DOCUMENT RESUME IR 057 495 ED 437 940 Utah State Library Division. Library Services & Technology TITLE Act: Five Year Plan. Utah State Library, Salt Lake City. INSTITUTION PUB DATE 1999-00-00 NOTE 18p. For full text: AVAILABLE FROM <http://www.state.lib.ut.us/division/grants/lstaplan.htm>. Legal/Legislative/Regulatory Materials (090) PUB TYPE MF01/PC01 Plus Postage. EDRS PRICE Academic Libraries; Elementary Secondary Education; *Federal DESCRIPTORS Aid; *Grants; Grantsmanship; *Library Administration; Library Development; *Library Funding; *Library Planning; Postsecondary Education; Public Libraries; Research Libraries; School Libraries; Special Libraries; State Libraries *Library Services and Technology Act 1996; Utah IDENTIFIERS ABSTRACT This five-year plan for the administration of Utah's Library Services and Technology Act (LSTA) program contains the following sections: (3) the current scene of Utah libraries, (2) assumptions; (1) principles; including public libraries, academic libraries, school library media centers, (4) establishment of needs; (5) LSTA and private and research libraries; (6) activities, including a chart priorities and Utah goals and objectives; of LSTA goals/priorities, objectives, activities, sample grant targets, and (7) procedures, including state library board roles and evaluation examples; responsibilities for overseeing the LSTA program, membership/nominations/appointment process and terms of the LSTA, role of the LSTA Advisory Council, eligibility criteria for Utah libraries applying for (8) a grant matrix, including category, LSTA grants, and the grant process; grant purpose, review body, decision body, appeal body, schedule, and match (10) evaluation (9) proposed five-year plan schedule; requirements; (12) library (11) expenditure plan for the Utah State Library; methodologies; community and user involvement in LSTA plan implementation; and (13) State Library assurances. (MES) Reproductions supplied by EDRS are the best that can be made from the original document. Utah State Library Division Library Services & Technology Act Five Year Plan U.S. DEPARTMENT OF EDUCATION Office of Educational Research end Improvement EDUCATIONAL RESOURCES INFORMATION PERMISSION TO REPRODUCE AND DISSEMINATE THIS MATERIAL HAS CENTER (ERIC) 0 This document has been reproduced as BEEN GRANTED BY received from the person or organization originating it. A. Owen Minor changes have been made to improve reproduction quality. Points of view or opinions stated in this RESOURCES document do not necessarily TO THE EDUCATIONAL represent INFORMATION CENTER (ERIC) official OERI position or policy. 1 BESTCOPYAVAILABLE 2 LSTA Plan July 10 http://www.statelib.utus/division/grants/lstaplan.htm UTAH STATE LIBRARY DIVISION LIBRARY SERVICES & TECHNOLOGY ACT Five Year Plan I. INTRODUCTION This Five Year Plan for the Library Services and Technology Act sets forth the principles, assumptions, library conditions, needs, goals, objectives, activities, and procedures for administering Utah's LSTA program. It provides a time line for LSTA administration, an overview of planned evaluation activities, describes an expenditure plan for administrative costs, and outlines an approach to assuring the involvement of the library community and library users in the continuing implementation of the LSTA program in Utah. The plan has been developed by the Utah State Library Division staff with the assistance of the LSCA/LSTA Advisory Council under the authority of the Utah State Library Board. It was approved as is by the State Library Board on March 16, 1999, and is submitted to the Director of the Institute of Museum and Library Services in compliance with federal requirements. II. PRINCIPLES A. The Utah State Library Division will use LSTA funds to support libraries in delivering technology-based information services to Utah residents and to promote equity in access to basic library services across the state for those having difficulty accessing library services, including individuals with disabilities. B. Basic library service is the responsibility of Utah's cities and towns, school districts, institutions of higher education, and other similar sponsoring institutions and agencies. LSTA funds cannot substitute for adequate sustained financial support from such sources. Instead, LSTA grants should provide incentives for increased local government, school district, or institutional financial support for library services. Grants should not supplant local initiative and should not be used to support ongoing operations. C. LSTA grants will be targeted at specific goals and activities as set forth in this plan and as prioritized annually by the LSTA Advisory Council and the State Library Board. In developing budgets and determining eligibility for specific grant targets, the Council and Board will take into consideration other opportunities available within the state from both public and private sources for funding for library services and technology applications. D. The use of LSTA funds will encourage overall equity and reciprocity among libraries in both the benefits they receive and the contributions they make within the broader pattern of library service within Utah. E. Although all types of libraries are an important part of Utah's library community, LSTA funds will focus on public library service, as defined below in Section VIII. D.1. However, all types of libraries may be eligible to apply under some grant targets. Partnerships will be encouraged, and specific grant targets may especially resource sharing and interlibrary cooperation on a regional or call for a multi-type focus statewide basis and technology projects involving more than one library. 3 10/19/99 10:47 AM 1 of 16 LSTA Plan July 10 http://www.state.lib.utus/division/grants/lstaplan.htm F. As with LSCA, some LSTA funds will be reserved for statewide services. However, the State Library Division acknowledges the strategic importance of both competitive and noncompetitive grants in stimulating the development of library services in Utah and remains committed to a strong grants program. III. ASSUMPTIONS A. The first year of LSTA funding (October 1, 1997, to September 30, 1998) will be a year of transition and further planning. A substantive effort will be necessary throughout the 1997-1998 year to fully develop a new grants program. B. The development of the Five Year Plan for LSTA, its annual revision, and the design of the required five year independent evaluation of the Act deserves broad input from the Utah library community. The State Library Board and LSTA Advisory Council will use all possible means (meetings, electronic exchanges and publications, print publications, and mailings) to achieve that end. C. Given the valuable assistance provided by the LSCA Advisory Council in the administration of the LSCA program, the State Library Division will implement the provision in LSTA which allows the formation of a state advisory council. IV. THE CURRENT SCENE OF UTAH LIBRARIES: A. Public Libraries Utah's public libraries face two daunting challenges at the threshold of the 21st Century: to maintain and expand traditional information services and, concurrently, to implement and enhance the latest in electronic information technology with essentially the same amount of dollars. Utah's 70 public library jurisdictions serve populations as small as 641 (Minersville Public Library) and as large as 590,130 (Salt Lake County Library System). In 1996, Utah's public libraries spent a total of $38,794,505, or an average rate of $20.38 per capita. There is a wide disparity of per capita expenditures across the state from a low of $3.57 per capita to a high of $62.33. This wide range of expenditures reflects uneven local tax support and fiscal capacity of the community, which in turn, is a reflection of the state demographics and its geography. Aside from local funding, public libraries have had access to federal and state funds or subsidized services through: LSCA Title I, II, and III programs (ending in 1997); State Development grants (the annual total having been reduced by $60,000 in the last two years); State Library Division Internet Connectivity grants (which are intended only as start up funding); and private grant awards. Although grants and gifts in technology from the private sector are appreciated by under-equipped and locally under-funded public libraries, they are not a dependable source of support. These resources have helped public libraries improve services and incorporate needed information technology for managing world class facilities. All but a handful of public libraries have automated circulation and/or bibliographic systems; yet many of these are older versions with limited or insufficient capacities. One hundred and five out of a total of 113 public library sites are connected to the Internet. Through the State Library's website, these libraries can now access Pioneer: Utah's Online Electronic Library (an information database of full-text periodicals and newspapers); communicate by Internet E-mail, participate in the Utah Library Network Listserv; and engage in resource sharing incentive activities. Unfortunately, patron demand and staff use of these electronic services is growing exponentially to the number of workstations available. Librarians must now allocate these scarce resources among waiting patrons. 4 10/19/99 10:47 AM 2 of 16 LSTA Plan July 10 hnp://www.state.lib.utus/division/grants/Istaplan.htm Public institutional libraries serve Utah's special populations: The Utah Department of Corrections provides library service to adult inmates in three prison locations across the state. The Department of Human Services' Division of Youth Corrections supplies reading material to two youth facilities in Salt Lake City. The State Hospital in Provo has a medical and a patient library. The Library at the Utah State Developmental Center for the mentally retarded in American Fork provides service to residential and day patients. The School for the Deaf and Blind in Ogden offers reading and instructional materials to its clientele. These institutional libraries have shared a total of $30,000 of annual LSCA funding in the past. The Utah Regional Library for the Blind and Physically Handicapped, an administrative program of the State Library, provides public library services to 7,166 Utahns under eligibility requirements established by the Library of Congress' National Library Service for the Blind. The program also provides braille service to several western states and operates a Multi-State Center for the West for the Library of Congress. In total, the library serves 10,068 patrons in the western United States. The future for Utah's public libraries would be a mission impossible, if the groundwork hadn't begun years ago as new information technology evolved and local library leadership recognized the potential. LSTA funding will play a crucial and strategic role in allowing Utah's public libraries to take advantage of the capacity of future information technology to deliver the best in library services to Utah residents. B. Academic Libraries Higher education in Utah is supported by fourteen academic libraries located on the campuses of nine public and two private institutions. During the last ten years, each campus has had either a major building addition or construction. Collections for 1996 range from under 40,000 volumes at Snow College to over 2,500,000 at the University of Utah. The student populations served during 1996 were as small as 1,800 at Westminister College to over 31,000 at Brigham Young University. The student population has been steadily rising over the past years averaging a 2% growth while state average of volumes to FTE student is around 66.0. Overall, these libraries serve a population of roughly 110,000 that have access to over seven million volumes and annual circulation of close to two million. The libraries of higher education are all members of the Utah Academic Library Consortium established in 1971. UALC's primary concern is to foster cooperation, growth and access among the libraries of higher education. The consortium has made significant strides during the past few years. Over the past three years, the consortium has undertaken the replacement of library systems on each campus with a common statewide integrated system. Various systems were reviewed through an RFP process, and the consortium negotiated a contract with Ameritech for the Horizon library system. Implementation is expected to be completed by 1998/99. Last year, UALC proposed to the Utah Legislature a funding strategy known as Libraries 2000. This proposal addresses the continual inflationary costs of serials. State funding is set aside from traditionally appropriated monies to be dispersed to academic libraries to cover inflation and innovative projects that will support the user's access to information. In the early 1990's, cooperative ventures were made to address electronic funding and access concerns. Statewide access was given to nine Wilson databases. Initially, funding was made available for the UMI ProQuest system that provided fulltext journal articles. In 1997, the service was switched to IAC SearchBank. This switch was part of a cooperative contract between higher education, public education and the public library system. This collaborative endeavor established the Pioneer project mentioned previously. UALC is addressing partnerships with other libraries to explore the potential of commercial document delivery services. This initiative will support the needs of distant learners and the emerging Western Governors' University. UALC will examine information databases that can be accessed via the Web and 10/19/99 10:47 AM 3 of 16 LSTA Plan July 10 http://www.state.lib.ut.us/division/grants/lstaplan.htm consortially purchased to provide such services throughout the state for the off-campus user. Commercial document delivery services could alleviate the high cost of serials by allowing the library or user to purchase articles on demand. C. School Library Media Centers The primary task of school library media centers, i.e., teaching students how to use libraries and information resources within the library and beyond, is more important than ever in the Information Age. One of the greatest challenges facing school libraries in performing this task is that of providing current information in many formats for the classroom and library instructional program. Added to this challenge is the need to supply research materials to distance learning students in remote areas. These tasks become increasingly difficult as escalating demands for information must compete with increased demands for smaller class size and more computers in classrooms and labs. Utah's public school library media centers serve over 478,000 students. The state's 445 elementary and 301 secondary schools in forty districts are governed by local school boards. The schools range in size from twenty students in a K-12 school to high schools with over 2,500 students. Virtually all of Utah's standard schools have a library media center. Approximately 30% of the districts employ fully certificated library media teachers at all grade levels. All but nine districts have at least one full-time, certificated library media teacher. Public school library media programs are financed as a part of the general education funding. Revenue is generated by the State Legislature and through property taxes. The quality of Utah's school library media collections was affected when federal funding for school library materials changed from "line-item" to "optional" status in the mid-1980's and schools had to depend more heavily on local and state funds. In fiscal year 1994, for example, schools reported an annual average library book expenditure of $4.04 per student. Serving as a stop-gap measure, Utah legislation in 1995 allocated $3 million, one-time-only funding, for libraries in a block with $6 million for textbooks. In 1996, $4.5 million one-time-only funding was approved for school library media center book and CD-ROM collections. Limited funding is evident in outdated and meager materials collections and disparities across the state in media center access to computer technology. The Educational Technology Initiative (ETI), has provided nearly $80 million to establish a technological base in computer labs and classrooms. Although some school libraries have benefitted from ETI, the legislation does not allocate funds specifically for technology in school library media centers. Despite funding challenges, school library media centers have made substantial gains in service. In 1996, secondary schools teamed with UtahLINK to test a full-text periodical index database on the Internet. The successful eight-month pilot prompted school library media centers, and academic and public libraries to jointly purchase and share full-text periodical databases. The collaboration inspired the Pioneer project. Three primary efforts have produced substantial advances in staff development: 1) During the past three years approximately 200 librarians have completed the Utah State Office of Education's School Library Media Applications on the Internet. 2) Over 100 educators were trained in the new library media/information literacy core curriculum. Subsequent implementation included working with public and academic librarians. This program is continuing to add groups annually. 3) Beginning its fourth year, the USOE Library Media Speaker Series features national leaders in the field who address such diverse themes as electronic search strategies and family reading. Finally, even with less-than-adequate collections, Utah's school librarians achieved high success with the reading initiative "Count on Reading, Count on Utah." Utah citizens, primarily students, read over 6 10/19/99 10:47 AM 4 of 16 LSTA Plan July 10 http://www.state.lib.ut.us/division/grants/lstaplan.htm 3,300,000 books, surpassing such populated states as Ohio and New York. Through sharing of electronic resources and creative partnerships with other members of the library community, Utah schools are positioned to build on strengths and improve the overall quality of what is offered to students as they learn to manage information and develop into lifelong learners. D. Private and Research Libraries Private and research libraries in Utah represent a wide range of purpose and type. They include business, government, law, medical and church libraries. These libraries operate within the confines of their parent organization and are sometimes limited in their ability to form partnerships with other organizations. Many do not provide service to the public at large. In addition, there have been few efforts to include them in multi-type library efforts. Too, many special libraries have "firewalls" protecting their organizational systems, thus making it difficult for them to participate in any open system projects. There are, however, examples of collaboration which serve as a model for future efforts. The Utah Health Sciences Library Consortium has partnered with the Spencer S. Eccles Health Sciences Library to form a union catalog of health sciences material on the Ameritech Horizon online system. The Consortium is a group of twenty hospitals and healthcare companies who have been cooperating for almost twenty years. The State Historical Society and Utah State Archives have worked together to create an electronic guide to archives and manuscripts. The Utah Education Network worked successfully with the State Historical Society to produce the Utah Collections Multimedia Encyclopedia, a CD-Rom and web based interactive resource tool for teachers and students at both the K-12 and higher educational levels. This is a product of obvious value to libraries. Opportunities for research and private libraries with LSTA would include partnering with publicly funded organizations where there would be mutual benefits. V. ESTABLISHMENT OF NEEDS In developing this plan, the State Library staff, the LSCA/LSTA Advisory Council, and the State Library Board have drawn on multiple sources to establish the needs addressed by the Goals and Activities outlined in Section VI. Broad background information has been derived from the 1991 Governor's Conference on Library and Information Services; educational technology initiatives in public and higher education; Libraries 2000 (a planning initiative of the Utah Academic Library Council); the experience of the Advisory Council, State Library Board and staff in administering and evaluating the Library Services and Construction Act; the Re-Engineering Statewide Library Services in Utah project that redefined the mission and roles of the State Library Division in 1995; and specific planning and evaluation initiatives for the Utah Library Network initiative. During the development of this LSTA Five Year Plan, the State Library staff, Board, and LSCA/LSTA Advisory Council have solicited broad input. Preliminary drafts were reviewed by the Advisory Council and Board, and a document was prepared for distribution to the Utah library community. This mailing included a survey to organize responses and reactions to the draft. The plan was modified based on an analysis of the input received, and a second major draft was the subject of a program held in conjunction with the Utah Library Association's annual conference in May, 1997. Various drafts have been available on the Division's website, with a comment form available to encourage further responses. The Advisory Council and State Library Board expect that this plan will be a living document, and are committed keeping the plan responsive to the needs of Utah's libraries over time. Articles in the State Library Division's newsletter, DIRECTIONS, will report on the progress, implementation, and accomplishments of the LSTA State Plan as it benefits Utah libraries. 7 10/19/99 10:47 AM 5 of 16 LSTA Plan July 10 http://www.statelib.ut.us/division/grants/Istaplan.htm VI. LSTA PRIORITIES & UTAH GOALS AND OBJECTIVES LSTA Priority: Establishing or enhancing electronic linkages among or between libraries LSTA Priority: Paying costs for libraries to acquire or share computer systems and telecommunications technologies Assure that there will be some form of basic automation in every public library Utah Goal 1: jurisdiction: bibliographic and circulation control and Internet access a. To provide funding to implement initial automation systems for circulation and bibliographic access b. To install initial Internet connectivity Utah Goal 2: Encourage enhanced public library and/or multi-type library technology projects a. To provide for integrated library systems b. To enhance integrated library systems and services c. To increase the number of public workstations to access electronic information and/or provide higher speed connectivity LSTA Priority: Linking libraries electronically with educational, social or information services LSTA Priority: Assisting libraries in accessing information through electronic networks Provide public libraries and state agencies Internet access to commercial electronic Utah Goal 3: information resources through PIONEER: Utah's Online Electronic Library a. To collaboratively negotiate information products with commercial vendors, and state government and educational partners b. To fund public library use of PIONEER's commercial products c. To promote public use of electronic information resources Enable libraries to participate in the establishment and operation of community electronic Utah Goal 4: networks a. To support efforts by libraries and local agencies to develop community based electronic networks LSTA Priority: Encouraging libraries in different areas, and encouraging different types of libraries to establish consortia and share resources; or paying costs for libraries to acquire or share computer systems and telecommunications technologies Support continued operation of electronic library networks and other activities that Utah Goal 5: promote resource sharing and encourage interlibrary cooperation a. To support and appropriately extend the participation of public and academic libraries in resource sharing incentive programs b. To encourage all types of libraries to form partnerships and participate in cooperative activities to improve service delivery LSTA Priority: Targeting library and information services to people of diverse geographic, cultural and socioeconomic backgrounds; individuals with disabilities; people with limited functional literacy or information skills; persons having difficulty using a library; and underserved people in urban and rural communities Utah Goal 6: Improve library services for those having difficulty using a library or who are underserved a. To eliminate physical, cultural, geographical, educational, institutional, linguistic, economic and social barriers to information access and b. To implement customized services for children in poverty, isolated rural populations, minorities and ethnic groups, senior citizens, and individuals with disabilities 10/19/99 10:47 AM 8 6 of 16 LSTA Plan July 10 hup://www.state.lib.utus/division/grants/lstaplan.htm Utah Priority: To help the Utah State Library Division and the Utah library community effectively meet all LSTA priorities Support statewide planning, evaluation, and library development projects to enable the Utah Goal 7: State Library Division and the Utah library community to effectively utilize LSTA funding in meeting future challenges a. To plan and develop appropriate programs b. To design appropriate evaluation models on an annual and five year basis c. To design and implement needed consulting, continuing education and other library development programs VII. Activities: LSTA DRAFT GOALS AND ACTIVITIES TECHNOLOGY - Section 231 (a) (1) Sample Grant Goals/Priorities Evaluation Objectives Activities Targets Examples a. To provide 1. Assure that there Technology grants to Track progress Competitive grants will be some form of funding to for public libraries implement basic against a implement initial basic automation in automation and baseline automation every Utah public Internet connectivity technology library jurisdiction: systems for survey circulation and bibliographic, LSTA project circulation control, bibliographic reports; state and Internet access access summary & b. To install initial evaluation Internet report connectivity 2. Encourage a. To provide for LSTA project Statewide services: Planning/Activities: enhanced public Plan standards for integrated library Integrated systems reports; state library and/or eligibility, grant Planning grants for summary & systems multi-type library processes and evaluation acquiring expertise to b. To enhance technology projects procedures for a plan technology integrated library report systems and competitive grants projects Technology grants to program. (a, b) services c. To increase the Competitive grants implement enhanced for public libraries number of public integrated library workstations to systems and Internet (c) access electronic capacities information and/or provide higher speed connectivity ... ......... .... ........ .. Network user 3. Provide public a. To Continuing libraries & state statistics collaboratively statewide services: agencies Internet negotiate (number & administration, negotiation, and frequency of information access to commercial 9 7 of16 10/19/99 10:47 AM LSTA Plan July 10 http://www.statelib.utus/division/grants/lstaplan.htm electronic resources of products with payment of state databases commercial information level contracts searched by vendors and state throughPIONEER: Continuing library); state government and Utah's Online education summary & Electronic Library educational evaluation partners report b. To fund public library use of PIONEER's commercial products c. To promote public use of electronic information resources TECHNOLOGY - Section 231 (a) (1) Goals/Priorities Objectives Sample Grant Evaluation Activities Targets Examples 4. Enable libraries to a. To support Planning grants for Competitive grants LSTA project participate in the for all types of efforts by libraries acquiring expertise to reports; State establishment and and local agencies plan technology libraries summary and operation of electronic to develop Statewide services: projects evaluations community based Plan standards for community networks Technology grants to electronic eligibility, grant implement or enhance networks processes and library participation in procedures for a community networks competitive grants program (a ) 5. Support continued Resource sharing a. To support and Non-competitive LSTA project operation of electronic incentive grants to appropriately grants for academic reports; State library networks and libraries that loan extend the and public libraries summary and other activities that participation of evaluation materials to other Utah ! (a) promote resource public and Competitive grants libraries sharing and encourage academic libraries for all types of interlibrary in resource sharing libraries OCLC/ILL grants to cooperation incentive libraries that add Partnerships among Schools and academic all types of libraries library holdings to the programs libraries are strongly OCLC union catalog are strongly b. To encourage encouraged (b) encouraged to partner and use the ILL with public libraries all types of subsystem Statewide services: libraries to form Plan standards for Implementation grants partnerships and to assist libraries in eligibility, grant participate in forming partnerships to processes and improve service procedures for cooperative activities to delivery competitive grants program improve service delivery 10 10/19/99 10:47 AM 8 of 16