered the business management scholar who contributed most to corporate management in the last half of the 20th century.

Table 2.1  Fluctuations over time in the number of citations by management area (business) 1977 1981 1987 1993

Strategic management Organisation Operational management and information technology Finance and accounting Environmental management Marketing Others

29 46 5 0 0 4 1 85

43 58 8 0 0 5 3 117

64 125 12 3 2 5 3 214

113 228 46 20 3 12 6 428

1998

2002

2007

2013

Total

156 325 68 26 7 14 9 605

112 365 64 11 8 18 19 597

52 213 35 5 6 7 17 335

66 222 25 3 5 6 22 349

635 1582 263 68 31 71 80 2730

Influence of Business Management Theories on Libraries from 1960s to 2010s

21

Figure 2.5 Citation rate of management theories in each business area: strategy, organisation, operational management and information technology, others.

In 1993 and 1998, In Search of Excellence by Peters and Waterman (1982) was heavily cited, and in 2002, 2007 and 2013, Good to Great by Collins (2001) was often cited. In the area of organisational management, Gellerman (1966) was heavily cited from the 1970s to the 1980s. From late 1980 to the 2010s, Mintzberg (1973, 1975, 1979, 1981, 1983) was cited frequently. Mintzberg, a business management scholar who specialises in management and organisation theories, is a visiting professor in many graduate schools around the world. Drucker, who was often cited in the area of management strategies, was most cited in the area of organisational management, from the first to the fourth publication. It is also noteworthy that the authors of the Organisational Learning and Learning Organisations theory, Argyris (1957, 1964, 1965, 1993), Argyris and Schon (1978) and Senge (1990, 1997), have been quoted and often cited since entering the 21st century (Table 2.3).

22

Inherent Strategies in Library Management

Table 2.2  Most-cited authors in management theories intended for commercial organisations (strategic management) 1977 1981 1987 1993 Koontz, Harold; O’Donnell, Cyril Drucker, Peter F.

6

Drucker, Peter F. Koontz, Harold; O’Donnell, Cyril

7

Drucker, Peter F.

11

Drucker, Peter F.

13

7

Koontz, Harold; O’Donnell, Cyril; Weihrich, Heinz

5

Peters, Thomas J.; Waterman, Robert H.

8

Fayol, Henri.

4

Fayol, Henri.

4

Fayol, Henri.

4

Koontz, Harold; O’Donnell, Cyril

5

Gulick, Luther.; Urwick, Lyndall.

2

George, Claude S. 4

Carlisle, Howard M.

3

5

Gulick, Luther.; Urwick, Lyndall.

3

Gulick, Luther.; Urwick, Lyndall.

3

Koontz, Harold; O’Donnell, Cyril; Weihrich, Heinz Fayol, Henri.

Bertalanffy, Ludwig von. Carroll, Stephen J.; Tosi, Henry L. Odiorne, George S.

2

Koontz, Harold; O’Donnell, Cyril Odiorne, George S.

3

Zey, Michael G.

4

3

Carlisle, Howard M.

3

Simon, Herbert A. (Herbert Alexander)

3

3

Bertalanffy, Ludwig von. Carroll, Stephen J.; Tosi, Henry L. George, Claude S.

2

Dobyns, Lloyd.; Crawford-Mason, Clare Odiorne, George S. Simon, Herbert A. (Herbert Alexander) Carroll, Stephen J.; Tosi, Henry L.

3

Pascale, Richard Tanner.; Athos, Anthony G. Peters, Thomas J.; Waterman, Robert H.

2

Carroll, Stephen J.; Tosi, Henry L.

2

2

George, Claude S.

2

Gulick, Luther.; Urwick, Lyndall. Pascale, Richard Tanner.; Athos, Anthony G. Tregue, Benjamin B; Zimmerman, John W.

2

5

Values represent the number of citations.

2

2

2 2

4

3

2

2

2

Influence of Business Management Theories on Libraries from 1960s to 2010s

1998

2002

2007

2013

Drucker, Peter F.

13

Drucker, Peter F.

10

Drucker, Peter F.

5

Peters, Thomas J.; Waterman, Robert H.

7

Conner, Daryl

4

Collins, Jim

3

Conner, Daryl

4

Collins, Jim

3

Conner, Daryl

3

Fayol, Henri.

4

Kotter, John P; Heskett, James L.

3

3

Carlisle, Howard M.

3

Mintzberg, Henry.

3

Peters, Thomas J.; Waterman, Robert H. Bertalanffy, Ludwig von.

Koontz, Harold; O’Donnell, Cyril Lux, Wolfgang

3

Peters, Thomas J.

3

2

3

3

Mintzberg, Henry.

3

Peters, Thomas J.; Waterman, Robert H. Bertalanffy, Ludwig von.

Kaplan, Robert S.; Norton, David P. Kotter, John P; Heskett, James L.

Odiorne, George S. Peters, Thomas J.

3

Bowman, James S.

2

3

2

Simon, Herbert A. (Herbert Alexander) Wren, Daniel A.

3

Carroll, Stephen J.; Tosi, Henry L. Dess, Gregory G.

3

Fayol, Henri.

2

Zey, Michael G.

3

Gulick, Luther.; Urwick, Lyndall.

2

Kanter, Rosabeth Moss Kotter, John P; Heskett, James L.

2

Odiorne, George S.

2

2

Simon, Herbert A. (Herbert Alexander)

2

2

2

Tregue, Benjamin B; Zimmerman, John W. Wren, Daniel A.

2

Zey, Michael G.

2

George, Claude S. 2 Gulick, Luther.; Urwick, Lyndall. Mali, Paul.

2

2

2

23

2

2

Drucker, Peter F. Kaplan, Robert S.; Norton, David P. Kotter, John P; Heskett, James L. Collins, Jim

10

Peters, Thomas J.; Waterman, Robert H. Fayol, Henri

2

Taylor, Frederick Winslow

2

3

3

3

2

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Inherent Strategies in Library Management

Table 2.3  Most-cited authors in management theories intended for commercial organisations (organisation) 1977 1981 1987 1993 Gellerman, Saul W.

7

Gellerman, Saul W.

7

Mintzberg, Henry

10

Mintzberg, Henry

15

Likert, Rensis

4

Likert, Rensis

4

9

4

Barnard, Chester Irving

3

Hicks, Herbert G; Gullett, C. Ray Drucker, Peter F.

9

McGregor, Douglas

Barnard, Chester Irving

3

3

3

Odiorne, George S.

3

McGregor, Douglas

3

Blake, Robert 4 Rogers; Mouton, Jane S. Gellerman, Saul W. 4

Blake, Robert Rogers; Mouton, Jane S. Likert, Rensis

5

Drucker, Peter F.

Blake, Robert Rogers; Mouton, Jane S. Drucker, Peter F.

Hicks, Herbert G; Gullett, C. Ray Jackson, John Howard; Morgan, Cyril P. Likert, Rensis

5

Gardner, John W.

2

Odiorne, George S.

3

Argyris, Chris

3

Maslow, Abraham H. McGregor, Douglas

Herzberg, Frederick; 2 Mausner, Bernard; Snyderman, Barbara Bloch Maslow, Abraham H. 2

Herzberg, Frederick; Mausner, Bernard; Snyderman, Barbara Bloch Maslow, Abraham H.

2

Barnard, Chester Irving

3

Gellerman, Saul W.

4

2

Drucker, Peter F.

3

Herzberg, Frederick.

4

Mooney, C. P. J.

Mooney, C. P. J.

2

Maslow, Abraham H. McGregor, Douglas Maccoby, Michael,

3

Argyris, Chris

3

3

Barnard, Chester Irving Kanter, Rosabeth Moss

3

Mayo, Elton

2

Mayo, Elton

3

Lawler, Edward E

2

Maccoby, Michael

2

2

Values represent the number of citations.

3

5

5

2

7

5

5

3

Influence of Business Management Theories on Libraries from 1960s to 2010s

1998

2002

2007

Mintzberg, Henry

16

Mintzberg, Henry

11

Handy, Charles B.

10

Senge, Peter M.

9

Argyris, Chris

7

Schein, Edgar H.

7

Lawler, Edward E

7

Argyris, Chris

Bennis, Warren G

6

Maslow, Abraham H. McGregor, Douglas

2013

Mintzberg, Henry Lawler, Edward E Senge, Peter M.

7

6

Schein, Edgar H.

5

Handy, Charles 5 B.

Handy, Charles B.

6

Handy, Charles B.

4

Edward E Lawler III

4

6

Bennis, Warren G

5

4

Davis, Keith.; Newstrom, John W.

5

Locke, Edwin A. Maslow, Abraham H.

4

6

Senge, Peter M.

6

Herzberg, Frederick.

5

Locke, Edwin A. Blake, Robert Rogers; Mouton, Jane S. Likert, Rensis

3

Kellerman, Barbara

3

Blake, Robert Rogers; Mouton, Jane S.

5

Lawler, Edward E.

5

Barnard, Chester Irving

2

3

Davis, Keith.; Newstrom, John W. Drucker, Peter F.

5

Locke, Edwin A.

5

2

4

5

4

Herzberg, Frederick. Likert, Rensis

2

Gellerman, Saul W.

Herzberg, Frederick. Likert, Rensis

4

Barnard, Chester Irving Maccoby, Michael Mayo, Elton

3

Maslow, Abraham H. Blake, Robert Rogers; Mouton, Jane S. Goffee, Robert.; Jones, Gareth Jackson, John Howard; Morgan, Cyril P. McGregor, Douglas

Gellerman, Saul W. Maslow, Abraham H.

Blake, Robert Rogers; Mouton, Jane S. Jay W. Lorsch

4 3

Schein, Edgar H.

3

Nicholson, Nigel. Drucker, Peter F. (Peter Ferdinand) Gellerman, Saul W. Likert, Rensis

4

3 3

4

4 4

4

3 3

6 6

3

2

Schein, Edgar H. Mintzberg, Henry Senge, Peter M.

6 5 5

3

3

2

25

26

Inherent Strategies in Library Management

With regard to management strategies that focused on libraries, the evaluation theory of library management was most often cited. Specifically, between the second edition of the textbook (1981) and its fifth edition (1998), Lancaster’s books were often cited (Lancaster, 1977; Lancaster & Cleverdon, 1977). He specialised in the study of statistical management evaluation theory in the field of library management, using the scientific management method as its foundation. Between the fifth (1987) and sixth editions (2002), McClure et  al. (1982, 1993) was often cited. McClure was a management consultant who researched how the management theories meant for commercial organisations could be applied to libraries. He specialised in management strategy theories, and specifically library management evaluation methods. Additionally, it is worth noting that in the sixth edition (2002) of the textbook, Hernon (Hernon & Altman, 1996, 2010; Hernon & Dugan, 2002; Hernon & Whitman, 2001) were often quoted. He is a researcher who specialises in the evaluation and assessment of library management, and this tells us that both these areas have been heavily referenced in library management.

2.3 CONCLUSIONS This analysis of the existing eight editions of the library management textbook led to four main findings. The first finding indicated that the library management textbook had focused its content on the purpose and principles of management. References to management theory were included as well, but they were primarily aimed at commercial organisations. That is to say, while the purpose and principles explained were based solidly on library science, when it came to management theory, they relied on the field of business administration for their foundation. Also, some parts of the textbook did describe very specific operational procedures in libraries. These operational procedures and tasks were based on library science, and though the purpose and principles of libraries were at the centre of their raison d’être, they lacked a unifying organizational theory. As a result, they had used management theories intended for commercial organisations to fill this gap, and modified them with explanations on library operations. Moreover, the author analysed other library management textbooks as well, and realised that the others relied even more on business management theories than Library and Information Center Management. This means that the library world has been heavily colonized by business management theories.

Influence of Business Management Theories on Libraries from 1960s to 2010s

27

The second finding was that strategic management and organisation management were at the core of the management theories explained. Moreover, librarians prefer an organisational approach, as seen from the high citation rate of organisational literature. This could be interpreted as a strength of librarians, but also a weakness: librarians may be too focused on the inside of their organisation, instead of the market and users. Furthermore, the data also suggests that libraries were especially poor at marketing, tending to focus more on their core objectives and putting resources into their strategies and organisations, rather than into marketing-related activities. Libraries did not have the internal expertise to conduct marketing themselves. The third finding indicated that management theories borrowed heavily from leading business management theories regardless of their suitability for libraries. Koontz’s management strategies had a strong influence from the 1970s to the mid-1980s, and afterward Drucker’s influence gained momentum. Koontz and Drucker were both prominent scholars in management post-1960s who were very well known throughout the business world. Mintzberg and Senge were two additional scholars who heavily influenced the area of library organisational management. They are both leading business management scholars specialising in management and organisation theories. However, there is not much evidence to support the use of these theories in actual library management. This means that the library world was hugely influenced by the populist approach. The fourth finding showed that even library scholars relied on business management theories. These theories heavily influenced Lancaster and Hernon, two scholars who specialised in management evaluation, as well as McClure, who was a management consultant for libraries. Lancaster and Hernon based their management theories on a scientific approach developed for commercial organisations and had a tendency to emphasise standardisation and evaluation. From this, one can see the reasons why library managers recently prefer evaluation. Throughout library history, library specialists have strongly promoted the use of evaluation theories, and consequently, library managers were influenced by them. This is an example of the influence of business management theories on libraries. We will explore the problems that arise from the influence of business management theories on libraries in more detail in the following chapter.

REFERENCES Argyris, C. (1957). Personality and organization: The conflict between the system and the individual. New York, NY: Harper.

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Inherent Strategies in Library Management

Argyris, C. (1964). Integrating the individual and the organization. New York, NY: John Wiley & Sons Inc. Argyris, C. (1965). Organization and innovation. Homewood, IL: R.D. Irwin. Argyris, C. (1993). Knowledge for action: A guide to overcoming barriers to organizational change. San Francisco, CA: Jossey-Bass. Argyris, C., & Schon, D. A. (1978). Organizational learning: A theory of action perspective. Reading, MA: Addison-Wesley Pub. Co. Collins, J. (2001). Good to great:Why some companies make the leap and others don’t. New York, NY: HarperBusiness. Corrall, S. (2000). Strategic management of information services: A planning handbook. Glasgow: Aslib/Information Management International (IMI). Drucker, P. F. (1954).The practice of management. New York, NY: Harper Collins Publishers. Drucker, P. F. (1967). The effective executive. New York, NY: Harper & Row. Drucker, P. F. (1974). Management: Tasks, responsibilities, practices. New York, NY: Harper & Row. Drucker, P. F. (1990). Managing the non-profit organization: Practices and principles. New York, NY: Harper Collins Publishers. Drucker, P. F. (1992). The new society of organizations. Harvard Business Review, 70(5), 95–104. Drucker, P. F. (1993). Post-capitalist society. New York, NY: HarperBusiness. Evans, E. G., & Alire, C. A. (2013). Management basics for information professionals (3rd ed.). New York, NY: Neal-Schuman. Fayol, H. (1949). General and industrial administration. New York, NY: Putnam Publishing. Gates, J. (2004). Library and information center management. Christian Librarian, 47(1), 36. Gellerman, S. W. (1966). The management of human relations. New York, NY: Holt, Rinehart and Winston. 462. Grant, R. M. (2010). Contemporary strategy analysis and cases: Text and cases (7th ed.). Hoboken, NJ: John Wiley & Sons, Inc. Hammer, M. (1990). Reengineering work: don’t automate, obliterate. Harvard Business Review, 90(4), 104–112. Hernon, P., & Altman, E. (1996). Service quality in academic libraries. Norwood, NJ: Ablex Publishing Corporation. Hernon, P., & Altman, E. (2010). Assessing service quality: Satisfying the expectations of library customers (2nd ed.). Chicago, IL: American Library Association. Hernon, P., & Dugan, R. E. (2002). An action plan for outcomes assessment in your library. Chicago, IL: American Library Association. Hernon, P., & Whitman, J. R. (2001). Delivering satisfaction and service quality: A customerbased approach for libraries. Chicago, IL: American Library Association. Koontz, H., & O’Donnell, C. (1960). Principles of management: An analysis of managerial functions. New York, NY: McGraw-Hill. Lancaster, F.W. (1977).The measurement and evaluation of library services.Washington, DC: Information Resources Press. Lancaster, F. W., & Cleverdon, C. W. (1977). Evaluation and scientific management of libraries and information centres. Leyden: Noordhoff. McClure, C., Owen, A., Zweizig, D., Lynch, M. J., & Van House, N. (1993). Planning and role setting for public libraries: A manual of options and procedures. Chicago, IL: American Library Association. McClure, C. R., & Samuels, A. R. (1982). Strategies for library administration: Concepts and approaches. Littleton, CO: Libraries Unlimited, INC. Mintzberg, H. (1973). The nature of managerial work. New York, NY: Harper & Row. Mintzberg, H. (1975). The manager’s job: Folklore and fact. Harvard Business Review, 53(4), 49–61.

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Mintzberg, H. (1979). The structuring of organizations. Englewood Cliffs, NJ: Prentice-Hall. Mintzberg, H. (1981). Organization design: Fashion or fit? Harvard Business Review, 59(1), 103–116. Mintzberg, H. (1983). Structure in fives: Designing effective organizations. Englewood Cliffs, NJ: Prentice-Hall. Moran, B. B., Stueart, R. D., & Morner, C. J. (2013). Library and information center management (8th ed.). Santa Barbara, CA: Libraries Unlimited. Peter, T. J., & Waterman, R. H. (1982). In search of excellence: Lessons from America’s bestrun companies. New York, NY: HarperBusiness. Senge, P. M. (1990). The fifth discipline: The art and practice of the learning organization. New York, NY: Doubleday/Currency. 424. Senge, P. M. (1997). Communities of leaders and learners. Harvard Business Review, 75(5), 30–32. Stueart, R. D., & Eastlick, J. T. (1977). Library management. Littleton, CO: Libraries Unlimited. Todaro, J. (2014). Library management for the digital age: A new paradigm (Vol. 32). Lanham, MD: Rowman & Littlefield Publishers. 246–247. Williams, D. (2008). Library and information center management. Journal of Academic Librarianship, 34(1), 82–83.

CHAPTER 3

Incompatibility of Business Management Theories in Library Management Contents 3.1 Objectives and Framework of Analysis 32 3.2 Bibliometric Analysis and Case Studies: General Methods 33 3.3 Procedures 34 3.4 Management Theories in the 1960s 35 3.4.1 Long-Range Planning 35 3.4.2 Management by Objectives 42 3.4.3 Game Theory 45 3.5 Management Theories in the 1970s 47 3.5.1 Strategic Planning and Strategic Management 48 3.5.2 Library Management Evaluation Theories 53 3.6 Management Theories in the 1980s 62 3.6.1 Competitive Strategy and Value Chain 63 3.6.2 Peters and Waterman’s Eight Excellence Attributes 66 3.7 Management Theories in the 1990s and the 2000s 68 3.7.1 Business Process Re-engineering 69 3.7.2 Core Competency 74 3.7.3 Organisational Learning/Learning Organisation 76 3.7.4 Community of Practice 80 3.8 Problems With Applying Business Management Theories to Library Management 82 3.8.1 The Influence of Commercial Enterprise-Focused Strategic Management Theories on Libraries 82 3.8.2 The Shortcomings of Strategic Management in Library Management 84 3.8.3 Suitable Management Theories for Libraries 86 3.8.4 Time Taken for Commercial Enterprise-Focused Management Theories to be Applied to Libraries 86 3.8.5 Management Theories of Little Interest to Library Managers 87 References 88

Inherent Strategies in Library Management. DOI: http://dx.doi.org/10.1016/B978-0-08-101277-2.00003-0 Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved.

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Inherent Strategies in Library Management

Envy is ignorance, Imitation is Suicide. – Ralph Waldo Emerson (1841), Self-Reliance.

3.1  OBJECTIVES AND FRAMEWORK OF ANALYSIS According to prior core studies, library management originated from the field of business administration between the late 19th and early 20th centuries, when management theory was applied to the practical domain (Biddle, 1992; Evans, 1983; Kittle, 1961; Molz, 1990). After that, many business theories have been introduced in the library world, as we saw in Chapter 2, Influence of Business Management Theories on Libraries from 1960s to 2010s. There has been no systematic and all-encompassing research on library management theory since the 1960s, when it became linked to modern library administration. It is also possible to point out past challenges in the research field of library management. First, past studies in library management consisted simply of superficial explanations of how to implement business management theories in libraries, without examining the underlying foundations of such theories or whether they were actually appropriate for use. Second, this research lacked a macroscopic view, which asks: to what degree did each management theory impact the library world? Hence, one must analyse both management theories and relevant case studies together. This book refers to business administration textbooks in order to explain the philosophies and foundations of management theories. When this study uses the word ‘library’, unless otherwise specified, it refers to all libraries without identifying the type: a public or university library. As a matter of course, public and university libraries each have their own ideals and organisations, which are likely to also be part of their actual administration. The reason for treating all libraries uniformly is because there are cases where different types of libraries apply a similar management philosophy. For example, the way management theory was implemented in the Teton County Library was similar to how it was executed at the University of Arizona Libraries in the United States. In response to these circumstances, McClure and Samuels (1982) recognise the significance of referring to management planning (management theories) by transcending barriers between categories of libraries. Furthermore, the textbook Library Management (Stueart & Eastlick, 1977) is established across different library categories and this demonstrates that management theories can be broadly applied to any type of organisation. There are

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also other books that deal with management in different types of libraries (Bryson, 1999; Molz, 1990; Rizzo, 1980). For these reasons, this chapter focuses on both business management theories and library cases for the following three purposes: (1) to explain the characteristics of management theories as applied in libraries from the 1960s to the 2000s; (2) to clarify how management theories were applied to libraries, and how they were accepted by librarians from a microscopic angle (in which each case study’s author focuses on management theories as they pertain to their individual case); and (3) to elucidate to what degree each management theory influenced the world of libraries from a macroscopic point of view by accumulating multiple cases.

3.2  BIBLIOMETRIC ANALYSIS AND CASE STUDIES: GENERAL METHODS This study clarifies management theories in libraries by examining cases where management theories have been applied. The ‘microscopic’ view consists of conclusions reached by analysing cases of individual libraries. To support this microscopic perspective using a ‘macroscopic’ one, the author employed databases to carry out a survey and conduct a bibliometric analysis. The bibliometric analysis illustrates quantitatively and to what degree discussions of each management theory took place in the domain of library and information science by year. The case studies analyse situations where management theory has been applied to a library. The goal is to shed light on the questions: (1) What were the characteristics of the management theory?; (2) How was management theory applied to libraries?; and (3) How did the management theory applied actually function? This study explored the period from the 1960s to the 2010s. The author examined the following management theories: 1. Long-range planning, including planning programming budgeting systems (PPBS) 2. Management by objectives (MBO) 3. Game theory 4. Strategic planning/strategic management 5. Library management evaluation theories: performance measurement, evaluation, Hernon’s library management evaluation theory, SERVQUAL, LibQUAL+, ISO 11620 6. Competitive strategy (including value chain)

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7. Peters and Waterman’s Eight Excellence Attributes 8. Business process re-engineering (BPR) 9. Core competency 10. Organisational learning/learning organisation 11. Community of practice In addition to the management theories from Stueart’s textbook on library management (Stueart & Eastlick, 1977), the author also examined business administration textbooks written by Grant (2010) and Saloner, Shepard, and Podolny (2001). Grant’s textbook on management is a standard work used by graduate schools of business administration around the world, while the textbook by Saloner et al. is used by the graduate school of business administration at Stanford University. The author also referred to The Management Century (Crainer, 2000), since this management book reviewed most of the management theories from a perspective of business management history. In the field of library management, philosophies that value evaluation (in which its functions are already incorporated into management strategy theory) have been found. Hence, this study treats these philosophies as library management evaluation theory. This study is based on business management textbooks; thus, the management theories that are examined also include philosophies that have been assumed to have had almost no impact on libraries. This contributes to an understanding of just what the main players in library management have chosen and not chosen throughout the field’s history. Management is logical; thus, knowing the kinds of management theories that were not selected for decision-making is also important in understanding library management.

3.3 PROCEDURES This study examined three factors for each management theory: (1) the management theory’s characteristics; (2) a description of cases where management theory was applied; (3) the change in the numbers of articles in the database. The author then formed an interpretation (summary and conclusion) based on the management theory, cases and changing numbers of articles. The articles used for the analysis were from the Library and Information Science Abstracts (LISA) and the Library, Information Science & Technology Abstracts (LISTA) databases. The author collected them by using the name of each management theory as the key search

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words. The author used Library Literature to supplement articles from the 1960s. The articles used for analysis were limited to those in English and did not include book reviews. From the articles, the author extracted actual situations where library management theories were applied, and analysed how the theories were implemented within library operations and how library staff reacted to them. In bibliometric analysis, the author totalled the numbers of articles gathered using the databases and categorised them by year; this indicated the popularity of each management theory chronologically. An interpretation (summary and conclusion) based on the management theory, cases and changing numbers of articles was described from the perspective of those involved in library management. This is because library management is a discipline that stresses real-world, practical application.

3.4  MANAGEMENT THEORIES IN THE 1960s In the 1960s, libraries generally expanded due to economic prosperity in the United States. The expansion of libraries’ scale complicated management (Booz & Hamilton, 1970). Libraries grew, causing administrative obstacles to spread across so many departments that none could be resolved by one department alone. All past management processes had only dealt with a specified aspect of the organisation’s activities, thereby failing to settle complex problems (Drucker, 1954). One approach used to try to resolve this issue was long-range planning, which integrates various areas of management. The 1960s was also an era when management theory for profitmaking enterprises in the United States encountered the management strategy approach, and the private sector was the first to define the concept of ‘strategy’. In this way, management strategy theory began in the 1960s, and in places where administrative duties are carried out, long-range planning (which preceded strategic planning and strategic management) was thriving.

3.4.1  Long-Range Planning Long-range planning is a management theory that has played a central role in modern management strategy. Gilmmore and Brandenburg (1962) wrote the first work that systematically discusses long-range planning. Many companies adopted it in the 1960s after accounting systems were introduced in America in the 1950s (Chamberlain, 1968; Gilmore, 1970).

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The economic prosperity of the 1950s and the 1960s contributed to the popularity of long-range planning. At the time, the United States was wealthy and corporations’ long-term prospects were clear. Many enterprises were able to make predictions far into the future, create long-term plans, and build their prosperity by flawlessly implementing these plans. Thus, long-range planning was suited to the age of prosperity in the United States. Rich economic conditions were also found in libraries, many of which were founded or expanded during the 1950s and 1960s (Booz, 1970). The Library Services and Construction Act (LSCA) of 1964 was another factor that supported expansion and long-range planning. This law requires public bodies to study or revise long-range plans annually; the government encouraged libraries to introduce long-range planning (Holley & Schremser, 1983; Texas State Library, 1977; Young, 1976). Attempts to introduce management theory in New York State (New York State Library. Division of Library Development, 1972) and the University of Illinois (Stone, 1967) illustrate these circumstances. Principles of Management (1960), written by business administration scholars Koontz and O’Donnell, is the major theoretical work that summarises long-range planning, which expanded in the United States. 3.4.1.1  The Management Theory of Koontz and O’Donnell (1960) The management theory of Koontz and O’Donnell consists of (1) planning; (2) organising; (3) staffing; (4) direction; and (5) control. They explained the planning of management as decision-making. Planning is an intellectual process, a conscious determination of course of action, and the basing of decision on purpose, facts and considered estimates. They explained four concrete reasons for prioritising the planning function: 1. To offset uncertainty and change: Future uncertainty and change make planning a necessity. 2. To focus attention on objectives: All planning should be directed toward achieving enterprise objectives. 3. To gain economical operation: Planning minimises costs because of the emphasis on efficient operation and consistency. 4. To facilitate control: A manager needs to focus on looking to the future (Koontz & O’Donnell, 1960, p. 81). They also discussed (1) the nature and purposes of planning; (2) the steps to build a management plan; and (3) the idea of prioritising

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efficiency. Prioritising planning led to the importance of strategic planning and strategic management in modern administration. 3.4.1.2  The Management Theory of the American Library Association Under the influence of the government, the American Library Association (ALA) carried out a theoretical study on long-range planning for libraries. The ALA’s management theory consists of two aspects: planning and evaluation based on management theory, mainly for profit-making enterprises. Since the 1960s, scholars have studied performance indices, measurement, evaluations (performance evaluations) and management planning. In 1980, a method of preparing systematic plans called A Planning Process for Public Libraries (Palmour, Bellassai, & Van House, 1980) was published, and the ALA later continued publishing systems of management planning (Himmel & Wilson, 1998; McClure, Van House, & Lynch, 1987). The concepts and purposes of these management plans varied in different eras. However, a basic framework was established based on long-range planning, (which Koontz and O’Donnell (1960) integrated during the same period); the framework is also founded on management practises sourced from the aims and objective systems established by Drucker, which are explained in the following sections. In 1999, the ALA published Managing for Results (Nelson, Altman, & Mayo, 1999), which has the same title as Drucker’s work (1964) and prioritised outcomes, revealing the strong influence from Drucker. The system of management planning proposed by the ALA shows that consistently up to the present day (1) cycle-setting objectives, management planning and management evaluation are repeated; (2) the future is planned; and (3) plans are prepared with priority on results. For this reason, we know that the ALA’s management planning developed based on long-range planning, which thrived during that time. Fig. 3.1 shows that research on long-range planning began around 1965 after the LSCA was passed. The amount of literature peaked, then began to fall by the 1980s. This may have happened because strategic planning and strategic management started to replace long-range planning in the 1980s. However, because of the similarities between strategic planning and long-range planning, librarians continued to utilise long-range planning throughout the 1980s (as indicated by another peak), before it gradually decreased in popularity by the 1990s. Private enterprises introduced long-range planning mainly from the 1960s to the 1970s. In other words, in the domain of library management,

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Figure 3.1  Impacts of long-range planning.

long-range planning was implemented approximately 10 years later than it was in private companies. 3.4.1.3  Planning Programming Budgeting System (Young, 1976) Planning programming budgeting systems (PPBS) is a management theory that narrowed long-range planning based on detailed accounting items. Its purpose was to provide financial and accounting reports on common ground within an organisation, the goal being to ensure more efficient management. This philosophy originated in the Rand Corporation in the United States in the first half of the 1960s. President Lyndon B. Johnson and the Secretary of Defense, Robert S. McNamara, introduced it to the Department of Defense in July 1965. In 1968, PPBS was introduced to the realm of libraries for the first time by the U.S. Department of Education and the Faculty of Library Science at Wayne State University. However, this management theory is extremely complex; in the 1970s, the U.S. government decided that it could not be appropriately operated and now rarely applies it. Eight articles existed in 1968, but after this peak, the amount of literature decreased (Fig. 3.2). The total for the entire period was only 44, and after 1978, when two appeared, almost no articles can be found. The fact that PPBS was applied with declining frequency due to the complexity of its management theory can be interpreted from the data. The low number of articles has caused the author to omit a chart showing this change.

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10 9 8 7 6 5 4 3 2 1 19 60 19 62 19 64 19 66 19 68 19 70 19 72 19 74 19 76 19 78 19 80 19 82 19 84 19 86 19 88 19 90 19 92 19 94 19 96 19 98 20 00 20 02 20 04 20 06 20 08 20 10 20 12 20 14 20 16

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Figure 3.2  Impacts of planning programming budgeting system (PPBS).

Case Study: The Denver Public Library (Kemper, 1967) In 1965 at the Denver Public Library, the Advisory Committee enacted a long-range plan for the next 5 years when it recognised the need for the library to have a management plan. Multiple government committees provided data and opinions, and the library staff attempted to execute a longrange plan based on this data (etc.). The long-range plan consisted of three levels. The first was a plan to respond to changes in present policies and policy activities. This was the broadest plan, involving even the environment outside the library. The second was a plan concerning the organisation and the contents of how the library operated. This concerned the library’s general internal affairs. The third was a plan concerning individual tasks. This was a concrete strategy necessary to execute the previously mentioned two plans. In particular, the second and third level plans were extremely formalistic and prioritised efficiency and effectiveness. When the library staff actually drew up the plan, they had to follow a procedure involving detailed processes. However, they lacked management expertise. Long-range planning is an extremely complex series of tasks that have tended to be completely concentrated in the hands of a managerial class with centralised administrative authority. Past library organisations were not centralised; rather, the culture and philosophy of library staff members consisted of decentralised work and decision-making. The only way a long-range plan could succeed in a library setting was to teach the staff how to prepare one, but the government only provided simple, informal support through the committee.

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The Denver Public Library was faced with four major challenges in terms of preparing the long-range plan. The first was insufficient data upon which to base the plan. The second was its inability to effectively communicate with organisations outside the library when making decisions about the management plan. The third was their inability to appropriately obtain funding or expertise from the government. The fourth was the lack of any library employees with enough specialised knowledge of management to enable them to establish the long-range plan. In the end, library staff did not prepare the long-range plan; committees involved in library management wrote it up instead, including planning work at the third level. Case Study: The University of Colorado Library (Kemper, 1967) Norlin Library, which is the University of Colorado’s central library, widened its collection as the university increased its budget and expanded the subjects it taught in response to the strong economy of the 1950s. The growing collection cramped the library such that space for users was reduced. As a result, despite the strong economy, challenges included limited space for library facilities plus a shortage of funds, personnel and books. Hence, in the early 1960s, the library decided to prepare a 5-year long-range plan and a 3-year mediumrange plan in response to a request by the university. The library director and assistant director had begun to study longrange planning in their roles as members of a university committee focused on the issue. The library director, assistant library director, library managers and the university management committee carried out consultations to begin preparing a plan. However, at the time, not all university facilities prepared long-term plans and the procedure was informal; even the deadline for completing the plan had not been considered. Under such circumstances, the library managers felt that it was unrealistic for the library to prepare a long-range plan. As a result, they only set long-range goals, but did not complete the groundwork for a long-term strategy. The university presented a broad framework for a long-range plan, but the library managers and staff lacked the skills to design it. They felt that the framework of management planning that the university had studied was not suitable for library management. Case Study: University A (The University’s Name was Confidential) (Young, 1976) Beginning in the late 1960s, University A’s library budget fell steadily. Until that point, the library had employed a traditional accounting

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method, but the library’s managers felt that a new framework of some kind was needed to plan management or clarify the budget. The library’s managers decided to adopt PPBS, which the government and consulting firms were implementing at the time. University A’s library invested $70,000–80,000 during planning, and also paid more to a consulting firm to plan, introduce, and operate PPBS. Furthermore, the library invested $200,000 at the time of implementation, and a further $20,000 to maintain operations. However, the library managers realised that because a university and a library are unique organisations, they would have to apply a modified version of PPBS. The library’s staff members were sceptical about applying PPBS – which was a different system from their past one – to the library. Furthermore, to introduce PPBS, library staff members would be asked to devote many hours to it; however, they were unable to spend all their time on the matter. As the above case shows, the library managers and staff members lacked the necessary skills to apply a complex management theory to their library. Although they tried to implement PPBS, it was far removed from everyday business objectives; this system was directly tied with an accounting system, and not with librarians’ work. At the same time, the staff held sceptical views of the theory, preventing them from aggressively implementing it. As a result, PPBS was not introduced to University A’s library in its complete form. 3.4.1.4  Conclusions About Using Long-Range Planning It is clear that libraries introduced long-range planning in response to its promotion by the government and universities. The Denver University Library’s long-range plan was ultimately not carried out by the library director and staff. The underlying cause of this failure was that the staff lacked both an understanding of long-range planning and the ability to implement it. There have been cases where even if long-range planning is introduced, many library staff do not understand it and have a negative attitude toward its introduction. For example, at the University of Colorado’s Norlin Library, the library managers felt that it was not realistic to prepare a long-range plan. At University A’s library, the staff were sceptical of PPBS and did not carry it out aggressively. The idea that management carried out steps to prepare a longrange plan, which is characteristically different from past library work, was pointed out through the case analysis of the Denver Public Library. In the 21st century, managers carry out much of the work required to

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organise a long-range plan; in contrast, past decision-making was handled by a library’s various departments. McClure, et al., (1993) and Biddle (1992) also pointed out that library staff lacked management expertise at the time. These facts show that long-range planning differs greatly in nature from the past culture, philosophy, and specialised work of libraries.

3.4.2  Management by Objectives Management by objectives (MBO) is a management theory advocated in The Practice of Management (Drucker, 1954), which is the world’s first book on management. Drucker argued three points: (1) the need to set goals to perform management; (2) domains in which objectives and outcomes should occur; and (3) performance evaluations. He concluded that an evaluation system based on objectives and outcomes both improves performance and increases staff members’ satisfaction. This theory was established and popularised later on, as were similar theories by Odiorne (1969), Humble (1970) and others. This approach led to further theoretical development, such as in McGregor’s Theory Y (1960) and Locke’s goal-setting theory (1968). Fig. 3.3 shows that MBO began to spread in libraries in the 1970s, and even though the trend decreased in the late 1980s and early 1990s, its impact has continued until the present day (Fig. 3.3).

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Figure 3.3  Impacts of management by objectives (MBO).

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3.4.2.1  Case Study: The Pennsylvania State University Libraries (Johnson, 1973) In about 1970, the Pennsylvania State University Libraries faced increasingly complex management challenges. Despite growing, harsh budget problems, it was forced to expand its library services; the library organisation grew and became extremely complicated. Under such circumstances, the library was compelled to reconsider its budget and human resources. Then, in 1972, the library introduced MBO. Their first step was to set both short- and long-term objectives from qualitative and quantitative angles. Since there were many goals, they set standards and used them to narrow the objectives. Next, they established detailed procedures for achieving the objectives and prepared an action plan. To do this, they asked an outside consultant to meticulously refine the entire action plan. They began to execute it in late September 1972. This project proceeded almost exactly on schedule, but was delayed due to a shortage of space in the new building. Finally, they assessed the results of introducing MBO. The library staff devoted an extremely large amount of time to MBO, and as objectives were carried out, they learned a great deal by reconsidering the method of introduction. They set objectives to be achieved during specified periods, and appraised the execution and evaluation techniques in terms of their usefulness for library management. 3.4.2.2  Case Study: The Houston Academy of Medicine–Texas Medical Center Library (Lyders, 1979) The Houston Academy of Medicine–Texas Medical Center Library began to consider MBO in March 1977. It did this because the library’s newly appointed manager clearly defined work and responsibilities, and began to try managing work by measuring its effectiveness. First, when the introduction study began, the participants knew almost nothing about MBO. For about 6 months, the heads of all the library’s departments consulted with each other for about 1.5 h each week to consider MBO. Because they knew that it would not be enough to simply list the objectives and actions of library work, they started to introduce MBO in July 1977 by reconsidering the simple objectives they had originally set. The MBO system that they had considered extensively up until then was limited to managing the performance of each organisation within the library, but they realised they should have been focusing on the overall organisational objectives and work set instead. In this way, the library staff

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members’ awareness of MBO changed from ‘simply a tool to set objectives’ to a ‘management process for the entire library’. This led to a second attempt at starting the project introducing MBO. Second, the managers of the library referred to the works of Drucker to reset the objectives for the second attempt at starting the project. Drucker stated that the mission of a business must be defined based on its market and customers, and wrote, ‘Discover your public’s needs, and you will have defined your service objectives’ (1954). Focusing on this idea in particular, they defined the mission of the library’s services, established four domains to support the mission, then measured the effectiveness of and selected the department in charge of each respective domain. Third, they built an MBO navigation system. The library managers required this to ensure accountability. They used this system to set annual action plans and evaluation indices for each goal, then began to implement MBO based on this. The library staff members devoted about 870 h to the MBO project over a period of 18 months. Library staff involved in the project spent more hours conducting other work. The cost of introducing MBO was also extremely high. It was very difficult to perform work to concretise the pre-set goals in order to establish the system. For these reasons, it was considered unreasonable for only library staff to apply MBO, and essential to employ an experienced consultant. 3.4.2.3  Conclusions About Management by Objectives MBO is a management theory that has had a great impact up until the present day. However, many libraries that tried to apply this management theory in the past faced difficulties in implementing it; in particular, the many hours needed and the high costs posed a great barrier. The author presumes that the underlying factors that prevented MBO from being properly introduced were due to the staff members’ inadequate management skills and insufficient understanding of MBO. This situation could be understood from the way the Houston Academy of Medicine–Texas Medical Center Library diligently referenced Drucker’s works (according to their report), and the statement (in the same report) that it would be better to hire a management consultant with many years of experience in MBO. Even the Pennsylvania State University Libraries obtained help from a management consultant. The purpose of introducing MBO was to have librarians learn to set objectives to comply with the organisation’s objectives. In addition, by voluntarily taking on the implementation, regulation and evaluation of MBO

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as their own responsibility, the librarians’ work motivation was enhanced and the organisation was revitalised. However, this led to the exhaustion of the librarians, such that achieving the goals of MBO itself became difficult. The number of articles concerning MBO increased from the late 1960s to the 1970s. Ever since it was advocated by Drucker in the 1950s, it has been widely employed in the private sector in areas such as longrange planning and management strategies since the 1960s. It has also been applied in the area of personnel evaluation. MBO could be seen in libraries starting around the 1970s, indicating that this theory began to penetrate the library world 10 years later than it did in the private sector.

3.4.3  Game Theory French mathematician Emile Borel announced game theory in 1921, but this philosophy came into the limelight with the Theory of Games and Economic Behavior (1944) by the mathematician John Von Neumann and the economist Osker Morgenstern. Game theory mathematically analyses a situation marked by interactions that involve decision-making among multiple bodies; the agents who make decisions consist of individuals, organisations, companies and nations (etc.). An agent is a unit capable of making a single unified decision. Game theory has been applied to a wide range of matters shared by many academic disciplines. Since the 1960s, game theory has also been implemented in the study of management planning and management strategies in business administration. Since at least the 1990s, this theory has often been incorporated into competitive strategies; for example, Brandenburger and Nalebuff (1995) created a theory of strategic management based on game theory. One article in 1965 mentioned game theory, but otherwise game theory has rarely been referred to since (Fig. 3.4). However, it has been applied to library management several times. Due to the impact of game theory being integrated into management strategy theory, in the 2000s it was mentioned 11 times, thus showing that this management theory is once again drawing attention. However, with only 16 articles in total mentioning this theory, the author has omitted the chart. 3.4.3.1  Case Study: Examples of Applying Game Theory to Library Networks (1980) Cohen and Vijverberg (1980), professors at the University of Pittsburgh Department of Economics, applied game theory to bilateral cooperation between library networks. An analysis of library networks is often based

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Figure 3.4  Impacts of game theory.

on (1) the methods of coordination used with other libraries; (2) the estimated expenses necessary to maintain the networks; (3) the value of the library networks; and (4) their stability. Among these, they analysed, in particular, aspects pertaining to (1) and (4). From the perspective of game theory, the analysis results were clearly successful examples, particularly in cataloguing, such as in the Online Computer Library Center (OCLC). Following this, the fact that by 1975, 400 libraries had become a part of the OCLC network was proof of the successful application of game theory to enhance cooperation among library networks. 3.4.3.2  Case Study: Cooperative Game Theory and Library Decision-Making (2003) In 2003, Hayes (2003) studied the application of game theory (cooperative games) to libraries in general, in the context of a joint implementation of cooperative purchasing of book collections and automation. He concluded that it was possible to apply cooperative game theory to the strategic management of libraries. Libraries are generally known for their ideal spirit of cooperation with fellow libraries, but through cooperative game theory, it was also demonstrated that this cooperation has a high value. 3.4.3.3  Conclusions About Using a Management of Game Theory Game theory is a management theory that has had great influence on modern strategic management theory. Therefore, strategic management theory based on game theory is also a management theory that considers the external environment of the organisation as the basis for the theory, similar

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to the competitive strategy of the 1980s. However, as has been made clear by bibliometric analysis, this has not been applied a great deal to library management. Furthermore, in cases where it has been practically applied, it was not from the perspective of the external environment, but from that of the library network. The fact that the perspective of the external environment was missing in its application to library management until that point suggests a high possibility of strategic management and plans being draughted earlier without an external perspective along the lines of, ‘How do we bring the value of libraries to the market?’

3.5  MANAGEMENT THEORIES IN THE 1970s The 1970s was a period of stagnation for the U.S. economy, when there grew a sense of uncertainty regarding the prospects of management. Managers who rose up during the certainty of the 1960s predicted and planned for an unreliable future thereby signifying a strong interest in raising certainty in management. This meant that long-term management planning during uncertain times was not very useful. Strategy and Structure: Chapters in the History of the American Industrial Enterprise (Chandler, 1962) conceptualised strategy in the management research area for the first time. In the book, he puts forth a management theory using strategy to improve future certainty, and this theory flourished in the 1970s. Furthermore, the 1970s was a time when management consulting firms grew rapidly. In the 1960s, U.S. businesses quickly diversified their operations, but in the 1970s, managers leading businesses that had expanded due to diversification called for guidelines to integrate resource allocation with an increase in the number of products and market options. Management consulting firms studied management resource allocation for diversified businesses by developing various management theories to respond to the needs of these managers, and those businesses accepted help from the consultants. Library management in the 1970s was also shaken by the economic recession; it was a period that was financially unforgiving (Lancaster & Cleverdon, 1977). All libraries, regardless of the type, were influenced by consulting firms and the strategic management theory developed in the private sector. In short, when confronted with a severe economic environment, libraries also integrated the concept of strategic management for all complex functions and sought out efficient management. For example, in 1973, the Boston University Library signed a contract with

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the management consulting firm Booz, Allen & Hamilton, Inc. (currently Booz & Company, Inc.), and tasked them with making analytic reports on management issues at the university library (Booz & Hamilton, 1970). This and other examples well reveal the circumstances of libraries during that period. Furthermore, the 1970s was when the Public Library Association (PLA), a subcommittee of the ALA, and the Association of Research Libraries (ARL) seriously contemplated efficient library management and enthusiastically developed performance evaluations. In this manner, as we saw already in Chapter 2, Influence of Business Management Theories on Libraries from 1960s to 2010s, the trend among libraries in the 1970s, which were influenced by new business management theories, was also apparent in the library textbooks. Library Management (Stueart & Eastlick, 1977), the first textbook on library management, was published in 1977. Later, when strategic management theory became popular in that decade, ‘library management’ came to be taught at graduate schools as a specialised subject. Therefore, the 1970s was when library management was on the verge of awakening to modern management.

3.5.1  Strategic Planning and Strategic Management After the concept of strategy was brought up in management studies (Chandler, 1962), management theories underwent a big transformation. Management theory developed remarkably in the 1970s due to the strategic management theory, which was based on strategic planning and strategic management. People who played an important role in the development of management theory were H. Igor Ansoff, George A. Steiner, Kenneth R. Andrews, P.F. Drucker, Charles W. Hofer and Dan Schendel. Strategic management theory, as presented by Ansoff (1957, 1965), was initially in the limelight. Ansoff developed strategic planning as a systematic and comprehensive theory to be used on site by managers. Steiner (1963) and Andrews (1971) each presented their strategic planning theories and came to wield a strong influence in the private sector. Their strategic management theories were the first to elaborate on systematic and comprehensive strategic planning, and they continue to be consulted by managers even in the 2000s. With Hofer and Schendel’s strategic management theory (1978, 1979), the 1970s’ strategic management theory attained a certain level of completion. The following is an explanation of Hofer and Schendel’s strategic management theory, which is considered the culmination of strategic management.

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Hofer and Schendel (1978, 1979) sorted out the strategic management theories that were prevalent until the 1970s and integrated the theories from the 1960s to the 1970s. This integration helped in the process of change from strategic planning to strategic management. In short, Hofer and Schendel further developed and presented the predominance of the plan demonstrated by Koontz and O’Donnell (1960). They integrated the strategic management theories developed in the 1970s and brought about a stage of completion not only for ‘strategic planning’ but also for ‘strategic management’. Hofer and Schendel’s strategic management is comprised of the following steps: (1) separating the process of formulating objectives from that of formulating strategies; (2) dividing the strategy formulation process into two levels, corporate and business/division levels; (3) introducing a strategy formulation process for social and political analysis; (4) introducing contingency planning into the strategy formulation process; and (5) eliminating/excluding budget formulation from the strategy formulation process and strategy implementation plan. In particular, the process of formulating strategic management was separated into three levels: (1) corporate level strategy; (2) business level strategies; and (3) function-based strategies, and it involved examining each level in detail. In doing so, Hofer and Schendel identified that the components that need to be included in each strategy were (1) scope; (2) distinctive competencies; (3) competitive advantages; and (4) synergy. Hofer and Schendel’s strategic management, therefore, features a detailed construction of subdivisions of strategies. They divided strategic management into respective strategy levels, enumerated important points to be noted when analysing, and presented a complex flowchart showing strategic management theory at the company-wide level and the procedure for strategy formulation. Fig. 3.5 shows that analysis of strategic planning in libraries began gradually in the 1970s, and began to be adopted by a large number of libraries from the 1990s to the 2000s. The actual number of references grew greatly in the 2000s (Fig. 3.5). With this in mind, it is not an exaggeration to say that if the first awakening in library management happened in the 1970s, the second happened in the beginning of the 2000s. Recently the impact has been decreasing, since strategies have become more common and a natural part of library management. However, on observing the concept of strategic management, we realise that its influence was extremely weak. Strategic management is a

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Figure 3.5  Impacts of strategic planning/strategic management.

concept that emphasises management execution as well as planning, but library management focused mostly on planning only; from this, it is possible to surmise that there was no smooth transition to execution. 3.5.1.1  Case Study: Pennsylvania State University Libraries (Cline & Meringolo, 1991; Gannaro, 1989) At Pennsylvania State University, in 1983, strategic management was introduced with the appointment of a new university president and vice president. The university supported the creation of strategic management with lectures, which were attended by the chief and assistant librarians who played a role in the strategic planning of the libraries. On the one hand, while they committed themselves to strategic management, on the other, they were also sceptical about it. The staff did not have sufficient professional knowledge of management and did not fully understand the word ‘strategy’. In the planning phase in early 1983, an analysis was conducted to understand the strengths, weaknesses, opportunities and threats of libraries. Library managers formulated a strategic plan based on the strategic management theories of Steiner, and Hofer and Schendel. They completed their strategic planning draft and presented it to the university. While formulating the process of strategic planning, Hofer and Schendel realised that the 20 years after the 1960s was a period of great transformation in libraries. The transition phase involved shifting from

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conventional library tasks related to books (anthologies, collections, systemisation, archiving, lending, etc.) to one related to computerisation of their work and use of electronic equipment. In this context, the two goals of strategic planning were set as (1) digitisation of catalogues and acquisition of a broad collection of new electronic equipment; and (2) continuing the collection of conventional physical books. However, this strategic planning needed new and large-scale sources of funding. The libraries emphasised two points in strategic planning. The first was tying the yearly plan to the funding plan, and the second was getting university managers to have a hand in draughting the libraries’ strategic planning. Strengthening the connection to funding was a powerful advantage for the implementation of strategic planning. In 1984, by revising the strategic planning draft, a 5-year strategic plan was formulated. In the strategic plan, the library managers described six ‘objectives’ in responding to a changing environment. The first three of those ‘objectives’ were for dealing with the digital environment and the last three were for strengthening the traditional collection. In order to achieve these objectives, an enormous budget was required in the following 5 years. Investment in new technology was required, at any cost, to maintain a competitive edge over other organisations offering information resources. Furthermore, when implementing the strategic plan, they needed more cooperation from profit-making businesses for the practical application of information technology and for the construction of facilities. After 1983, the strategic plan continued to be improved, and each improvement made heavy demands on the librarians’ working hours. Since these complex plans involved several formalities, there was, inevitably, opposition from the staff on site. However, the strategic plan allowed library managers to reveal the intentions of the libraries to relevant organisations and proved useful as an explanatory tool. They eventually listed the advantages and disadvantages of strategic planning. 3.5.1.2  Case Study: University Library of California, Riverside (Gardner, 1989) The University Library of California at Riverside formulated its first strategic plan in 1977. Its objectives were to (1) improve user-friendliness of the book collection; (2) introduce a lending system; (3) improve the interlibrary loan (ILL) service through close cooperation with the OCLC; (4) use a system for cataloguing; and (5) construct a conservation archive.

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This strategic plan was implemented, but shortly thereafter, it was re-examined in 1978. The review’s objectives were to (1) reconsider the selection of books and reception; (2) aim for further optimisation of cataloguing work; (3) train librarians to deal with computerisation; and (4) aim for further cost reduction through computerisation. However, this strategic plan was again re-examined in 1984 with new objectives for strategic planning and specific methods for services to achieve those objectives. 3.5.1.3  Case Study: University of Iowa Libraries (Gardner, 1989) In the 1980s, the University of Iowa Libraries was in dire need of a strategic plan. In spite of sudden changes to the environment, such as drastic cuts leading to the dismissal of 17 librarians, a further 10% reduction in library employees following this was imminent, indicating the severity of the constraints faced by the management of the library. In such a context, from 1987 to 1988, the library formed strategic management groups within the organisation and draughted a strategic plan. In the strategic plan they presented to the university in February 1989, they described in detail the priority areas for the next 5 years: (1) technology; (2) outreach services; (3) librarian training; and (4) sharing of information resources and collection management. However, after presenting the strategic plan, it was immediately re-examined. The reason was that the four priority areas did not include the existing operations, which was an elementary error of the strategic plan draft that had a narrow scope of targeted users. In May 1989, the library revised this strategic plan and eventually submitted it to the University of Iowa. 3.5.1.4  Conclusions About Using Strategic Planning/ Strategic Management McClure stated that the strategic planning and strategic management of the 1970s was not understood by the library community. Furthermore, Kemper pointed out that the employees of the library had not recognised the importance of comprehensive strategic planning and strategic management. From the examples of the targets of analysis as well, it was clear that library staff did not understand strategic management and were generally sceptical about it. Amending strategic plans as necessary is not an issue, but in the case examples, it is conceivable that the problem was the reason for making the revisions. For example, the reason for revising the strategic plan for the University of Iowa Libraries was not due to the change in circumstances, but due to considerations that had been omitted from the start. At Pennsylvania State

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University Libraries as well, revisions were unavoidable due to insufficient consideration given to certain areas as pointed out by the university. At the University Library of California at Riverside, strategic management was re-examined immediately after implementation. In each of these cases, there was a flaw in the strategic planning, and since it was pointed out that draughting the strategic plan required a long time, the circumstances of librarians’ lack of experience in formulating strategic plans is questionable. From these facts, it is clear that from the 1970s to the 1980s, the management skills and knowledge of library managers was quite inadequate. From the fact that the number of references to strategic planning and strategic management in libraries from the 1970s to 1980s was low, this can be considered an age when strategic management was flourishing in the private sector, whereas in libraries, strategic management theory was still in its infancy. Strategic planning on site at libraries began to grow in the 1990s. Although management skills and expertise were lacking, and despite opposition from library employees on the ground and from library managers who bore the responsibility of explaining to the organisations to which they belonged, strategic plan formulation was a definite advantage. This point was touched upon in the case of the Pennsylvania State University Libraries. In other words, the usefulness of strategic planning lay in its recognition as a tool for communication with the libraries’ affiliated institutions. This offers a glimpse into the gap in the mind-set between management and the on-site library staff. In those times, library managers consulted the management theories of authors like Steiner or Hofer and Schendel to draft management plans. Moreover, ALA management planning was required to be long-term and objective.

3.5.2  Library Management Evaluation Theories Management theory developed in the library field was examined mainly by the ALA. It comprises two aspects: planning and evaluation. However, planning was based on management theories planned for private companies (such as long-range planning and strategic planning/strategic management), and lacked originality as a management theory. On the other hand, evaluation produced a highly original theory compared to planning. Consequently, the discussion here will focus on library evaluation theory. Library evaluation (performance evaluation) involves creating indicators for items that need to be confirmed in a library’s activity details and for achievements from a management perspective; measurements of these

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indicators (performance indicators) are taken and library management is assessed based on these measurements. In recent years, ISO 11620 was considered the international standard for this evaluation. When comparing the number of indicators originally introduced as performance indicators with the number listed in ISO 11620, we see that the number has now multiplied by a factor of three, making the evaluation more comprehensive. Other evaluation methods for library management may also include methods that measure the economic value of libraries, and so on (Molz, 1990), but the actual results that have been applied to on-site library management are limited. In this study, from among all the available library management evaluations, the focus will be on ALA management evaluation theories, ISO 11620, ARL management evaluation theories, Lancaster’s library management evaluation theory, Hernon’s library management evaluation theory, SERVQUAL and LibQUAL+. 3.5.2.1  ALA Management Evaluation Theories Performance evaluation with regard to libraries began in public libraries in the second half of the 1960s (Evans, 1983). From the 1930s to the mid-1960s, the ALA set service standards for libraries nationwide, and by comparing these standards with statistical data (in particular, data related to the internal parts of the organisation: number of books, budget, personnel), tried to prompt improvement in public libraries. However, despite national standards being set, since public libraries had their own challenges, library management fell into a state of dysfunction. Furthermore, a large amount of data pertained to internal operations within the basic statistical data, while the ‘service’ perspective was largely lacking. Accordingly, performance evaluations were then newly introduced. The ALA and, particularly within that, the PLA, stopped formulating nationwide service standards for libraries, and instead measured and assessed each kind of service, and sought management that was suited to the individual management environment of each public library. This was a big transition from dependence on statistical data to focus on service. In the backdrop of prompting this change, in addition to the introduction of long-term management planning from the 1960s, was the newly emerging need to report management results to the parent organisation to which libraries were affiliated (Ebert, 1972). The discussion about such performance evaluations became much more active starting in the 1970s. This was due to the influence of the U.S. economic recession of the 1970s, when the accountability of library management was strongly called into question. The ALA, at that time,

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presented concrete performance indicators in the Performance Measures for Public Libraries (1973). In the latter half of the 1970s, the ARL developed a framework, called the Management Review and Analysis Program (MRAP), for assessing university library management (MRAP and ALDP are ARL management evaluation theories that will be explained separately). Afterward, the ALA repeatedly and continuously made improvements on performance evaluations. In the 1990s, discussions on performance evaluation became active once more. This was due to the U.S. government enacting the Government Performance and Results Act (GPRA) in 1993. The GPRA is a law that calls for ‘results and evaluations’, and considered it best if results could be quantitatively measured. From this, we realise that the government’s policy that was introduced in the early 20th century was based on a scientific, result-oriented and quantitative approach. 3.5.2.2  ISO 11620 (ISO, 2014) ISO 11620 is a set of library performance indicators marking an international standard. Library evaluations had existed since the 1950s, and by the 1970s had been considered key indicators on performance. These indicators gradually unified into a distinct set of indicators, and were then standardised into widespread performance indicators. A unique feature of ISO 11620 is that it has a balance scorecard backing its theory (see the section on balance scorecards). In ISO 11620, a balance scorecard is used, and indicators are set based on: (1) resources, access and infrastructure; (2) use; (3) efficiency; and (4) potential and development. Furthermore, the ISO 11620 published in August 2008 (second edition) was aimed at integrating the ISO 11620, which consists of indicators related to conventional library services, and the ISO/TR20983, which consists of indicators related to electronic library services. 3.5.2.3  ARL Management Evaluation Theory: Management Review and Analysis Program (Johnson & Mann, 1980) The MRAP is a management evaluation method developed by the ARL in the early 1970s to identify problems in each area of university library management. Specifically, it carries out management evaluations of university libraries based on (1) changes in attitude, (2) behavioural changes and (3) organisational changes. Furthermore, MRAP’s goal was to make a mutual comparison of evaluation results of university libraries of the same size.

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However, MRAP did not provide management objectives or specific management methods for libraries. Moreover, the ARL, when introducing MRAP, was considering library management evaluations of the current phase, and this pointed to concepts that should be considered from a long-term perspective. Furthermore, they cited other limiting constraints, such as (1) the lack of an external (outside the library) perspective; (2) limits of the skills of librarians, since at times expert support was needed in some cases due to lack of sufficient management skills for implementing MRAP; and (3) the difficulty of securing enough time from library staff to implement MRAP (Webster, 1973, 1974). The MRAP is a management evaluation theory oriented towards large-scale libraries, and the ALDP (Academic Library Development Program) (Naylor, 1983) and PPSAL (Planning Program for the Small Academic Library) (Grady Morein, 1980) have been developed in the same way for mid- and small-scale university libraries. 3.5.2.4  Lancaster Library Management Evaluation Theory Frederick W. Lancaster proposed an extremely analytical library management evaluation theory in the 1970s. He collected meaningful data on ‘problem-solving’ and ‘decision-making’ in library management. The analytical aspect is apparent in the fact that he titled his lecture transcript ‘Evaluation and Scientific Management of Libraries and Information Centres’, (Lancaster & Cleverdon, 1977) and in the fact that he based his management evaluation theory on the scientific management methods proposed by Taylor. 3.5.2.5  SERVQUAL (Carman, 1990; Parasuraman, Berry, & Zeithaml, 1991; Parasuraman, Zeithaml, & Berry, 1988, 1994; Zeithaml, Parasuraman, & Berry, 1990) SERVQUAL is a method for quantitative evaluation of services, developed by Parasuraman et al. (1988). SERVQUAL did not spread far in the private sector, but gained a certain level of currency among the U.S. libraries, and was researched actively within the ARL. Generally, the available methods for setting standards for quality management of products and services include setting ‘objective quality’, or surveying and setting ‘customer satisfaction’. SERVQUAL is an evaluation method that attempts to manage quality quantitatively, using customer satisfaction to establish ‘the service quality that customers expect’ through means such as questionnaire surveys and analysis of the discrepancy between the ideal and actual quality of services provided.

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SERVQUAL evaluated 22 items based on the five dimensions of reliability, responsiveness, assurance, empathy and tangibility. The 7-step Likert scale (amended to 9 steps in 1997) was used for evaluation. Two approaches revised SERVQUAL and attempted to apply it to libraries: (1) that of the Texas A&M research group directed by Cook and Thompson (2000); and (2) that of the group led by Hernon and Nitecki (Hernon, Nitecki, & Altman, 1999). 3.5.2.6  Hernon’s Library Management Evaluation Theory (Hernon & Altman, 2010; Hernon & Dugan, 2004) Peter Hernon, a researcher specialising in ‘theories of library management evaluation’, placed particular emphasis on the evaluation of user services. In doing so he emulated the business world, which can be seen in his reference to Drucker and Kotler as he called library users ‘customers’, and in his statement, ‘Think first and foremost of the customers’. The evaluation items requiring serious consideration within Hernon’s theory of library management evaluation are (1) input indicators; (2) output indicators; (3) outcome indicators; and (4) the customer’s perspective. Characteristic of his theory is the strong influence of SERVQUAL and its adoption of discrepancy analysis. Hernon defined customer satisfaction as the satisfaction created by an actual experience in light of an anticipated experience (Hernon & Whitman, 2001), and he used discrepancy analysis to perceive the challenge of customer satisfaction as the discrepancy between ‘libraries that users consider to be ideal’ and ‘libraries actually used by users’. He also mentioned library management plans, but these were based on the 1960s’ long-range planning and systems of MBO, and the 1970s’ strategic planning and strategic management, and have therefore been omitted from this explanation. 3.5.2.7  LibQUAL+ (Association of Research Libraries, n.d.; Cook, 2001) LibQUAL+ is a method of evaluating the quality of library services developed based on SERVQUAL in 1999 by Fred Heath (Thompson, 2007), head of the Texas A&M University Libraries, and Colleen Cook et  al. LibQUAL+ was continuously improved after development, and in the 2007 version, as with SERVQUAL, consisted of 22 question items and 11 additional items. Question items included a total of six dimensions: the three foundational dimensions of ‘Information Control’, ‘Affect of Service’ and ‘Library as Place’, and three additional items. Eight dimensions were specified in 2000, four in 2002, and three in 2007, revealing a tendency to concentrate the dimensions.

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A LibQUAL+ questionnaire survey was conducted via a website, and survey participants responded on a 9-step Likert scale to the same three factors as in SERVQUAL, namely; ‘my desired service level’, ‘my minimum service level’ and ‘perceived service performance’. On LibQUAL+, responses are collated and results are reported in a colourful diagram (Webster & Heath, 2002). Fig. 3.6 shows that the ALA’s evaluation theories (performance indicators, measurements and evaluations) continue to have a relatively large influence in the world of libraries. The influence of these theories shows a substantial increase from the 1970s to the 1990s, but still continues to this day. On the contrary, when conducting searches of the keyword ‘ISO 11620’, there are some references in the database, but they are all examples from outside the United States. It follows that ISO 11620 had only a minor influence on the United States domestically. Furthermore, the number of references to MRAP and Lancaster’s library management evaluation theories was also extremely low. Case Study: Cornell University Libraries (Ross, 1976) The Cornell University Libraries hired an outside management consultant in 1965, and became part of the OCLC in 1966 to computerise its library operations. To assess the effect of such a sequence of management activities, they conducted a performance evaluation in 1975 that centred on expenses. The target was technical service operations, mainly computerisation; also, indicators were set with a focus on technical services. However, the data used in the performance evaluation were mostly inaccessible, and there was some trouble in data aggregation.

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After the initial introduction of the systems and participation in the OCLC, the substantially increased costs made others view it with pessimism. Although costs were substantial in the first fiscal year, the following years revealed the effect of operational optimising due to online cataloguing using the OCLC. Therefore, from the results of performance evaluations, computerisation began to be considered as meaningful. Case Study: University of Massachusetts Amherst Libraries (Fretwell, 1976) The University of Massachusetts Amherst Libraries started MRAP in July 1974. This happened in the backdrop of recession in the U.S. economy and large-scale budget cuts, a freeze on recruitment of library staff, and drastic cuts to material and operational expenses. Under such circumstances, the university library managers had to attempt optimisation of management. This library identified a large number of problem areas and suggested improvement plans based on the MRAP evaluation results. Vital among those were the following three points: (1) defining the library’s mission and setting goals by function; (2) creating a framework for draughting a systematic management plan; and (3) giving library staff fair and open opportunities for promotion. However, the library management class did not call on library staff to engage in radical reform based on these problem areas, and it stopped at improvements that did nothing more than fill the gap between the evaluation results and the status quo. This was because as the MRAP project lengthened, the circumstances surrounding the library changed on a grand scale. The advantages of MRAP became evident to library staff when they viewed it from a managerial perspective. However, because a lot of time was spent on MRAP, it was also clear that this would be difficult to implement continuously. Case Study: University of Connecticut Library (Stevens, 1975) The University of Connecticut Library implemented MRAP in 1973. One of the main reasons for doing this was to evaluate their results in comparison with that of other libraries. However, MRAP took up a great deal of time, and it was evident that there were a number of other problems as well. Case Study: Yale University Libraries (Nitecki & Hernon, 2000) From 1998 to 1999, Hernon and Nitecki used SERVQUAL to evaluate the quality of services at the Yale University Libraries. They posited

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that some of the SERVQUAL evaluation items did not lead to improved library services, and consequently added and revised items to adapt it to the libraries. From the results of the analysis, it became clear that of the five dimensions, users prioritise reliability, and may wish to perform searches themselves without depending on library staff. Likewise, Hernon et al. conducted focus group interviews based on their analysis results, and asserted that the causes of the discrepancy between the service quality users expect and the reality of services provided should be pursued. Problems in implementing SERVQUAL included huge costs and heavy demands placed on the working hours of library staff. So as not to demotivate staff forced to perform all such work, an alternative option of using software to facilitate analysis was proposed, but this was even more expensive. Case Study: Duke University Medical Center Library (Holmgren, Murphy, Peterson, & Thibodeau, 2004) Duke University Medical Center Library advanced the digitisation of library materials, and almost all of its academic journals are now electronic. In 2002, to promote management reforms, the library used LibQUAL+ to evaluate the quality of its library services. In the initial phases of the introduction, an on-going survey was judged inappropriate from the characteristics of management theory, and project members were assembled from a wide range of the university’s departments. The survey was conducted by emailing around 12,500 recipients comprising students, clinicians, academic staff and hospital staff. However, after sending the emails, four problem areas appeared. First was that even though the email was received, the correct webpage did not display when clicking on the link to the LibQUAL+ questionnaire responses’ website. Second, many error emails were returned after sending and third, some users did not proceed to the end of the questionnaires. Fourth, there were major problems with the design of the questionnaire. Many respondents commented that the questionnaire was stressful, as it was complicated, included too many questions, and had ambiguous content. One researcher well versed in research methodology also commented that the content of the questions ‘was a joke’, and it was clear that the questionnaire was not sufficiently understood. The survey results demonstrated that ‘Personal Control’ and ‘Access to Information’ were important to users.

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3.5.2.8  Conclusions About Using Library Management Evaluations: Performance Indicators, Measurements and Evaluations From the changes in the number of references, it is evident that performance evaluations are an aspect of management theory that has a relatively big influence on library management. In the background of introducing performance evaluations were the U.S. government, the ALA and the ARL. However, performance evaluations do not appear to have shown great results in any of the case examples. For example, in each case, the library staff spent a great deal of time on the evaluations. At the Cornell University Libraries, there was difficulty in obtaining data, and at the University of Massachusetts Amherst Libraries, continuous implementation of performance evaluations was found to be difficult, apart from issues such as the enormous amount of time spent on them. It can be seen from these points that the adoption of performance evaluations was something that largely exceeded the normal duties of library staff, and it was obviously a big burden on them. A majority of the library staff ’s working hours was spent on ‘evaluation’ activities, but they did not reach the stage of ‘execution’ based on the knowledge gained from the evaluations. On the contrary, the advantages of introducing performance evaluations in the University of Massachusetts Amherst Libraries were visible to library staff from a managerial perspective. From this point, it is clear that until then, library staff work and library management were seen as different tasks, and that by carrying out managerial evaluations, the staff were able to glean a new point of view. As is evident from the fact that Hernon and Cook et  al. partially revised SERVQUAL, problems occurred when attempting to utilise the unmodified version of the tool in evaluation of library services. A case study of the Yale University Libraries demonstrated that (1) SERVQUAL costs a great deal of time and money; and (2) it cannot go so far as to indicate specific improvement measures after evaluation. This second problem in particular meant that although SERVQUAL could use ‘evaluations’ to identify services that are problematic within a library, it could not present specific guidance as to how to go about improving those services. In the same way, while LibQUAL+ was customised based on SERVQUAL as a method of evaluating library services, the case study of the Duke University Medical Center Library indicated that the

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LibQUAL+ evaluation contained many problems. Specifically, issues were raised involving the continual nature of the survey, the complexity of the evaluation procedures, the numerous questions, and the ambiguity of the evaluation items. Likewise, because the participants of the survey did not sufficiently understand the questionnaire content, the reliability of the results could be problematic. In conclusion, it can be noted that of the management theories, such as SERVQUAL, etc., adopted in the libraries, management theories from the field of business administration had been adjusted specifically for the libraries. Examples of these adjusted management theories include the ALA’s management plans and LibQUAL+, which describe what management plans for libraries should include, the principles they should be based on, and the specific steps that should be taken when evaluating management. However, based on the analyses conducted for this book, it became clear that these adjusted management theories have not had much effect. What can be understood from this is that simply revising some of the principles or adjusting some of the practices used in the field of business administration will not produce management theories that will be effective for libraries.

3.6  MANAGEMENT THEORIES IN THE 1980s The 1980s spanned a period in which three new trends appeared in the strategic management theory developed in the 1970s. These new trends were (1) Porter’s Competitive Strategy (1980); (2) Japanese-style business management theory (Ouchi, 1982, 1993; Pascale & Athos, 1981); and (3) Peters and Waterman’s Eight Excellence Attributes from their book, In Search of Excellence (1982). In Competitive Strategy, Porter expanded the subject of strategic management from whole companies to competitive strategy in operational divisions. The 1980s was when people were once again asking themselves how to manage the operations that many managers had diversified in the 1970s. Porter’s competitive strategy not only analysed the internal environment (organisation) of business strategy, but also set companies’ sights on the external environment of competitor companies (that had been increasing) or on diversifying, as it attempted to answer those questions. However, as of the mid-1980s, strategic management theory that had implemented elaborate management planning and had been the mainstream management theory since the 1970s began to be criticised as an ‘analytical management theory’. Strategic management theory centralised

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all matters to head office staff responsible for strategy formulation, introduced complications and organisational bureaucratisation in implementing strategies, imposed many institutional formalities on employees, and caused a decline in the ability to adapt to the changing circumstances on site. Situations such as these in which results were unimpressive relative to the effort spent on strategic management came to be mocked as ‘paralysis by analysis syndrome’. In this manner, strategic management theory, which had hitherto been criticised, gained ground in the 1980s. The U.S. economy became sluggish in the 1980s with U.S. companies being pressured by Japanese companies that had increased their competitive power internationally. With the U.S. economy receding, Japanese companies suddenly began to prosper, garnering worldwide attention. Japanese-style TQC (changed to TQM in the 1990s) and Theory Z grabbed the spotlight as examples of Japanese-style business management theories. This was the second trend. The world of libraries too was influenced in no small way by the trends of this period. For example, besides the Japanese-style TQC and Theory Z (Ouchi, 1982), The Art of Japanese Management (Pascale & Athos, 1981) had a major influence on thinking in the United States, and was introduced among library management textbooks. This is how Japanese management styles made an appearance among U.S. library management textbooks, and their practical application onsite was attempted. However, Peters and Waterman’s In Search of Excellence criticised the huge impact of Japanese-style management, arguing instead to focus on American business management styles. By analysing U.S. firms that had been achieving long-term success even under a recession, they reaffirmed the greatness of U.S. companies and of an American comeback for U.S. firms that had been losing to Japanese ones, and whose confidence was beginning to flag.

3.6.1  Competitive Strategy and Value Chain Competitive strategy is a strategic management theory for establishing differential superiority of specific companies or competing businesses of product markets to achieve a company’s ideals and objectives. Porter’s Competitive Strategy (1980) can be considered a representative of competitive strategy. Porter expanded the target of strategic management, which had been considered by the whole company to extend to competitive strategy in individual operational fields, and presented a general framework for analysing these fields. He considered five forces that decide

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a company’s competitive status: (1) threat of new entrants; (2) bargaining power of suppliers; (3) bargaining power of buyers; (4) threat of substitute products or services; and (5) rivalry among existing firms. Porter presented the following three basic strategies for dealing with these competitive factors and overcoming the competition: (1) cost leadership; (2) differentiation; and (3) integration. Porter also presented the concept of the value chain in Competitive Strategy. Management inputs raw materials in accordance with company goals and conducts creative activities to produce value by processing those materials. A value chain describes a company’s management activities as something formed by the connected combination of a series of value-adding activities. He was the first to notice the significance of competitive strategy that has such a value chain. Value chains in the modern day are not only within companies, but also in companies’ relationships with their externals, showing the connections amplified through information technology, such as outsourcing and supply chains. Under such circumstances, value chains have been positioned as an important framework when analysing management. Fig. 3.7 shows that, after 1986, there were only seven references to competitive strategy and value chain. From this, we can safely assume that competitive strategy had little effect on libraries. 3.6.1.1  Case Study: Analysis of Libraries Based on Competitive Strategy (Cronin, 1989) In the latter half of the 1980s, universities and university libraries felt the need to expand their services to secure and maintain a competitive edge over other 10 9 8 7

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organisations. They made large-scale investments in information systems to achieve this. In the private sector, competitive strategy for businesses was being analysed, but there was almost no analysis targeting universities or university libraries. In 1989, using Porter’s Competitive Strategy framework, Cronin clarified the current status of universities and university libraries theoretically. First, Cronin clarified the inputs and outputs in order to clarify the core activities of universities. University inputs are ‘students’, ‘data/information’ and ‘goods/funds/human resources’. Some output indicators included the extent to which students became available for the labour market and to what extent they were able to satisfy the needs of the labour market. Thus, universities were found to possess the same ‘process’ as profit-seeking businesses, and an analysis based on that process became the value-chain analysis. Cronin presented a PIM (people, information, management) model based on this and clarified the fact that the PIM possessed all the distinct characteristics of a value chain. According to Cronin, universities are businesses that process and manufacture knowledge. Universities (1) input data, information, knowledge and intellect; (2) create outputs such as new models, concepts and paradigms; and (3) store the outputs they produce in the same way that profit-seeking businesses store merchandise in a warehouse. Thus, conventionally, the university library would shoulder that pivotal responsibility, but in recent years, this kind of output came to be stored not only within the university, but also outside of it. The result was that university libraries were no longer able to satisfy their users with merely conventional services. In other words, from a value-chain analysis, he clarified that people were demanding new roles for university libraries, such as the creation of databases within the school, mediation with outside hosts, and setting up an environment in which it is possible for information to be downloaded. 3.6.1.2  Case Study: Environmental Analysis based on Competitive Strategy (Flower, 2004) In 2004, an analysis of the competitive environment surrounding libraries was carried out by Eric Flower. According to Flower, when libraries think of strategic management, they usually fail to take into account competitive strategy. However, with the development of information technology in the beginning of the 1990s and the provision of electronic environments, companies clambered to enter the new library industry. Some of them were (1) search engines like Google and Yahoo!, (2) Microsoft’s eLibrary and (3) databases like EBSCOhost, LexisNexis and ScienceDirect.

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Users did actually use the new services offered by these newcomer companies as an alternative to library services. Flower concluded that in such a competitive environment, libraries needed to survive by outdoing rival businesses that continued to enter the market. 3.6.1.3  Conclusions About Using Competitive Strategy and Value Chain Competitive strategy is a management theory that continues to be a major influence in the private sector. However, from the change in the number of references, it is clear that competitive strategy’s influence in the world of libraries is extremely small. Furthermore, competitive strategy had not been adopted in library management textbooks. From this, one can surmise that libraries had not considered competitive strategy, including the pros and cons of introducing it. On the contrary, from the latter half of the 1990s into the 2000s, it was clear from the survey of changes to the number of references that value chains within competitive strategy were considered in a few cases. This period was one in which information technology was commodified with the spread of computers and the Internet in the private sector. The latter half of the 1990s to the 2000s was when tasks were reconsidered based on information technology, and value chains were prevalent and centred on the private sector; there were, however, some cases in libraries as well of reviewing work processes in the same way based on value chains. By elevating industrial structure theory and marketing theory to the concept of strategic management theory, competitive strategy is a management theory that emphasises the external environment. Product portfolio management (PPM) and PEST (political, economic, social and technological) analysis, developed in the 1970s by the Boston Consulting Group, were other management theories that analysed the market in the same way, but libraries did not adopt these management theories fully. From this, it is clear that in the 1970s and 1980s, libraries largely failed to consider adopting strategic management theories, like competitive strategy, that were focused on the market.

3.6.2  Peters and Waterman’s Eight Excellence Attributes Eight Excellence Attributes is the ‘superior company model’ proposed by Peters and Waterman (1982), the consultants at the management consulting company McKinsey & Company, Inc., who finished conducting their studies on U.S. firms and authored the book In Search of Excellence, which became a bestseller in the United States.

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Peters and Waterman selected 43 companies from among U.S. firms that continuously exhibited high-level performance and innovation in the 20 years from 1960 to 1980 (and from among the 43, they focused particularly on 21 companies) and extracted common factors that supported each company’s excellence. Eight factors were found in common for their performance: (1) importance of action; (2) closeness with customers; (3) an independent and entrepreneurial spirit; (4) productivity enhanced through people; (5) valuebased practices; (6) strict following of standards; (7) simple organisation and a small head office; and (8) showing both aggression and patience simultaneously. Using Peters and Waterman’s Eight Excellence Attributes, research related to superior companies started around the beginning of the 1990s. A series of management theories centred on management resources and organisational ability, such as core competency management, visionary companies and resource-based view (RBV) management, inherited the spirit of the Eight Excellence Attributes. References to the book In Search of Excellence moved from one, in 1984, to a peak of three, in 1985, and it was clear that only 12 total references were compiled in the database. From this, we can say that the Eight Excellence Attributes did not have much influence on libraries (Fig. 3.8). 3.6.2.1  Case Study: Richard F. Barter’s Study (Barter, 1994) In 1994, Richard F. Barter studied the application of the Eight Excellence Attributes on libraries and stated that libraries should morph into organisations that exhibit true excellence. In so doing, Barter focused

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particularly on the following points from In Search of Excellence: (1) putting customers (not patrons, borrowers, users) where they belong: as the central focus of library’s mission; (2) adopting new technology (having an independent and entrepreneurial spirit); and (3) unleashing the talent and energy of all people involved in library services (raising productivity through people). He then concluded that libraries needed leadership capable of implementing these concepts. 3.6.2.2  Conclusions About Using Eight Excellence Attributes Eight Excellence Attributes is a management model that was extremely popular in the private sector, but as is clear from the number of references, it had almost no influence on libraries. Furthermore, there were no examples of implementation in libraries, and only one case study of a researcher considering the significance and importance of the Eight Excellence Attributes in libraries has been recorded. From these analysis results, we may ask whether the circumstances were such that library managers found it difficult to study strategic management based on the Eight Excellence Attributes. The reason for this could be that, as in Barter’s study, the Eight Excellence Attributes reflect the common factors seen in excellent companies and its concepts were biased toward profit-seeking companies. Furthermore, Barter states that it is not feasible for any management theory targeting profit-seeking businesses and other non-profit organisations to be adopted as-is to libraries. The second reason could be that the common factors of excellent companies do not form a good framework for strategic management, but rather are exceedingly conceptual, and therefore do not lend themselves well to adoption by library managers in practice.

3.7  MANAGEMENT THEORIES IN THE 1990s AND THE 2000s The United States in the 1990s was going through a period of maturity after learning from Japanese-style management, while simultaneously blending management theory with information technology. A number of management theories blending Japanese-style management of the 1980s with U.S. styles flourished, such as business process re-engineering (BPR), downsizing, restructuring, outsourcing, core competency, SCM/CRM, organisational learning/learning organisation, change management and visionary companies. Management theory saw a paradigm shift during this period. From the 1990s to the 2000s, the same tendency has continued.

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Among the features of the 1990s’ management theories were ‘globalisation’ and ‘acceleration’ in the context of ‘integrated computerisation’ and information systems. Such management theories were introduced even in library management and they wielded a strong influence. Furthermore, in libraries, SERVQUAL, which was used to a great extent in profit-making businesses, was considered and adopted in practice at the beginning of the 1990s. In the latter half of the 1990s, LibQUAL+ was invented as a SERVQUAL optimised for libraries, and a library management theory refreshingly original and customised for libraries was proposed.

3.7.1  Business Process Re-engineering BPR is a management theory according to which long-term success of an organisation is not attributed to its products, but to the thinking process behind the creation of these products. It negates conventional operational processes and attempts to fundamentally redesign the work process in an organisation. It was advocated by Hammer (1990) and the book Reengineering the Corporation: A Manifesto for Business Revolution (Hammer & Champy, 1993), had a substantial influence in the world. The essence of BPR was considered to be ‘the fundamental rethinking and radical redesign of business processes to achieve dramatic improvements in critical, contemporary measures of performance, such as cost, quality, service, and speed’ (Hammer & Champy, 1993, p. 32). Hammer and Champy also set four keywords: ‘fundamental’, ‘radical’, ‘dramatic’ and ‘processes’. As these keywords demonstrate, at the ideological core of this theory was ‘discontinuous thinking’ from conventional management. Furthermore, they list examples of existing systems and old rules that could be eliminated by adopting BPR; one of these is that ‘only experts can do complex work’. This example can be applied to cataloguing and other activities in library work that require expertise. In this manner, the recent outsourcing of cataloguing work indicates the influence of BPR. Fig. 3.9 shows a significant number of references to BPR from 1994 to around 2000. After that, its impact appears to lessen, but on average, it continued to be introduced several instances per year, indicating that BPR thinking took root. 3.7.1.1  Case Study: Wright State University (Winters, 1994) In 1993, Wright State University fundamentally reconsidered library operations based on BPR thinking and attempted to improve the quality and

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lower the costs of cataloguing. During that period, the managers referenced Hammer and Champy’s book in order to reform their organisation. Through such processes, they also implemented outsourcing of cataloguing work. The manager who was in charge of this reorganisation pointed out that the advantages of introducing the management theory in this library were seen greatly in the cost savings. On the other hand, its disadvantage over the long term was the loss of cataloguing professionals. In order to adapt to the new electronic publishing environment, they fundamentally re-examined how library employees do their work. 3.7.1.2  Case Study: Stanford University Libraries (Winters, 1994) In the mid-1990s, the Stanford University Libraries reformed its technical service work from a BPR point of view. The members of that project were library employees in ‘selection and purchasing’, ‘cataloguing’ and ‘bookbinding and conservation’, and outside management consultants. The work reforms were mainly carried out with the following three goals in mind: (1) eliminating redundant tasks and delivery between departments; (2) rethinking conventional tasks by using new information technology; and (3) cooperating with outside vendors to respond to increasing services and using information technology. Specifically, it began with reducing the exchange of work between the ‘selection and purchasing’, ‘cataloguing’ and ‘bookbinding and conservation’ departments, by flattening the

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organisational structure. Subsequently, the department heads of the selection and purchasing and cataloguing departments were eliminated, and a new ‘coordinator’ position was set up. The second step was to redefine the terminology for employees to share common knowledge among themselves. Thirdly, the work process was schematised from cataloguing to book organisation, and it became possible to exchange data with outside vendors through information technology. The results of introducing BPR were that the time for collecting materials was reduced considerably. Furthermore, along with reducing work processes, it became possible to reduce the number of library employees from 9 or 10 down to just 2 or 3. 3.7.1.3  Case Study: University of Illinois at Chicago (Zuidema, 1999) In 1994, 3 months after Stanford’s reorganisation, the University of Illinois at Chicago Library (UIC Library) evaluated its technical services and fundamentally reconsidered its work processes to adapt tasks to management goals. Technical services had been carried out mostly by the Main Library and the Library of the Health Sciences; although they were independent of one another, their organisational structures were similar. In order to restructure the UIC Library, approximately 10% of total library staff were involved, and consisted of a head committee, consultants, task forces and re-engineering teams. The context that encouraged the move toward adapting BPR included (1) a reconsideration of budget distribution at the university; (2) quality improvement of user services; (3) an increase in the accountability for expenses; and (4) support for distance learning. The procedure consisted of four steps: (1) the existing work process; (2) analysing the existing work process; (3) re-engineering the work process; and (4) executing and evaluating the new work process. The analysis steps (1) through (3) were considered Phase 1, and tasks considered unnecessary for the newly set goals were eliminated or integrated. The execution and evaluation in step (4) was considered Phase 2. The team members evaluated work processes based on ‘value- and non-value added activities’, ‘staff cost and time spent on performance of the task’ and ‘error frequency’. Although it was somewhat difficult for them to categorise tasks as valuable or not, creating new catalogue entries and adding annotations (which are traditionally important library tasks) were determined to be valuable. On the other hand, confirmation tasks for ensuring accuracy and completeness of data were judged to be redundant work processes; as technical services traditionally did not allow errors to

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be made, the work included a lot of reconfirming of catalogues. Therefore, a key concern during implementation was that the consolidated process would be too complex and require a lot of work. Phase 1 took about 18 months for completion, indicating the difficulty of implementation. In Phase 2, new work processes were applied and evaluated, and with them, new problems arose. That is, by synthesising work processes and reducing staff, the type and amount of work per person increased. The processes were introduced to improve the skills and productivity in the performance of tasks by library staff. However, this proved to be an extremely high hurdle for library employees. Phase 2 took about 9 months for completion. By adopting re-engineered work processes, six work steps at the Main Library were eliminated, bringing the number of work steps from 19 to 13. At the Library of Health Sciences, two steps were eliminated, from 15 to 13. Furthermore, the time spent on selection for books to order was reduced from 42 to 18.5 days at the Main Library, a reduction of 23.5 days. At the Library of Health Sciences, the time was shortened by 8 days, from 10 down to 2. The biggest change brought about by this re-engineering was that redundant, non-specialised tasks were synthesised at both libraries, and the number of staff was reduced. Furthermore, one of the reasons the project was extended to 27 months was the complexity of the libraries’ selection and cataloguing work processes. 3.7.1.4  Case Study: Denver Public Library (Sarling, 2005) In the latter half of the 1990s, the Denver Public Library responded to user requests by collecting a large number of newly published books, arranging comfortable chairs, and establishing a nearby coffee shop. With that, the library also abandoned conventional technical services. That is, by stressing efficiency from a BPR perspective, they fundamentally reconsidered the series of tasks from selection to inspection and lending. The Denver Public Library integrated several departments (technical services, collection building, lending, ILL, etc.) and created a department called Access Services. In 2001, the new head of Access Services conducted a study so that staff affiliated with the department would be able to respond to all tasks in order to reduce the time spent offering books to users. The results showed that collections that had been offered to users over the course of 6 weeks could now be offered in a mere 2 days. Meanwhile, this manager made the website easy to understand and userfriendly. In so doing, they were able to expand the abilities of the existing staff without having to hire new employees.

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Furthermore, cataloguing tasks were partially outsourced beginning in the early 2000s. Outsourcing was implemented in a standard manner to reduce costs and shorten turnaround times (the time from receiving a user request until supplying the user with the needed item). Following this, other tasks were also outsourced in phases, and an attempt was made to raise management efficiency by working cooperatively with outside vendors. However, the budget was drastically cut from 2001 to 2003 based on BPR implementation. In Access Services as well, 20 staff members out of 48 left due to retirement, transfer, or dismissal. In 2003, the library collection budget was reduced a further 30% compared to the previous year. 3.7.1.5  Conclusions About Using Business Process Re-engineering In each of the university library cases and the public libraries discussed, they succeeded in reducing tasks and staff and simplifying the organisations by applying BPR. Consequently, the libraries’ budgets were drastically cut. From the results of the bibliometric study, we realise that BPR has an extremely significant influence on libraries, and that it is a management theory that has been put into practice on site. Furthermore, in the same way, it is clear that the time from the proposal of the theory to its consideration in libraries was reduced. Therefore, when both university and public libraries were confronting increasingly severe budget cuts and library managers were being compelled to resolve the contradictory circumstances of ‘budget cuts’ and ‘expanded work’ all at once, BPR was introduced in library management to resolve these challenges, and it soon gained popularity. However, BPR, which was considered effective in library management, was a double-edged sword. While libraries reduced the contents of their work tasks, they had to lose staff members dealing with traditional technical services. While urging cost reduction, BPR also led to outsourcing and restructuring. Crainer (2000) points out that in this concept of BPR there is a strong lingering influence of Taylor’s Scientific Management that focuses on process and efficiency and engages in analysis. He states that in practice as well, this management theory is treated synonymously to dismissals and personnel reduction. Generally, even if BPR was introduced, personnel would not be reduced if the organisation was growing. However, libraries were unable to grow due to the influence of a sluggish economy and budget cuts, and their organisations shrank. Personnel reductions secured budgets in the short term, but over the long term, they weakened the power of the organisation. In practice, personnel were reduced by outsourcing technical services at the Denver Public Library, and at Wright

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State University, there were apprehensions about losing knowledge related to cataloguing with the loss of cataloguing specialists. It is evident from the above that while BPR comes with the shortterm advantages of cost reduction and efficiency, it undervalues the skills and knowledge that modern libraries accumulate from their long histories.

3.7.2  Core Competency Excellent behavioural attributes and skills that create good corporate performance are known as competency. The competency debate is thought to have begun with the essays of McClelland (1973), while Prahalad and Hamel (1990; see also Hamel & Prahalad, 1991, 1994) raised the management theory of core competency to the corporate level; it became extremely influential. They define core competence as follows: Core competence is the collective learning in the organization, especially the capacity to coordinate diverse production skills and integrate streams of technologies. It is also a commitment to working across organizational boundaries. (Prahalad & Hamel, 1990, p. 82) Core competencies – the company’s collective knowledge about how to coordinate diverse production skills and technologies. (HBR, Drucker, Christensen, Porter, & Goleman, 2010, p. 221)

Prahalad and Hamel assert that core competencies are the central strength of a corporation in providing customers with unique and inimitable services and goods. Subsequently, although they affirmed the foundational views of BPR and restructuring, the management theories in ascendancy at the time, they also pointed out the main shortcomings of these theories, and asserted the importance of core competency. For example, they pointed out that BPR and restructuring overemphasise short-term efficiency and therefore do not lead to future success. They stated that it is crucial to rethink corporate strategy based on a foundation of core competencies, rather than to strive to increase efficiency. They also asserted that core competency presented a shift in the conventional view of management. Likewise, they defined the requirements needed to achieve core competency, and posited that the secret to success could be found by practising those requirements, incorporating core competency into everyday operations, and adjusting the framework that surrounds all the organisational staff. Core competency also had a major impact on the library field (Fig. 3.10). This impact has continued to increase in particular since the publishing of Prahalad and Hamel’s research in 1994.

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While core competency gained currency in the private sector, it was also examined in the library field. The influence of core competency on the library world has gradually increased and continued for more than two decades. The data illustrated that librarians prefer this theory and it was suitable for libraries, as we will see in the cases in the following section. 3.7.2.1  Case Study: University of Nebraska–Lincoln Libraries (Giesecke & McNeil, 1999) In 1996, the University of Nebraska–Lincoln Libraries decided to introduce the idea of core competency into their management methods. Thereafter, the libraries conducted a literature review to deepen their understanding of core competency and conducted an interview survey to identify core competencies. The literature review revealed hardly any accounts of core competency by library staff, so they shifted focus to business publications. The interview surveys focused on the university’s personnel department, which was likely to have a good understanding of the organisation, and on medical centre staff, who often used the libraries. By the following June, they had clearly defined 12 core competencies related to the university libraries. Subsequently, based on these core competencies, they aimed to (1) employ new library staff; and (2) create a ‘learning organisation’ by educating existing library staff. This ‘learning organisation’ was created by adding training in core competencies to the library staff education program, and almost all library staff took part in the program. The education program contributed to increasing work productivity through reciprocal sharing of ideas and learning among library staff.

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Similarly, through presentations, role-plays and actual engagement in tasks and duties, it became possible to teach library staff the skills necessary for new environments. 3.7.2.2  Other Case Studies of Core Competency There are numerous case studies of core competency in addition to that of the University of Nebraska–Lincoln Libraries, such as a study of the core competencies and collection development at Iowa State University Library (2002), and the core competencies and library staff work outline at the Ohio University Libraries (2002). As we can see, there has been a wide-ranging examination of core competency within library collections and organisations. 3.7.2.3  Conclusions About Using Core Competency It was evident from the transition within the bibliometric analysis that core competency had a relatively major impact on libraries. In general, when commercial enterprises apply the idea of core competency, along with recognising the importance of core capabilities, they tend to emphasise specific skills or techniques. As a result, many commercial enterprises that introduced core competency, while identifying the core capabilities of the organisation, also attempted to outsource skills and techniques deemed to be non-core capabilities. However, as was also evident from the case study of the University of Nebraska–Lincoln Libraries, a management theory using core competency was introduced to libraries for the sake of recognising the importance of the latent core capabilities of the organisation rather than outsourcing. Subsequently, to give shape to the core capabilities of libraries recognised through core competency, emphasis was put on library staff learning. It can also be inferred from the fact that almost all library staff took part in workshops during the case study that the idea of core competency was accepted by library staff with relatively no resistance.

3.7.3  Organisational Learning/Learning Organisation Organisational learning/learning organisation is a theory built on the premise that organisations learn just as individuals do, and it describes the continuous activities organisations undertake in response to the environment to gain knowledge, habits and values. At its root/foundation is a perspective that promotes learning for all individuals, at all levels in an organisation, and considers the skills and knowledge that such individuals possess to be an organisation’s intangible assets.

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Argyris and Schon (1978) proposed this theory of organisational learning/learning organisation. Senge (1990), who was greatly influenced by Argyris and Schon, wrote the book, The Fifth Discipline, which included the following disciplines: ‘shared vision’, ‘personal mastery’, ‘mental models’, ‘team learning’ and ‘systems thinking’. These concepts continue to have a major impact on businesses today. Fig. 3.11 shows that research on organisational learning/learning organisation began around the 1990s after Senge published The Fifth Discipline. The amount of literature concerning The Fifth Discipline followed an upward trend, then began to fall by 2014. The data suggests that this may be because interest in The Fifth Discipline tends to fluctuate over time, and after 2006, once the second edition of The Fifth Discipline was published, librarians again began to refer to the theory. Due to the author’s popularity, librarians were influenced by the learning organisation model throughout the 1990s and 2000s, before it gradually decreased in popularity in the mid 2010s. Moreover, the concept of the organisational learning theory significantly resembles librarians’ traditional approach to learning. This similarity makes it easier for librarians to understand organisational learning and to utilise and apply it to library organisations. In addition, from the following section of highlighted case studies, it is possible to see that it has had a good effect and influence on library organisations. 3.7.3.1  Case Study: Teton County Library (Bernfeld, 2004) In the beginning of the 21st century, the Director of the Teton County Library, Betsy Bernfeld, implemented a management theory based on

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Senge’s The Fifth Discipline. At first the librarians found it difficult to understand, especially since it contained abstruse management jargon such as ‘building a shared vision’ and ‘systems thinking’. However, their budget constraints dictated that they had to make structural changes to their organisation, and they decided to put the theory into practice. The Teton County Library created a team called Team Leaders to deal with management-related matters. This was a cross-function-based team comprised of librarians from each of the departments in the library. They met once a week, when they discussed matters relating to library management, and developed a new vision for library management. Bernfeld then set out to implement management reform. She drastically reconfigured the original team, which had been assembled arbitrarily, and clearly defined the purpose and meaning of each team based on the new management vision. However, she also delegated authority to team members in a way that encouraged them to assume responsibility for management reform. With the new management-reform team in place, seminars that reviewed the management theory of the learning organisation were offered, and the librarians shared their visions of management with one another. Bernfeld and her staff developed a model for team learning that clearly incorporated Senge’s five disciplines. She writes about the merits of following such a model: The value of providing this model, this ordered ensemble, is that it sets priorities and it poses a methodology for accomplishing tasks that incorporates all of the disciplines, thereby predisposing the organization to learning. This model communicates to staff that the personal mastery of employees is the first and foremost concern of the Teton County Library. (Bernfeld, 2004, p. 123)

By prioritising the development of the employees’ individual expertises, diverse and skilled input can be gathered into teams and contribute to the organisation’s learning and subsequent growth as a collective entity. The Teton County Library hired an external management consultant to implement management reform because the existing librarians alone were unable to assume responsibility for the new operational task of management reform. The management consultant optimised the learning process of the organisation together with the Team Leaders, in a way that better suited the Teton County Library. This experience provided the foundation to enable the Team Leaders to share their common vision with other librarians and their teams, and begin to undertake tasks based on priorities. The Teton County Library improved its productivity by implementing the concepts for a learning organisation.

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3.7.3.2  Case Study: University of Nebraska–Lincoln Libraries (Giesecke & McNeil, 2004) In 1996, the University of Nebraska–Lincoln Libraries introduced the concepts from The Fifth Discipline along with core competency. Based on The Fifth Discipline, the library dean set up their new vision and brought the concept of a learning organisation into the library culture. Once he created the vision of the library, their university offered opportunities to learn about The Fifth Discipline and emphasised the importance of learning together with colleagues in order to overcome organisational problems and conflicts, such as communication conflicts. After their vision was shared with librarians, the library dean enhanced librarians’ learning with the concept of personal mastery. Librarians were encouraged to develop their skills based on these eight questions: 1. What do I want to accomplish this year? 2. What do I want to accomplish during the next few years? 3. What assets do I have to help accomplish this? 4. What obstacles are in my way? 5. What do I need from the Libraries or from the University to help? 6. What do I need my supervisor to do to help? 7. What is my pattern of failure? 8. What danger signs should I watch for (or ask my supervisor and colleagues to watch for)? (Giesecke & McNeil, 2004, p. 64) A private company surveyed the entire campus, including the libraries. The results of this survey showed that most of the librarians answered ‘excellent’ or ‘very good’ in regard to key learning organisation concepts. The important point of this survey is that the libraries rated higher than most other departments on these measures. 3.7.3.3  Other Case Studies of Organisational Learning/ Learning Organisation There are several other case studies of organisational learning/learning organisation in addition to that of the University of Nebraska–Lincoln Libraries, such as University of Arizona Libraries (Bender, 1997) and University of Maryland Libraries (Baughman & Hubbard, 2001). As we can see, there has been a wide-ranging examination of organisational learning/learning organisation together with core competence. 3.7.3.4  Conclusions About Using Organisational Learning/ Learning Organisation The literature regarding organisational learning/learning organisation illustrated that librarians prefer this management theory and this theory

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significantly mirrors traditional learning culture in the library world. This means that it is considerably easier for librarians to implement this management theory and it tended to work appropriately in libraries as opposed to Taylor’s scientific management theories. The methodology is less complicated than other management theories, and thus librarians were much more satisfied with organisational learning/learning organisation. From the case studies, we learned that organisational learning/learning organisation emphasised the librarians’ professional knowledge and having more free time to learn/develop new skills, even outside their organisation. Moreover, this theory celebrated the diversity of ideas and innovation.

3.7.4  Community of Practice A community of practice is a group of people who share an interest, concern, or passion and deepen their knowledge and hone their skills through continuous interactions with one another to share their knowledge and skills relating to that field. The concept of a community of practice was first presented in Situated Learning (Lave & Wenger, 1991). They studied business organisations from an anthropological perspective, and discovered that in every organisation there are units in which people learn from one another. They named that learning unit the community of practice, and by tying this concept to management strategies in the business world, they proposed a management and organisational theory that promoted establishing communities of practices within organisations. This concept became widely known after it was described in 2002 in Cultivating Communities of Practice: A Guide to Managing Knowledge (Wenger, McDermott, & Snyder, 2002), where it was discussed more systematically as a theory with application in the business world (Fig. 3.12). 3.7.4.1  Case Study: Texas A&M University Libraries (Goodwin & Gola, 2008) In 2005, Texas A&M University Libraries implemented a new federated search system called MetaLib. A seminar held to teach librarians how to use this new software utilised the community of practice theory. MetaLib’s implementation team created an open environment that enabled librarians to easily share information with one another. For instance, librarians were able to learn comfortably even if they had no prior knowledge of the software, and were able to ask questions or ask for help, if needed.

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30 25 20 15 10 5

19 9 19 0 91 19 9 19 2 9 19 3 94 19 9 19 5 96 19 9 19 7 9 19 8 99 20 0 20 0 0 20 1 0 20 2 03 20 0 20 4 0 20 5 06 20 0 20 7 0 20 8 09 20 1 20 0 1 20 1 12 20 1 20 3 1 20 4 15 20 16

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Figure 3.12  Impacts of the community of practice.

Additionally, librarians were expected to proactively learn the material and teach their colleagues. Implementation of MetaLib provided an opportunity for the trainers to implement the community of practice theory at the library, and to create a new community of learning. All the librarians shared the experience, and learned how to use the new technology from one another. 3.7.4.2  Case Study: University of Minnesota Libraries (Johnson, 2007) In 1998, University of Minnesota Libraries utilised an organisational system of a group mentoring. The University of Minnesota Institute encouraged the libraries to use the concept of the community of practice, especially for librarians early in their career, and required them to join the group mentoring since the university needed to train them for the future of the university. The mentoring was particularly critical in the retention of minority librarians. Small groups can reduce stress, enhance a sense of community, and provide mutual support. The university heard the following opinions from librarians in an institutional evaluation: I think the institute has influenced my career development in the past year. The institute created a wonderful environment for getting to know other new librarians, some of whom I’ve met up with at a couple of conferences since then. Also, I feel the leadership training gave me a lot of confidence in my potential and helped me to better understand how I best work, what role I play in the workplace, my work values, etc. It gave me a lot to think about in terms of what I want

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to contribute to the profession and where I’d like to go with my career. (Johnson, 2007, p. 411) I feel like a community was created at the Minnesota institute. If I need to contact any of my classmates for anything, they’ll be there to help, as I would be for them. It’s great to have this community born from a deeply shared experience. (Johnson, 2007, p. 411) I found the institute to be very supportive of my professional goals as a new librarian, and reinforced my values of why I chose to go into this profession. I’ve always had a positive attitude toward librarianship, but as a new librarian, I sometimes felt I was lacking guidance in how I could improve. The institute offered practical counsel – plus I got so much from talking with other institute participants. I believe firmly in the value of mentorship and I hope that the profession continues to recognize that librarians new to the profession can benefit from this type of opportunity. (Johnson, 2007, p. 414)

From these comments, one can see that the librarians were very satisfied with the group mentoring activities conducted through a community of practice. The librarians particularly highlighted the sense of community with their colleagues and the benefits of mutual learning, which are the core ideas of this theory. The University of Minnesota Institute successfully developed a way to put this theory into practice. 3.7.4.3  Conclusions About Using a Community of Practice In comparison with other management theories, the community of practice theory has less influence on the library community than other theories. However, if libraries had realised that the community of practice theory (which is very similar to organisational learning/learning organisation) could be used effectively for library organisations, this theory may have had a larger impact on the library world. The cases in this section showed that using the community of practice theory had good results; since library culture is quite familiar with the concept of ‘organisational learning’ and ‘practical application’, it is easy for librarians to accept the theory. It promoted greater engagement with library work, and devotion to learning and developing specialties.

3.8  PROBLEMS WITH APPLYING BUSINESS MANAGEMENT THEORIES TO LIBRARY MANAGEMENT 3.8.1  The Influence of Commercial Enterprise-Focused Strategic Management Theories on Libraries This chapter comprehensively addressed the main theories of strategic management and organisational theories that were developed for

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Figure 3.13 Transitions in the bibliometric analysis of management theories. From Library Literature, LISA, LISTA.

profit-making organisations and also significantly applied within library management. Prior studies have confirmed that theories of strategic management had a strong influence on library management up until the 1950s, and this trend has evidently increased with each passing generation since the 1960s (Fig. 3.13). In the 1990s, strategic management theories linked to BPR – which included downsizing, restructuring and outsourcing – had a strongly detrimental influence on library management. It was these management theories that led to a reduction in the number of personnel, which in turn led to the loss of important knowledge of library work such as cataloguing and technical services. From the late 1990s to early 2000s, a large volume of literature about core competence management was published and had a major effect on libraries; this was linked to organisational learning/learning organisation. Librarians welcomed organisational learning/learning organisation and community of practice, which are linked to the concept of core competency. These approaches had not led to a reduction in personnel, and had instead increased the productivity of their operations. In each of these cases, external consultants were hired, and the observation that the librarians were unable to implement management reforms on their own is a subject for further consideration. It has also become clear that management reforms were a major burden on the librarians. However, when considering libraries’ cultures and customs, the lack of adverse reactions to the reforms from librarians, their capabilities for implementing plans, and

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the results from the implementation of these plans, perhaps we can conclude that management and organisational theories such as organisational learning/learning organisation and community of practice are appropriate management theories for libraries. In the attempt to create library management as a new field, researchers, library directors and consultants adapted business management strategies for libraries. For instance, the management evaluation theories of the ALA and ARL were based on the long-range planning and MBO. Likewise, Lancaster’s library evaluation theory was based on Taylor’s scientific management. Furthermore, LibQUAL+ modified SERVQUAL to render it suitable for evaluation of library services, and ISO 11620 revised Balanced Scorecard to orient them to libraries. As library management theories, however, they all lacked originality, and were not executed appropriately even when actually applied to libraries. This may be because while management theory is complex, the management theories were originally meant for commercial enterprises and thus had a different concept of management.

3.8.2  The Shortcomings of Strategic Management in Library Management In practical library management, evaluations have been primarily based on long-range planning, strategic planning and MBO. This involved the same content as government policies promoted from the 1960s to the 2000s, and it is fair to say that among theories of strategic management, library managers have often referred to planning and evaluation as highly compatible with the policies of the government and ALA. This is also clear from the large volume of literature on theories strongly related to planning and evaluation, such as long-range planning, strategic planning/strategic management, performance indicators, evaluation and measurement and LibQUAL+. In the private sector as well, the execution of strategies has been discussed alongside theories of strategy since the late 1970s. As a result, the concept of strategic management in profit-making organisations shifted focus from planning to execution. However, the strategic management referred to in practical library management was that of Steiner and Drucker’s from the 1960s to the early 1970s, and their theories were based on long-range planning (thus, not emphasising execution). Based on this, it can be interpreted that throughout the history of library management, strategic management has not been pursued in an appropriate

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form. For example, a case study analysis revealed a divide between the planning/evaluation stages and execution stage in library practice. In the cited case studies of long-range planning at Denver Public Library and the University of Colorado Libraries, the formulation of long-range planning was promoted primarily by bodies affiliated with the libraries, as the library staff at the sites did not possess the skills needed to formulate management plans. As a result, library staff did not know how best to implement the plans, and went no further than establishing objectives. In short, this indicates that plans that did not have the full cooperation of the library management staff were not executed appropriately. Furthermore, in many of the case studies in this research, libraries began to investigate their own management style and techniques due to pressure from affiliated bodies, such as the government and universities. As in the case study of the University of California Riverside Libraries, which drew up their own strategy plans, in some instances the plans drawn up by library staff were also quickly brought up for revision. This situation within library management was likely a result of the facts that (1) management planning and evaluation work within library management differed from traditional library work; and (2) the management skills of library staff at the time were insufficient. Hence, library managers were unfortunately left in a state of incompatibility, as it is termed in this book, where upon reaching the point of actually implementing the management plan as strategic management, they were unable to do so appropriately. This incompatibility may have resulted from the development of the planning- and evaluation-centred philosophy within library management. For example, in the case study of the Denver Public Library, it was stated that: Since 1956 the library had been organized on a function-based. The librarian preferred that each department develop its own plans, but he found that some librarians were unable to develop such plans. (Kemper, 1967, p. 161) Where individuals lacked a knowledge of the planning process, the planning activities became centralized at top administrative levels. Only by training these individuals in the complexities of planning could the librarian’s philosophy of decentralization be achieved. (Kemper, 1967, p. 176)

The inability to make appropriate plans and the continued centralisation of planning (as opposed to decentralisation) indicate the incompatibility of business management theory implementation. Many of the strategic management theories applied in libraries have been centralised management theories focused on commercial enterprises, and their

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implementation was not based on the library’s culture or philosophy. Likewise, the management theories of the ALA and ARL focused on planning and evaluation, and as such did not emphasise execution.

3.8.3  Suitable Management Theories for Libraries Core competency in connection with organisational learning/learning organisation was received comparatively well by library staff and implemented proactively. Library staff identified learning within their own core competencies, and attempted to use organisational learning/learning organisation to develop these competencies. The case study of the University of Nebraska–Lincoln Libraries was one in which the implementation of this management theory led to improved results. Hence, almost no cases were seen in which the use of core competency led to incompatibility. Before the application of core competency, management theories commonly used by libraries were applied through the scientific management approach, such as management planning and BPR. These management theories were complex, but reduced future uncertainty and were programmed so that any new managers would be able to devise the management strategy in the same way. These management theories were characterised by (1) radical implementation from the top down; and (2) inclusion of many economic rationalistic and inhumane elements. Libraries in the 1990s cut their staff workforces based on these management theories. Core competency and BPR were both deeply linked to organisational management theory. In other words, the management strategy theories that library staff practised and showed interest in led easily to organisational management theory. However, core competency rather than BPR was more accepted by library staff. Thus, strategic management theory, which may have been better oriented to library organisation and culture, led more easily to organisational management theory, which pursues steady and sustainable change rather than radical top-down execution.

3.8.4  Time Taken for Commercial Enterprise-Focused Management Theories to be Applied to Libraries A bibliometric analysis revealed that until the 1980s, a delay of several years preceded the introduction of management theories thought to have had a major influence on libraries. These theories included, for example, longrange planning, MBO and strategic planning/strategic management. Longrange planning and MBO were developed between the mid-1950s and

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1960s, but their full-scale introduction to libraries was not first investigated until the 1970s and 1980s. Similarly, strategic planning/strategic management thrived in the private sector from the 1970s on, and were investigated seriously in libraries in the 1980s; there was thus a major increase in the volume of literature mentioning this management theory. As further proof of this tendency, Evans (1983) pointed out that libraries applied the same management theories as the private sector, but several years later. By the 1990s, the situation began to change. The cases of BPR and core competency make it evident that some management theories focusing on commercial enterprises were being applied to libraries with shorter delay. From the 1990s onwards, we can surmise that library managers were forced to engage proactively in library management, and thus proactively attempted to utilise management strategy theories.

3.8.5  Management Theories of Little Interest to Library Managers First, amidst numerous management strategy theories, library staff hardly ever focused on the environment outside their libraries. Case studies in this book illustrated that librarians rarely applied competitive strategy and strategic management based on game theory to libraries, despite their strong emphasis within the private sector. Furthermore, even in the small number of case studies involving application of strategic management based on game theory, attention was not on the market but on the relationship between libraries. Not only were librarians not focused on the external environment and market, but also they were also unaccustomed to strategic management requiring big-picture decision-making. The market-based perspective is as important to libraries as to commercial enterprises. Therefore, it is necessary to determine the reason why marketcentred theories of strategic management are not applied to the domain of library management. Second, the concepts from In Search of Excellence were seldom applied. The content of this book was both conceptually ambiguous and extremely biased toward commercial enterprises, so it may have been difficult for library managers to apply. In contrast, management theories that focused on organisation and related strongly to management resources, such as BRP and core competency, were applied frequently. Evidently, rather than attempting to apply all management theories that focused on commercial enterprises, library managers selected those that they believed were necessary and were actually able to apply themselves. This is evident

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from the case study of the Denver Public Library: traditional library organisations did not have a centralised power of authority, but rather, librarians had the culture and philosophy of decentralised administrative decision-making. As such, librarians at decentralised workplaces prefer organisational learning/learning organisation. Since the inherent characteristics of library management can be found by analysing the details of the specialised tasks and operations of libraries, it is necessary to do so in order to construct a management theory that is specific to libraries.

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Texas State Library (1977). Library services and construction act long range plan in Texas 1978–1982. Austin, TX: The Department. Thompson, B. (2007). Birth of LibQUAL+. Available from . University, I. S., (2002). Collection development competencies for Iowa State University library. In B. McNeil (Ed.), Core competencies: A SPEC kit (Vol. 270, pp. 64–69). Washington, DC: Association of Research Libraries Office of Leadership and Management Services. University, O. (2002). Role-based competency framewark. In B. McNeil (Ed.), Core competencies: A SPEC kit (Vol. 270, pp. 78–84). Washington, DC: Association of Research Libraries Office of Leadership and Management Services. Webster, D., & Heath, F. M. (2002). LibQUAL+ Spring 2002 aggregate survey results. Washington, DC: Association of Research Libraries/Texas A&M University. Webster, D. E. (1973). Management review and analysis program: A handbook for guiding change and improvement in research library management (Vol. 5). Washington, DC: Association of Research Libraries. Webster, D. E. (1974). The management review and analysis program: An assisted self-study to secure constructive change in the management of research libraries. College and Research Libraries, 35(2), 114–125. Wenger, E., McDermott, R. A., & Snyder, W. (2002). Cultivating communities of practice: A guide to managing knowledge. Boston, MA: Harvard Business School Press. Winters, B. A. (1994). Catalog outsourcing at Wright State University: Implications for acquisitions managers. Library Acquisitions: Practice & Theory, 18(4), 367–373. Young, H. C. (1976). Planning, programming, budgeting systems in academic libraries: An exploratory study of PPBS in university libraries having membership in the Association of Research Libraries. Detroit, MI: Gale Research Co. Zeithaml,V. A., Parasuraman, A., & Berry, L. L. (1990). Delivering quality service: Balancing customer perceptions and expectations. New York, NY: Free Press. Zuidema, K. H. (1999). Reengineering technical services processes. Library Resources & Technical Services, 43(1), 37–52.

CHAPTER 4

Evolution of Library Organisation and Librarian Specialities* Contents 4.1 Analysis of Organisational Structures and Functions 4.1.1 Case Analysis Method: Overcoming the Disadvantages of Case Analysis 4.1.2 The Research Subjects for Case Analysis 4.2 Harvard Library: 1960s–2010s 4.2.1 Organisation and Functions of Harvard Library (1960) 4.2.2 Organisation and Functions of Harvard Library (1980) 4.2.3 Organisation and Functions of Harvard Library (1991) 4.2.4 Organisation and Functions of Harvard Library (2001) 4.2.5 Organisation and Functions of Harvard Library (2009) 4.2.6 Organisation and Functions of Harvard Library (2012) 4.3 Columbia University Libraries: 1960s–2010s 4.3.1 Organisation and Functions of Columbia University Libraries (1962) 4.3.2 Organisation and Functions of Columbia University Libraries (1997) 4.3.3 Organisation and Functions of Columbia University Libraries (2011 and 2016) 4.4 National Diet Library: 1960s–2010s 4.4.1 Organisation and Functions of the NDL (1952) 4.4.2 Organisation and Functions of the NDL (June 1959) 4.4.3 Organisation and Functions of the NDL (1963) 4.4.4 Organisation and Functions of the NDL (1978) 4.4.5 Organisation and Functions of the NDL (June 1986 to April 2000) 4.4.6 Organisation and Functions of the NDL (April 2002) 4.4.7 Organisation and Functions of the NDL (April 2008) 4.4.8 Organisation and Functions of the NDL (October 2011) 4.5 New York Public Library: 1960s–2010s 4.6 Boston Public Library: 1960s–2010s 4.7 Tokyo Metropolitan Library: 1960s–2010s 4.8 University of Massachusetts Amherst Libraries: 2000s–2010s 4.9 Evolution of Library Organisation 4.9.1 Subject-based Organisational Structure 4.9.2 Media-based Organisational Structure 4.9.3 Function-based Organisational Structure 4.9.4 Region-based Organisational Structure 4.10 Adaptations in Library Operations Inherent Strategies in Library Management. DOI: http://dx.doi.org/10.1016/B978-0-08-101277-2.00004-2 Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved.

94 95 97 98 101 103 106 109 112 115 118 119 119 124 131 137 140 143 145 145 151 156 156 161 169 176 183 188 191 191 192 193 193

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4.11 Absorption of Technology and Inclusion of Digital Media 196 4.12 The Introduction of New Media and Ease of Adoption of Organisational Structures and Operations 199 References 201

This is a remarkably challenging and invigorating time to work in library and information services. The entire model upon which libraries of all kinds were established is being fundamentally challenged by the digital revolution. This is not only redefining the way that knowledge and information is created and distributed, it is also redefining the way that it is accessed and used. However, the key role of libraries – to provide free access to quality knowledge, information and culture to support a well informed and engaged society – remains the same. —Martyn Wade (2012), Re-inventing the Library: the role of strategic planning, marketing and external relations, and shared services at the National Library of Scotland.

4.1  ANALYSIS OF ORGANISATIONAL STRUCTURES AND FUNCTIONS In the previous chapter, organisational learning/learning organisation linked with core competency was implemented by librarians with relatively no resistance, and showed improved/successful results. This implies that librarians prefer to utilise their competencies for their users, and also to learn skills and develop their specialities in changing environments. However, even if these theories are effective to some extent in library organisations, there is still room for improvement. These business management theories were not originally created for library organisations, and did not consider the philosophy, services, organisational structure and specialities of libraries, so there is still some incompatibility. Librarians need to develop their own specialities and services for a unique and suitable theory of library management. If one were to disregard the business management theories that make up the bulk of library management, often only philosophical ideas are left, such as intellectual freedom (ALA, 2008) and the Five Laws of Library Science (Ranganathan, 1931) and considerations about the purposes of libraries, e.g., ‘[t]he public library is the fortress of democracy and [the] strength of its foundations measures the strength of democratic institutions generally’ (Fair, Dollard, Scudder, & Carolyn, 1945), or ‘[t]he Library as the Heart of

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the University’ (Leupp, 1924). Although it is important for library management to initially state the ideals and principles of libraries, more concrete and practical theories are needed. Those who realised this need introduced business management theories that had been designed for commercial organisations to fill the gap. Therefore, it is necessary to develop a management theory suitable for library management from actual library cases, especially cases based on core competencies and organisational structures that were utilised readily. This chapter onwards significantly focuses on library organisations, functions and services in order to reveal strategies inherent to libraries. By using in-depth case analysis of library management, this chapter will analyse the constant development and transitions of library organisational structures, from which unique strategies can be gleaned.

4.1.1  Case Analysis Method: Overcoming the Disadvantages of Case Analysis The key to developing a management theory for libraries is using indepth case analysis to focus on strategy and organisational structure for an extended period of time. Eisenhardt (1989) and Yin (2013) have pointed out that even the case analyses used in inductive theory construction models sometimes have disadvantages and shortcomings. For instance, if the descriptions or scope of the case analyses are limited, then the case analyses simply become reports. Many case analyses concerning libraries come up short in this way. To overcome this, Hempel (1962, 1965) emphasised the importance of more detailed, empirical/ qualitative research. Furthermore, Numagami (2000) attempted to overcome the shortcomings of case studies by writing up a case in meticulous detail. This chapter adopts the same approach and mitigates the shortcomings by uncovering and describing qualitative information regarding the strategies, organisational structures and operational procedures that remain constant over time in multiple original cases. When an organisation is studied carefully over an extended period of time, one can discern what makes it unique. Before moving on it is necessary to verify whether or not the research methods that have been proposed can be used to study library management. Such case analyses would be based on document-based research and interviews, and the results and findings would be written down. The lack of management-related documentation at the libraries becomes

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problematic at this point. In comparison to a commercial organisation, there is a very low probability that library management plans – which typically serve as a cornerstone for management strategies – remain to document library management practices. Though library management may be regarded as being implicit, being unable to document library management practices over time challenges any attempt to conduct a secular analysis of library management strategies. Furthermore, this tendency is much stronger in Japan than in the United States. One of the reasons library management strategies have not been established as an area of study is likely their implicit nature. This may be one of the methodological challenges for library management research. To overcome the challenge of elucidating the management practices and strategies of libraries, the author examined their organisational structure. The realm of organisational matters in relation to library management in many libraries includes organisational charts for each organisation, and written job descriptions that clarify employees’ responsibilities in detail. There are many archival documents that can be analysed. By considering the operational details that have become clear from a review of organisational charts and job descriptions, it is reasonable to consider the forms the organisations have taken to be analogous to the types of management strategies that had been adopted over the years. In this way, by considering the strategic matters and organisational matters as one part of library management, one is able to overcome the challenges of these secular case analyses. The foregoing analysis has shown that it is important to use detailed case analyses of library organisations to construct strategies for library management. Several cases will be analysed as part of this research. As noted earlier, the first reason for doing so is that there are few extant documents describing library management. The second reason is that there is as wide a range of differences in library management as there are differences between commercial organisations, from which it is possible to expand and generalise using multiple case studies. Conducting detailed, multiple and secular analyses of library management cases will yield a much more robust management theory. The period of analysis is from the 1960s to the 2010s, because this period of time will allow us to understand the characteristics of the libraries that were first influenced by business administration in the 1960s, up to present-day libraries. It will be possible to analyse how business administration has influenced library management over time.

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4.1.2  The Research Subjects for Case Analysis As the author has already explained, if we look at only one moment in the history of libraries, we inevitably see an image of the librarian trying to manage changes without having any clear policies. However, if we look at comprehensive library services, operations and organisational structure throughout the history of the library, we see predictable changes in the areas of knowledge and information, and libraries have reacted soundly to these changes. Furthermore, while the form of knowledge and technical skills hereto fostered by libraries has changed, they have stood the test of time. Libraries could certainly not continue providing these long-standing services without having appropriate policies in place. As such, we see that in recent years libraries are not without management strategies; rather, as identified by Porter (1980), it can be said that, even if only implicit, libraries have always had some form of management strategy. In other words, although libraries may not have had a written management strategy in the early 1960s and 1970s, a management strategy was implied and the components of potential management strategies most certainly existed. The advantage of case analysis is that it allows historical investigations, and gives us strategic patterns throughout the long history of libraries. Moreover, drawing a causal relationship from descriptions related to cases is possible, although it relies on fewer numbers of research targets (Eisenhardt, 1989; Yin, 2013). Conducting case analyses is appropriate when only a few cases are available, as in current library management research. It is also suited to analysing changes in library organisations within an extended timeframe. Additionally, because libraries conducted their operations implicitly from the 1960s to the early 1990s, unlike operations from the late 1990s to the 2010s, management documents from that period are not sufficiently available, particularly in the area of management strategy. Therefore, this chapter interprets documents on organisational structure and operational areas, which are more explicit than library strategies, as an outcome of strategic decision-making for library management. In this research, documents investigated consist of four types of data: (1) strategic planning documents; (2) organisational structures and position descriptions; (3) other related documents, such as annual reports, library bulletins, phone extension directories, and library handbooks; and (4) interviews of directors and managers. The author collected this data from each library.

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Moreover, this chapter also takes into account the various library types. Generally speaking, public and university libraries have their own individual principles and organisations, and many different types of management exist. The author analysed 15 libraries in total, but this chapter will focus on the most significant and representative of those cases. These include the Harvard University Library, Columbia University Libraries, and University of Massachusetts Amherst Libraries. As for public libraries, the New York Public Library, Boston Public Library, Tokyo Metropolitan Library and the National Diet Library of Japan were chosen (Table 4.1). The reason there are numerous cases based on university libraries is that they have extensive archives. Many public libraries, on the other hand, tend to destroy their internal documents, though major public libraries proved an exception. Even so, major public libraries were not as thorough in their preservation of documents as university libraries.

4.2  HARVARD LIBRARY: 1960s–2010s Founded in 1638, the Harvard Library (HL) is the oldest university library in the United States. As of October 2010, the system consisted of (1) Harvard University Library (HUL), which is primarily managed by university professors; (2) Harvard College Library (HCL), which is primarily managed by librarians; and (3) other libraries and reading rooms. The total number of libraries included in the system was as high as 90. Decentralised libraries had also been integrated into the Harvard Library (‘Harvard University Library,’ 1973). The vast majority of the system is constituted by the HUL and HCL. Consequently, this book focuses primarily on these two library systems. Concerning the buildings and the organisation thereof, the HCL houses the Widener Library, which is the central library of the university. The focus of this research is on this library, as it is the largest in scale of all the libraries belonging to the HCL and plays a central role in its functioning. Libraries other than the HUL and HCL will be briefly mentioned when discussing the Harvard Library in its entirety. The study timeframe for the Harvard Library case study spans from the 1960s to the 2010s. Many libraries were built during the 1960s, but the HL did not implement any significant reforms until the latter half of the 1990s. Table 4.2 provides an overview of the history of the HL. As there were no significant reforms implemented for the library, the period spanning approximately five decades shows the transition of the

Table 4.1  Research subjects for case analysis No. Library

County

State/City

Type of Library

Founded Year

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

U.S. U.S. U.S. U.S. U.S. U.S. U.S. U.S. U.S. U.S. U.S. U.S. Japan Japan Japan

Massachusetts New Jersey Connecticut New York Massachusetts New York New York Massachusetts New Jersey Hawaii Arizona Arizona Tokyo Tokyo Tokyo

Academic Library Academic Library Academic Library Academic Library Public Library Public Library Academic Library Academic Library Academic Library Academic Library Academic Library Public Library National Library Public Library Academic Library

1638 1876 1701 1934 (Butler Library) 1848 1895 1973 (Bobst Library) 1974 (Du Bois Library) 1792 1968 (Hamilton Library) 1891 1883 1947 1908 (Hibiya Library) 1877

Harvard Library Princeton University Library Yale University Library Columbia University Libraries Boston Public Library New York Public Library New York University Libraries University of Massachusetts Amherst Libraries Rutgers University Libraries University of Hawaii at Manoa Library University of Arizona Libraries Pima County Public Library National Diet Library Tokyo Metropolitan Library University of Tokyo Library

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Table 4.2  History and overview of the Harvard Library (HL) (since the establishment of Widener Library in the 1910s) Year Events

1915 1928 1942 1949 1959 1965 1966 1972 1973 1974 1981 1985 1999 2004 2008 2009 2011 2012

Widener Library was founded Yenching Library was founded Houghton Library was founded Lamont Library was founded Law School Library was founded The Francis A. Countway Library of Medicine was founded Radcliffe’s Hilles Library was founded Frances L. Loeb Library in Gund Hall, Gutman Library-Research Centre for Education, Eda Kuhn Loeb Music Library were founded Science Centre was founded Joined RLG (Research Library Group) Introduced microfiche cataloguing HOLLIS (OPAC) started Started renovating Widener Library Finished renovating Widener Library Started digitising books with Google Started restructuring Harvard University Library Joined Borrow Direct Finished restructuring Harvard University Library

organisational structure and duties of the Harvard Library (Ruder, 1998; ‘Widener Library History,’ 2012). The specific years included in the analysis were 1960, 1980, 1991, 2001, 2004, 2009 and 2012. The portion of the 1970s where there was almost no change in the structure or management of the library was omitted from the organisational chart. The year of the financial crisis in the United States (2009) was included as a specific turning point relevant to the context. The analyses of 2004 and 2012 reflect the structure of the organisation, following management reforms undertaken in the years preceding and following those dates. Data was collected through a combination of a document survey and interviews. The data used for analysis primarily consisted of strategic plans, organisational charts, annual reports, library bulletins, directories and position descriptions. There was a dearth of data available that discussed the management strategy of libraries in the United States. Data about the organisation was primarily written from a managerial perspective. Thus, an organisational chart was reproduced in order to represent the structure of the organisation as closely as possible, and the ‘work description’ was generated using

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Table 4.3  Transition in number of libraries and employees for the Harvard Library (HL) Year 1960 1970 1980 1991 2001 2008 2013 2016

Number of libraries 88 Number of employees 630

88 924

99 993

96 83 83 79 1,119 1,264 1,141 922

71 912

materials such as job titles, extension telephone directories and post descriptions. Table 4.3 details the transition in the number of libraries and employees of the Harvard Library over time. This was prepared based on the list of libraries and reading rooms of the Harvard Library gathered from telephone directories. An increase in the number of libraries belonging to the Harvard Library occurred between 1960 and 1980, but this number dramatically decreased in 2001. The number of library employees decreased too, after peaking in 2001. This shows that centralisation of the organisation preceded personnel adjustments. It was also clear the organisation underwent a significant change in 2013.

4.2.1  Organisation and Functions of Harvard Library (1960) In 1960, the Harvard Library provided service through 34 subject-based libraries, along with the central Widener Library, and management was primarily undertaken by librarians. The library organisational structure was primarily subject-based and functional (see Fig. 4.1). A part of the organisation was media-based, such as the Microtext Reading Room; however, the type of this organisation was relatively limited. The organisation of the Widener Library, which is the central library of the Harvard Library, is primarily divided by its functions, and consists of both technical and public services. Technical services, in particular, have 41 people assigned to conduct the selection and acquisition of materials in the Resources and Acquisitions Department, and 63 employees assigned to the preparation of catalogues (Catalogue Department). These departments had much larger staffs than those of other organisations. In contrast, the HUL has one director who manages the entire library, as well as separate posts for research activities. Other organisations, such as the one that selects materials for faculty members (the Bibliographic Division) and the position for providing counselling concerning the collection of books (Counsellor to the Director on the Collection), were established. Therefore, research support and collection infrastructure were ranked as extremely important duties for staff within the library system.

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Figure 4.1  Organisation and functions of Harvard Library (1960).

The Committee on the Library consisted of 15 faculty members and 2 librarians (Harvard University Library Directory, 1961). The membership of this committee shows that faculty had a strong impact on the management of the HUL. Therefore, faculty members belonging to the HUL

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were authoritative figures in the management of the HUL from the 1960s onwards, while librarians were responsible for clerical duties undertaken in the library (‘Harvard University Library,’ 1973). The Harvard Library’s Lamont Library, established in 1949, was a unique establishment whose services were mainly designed for undergraduate students. It can be seen that one of the objectives of the HL from that time period was the provision of a learning commons–like space.

4.2.2  Organisation and Functions of Harvard Library (1980) From 1960 onwards, the HL expanded as an organisation and this made the managerial system of the library more complex (see Fig. 4.2). The HL (at that time) had 865 full-time employees. This shows that the HL has tended towards expansion since 1960. This organisational expansion, evident in the previously described overview, could be because it has continued to acquire increasing quantities of resources and materials, which necessitated the establishment of new libraries to house them. From the 1960s to the 1970s, the lack of space for materials became a managerial problem for the central Widener Library (Ruder, 1998). To tackle this problem, for example, the natural science library (Science Centre) was established in 1973, and the lack of space issue was effectively solved when natural science materials were moved from the Widener Library to this new location. As a feature of the organisation in 1980, posts related to technical services were separated from those for the selection and acquisition of materials (Collection Development Department) and for organising and cataloguing materials (Cataloguing and Processing Department). Thus, technical services of the organisation were primarily divided according to function. However, these departments were also individually organised in terms of the type of material they stored, based on serial publications. Another section focused on the planning and research of systems in the HUL (Office for Systems Planning and Research), and this office was characterised by having union cataloguing personnel under its purview. The Widener Library also included a department for automating the process of cataloguing within the college libraries (Cataloguing and Processing Department). Although Harvard University had promoted automated cataloguing and union cataloguing for the entire Harvard Library system, planning and research were carried out only at the HUL rather than at the Widener Library (under the HCL), so these activities were concentrated in managerial posts. This shows that planning (under the HUL) and operations (under the HCL) were separated.

Figure 4.2  Organisation and functions of Harvard Library (1980).

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The Widener Library similarly established divisions concerned with the loaning of collections and references as public services, and these were functionally organised. The Serials Division, however, was organised separately using media-based organisation, which meant it resembled a technical service division. The Widener Library was also subdivided into the Judaica Department, Middle Eastern Department, and Slavic Department, and provided public services based on these subjects. In 1964, a division related to microforms was established. This division was incorporated under the Public Services Department in 1980. This shows that the Public Services Department was structured using functionand media-based organisation.

4.2.3  Organisation and Functions of Harvard Library (1991) In 1990, Harvard Library employed 1,119 full-time staff members (Handbook for Librarians and Professional and Administrative Staff in the Harvard University Library, 1991), which shows that the organisation had expanded further and became more complex (see Fig. 4.3). This continuous expansion maintained the fundamental organisational structure of the 1980s, while also creating more specialised divisions. The Widener Library, which was the main site of library operations, particularly underwent specialisation: it became further expanded and subdivided by subject. The HOLLIS division was established directly under the Harvard University Library. This division was designed for planning, developing, and maintaining the Harvard Library’s OPAC (HOLLIS). This organisational structure indicates that the HOLLIS division operated closely with decision-making entities. The Harvard Depository Library and Publication Office were also newly established. The Harvard Depository Library primarily supports storage and archive of the collection, and generally manages collections for the entire Harvard Library system. The Publication Office is concerned with editing and publishing materials about the libraries. For instance, it edited and published journals, such as the Harvard University Research Forum. Overall, at the beginning of the 1990s, new organisations were established, which were closely linked to the library director, and that the HUL was actively involved in furthering and expanding the new functions of the library.

Figure 4.3  Organisation and Functions of Harvard Library (1990).

Figure 4.3  (Continued)

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4.2.4  Organisation and Functions of Harvard Library (2001) Since 1991, the HL has expanded even further, which has made its organisational structure more complex (see Fig. 4.4). In 2001, the staff was made up of 1,264 people, which was reflective of the general, expanded scale of the library. Large-scale remodelling of the Widener Library began in 1999. The main objective of the remodelling was to improve the storage environment of collections. In the process, the facilities of the library were dramatically improved. Since the Widener Library was founded in 1915, the library had not undergone any major renovation, so it had become difficult to control the library’s environment. The Widener Library had poor air conditioning and high humidity rates. The lighting and fire extinguishing equipment were also out-dated and had to be replaced (Goins, 1999; Potier, 2004; Ruder, 1998). It was important to repair or improve the facilities of the Widener Library, and these renovations were overseen by a team for designing book storage (Widener Stacks Planning Committee), as well as a team for constructing facilities (Widener Stacks Building Committee). The organisation of the librarian-centred Widener Library, in particular, become much more complicated in comparison with that of 1991. More specifically, the Collection Development Department became divided into seven sections (originally only two), which were organised according to subject. The Harvard College Library Technical Services was comprised of 14 divisions and managerial positions, which were further divided by function, media and subject. Organisation according to subject was based on language, such as English, French, German, Spanish, etc. In 2001, the number of people employed at the Widener Library was around 360. Research Services was expanded from a division under the Public Services Department in 1991 into its own department in 2001; it was established to provide services to support the conducting of surveys and research. This department was not organised by subject, but rather it provided general reference services and operated functionally. This was probably due to the fact that the Widener Library is a general library, and many other libraries in the HL system already provided subject-based reference services. In 2001, the Preservation and Imaging Services Department was added to the Widener Library in order to maintain materials and update them to an electronic data format. The department consisted of divisions that handled materials according to media such as the Imaging Division and Microfilm Laboratory, and according to function such as the Conservation Division or Digital Imaging. It can be seen that digitisation started around

Figure 4.4  Organisation and functions of Harvard Library (2001).

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this time. Thus, the organisation of the HL evidently became more intricate in 2001 based on subject, media, and function. The hierarchy of the organisation increased by an additional layer in comparison with the 1960s.

4.2.5  Organisation and Functions of Harvard Library (2009) In 2009, the Harvard Library simplified the organisation by integration (see Fig. 4.5). There were two reasons for integration: the first was to reduce budget amidst a deteriorating economy (Carens, 2012); the second was a strategic devotion to information systems, digitisation of collections, and preservation of materials by conversion to electronic media. In specific terms, the Harvard University established an Office for Scholarly Communication under the HUL and an Office for Information Systems, which support scholarly communication by using information technologies. These organisations are in charge of how to manage and distribute academic information appearing in ever-increasing electronic collections; it was necessary to construct a platform for scholarly communication in the HL. During this period, through organisational reform at the Harvard Library, many new library functions became strategically placed under the purview of management. In contrast, at the Widener Library, managerial posts were eliminated. Many of the remaining organisations began to handle conventional library duties, and their services started to decrease. Remaining services at the Widener Library included a division responsible for providing user services (Access Services), a division responsible for building collections (Collection Development), and a division responsible for research support that focused primarily on reference services (Widener Research Services). These reforms meant that the structure of the library organisation became purely functional. The impact of this rationalisation of services manifested as a dramatic reduction in staffing numbers; in 2009, there were 75 employees (81 including managers) at the Widener Library (Harvard University Library, 2009a). Many departments adopted function-based organisation in 2009. For example, Collection Development, Collection Management, Technical Services and Research, Teaching and Learning Services were established to perform general library duties. These divisions of the Widener Library were once organised by subject, but following reorganisation, these services became organised by function. In other words, function-based organisation was applied across the entire HCL system.

Figure 4.5  Organisation and functions of Harvard Library (2009).

Figure 4.5  (Continued)

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Furthermore, the Harvard Library strategically managed the Office for Information Systems, and the HCL had a preservation and digitisation division for actual digitisation. This means that the Harvard Library transformed from using a conventional organisational structure and operations to (1) enhancing management functions, (2) integrating and centralising library services, and (3) creating divisions in charge of digitising materials and electronic resources.

4.2.6  Organisation and Functions of Harvard Library (2012) The Harvard Library underwent further organisational reforms in 2012. The management strategy was based on a report provided by the task force in 2009 (HUL, 2009b). This report provided five core suggestions: (1) establish and implement a shared administrative infrastructure; (2) rationalise and enhance our information technology systems; (3) revamp the financial model for the Harvard Libraries; (4) rationalise our system for acquiring, accessing, and developing materials for a ‘single university’ collection; (5) collaborate more ambitiously with peer libraries and other institutions. The restructuring also created several new departments whose employees perform the same function across the entire system, allowing the library to minimise overlap and increase efficiency (Rouse & Worland, 2012). The largest reform concerning the management of the Harvard Library was integrating the structures of the HUL and the HCL, which had been separate until that point (see Fig. 4.6). The Harvard Library management team consisted primarily of faculty members and the HCL management team consisted primarily of librarians. One may infer from the organisational chart that integrating these two organisations into one was an attempt to make management operate more efficiently. One can also see that the organisation as a whole had been simplified in this process. Another distinctive point was the fact that the reform led to the incorporation of sections related to information technologies and electronic resources. This shows that handling information technologies and electronic resources was given additional importance (HUL, 2012). In concrete terms, the library was reorganised to provide shared services based on traditional technical and public services performed by libraries that were strongly connected to broader information systems (‘Harvard Library Shared Services Organisation,’ 2012). These simplified organisations were evidently rationalised and structured according to their functions. In other words, organisational redundancy was reduced by

Figure 4.6  Organisation and functions of Harvard Library (2012).

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integrating subject-based departments and services into function-based ones, in an attempt to promote more efficient operations. Along with this rationalisation, a large portion of the library staff, primarily those in positions related to technical services, was made redundant. The reorganisation therefore resulted in more streamlined services.

4.3  COLUMBIA UNIVERSITY LIBRARIES: 1960s–2010s As of 2010, Columbia University Libraries consisted of 31 libraries. The main library is Butler Library, and therefore this is the focus of the study undertaken here. Butler Library opened in 1934. It underwent significant extension and reconstruction work in 1946 (Stoller, 1996). Later, the university expanded its library system by establishing other libraries on the campus. Libraries continued to be built and remodelled from the middle of the 1990s to the latter half of the 2000s. Table 4.4 provides an overview of Columbia University Libraries.

Table 4.4  History and overview of Columbia University Libraries (since the establishment of Butler Library in the 1930s) Year Events

1934 Butler Library was founded 1960 Relocation of Engineering Library and Law Library after completion of construction on Seely Mudd Building and Law Building; other libraries also relocated 1964 Business and Economics Library in Uris Hall was founded 1970 Joined the OCLC (Ohio College Library Center) 1972 Introduction of lending and acquisitions systems 1974 Joined RLG (Research Library Group) 1976 Health Science Library was founded Interlibrary Loan Office was founded 1984 Started renovations on Rare Book and Manuscript Library 1985 Introduction of Columbia Libraries Information Online [CLIO] (OPAC) 1989 Introduction of new CLIO (OPAC) based on NOTIS 1995 Started large-scale renovations on Butler Library (Phase 1: July 1995–Dec 1997) 1997 Joined Copy/Borrow Direct 1998 Started large-scale renovations on Butler Library (Phase 2: Jan 1998–June 2000) 2000 Started large-scale renovations on Butler Library (Phase 3: July 2000–Nov 2003) 2003 Started large-scale renovations on Butler Library (Phase 4: Dec 2003–Jan 2005) 2005 Started large-scale renovations on Butler Library (Feb 2005–Dec 2009) 2009 Completion of all renovations on Butler Library

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The period spanning from the 1960s to the 2010s was selected for analysis. Materials analysed were those available in the Rare Book and Manuscript Library of Butler Library, such as strategic plans, annual reports, extension telephone directories and interviews. Interviews were conducted with University Librarian/Vice President for Information Services, Bibliographic Services and Collection Development, Associate University Librarian for Collections and Services, and Japanese Studies Librarian.

4.3.1  Organisation and Functions of Columbia University Libraries (1962) In 1962, Columbia University Libraries (CUL) were divided into various departments tasked with acquisitions, cataloguing, circulations and providing reference services (see Fig. 4.7). Departments that were primarily organised by their function included acquisitions and circulations; reference services were organised in a subject-based manner. The staff of the Columbia University Libraries consisted of 380 employees (240 full-time, 140 parttime) (Summaries of Reports to the Library Committee of the University Council, 1951); the number of employees increased up until 1962. Departments that supported the library director included the Administrative Personnel and Administrative Assistants Research Departments. Since the 1960s Columbia University Libraries had systematic management in place to support its operations. Columbia University’s computer centre was also established that year, which influenced library operations and workflow (Columbia University Libraries, 1997).

4.3.2  Organisation and Functions of Columbia University Libraries (1997) Since 1962, the management of Columbia University Libraries has continued to become more and more specialised (see Fig. 4.8). The staff in 1997 consisted of 125 full-time specialised librarians, 215 technicians and clerical workers and 84 part-time employees. This represented 424 people. The number of workers had increased significantly, compared with the size of the staff in 1950 (Columbia University Libraries, 1996); however, there were no fundamental changes made in the organisation in terms of large-scale reform. In addition, the number of sections formed within the Columbia University Libraries continued to increase and the complexity of the organisation in line with these changes is shown in the organisational chart for 1997.

Figure 4.7  Organisation and functions of Columbia University Libraries (1962).

Figure 4.8  Organisation and functions of Columbia University Libraries (1997).

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Inherent Strategies in Library Management

In 1997, part of the Columbia University Libraries system adopted a matrix-style organisational structure, whereby library staff reported to multiple administrators (see Fig. 4.8). A matrix system divides an organisation by using two different perspectives, and the CUL applied this form of organisational structure to organisations related to information systems. What made this matrix organisation unique was that it was formed by establishing managers from the (1) Library Systems Division and (2) Academic Information Services Division. This means that even in academic information services, the role of information technology and systems became regarded as particularly important. Columbia University Libraries cooperated with other libraries in developing strategies to reduce costs (Columbia University Libraries, 1996). This showed that inter-library cooperation became an important issue for library management.

4.3.3  Organisation and Functions of Columbia University Libraries (2011 and 2016) Up to 2011, Columbia University Libraries had conducted major organisational reform. The most significant change was the establishment of a division for electronic resources and information technology (Digital Programme and Technology Services) (see Fig. 4.9). This department is involved in the planning and application of information technology and systems within the university library, as well as education and training, research and publishing activities. The director of the libraries said that the most important aim of the management reforms was the creation of an organisation that integrated electronic resources into its functions and services. This organisation was established so the library could provide leadership in the university. In doing so, it solved copyright problems, provided open access, promoted digital publishing, and provided electronic resources to service users. This series of initiatives for promoting the use of information systems in the library has had a significant impact on the management of the library system since 1997 (Neal, 2011). Along with placing importance on divisions associated with information technology and systems, Columbia University Libraries has prioritised its Rare Book and Manuscript Library, and has added to its staff. The size of the staff has doubled since the director assumed his position. The reason for focusing on this library is the fact that, as digitisation of collections progresses, Columbia University Libraries aims to provide users

Figure 4.9  Organisation and functions of Columbia University Libraries (2011).

Figure 4.9  (Continued)

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127

in the world with digitised versions of the rare collections that are exclusively owned by the university. Unlike before, the division that provides public services (Collections and Services) provides consultation services that are more deeply connected with research. In concrete terms, by arranging to speak with researchers in person or by phone in advance, these services can try to meet the demands of more sophisticated users (Associate University Librarian for Collections and Services) (Jaggers, 2011). Columbia University Libraries also offers support for advanced researchers by providing users with explanations of software used for statistical analysis. According to the Associate University Librarian for Collections and Services, as Google already offers ready-reference services, the demand for libraries to provide more advanced information services has grown, and libraries must provide services that can meet those demands. Columbia University Libraries have taken up this mandate in reforming its library system and operations (Fig. 4.10). There are three staff members who work on the digitisation of materials within the library system. Their job is to publish (create) e-books (electronic books). The Centre for New Media Teaching and Learning, which did not exist in 1997, worked together with faculty members and researchers to provide knowledge of new media to users in the form of a university course (Jaggers, 2011). In collaboration with the Cornell University Library (CUL), Columbia University Libraries implemented the 2CUL initiative, which refers to the partnership between Columbia University Libraries and Cornell University Library, which was effected to reduce operational costs. This is achieved by integrating overlapping work and efficiently responding to the needs of modern library users in the collection and cataloguing of materials (acquisitions/cataloguing), electronic materials management (e-resource management), cooperative library building (collaborative collection development), and preserving materials in digital format (digital preservation) (‘2CUL,’ 2009). Columbia University Libraries had already implemented such programmes jointly with other libraries, namely, BorrowDirect, the Research Collections and Preservation Consortium (ReCAP), and the North East Research Libraries Consortium (NERL), and further developed them through the use of management strategies during the fiscal years 2010 to 2013 (Columbia University Libraries Information Services, 2010). BorrowDirect is a programme for mutually sharing materials among libraries. Seven libraries, primarily located on the east coast of the United

Figure 4.10  Organisation and functions of Columbia University Libraries (2016).

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Inherent Strategies in Library Management

States, participate in the programme. ReCAP is a programme that involves establishing a joint repository to be shared by Columbia University Libraries, Princeton University Library, and New York Public Libraries. NERL is a programme designed to licence and archive electronic resources. In this way, Columbia University Libraries is able to offer efficient services in cooperation with other libraries in each field. According to the director of Bibliographic Services and Collection Development (Wolven, 2010), positions in technical services were particularly reduced to improve efficiency of operations, as demanded by management reform. Columbia University Libraries avoided laying off staff as much as possible, and responded by reassigning the necessary personnel to other duties. For example, in 2008, due to the shrinking budget for technical services, the organisation was forced to cut its workforce back by seven jobs, but the people employed in those positions became members of 2CUL and were reassigned to the Rare Book and Manuscript Library where they were employed in the cataloguing service and to create electronic archives. These workers were able to take advantage of their knowledge and skills of conventional cataloguing techniques, which were also required for the creation of electronic materials and metadata; these new positions were established under the purview of technical services. Because of a budget that has shrunk over the last three years, four libraries, including the natural science library (Science Library) were closed, and 43 positions were eliminated. Most of the jobs slated for elimination, however, were support positions rather than library staff, and the budget for library collections was retained. Moreover, despite a reduction in budget, funds were invested in information technologies and digitisation, and new positions were established. The organisational chart for 2011 reflects a hierarchy. According to the library director, rather than being a ‘top-down’ operation, management opted for a ‘bottom-up’ style, whereby authority was delegated to library staff. He also stated that library staff were able to consider their own management strategy. In addition, although a hierarchical organisational system was maintained, project teams were assembled as needed, and the staff was encouraged to work closely together, regardless of the fit with the organisational format. A new function involving development and recruitment of human resources has also been effected at Columbia University Libraries, alongside these organisational reforms. When librarians with many years of experience retire, they are replaced by personnel with new skills and abilities that meet modern demands. This means libraries have to redefine the duties of librarians. For example, when a librarian employed in the Rare Books and

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Manuscript Library retired, the position description was rewritten, and a person who specialised in electronic archive techniques was hired in their place. In addition, when jobs in technical services were discontinued, the employees were transferred to new posts, and this shows how the library is continually creating new positions in order to cope with a new environment. The library also offered a chat service for people who were not able to physically access the library. According to Sachie Noguchi, a librarian who specialises in Japanese studies, unlike the duties of a conventional reference librarian, chat reference service specialists are able to transfer questions from users to librarians who are familiar with certain subjects so they can respond quickly to various enquiries. However, the post requires expertise and skills that differ from those of traditional librarian roles (Noguchi, 2010). According to the library director, librarians must proactively offer such services to users. These services have significantly changed the functions of libraries from the time when the primary function was to provide conventional printed materials. This series of organisational reforms shows that Columbia University Libraries, as a system, are transitioning to an organisation that focuses on making electronic resources available, rather than solely offering printed materials.

4.4  NATIONAL DIET LIBRARY: 1960s–2010s The National Diet Library has historically been comprised of the Research and Legislative Reference Bureau (RLRB), which provides services to Diet members, and other departments that provide services to the citizens. Since the RLRB provides its services to the National Diet, its services are very specialised, and therefore it is not easy to apply the findings from an analysis of the RLRB to the management of other libraries. Nonetheless, the organisation and the departments that provide services to the citizens are self-contained and separate from the RLRB, and so provide adequate subject material for analysis. Therefore, in this research, the author focuses on the department that provides services to the citizens, and does not discuss the RLRB in detail, except for a discussion of the total organisation of the National Diet Library. The steps taken to analyse the National Diet Library were as follows: first, the departments of the National Diet Library that focus on the general public were surveyed with regard to (1) changes in organisational structure by department, and (2) detailed responsibilities of the person in charge. The Regulations of the National Diet Library Organisation provided information on changes in organisational structure, as these regulations describe the

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Table 4.5  History and overview of the National Diet Library Year Events

1947 1948 1959 1963

1965 1968 1971 1974 1977 1978 1986 1997 2002 2008 2011

National Diet Library Law was promulgated National Diet Library was founded The Regulations of the National Diet Library Organisation were established The Regulations of the National Diet Library Organisation were fundamentally revised; consequent reorganisation occurred Completion of large-scale renovations on the main building (Phase 1) The Regulations of the National Diet Library Organisation were partially revised; revision was primarily in managerial structure and reference services Automation Research Committee was established Completion of large-scale renovations on the main building (Phase 2) The renovated National Diet Library was fully opened Automation Department was established Electronic computers and systems were installed Future Planning Research Committee was established Creation of cataloguing data commenced Reorganisation of Acquisitions and Technical Services Publication of a digitally edited National Bibliography New building of the National Diet Library was founded Technical Services for Japanese books became online-based and the division was reorganised Kansai-kan branch of the National Diet Library was founded Technical Services Department was mainly reorganised Digital Information Department and User Services Department were established

administrative responsibilities of each departmental unit, together with the Organisational Chart, which shows the relationships between the organisations. The Office Duties and Regulations provided detailed descriptions of jobs and responsibilities to the level of sectional units. When conducting the analysis, the National Diet Library Annual Reports, which provide basic statistical data, were also referenced as supplementary documents. In addition, by reviewing the history of the National Diet Library, the author was able to determine when that organisation made the largest change, and chose that as the period to be researched. The years in which the National Diet Library’s management strategies, organisation, and operational responsibilities may have been affected the most are listed in Table 4.5. The National Diet Library was analysed for the period beginning in the early 1950s – and particularly from 1952, when the administrative

Evolution of Library Organisation and Librarian Specialities

133

responsibilities of each department and division were clearly defined – to 1959, 1963, 1978, 1986, 2000, 2002 (from published data in 2007), 2008 (from data published in 2010) and 2012. The year 2000 was selected as an additional point of reference for the organisational structure that was established in 1986, and had remained unchanged for a long period of time. In other words, the objective was to observe the same organisational structure at two different points in time. In order to conduct the content analysis, the items listed in the Office Duties and Regulations were used to create the codes used for analysis. For each section’s role and responsibilities, the National Diet Library’s description of the office duties tended to list multiple responsibilities in a single long sentence, such as ‘organise, store, view, reference, as well as creating and publishing the bibliographies relating to rare and precious books and semi-precious books’. Therefore, when coding, the information was organised into lists of discrete tasks for each section. There were 2,111 items listed in the original Office Duties and Regulations, and when they were coded, this number expanded to 6,154 items. Additionally, in conducting the content analysis, the author summarised the responsibilities documented in the Office Duties and Regulations, which were coded so they could be classified, and categorised them according to the characteristics of the work. The library’s main responsibilities were categorised as technical service and public service. In the Dictionary of Library and Information Science Terminology (3rd Edition), the term technical service included activities such as collecting materials, organising and storing. The term public service listed user service as an example, and that is thought to mean services such as borrowing items from the library and availing oneself of reference services. In other words, the items that provided indirect services were categorised as technical service, and those items that provided direct services to the users were categorised as public service. Table 4.6 summarises the changes in the number of tasks and responsibilities listed in the Office Duties over time. Based on the names of the organisations and departments, it can be inferred that contained in the library’s organisational structure there are (1) functions (acquisitions and cataloguing, bibliography, reference services, public services), (2) types of media (books, serials, special collections) and (3) subjects (reference and special collections). When looking at these changes in relation to technical and public services, one can see that the bulk of the work of the National Diet Library

Table 4.6  Changing duties included in Office Duties and Regulations: National Diet Library Organisational Year Structure

Department

Function and Subjectbased

Acquisitions and Cataloguing General Reference Services Administrative Department Architecture International Department (Total) Acquisitions Technical Services Public Services Administrative Department Architecture Liaison (Total) Acquisitions Technical Services Public Services Reference and Bibliography Administrative Department Liaison (Total)

1952

1959

1963

Categories of tasks Planning

Arrangement

Technical Services

Public Services

IT System

(Total)

17

14

147

9

0

187

3

9

12

20

0

44

22

176

7

1

0

206

7 31

36 69

0 79

0 7

1 0

44 186

80 11 0 0 48 6 5 70 24 8 2 2

(12.0%)

(14.5%)

27 5 68

304 5 5 14 153 22 27 226 18 15 14 29

(45.6%)

(46.7%)

121 (12.0%)

38 235

245 57 57 25 4 0 13 156 69 52 18 64

(36.7%)

(32.2%)

1 (41.6%)

9 213

37 0 0 25 2 0 4 31 0 0 13 29

(5.5%)

(6.4%)

4 (37.7%)

3 49

1 0 0 0 1 0 0 1 0 0 0 0

(0.1%)

(0.2%)

0 (8.7%)

0 0

667 73 62 64 208 28 49 484 111 75 47 124 153

(0.0%)

55 565

Table 4.6  Changing duties included in Office Duties and Regulations: National Diet Library Organisational Year Structure

1978

Media and Subjectbased

1986

2000

Department

Categories of tasks Planning

Acquisitions and Technical Services Public Services Serials Reference and Special Collections Administrative Department Coordination (Total) Acquisitions Books Serials Reference and Special Collections Administrative Department Library Cooperation (Total) Acquisitions Books Serials Reference and Special Collections Administrative Department Library Cooperation (Total)

Arrangement

Technical Services

Public Services

IT System

(Total)

22

36

103

0

0

161

7 7 2

26 25 36

57 55 58

19 0 28

0 0 0

109 87 124

21

110

2

2

14

149

7 66 27 12 16 6

(9.6%)

33 17 111 26 19 15 18

(39.5%)

124 (12.6%)

24 8 110

39 272 54 28 29 53

52 340 50 38 29 59

32 336

(41.1%)

4 (38.6%)

128 (12.6%)

8 283 135 53 45 86

29 352 147 72 39 75

23 357

(7.6%)

3 (40.0%)

1 (38.4%)

3 52 0 8 17 24

17 69 0 9 16 22

12 60

(2.2%)

5 (7.8%)

1 (40.8%)

1 15 0 0 1 1

1 8 2 0 1 3

169 (0.9%)

7 (6.8%)

0 13

58 688 216 101 108 170

116 880 225 138 100 177 161

(1.5%)

75 876

(Continued)

Table 4.6  Changing duties included in Office Duties and Regulations: National Diet Library (Continued) Organisational Year Structure

Department

Function and Subjectbased

Acquisitions Bibliography Public Services Reference and Special Collections Administrative Department Kansai-kan of the National Diet Library (Total) Acquisitions and Bibliography Public Services Reference and Special Collections Administrative Department Kansai-kan of the National Diet Library (Total) Acquisitions and Bibliography Public Services Digital Information Department Administrative Department Kansai-kan of the National Diet Library (Total)

2007

2010

2012

Categories of tasks Planning

(Total)

Arrangement

Technical Services

Public Services

IT System

(Total)

17 3 2 7

29 15 36 49

79 81 32 87

1 0 20 19

0 1 1 6

126 100 91 168

12

105

3

4

16

140

6

58

35

19

7

125

47 11

(6.3%)

292 36

(38.9%)

317 124

(42.3%)

63 1

(8.4%)

31 1

(4.1%)

750 173

3 6

38 55

35 78

24 28

1 3

101 170

12

109

3

4

16

144

6

58

44

20

8

136

38 12

(5.2%)

296 37

(40.9%)

284 58

(39.2%)

77 8

(10.6%)

29 0

(4.0%)

724 115

9 11

62 13

46 0

48 0

0 7

165 31

15

107

1

4

1

128

3

29

25

22

2

81

50 640

(9.6%)

248 2549

(47.7%)

130 2,337

(25.0%)

82 520

(15.8%)

10 108

(1.9%)

520 6154

Evolution of Library Organisation and Librarian Specialities

137

prioritised planning, arrangement and technical services, instead of public services. Additionally, work related to information technology and systems had increased, as evidenced by the creation of the Digital Information Department. Digitisation can be seen as a major factor of change, as the digitisation of collections and provision of digital catalogues by 2012 caused a reduction in technical services due to automation or outsourcing of tasks, and increased the need for more advanced support for users, as seen in the increased percentage of public services. It is clear that central responsibilities at the National Diet Library have changed with the passage of time. From this data, one can infer that the NDL developed core competencies in technical services, which are fundamentally and uniquely part of libraries. Planning and arrangement functions have also been dominant in the NDL’s history. This implies that even without implementing explicit strategies in library management until recently, management tasks were still considered important library work.

4.4.1  Organisation and Functions of the NDL (1952) In 1952, the management of the NDL was oriented toward the average user, and consisted primarily of a general reference department and a planning approval department (see Fig. 4.11). Within this mode of management, the general inspection department handled public services, and the planning approval department handled technical services. Under the purview of the general reference department responsible for public services, the organisation was organised into different sections. Even if it had a small staff, each section was further separated into respective areas of specialty. In the case of technical services, the organisation of the planning approval department closely follows the functions of a library. The functions of the sections in the planning approval department pertain to acquisitions, classification, cataloguing and indexing. In 1952, these duties were not demarcated into multiple sections, and therefore, staff in the organisation at the time were tasked with many duties. This means that library staff had to handle a wide variety of library-related duties, rather than specific types of duties. The broader organisation, on the other hand, included departments for management, international duties, architecture and library branches. The structure of the organisation was therefore shaped by its various functions. The administrative department consisted of general affairs, personnel and accounting sections. The international department, whose primary function is to communicate with foreign countries, was established

Fig. 4.11  Organisation and functions of the National Diet Library (1952).

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Inherent Strategies in Library Management

individually; the organisation was formed based on two themes: foreign and domestic agendas. The library branches department was responsible for making arrangements with branches, which shows that a distinct, separate department was necessary to collaborate with branches of the library. In addition, a construction department was responsible for building structures in which the library and its equipment and resources would be housed. The department focused primarily on facilities improvement. These departments were incorporated based on their functions into the broader organisation in 1952.

4.4.2  Organisation and Functions of the NDL (June 1959) There was no significant organisational reform undertaken between 1952 and 1958. After 1959, however, dramatic organisational reform occurred (see Fig. 4.12). The most significant change that was effected in this year was the separation of technical services into the planning approval department, and the establishment of the acquisitions department and the technical services department. Technical services were delegated into various, more function-oriented sections. The reason for making the acquisition department independent, for instance, was to establish a book selection system and to make the collection of materials more streamlined. This is evidence of the movement towards making operations more efficient through function-based organisation. The public services department consisted of four large reading rooms where subjects related to the humanities, sociology, science and technology, serials and newspapers could be read. Therefore, technical services (in the form of bibliographies and journal article indices) were provided according to the type and subject of the material. In other words, in 1959, the public services department was structured with the aim of providing a wide range of functions, from technical to public services, while focusing primarily on user services, which were based on the specificity of subject material. In this time, the organisation was also characterised by the fact that the operations office was also housed in the public services department. This office was included in the public services department in order to integrate the subjects, functions, form of materials, and the like, which were managed by the library. The establishment of a post for operations management at the department level, outside of the management department, was considered a significant change.

Figure 4.12  Organisation and functions of the National Diet Library (1959).

Figure 4.12  (Continued)

Evolution of Library Organisation and Librarian Specialities

143

Indirect operations, on the other hand, consisted of administrative, liaison and architecture departments. Primary changes included enhancing the administrative department by establishing a training section for the international department and their various branches. The division of duties of the training or planning section that had previously been under the control of the personal affairs section was related to ‘studies for improving work efficiency’. Therefore, the specific function of the department was to improve the efficiency and quality of work in the organisation. The newly established liaison department was formed by integrating the international business and library branches departments. The department was devoted to managing arrangements with organisations outside of the NDL. The organisation was restructured in June 1959 in order to centralise all functions for enhancing work efficiency.

4.4.3  Organisation and Functions of the NDL (1963) The first phase of construction of the main building of the NDL was completed in 1963. The structure of the organisation was overhauled to coincide with the completion of this construction process (see Fig. 4.13). The largest change was the establishment of the reference and bibliography department. The reference and bibliography department is primarily involved with providing reference services, and is therefore organised based on the various subjects available in the library. The NDL, until this point, had provided public services through its public services department (which included reference services), but the reference and bibliography department was specially formed to focus on reference services. This new department’s provision of technical services and public services, including services ranging from the creation of bibliographies to user services, shows that reference and bibliographical services became considered all the more important. Although the creation of this department strengthened reference services by specialising in different subjects, this meant that the librarians not only had to increase their own knowledge of each subject, but they also had to learn/develop skills in public and technical services. The administrative department, liaison department and architecture department were centralised into just the administrative and liaison departments. The general affairs section, personnel section, accounting section, welfare section and maintenance section were consolidated under the control of the administrative department. The most important change that the reorganisation of the administrative department brought about was the

Figure 4.13  Organisation and functions of the National Diet Library (1963).

Evolution of Library Organisation and Librarian Specialities

145

establishment of a ‘planning and training section’, whose focus was to plan and rationalise work at the NDL. Thus, in 1963, direct operations were divided/specialised and indirect operations were centralised in order to enhance the functioning of the organisation in an efficient manner.

4.4.4  Organisation and Functions of the NDL (1978) Further organisational reforms were again implemented in 1978. Specifically, a serials department was introduced, and it primarily handled materials such as journals and newspapers (see Fig. 4.14). This shows the increased diversity of the organisation, as it began to conduct multiple duties pertaining to a single form of materials. Within this organisational reform, the acquisitions department and technical services department, which had been two separate departments, were integrated into a single department called the acquisitions and technical services department. The objective of the reorganisation was to streamline work while maintaining quality by avoiding making acquisitions and technical work redundant. In other words, it included a series of reform measures that were oriented toward improving productivity, such as eliminating the numerous transfers of duties among separate departments organised by function, and establishing the serials department, which separated materials based on their medium. Consequently, the reforms of 1978 were conducted with a focus on types of materials as a central concern. Indirect operations, on the other hand, still consisted of an administrative department and liaison department, just as before. Under the control of the administrative department, however, there was a significant change made in the organisation, and the electronic computing section and automation section were established within this reform. The duties of the electronic computing section were divided into providing electronic computing system design, operation management and data management, and the promotion of the electronic computing system in the library. Automation up to 1978 primarily consisted of system development for automatic compilation of catalogues and bibliographies. The duties of the automation section consisted of the planning and adjustment of automated library systems, with the aim of making work more efficient. Thus, it is evident that the administrative department played a key role in promoting and enhancing work efficiency by using available systems.

4.4.5  Organisation and Functions of the NDL (June 1986 to April 2000) In 1986, a new building was added to the NDL. This event provided an opportunity for sweeping organisational reform. Unlike in the past, when the NDL was an organisation for ordinary citizens, it now primarily consisted

Figure 4.14  Organisation and functions of the National Diet Library (1978).

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Inherent Strategies in Library Management

of four departments: the acquisitions department, books department, serials department and reference and special collections department. With the exception of the acquisitions department, which was task-oriented in its structure, these departments managed their duties according to the type of materials handled in each department. In other words, although media-based organisation (such as in the serials department) had been partially introduced by 1978, the NDL fully introduced media-based organisation by 1986 (see Fig. 4.15). At the NDL, the work process of libraries is referred to as the ‘flow of materials’, meaning it ‘assumes flow of work according to characteristics of the materials in order to realise proper and effective use of materials’. An increase in the amount and use of serials was behind this work process. This represented a shift in the types of materials used, as well as the fact that the automation of work processes had been initiated. This means that there was a change (1) in the type of published materials being provided, (2) in the manner in which the needs of ordinary citizens were handled in order to cope with this change, and (3) in the way the work process was managed with the use of automation. These alterations also effectively represented a change in the overall organisation and management of the NDL. The acquisitions department consisted of the acquisitions planning section, which suggests that the NDL intended to have staff more actively involved in planning activities at the sectional level. This indicates that the NDL could operate more effectively if the library staff were more actively involved in the planning and operational management. However, in 1986 when media-based organisation was introduced, there was also a dramatic increase in the number of duties that needed to be performed by library staff, and overlapping tasks proliferated at the department level. Therefore, many duties pertaining to public and technical services were handled by each media-based department, such as the books department, serials department and reference and special collections department. This resulted in redundant duties within the library. This decision was in contrast with their 1978 decision to consolidate the acquisitions and technical services into one department using functional organisation in order to enhance organisational efficiency. In 1986, however, it was evident that adopting a media-based organisation and accumulating expertise regarding each type of media in individual departments was important to properly deal with the increase of publications. Indirect operations, on the other hand, consisted of a general affairs department and library cooperation department, which was a continuation

Figure 4.15  Organisation and functions of the National Diet Library (1986).

Figure 4.15  (Continued)

Evolution of Library Organisation and Librarian Specialities

151

of the departmental structure previously seen in the library system. The name of the library cooperation department, however, had been changed from the liaison department, and was placed under the purview of the library research centre. Along with enhancing collaboration with external organisations, this meant the library itself could effect research. Through this, the library could utilise the results from research in library science. The NDL was evidently attempting to prepare the groundwork for operating autonomously by using those results in management or in the actual workplace. The information processing section and work automation section were established under the control of the administrative department to systematically enhance the efficiency of the workings of the library. Thus, a specialised organisation was formed to promote library management and work process reforms for indirect operations. This mode of management would continue for many years. The digital library promotion section, consisting primarily of electronic materials, was established in the Kansai-kan Development Office, when a new building was opened under the management of the general affairs section in 2000 (see Fig. 4.16). Although the automation of the work process was a primary concern in 1986, more importance was placed on how electronic materials would be dealt with in 2000, and this strategic shift of emphasis from work process to electronic materials ushered in further changes to the structure and management of the organisation.

4.4.6  Organisation and Functions of the NDL (April 2002) In April 2002, the NDL once again shifted towards function-based organisation (see Fig. 4.17, as shown by data analysed in 2007). Under this new mode of management, the acquisitions department was primarily responsible for selecting library collections. The bibliography department prepared bibliographies and catalogues, the public services department provided reference-only materials and photocopying services, and the reference and special collections department provided reference services based on special collections. As the organisation was now structured around the various subjects and functions, the reference and special collections department adopted an organisational structure that was based primarily on the subjects. Because of this, the reference and special collections department’s range of library duties varied greatly, and the amount also increased.

Figure 4.16  Organisation and functions of the NDL (April 2000).

Figure 4.17  Organisation and functions of the National Diet Library (April 2007).

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Inherent Strategies in Library Management

When function-based organisation was adopted, the number of duties decreased dramatically (see Fig. 4.11). In the early 2000s, the quantity of library material acquired clearly increased, while the number of employees evidently diminished. Therefore, by rationalising the library’s operations with function-based organisation, efficiency was gained in how large quantities of materials were processed. This is in contrast with the implementation of media-based organisation in 1986, which limited the library’s work productivity, and likely made it difficult to process large quantities of work by 2002. Other unique features include the fact that the electronic resources section was established under the management of the public services department. This section was established to organise electronic materials that had increased in their quantity, due to the growth of information technology and digital collections. It can be seen that the contents of this work differed from all previous library work up to that point. At that time, duties related to information technology, electronic resources and digitisation were scattered within each organisation of the NDL, and the library executives struggled to deal with them.

4.4.7  Organisation and Functions of the NDL (April 2008) In April 2008, the acquisitions department and bibliography department were integrated into a single acquisitions and bibliography department (see Fig. 4.18, drawing on data from 2010). Thus, the NDL had attempted to improve work productivity by integrating functional units in order to enhance the strength of the organisation. As Machiko Nakai (2008) noted, ‘the library’s so-called production line becomes seamless’, and as Osamu Motohashi (2008) explained, ‘office work can become more efficient by combining acquisitions with bibliography work’, the objective of integration is clearly to reduce the handing over of work between organisations. Separate departments that are each devoted to a single function can lead to improved work productivity, but this separation also means that it becomes easier to outsource a particular function/service. Recently, the outsourcing of photocopying services is proof of the influence of this restructuring.

4.4.8  Organisation and Functions of the NDL (October 2011) Organisational reform was implemented again in 2011. The digital information department was established by integrating the public services department with the reference and special collections department (see Fig. 4.19). The digital information

Figure 4.18  Organisation and functions of the National Diet Library (April 2010).

Figure 4.18  (Continued)

Figure 4.19  Organisation and Functions of the NDL (April 2012).

Figure 4.19  (Continued)

Evolution of Library Organisation and Librarian Specialities

161

department aims to (1) expand electronic information services for the Diet, (2) enhance initiatives to develop infrastructure for electronic resources, (3) optimise and create more efficient information systems. The department consolidates all the functions related to electronic data and information systems, and comprehensively manages all information systems, with the exception of the digital archives of the Kansai branch (Tanaka, 2011). Therefore, the duties pertaining to electronic information and resources that were previously performed by different departments were integrated into a single platform that centralises all knowledge related to electronic information and resources, which allows this work to be performed effectively. The general affairs department simultaneously abolished the information systems section. Thus, the functions of the organisation were simplified.

4.5  NEW YORK PUBLIC LIBRARY: 1960s–2010s From the 1960s, the New York Public Library did not have a major organisational change until the early 1990s. The New York Public Library began in 1990 to further expand its organisational structure in response to changes in information technology (see Fig. 4.20). The library also started to consider a management strategy that specializes in information technology, as outlined in ‘Strategy for Technology in the 1990s: Expanding Access beyond the Walls of the Library’ (Birman, Harrison, Sam, & Deborah, 1990). The organisation of the New York Public Library changed dramatically in 2001, as evidenced by hierarchical simplification. The hierarchy of the organisation decreased to four levels. In particular, public services were significantly streamlined compared with those in the 1990s, since (1) the number of divisions related to public services decreased from seven to three, and (2) the number of subject-based groups changed from nine to six. Technical services no longer formed a large, independent organisation, and instead became part of the Research Library, which provides reference services (see Fig. 4.20). The reduction in work handovers associated with the consolidation of the library organisations led to organisational reforms for the entire New York Public Library system. These dramatic organisational reforms also included changing organisation names to more accurately reflect their new purpose and also established under these entities organisations promoting strategic planning and electronic resources. In a related reform, the library also created organisations to handle marketing and capital planning.

Figure 4.20  Organisationand functions of the New York Public Library (1990).

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Inherent Strategies in Library Management

Additionally, budget planning and accounting divisions were integrated into the finance and accounting department. This action suggests the library’s efforts to further strengthen funds procurement functions. Overall, the library actualised segmentation and specialisation during this period by significantly expanding functions in each area of management. As for direct services, the library’s streamlining of divisions included technical services and public services concerning print documents. In particular, the Research Library (which functions as the central library) and regional branch libraries had overlapping technical services as of 2001, but the library integrated these functions into the central library (see Fig. 4.21). Subsequently, the library consolidated technical services and public services into one large organisation. The manager of library administration stated that the library was aiming for efficient management by eliminating organisational redundancy and that the elimination of redundancy led to function-based, specialized organisations. Management reforms that also took place in 2007 aimed primarily to expand the areas of management and electronic documents (see Fig. 4.22). The library established an organisation that promotes electronic documents (digital implementation) directly under the Vice President for Strategic Planning. This change shows the implementation of media-based organisation. At the same time, organisational redundancy was further reduced for public services and technical services concerning print documents. Reducing redundancy led to a transition toward streamlined, functional organisations. In addition, the New York Public Library has continued to maintain outreach and correctional services for the socially vulnerable, such as immigrants, inmates, people with disabilities, etc. Due to the poor economy in the first decades of the 21st century, the demand for services for the socially vulnerable has increased. The number of employees has been decreasing after reaching a peak in 2001 (3,737 salaried and hourly employees). Since 2004, the number has never increased, and instead has been declining. A comparison of the numbers for 2007 (3,155, the second peak) and 2011 shows a total decline of 1,422 employees (38.0%). Thus, the New York Public Library decreased its number of employees, although its budget in the early 2000s was increasing (New York Public Library, 1961–2015). This indicates that rather than the lack of funds, the decrease in the number of employees may be due to the adoption of new technology and media that decrease the need for manpower in traditional library tasks.

Figure 4.21  Organisation and functions of the New York Public Library (2001).

Figure 4.21  (Continued)

Figure 4.22  Organisation and functions of the New York Public Library (2007).

Figure 4.22  (Continued)

Evolution of Library Organisation and Librarian Specialities

169

4.6  BOSTON PUBLIC LIBRARY: 1960s–2010s In 1965, the Boston Public Library was comprised of the general library, which functioned as a central library, and 26 regional branch libraries. This organisation was divided into five divisions: (1) Division of General Library Operations, (2) Division of Personnel, (3) Division of Home Reading and Community Services, (4) Division of Information and (5) Division of Reference and Research Services. The Division of General Library Operations and the Division of Personnel provided indirect services, while the Division of Home Reading and Community Services and the Division of Reference and Research Services offered direct services to library users (Fig. 4.23). The Boston Public Library at that time consisted primarily of function-based and subject-based organisations. Divisions in charge of indirect services provided specialized operations such as human resources and construction through organisations divided by function. The Division of Home Reading and Community Services and the Division of Reference and Research Community Services were main organisations handling direct service areas. The Division of Home Reading and Community Services provided assistance ranging from technical services to public service areas. This organisation was subdivided by age groups of library users (adults, young adults and children). The 26 regional branch libraries were also tied to this organisation. However, the regional branch libraries did not provide technical services; technical services were instead concentrated at the central library. The organisational structure of the Division of Reference and Research Services was built to serve general library users, particularly researchers. This organisation was based on highly specialized subjects (Boston Public Library, 1965) and provided selection and reference services by library staff members with specialized knowledge in advanced subject areas. The specific subjects in 1965 consisted of the four primary subject areas, namely Art, Humanities, Science and Technology and Social Science. Other detailed fields under these four categories consisted of a total of 13 subjects. General reference services, on the other hand, responded to broader reference-related inquiries. The Division of Information provided information services using methods other than general library services. Specific services consisted of (1) public relations, (2) project exhibitions and (3) publications by the Boston Public Library. The library was already equipped to disseminate information to external audiences. Management challenges during this period

Figure 4.23  Organisation and functions of the Boston Public Library (1965).

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Inherent Strategies in Library Management

included the need for new library buildings to house increased volumes of documents. Up to the 1960s, the Boston Public Library did not effect any significant changes to its organisation. The library developed a more complex organisation after 1960. The Boston Public Library in 1994 was comprised of five divisions, including Administrative and Technical Services, Community Library Services, Research Library Services, Resources and Processing Services and Eastern Massachusetts Regional Library System. The library organisation was primarily regional-based, and it is apparent that the library pursued operational efficiency by segmenting each division based on areas of specialty in library operations as well as expanding general organisational functions. Similarly, it is also evident that the Boston Public Library improved services for people living in remote areas by establishing regional libraries through the Community Library Services Division. The Boston Public Library after 1991 was continuously conducting major renovations of the McKim Building, which serves as the central library (Boston Public Library, 2002). In 1998, the library issued a strategic plan (Boston Public Library, 1998), which compiled the development process of the major renovation. This continuous renovation of buildings and facilities was steered by joint members from regional development authorities in the city of Boston and the Boston Public Library. The objective was to renovate deteriorated buildings, improve the library functions and services, and implement associated organisational reforms. For instance, the joint members implemented operational reforms upon investigating various issues within the organisation. Fig. 4.24 shows specific issues mentioned during the investigation. They reveal that the joint members reviewed improvement of the operations environment at the library and user services almost equally. In particular, many of their requests were related to systems such as information technologies and the improvement of library facilities. Regarding library facilities, the library needed to solve space problems and improve desk space and bookshelf space for documents while it improved user services and the operations environment. As for system improvement, the joint members decided to bring computers to the library after they became available globally in the late 1990s. The objective was to provide electronic reference materials and multimedia collections. In 2009, the library implemented big management reforms and simplified the organisation, which had become complex through specialisation and segmentation (see Fig. 4.24). Under the 2009 organisational reforms,

Figure 4.24  Organisation and functions of the Boston Public Library (2009).

Figure 4.24  (Continued)

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175

the library pursued streamlining library management by reducing the number of management personnel and integrating overlapping organisations (Boston Public Library, 2009). Humanities and Natural Sciences were integrated into the public services area, while interlibrary loans (ILL), catalogue information and telephone reference were consolidated into the technical services and system-related departments. This integration increased the ratio of function-based organisations in the organisational structure and reduced the rising number of organisations and the increased level of organisational hierarchy. Bookmobile services to people living in remote areas were discontinued that year. Additionally, the library emphasised information technologies and systems and established the Resource Services and Information Technology Division. Organisations related to electronic documents were consolidated under this division, integrating entities previously separate, i.e., document digitisation and technical services. Along with this development, functionbased organisations related to technical services were merged, forming a media-based organisation based on electronic documents. The expanded electronic media-related divisions absorbed the reduced technical servicerelated divisions. Subsequently, organisations based on electronic documents were created. Furthermore, the Boston Public Library started to focus on bolstering finance and accounting (Finance and Administration) organisations in its management. Funds-procurement functions were particularly strengthened. However, it has been declining since reaching its peak in 2001. Moreover, the numbers of line organisations and subject-based organisations have been decreasing. The organisational hierarchy had six levels in 2001 but decreased to five levels in 2009. Thus, the entire organisation became simpler, whereas it had been complicated and specialized until the first half of the 2000s. In summary, the library began to emphasise organisations related to library management and indirect operations (finance and accounting, in particular) in the 2000s. More advanced knowledge and abilities became essential to perform these indirect operations. The researcher conducted interviews with the manager in charge of public services and involved in library management. The manager has been working at the Boston Public Library since 1982 and is a manager with sufficient knowledge of the library. Documents investigated were strategy-planning documents from the 1960s to the 2010s. According to her, for a long time only a few management reforms were implemented at the Boston Public Library. She mentioned that relatively major changes

176

Inherent Strategies in Library Management

include the ones generated by the introduction of OPAC and the expansion of regional libraries in various Boston areas after the 1980s. The next change was the organisational reform that took place around 2010. The manager who was interviewed stated that changes in operational processes by such information technologies and systems are the most significant shift that has occurred at the library. For instance, she mentioned that public services at the library became diversified in providing not only paper-based documents but also materials including databases, electronic documents and online information. In addition to offering general public services, this also prompted library staff members to provide reference services via telephone or online, which had not been available in the past. She also mentioned that not only types of operations but also operational procedures were changed significantly by information technologies and systems. She stated that the way operations are currently carried out by a reference librarian and a cataloguer are different from those in the past. This change suggests that basic functions of library services have expanded and operation of procedures have also changed because of significant advancements in operations tools brought by information technologies. Library staff members must acquire skills related to new services as well as to continuously review skills necessary to perform current library operations. Thus, the role of library staff continues to evolve along with information technologies and systems.

4.7  TOKYO METROPOLITAN LIBRARY: 1960s–2010s In the early 1970s, because many of the Hibiya Library users were students who were preparing for entrance examinations, the library had been unable to fulfil its original role as the central library that supports regional libraries and assists residents in Tokyo with their research activities. Additionally, the library struggled to provide maintenance functions at the central library in Tokyo due to limited availability of book stacks. This led the Tokyo Metropolitan Library to establish the Central Library in Minamiazabu on December 1, 1972, transferring the core function to the Central Library from the Hibiya Library (Tokyo Metropolitan Central Library, 1994). During this period, the primary functions of the Central Library were defined based on five points: (1) mutual cooperation with municipal libraries in Tokyo, (2) reference service duties, (3) document circulation to municipal libraries in Tokyo, (4) copy services and (5) services

Evolution of Library Organisation and Librarian Specialities

177

for people with disabilities (Tokyo Metropolitan Central Library, 2003). Therefore, users were not permitted to borrow books from the Central Library. The functions for the Hibiya Library were based on (1) book checkout service for individuals, (2) library perusal and consultation work for adults and young adults, (3) children’s materials centre and (4) audiovisual materials centre, clearly defining the division of roles and responsibilities with the Central Library. The following sections examine the organisational structure and operations in detail (Table 4.7). In 1973, a year after the Central Library opened, the Tokyo Metropolitan Library increased the level of organisational hierarchy by dividing an organisation consisting of one section into the Management Department and the Collections Department. As a result, the number of organisations in the Central Library increased to 52 from 15. The Management Department comprised the General Affairs Division and the Planning Assistance Division. In particular, the Planning Assistance Division underwent significant changes during this process. In addition to serving the management and planning functions for the entire library, providing assistance to regional libraries within Tokyo was also added to its primary duties. The Collections Department consisted of the Acquisitions Division, Technical Services Division, Reference Services Division and Serials Division. Due to a significant increase in the document maintenance functions associated with the establishment of the new library building, the Central Library was required to promptly collect and arrange the scale of document volumes, which had not been collected by other public libraries in the past. In the Collections Department, the Technical Services Division, which primarily provides technical services, underwent the most significant changes. While the Technical Services Division had previously been offering technical services such as collections, classification and cataloguing on its own, it was divided into the Acquisitions Division and the Technical Services Division to emphasise greater efficiency in its operations. Among all technical services, the Acquisitions Division was mainly responsible for selection and collection tasks, while the Technical Services Division primarily had classification, cataloguing and equipment duties. In this way, the Central Library implemented further specialisation and segmentation of the organisations by reorganising technical service organisations into functional entities from subject-based entities. The library also set up new cataloguing rules during this operational streamlining of

Table 4.7  Transitions in Library Organisational Structure and the number and percentage of positions in the Tokyo Metropolitan Library Type of library work Year

Department

1957 –

Divisions

Type of library work

Type of organisation

Management and Planning

General Affairs

Technical Services

Public Services

IT System

Total

Number of librarians

General Affairs Technical Services

Coordination Technical Services

2 0

10 0

0 6

0 0

0 0

12 6

30 17

Reference Services Collection Development

Public Services Public/ Technical Services

Functional Function (Mediabased) Media-based (Functional) Functional (Mediabased)

0

0

0

7

0

7

21

0

0

3

10

0

13

21

2 5.3% 2 1

10 26.3% 11 2

9 23.7% 0 12

17 44.7% 4 0

0 0.0% 0 0

38 100.0% 17 15

89

0

1

3

6

0

10

–

0

2

0

13

0

15

1

2

0

0

0

3

–

4 6.7%

18 30.0%

15 25.0%

23 38.3%

0 0.0%

60 100.0%

–

Total 1972 –

General Affairs Technical Service

Coordination Technical Services

Collection Development Reference Service

Technical Services Public Services

New Library Building Development Office Total

Project Team

Functional Functional (Mediabased) Functional Subject-based (Mediabased) Functional

– –

Table 4.7  Transitions in Library Organisational Structure and the number and percentage of positions in the Tokyo Metropolitan Library Type of library work Year

Department

1973 Management Collections

Divisions

Type of library work

Type of organisation

Management and Planning

General Affairs

Technical Services

Public Services

IT System

Total

Number of librarians

General Affairs Planning and Cooperation Acquisitions

Coordination Management

Functional Functional

1 11

51 38

0 2

0 6

0 1

52 58

27 12

Technical Services Technical Services Public Services

Subject-based (Functional) Subject-based (Functional) Subject-based (Mediabased) Functional

5

23

51

0

0

79

29

7

22

85

0

0

114

30

10

108

87

91

0

296

55

4

32

73

33

0

142

15

38 5.1% 4 15

274 37.0% 55 38

298 40.2% 0 6

130 17.5% 0 1

1 0.1% 0 4

741 100.0% 59 64

168

Technical Services Reference Services Serials

Technical/ Public Services

Total 1998 Management Collections

General Affairs Planning and Cooperation Acquisitions and Technical Services Reference Services

Coordination Management

Functional Functional

Technical Service

Subject-based (Functional)

12

64

151

0

1

228

55

Public Services

27

166

130

83

4

410

86

Serials

Technical/ Public Services

Subject (Mediabased) Media-based (Functional)

6

57

65

33

3

164

32

64 6.9%

380 41.1%

352 38.1%

117 12.6%

12 1.3%

925 100.0%

210

Total

20 17

(Continued)

Table 4.7  Transitions in Library Organisational Structure and the number and percentage of positions in the Tokyo Metropolitan Library (Continued) Type of library work Year

Department

2002 Management Information Services

2010 Management Information Services

Divisions

Type of library work

Type of organisation

Management and Planning

General Affairs

Technical Services

Public Services

IT System

Total

Number of librarians

General Affairs Planning and Management Collection Management

Coordination Management

Functional Functional

4 15

60 88

0 10

0 3

0 15

64 131

20 22

Technical Services

98

148

0

12

276

52

Information Service (Reference) Total

Public Services

Functional 18 (Subject/ Mediabased) Subject(Media- 27 based)

244

293

180

24

768

117

Coordination Management/ IT Technical Services

490 39.5% 261 66

451 36.4% 0 5

183 14.8% 0 8

51 4.1% 0 20

1,239 100.0% 291 120

211

General Affairs Planning and Management Collection Management

64 5.2% 30 21 21

132

104

5

6

268

35

Information Service (Reference)

Public Services

47

164

96

71

16

394

46

119 11.1%

623 58.1%

205 19.1%

84 7.8%

42 3.9%

1,073 100.0%

113

Total

Functional Functional Functional (Subject/ Mediabased) Functional (Subject/ Mediabased)

16 16

Evolution of Library Organisation and Librarian Specialities

181

technical services (Tokyo Metropolitan Central Library, 2003). Public services were provided by the Reference Services Division, which comprised subject-based organisational structures such as humanities, social science, natural sciences, literature, Tokyo-related documents, and other areas. Additionally, public services included media-based organisational structures such as audio-visual materials. A distinctive aspect of public services in 1973 is that the Serial Publications Division was already established. Due to increased volumes of documents, the library changed the serial publication related organisation to a separate body and started to comprehensively conduct operations related to serial publications under one division. One division took part in duties ranging from technical services to public services, as all of the duties – such as collections, classification, cataloguing, equipment and user services – were conducted in the Serials Division. The reasons for this are that the library needed to collect serial publications actively due to inadequate distribution systems for these publications and was implementing original methods for processing serial publications (Ogura, 1974). Thus the library implemented organisational segmentation based on the type of document and allowed organisations to have a series of functions for each document-type level. While this enhanced the level of services, the number of organisations and employees also increased, with overlapping library functions at each document-type level. After 1973, the library had no significant changes, and in 2008, the Central Library greatly simplified the organisation to prepare for renovation work the next year. Although reorganisation took place in 2008, the author selected 2010 because document availability was confirmed. The most notable change in this year occurred in the organisational structure of public services. While the Information Service Division adopted subject- and media-based organisations consisting of five sections, including documents consultation, social science, humanities, natural sciences and newspaper/magazine services, the library integrated these into three functional organisations comprising service planning, research assistance I and research assistance II. In other words, the library completely changed to a functional organisational structure from the subject-based Information Service, since it was no longer possible to maintain the division based on subject. Subsequently, the library implemented a large-scale layoff, particularly concentrated in the public services area, where many employees had been placed in the past. The library explained this matter on a superficial level as consolidating reference-related windows to one and creating an organisation that provides one-stop services to library users, or a flexible and

182

Inherent Strategies in Library Management

resilient organisation that can promptly respond to library users’ needs (Tokyo Metropolitan Central Library, 2012). Moreover, the reorganisation further reduced the number of sections within organisations to 15. Contrary to this trend, however, tasks related to digital media, which emerged in 2008, caused the creation of an additional departmental structure within the library. Most recently, the Tokyo Metropolitan Library implemented organisational reform aimed at integrated management by changing to a functional organisation. The organisational structure in the 2010s has not changed dramatically since 2008. However, the number of operations related to document digitisation has been increasing. Specific examples of such operations include providing online access to the ‘Edo-Tokyo Digital Contents’ and innovation of the library systems. The Edo-Tokyo Digital Contents have been continuously expanded (Tokyo Metropolitan Central Library, 2012). This change in organisational structure can be assumed to have occurred as a result of the information technology environment associated with document digitisation taking place around 2010 along with document preservation. The Tokyo Metropolitan Library places organisations that take part in such tasks under the Planning Management Division of the Administration Department in the Library Information System Section. The library did not pursue externalisation of information system-related organisations and instead placed these organisations under the Planning Management Division, in charge of management and planning. This shows a unique management decision made by the Tokyo Metropolitan Library. It can be assumed that the IT-related departments are considered significant to the library. The drastic organisational reform in 2008 rapidly accelerated the streamlining process at the library. The number of employees, which remained unchanged until 2002, has declined, and the organisational structure has been significantly simplified. In particular, the library started to adopt functional organisations instead of the past subject-based organisations in the public service area. This eliminated the subject-based organisations from the Tokyo Metropolitan Library, except sections that specialise in regional matters. In addition, in order to assist underprivileged individuals in the community, the Tokyo Metropolitan Library joined the Library Support Group [Toshokan-Kaientai], an initiative started by the Ministry of Education, Culture, Sports, Science and Technology of Japan in 2010. As of 2012, the Library Support Group consists of 49 libraries that volunteer to work with a Japanese government employment agency to provide support to the impoverished.

Evolution of Library Organisation and Librarian Specialities

183

4.8  UNIVERSITY OF MASSACHUSETTS AMHERST LIBRARIES: 2000s–2010s A new library director, who was originally a librarian, was appointed in 2004 at the University of Massachusetts Amherst Libraries. From 2005 to 2007, and again in 2009 to 2011, he used management strategies to reform the organisation of the Libraries (Schafer, 2008). The objective of this organisational reform was to balance the organisation between a hierarchical structure and a project-based structure, since the library was very hierarchical and discouraged staff participation in management under the previous library director. Additionally, he tried to construct an organisational structure that would maintain the traditional library organisational structure with flexibility and participation at the core while adapting it for a modern digital environment. More concretely, a part of the hierarchical structure of the past was reorganised into project-based organisation. The hierarchical structure was mostly retained because it was still necessary for librarians to concentrate on specialised tasks. However, he also established a project team group that bridged various departments to work on important matters together. In 2004, the director created the Communication and Publishing Services Department in order to publish and distribute their library’s knowledge and information for users (Fig. 4.25). In addition, he created the Library System Services Department in order to communicate with users online. Moreover, he established the Liaison Council under the Public Services Department in order to strengthen relationships with other academic organisations in the university. The director also focused on four important areas: information resources, user-focused environments, facilities and infrastructure, and organisational development. In particular, his focus on strategically changing facilities and infrastructure was of note: his aim to change library services to better suit users made it necessary to also make changes to facilities and infrastructure. As a result, in 2005, the Learning Commons was established in an available space in the ground floor of the UMass Amherst’s Du Bois Library. Additionally, he aimed to balance pre-existing quiet study spaces with new study facilities/services. By 2011 (Fig. 4.26), the director decided to change the term catalogue in technical services to metadata. This indicates a redefining of catalogue into a term that reflects the development of new skills regarding the digitisation of materials on top of traditional library work. Although the overall number of library employees decreased as a result of new technology,

Figure 4.25  Organisation and functions of the UMASS Amherst Libraries (2004).

Figure 4.26  Organisation and functions of the UMASS Amherst Libraries (2011).

188

Inherent Strategies in Library Management

metadata services gained employees by transferring them from other areas, which indicates its importance. The director further explains: Technology is driving a lot of reductions. With electronic resources, we don’t get print journals anymore so we don’t check them. We have a few but not many. But we don’t have to have check-in people. We don’t have to have binding people. We don’t have as many cataloguers because we do shelf-ready cataloguing with OCLC, so the material comes in shelf-ready. We’ve just used technology in that area to downsize the staff. […] What I wanted to happen was as we had people that we didn’t need in one place, we could transfer them to another place to do different jobs so that we could take people from circulation and put them in a scholarly communication to work on the institutional repository or we could put them in special collections to work on the digitisation projects. The concept was that as we downsize the print side that we use those people to do other digital projects (Schafer, 2010).

Furthermore, from the library director’s focus on digital materials and management, he created the Digital Strategy Group in order to better deal with digital materials. One of the missions of this group is to ‘provide direction and strategic planning for the libraries’ development of digital activities that focus on digital content that is created or collected by the libraries, and services that grow from these digital collections’ (Schafer, 2011). In addition, this group assists other working groups, such as the Metadata Working Group and the Digital Creation and Preservation Working Group. By 2011, the library proactively focused on the creation and management of digital materials and metadata, while still maintaining services for paper-based materials. It is important to note that these fundamental changes were caused by the changes in the technological environment and user behaviours, not by decreasing budgets.

4.9  EVOLUTION OF LIBRARY ORGANISATION The results indicate that libraries used four types of organisational structures: subject-based, function-based, media-based and region-based. This section explains the characteristics of each structure as it relates to management strategies. Based on the case analyses, Fig. 4.27 shows the comprehensive results of changes in the organisational structure for the provision of technical services and public services. This figure includes all of the research results from the 15 libraries that the author analysed. The libraries in the 1960s used function-based organisation to manage technical services. However, many libraries eventually switched to mediabased or subject-based organisation. Next, an increase in the number of

Figure 4.27  Transitions of library organisations.

Figure 4.27  (Continued)

Evolution of Library Organisation and Librarian Specialities

191

serials targeted for acquisition led to the formation of media-based organisations from the 1980s to the 1990s. Finally, nearly all of the libraries’ organisational structures reverted back to a focus on functions from the 2000s to the 2010s. Public services had either subject-based or media-based organisational structures in the early 1960s. The same organisational structures were mostly maintained throughout the 1970s and 1980s. The 1990s saw an increased transition into mainly subject-based organisation, which then transitioned into function-based organisation in the 2000s to the 2010s, paralleling that of technical services. Additionally, only public libraries implemented a region-based organisational structure for their branches. These branches often also became subject-based due to the collection of regional materials/documents.

4.9.1  Subject-based Organisational Structure In subject-based organisational structures, the library or departments are structured around subjects. In order to focus all operations related to a single subject in one division, library staff working in each division had to develop multiple proficiencies. ‘Development of multiple proficiencies’ refers to the need for each staff member to acquire multiple job skills in order to perform a large number of operations. For example, before the University of Arizona reorganised its management system in the 2000s, reference librarians provided services on a subject-oriented basis by researching their designated subject, selecting and acquiring materials relevant to their subject, categorising and cataloguing them, and providing reference services to users. This illustrates how, within a subject-based organisational structure, a single library staff member develops multiple proficiencies by performing diverse operations centred on the subject in which he or she specialises. It should be noted that organisational systems centred on user type fall within the broad category of subject-based organisation. These systems are based on the type of subject matter used by different users, such as children, teens, adults, or businesspeople.

4.9.2  Media-based Organisational Structure In a media-based organisational structure, the format of materials is the organising principle for structuring the library or department. This type of structure is adopted when the market produces new types of media or when the number of materials with a specific format increases.

192

Inherent Strategies in Library Management

In order to develop library divisions organised by format and to focus operations accordingly, library staff belonging to these divisions also tend to develop multiple proficiencies. The National Diet Library in the 1990s and the Boston Public Library in the 2000s are typical examples of this approach. In addition, many libraries created divisions specialising in serial publications as the number of acquired serials increased. Similar to subject-based organisation, it is common within media-based organisation for a single department to handle all aspects ranging from technical to public services. This operational flexibility allows for more emphasis on new media within library management plans. In addition, organisational levels are easily flattened due to the frequent adoption of project-based systems. When media that is unfamiliar to librarians, such as electronic media, appear in the marketplace, libraries find themselves severely lacking in knowledge and information about the new media format. Furthermore, methods for handling the new format by the library are also undetermined at first. Librarians must therefore gather knowledge and information about the new media, reconsider operational methods used at the library, and decide how to respond to the new media.

4.9.3  Function-based Organisational Structure In function-based organisational structures, function is the organising principle for structuring the library or department; in order to minimise the number of employees needed, library staff perform a narrow, specialised range of tasks related to a specific function. This leads to the simplification of job content, that is, the acquisition by library staff of highly developed proficiency in one or a few areas of work. Because they specialise in a narrow range of tasks, librarians working in function-based departments are able to rapidly accumulate knowledge relevant to their job and work in an efficient manner. Key examples of function-based organisation are the National Diet Library, Tokyo Metropolitan Library, University of Arizona Libraries and Boston Public Library in the 2000s and the 2010s. Financial limitations led these libraries to adopt management plans that emphasised efficiency. As a result, they organised their operations according to function and adopted systems that had extremely high economic performance. In this way, function-based organisation for traditional library operations are closely linked to strategic plans to improve services and operations (strategies that prioritise operational efficiency).

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Function-based organisation has a long history of use in ‘indirect service’ departments such as management, planning, general affairs and coordination, which are fields that necessitate efficiency and high degrees of specialisation.

4.9.4  Region-based Organisational Structure In region-based organisational structures, libraries are established in different areas as part of a library system network in order to provide appropriate service to each.They are distinct from the three types of systems described previously in that they are dependent upon what kind of services will be provided to a particular area. Therefore, even if regional libraries have been established, their managers must still decide how to apply the above three types of organisation. Region-based organisation is characteristic of public libraries; in the case of university libraries, the location of the library often becomes a subject itself, and can be considered a part of subject-based organisation. There are two primary options for utilising a region-based organisation. The first involves completely separating central and regional libraries, so that all operations are performed at each library. The second is for the central library to perform ‘back office’ functions such as technical and indirect services for all libraries in the network, while the regional branches focus on public services. The first option is typically used when budgets are ample, and the second when they are limited. Furthermore, in the second option, branch libraries only perform public services, so it can be thought of as a function-based organisation.

4.10  ADAPTATIONS IN LIBRARY OPERATIONS Fig. 4.28 shows the transition of library operations at the libraries targeted for case analyses. The library operations from the 1960s to the 2010s can be divided into 11 fields based on specialties. In particular, these fields consist of (1) creating/editing/publishing information and collections, (2) selection and acquisitions, (3) classification and cataloguing, (4) preservation, (5) collection digitisation, (6) automation and information retrieval through a network, (7) lending collections, (8) support for users’ research, (9) services for users outside of libraries, (10) planning and management and (11) general affairs and coordination. Public services, collection development and technical services were directly related to library operations, and these services were continuously provided during the target years for analysis, from the 1960s to the

Figure 4.28  Transitions of libraries’ operations.

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2010s. Analysing the detailed operations clearly shows that public services included document-based services such as library perusal, copying, reference, and circulation. Moreover, among these public services, reference services were provided based on subjects. Collection development and technical services were based on four areas: (1) creating/editing/publishing information and collections; (2) selection and acquisitions, (3) classification and cataloguing and (4) preservation and storage operations. Like public services, technical services were operated based on subjects when the budget was adequately available. This shows that document and subject-based services play a fundamental role in library management. The planning and management field conducts operations such as creating a library management plan and reviewing specific service plans. Entering the late 1990s, libraries clearly established new, independent departments that focused on ‘management strategy’. Major decisionmaking processes began to take place in this field. General affairs and coordination encompass all indirect operations, ranging from office tasks and contractual/rights acquisitions to collaborative operations among organisations, personnel matters and finance and accounting matters. Gradually, libraries began to focus on providing education and training for their library staff members through these indirect operations, particularly in organisation and personnel matters. In regards to finance and accounting operations in the 1990s and 2000s, some of the libraries began to enhance the procurement of external funds, in addition to general accounting processing operations. The funds procurement function is strongly tied to library management, and it is evident that the libraries’ focus on management, which started in the late 1990s to the 2000s, is also reflected in the general affairs and coordination areas. The scope of operations related to general affairs and coordination even included facility management. The fact that such operations were frequently found in the history of the libraries signifies how services for buildings and facilities should be provided and managed was considered important.

4.11  ABSORPTION OF TECHNOLOGY AND INCLUSION OF DIGITAL MEDIA Technologies and digital media can be used to assist various library operations, and libraries started to primarily implement these tools starting in the late 1980s. Libraries also began to sign contracts with electronic journals/collections and to add the digitisation of paper documents to

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Figure 4.29  The absorption of technology over time.

Figure 4.30  Organisational structure of Boston Public Library in 2009.

their operations in the 2000s. Moreover, library staff members needed to have skills in information technology and digital media matters, such as programming, metadata and digitisation, to support the transforming collection formats (Fig. 4.29). The absorption of technology and the inclusion of digital media became a trigger of strategic changes, and brought not only service innovation but also organisational innovation. In essence, technology and media format are the fundamental elements of change in libraries. The author would like to highlight a typical case where strategic change was caused by the transformation of media formats. This case is the Boston Public Library: in 2009 (see Fig. 4.30), the library implemented

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Figure 4.31  The spread and later consolidation of technologies. *Dots represent technology

large management reforms and simplified the organisation, which had become complex through specialisation and segmentation. Under the 2009 organisational reforms, the library pursued streamlining by reducing the number of management personnel and integrating overlapping organisations. At the same time, they created an electronic resource-based division and media-based organisation, emphasised information technologies and systems, and established the Resource Services and Information Technology Division (see Fig. 4.30). Organisations related to electronic documents were consolidated under this division, integrating entities that were previously separate (document digitisation and technical services). It can be seen that the Boston Public Library focused heavily on information technology and e-resources. As evidenced by the changes in the Boston Public Library in 2009, most academic and public libraries followed the same type of strategy and organisational structure, and created e-resources media organisations. For example, a very similar strategic change at the Harvard Library and UMASS Libraries occurred. E-resources and information technology triggered this strategic and innovative change in library management (see Figs. 4.31, 4.32). Essentially, library services are based on strategy and organisational structures, which in turn adjust accordingly to media format. In the late 1990s and early 2000s, increases in the use of technology within the library led to confusion and difficulty as libraries had few specialists or skills to deal with these new technologies. Furthermore, the

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Figure 4.32  Forming an electronic resource-based organisation.

technology was scattered within the various divisions without a clear direction (Fig. 4.31), so people in one division were unable to assist users in other divisions. Without specialised skills or training, organisations became more and more confused when dealing with the ever-changing technological demands on their organisations. In the late 2000s and 2010s, many library directors collected technology and various resources into one division in order to better manage the use of technology within their libraries (Fig. 4.31). These divisions report directly to the library director. In the Boston Public Library, the strategic management group was formed to create new strategies and foster changes in the organisations in response to changing technologies. Furthermore, this change resulted in the creation of an electronic resource-based organisation (Fig. 4.32). Once again, we can see that the absorption of information technology and inclusion of digital media are the triggers for innovative changes in strategic management of libraries.

4.12  THE INTRODUCTION OF NEW MEDIA AND EASE OF ADOPTION OF ORGANISATIONAL STRUCTURES AND OPERATIONS As it became necessary to process large numbers of paper-based materials, library staff members increased the efficiency of their operations through measures such as mechanisation. Rules for cataloguing also became more detailed, and technical skills and staff proficiency in tasks related to paperbased materials improved rapidly. In Fig. 4.33, the dotted S-curve represents these improvements in staff skill and productivity. The shape of the curve illustrates how, through effort and investment, skills and productivity

Inherent Strategies in Library Management

Amount of Publications Acquired Skill/Experience Curve

Functional Organisation

Subject-based Organisation

Media-based Organisation

The amount of knowledge and skills about new media

The amount of publications acquired per year

200

Passage of time after the emergence of new media

Figure 4.33  Modelling the relationship between passage of time after the emergence of new media and organisational structure.

improve and become more widespread with time after the introduction of a new technology. Approximately between the late 1980s and the early 2000s, the quantity of published materials continued to increase, and in order to improve the efficiency and quality of their work, library staff members switched from subject-based to function-based organisational structures. This trend was particularly notable with regard to technical services. One causal factor of the transition to function-based systems was budget cuts caused by economic downturns; however, even libraries whose budgets remained unaltered implemented similar measures. This suggests that the reason for this transition in organisational and operational systems goes beyond budget cuts, and is in fact, the result of efforts by library staff to improve the quality of services. The situation has been similar with regard to electronic media. These media are comparatively new, gaining widespread use from the latter half of the 1990s and early 2000s onwards. Starting in the early 2000s, libraries began to develop media-based organisational structures for electronic media. Because library staff did not possess adequate knowledge about new media formats, they had to gather information about electronic materials and discuss methods for providing technical and public services. Various staff and functions were therefore brought together to deal with electronic media within the library. As a result, library staff organised project teams and connected with a wide range of external institutions and libraries in relation to electronic

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media. The author predicts that in the future, as electronic materials proliferate and libraries face the need to process them in large quantities as part of their technical services, new metadata rules will be discussed and established. Furthermore, as library staff members become increasingly proficient at dealing with the new media, they will transition to function-based systems, as in the case of paper-based media. There are, of course, exceptions to these trends that are not illustrated in Fig. 4.33. However, this model of the relationship between the passage of time after a new form of media is introduced and the improvements in technical skill, staff proficiency and organisational systems that occur corresponds with the decisions made by many of the libraries in this analysis. These results support the assumption that libraries change their organisational systems and operations in response to the characteristics of the materials in their collections and staff knowledge about material formats, and that such changes have a large impact on library management strategies and organisational theories.

ENDNOTE * This chapter expanded on some material from the following article: Masanori Koizumi (2016), Theory of Management Strategies for Libraries: Triggers for Innovative and Fundamental Changes, in David Baker, Wendy Evans (ed.), Innovation in Libraries and Information Services (Advances in Library Administration and Organisation,Volume 35) Emerald Group Publishing Limited, pp. 63–85.

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Columbia University Libraries Information Services. (2010). Strategic plan 2010–2013. Eisenhardt, K. M. (1989). Building theories from case study research. Academy of Management Review. Academy of Management, 14(4), 532–550. Fair, E. M., Dollard, M. E., Scudder, R. E., & Carolyn, T. (1945). What if there were no A.L.A.? ALA Bulletin, 39(3), 85–88. Goins, J.M. (1999, March 23). Needed Renovations Planned For Widener. Retrieved November 29, 2016, from . Handbook for Librarians and Professional and Administrative Staff in the Harvard University Library. (1991). Harvard University Library. Harvard Library Shared Services Organization. (2012, July 17). Retrieved July 18, 2012, from . Harvard University Library. (1973). In Encyclopaedia of Library and Information Science (pp. 318–373). Harvard University Library. (2009a). Harvard University Library Directory. Harvard University Library. Harvard University Library. (2009b). Report of the Task Force on University Libraries (p. 56p.). Harvard University Library. Retrieved from . Harvard University Library. (2012). Nine strategic Library needs guide our work. Harvard University Library. Harvard University Library Directory. (1961) (16th ed.). Office of the Director. Hempel, C. G. (1962). Deductive-nomological vs. statistical explanation. Minnesota Studies in the Philosophy of Science, 3, 98–131. Hempel, C. G. (1965). Aspects of scientific explanation and other essays in the philosophy of science. New York: The Free Press. Jaggers, D. (2011, June 15). Leupp, H. L. (1924). The library the heart of the university. Bulletin of the American Library Association, 18, 193–197. Motohashi, O. (2008). Report from NDL: Preparing and providing bibliography data/major happenings for 2008. Bibliography Adjustment Liaison Council Report for FY2008. Retrieved from . Nakai, M. (2008). Inauguration of New ‘Acquisition/Bibliography Department. NDL Bibliography Newsletter, 4 Retrieved from . Neal, J.G. (2011, June 15). New York Public Library. (1961–2015). The New York Public Library Annual Report. New York Public Library. Noguchi, S. (2010, November). Numagami,T. (2000).Toward an action system theory of management.Tokyo: Hakutoshobo. Ogura, M. (1974). Organization and rules of the Tokyo Metropolitan Central Library. Research Bulletin, 3, 1–10. Porter, M. E. (1980). Competitive strategy: Techniques for analyzing industries and competitors. New York: Free Press. Potier, B. (2004, September 30). Widener Library renovations: On time, on budget: Lovingly renovated Widener prepares for 21st century scholars. Retrieved November 29, 2016, from . Ranganathan, S. R. (1931). The five laws of library science. London: Edward Goldston.

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Rouse, H.N., & Worland, J.C. (2012, October 5). Dust settles as library changes. Retrieved November 23, 2016, from . Ruder, D.B. (1998). Widener Renovations Planned. Retrieved August 6, 2012, from . Schafer, J. (2008). University of Massachusetts Amherst Libraries Three-Year Plan Fiscal Years 2009 – 2011. University of Massachusetts Amherst Libraries. Schafer, J. (2011, April 25). Digital Strategies Group. Stoller, M. (1996). Columbia’s library for the twentieth century: The rise of South Hall. Columbia Library Columns, 45(2), 23–46. Summaries of Reports to the Library Committee of the University Council. (1951). Columbia University Libraries. Tanaka, H. (2011, December). The Current State of the Reorganisation of the NDL and the Development of Infrastructure for Electronic Information. Presented at the Digital Information Resources. Retrieved from . Tokyo Metropolitan Central Library. (2003). Tokyo Metropolitan Library Thirty Years’ History. Tokyo: Tokyo Metropolitan Library. Tokyo Metropolitan Central Library. (2012). Heisei 23 Library Summary. Tokyo: Tokyo Metropolitan Library. Tokyo Metropolitan Central Library. (1994). Tokyo Metropolitan Library twenty years’ history. Tokyo: Tokyo Metropolitan Library. Widener Library History. (2012). Retrieved August 4, 2012, from . Wolven, R. (2010, November). Yin, R. K. (2013). Case study research: Design and methods (Vol. 5, p.312). Thousand Oaks, CA: SAGE Publications, Inc.

CHAPTER 5

General Strategies and Specific Strategies for Libraries Contents 5.1 Overview of Strategies for Libraries 5.2 General Strategies for Libraries 5.3 Specific Strategies for Libraries 5.3.1 Subject Specialisation 5.3.2 Equalising Social Opportunities 5.3.3 Consultation Services 5.3.4 Sophisticated Research Services 5.3.5 Expanding Editing and Publishing Functions 5.3.6 Enhancing Visitor Facilities 5.3.7 Service and Operational Improvement

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A man should learn to detect and watch that gleam of light which flashes across his mind from within, more than the lustre of the firmament of bards and sages. Yet he dismisses without notice his thought, because it is his. In every work of genius we recognize our own rejected thoughts. — Ralph Waldo Emerson, Self-Reliance, 1841.

5.1  OVERVIEW OF STRATEGIES FOR LIBRARIES Regardless of the library type involved, the majority of management strategies considered for libraries have rarely been implemented in an appropriate fashion. Instead, strategic management and the actual organisations were often treated separately, with planning operations and practical affairs of the library frequently not working in tandem. Thus, libraries had little experience when it came to considering strategic management. Moreover, designing strategic management differs greatly from traditional library duties. In a nutshell, librarians were inexperienced regarding the business of formulating management strategies, and implementation thus proved difficult. Nonprofits such as hospitals and educational institutions have recently been targeted by management researchers for their distinctive Inherent Strategies in Library Management. DOI: http://dx.doi.org/10.1016/B978-0-08-101277-2.00005-4 Copyright © 2017 Masanori Koizumi. Published by Elsevier Ltd. All rights reserved.

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management strategies. This is because for nonprofits with distinctly different principles and objectives, it is essential to have a management strategy specific to the organisation in question. In other words, unique management strategies that are consistent with libraries’ primary objectives and characteristics are needed, especially as libraries are nonprofits. As we can see in the previous chapters, libraries have unique characteristics. Strategies for libraries can be explained in terms of general strategies and specific strategies. General strategies transcend library type, and often are comprised of the services, operations, and operational structures common to most libraries; these management strategies are adopted by all libraries. Libraries continue to utilise these management strategies even as the economic and information environments continue to change, as does the information behaviour of users dependent on this information. Specific libraries adopt specific strategies based on their environment and library type. Both general and specific strategies can be used in tandem.

5.2  GENERAL STRATEGIES FOR LIBRARIES General strategies for libraries consist of (1) subject-based knowledge and information services by collections; (2) coping with new media and the increase in document formats; (3) effective collection distribution and archival; (4) sharing collections and bilateral cooperation; and (5) expanding openness and outreach (see Table 5.1). The first type of basic strategy, subject-based knowledge and information services by collections, is based on the public services and technical services supporting it. Public services and technical services are unique characteristics of libraries and employed by all libraries in the world; these can be considered basic and fundamental library services. Librarians need to develop, select, acquire, classify, catalogue, and preserve collections based on subjects, and must develop services based on these collections. For this strategy, libraries basically create a subject-based organisation. This subject-based organisation is a significant element for libraries. As can be seen from the research in Chapter  4, Evolution of Library Organisation and Librarian Specialities, many libraries have decreased their budgets, increased efficiency, and reduced redundancy in their organisations. Technical services have gradually moved toward a function-based organisation in search of efficiency, and subject-based organisations currently have an affinity with reference services. This means

Table 5.1  General strategies for libraries General strategies Summary

Subject-based knowledge and information services by collections Coping with new media and the increase in document formats

Provides fundamental library services; libraries continuously provide public and technical services to users for both print and digital media Deals with the ever-increasing amount of publications and new electronic resources

External and internal environment impacts on strategies

Main organisational structure

Not dependent on any Subject-based, environment Function-based organisation

Core knowledge and skills

Special knowledge about subjects and collections; skills for public services and technical services

Changes in Media-based Knowledge about media format information organisation and information technology; technology; changes creating metadata and in user information classifying both print and behaviour electronic collections Collection deterioration Subject-based, Media- Knowledge about media formats over time; changes based organisation and information technology in information technology Library systems’ Function-based Project management and budget limitations organisation coordination skills as set by affiliated organisations (e.g., a university)

Effective collection Consists of maintaining materials organisation, for the user and deploying them maintenance and in a user-friendly fashion archival Sharing collections and Uses sharing systems like OCLC, bilateral cooperation thereby advancing the joint ownership of collections; libraries continue to provide information systems and cooperative services Expanding openness Due to economic depressions or Economic depression; and outreach increasing digital space, librarians digitisation expand their services to reach users who are isolated from library services

Function-based, Media-based organisation

Education and communication skills with citizens; digitisation skills for books and documents; knowledge about metadata and copyright; knowledge about marketing and remote access services

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that libraries have strategically maintained and enhanced subject-based organisation and subject-based services for their users. The second type of general strategy is coping with new media and the increase in document formats. In an effort to deal with the ever-increasing amount of serial publications and new electronic resources, libraries have begun adopting organisational structures based on the media format they need to handle. Similarly, libraries are earnestly improving their procedures to manage changes in document formats. Coping with changes to the format of the books/journals comprising the core of the library is an unavoidable part of library management. For instance, from the late 1990s to the present, libraries have been developing electronic resource–based divisions in order to cope with new electronic documents. Librarians in electronic resources divisions acquired knowledge on new electronic resources, and developed new systems and services to provide those electronic resources to users. In the 1970s and 1980s, this management approach was utilised by librarians to deal with the increasing number of publishing journals and new types of media, such as microfilms, CDs, and multimedia. This strategy requires libraries to expand the functions of media-based divisions by themselves, such as selection, acquisition, classification, and the development of information systems and user services. This means that the strategic direction is different from pursuing efficiency. The third type of general strategy, effective collection organisation, maintenance and archival, is directly related to the collection comprising the heart and soul of the library, and consists of maintaining materials for the user and deploying them in a user-friendly fashion. This strategy is strongly related to the first basic strategy, subject-based knowledge and information services by collections. Regardless of the material format, the on-going accumulation and maintenance of the entire collection is the most important task faced by the library manager. This strategy is highly related to library buildings, facilities, and space planning in libraries. The fourth type of general strategy is sharing collections and bilateral cooperation. As with the previous three strategies, this one is also adopted by all libraries. There are limitations on library budgets, buildings, and facilities, and one library simply cannot store every type of document. Therefore, all libraries cooperate using OCLC, ReCAP, NELINET, RLG, and similar systems, thus advancing the joint ownership of collections. In this way, libraries can provide extensive information systems and also strengthen cooperation with other libraries. For example, in the 2000s and 2010s, Columbia University Libraries and Cornell University

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Library developed the cooperation project 2CUL, working and cooperating together in order to increase working efficiency. The joint ownership of materials and bilateral cooperation are conducted for both print and electronic documents. In the business world, companies do not always cooperate with each other, but in the library sphere, this general strategy of sharing collections and bilateral cooperation has been continuously adopted over time. Lastly is expanding openness and outreach to communities. In academic and local communities, librarians need to expand openness by digitising their collections in order to extend access to digital resources, and expanding their physical branches to become more embedded in each community. By doing so, librarians are able to expand the openness of libraries and strengthen the relationship between users and information services and resources.

5.3  SPECIFIC STRATEGIES FOR LIBRARIES Specific strategies are those adopted in response to library types and the administrative environment of individual libraries (see Table 5.2). Pursuant to adopting general strategies, individual libraries considered which specific management strategies take precedence as they formed their plans. The question of which specific management strategies these libraries would adopt depended on the scale of the organisation, the budget, and environmental factors. Accordingly, specific strategies adopted by the libraries were not necessarily limited to a single strategy, as libraries needed to adapt to their current needs.

5.3.1  Subject Specialisation Subject specialisation provides reference services, public services, and technical services based on highly divided subject-based organisation. It is unrealistic to expect one librarian to become an expert on multiple subjects. Instead, by creating separate divisions for each subject or for a range of related subjects, librarians can focus on developing a deep understanding of just one or a few specialisations. Because each division requires several librarians, an abundant workforce and budget are needed to implement this strategy. Subject specialisation was characteristic of large public libraries and academic libraries in times of prosperity, when they were blessed with ample budgets. Furthermore, in response to budgetary conditions, libraries should consider fragmenting only

Table 5.2  Specific strategies for libraries Specific strategies Summary

User-based strategies

Librarianbased strategies

External and internal environment impacts on strategies

Subject specialisation

Emphasising organisational division to provide specialty knowledge and information services for subjects

Prosperous and abundant finances

Equalising social opportunities

Providing literacy, language, job-hunting, and other services to assist underprivileged populations

Recession; increase in underprivileged populations

Consultation services

Integrating a wide range of library services and resources to provide all manner of customised support to meet user demands

Advances in information technology; changes in user information behaviour

Sophisticated service strategies

Supporting specialised projects Advances in information by offering a high level technology; changes of research and analytical in user information services (e.g., via PhDbehaviour holding librarian specialists) Proactively gathering and Market changes; changes editing information in user information for print and digital behaviour publications (i.e., electronic journals)

Expanding editing and publishing functions Facilitybased strategies

Enhancing visitor facilities

Emphasising improvement of library facilities to allow users to more efficiently conduct study and research activities

Changes in user information behaviour through development of IT; small/out-dated facilities needing renovation

Operationbased strategies

Service and operational improvement

Improving services and efficiency while decreasing costs through rationalisation

Austere financial environment; complex organisational structure needing simplification

Main organisational structure

Core knowledge and skills

Subject-based organisation

Knowledge of subjects; education skills; research support for university students and researchers

Subject-based, Regionbased organisation

Typical examples

Harvard Library, Columbia University Libraries, Princeton University Library,Yale University Library, University of Tokyo Library (typical of academic libraries) Knowledge of subjects; Boston Public Library, New library service skills for York Public Library,Tokyo children, teens, adults, and Metropolitan Library (until the the physically challenged 1990s) (typical of public libraries) Knowledge of subjects; New York Public Library, Tokyo communication skills Metropolitan Library (mainly with citizens; new service in the 2010s) development skills

Subject-based organisation

Specialty knowledge Harvard Library, Columbia related to subjects, media, University Libraries, Princeton and analytical methods; University Library, New research support skills for York University Libraries, library patrons Columbia University Libraries, University of Arizona Libraries (since the 1990s; e.g., liaisons, embedded librarians, etc.) Subject-based Specialty knowledge Harvard Library, Columbia organisation related to subjects, media, University Libraries, Princeton and analytical methods; University Library, New York advanced research University Libraries (since the support skills 2000s) Function-based Knowledge of subjects and New York University Libraries, organisation information systems; Harvard Library editing and publishing skills Function-based Knowledge of marketing, organisation public service, and information technology; facility management skills (space planning)

New York University Libraries, University of Arizona Libraries, UMass Amherst Library (from the 1990s to the 2000s), University of Hawaii at Manoa Library, Princeton University Library (since the 2000s)

Function-based Knowledge of organisation management, public services, and technical services; library operation and cost reduction skills

University of Arizona Libraries (from the 1990s to the 2000s), National Diet Library, Tokyo Metropolitan Library (since the 2000s), University of Tokyo Library

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those specialty subjects in high demand by users. For example, upon entering the 21st century, both the Harvard University Library and Boston Public Library have decreased their numbers of subdivided subjects. This was one way of countering a difficult budgetary situation. One instance of public libraries undergoing diverse subject specialisation is the Boston Public Library in the 1960s, which created numerous sections to provide users with subject-specific services. There were specialised sections for as many as 15 subjects, each of which were amply staffed. In addition, the library administrator should simultaneously consider structural subdivision as well as arrangements for lateral coordination of the organisation. For example, in the 2000s, the Columbia University Libraries utilised information technology in the form of chat reference software to allow subject librarians to communicate with each other. They utilised this software to redirect subject-specific questions from users to the appropriate subject librarian.

5.3.2  Equalising Social Opportunities Public libraries are more concerned with strategies to enhance the equalisation of social opportunities than academic libraries, and have been focusing on developing new services to assist underprivileged populations in their local communities. For instance, these may include improving access to information resources, literacy services for youth in low-income districts, language services for immigrants, and finding job opportunities for inmates in order to equalise social opportunities for citizens. For instance, the New York Public Library has been providing services to the incarcerated or immigrants, and the Tokyo Metropolitan Library joined the Library Support Group [Toshokan-Kaientai] in which library staff help the socially vulnerable. The use of these strategies necessitate the enhancement of subject-based and regional-based organisation structures.

5.3.3  Consultation Services This involves providing services transcending the scale of mere reference services; responding to user needs, it often involves the library providing users with information literacy training, research support, and other related services. One result has been the appearance of what are referred to as liaison librarians and embedded librarians, who may visit university departments to personally assist student or faculty research projects with a wide range of library resources. This is part of consultation service strategies:

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in responding to changing users’ information behaviour, librarians have begun following users closely, providing them with customised services. This can be considered as a step away from lending books and towards providing personal service with an attention to detail. As librarians gain specialty knowledge in different fields, they create organisation structures for each subject. Accordingly, it is critical to boost their specialty knowledge. These consultation service strategies are particularly common at university libraries in the United States, for example at Columbia University Libraries, University of Arizona Libraries, and similar university libraries.

5.3.4  Sophisticated Research Services Sophisticated research services provide the high level resources necessary for users conducting specialised research or analysis. An example can be seen in librarians providing detailed knowledge related to data analysis for surveys, research and statistical analysis tools/software. Subject-based organisation and related work procedures are adopted for these services. To be more precise, this involves newly hiring and training librarians possessing expertise, such as specialists who hold PhD degrees, who can provide a high level of subject-specific services. This type of service optimisation strategy is especially found in large research libraries, such as the Princeton University Library and Columbia University Libraries, beginning in the 2010s.

5.3.5  Expanding Editing and Publishing Functions Strategies to expand editing and publishing functions involve increasing the functions by which the librarian gathers information, edits this information, and then transmits it as journals or information brochures to the user/community. In order to expand these functions, library administrators often establish a specialised department related to editing/publishing directly below the management layer. This is because publishing and editing functions differ from the basic library services of public and technical services. The New York University Libraries provide a representative example of such a strategy to expand editing/publishing functions. It established these functions beginning in the 1970s, enabling it to proactively disseminate the library’s scholarly information. Although most libraries have not focused on producing and disseminating information, some libraries have quickly recognised the importance of such functions and are making efforts to create an editing/publishing department like the New York University Libraries.

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Inherent Strategies in Library Management

Moreover, with advances in information technologies and electronic media in the early 21st century, the importance of these editing/publishing functions is ever-increasing. Libraries that want full control over their own electronic journal collections instead of relying on contracts with external electronic databases are a significant factor in this increase. To create unique collections, libraries now need to produce and disseminate their own information; regardless of type, libraries are now proactively adopting specific strategies for editing/publishing such information.

5.3.6  Enhancing Visitor Facilities This involves improving the library building and facilities so patrons can effectively study and conduct research. University libraries with small budgets and numerous facilities restrictions tend to focus on this aspect. This is because the smaller the library building, the more important it is for existing facilities to be effectively utilised, as user information behaviour changes. Examples include the New York University Libraries, a multistorey building with limited space located in the centre of New York City, and the UMass Amherst Libraries with its miniscule budget. This strategy often centres on equipment installation in learning commons/information commons, but there are cases in which it is used in conjunction with another specific strategy. For example, the New York University Libraries have tried to enhance visitor facilities and consultation services. Consequently, users have increased dramatically, indicating its success.

5.3.7  Service and Operational Improvement This specific strategy involves emphasising efficient administration and improving service and operations, which aims to elevate the quality of services provided to the user. At the very least, even if the user services targeted by general strategies and specific strategies are not enhanced much, improvement can be made in more back office operations or organisation. Please note that the general procedural improvements made as part of everyday affairs are not included in this strategy. Because libraries, as nonprofits, depend on external budgets, improving their profitability is extremely difficult. Thus, service and operational improvement strategies often aim primarily at cost reductions. Originally, however, these strategies sought to improve existing service quality.

General Strategies and Specific Strategies for Libraries

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One example of such a strategy is reorganising the library based on function. This is because by integrating the library structure into specific function-based units, the proficiency of librarians is increased, and it becomes possible to operate the library at lower costs. Representative examples this can be seen with the National Diet Library, Tokyo Metropolitan Library, and the University of Arizona Libraries. However, if the objective is unclear and importance is placed only on rationalising operations, it is possible that the knowledge and skills gained thus far regarding library operations may be lost. As cutting costs was not the original aim when introducing this strategy, libraries must be careful of this potentially harmful effect. Moreover, if the funds saved from the implementation of this strategy are not invested in new services, library facilities will soon become dated. In this way, not only can operations be rationalised, but also service quality can be improved simultaneously.

NOTES This chapter expanded on some material from the following article: Masanori Koizumi (2016), Theory of Management Strategies for Libraries: Triggers for Innovative and Fundamental Changes, in David Baker, Wendy Evans (ed.) Innovation in Libraries and Information Services (Advances in Library Administration and Organisation, Volume 35) Emerald Group Publishing Limited, pp. 63–85.

POSTFACE This book illustrates the big theme of library management using a research-based approach. As you have seen in this book, library organisations and operations continually change to improve themselves, due to the influences of their ever-changing environments. In fact, in the 1980s, libraries enhanced the automation of their operations in response to the shift towards online catalogues and the growth of efficiency. With the dawn of the 21st century, digitisation expanded to library operations and collections, indicating an evolution in media format. The key of change is that information technologies and the centre of library evolution have shifted from operations (by using automation) to collections (by using digitisation). This shift has caused libraries to make strategic and innovative changes in their services, operations, and organisations. Through these changes, libraries have found potential new users, expanded digital collections, and developed highly sophisticated services. Moreover, users’ information behaviour is also changing, rendering it impossible to continue utilising past procedures if libraries expect to remain relevant. With libraries facing the necessity of responding to these environmental changes, management strategies providing explicit and external explanations have become indispensable. Therefore, these innovative changes could be described as a theory of library strategies, such as general strategies and specific strategies. General strategies of libraries transcend country and library type. Specific strategies are adapted to differences in library type and environment. It is important to remember that libraries have their inherent strategies that librarians cannot ignore. Looking towards the future, the collections comprising the core of libraries will evolve, and the environment will also continue to change greatly. Libraries must continuously reinvent themselves moving forward. The author hopes this book serves as a springboard for individual libraries to consider the inherent strategies in library management explained herein.

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INDEX Note: Page numbers followed by “f” and “t” refer to figures and tables, respectively.

A Absorption of technology, 196–199, 197f Adaptations in library operations, 193–196 Adoption of organisational structures and operations, 199–201 ALDP (Academic Library Development Program), 56 American Library Association (ALA), 37 management evaluation theories, 54–55 American library association, management theory of, 37–38 Analytical management theory, 62–63 The Art of Japanese Management, 63 Association of Research Libraries (ARL), 47–48 management evaluation theory, 55–56

B Bibliometric analysis, 9, 33–34 Bookmobile services, 172–175 BorrowDirect, 127–130 Boston Public Library, 8–9, 169–176, 192 in 1965, 171f in 1994, 172 in 2009, 173f Community Library Services Division, 172 Division of Home Reading and Community Services, 169 Division of Information, 169–172 Division of Reference and Research Services, 169 Funds-procurement functions, 175 Resource Services and Information Technology Division, 172–175 Boston University Library, 47–48 ‘Bottom-up’ style, 130 Business administration, 9, 34 Business management textbooks, 34

Business management theories, 1, 3, 5, 8–10, 94 Business management theories, incompatibility of, 31 in 1970s, 47–62 library management evaluation theories, 53–62 strategic planning and strategic management, 48–53 in 1980s, 62–68 competitive strategy and value chain, 63–66 Peters and Waterman’s Eight Excellence Attributes, 66–68 in 1990s and 2000s, 68–82 business process re-engineering, 69–74 community of practice, 80–82 core competency, 74–76 organisational learning/learning organisation, 76–80 bibliometric analysis and case studies, 33–34 commercial enterprise-focused strategic management theories, 82–84 for library managers, 87–88 objectives and framework of analysis, 32–33 procedures, 34–35 results game theory, 45–47 long-range planning, 35–42 management by objectives, 42–45 management theories in 1960s, 35–47 shortcomings of strategic management, 84–86 suitable management theories, 86 time taken for commercial enterprisefocused management theories, 86–87 219

220

Index

Business management theories, influence of, 13 citation analysis findings, 15–26 management area in library management textbooks, 17–19 management philosophers/authors, 19–26 type of organisation, 15–17 objectives and framework of analysis, 13–15 Business process re-engineering (BPR), 68–74, 70f Butler Library, 118

C Case analysis method, 95–96 research subjects for, 97–98 Chandler’s Strategy and Structure, 7 Citation analysis, 14–15 findings, 15–26 Columbia University Libraries (CUL), 118–131 consultation services, 127 history and overview, 118t organisation and functions, 118–131 in 1962, 119, 121f in 1997, 119–124, 123f in 2011 and 2016, 124–131, 125f, 129f ready-reference services, 127 Commercial enterprise-focused strategic management theories, 82–84 Community of practice, 80–82, 81f Competitive strategy, 62 analysis of libraries based on, 64–65 environmental analysis based on, 65–66 Competitive strategy and value chain, 63–66, 64f Consultation services, 127, 212–214 Cooperative game theory and library decision making, 46 Coping with new media, 207t Core competency, 74–76, 75f case studies of, 76 Core research in library management, 4–6 Cornell University Libraries, 58–59

D Denver Public Library, 39–40, 72–73 Digital Information Department, 133–137, 156–161

Digital media, inclusion of, 196–199 Digital preservation, 127 Digitisation, 133–137 Duke University Medical Center Library, 60

E Editing and publishing functions, expanding, 213–214 Edo-Tokyo Digital Contents, 182 Effective collection organisation, maintenance and archival, 207t, 208 ‘Efficiency, and Taylorism’, 8–9 Eight Excellence Attributes, 66–68, 67f Equalising social opportunities, 212 Evolution of library organisation, 188–193 function-based organisational structures, 192–193 media-based organisational structure, 191–192 region-based organisational structures, 193 subject-based organisational structure, 191 transitions of library organisations, 189f Expanding openness and outreach, 207t

F Facility-based strategies, 210t The Fifth Discipline, 77, 79 Function-based organisational structures, 192–193, 199–200 Funds procurement function, 196

G Game theory, 45–47, 46f General strategies for libraries, 206–209 Good to Great, 21 Government Performance and Results Act (GPRA), 55

H Harvard Business Review, 14–15 Harvard College Library (HCL), 93 Harvard Library (HL), 98–118 history and overview, 100t HOLLIS division, 106 Lamont Library, 103 organisation and functions

Index

in 1960, 101–103, 102f in 1980, 103–106, 105f in 1991, 106, 107f in 2001, 109–112, 111f in 2009, 112–115, 113f in 2012, 115–118, 117f Serials Division, 106 shared services, 115–118 Harvard University Library (HUL), 93 Hernon’s library management evaluation theory, 57 Hibiya Library, 176–177 Historical background of library management, 3–4 History and theories of library management, 4–6 Hofer and Schendel’s strategic management, 48–49 Houston Academy of Medicine–Texas Medical Center Library, 43–44 Human relations approach in organisational management theory, 6

I In-depth case analysis, 9–10 In-depth case analysis of library management, 95 Inductive theory construction models, 95 Industrial structure theory, 66 Integrated computerisation, 69 ISO 11620, 55

J Japanese-style management, 68 Japanese-style TQC, 63

K Koontz’s framework, 6, 27

L Lancaster library management evaluation theory, 56 Learning organisation, creating, 75–76 Liaison librarians, 212–213 LibQUAL + , 57–61 Librarian-based strategies, 210t Library, Information Science & Technology Abstracts (LISTA) databases, 34–35

221

Library and Information Center Management, 13 Library and Information Science Abstracts (LISA), 34–35 Library management evaluation theories, 34, 53–62 Library management textbooks, 14–17 management area in, 17–19 Library management theories, 3, 32 Library managers, 1, 87–88 Library operations, adaptations in, 193–196 Library Services and Construction Act (LSCA), 8–9, 33 Locke’s goal-setting theory, 42 Long-range planning, 35–42, 38f management theory of Koontz and O’Donnell, 36–37

M Management, defined, 6–7 Management area in library management textbooks, 17–19 Management by objectives (MBO), 42–45, 42f The Management Century, 34 Management jungle, 6 Management philosophers/authors, 19–26 Management planning, 32–33, 37 Management Review and Analysis Program (MRAP), 33, 54–56 Management strategies, 2, 95–97, 205–206 Management theories, 1, 16–17 business, 1, 3, 5, 8–10 characteristics, 34 library, 3 organisational, 5–6 strategic, 2–4, 9 Management theory of Koontz and O’Donnell, 36–37 Marketing theories, 19, 66 McGregor’s Theory Y, 42 Measurements and evaluations, 58, 58f, 61–62 Media-based organisational structure, 191–192 Micro- and macroscopic analyses, 9 Microtext Reading Room, 101 Modern strategic management, 6–9

222

Index

N National Diet Library (NDL), 131–161, 192 acquisitions and technical services department, 145 administrative department, 143–145, 151 architecture department, 143–145 changing duties included in Office Duties and Regulations, 134t–136t liaison department, 143–145 media-based organisation, 148 Office Duties and Regulations, 131–133 organisation and functions in 1952, 137–140, 139f in 1963, 143–145, 144f in 1978, 145, 147f in April 2002, 151–156 in April 2008, 156 in April 2012, 159f in June 1959, 140–143, 141f in June 1986 to April 2000, 145–151, 149f in October 2011, 156–161 public services department, 140 technical services, 140 New media, 199–201 New York Public Library, 161–164 in 1990, 163f in 2001, 165f in 2007, 167f finance and accounting department, 161–164 New York University Libraries, 213 Non-profit organisations, 16–17 Nonprofits, 205–206 Norlin Library, 40 North East Research Libraries Consortium (NERL), 127–130

O Object and framework of analysis, 9–10 Online Computer Library Center (OCLC), 46 Operation-based strategies, 210t Organisational learning theory, 77 Organisational learning/learning organisation, 76–80, 77f Organisational management theory, 5–6, 86

Organisational structures and functions, analysis of, 94–98 case analysis method, 95–96 research subjects for, 97–98 Organisational theories, 19, 21 Organisational type citation rate of literature, 17f literature based on, 16f

P Past core research on history and theories of library management, 4–6 Pennsylvania State University Libraries, 43, 50–51 Performance indicators, 58, 58f, 61–62 PEST (political, economic, social and technological) analysis, 66 Planning, defined, 7, 36 Planning Process for Public Libraries, 37 Planning programming budgeting systems (PPBS), 38–41, 39f Populist approach, 27 PPSAL (Planning Program for the Small Academic Library), 56 Practical library management, 84 The Practice of Management, 42 Preservation and Imaging Services Department, 109–112 Principles of Management, 36 Product portfolio management (PPM) analysis, 66 Profit-making enterprises, 3, 5–6 management theory for, 4–5 Public Library Association (PLA), 47–48 Public service, 133, 140, 181, 206 Public versus private sectors, 2

R Rare Book and Manuscript Library of Butler Library, 119 Ready-reference services, 127 Rediscovering Public Library Management, 1 Region-based organisational structures, 193 Research and Legislative Reference Bureau (RLRB), 131 Research Collections and Preservation Consortium (ReCAP), 127–130

Index

Resource-based organisation, forming, 199f The Rise and Fall of Strategic Planning, 7–8

S Scientific management, 5–6 Search of Excellence, 21 Service and operational improvement, 214–215 SERVQUAL, 56–57, 69 Sharing collections and bilateral cooperation,, 207t, 208–209 Sophisticated research services, 213 Specific strategies for libraries, 209–215 Stanford University Libraries, 70–71 Strategic management, modern, 6–9 Strategic management theory, 2–6, 9, 46–48, 66, 86 Strategic planning and management, 48–53, 50f Strategies for libraries, 205–209, 210t consultation services, 212–213 enhancing visitor facilities, 214 equalising social opportunities, 212 expanding editing and publishing functions, 213–214 service and operational improvement, 214–215 sophisticated research services, 213 subject specialisation, 209–212 Subject specialisation, 209–212 Subject-based knowledge and information services by collections, 206 Subject-based organisation, 191, 206–208

T Technical services, 58, 130, 133, 140, 177–181, 206–208 Teton County Library, 32–33, 77–78 Texas A&M University Libraries, 80–81 Theory of Games and Economic Behavior, 45 Theory Z, 63 Tokyo Metropolitan Library, 176–182, 178t–180t Collections Department, 177–181 Information Service Division, 181–182 Management Department, 177

223

Serial Publications Division, 181 Technical Services Division, 177–181 ‘Top-down’ operation, 130 Transitions of libraries’ operations, 195f Transitions of library organisations, 189f

U UMass Amherst Libraries, 214 University A’s library, 41 University library, 4, 10, 31 University Library of California, Riverside, 51–52 University of Arizona Libraries, 32–33, 79 The University of Colorado Library, 40 University of Connecticut Library, 59 University of Illinois at Chicago Library (UIC Library), 71–72 University of Iowa Libraries, 52 University of Maryland Libraries, 79 University of Massachusetts Amherst Libraries, 59, 183–188 in 2004, 185f in 2011, 187f Communication and Publishing Services Department, 183 Digital Strategy Group, 188 Library System Services Department, 183 Public Services Department, 183 University of Minnesota Libraries, 81–82 University of Nebraska–Lincoln Libraries, 75–76, 79 User service, 133 User-based strategies, 210t

V Visitor facilities, enhancing, 214

W Widener Library, 93, 101, 106, 109 Access Services, 112 Research Services, 109, 169 Wright State University, 69–70

Y Yale University Libraries, 59–60