Paper No : 06 Management of Libraries and Information

Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 01 Concept, definition and scope of library

management

Paper Coordinator Development Team

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer
INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer
Prof Dinesh K Gupta
Paper Coordinator Professor, V M Open University

Prof H R Chopra
Content Writer Retd Professor and Chaiman, Department of Library
and Information Science, Panjab University

Retd Mrs Renu Arora

Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 MODULE 1
CONCEPT, DEFINITION AND SCOPE OF LIBRARY MANAGEMENT

I. Objectives

The objectives of the unit/module include, to:

- Make acquainted with the concept of management,

- Describe the need for managing library organizations,
- List the concept of management in various ways,
- Discuss about the three levels of library management,
- Explain the scope of library management, and
- Describe the managerial role in library organizations.
II. Learning Outcomes
After going through this unit/module, you would understand the meaning of
management through definitions given by various management experts. You would
also learn as to how important management is for every organisation and would gain
knowledge of the characteristics, differences between administration and
management, qualities of a good manager, etc. You would be able to explain the
three levels of management and describe the managerial role in library
organizations.

III. Structure

1. Introduction

2. Concept of Management

2.1 Management: Science or Art

2.2 Management and Administration
2.3 Definition of Management
3. Characteristics of Management

4. Scope of Management

5. Functions of Management / Manager

6. Levels of Management in Libraries

6.1 Qualities of an Effective Manager

6.2 Managerial Role

7. Summary

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 8. References

1. Introduction

Management refers to series of functions for the organisation and administration of

various activities and people in the organisation. If we study the working of the
existing organisations all over the world, some are highly successful; some are
striving hard for success while some are unsuccessful. There are certain factors
influencing their success. Mangers apply the principles of management which are
universal in character. They plan, organize, integrate and inter–relate organizational
activities and resources for the purpose of accomplishing the objectives.

Management is essential for all types of organisations and libraries are no exception.
Management techniques in libraries have their origin in mid 1950’s. Prior to this,
libraries had very limited financial resources and limited services. Now libraries exist
in great variety. These vary in size, goals, structural pattern, financial resources, staff
and many other characteristics. From management point of view, these very in
management style, morale of the staff, environment for innovation etc. Now a variety
of information and communication technologies are available as means to improve
library services and operations.

Good management leads to efficiency, quality, economy and satisfaction. Library

managers have attempted to adopt proven principles of management from the non-
library world which were considered to contribute to the successful operation of their
libraries. The libraries are non-profit organisations and their objective is to provide
consistent, effective and efficient products and services to the clients. The
importance of management to libraries has grown over the years as libraries have
become larger in terms of size, collections, budgets and staff. There is an obvious
need for management skills at the level of Chief Librarian in the large academic or
public libraries. Complexity of library services and variety of forms of documents in
the special libraries also has paved way for application of principles of scientific
management in these libraries.

But it is not only the librarians of large libraries who need to possess the managerial
skills but every library, big or small, needs professionals with management skills.
The demands of every librarian’s managerial ability have become large and more
complex in recent years. Most librarians in the modern libraries are managers and
they also need to know how to manage. Today librarians are facing greater
challenges than ever before, resulting from increased competition and ever changing

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 technologies. As such the management techniques are required to be applied in all
types and sizes of libraries in all parts of the world at large.

2. Concept of Management

The term ‘Management’ is used in a variety of ways. Being a new discipline, it has
drawn concepts and principles form a number of disciplines such as economics,
sociology, statistics, etc. The result is that each group of contributors has treated
management differently. The economists have treated it as a factor of production, while
the sociologists have treated it as a group of persons. They have viewed the nature
and scope of management differently. According to L.M. Prasad, the term
‘Management’ is used in three alternative ways as under:

Management as a Discipline

A discipline refers to well defined concepts and principles. Management as a discipline

includes relevant concepts and principles, the knowledge of which helps in managing.
From this point of view, management can be treated as either as a science or an art.
As management prescribes various principles and these can be applied in managing
an organisation, it has the orientation of both science and art.

Management as a Group of People

The group of people includes all those persons who perform managerial functions in
the organisation. When we talk of relationship between management and other staff in
the organisation, we refer to two different groups of people, i.e., managerial and non-
managerial personnel. This approach of management is quite popular.

Management as a Process

A process can be defined as systematic method of handling activities. But

management process can be treated as a complex one which can be referred to as
an identifiable flow of information through inter-related stages of analysis directed
towards the achievement of an objective or set of objectives. Thus management as a
process includes various activities and sub-activities. In a simple way, we can define
management as what managers do. As management involves two groups, namely,
operational and managerial, management can be defined as the process of getting
things done by others.

Keeping in view the above mentioned factors various concepts of management can be
listed asunder –

a) Management by Communication

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 The primary function of a manager is to formulate policies and implement them
effectively which require oral or written communication with the staff. Managers
usually spend majority of their time in communicating for getting the work done from
others. Communication is a continuous, coordinated process of informing, listening
and understanding. Success of management depends upon effective
communication.

b) Management by System

It is the concept of identifying the problems, solving them through various possible
alternatives and making the generalization for the future. Management by system
refers to indentifying the problem and analyzing it; collecting relevant data and
analyzing the same; finding out various viable alternatives; testing the mand finally
selecting the best one. Subsequently, review is done from time to time and
corrective action is taken, if necessary.

c) Management by Results

According to this concept, the progress of the organisation is evaluated periodically

in order to ascertain the results achieved. The end-results are significant and
determine the success and strength of the management. The management should
therefore being result oriented.

d) Management by Participation

It is also known as ‘Participative Management’. The workers in the organisation are

given opportunity in the decision making process also. It involves the doctrine of
trusteeship. Management by participation creates a sense of involvement among the
workers. The workers can very well appreciate the problems and bottle-necks in the
system. They can also realize the practical problems involved in the system and thus
take realistic decision in the organisation.

e) Management by Motivation

Inspiring the workers in the organisation for accomplishment of the objectives is

called motivation. If the target is achieved, the workers are given due credit, rewards
and benefits. It acts as an encouragement for the future too. Management is nothing
but to motivate people towards the accomplishment of the work as per objectives of
the organisation concerned.

f) Management by Exception

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 Normally the routine work is performed by the workers in the organisation without
any problem. But at certain times, exceptional difficult situation arises in the
organisation when the management has to take drastic steps to achieve the goals. A
good management can manage very well during the exceptional and difficult
circumstances also. This is also one dimension of management.

g) Management by Objectives (MBO)

This concept was propounded by Peter F. Drucker. It is important to plan the

objectives of the organisation before placing them before the decision making bodies
for approval. The manager has to get the work done as per objectives of the
organisation. It is a dynamic system which is demanding and rewarding style of
management. Most of the industrial and commercial organisations follow MBO.
Libraries are, these days, adopting and following this concept in order to provide
library and information services to the clients, and thus accomplish the objectives.

2.1 Management: science or art?

According to Koontz, “Science” is organized knowledge. The essential features of

any science are the application of the scientific method to the development of
knowledge. Thus science comprises of clear concepts, theory and other
accumulated knowledge developed from hypotheses, experimentation and analysis.

Management has clear concept and has principles of scientific management. It

makes use of scientific methods in involving principles. According to L.M. Prasad,
Science may contribute to the solution of managerial problems by two ways:

- Existing research and theory relevant to the problem may be brought to

bear on its solution, and
- Where sufficient time is available, research may be conducted to provide
information not previously available and to apply solution accordingly. To be
a successful manager, a person requires the knowledge of management
principles and also the skills of how the knowledge can be utilized. Absence
of either will result in inefficiency. As such, management can be termed as
science.

Management can be regarded as an ‘Art’ also. L.M. Prasad is of the opinion that
the meaning of art is related with the bringing of a desired result through the
application of skills. Whereas under ‘science’, one learns the ‘why’ of a
phenomenon; under ‘Art’, one learns the “how” of it. Art is thus concerned with
the understanding of how particular work can be accomplished. So management

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 is an art because it can be applied effectively for solving various organizational
problems from situation to situation.

Thus it is evident that management has the characteristic of ‘Science’ as well as

‘Art’. Management has proven principles based on advances of knowledge. At the
same time, the process of management does involve the use of know-how and skills
like any other art. It has creativity like any other art. Every manager has individual
approach and technique in solving the problems, which is the characteristic of art.
Hence management is ‘Science’ or ‘Art’ both.

2.2 Management and administration

Some authors have stated that management and administration are two different
terms, while others have suggested that there is no difference between the two.
Various views expressed in this regard have led to the emergence of the following
three approaches:

a) Administration is above Management

Some classical thinkers like Oliver Sheldon, are of the view that administration
relates to the policy formation and management relates to the policy execution and
as such these two activities are not the same. But Henry Fayol, who studied the
entire management functions never distinguished between management and
administration. These are like two sides of the same coin.
b) Administration is a Part of Management
There is another school of thought, including E.F.L. Brech, who treats management
as a more comprehensive function which includes administration also. If this view is
acceptable, administration becomes a subordinate function to overall management
functions. From this point of view, administration is concerned with day to day
functions and is a part of management. But this version reverses the stand of the
classical thinkers. It does not hold the validity in the present day scenario.
c) Management and Administration are the Same
According to the third approach, which is the most popular and practical one,
management and administration are the same. Both involve the same functions,
principles and objectives. Henry Fayol, one of the leading thinkers of management,
was of the view that all undertakings require planning, organisation, command,
coordination and control. Thus, there is no difference between management and
administration and both are the same. The difference between the two terms lies
mostly in their usage in different countries or different fields of human organisations.

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 It becomes unimportant whether policy formulation function is known as
administration or management. Basically both terms are same.

2.3 Definitions of management

According to Frederick W. Taylor, “Management is the art of knowing what you want
to do in the best and cheapest way”. He has emphasized the work and not the
workers of the organisation. He opines that men and machines are similar for
achieving the goal of getting the things done in the best possible way and at a least
cost. This is applicable in the case of all types of libraries, especially where we
intend to provide best possible library services at the least cost.

John Mee has defined ‘Management’ in terms of securing maximum results.

According to him, “Management is the art of securing maximum results with
minimum efforts so as to secure maximum prosperity and happiness for both
employer and employee and give the public the best possible service.” This
definition is aptly applicable for libraries also, where the objective is to provide best
possible service to the clientele to their fullest satisfaction.

According to G. Edward Evans, “Management means to control and direct the

operation of an organisation or a sub-division of a larger unit”. Supervision will only
be used to indicate the control and direction of a small unit on a day to day first hand
basis. But no matter which word is used, the definition of management includes two
concepts: firstly, accomplishing certain defined activities and secondly, the people
who accomplish the work. The balancing of activities and people becomes the task
of the manager.

The definition given by Glueck is more relevant to the library management.

According to him, “Management is effective utilization of human and material
resources to achieve the enterprise’s objectives.” Libraries and information centres
have professional staff as well as variety of documents and resources to provide
information to the end users of these organizations. The target is to achieve the
objectives of the libraries at large.

As quoted by Robert D. Stueart and Barbara B. Moran, early in the twentieth

century, Mary Follett had defined management as “The art of getting things done
through people”. This definition is still relevant because of the things we know about
management is that it is impossible for anyone to manage alone. Managers have to
use the skills and labor footers to succeed and thus, for them, interpersonal skills are

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extremely important. Regardless of the type of organisation or the level of
management, the functions of planning, organizing, human resource, leading and
controlling are essential to all managers.

It is obvious that in the libraries and information centres also, the librarian gets the
work done from the professional and non-professional staff, which involves
managerial skills.

Stueart and Moran have stated that the basic essence of management is using
organizational resources, staffing, leading and controlling. Managers are those
individuals within an organisation who are in a position to make the decisions that
allow an organisation to reach its objectives. They work to ensure that these
objectives are reached both effectively and efficiently. This definition is applicable to
all types of libraries and information centres without any exception. The librarians
also use the organizational resources in order to achieve the objectives through
careful planning, organizing, staffing, leading and controlling.

As per ALA Glossary of Library and Information Science, “Management may be

defined as the process of coordinating the total resources of an organisation towards
the accomplishment of the desired goals of that organization through the execution
of a group of inter-related functions such as organizing, staffing, directing and
controlling”. This definition explains that the management is a process of
coordination among various resources through different functions in order to achieve
the objectives of an organisation.

Harold Koontz has defined management in the following words “Management is the
process of designing and maintaining an environment in which individuals work with
such performance for optimizing efficiency in reaching goals”. According to him,
environment is a basic factor beyond all resources to work efficiently in the
organization. In a library also, we have three essential components, i.e., documents,
staff and the users which require a congenial environment for efficient
performance of the staff in order to achieve goals to serve the library users to
their maximum satisfaction.

In spite of the various definitions as above, it has become very difficult to formulate a
single, comprehensive and universally acceptable definition of library management.
But all the above mentioned definitions are relevant, meaningful and appropriate in
different contexts. These are the reflections of different experts and their
perspectives.

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3. Characteristics of Management

Some of the most common and significant characteristics of management are given
below –

- Management is a distinct process in which work is got done through

planning, organizing, staffing, directing and controlling by the manager.
- Management is an organized activity.
- Management aims at the accomplishment of pre-determined objectives.
- Management is a group activity, and it cannot be done in isolation.
- Management principles are universal in nature, which are applicable to all
types of organizations.
- Management integrates human and other resources including financial
resources.
- Management is a skill of getting things done though people.
- Management has a distinctive significance which differs from ownership.
- Management is essential at different levels of organization.
- Management principles are dynamic in nature.
- Management is a system of authority.
- Management utilizes a multi-disciplinary approach (which includes
economics, statistics, industrial and human psychology, computer science,
engineering, accountancy, sociology, etc.)
4. Scope of Management

Management is multi-disciplinary in nature and its scope is very wide as it includes

human resources, financial resources, infrastructural resources and technological
resources. It involves scientific management based on sound principles.
Management is applicable in all types of organizations which include the industries,
hospitals, offices, commercial organizations, educational institutions, scientific and
technical laboratories, museums, archives, airlines, roadways, railways, libraries,
information centres, and so on. But it is concerned with getting the work done from
the people efficiently and economically.

5. Functions of Management / Managers

Various management thinkers have given different functions of management to be

performed by the managers of different types of organizations.

Some of the important views are given below –

a. Henry Fayol, Father of Classical School of Management, has given the following

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 managerial functions

i. Planning
ii. Organizing
iii. Command
iv. Coordination and control
b. Newman and Summer have suggested the following functions of management
i. Planning
ii. Organizing
iii. Leading
iv. Measuring and controlling
c. Stueart and Moran have formulated the following five functions of management
i. Planning
ii. Organizing
iii. Human Resource
iv. Leading
v. Controlling
d. Luther Gulick and Lyndall Urwick have given the following seven functions of
management and coined an acronym as “POSDCORB”. Brief explanations of
these functions are given below:

i. Planning

It requires wide knowledge and experience to make blue print of the work to be
performed. Planning is the most basic function to be performed by the manager. In
libraries also, very careful planning is required for successful fulfillment of the
requirements of the users (clients). This is considered as the most important
managerial function.

ii. Organizing

It involves choosing the design, suggesting the structure, space planning and
allocation of the jobs. It also includes determining the specific activities, grouping the
activities into a logical framework, assigning these activities to specific positions and
coordinating the efforts of individuals and groups. Flow-chart is prepared, if
necessary. This function is also applicable for managing all types of libraries and
information centres.

iii. Staffing

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 This function is also known as ‘Human Resource Management’ or ‘Personnel
Management’. Role of staff or workers is very significant in all types of organisations.
In case of libraries, perhaps it is the most important. A library may have excellent
building, rich collections and nice infrastructure, but it cannot achieve the goal of
satisfying the clients (users) if its staff is not well qualified, trained, devoted and
adequate.

iv. Directing

Giving directions or instructions or advice to the staff to perform the work accurately,
efficiently and appropriately is known as the managerial function, ‘Directing’. This is
a continuous process and applicable to individual workers as well as group of people
in the organisation. This is more applicable in the libraries where highly technical
work is performed in various sections of the libraries.

v. Coordinating

It means inter-relating or co-relating various parts of the organisation in order to

achieve harmonious operation and avoiding over-lapping or duplication of work or
efforts. It ensures maximum contribution by all the units of the organisation in a
systematic way. In the libraries, coordination is required in the working of all
sections so that there is no confusion, overlapping or missing links at any stage
and work is got done promptly and efficiently.

vi. Reporting

Keeping all the staff members, sections, supervisors and the parent bodies informed
of the work completed, work in progress and work to be done in the near future, is
called ‘Reporting’. It helps to avoid any confusion, misunderstanding, gaps or over
doing from any front. In the libraries too, it is through the reporting that a Chief
Librarian informs the higher authorities about the performance and need of the
library from to time to time.

vii. Budgeting

Rough estimate of income and expenditure of an organisation for a given period is

called budget. It is a forecast of the organisation. Financial resources are the most
important part of any institution. It is equally applicable to all types of libraries as
well. Careful planning of budget, accounting and control thereof is essential for
efficient functioning of a library.

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 In addition to the above mentioned managerial functions, the following two additional
functions are also being practiced in the organisations and this:

- Leading: It refers to providing positive and dynamic leadership, which is an

elusive quality. At times, the term “Manager” and “Leader” are treated as
synonyms, but they are not the same. Leadership is just one aspect of what
a manager does.
- Controlling: As discussed by many thinkers of management, controlling
includes control of everything and everyone in the organization. It leads to
direction. The libraries, various higher bodies, parent bodies, library
committees, etc. exercise the function of controlling.

6. Levels of Management in Libraries

Managers can be categorized in a number of ways. Most commonly, we think of

them in vertical hierarchy. They usually work at three levels, viz. Top, Middle and
Lower level of the organization. The Managers at top or nearer to the top have
broader responsibilities and authority than those at lower levels. According to
Stueart and Moran, various organisations including libraries have three levels of
management as under:

i. Top Management:
It includes directors, associate directors and assistant directors in the large
libraries. They are responsible to set policies for the entire organisation and are
responsible for its overall management. They act as leaders and have wide
powers as wells responsibilities.
ii. Middle Management:
They are in–charge of specific sub-units of the organization. In the libraries,
they are heads of the department or Branch Librarians. Their responsibilities
are confirmed to the successful functioning of the department concerned. They
also serve as liaisons between top management and supervisors.

iii. Lower Management or First Line Supervisors:

They act as supervisors of the junior staff and lead the activities of individual
workers in carrying out the day to day work of the organisation/library. These
managers implement the procedures and processes that allow their units to
work effectively and efficiently.
But the above mentioned hierarchy in the management is being distributed
more widely throughout the organizations these days. This change can be

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 seen in all types of organisations including libraries and information centres.
The emphasis is being given to team work now-a-days.

6.1 Qualities of an Effective Manager

An effective manager is one who is positive in his personality. L.M. Prasad has
quoted the following characteristics of an effective manager.
Most Descriptive Least Descriptive

Amiable
Decisive
Conforming
Aggressive
Neat
Self -Starting
Reserved
Productivity
Agreeable
Well-informed
Conservative
Determined
Kindly
Energetic
Mannerly
Creative
Cheerful
Intelligent
Formal
Responsible
Courteous
Enterprising
Modest
Clear-thinking

The above mentioned most descriptive qualities are essential for an effective
manager. But least descriptive qualities are also necessary because these many
contribute indirectly to the effectiveness of the manager.

6.2 Managerial Role

A role can be defined as an expected set of behaviors and activities. Henry

Mintzberg observed that a manager performs a variety of roles which are grouped in
the following three broad categories:

i. Interpersonal Role:

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 Top managers serve as symbols of the organisation itself. They also play the role as
leaders. As part of this role they motivate, communicate with and inspire the
individuals with whom they work. They act as figurehead and keep liaisons both
inside and outside the organisation.

ii. Information Role:

In the present day society, information is the most important for any type of
organisation. The managers play the role of a monitor and always seek information,
which they disseminate to those who need it. They act as spokespersons of the
organisation and transmit the official information of the organisation to the outside
world by means of memos, speeches newsletters and other methods of
communication.
iii. Decision Making Role:
Managers spend a lot of time in decision making, resource allocation, conflict
resolution and crisis handling. They act as disturbance handlers and negotiators.
Managers also play the role of entrepreneur when they work to introduce innovation
into the organisation. They also make necessary changes, if necessary, in the fast
changing environment.
In the libraries and information centres also the top level managers invariably play all
the above mentioned roles. Middle level managers also perform many of these roles
as part of their managerial activities. Thus the roles of the managers are often
challenging.

7. Summary

Good management is critical to the success of all organizations and libraries are no
exception to it. The librarians of the future will be working in environments that will
continue to be turbulent and fast changing. According to Peter Vaill, “Managers need
to be prepared to confront a period of chaotic change”. He calls it permanent ‘white
water’. According to him, management of organisations used to be like a pleasant
boat riding down a calm, quiet river, but the future will be different. It will be full of
rapids, whirlpools, eddies and endless white water. The libraries need to have
experienced and trained managers in order to ensure the success of the libraries
and information centres of the future.

The effective library managers and their effective managing will inevitably lead to
achievement of the goals of the libraries and satisfaction of the end-users of the
libraries. New technologies have been developed and are available as a means to
improve library services and operations. In the present context, application of

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 management techniques has acquired added significance. We need good managers
who can manage libraries, respond well to fulfill the objectives. Libraries are very
costly ventures. Costs must be justified by providing effective and efficient services
through efficient and effective management.

8. References
1. Dawson, Tony. Introduction to Management. New Delhi: Overseas Press India, 2007
2. Druckar, Peter F. Management Tasks, responsibilities and practices. New York :
Harper & Row, 1974.
3. Evans,G. Edward. Management Techniques for Librarians. 2n d ed. New York:
Academic Press, 1983.
4. Glueck, William F. Management. Hinsdale: The Dryden Press, 1977.
5. Koontz, Harold. “The management theory jungle”. Journal of Academy of
Management. Dec. 1961. p.174.
6. Koontz, Harold and Weihrich, Heinz. Essentials of Management. 5th ed. New
Delhi:Tata McGraw Hill. 1990.
7. Mee, John F.“Management philosophy forprofessional executives”. Business
Horizons, Dec. 1965. p.5.
8. Mintzberg , Henry. The nature of managerial work. New York: Harper and Row, 1980.
9. Newman, William H. and Summer, Charles E. The process of management:
concepts, behaviour and practice. 1961. Englewood Cliffs, N.J.: Prentice Hall, 1961.
10. Prasad, L. M. Principles and practice of management. 6th ed. New Delhi: Sultan
Chand & Sons, 2001.
11. Stueart, Robert D. and Moran, Barabara B. Library and information centres
management. 7th ed. Westport: Libraries Unlimited Inc., 2007.
12. Taylor, Frederick W.Principle of scientific management. New York: Harper and Row,
1941.
13. Vaill, Peter. Managing as a performance art: New ideas for a world of chaotic
change. San Francisco: Jossey – Bass, 1989.

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Paper No : 02 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 02 Principles of Management and application in

Library and Information Centres management

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Prof H R Chopra
Content Writer Retd Professor and Chaiman, Department of Library
and Information
Science, Panjab University
Retd Mrs Renu Arora
Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 MODULE 2

PRINCIPLES OF MANAGEMENT AND APPLICATION IN LIBRARY AND

INFORMATION CENTRES MANAGEMENT

I. Objectives

The objectives of the unit/module are, to:

- Discuss about the various theories of management,

- Explain the need for managing library organizations,
- List out the principles of management,
- Describe the role of principles of management in an organization,
- Mention the three levels of library management, and apply the management
theories and principles to management of library organizations.

II. Learning Outcome

After going through this unit/module, you would learn about the different approaches to
management, these include: traditional approach, empirical approach, human
behavioral approach, decision theory approach, mathematical approach, socio-
technical systems approach, contingency approach, and operational management
approach. You would also gain knowledge of the principles of scientific management
(Taylor’s principles) and how the general management and scientific management
principles are applicable to libraries.

III. Structure of the Module

1. Introduction
2. Approaches to Management
2.1 Traditional Approach
2.2 Empirical Approach
2.3 Human Behavioral Approach
2.4 Decision Theory Approach
2.5 Mathematical Approach
2.6 Socio-Technical Systems Approach
2.7 Contingency Approach
2.8 Operational Management Approach

3. Principles of Scientific Management

3.1 Taylor’s Principles

3.2 Fayol’s Principles (General Principles of Management)

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 3.3 Barnard’s Principles
4. Characteristics of “Not- For-Profit” Organisations
5. Management of Libraries and Information Centres
6. Role of Principles of Management
7. Summary
8. References

1. Introduction

Principles and theories provide the framework of science. These are believed to be
fundamental truths. These explain the relationship between two or more sets of
variables. Principles of management are derived from the working of industry,
government, human psychology and social theories. Knowledge of the basic principles
and theories of management helps in practicing management efficiently and
effectively. With the development of management thought over the period of time,
various approaches for management analysis have been developed. These
approaches are known as styles or patterns of managerial analysis or schools of
management thought.

2. Approaches to Management

There are two extremes of management style, namely: “Authoritarian” style and
“Democratic” or “Participative” style. Authoritarian style is one characterized by
reliance on authority-obedience relationship to get the work done. In this approach,
there is a rigid adherence on defined lines of command and centralized decision
making. But in Democratic or Participative style, there is sharing of responsibilities,
reliance on the employees’ own willingness to take whatever actions required of them.
It involves a high degree of employees’ participation in decision making. These are
two basic styles at two extreme levels on the combination of which different
management approaches work and different kind of managers originate. Each
school of thought employs different beliefs, views and formats. Some of these schools
are relatively broad in their scope, while others tend to restrict to relatively specialized
areas. Each style has some merits over the other. But there does not seem to be any
rational basis for choosing one style over the other. There is neither complete
agreement over the number of approaches nor does clarity about what a particular
approach suggest. That is why Koontz has called this situation as “management theory
jungle”. There are contradictions in various schools of management thought. As such
study of a single approach in studying the management is not sufficient. Major
approaches to management or schools of thought are as follows:

2
2.1 Traditional approach

This is also known as “School of Custom”. It is one of the most commonly followed
approaches for management of organizations. Many principles given by Henry Fayol
underline the basic philosophy of this school. There are four fundamental
characteristics in the traditional style:

- The functions of management, such as planning, organizing, motivating and

communicating are capable of being defined, emphasized and studied;
- There are principles or fundamental truths about organizing and management
and these are very important in clarifying the study of management and in
improving managerial practice;
- The principles of management derived from the study of management should be
the starting point for research and should produce even more useful managerial
theory; and
- Management is to a great extent an art concerned with the application of certain
principles that are only to a certain degree based on scientific principles.

This approach analyses management as a universal activity and environment has a

great impact on the management and mangers.

2.2 Empirical approach

This approach is based upon the idea that management process may be analyzed but
such analysis must be based on the past experiences. It is also known as case
approach or management experience approach. The major contributors of this
approach are Earnest Daley, Mooney and Reiley, Urwick and other management
practitioners, who opine that management is a study of managers in practice. The
intention of studying experience is to draw generalizations and to develop means of
teaching experiences to other practitioners and students. Attempts are made to
duplicate successful experiences while avoiding the unsuccessful ones. The major
features of this approach are:

- Management is basically a study of managerial experiences and can be taught

best by case study method;
- Managerial experience can be passed from one practitioner to another or to the
students of management for continuous increase in the knowledge of
management; and
- It is the study of success and failures in the application of management
techniques by managers in their practice.

3
 - d. It involves Studying about a large number of experiences so that some sort of
generalizations can be possible.

2.3 Human behavioral approach

Major resource within any organisation is the human resource. Its behavior towards
work can be modified to fulfill the management goals as management involves
getting things done with and through people, so the study of management must
revolve around human behavior. It is also called “Human Relations”, “Leadership” or
“Behavioral sciences” Approach. As it involves human behavior, it can be divided in
two groups: first, “Interpersonal Behavior Approach”, which is based on individual
psychology; and second, “Group Behavior Approach”, which relies on social
psychology and emphasizes on organizational behavior. The main assumptions of
Human Behavioral Approach are as under:

- As management is a process of getting things done by people, managers

should understand human behavior;
- Motivation and good human relations should be the base for better
productivity;
- Motivation, leadership, communication, participative management and group
dynamics are the major themes of this approach.

2.4 Decision theory approach

Its focus is on the concept of analyzing the situations and problems in order to make
decisions. Manager is the decision maker and organization is the decision making unit.
So the basic problem in managing is to make rational decision. The major contributor
of this approach is Simon who gave the following assumptions:

- Management is essentially a decision making process;

- The members of the organisation are decision makers and problem solvers;
- Organisation can be treated as a combination of various decision centres; and
- Quality of decision affects the organizational effectiveness.

In the case of libraries and information centres for planning a new building, for providing
special services to the clientele or for making provisions for special members, all these
activities require careful analysis and decision making, keeping in view the library budget,
equipment and the staff.

2.5 Mathematical approach

It is also known as “Quantitative Measurement Approach” or “Management Science

Approach”. It visualizes management as a logical entity, the action of which can be

4
 expressed in terms of mathematical symbols, relationship and measurement data. The
major features of the approach are as under:

- Management is regarded as the problem solving mechanism with the help of

mathematical tools and techniques;
- Management problem can be described in terms of mathematical symbols and
data. Thus every managerial activity can be quantified;
- This approach covers decision making, systems analysis and some aspects of
human behavior; and
- Operations research, mathematical tools, simulation models, etc. are the basic
methodologies to solve managerial problems.

This approach can be applied more appropriately where measurement is easy. In case
of libraries and information centres, the work of technical processing section can be
measured easily, where the measurable units are: a book or a bibliographic unit, etc.

2.6 Socio-technical systems approach

According to this approach, for solving organizational problems, it is not enough to

have cooperative social systems alone, but technical systems (i.e., methods and
machines) should also be supportive and interactive. Contributed by E.L. Trist, this
approach has the following main features:

- An organisation is a combination of both social and technical systems which

interact among themselves;
- Social system of the organisation is governed by the social laws as well as by
psychological forces; and
- Technical system is governed by technological forces operating in the
organization like physical setting of work, rules, proceedings, etc.

In the libraries and information centres, this approach is very much applicable
where cooperative social systems are supported by the defined methods,
procedures, machines and other equipment for solving the organizational problems
from time to time.

2.7 Contingency approach

It is also known as “Situational Approach”. The basic idea of this approach is that there
cannot be a particular management action, which will be suitable for all situations. In
fact an appropriate action is one which is designed on the basis of external
environment as well as internal needs. This approach has the following features:

5
 - Management action is contingent on certain actions outside the system or sub-
systems, as the case may be;
- Organizational action should be based on the behavior of action outside the
system so that organisation should be integrated with the environment; and
- Because of the specific organisation-environment relationship, no action can be
universal. It varies from situation to situation.

This approach is applicable in almost all sections of the libraries and information
centres, where decisions are taken keeping in view the internal needs as well as the
external environment.

2.8 Operational management approach

This approach is based upon functions of managers in the organisation, commonly

known as management process. That is why it is also known as “Management process
Approach”. It is frequently followed in understanding management. Major features of
operational management approach are:

- Management is the study of what the managers do. It emphasizes on the

management factors and various concepts and principles involved in
performing these functions ;
- Management functions are universal irrespective of the type of organisations or
level of management in an organisation ;
- The conceptual framework of management can be constructed on the basis of
the analysis of management process ; and
- The central core of managing revolves around planning, organizing, staffing,
directing and controlling, which are the basic functions in management
irrespective of the kind of organisation.

Operational management approach is entirely suitable and applicable in case of all

types of libraries and information centres.

3. Principles of Scientific Management

The term “Scientific Management” was first of all given by Louis Brandeis in 1910.
According to him, the workers in the organisation are economically motivated and they
would do their best if they are rewarded financially. The emphasis is on maximum
output with minimum strain, eliminating waste and inefficiency.

3.1 Taylor’s principles

6
 Subsequently, Frederick Winslow Taylor, an American, who is considered to be the
father of scientific management, gave the fundamental principles, underlying the
scientific approach to management, which is given below:

- Replacing the rule-of-thumb method with science by finding the most efficient
way;
- Obtaining harmony in group action rather than discord;
- Achieving cooperation of human beings rather than chaotic individualism;
- Working for maximum output rather than restricted output; and
- Developing all workers to the fullest extent possible for their own and the
company’s highest prosperity.

Efficiency was the central theme of Taylor’s philosophy. He advocated assignment of

supervisors by ‘function’, i.e., one for training, one for discipline, etc. He was interested
in ascertaining how to get more workouts of workers whom he considered to be
naturally lazy. According to him, this attitude was fostered by poor management. He
observed that when an energetic person works with a lazy person for a few days, the
former also becomes lazy, thinking “why should I work hard when the lazy fellow gets
the same pay that I do and does only half as much work”. Taylor proposed using
scientific research methods to discover the best way to perform a job. He felt that
faster work could be assured only through enforced standardization of methods;
enforced adaption of the best instruments available for the work; adaption of good
hygienic working conditions; and enforced cooperation.

3.2 Fayol’s principles (general principles of management)

Henry Fayol was of the opinion that the principles of management are flexible. Based
on his experience, he listed fourteen General Principles of Management, which are
discussed below.

i. Division of work or Specialization

There should be a clear division of duties. Breaking jobs into smaller pieces leads
to specialization. Management should be separate and distant. This promotes
efficiency in the organisation. The supervisor has a better control because of
dealing with a smaller range of activities for each person. In a library, the division
can be by type of service or by type of material. Regardless of method, it is
important to consider very thoughtfully the objectives and direction of the unit.

ii. Authority and Responsibility

7
 The authority that individuals’ possess should be equal to their responsibility.
Anyone responsible for the results of a task should be given the authority to
take the action necessary to ensure its success. Responsibility cannot be
completed in the best manner unless there is proper level of authority behind it.
We can say that authority and responsibility must go together. If one is
responsible for the result of task, the person should have the authority to take
necessary action to ensure its success. This seems obvious but very often only
the responsibility is delegated and not the authority.

iii. Discipline

It is necessary to have clearly defined limits of the acceptable behavior. Everyone

in an organization should know as to what is acceptable and what is not
acceptable when a rule is violated, the punishment given should be applied
equally and fairly by someone who is competent and understanding. Nothing can
be achieved without a level of discipline between workers and management.
Discipline requires good supervision at all levels. This is applicable in case of
libraries and information centres also. This principle is often difficult for a
supervisor to apply because there is a tendency of leniency and human relations
factors. There should be clear rules and complete obedience of behavior in the
best interests of the organisation.

iv. Unity of Command

An employee should receive orders form only one supervisor in order to avoid
confusion and conflict. It should be clear in the organisation as to whom a person
would be responsible for a given task. In a library, the work of collection
development, technical processing and reader’s services are inter-related,
involving more than one supervisor. If all of them give the orders separately, it
can lead to utter confusion. Hence in such a situation, these supervisors should
have consensus and only one person should give the instructions or orders. Unity
of command is very important for the successful functioning of libraries and
information centres too.

v. Unity of Direction

There should be only one head and one plan, in order to ensure a coordinated
effort. All activities that have the same objectives should be supervised by one
person. A body with two heads is a monster and has difficulty in surviving. There
are a number of interacting variables in a given job situation which, sometimes,
cannot be avoided, but there should be minimum line of authority for a given task.

8
 For example, in libraries, the bibliographic checking unit should have one
supervisor as this work is performed in two departments, namely: acquisition
department and technical department. This principle ensures efficiency, economy
and uniformity.

vi. Subordination of Individual Interest to General Interest

The employees should place the organization’s concerns before their own. In
other words, the individual interests should be subordinated over the general
interest of the organisation. Sometimes, it is difficult in certain situations in the
organisation. But if this principle is strictly adhered to, would lead to general well-
being of the workers in an organisation.

vii. Remuneration of Personnel

The pay or wages for work must be fair and adequate which ensures satisfaction
for both the employee and the employer. In a library, the task should be identified
first and thereafter, the appropriate staff should be recruited or hired at the
established salary or remuneration. It is not a good idea to find the person who
can do the job at the lowest possible salary. This can lead to lowering the quality
of work or service in the library.

viii. Centralization

Centralization is the most desirable arrangement within an organisation. Both

formulation of policy and the generation of basic rules and procedures ought to
be centralized. Decisions may be taken at lower or local level but within the
framework established by the central authority. Many libraries adhere to this
principle rather strongly. This leads to consistency, uniformity and efficiency.

ix. Scalar Chain

It is also known as Lines of Command. In an organization, each position is part of

a vertical chain of authority, i.e., The Scalar Chain. Communication should move
up and down according to this chain of command. The organizational hierarchy
must be formalized and it should reflect the flow of authority and responsibility. In
libraries and information centres, the hierarchy is Librarian/ Director (overall
head), Deputy Librarians/Deputy Directors (divisional heads), Assistant
Librarians/ Assistant Directors (Sectional Heads) and so on.

x. Order

9
 The relationships between various units must be established in a logical and
relational manner, so that these units work in harmony. In order to avoid conflicts,
there should be a right place for everything and everyone in the organisation for
its successful working.

xi. Equality

Equality of treatment must be taken into account in dealing with the employees.
Justice should be tempered with kindness. Loyalty and sincerity can be elicited
from the employees only when the manager/ supervisor deal with the individual
as a person. The persons at the equal level should not be treated individually but
as a group.

xii. Stability of Tenure of Personnel

Long term stability for workers is good for an organisation. A high turnover rate is
expensive for an organisation. Turnover rate is expensive for an organisation.
Turnover is both a cause and an effect of bad management. One way of
evaluating the effectiveness of a manager/supervisor is to examine the turnover
(absenteeism) rate of persons working under the manager. A low turnover rate
may or may not mean that the individual is a good manager. But a high turnover
and absenteeism rate indicates that there is a problem and that the
manager/supervisor has failed to take corrective measures. A person who is often
absent can create bottlenecks in the flow of material, hindering efficiency of the
organisation as whole. Such employee often costs the organisation far more than
his/her salary. Every time an employee leaves, there is a significant
organizational cost. Time and money are spent on recruiting, selecting and
training. As such stability of the staff is very important and must be given due
consideration

xiii. Initiative

Subordinates should be encouraged to give new ideas and take initiative to

propose new plans, which should be undertaken after careful review and
consideration. In order to stimulate initiative, incentives and rewards should be
established in all type of organizations including libraries.

xiv. Esprit de Corps

Team spirit should be maintained among the individuals within the organisation.
There should be complete harmony among the workers in the organisation.
Strong sense of morale and unity should be developed among the staff members.

10
 Communication is the key to a satisfied working group in the organisation.
According to Fayol, viable organizations in times of crisis approach their problems
as a team.

As one can see, all the above mentioned general principles of management
propounded by Fayol have validity for all types of libraries and information
centres also. These principles are being practiced by the modern managers too
to achieve efficiency in the concerned organization.

3.3 Barnard’s principles

Chester I. Barnard viewed that the task of executives (mangers) was of maintaining
a system of cooperative effort in a formal organisation. The logic of this analysis can
be seen in the following steps:

i. Physical and biological limitations of individuals lead them to cooperate and

work in groups;
ii. The act of cooperation leads to the establishment of cooperative system, in
which physical, biological, personal and social factors or elements are present;
iii. Any cooperative system may be divided into two parts: organisation (which
includes only the interactions of people in the system) and other elements;
iv. Organisation can be also be divided into two kinds: ‘formal’ organisation
(which is consciously coordinated social interactions that have a deliberate and
joint purpose) and ‘informal’ organisation (which refers to those social
interactions without a common or consciously coordinated joint purpose);
v. The formal organisation cannot exist unless there are persons who are able to
communicate with one another, are willing to contribute to group action, and
have a conscious common purpose;
vi. Every formal organisation must include the following elements:
- system of fictionalization so that people can specialize,
- a system of effective and efficient incentives that will induce people to
contribute to group action,
- a system of power which will lead the group members to accept the
decisions of executives, and
- a system of logical decision making.

vii. The executive functions enter the process through the work of the executive
in integrating the whole and in finding the best balance between conflicting
forces and events; and

11
 viii. To make the executive effective requires a high order of responsible leadership.

The above mentioned principles of management given by Barnard are based on social
systems approach , concentrating on major elements of the managerial job,
emphasizing on decision making and leadership.

Keeping in view the management theories, principles and procedures, it is obvious that
these are very much relevant in managing libraries and information centres also. Yet it
is very important to note that the libraries are basically paternalistic, service oriented
and not- for- profit organisations. In fact, it is that part of management which is called
‘Service-management’, which is more important to libraries than the management of
industrial, commercial and profit oriented organisations.

4. Characteristics of “Not- For-Profit” Organisations

The basic characteristics of services rendered by the ‘not -for-profit’ organizations are
as under:

- Intangibility: The services may not directly appeal to the services of the
customers;
- Inseparability: The services are generally produced in the presence of the
customers. In other words, there is customer participation in the service
production. As such the service production and consumption are inseparable;
- Heterogeneity: The services rendered cannot be fully standardized. As a result,
there would be variations in the quality of services rendered to different
customers; and
- Perishability: The services, many times, cannot be stored and an inventory is
developed for later physical distribution.

In addition to the above four characteristic of the not- for- profit organisations, there are
some other characteristics also which are as follows:

- It is difficult to measure and compare the performance of service organisations;

- It is equally difficult to inspect quality, determine and implement specifications,
take samples and try in advance and also determine the cost of a service;
- The relationship between cost (input) and benefit (output) is blurred;
- There is no title or ownership transfer when a service is rendered;
- Service organisations are labor and equipment intensive and are dominated by
professionals;
- Excellence is rare and mediocrity common, and the dissatisfaction is rarely
conveyed by the customers;

12
 - Service organisations are generally small and operate at a single location; and
- Market forces play a less significant role in service organisations

5. Management of Libraries and Information Centres

Management of libraries and information centres as services organizations (i.e., not-

for-profit organisations) is accomplished by a combination of basic management
functions and skills as discussed earlier. We can think of three important roles for a
library manager as under;

- Interpersonal Role: (a) As figurehead with duties of a ceremonial nature, (b)

Leading role, and (c) Liaison role
- Informational Role: (a) Perpetually scanning and monitoring the information, (b)
Disseminator role, and (c) Specific role of informing and satisfying
- Decisional Role: (a) As entrepreneur looking for new ideas and adopting them
for change, (b) Solving the unanticipated problems and handling disturbances,
(c) Resources allocation role of dividing work and delegating the authority, and
(d) Negotiator role

Modern libraries and information centres are not merely store houses of knowledge
and information, but are also live and active institutions involved in a vital service to the
society. Today, knowledge and information are considered as important as energy and
biotechnology. As such these have to be taken care of and managed very well.
Therefore, scientific management theories, principles and practices are increasingly
being applied to manage the libraries and information centres to provide effective and
quality service to the clients.

Now-a-days, management principles and techniques are being used in the libraries
and information centres for a variety of functions such as: information products and
services; document delivery; information and documentation services (such as
current awareness service, selective dissemination of information service, indexing
service, abstracting service, clipping service etc.); planning and plan implementation,
forecasting evaluation of operations, budgeting, house-keeping routine operations; and
general management.

Today’s managers face a number of challenges. According to Stueart and Moran,

management presents great opportunities and allows the manager to make changes in
the libraries and information centres. There is a dire need of people who are both
willing and able to serve as managers in order to ensure the success of libraries and
information centres in the future.

13
6. Role of Principles of Management

Principles of management are theoretical in nature. When these are put into practice,
there is a tremendous impact on the functioning of the organisation. As these increase
efficiency and lead to better results. According to L.M. Prasad, the need and
importance of management principles can be visualized as follows:

i. To Increase the Efficiency

As the principles of management are based on experience and are established,

these lead to efficiency in the working of the organisation. The managers can
understand the problems in a better way. Principles are time tested. As such
there is no need of hit and trial any more, costly trials can be avoided. However,
certain modifications can be made while applying the management principles,
keeping in view the environment, as per situation and need of the organisation.
Thus, the efficiency and effectiveness in the organisation is definitely increased.

ii. To crystallize the Nature of Management

Without the knowledge of management principles, it is difficult to analyze the

management jobs and know the managerial functions. As such management
principles, procedures, rules and methods are necessary to crystallize the nature
of management and to train the future managers.

iii. To Carry on Research

When we have fundamental principles, these mark the basis for further research.
In the absence of such principles, future research becomes very difficult. It is only
due to these principles of management that lots of empirical research is being
carried out in all areas of management during the recent years all over the world.

iv. To Attain Social Objectives

Management deals with people and is a part of the society. It takes input from the
society and gives output to the society. Thus the standard of the society depends
upon the quality of management. In order words, managerial principles play an
important role in improving the quality of life of people in the society.

v. To take Realistic View of the Problem

A manager comes across many problems while managing the organisation. If he

knows and understands the principles of management properly, he can take a
more realistic view of the problems and find their solutions appropriately.

14
 Thus, it is evident that understanding of management principles enables the managers
to manage the organisation more efficiently. In case of management of libraries and
information centres also, this holds good. Knowledge and application of principles of
management lead to better planning, better staffing and better organisation. It leads to
effective and efficient management. The satisfaction rate amongst the library staff as
well as the library users is much higher. As such the management principles play a
very important role in increasing the efficiency in the use of human as well material
resources in the organisation like libraries and information centres.

7. Summary

A library is an organization that is usually managed by two or more people who interact
efficiently and effectively to provide information to their users. For running any
organization in an effective manner, efficient management process is required and for
this we must follow management theories and principles which lead to a sound
theoretical base. The Principles of Management are the essential, underlying factors
that form the foundations of successful management. Management principles are
guidelines for the decisions and actions of library managers. These are derived through
observation and analysis of events faced in actual practice.

In this module, we have discussed various theories of management that include

traditional approach, empirical approach, human relations approach, decision theory
approach, etc. Principles of management as proposed by various management
experts have also been covered. When principles of management are put into practice,
there is a tremendous impact on the functioning of the organisation. As these increase
efficiency and lead to better results.

8. References

1. Bryson, Jo. Effective library and information centres management. Aldershot,

England : Grower, 1990.
2. Encyclopedia of management. New Delhi: Crest Publishing House, 1999.
3. Evans, G. Edwards. “Management education for archivists, Information Managers
and Librarians: Is there a global core? Education for Information. Vol 2, Dec- 1984,
pp 295-307.
4. Katz, Robert “Skills of an effective administrator”. Harvard Business Review. Vol. 52
Sept- Oct., 1974. pp. 90-102.
5. Narayana, G.J. Library and information management. New Delhi: Prentice Hall of
India, 1991.

15
6. Plaunkett , Warren R, and Attner , Raymond F. Introduction to management. 2nd ed.
Boston: Kent Pub. House, 1986.
7. Simon, Hebert A. The New science of management. Englewood: Prentice Hall,
1977.
8. Tripathi, P. C. and Reddy, P.N. Principles of management. 2nd ed. New Delhi: Tata
McGraw- Hill 1991.

16
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 03 Schools of Management Thoughts

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Prof H R Chopra
Content Writer Retd Professor and Chaiman, Department of Library
and Information
Science, Panjab UniversityScience, Panjab University
Retd Mrs Renu Arora
Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 MODULE 3

SCHOOLS OF MANAGEMENT THOUGHTS

I. Objectives

The objectives of the unit/module are to:

- Make you acquainted with various theories of management,

- Describe the need for applying Classical theory of management,
- Explain as to how Neo-classical theory of management emerged,
- Establish the developments in field of management after the Modern theory of
management, and
- Apply the management theories and principles for management of library
organizations.

II. Learning Outcomes

After going through this unit/module you would learn about the development of the
management thoughts elaborated in three sections, namely: classical theory; neo-
classical theories, and modern theories. You would know that classical theory addresses
earlier theories along with Scientific Management and, Operational Management and
Bureaucratic Management. The Neo-classical theories dealt with human relations, social
systems, decision theory, management science and human behavior. Finally, you would
go through the modern theories of management which include: systems approach or
system, contingency approach or contingency and learning organisation.

III. Structure

1. Introduction
2. Classical Theory
2.1 Early Contributions
2.2 Scientific Management School
2.3 Operational Management School
2.4 Bureaucratic School
3. Neo-Classical Theory
3.1 Human Relations School
3.2 Social Systems School
3.3 Decision Theory School
 3.4 Management Science School
3.5 Human Behavior School
4. Modern Theory
4.1 Systems Approach or System School
4.2 Contingency Approach or Contingency School
4.3 Learning Organisation School
5. Summary
6. References

1. Introduction

Management practice is as old as human civilization when people started living together in
groups. Every group requires management and the history of human beings is full of
organisational activities. However, the study of how managers achieve results is
predominantly a twentieth century phenomenon. Earlier, management concepts were
applied in the field of business only and the researchers did not pay much heed to it. The
situation started changing with the beginning of twentieth century, especially the World
War I created the situation when people started thinking of the solution to the problem of
how limited resources could be applied in better way. The World War II added further
problem to this end. Growing competition and complexity of managing large business
organisations further provided impetus to developing systematic management concepts
and principles. This led to emergence of a variety of approaches in management.

The evolution of the schools of management thoughts can be grouped in the following
categories, although some overlapping can be there. Similarly, a particular school of
thought did not really start with the end of the previous one, as far as the time period is
concerned. As L. M. Prasad has rightly stated, this classification is time specific because
what is modern in today’s context, may not remain the same in future.

Classification/
Management Thoughts Period
Grouping

I. Classical Theory 0. Early contributions Up to 19th Century

1. Scientific Management School 1900-1930

2. Operational Management School 1916-1940

 3. Bureaucratic School 1930-1945

II. Neo-Classical 4. Human Relations School 1930-1950

Theory

5. Social Systems School 1940-1950

6. Decision Theory School 1945-1965

7. Management Science School 1950-1960

8. Human Beahviour School 1950-1970

III. Modern Theory 9. Systems School 1960 onwards

10.Contingency School 1970 onwards

11.Learning Organisation School 1990 onwards

2. Classical Theory
2.1 Early contributions

The concept of organisation and administration existed in Egypt in 1300 B.C. According to
L.M. Prasad, Confucius’s parables included suggestions for proper public administration
and admonitions to choose honest, unselfish and capable public officers long before
Christ. Kautilya gave sound principles of state administration as early as in 320 B.C.
Roman Catholic Church introduced the concept of staff personnel in Church
administration, which was further carried on by military organisations. The history lists a
group of German and Austrian public administration as a source of strength during 16th to
18th centuries. These contributions provided some insights about how resources could be
utilized more effectively. However, these contributions were outside the field of business
and other economic organisations.

In the 16th century, Machiavelli wrote ‘The Prince’ in an attempt to gain favour with the
ruler of an Italian city state and described the way that a good prince or leader should act.
He propounded two basic approaches, namely, ‘Love approach’ and ‘Fear approach’ as a
basis for leadership and administration. He suggested four basic principles concerning:
“mass consent, cohesiveness, will to survive, and leadership. Later in the Age of
Enlightenment and Renaissance, change of societal value, human worth and individual
knowledge, ability, skill and accomplishment were acknowledged, but these alone were
 not enough to be a good manager. Industrialism and the factory system of the early 19th
century saw the use of management skills, assembly line operation and costing systems.

In fact, the management theories in the early period were not really theories, but some
discrete practices or experiences. For that matter, management theories in the present
century are also not totally free from certain problems. To become a theory, an experience
or practice need to undergo several modifications, syntheses and tests. For this purpose,
a sound theoretical and conceptual framework is essential for a theory to take shape. Lack
of adequate concept formation is considered a serious drawback in the development of a
unified and integrated management theory. Management scholars have borrowed and
applied concepts from other disciplines. That is why management theory has evolved a
symbiotic relationship to its related and supporting disciplines like mathematics, statistics,
behavioural sciences, economics, etc. The classical management theory consist of a
group of similar ideas on the management of organisations that involved in the late 19th
century and early 20th century (1880’s – 1920’s ). The Classical School is also known as
‘Traditional School of Management’ among practitioners. The primary contributions of the
Classical School of Management include: (i) application of science to the practice of
management; (ii) development of the basic management functions; and (iii) articulation
and application of specific principles of management.

2.2 Scientific management school

Frederick Winslow Taylor (1856-1915) is considered to be the father of ‘Scientific

Management’. Subsequently, he was supported by Henry Gantt, George Berth, Edward
Felen, Lillian Gilberth and Harrington Emerson. Four basic parts of a series of ideas
developed by Taylor are as under:

- Each person’s job should be broken down into elements and a scientific way to
perform each element should be determined;
- Workers should be scientifically selected and trained to do the work in the
designed and trained manner;
- There should be good cooperation between management and workers so that tasks
are performed in the designed manner;
- There should be a division of labour between managers and workers. Managers
should take over the work of supervising and setting up instructions and designing
the work and the workers should be free to perform the work themselves.
 Thus the Scientific Management provides a logical framework for the analysis of problems.
Taylor’s contributions can be described in two parts: elements & tools of Scientific
Management; and principles of Scientific Management.

(a) Elements and Tools of Scientific Management

Taylor conducted various experiments to find out how human being could be made more
efficient by standardizing the work and better methods of doing the work. These
experiments have provided the following features of Scientific Management:
i. Separation of Planning and Doing:
This means the planning should be done by the supervisor and the worker should
emphasize only on operational work.
ii. Functional Foremanship:
Taylor evolved this concept based on specialization of functions. In this system,
four persons are involved in planning (route clerk, Instruction card clerk, Time &
Cost clerk, and disciplinarian); and another four persons are concerned with
doing the work (speed boss, inspector, maintenance foreman, and gang boss). All
of them give instructions to workers on different aspects of work.
iii. Job Analysis:
This helps in fixing fair amount of work so that there are least movements,
consequently less time and less cost. Taylor also suggested making fatigue study
and calculating time for the rest period of the workers to complete the job.
iv. Standardization:
This is required to be maintained in respect of instruments and tools, period of
work, amount of work, working conditions, cost of production, etc. This should be
fixed in advance.
v. Scientific selection and Training of Workers:
Selection should be made keeping in view the qualifications, experience, aptitude,
physical strength, etc. of the workers. Most suitable persons should be selected
fairly and then necessary training should be given to them before putting them on
work.
vi. Financial Incentives:
For motivation, good workers should be rewarded, given higher pay and promotion.
This would lead to efficiency and more work.
vii. Economy:
 Taylor suggested that due consideration should be given to economy and profit,
which can be achieved by eliminating wastage of resources and making the
resources more productive.
viii. Mental Revolution:
There should be mental change in management as well as workers from conflict to
cooperation. Taylor says that this is the most important feature of Scientific
Management because, in its absence, no principle of Scientific Management can
be applied.

(b) Principles of Scientific Management

The fundamental principles propounded by Taylor are as under:

i. Replacing Rule of Thumb with Science:

While the use of scientific method denotes precision in determining any aspect of
work, rule of thumb emphasizes estimation. Hence it is essential that all details
should be measured precisely and should not be based on mere estimation. This
approach can be adopted in all aspects of management.
ii. Harmony in Group Action:
Group harmony suggests that there should be mutual give and take situation and
proper understanding so that group as a whole contributes to the maximum.
iii. Cooperation:
Scientific management involves achieving cooperation rather than chaotic
individualism. It is based on mutual confidence, cooperation and goodwill between
management and workers.
iv. Maximum Output:
Continuous increase in production and productivity instead of restricted production
either by management or by workers would lead to more profit.
v. Development of Workers:
In Scientific Management, all workers should be developed to the fullest extent
possible for their own and for the organization’s highest prosperity. It requires
scientific selection of workers, their proper training and regular updating according
to the requirement of new methods of working.

Thus the Scientific Management created awareness about increasing operational

efficiency. However, from the point of view of the development of theoretical
framework, the principles of Scientific Management were more concerned with
 problems at the operating levels and did not emphasize management of an
organization from the manager’s point of view. That is why; some critics are of the
opinion that Scientific Management is more relevant form the engineering point of
view rather than the management point of view. In its early development, Scientific
Management had little concern for the external environment of the organisation
and was almost exclusively concerned with internal operations. It also placed little
emphasis on the needs of the workers, instead of focusing on producing better
results.

2.3 Operational management school

Henry Fayol (1841-1925), a French industrialist is the chief architect and father of the
‘Operational Management Theory’. It is also known as ‘Administrative Management School
of Thought’. He concentrated on the role that managers should perform as planners,
organizers and controllers. He was of the opinion that managers needed basic principles
upon which to operate. Henry Fayol was the first to write about the functions of
management such as planning, organizing, command, coordination and control. He
propounded fourteen ‘Principles of Management’, which are listed below (Source: Fayol,
Henry. General and industrial management. Trans. Constance Storrs. New York: Pitman ,
1949, pp. 22):

Division of Work: There should be a clear division of duties. Breaking jobs into smaller
pieces will results in specializing. Management should be separate and distinct.
Authority: The authority that individuals possess should be equal to their responsibility.
Anyone responsible for the results of a task should be given the authority to take the
actions necessary to ensure its success.
Discipline: There should be clear rules and complete obedience to behaviour in the best
interest of the organization.
Unity of Command: An employee should receive orders from only one supervisor, in
order to avoid confusion and conflict.
Unity of Direction: There should be one head and one plan, in order to ensure a
coordinated effort.
Subordination of Individual Interest to the General Interest: Employee should place
the organization’s concerns before their own interests.
Remuneration of Personnel: Pay should be fair.
Centralization: Centralization is the most desirable arrangement within an organization.
 Scalar Chain: Each position is part of a vertical chain of authority (the scalar chain).
Communication should move up and down this chain of command.
Order: To avoid conflicts, there should be a right place for everything and everyone in
the organization.
Equality: Equality of treatment must be taken into account in dealing with employees.
Justice should be tempered with kindness.
Stability of Tenure of Personnel: Long term stability for workers is good for an
organization.
Initiative: Initiative rewards must be provided to stimulate production.
Esprit de Corps: Develop a strong sense of morale and unity. Communication is the key
to a satisfied working group.”

Henry Fayol was of the opinion that the workers are generally lazy in nature, especially
when they work in groups. Discipline is very essential for getting the work done. They can
be motivated by the incentive of higher wages for more work or better work.

Thus, the above mentioned schools of classical perspective emphasized efficiency and
clear rules for effective management. They gave more importance to the interests of the
organisation rather than those of the workers. These schools of thought are generally
criticized for giving undue emphasis on the formal aspects of organisations and neglecting
the effects of individual personalities, conflicts within the organisations and decision
making process on the formal structure. According to Stueart and Moran, these classical
schools of management thoughts have been criticized as leading to rigidity and resistance
to change. Yes, the theories of these schools provided a way to efficiently organise and
manage the large organisations. Even today, many organizations including libraries and
information centres depend heavily on the classical school of management thoughts.

2.4 Bureaucratic school

Max Weber, a German Sociologist, introduced many of the theories of the Bureaucratic
School. He was the first to articulate a theory of the structure of authority in organisations
and to distinguish between power and authority, and between compelling action and
voluntary response. According to Stueart and Moran, he was more concerned with the
structure of the organisation than with the individuals. Most of his writings and research
relate to the importance of specialization in labour, of regulations and procedures, and of
the advantages of a hierarchical system in making informed decisions. Weber
characterized a bureaucratic organization as an ideal type of organisation in which:
 - Labor is divided with a clear indication of authority and responsibility;
- The principle of hierarchy exits;
- Personnel are selected and promoted based on qualifications;
- Rules are written down and applied uniformly and impersonally;
- Promotion into management is only through demonstrated technical competence;
and
- Rules and procedures ensure reliable and predictable beahviour.
Weber advocated that all the above characteristics of Bureaucratic school are extremely
powerful and the bureaucracies work well under many conditions, especially in stable
organisations and in stable environments. Many large organizations, including many
libraries, have been structured to reflect Max Weber’s Bureaucratic School of
Management thought.
In the views of L. M. Prasad, many authors have questioned the validity of bureaucracy.
In most of the cases, either the conditions are not found in practice, or even if found, may
not result in to efficiency. Especially the following aspects of bureaucracy work against
efficiency of the organisation, though they are supposed to contribute to efficiency:
- Rules are often provided for guidelines but often they become source of
inefficiency because of too much emphasis on rules;
- Rigid organizational hierarchy works against efficiency. It emphasizes necessary
superior-subordinate relationship which are detrimental to congenial
organizational climate; and
- In dealing with people, total impersonal approach cannot be adopted because
people have emotions, feelings and sentiments which affect decision making.
Thus people cannot work totally according to rules.
Bureaucratic structure can work well when environment is highly static and predictable.
However, the nature of environment for large organisations of today is highly dynamic and
heterogeneous, in which more interaction between organisation and environment is
required. There is high need for information monitoring and processing. Thus an open
system perspective is more suitable for the management of modern day organisations,
while bureaucratic structure has closed-system perspective.
3. Neo-classical theory
The schools of management thought developed during the period 1930’s to 1960’s are
known as ‘Neo-Classical School of Thought’, which are discussed as follows:

3.1 Human Relations School

Prominent advocate of this approach was Elton Mayo. Two other co- researchers of this
school were F. J. Roethlisberger and William J. Dickson. Subsequently Mary Parker Follett
also contributed to this school of thought. Mayo, Roethlisberger and Dickson conducted
studies at Hawthorne Illinois plant of Chicago Western Electric Company, which became
famous as ‘Hawthorne Experience’ or ‘Hawthorne Studies’ later. Developed during the
middle of the 20th Century, this approach emphasizes the complexity of mankind and
devotes much more attention to the satisfaction of human needs within the organisations.
As the management involves getting things done with and through people, the study of
management must revolve round human behaviour. That is why, it is also known as
‘Behavioural Science School’ or ‘Organizational School’ or ‘Leadership School’. This
approach brings the study of human behaviour ranging from personality dynamics of
individuals at one extreme to the relations of culture at the other extreme. Therefore, this
approach can be divided into two groups: ‘Interpersonal Behaviour Approach’, and ‘Group
Behaviour Approach’. While the interpersonal behaviour approach is based upon
individual psychology, the group behavior approach relies on social psychology and
emphasizes on organizational behavior. The main assumptions of the ‘Human Relations
School’ are as under:

- As management is a process of getting things done by people, managers

should understand human behaviour;
- Motivation and good human relations should be the base for better
productivity; and
- Motivation, leadership, communication, participative management and group
dynamics are the major themes of this approach.

But human behavior is not the total field of concern of the manager. Wherever secrecy of
decision is required and when decisions have to be made quickly on emergent basis, this
approach may not work. The Human Relations School is considered to be a swing in the
opposite direction of classical theory. Here, only ‘Human variables’ have been considered
as critical and all other variables have been ignored altogether. Every organisation is
made up of a number of diverse social groups with incompatible values and interests.
These groups might cooperate in some sphere, while these may compete and clash in
others. In fact, it is very difficult to satisfy every body and turn the organisation in to a big
happy family. Moreover, the techniques of Human Relations School try to play a trick on
the workers to create a false sense of happiness and not really concerned with their real
 well being. Like Scientific Management, efforts and research in Human Relations focused
on the lower levels of organisation, rather than on the middle and upper groups, and
hence, lacked the comprehensive scope.

3.2 Social systems school

Chester I. Barnard is considered the father of the ‘Social-Systems School’, which is

sociologically oriented. In looking for and seeking fundamental explanations about how
managerial processes take place, Barnard developed a theory of cooperation based on
the need of the individual to offset personal, biological, physiological and sociological
limitations. It defines cooperation as a system in which people are able to communicate
with one another and willing to coordinate their efforts to a unified end result. According to
G. Edward Evans, this style also recognizes that some interactions are conditioned by the
informal organisations. Leadership and other characteristics of individuals exhibited in
informal situations may not coincide with their leadership role in the formal organisation.
Social–systems adherents also recognize that what happens on the job is strongly
influenced by social activities taking place within the social system, i.e., outside the
organisational system, and by other organizations.

According to Evans, the ‘Social-Systems School’ has made a great many contributions to
management theory. The recognition of the organisation as a social organism, subject to
exactly the same problems and pressures the individual is subject to, has proved to be
very helpful to the practicing manager. With its emphasis on social interaction and
cooperation, this school utilizes a great deal of background material about the non-rational
side of human and organisational behaviour.

The major contributions of Chester Barnard can be presented as under:

i. Concept of Organisations
In the opinion of Barnard, an organisation exists when there are persons able to
communicate with each other; they are willing to contribute to the action; and they
attempt to accomplish a common purpose.
ii. Formal and Informal Organisations
The formal organisation has consciously coordinated interactions, which have a
deliberate and common purpose. On the other hand, the informal organisation
refers to those social interactions which do not have consciously coordinated joint
 purpose. The informal organisations exist to overcome the problems of formal
organisation.
iii. Elements of Organisation
According to Barnard, there are four elements of formal organisation, which are:
(a) a system of functionalization so that people can specialize; (b) a system of
effective and efficient incentives so as to induce people to contribute to group
action; (c) a system of power which will lead group members to accept the
decisions of the executives; and (d) a system of logical decision making.
iv. Authority
Barnard does not agree with the classical theory that the authority transcends from
the top to down. Rather, he gave a new concept of authority called “Bottom–up-
authority”. He says that a person does not obey an order because it has been
given by a superior but he will accept a communication as being authoritative only
when he feels that: (a) he can understand the communication; (b) he believes
that it is not inconsistent with the organisational purpose; (c) he believes it to be
compatible with his personal interests as a whole; and (d) he is mentally and
physically able to comply with it.
v. Functions of the Executive
Three types of functions of an executive have been identified by Barnard, which
are: (a) maintenance of organisational communication through formal interactions;
(b) securing of essential services from individuals in the organisation to achieve
the organizational purpose; and (c) formulation and definition of organizational
purpose.
vi. Motivation
Some of the prominent non–financial techniques for motivating people to work,
as suggested by Barnard are: opportunity of power and distinction; pride of
workmanship; pleasant organisation; participation; mutual supporting personal
attitudes; and feeling of belongingness.
vii. Executive Effectiveness
Leadership is the most strategic factor in securing cooperation from the people. It
demands high caliber, technological competence, and technical as well as social
skills. The executive leadership should not have pre-conceived notions and false
ideologies. It should be personal pre–dilections and prejudices.
viii. Organizational Equilibrium
 It refers to the matching of individual efforts and organisational efforts to satisfy
individuals. The cooperation of individuals with the organisation brings forth new
activities. The organisational equilibrium can be perceived not only through logical
appraisal but through analysis and intuition. Thus, many non–logical factors also
enter into organisational analysis. Therefore, the reasons for an action should not
only be logical but must appeal to those attitudes, pre-dilections, prejudices,
emotions and mental background that cover action.

The above contribution of Barnard shows how he was concerned for the
development of the organisation through social systems. According to L.M. Prasad,
his contributions are regarded quite high in management.

3.3 Decision theory school

Major contribution of this school of thought has come from Simon. Other contributors are:
Cyert, March, Forrester, etc. The emphasis of this school is that decision making is the job
of every manager. In other words, manager is a decision-maker while organisation is a
decision making unit. Rational decisions are required to be made for achieving the goal.
According to L.M. Prasad and G. Edward Evans, ‘Decision- Theory School’ has the
following features:

- Management is essentially for decision making;

- The members of the organisation are decision-makers and problem solvers;
- Organisations can be treated as a combination of various decision centres. The
level and importance of organisational members are determined on the basis of
importance of decision which they have to make;
- Quality of decisions affect the organizational effectiveness; and
- All factors effecting decision-making are the subject matter of study of
management. Besides processes and techniques involved in decision-making,
other factors affecting the decisions are: information system, social and
psychological aspects of decision makers. Thus it covers the entire range of
human activities.

The Decision-Theory School has provided management and the library managers in
particular, with a very useful means for developing techniques to be used to identify and
then attack the problems systematically. This school of thought is applicable in all types of
organisations even today.
3.4 Management science school

It is also known as ‘Mathematical School’ or ‘Quantitative Measurement School’. It is a

system that can be understood by many people who have no particular grasp of the
concepts of management itself, but who can understand the mathematical symbols. It is
easy to communicate in this way as it is logical and consistent.

It is particularly useful in solving complex problems, and in bringing about a more

logical arrangement for information sources and data, in order to make the quantification
process easier to carry out. The primary focus of this approach is the mathematical
model, through which the managerial and other problems can be expressed in basic
relationships and, where a given goal is sought, the model can be expressed in terms
which optimize that goal. According to L.M. Prasad, this school of thought draws many
things from the “Decision Theory School”, and in fact provides many techniques for
rational decision making. The major features of this school of thought are as under:

- Management is regarded as the problem solving mechanism with the help of

mathematical tools and techniques.
- Management problems can be described in terms of mathematical symbols and
data. Thus every managerial activity can be quantified.
- This approach covers decision making, systems analysis and some aspects of
human behaviour.
- Operations research, mathematical tools, simulation, models, etc. are the basic
methodologies to solve managerial problems.

This school of thought is a fast developing one in analyzing and understanding

management. It has contributed significantly in developing orderly thinking in
management, which has provided exactness in management discipline in solving
managerial problems. But it does not provide the answers for the total managerial
problems. Moreover, many managerial activities are not really capable of being quantified
because of the involvement of human beings, who are governed by many irrational factors
also. The researchers in this school have advanced managers’ awareness of how
models and quantitative techniques can be used in the planning , controlling and
decision making processes.

3.5 Human behavior school

This school of management thought is also known as ‘Behavioural Science School’, or
‘Human Resource School’, or ‘Leadership School’ of thought. In contrast to the ‘Human
Relations School’, which assumes that happy workers are productive workers, the
‘Human Behaviour School’ has been goal and efficiency oriented and considers the
understanding of human behaviour to be the major means to that end. This school has
more emphasizes on human resources in an organisation as compared to physical and
financial resources.

As this school studies human behaviour ranging from personality dynamics of individuals
at one extreme to the relations of culture at the other, this can be divided into two
groups: (i) Interpersonal Behaviour School; and (ii) Group Behaviour School. The
writers on the first group are heavily oriented towards individual psychology; while the
writers on the second group rely on social psychology and they emphasize on
organisational behaviour.

Sociologists like Holmans, Bakke, Lewin, Katz and Kahn have studied human behavior in
groups and have emphasized on group behaviour. As summed up by L.M. Prasad, the
major conclusions of the contributions made by behavior a lists are as under:

People do not dislike work. If they have helped to establish objectives, they will want to
achieve them. In fact, job itself is a source of motivation and satisfaction to employees.
Most people can exercise a great deal of self-direction, self-control and creativity than are
required in their current job. Therefore, there remains untapped potential among them.

- The manager’s basic job is to use the untapped human potential in the service of
the organisation.
- The manager should create a healthy environment wherein all subordinates can
contribute to the best of their capacity. The environment should provide a healthy,
safe, comfortable and convenient place to work.
- The manager should provide for self-direction by subordinates and they must be
encouraged to participate fully in all important matters.
- Operating efficiency can be improved by expanding the subordinate influence, self-
direction and self-control.
- Work satisfaction may improve as a ‘by-product’ of subordinates making full use of
their potential.
 Almost all the above listed characteristics put forth by the advocates of ‘Human Behviour
School’ are applicable in the management of libraries and information centres.
4. Modern Theory
The following schools of management thought propounded during 1960s onwards
can be classified as ‘Modern Approach’ or ‘Modern Theory’

4.1 Systems approach or system school

One of the most widely accepted theoretical basis for modern management is called
‘Systems Approach’ or ‘Systems School’. System is defined as ‘a set of elements
standing in interrelation among them and with the environment. The really important
aspects are the interaction among the elements to create a whole and dynamic system.
This system, if it is an open one, interacts with its environment’. The system is influenced
by the environment and in turn influences the environment. If the system is dissected, it
becomes evident that it comprises a number of sub-systems. Similarly, an organization is
also one sub-system of a larger environment.

According to Stueart and Moran, the older schools of management envisioned

organisations as closed system, ones in which the outside environment did not interact
with the system. The systems approach to management differs from these older
classical perspectives because it acknowledges the impact of the outside environment
on everything that happens within an organisation. System theory envisions
organisations as porous entities that are greatly affected by the outside environment. As
computer related technology was introduced into organisations, a new style of approach,
which became known as the ‘System Approach’, began to emerge. This approach likens
an organization to a system similar to that used in computers. The primary approach is to
model the ideal organizational design. According to Toney Dawson, this theory claims that
an organisation consists of a number of sub-systems. The examples of such sub-systems
are:

a. Production/Technical: This sub-system provides the primary function or purpose

of the organisation. The examples would be the production lines of industrial
enterprises or, in the public service context, social service homes or hospitals.
b. Supportive: This sub-system supports the production sub-system. For instance, it
procures inputs and resources (e.g., procurement functions) or disposes of
products (e.g., sales and dispatch functions).
 c. Adaptive: This sub-system ensures that the organization adapts to changing
circumstances. An example would be the research function.

Every system has flow of information, material and energy. These inputs get
converted into outputs of goods, services and satisfaction in the organisation. This
change process is synergistic. Synergy means that the output of a system is
always more than the combined output of its parts. In other words, these inter-
related parts become more productive when they act in cooperation and interaction
rather than in isolation. A system adapts and adjusts to the changing conditions of
its environment and exercises control over its operations through feedback.
Information flows to appropriate people as feed back to carry out this function.
Systems approach possesses the conceptual level of managerial analysis much
higher than other approaches.

Systems school suffers from two limitations, i.e., firstly, it is too abstract to be of
much use to practicing managers. It merely indicates that various parts of the
organisation are inter-related. But it fails to spell out precise relationships among
these; secondly, it lacks universality and its precepts cannot be applied to all
organisations. For example, systems approach provides modern structural forms,
cybernetic system for control and communication. These systems are suitable for
large and complex organisations but are not suitable for smaller organisations.
Looking into these shortcomings, researchers have tried to modify the systems
approach. This attempt has led to the emergence of a separate approach, called
Contingency or Situational approach.

4.2 Contingency approach or contingency school

It is also known as ‘Situational Approach’. The basic idea of Contingency Approach is

that there cannot be a particular management action which will be suitable for all
situations. Rather, an appropriate action is one which is designed on the basis of external
environment and internal states and needs. Contingency theorists suggest that systems
approach does not adequately spell out the precise relationship between organisation and
its environment. The Contingency School tries to fill this gap by suggesting what should be
done in response to an event in the environment.

Beginning in the 1970’s, the Contingency School became one of the most influential ways
of thinking about management. This concept takes the situational approach. It considers
the circumstances of each situation and then decides which response has the greatest
chance of success. According to Chimezie A.B. Osigweh. The Contingency Approach or
Situation Approach asserts that:

- There is no best managerial technique;

- There is no best way to manage;
- No technique or managerial principle is effective all of the time; and
- Should the question be posed as to what works best, the simple response is ‘It all
depends on the situation’.

Tony Dawson illustrates that the organisations faced with a stable environment might find
centralized decision making structures to be more suited to its need; alternatively an
organisation with a varied environment might find decentralized structure more applicable.
Similarly, small organisations might be better organized through strong central control; the
larger organisation might find decentralized structures more suitable. Again, the
organisations with well educated and trained workforce might find that centralized
structures are resisted by its employees; whereas less educated but trained workers
might be more satisfied with centralized management structure. As such, environment,
size and personnel of organisation are the factors which decide as to which structure is
most suitable for a particular organisation.

Thus, it is evident that ‘Contingency School’ is an improvement over the ‘Systems School’.
The shortcomings of the Systems School have been removed or modified in the
Contingency School. But it has not been acknowledged as a unified theory of
management because it suffers from some limitations, which are of the following
nature:

- Research is still being conducted to spell out various types of actions which can be
taken under different situations. Adequate literature is not available on this issue
for the time being.
- It seems simple to say that the managers should do according to the need of the
situation. But practically it is not always possible for the managers to do thorough
analysis to find the best way as they are always short of time. They resort to short
cut and easier ways. Thus the situation can, sometimes, lead to complex problems.
- For empirical testing of a theory, it is necessary that some methodology is
available. But due to changed situations and involvement of too many factors, the
empirical testing became rather more difficult.
 - Contingency approach is basically reactive in nature and it is not proactive. This
sometimes leads to problems for the manager to provide directions and guidance.
Despite some limitations of the Contingency School, it is working very well. The managers
should take action as per situation and using their skills. They have to take into account
the goals of the organisations, the technology used, the people of that work there, the
outside environment, and a number of other factors before taking the final decision how to
manage.

4.3 Learning organisation school

This approach was first put forth by Peter Senge during 1990s. As the name implies, a
‘Learning Organisation’ is one in which all employees are constantly learning. They keep
focusing on identifying and solving the problems within the organisation, at all levels.

According to Stueart and Moran, the learning organisations maintain open

communications and decentralized decision making. The organisation can overcome
limitations, understand the pressures against it and seize opportunities. The basic
principles of the Learning Organisation School are as follows:

- Personal mastery with people identifying what is important in the process;

- Mental models, with the organisation continuously challenging members in order
to improve their mental models;
- Shared vision, requiring an imagining of what the organisation should be;
- Team learning, through cooperation, communication, and compatibility; and
- Systems thinking, recognizing the organisation as a whole.

As the managers have to act as leaders, they assume the role of innovator, director,
coordinator, monitor, facilitator and teacher. The Learning Organisation School seems to
be a good fit as more organisations are making shift from the ‘Command-and-control
organisation’ to ‘Information-based organisation’. The theory of Learning Organisation is
being applied to more and more organisations these days. It is being applied in various
types of libraries and information centres also, now-a-days, in different parts of the world.

Evans has made an attempt to see the development of library management as a parallel
to development of schools of management theories. He found that same pattern in
library management theory as that in business with starting point at a much later time
in library management. Almost all schools of management thought have been and are
being applied in different types of libraries and information centres all over the world.
 Principles of Scientific Management are invariably being applied in the libraries.
Bureaucratic school is being followed in certain libraries even today. In recent times,
Quantitative technique, Systems theory and Behavioural Science approach are being
followed to library and information centre management. Evan suggests the need of unified
theory of library management.

5. Summary

In this module, we have discussed management theories. Management theories address

how managers and supervisors relate to their organizations in the knowledge of its goals,
the implementation of effective means to get the goals accomplished and how to motivate
employees to perform to the highest standard. The evolution of the schools of
management thoughts can be grouped in three categories, viz. Classical, Neo-Classical
and Modern theories of management. Management theories are implemented to help
increase organizational productivity and service quality. Not many managers use a
singular theory or concept when implementing strategies in the workplace. They
commonly use a combination of a number of theories, depending on the workplace,
purpose and workforce. Human Relations School, Contingency theory, Chaos theory and
systems theory are some of the popular management theories.

In libraries and information centres too these theories are applicable. The continued use,
development, and refinement of those thoughts and techniques in library management
results in more efficient and effective library service.

6. References

1. Albers, H. Principles of management: A modern approach. New York: Wiley, 1969.

2. Bryson, Jo. Effective library and information centre management. Aldershot, Hants:
Grower, 1990.

3. Evans, G Edward. Management techniques for librarians. New York: Academic Press,
1976. pp. 17-31 & 34-50

4. Fayol, Henry. General and industrial management. Trans. Constance Storrs. New York:
Pitman, 1949. pp. 22

5. George, Claude S., Jr. The history of management thought. 2n d ed. Englewood cliffs, N.J.:
Prentice Hall, 1972. pp. 12.
6. Hodgetts, Richard M. Management: Theory, process and practice. Philadelphia :
Saunders, 1975. pp. 113.

7. McFardland, Dalton L. Management : Principles and practices. 4th ed. New York :
McMillan Publishing, 1974.

8. Prasad, L.M. Principles and practice of management. 6th ed. New Delhi: Sultan Chand &
Sons, 2006. pp. 39-76

9. Senge, Peter M. The fifth discipline: the art and practice of the Learning organisation.
New York : Doubleday, 1990

10. Stueart, Robert D. and Moran Barbara B. Library and Information centre

11. management. 7th ed. Westport: Libraries Unlimited, 2007. pp. 19-40.

12. Terry, G. R. Principles of management. 6th ed. Homewood, Illinois: Irwin, 1972.

13. Tripathi, P. C. and Reddy, P. N. Principles of management. 2nd ed. New Delhi: Tata
McGraw-Hill, 1991.

14. Weber, Max. The theory of social and economic organisations. Edited & translated by A.
M. Henderson and T. Parsons. Oxford: Oxford University Press, 1947.

15. Worrell, Diane. “The learning organisation: Management theory for the information age or
new age fad?” Journal of Academic Librarianship. Vol 21, Sept. 1995. pp. 356.
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 04 Total Quality Management

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Ishwar Bhat
Content Writer Chief Librarian, Presidency University

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 4

TOTAL QUALITY MANAGEMENT IN LIBRARIES

I. OBJECTIVES

The objectives of the unit/module are:

- To highlight the importance of quality in libraries;

- To explain the evolution of TQM and to know how it compares with traditional
management and Six Sigma;

- To explain the principles, basics and tools of TQM, and benefits of TQM in libraries;

- To discuss the areas in libraries where TQM is applicable;

- To identify the areas for TQM in public, academic and special libraries; and

- To discuss the barriers to the success of TQM.

II. Learning Outcomes

After going through this unit/module you would understand that quality service is a
prerequisite for the successful library and information centre. You would learn the
concept of quality and Total Quality Management (TQM), quality concerns and areas for
application in libraries and information centers; difference between TQM and traditional
management, process of TQM (Plan, Do, Check, Act) and tools, and benefits and
barriers of TQM.

III. Structure
1. Introduction

1.1 What is quality?

2. Need for Quality In LIS Sector

3. TQM - Introduction

4. TQM: What, How and Principles

4.1 Principles of TQM

4.2 TQM Vs Traditional Management

1
 5. History of TQM

6. Process of TQM: Stages of TQM

6.2 Plan

6.2 Do

6.3 Check

6.4 Act : Standardization and Control

6.5 Conclusions and Future Plans

7 TQM Tools

8 Benefits of TQM for Libraries

9 Areas in LIS Sector where TQM is Applicable

10 Barriers to TQM in Libraries

11 TQM in Public, Academic and Special Libraries

12 TQM Vs Six Sigma

13 Summary

14 References

1. Introduction

In this module, we will discuss the concept of quality and its role in management. After
quality is defined, its importance will be highlighted. Besides this, the concept of total
quality management referred to as TQM will be explained. Quality involves the entire
operational aspects of an organization from beginning to end involving producers,
suppliers and users of any product that also includes information. Contributions of early
proponents of quality reveal that in modern oganisations quality and total quality
management has a vital role to play. The areas where TQM is applicable will be
enumerated. Lastly, the tools of total quality management and barriers to the success of
TQM will be covered.

1.1 What is quality?

The origin of the quality concept and quality management for the production of goods
can be traced to the start of industrial mass production. W. A. Sheward’s theory of the

2
Economic Control of Quality of Manufactured Products of 1931 (Sheward, 1931)
can be regarded as a milestone.

Many people have incoherent ideas about quality and some of them even like to equate
quality with expense. However, we know that it is possible to pay a high price for an
inferior product or service. And also, often high quality goods and services at a lower
price can be obtained. Modern concept of quality is defined as a conformance to
requirements and requirements are defined as the task to be accomplished in meeting
customer needs. Quality cannot be assured by mere inspecting the products or service;
the customer satisfaction has to be designed into the whole system. The confirmation
check then makes sure that the things are according to a plan. In other words, the
objective of quality improvement is not to screen out bad products, but to develop
production processes so that the defects can be eliminated completely.

According to Michael Maccoby, the definition of quality for the industrial age is meeting
or exceeding the customer’s expectations in terms not only of beauty, usability and
durability, but also cost and timeliness of delivery (Maccoby, 1993).

Philip Crosby, a TQM Guru, defines quality as “Conformance to requirements” (though

the requirement may not fully represent customer expectations). (Crosby, 1979).

According to Peter Drucker, “Quality in a product or service is not what the supplier puts
in. It is what the customer gets out and is willing to pay for” (Drucker, 1985).

Another TQM Guru, Joseph M. Juran defines quality as “ fitness for use”. Fitness is
defined by the customer (Source: http://asq.org/glossary/q.html. Retrieved on
8.12.2012).

As per American Society for Quality, "Quality denotes an excellence in goods and
services, especially to the degree they conform to requirements and satisfy customers."
(Source: http://asq.org/glossary/q.html. Retrieved on 10.12.2012)

Thus the definition of quality varies. However, one thing which is common among the
above definitions is the centrality of the customer. One can summarize that quality is
nothing but meeting or exceeding customer’s expectations in relation to use of a
particular product or service. It is the customer (and not the producer or service
provider) who judges the quality, irrespective of the cost of the product, its looks or other
attractive features.

3
Quality is not something that is asserted by the manufacturer, it is perceived by the
customer. Therefore, quality will happen only when the manufacturer’s specification(s)
matches with the customer’s expectations. Quality is not something that is negotiable,
correctable or adjustable. It is doing things right the first time, every time and all the time.

Chakraborty (a) clarifies the quality concepts as follows:

Quality improvement is not: Quality improvement is:

Slogans, banners and speeches A basis of belief in the power of

quality improvement

A program overlay or ‘flavor of the An understanding that continuous

month’ quality improvement will lead to
improving business results

Product quality or output inspection in Woven into the fabric of day-to-day

manufacturing management process

The other person’s responsibility The integration of business planning,

the objective setting process, and the
first important step for a life long
journey.

A department or office A long term investment. Patience is

the key

The top telling middle what the bottom Constant education and training –
should be doing to improve quality Total quality starts and ends with
training

“Microwave” management Total involvement – management,

employees, suppliers and customers.

4
 Further, Chakraborty (a) says that the following changes are required in the Indian
context to make quality happen:

(i) Every organization needs to understand that it exists to serve the customers. It is of
utmost importance to not only know very precisely and clearly what the customer wants
but also have to provide that to him.

(ii) Feeling that the customer asking for the moon should go. If he is really asking for the
moon, the best option would be to either give him what he wants or politely tell him to go
somewhere else instead of trying to make him believe that he should be satisfied with
what he is getting.

(iii) Satisfying the demanding customer is not easy. But it is the demanding customer who
implicitly expresses faith and confidence with the ability of the producer. He would stay
only if the supplier chooses to stay with his demands. And the demands can be met
when the production systems are made viable to cater to the increasing variety of
demands.

(iv) Accounting systems are to be made proactive from the present posture of being only
reactive. Accounting systems need to influence thoughts rather than work on Return on
Investment.

(v) Generation of waste can be tackled at the points of their origin. And this can be done by
the united effort of the work force when that is consciously developed through
managerial action.

2. Need for Quality in LIS Sector

(i) A commitment to quality forms the core component of the overall policy in any
organization in order to survive in a competitive environment. Quality is required to
attract or retain the customers, to attract or retain the staff and in order to earn more
revenue or get more funding.

(ii) Quality is required in order to ensure good use of our libraries. Of late, the competitions
faced by libraries are like never before and this phenomenon is noticed globally. Our
users have several options nowadays for obtaining information which includes
television, internet, free e-books, exhibitions, product literature, personal contacts,
lectures, seminars, professional events, etc. and in most cases, the information is
available free or at affordable cost. At the click of mouse or on mobile phones, our users

5
 can obtain facts, information, entertainment or knowledge which is available anytime,
anywhere and in the most user friendly way. In India, more than 25% of the population is
below the age of 25 years who have IT awareness and willingness to learn new
technologies. They do not mind investing their time and money for exploring new
methods and sources for information and bypass the traditional sources such as
libraries. The clear message is that in order to attract the users back into our libraries,
we need to maintain high quality in all aspects, i.e., resources, physical facilities,
personal service, policies and so on. The quality of library service has to match the ease
of getting information from internet or television.

(iii) Another aspect to be taken note of is the increasing expectations among the library
users due to internet. The users, having used the internet, are aware of the services the
libraries can offer and their expectations from local libraries are also going up.

(iv) Demonstration of commitment to quality definitely goes a long way in ensuring financial
support from the management and from the public.

(v) For revenue based services such as internet use, photocopy services, etc. a
demonstration of quality ensures increasing support from the users as value for money
is ensured.

(vi) A commitment to quality encourages the library staff to constantly look for newer
methods for innovation, quality and continuous improvement.

(vii) Demonstration of quality enhances the professional image of librarians as it gives the
message ‘I-mean-business’.

3. TQM - Introduction

Total Quality Management is a management approach that originated in the 1950s and
has steadily become more popular since the early 1980s. Total Quality is a feature of a
company that strives to provide customers with products and services that satisfy their
needs. The culture of the company calls for quality in all aspects of its operations, with
processes being done right the first time and defects and wastes eradicated from
operations.

Total Quality Management, i.e., TQM is a method by which management and employees
can become involved in the continuous improvement of the production of goods and

6
 services. It is a combination of quality and management tools aimed at increasing
business and reducing losses due to wasteful practices.

Some of the companies that have implemented TQM include Ford Motor Company,
Phillips Semiconductor, SGL Carbon, Motorola and Toyota Motor Company.

TQM is an enhancement to the traditional way of doing business. Three main

components of Total Quality Management are :

Total = Made up of whole or involvement of all levels in the organization.

Quality = Degree of excellence a product or service provides or conformance to

requirements agreed upon.

Management = Act, art or manner of handling, controlling, directing.

TQM applies quantitative techniques and human resources to improve all processes
within an organization and its goal is to deliver products and services exceeding
customer expectations.

4. TQM: What, How and Principles

The definitions of TQM are many and varied and the topic is quite often confused with
quality assurance. The following definition by Cook (1992) is one that fits well in the
context of service organizations such as libraries:

Total quality management (TQM) is the term applied to the approach which
organizations adopt to improve their performance on a systematic and continuous basis.
This is achieved through the involvement of employees throughout the organization in
satisfying the total requirements of every customer, whoever the customer may be--
either external or internal--and the development of processes within the organization
which are error-free.

This definition introduces three important concepts, the first of which is the recognition
that customers are not simply the "end users" (our "external" customers) but also
colleagues (our "internal" customers). Every department or organization has a series of
suppliers and customers. Suppliers are people who provide work, information, etc. for
some further processing. Then work, information, etc. is passed on to someone else who
becomes the customer. We must pay equal attention to satisfying the requirements of all
our internal customers (i.e., colleagues) as well as our external customers (i.e., library
users).
7
The second important concept in the definition is "the development of processes which
are error-free". Most people in organizations spend a large proportion of their time
correcting errors, looking for things, checking why activities are delayed, redoing things,
apologizing to customers, trying to find the right person to talk to, etc. TQM seeks to
eliminate such waste by involving everyone in improving the way things are done. It
focuses on preventing errors and waste, rather than putting them right when they occur--
getting things right the first time. In other words. developing processes which are error-
free. There is an attitudinal perspective to this also in that staff are encouraged to think
in these terms. "Good enough is not good enough!

The third concept, and one which is of crucial importance, is the fact that TQM is a
continuous process. Anyone who thinks this is a technique to use for a year or two
should discard any plans to adopt it now. It is often stated that effective TQM programs
lead to a change in organizational culture and that this is one of the most important
outcomes of the process. TQM brings a change in attitudes and the development of
skills, so that the culture of the organization becomes one of preventing failure and
working together as effectively as possible to improve continually on the services
offered.

Chakraborty (1996) explains the TQM concept as follows:

TQM is based on three basic ideas of reformation:

(i) To become customer driven instead of being self focused;

(ii) To concentrate on the process rather than being pre-occupied with results;

(iii) To use worker’s heads in addition to their hands.

It has to be understood that we are not in the business of finding customers for our
products, we are in the business of finding products for our customer. This is precisely
the foundation stone on which the entire quality philosophy is built. The customer needs’
identification has to be done on a continuous and ongoing basis in the changing world of
today.

Given experience in implementing TQM in a US library, US librarians Crit Stuart and

Miriam A. Drake (Stuart and Drake, 1993) gave the following advice :

(i) Involve everyone of staff;

(ii) Identify internal and external customers;

8
 (iii) Improve customer satisfaction;

(iv) Increase opportunities for customer interaction and feedback;

(v) Provide value added services;

(vi) Encourage innovation and efficiency;

(vii) Communicate openly; and

(viii) Identify staff training, education and development opportunities.

4.1 Principles of TQM

As discussed above, total quality management is an organization-wide philosophy with

its core values centered on continually improving the quality of its products and
services, and the quality of its processes in order to meet and exceed customer
expectations. This means that everyone in the organization - from top management to
the employees - plays a role in providing quality products and services to customers.
Even suppliers and the customers themselves are part of the TQM.

In order to exceed customer expectations, an organization must embrace the following

five principles of TQM:

- Produce quality work the first time

- Focus on the customer

- Have a strategic approach to improvement

- Improve continuously

- Encourage mutual respect and teamwork

Producing quality work (the first time) means quality is built into the processes for
producing products or providing services, and continual improvement measures are
taken to ensure that the processes work every time. Employees are empowered to
make decisions to improve a process and are provided with continual training to
develop their skills.

Focusing on the customer involves designing products or services that meet or exceed
the customer's expectations. This involves the product itself, its functionality, attributes,
convenience and even the means by which the information about a product is received
by a client.

9
 By having a strategic approach to improvement, processes are developed and tested to
ensure the product or service's quality. This also involves making sure suppliers offer
quality supplies needed to produce products.

Improving continuously means always analyzing the way work is being performed to
determine if more effective or efficient ways are possible, making improvements and
striving for excellence all the time.

Encouraging mutual respect and teamwork is important because it fosters a single-

organizational culture of excellence by knowing that every employee from top to bottom
of the hierarchy holds the same core principles at heart.

4.2 TQM vs traditional management

Important differences between traditional management and TQM are given in the
following table:

Traditional Management TQM

1 The responsibility for quality is entrusted to The whole organization is actively

the Quality Control Department. involved in developing and
maintaining quality.

2 In the traditional management model, In TQM, the lower level personnel

decisions are centralized or made from the too have a hand in taking decisions.
top flowing down. This means a manager
takes the decisions which the lower level
personnel are supposed to follow. It is very
much like the military setup.

3 Here, the leader plans objectives and
applies resources though the plans which
may be having flaws. It is a rigid system
with no scope for flexibility and
adjustments.
TQM is achieved by detecting flaws
in the system, finding solutions to
correct the plan and introduce it in
the next cycle so that the flaws are
eliminated. It is a continuous
process till TQM is achieved.

4 In traditional management, the focus is In TQM, the focus is on the

internalized. This means that the focus is customer, who may demand more
on ‘doing the best we can’ philosophy. than what the company expects of
itself. In TQM, the customer is the
final quality control inspector.

10
 5 When things go wrong, the fault is directed Fault is traced to the management
at the employees. who did not do proper groundwork.

6 This approach is reactive to customer Proactive to customer needs as only

needs as products are prepared and those products are prepared and
provided which customers may not distributed which customer desires
necessarily need. to have.

7 Emphasis is on power, micro- Empowers employees, listens to

management, fear, psychosis requiring employees and creates a fun
following the management without working environment.
question.

5. History Of TQM

The first seeds of quality management were planted as the principles of scientific
management in the US in 1920s. Elton Mayo’s Hawthorne experiments from 1927
through 1932 showed that workers participation in decision making improves
productivity. In 1930s, American physicist and engineer, Walter Shewhart developed the
methods for statistical analysis and quality control and quality charts. In 1940s, World
War II advocated for standardization, statistical control, and best manufacturing
practices.

In the 1950s, Edward Deming, an American Professor taught Japanese managers on

how to improve design (and thus service), product quality, testing, and sales (the last
through global markets) through various methods, including the application of statistical
methods.

In 1954, Joseph Juran, a Professor of Administrative Engineering in New York

University, was invited to Japan by the Union of Japanese Scientists and Engineers
(JUSE). His lectures introduced the management dimensions of planning, organizing,
and controlling and focused on the responsibility of management to achieve quality and
the need for setting goals.

In 1961, Armand Feigenbaun’sTotal Quality Control became the first work that started
many Total Quality Management theories.

In 1954, Abraham Maslow created a pyramid of self actualization needs. In terms of

work productivity, the lower levels of needs must be met prior to employees performing
at higher levels. These needs in hierarchical order are:

11
 1. Physiological which is to eat, sleep, and have shelter.

2. Safety which is to have economic and physical security.

3. Belonging which is to be accepted by family and friends.

4. Esteem which is to be held in high regard.

5. Self-actualization which is to achieves one’s best.

Historically, total quality management can be traced as below:

1920s

- Some of the first seeds of quality management were planted as the principles of
scientific management swept through U.S. industry.

- Businesses clearly separated the processes of planning and carrying out the plan, and
union opposition arose as workers were deprived of a voice in the conditions and
functions of their work.

- The Hawthorne experiments in the late 1920s showed how worker productivity could be
impacted by participation.

1930s

- Walter Shewhart developed the methods for statistical analysis and control of quality.

1940s

- World War II advocated for standardization, statistical control, and best manufacturing
practices.

1950s

- W. Edwards Deming taught methods for statistical analysis and control of quality to
Japanese engineers and executives.

- Joseph M. Juran taught the concepts of controlling quality and managerial breakthrough.

- Armand V. Feigenbaum’s book Total Quality Control, a forerunner for the present
understanding of TQM, was published.

- Philip B. Crosby’s promotion of zero defects paved the way for quality improvement in
many companies.

1968

12
 - The Japanese named their approach as total quality company-wide quality control.

- Kaoru Ishikawa’s synthesis of the philosophy contributed to Japan’s ascendancy as a

quality leader.

- TQM is the name for the philosophy of a broad and systemic approach to managing
organizational quality.

Today

- Quality standards such as the ISO 9000 series and quality award programs such as the
Deming Prize and the Malcolm Baldrige National Quality Award specify principles and
processes that comprise TQM.

6. Process Of TQM: Stages Of TQM

There are four main steps in the implementation of TQM. These are: Plan, Do, Check
and Act (remembered by the abbreviation, PDCA cycle).

6.1 Plan

The first step in the TQM process is recognizing that a problem exists. Problems may
be identified either by the user of the library or by staff operating the process
themselves. Users may provide unsolicited feedback highlighting complaints or problems
in library services. Information may also be collected by questionnaire surveys or library
committee meetings. If too many problems have been identified, priority has to be given
to problems which have the greatest impact on the users or which involve the greatest
cost to the library.

Planning also involves data collection wherein data relating to the process is collected at
the micro-level. For instance, in case of implementing TQM in the Circulation Section,
examples of data collection are :

- Number of borrowers per hour

- List of operations in the circulation desk

- Time required for each operation

- Average time spent by a reader at the circulation desk

- Operations which are of value to the user

- The operations which can be avoided in the circulation desk

13
 - Yardsticks for measurement of performance

- Personal efficiency of the circulation staff, etc.

- Impact of physical environment such as furniture, physical comforts, etc. on the

service quality.

In order to generate ideas, brainstorming techniques are used. Brainstorming allows

everybody in the team to think of their own ideas without any constraints. After
brainstorming, all ideas are discussed and those ideas which are unhelpful or duplicate
are eliminated.

Another technique to analyze the problem is by drawing a Fishbone Diagram which

analyzes the problem and the effect as given below :

While drawing the fishbone diagram, one has to go through the list of possible causes
one by one. Then decide on the team whether the problem is the result of the materials
used, the machines used (or any other aspect of the physical environment), the
operating processes or a people related problem (possibly as a result of lack of training
or motivational issues). The team has to analyze the impact that each cause and its
impact on the problem.

PEOPLE PROCESS
One person does all process
Staff not well
trained
Unnecessary processes
Frequent change of
staff Books not cleared regularly
Delay in Issue/
Return of books

Old computer
No adequate stock of stationery

Problems with
soft Issue desk is not designed well

MACHI NES MATERIALS

Figure 1: Fishbone diagram with possible causes for delay in Issue/Return of books in Circulation
Desk
14
 After analyzing the fishbone diagram, the team has to prioritize and determine which
causes have the highest impact on the performance of the system. Thus the problems
are identified.

After identifying the problem, the next step is to come up with a range of possible
solutions or hypotheses. Many times, the hypotheses are generated by hindsight. It
would be helpful to keep asking the questions, “Why?” and “How?” in order to get down
to the root cause of the problem. It is important to keep asking the question “Why?” until
one can go no further.

6.2 Do

Once possible solution is identified, trial runs must be performed. It is important to

monitor the trial runs and effects be measured. If you want to be sure about the effect of
the process change, then you should try only one variable at a time. If the change
demonstrates a positive effect, then you can incorporate the change into a new revised
process and perform further trial runs introducing further changes, until you are satisfied
that you have made as much progress as possible. On the other hand, if the change
does not make any improvement in the performance, other variables can be tried.
Though there are no guidelines regarding the duration of trial run period, we need to
make sure that the data should be sufficient enough to test the hypotheses. It is
generally accepted that around one hundred data items are needed to provide
statistically reliable information.

6.3 Check

The same statistical techniques used to help you analyze the problem will also serve to
check effects. In case of negative effect results, you will have to revisit the problem and
gain an understanding of what happened during the trial run. If you achieve anticipated
positive results, then this can be incorporated into the revised process before any
further trials. The team has to ensure that the process changes are not having any
unexpected negative effects on other related processes.

6.4 Act : standardization and control

When all trials have been completed, the new process will need to be standardized in
order to consolidate the gain and ensure that the process improvement is maintained.

15
 The process is likely to be very different from the original and a new process flowchart
and documentation should be prepared. The documentation has to be transparent and
explicit. The standardization of the new process is a means of ensuring that you have
appropriate level of control to ensure that staff can consistently deliver quality of service
which will meet the needs and expectations of the customer or user. The documentation
is followed by adequate staff training in the new processes.

6.5 Conclusions and future plans

As one TQM project closes, we need to monitor whether the process has made
significant impact on the performance and provides better quality of service to the user.
However, it is important to remember that the user needs change over time. For
instance, the needs of the library users in the 2010s is different from that of 1990s.
Therefore, systems have to be in place for continuous monitoring customer satisfaction.
Mechanisms need to be established for monitoring the customer expectations and
performance yardsticks from time to time.

7. TQM Tools

Besides PDCA cycle and the Fish Bone Diagram, the following are some of the
important tools of TQM which are being used today.

Pie charts and Bar Graphs: Pie chart uses ‘pie slices’ to show relative slices of data.
For example, v percentage of book funds allocated for different subjects in the library.
Bar graph is a graphical display of data using bars of different heights. For example,
growth in book loans during the past five years.

Histogram: Histogram is similar to bar graphs, but it groups numbers into ranges. For
example e.g., Number of readers borrowing 50-60 books in a semester.

Run Charts: Run chart displays data relating to a phenomenon over a period of time.
This helps to understand the trends, patterns, etc. For example month-wise book issues
during the past one year.

Pareto Analysis Charts: Pareto analysis helps to identify the most effective action for
solving a problem. Pareto principle, also called by name, "80/20" rule, has the
assumption that, in all situations, 20% of causes determine 80% of problems. Pareto
analysis helps to identify the top priority causes that need to be addressed to resolve the

16
majority of problems. For example What are the main reasons for delay in the release of
new books ?

Force Field Analysis: Force Field Analysis is a useful decision-making technique. It

helps you make a decision by analysing the forces for and against a change, and it helps
you communicate the reasoning behind your decision. You can use it for two purposes:
to decide whether to go ahead with the change; and to increase your chances of
success, by strengthening the forces supporting change and weakening those against it.
For example decision whether to extend the library hours by two hours. Analyse the
forces which are for and against this move.

Focus Groups: A focus group is the meeting of a small group of individuals who
participate in a discussion moderated by a trained person. The goal of the focus group
is to get their views, feedback, opinions and reactions in relation to a particular product
or service. For e.g., Get members’ feedback on increasing photocopy charges which has
become inevitable because of increasing cost of materials.

Brainstorming: Brainstorming is a technique in order to generate ideas for solving a

problem. Brainstorming combines a relaxed, informal approach to problem solving with
lateral thinking. It encourages people to come up with thoughts and ideas that can, at
first, seem a bit crazy. Some of these ideas can be crafted into original, creative
solutions to a problem, while others can spark even more ideas. For e.g., Generate
ideas on how to stop pilferage of books in the library.

Tree Diagrams: The tree diagram is representation of the full scope of a project which
comprises of various tasks. The tree starts with one item that branches into two or more,
each of which branches into two or more, and so no. The diagram looks like a tree, with
trunk and multiple branches. Tree diagram is used to break down broad categories into
finer and finer levels of detail. Developing the tree diagram helps us move our thinking
step by step from generalities to specifics. For example, Identifying goals and sub-goals
for the library marketing plan.

Flowcharts and Modelling Diagrams: A flow chart is a graphical or symbolic

representation of a process. Each step in the process is represented by a different
symbol and contains a short description of the process step. The flow chart symbols are
linked together with arrows showing the process flow direction. For example Flowchart
for describing book processing. Flowchart helps us to identify problem areas in the

17
 workflow, identify steps which need to be added or removed in order to improve the
efficiency.

Scatter Diagrams: A scatter diagram is a tool for analyzing relationships between two
variables. One variable is plotted on the horizontal axis and the other is plotted on the
vertical axis. The pattern of their intersecting points can graphically show relationship
patterns. Most often a scatter diagram is used to prove or disprove cause-and-effect
relationships. For example Relationship between photocopy charges and its usage.

Relationship Diagrams: Relationship Diagram is used to analyze cause-relationship in

the case of a complex issue. It analyzes all the relationships which exist between
factors, areas and processes. For example analysis of the reasons for drop in library
usage in a library network.

8. Benefits of TQM for Libraries

The core philosophy of TQM emphasizes that the organization exists for the customers
and all efforts are to be made in order to ensure customer satisfaction, even if it amounts
to inconvenience to the staff or some of the existing processes may have to be changed.
A continuous quest for improvement in customer service changes the thinking process
among the service providers altogether.

TQM helps the librarians in several ways as below:

(i) Improved customer service as the TQM concept is totally customer centric.

(ii) Improvement in staff motivation as TQM lays stress on empowering staff.

(iii) Elimination of wastage in terms of materials and staff time.

(iv) Improvement in library revenue in case of priced services.

(v) Reduction of user complaints.

(vi) Improvement in the use of library resources which includes reading materials,
physical facilities, equipment, software and staff.

(vii) Creation of tension free work environment leading to improved human

relationships at work.

(viii) An environment of customer friendliness and quest for innovation in order to

improve service to library users.

18
 (ix) Above all, it brings pride to work among the library staff.

9. Areas in LIS Sector where TQM is Applicable

Though TQM can be applied in most of the library work, priority has to be given to those
areas which involve repetitive work and which affect immediate customer service
whereas complex matters such as Policy making, Financial decisions, Staff training,
Library Committee matters, Marketing, Publicity and Branding, New technology
applications, Reader guidance, Performance Evaluation, etc. are not amenable to TQM.
Generally speaking, routine and repetitive jobs meant for service to customers are taken
up for TQM applications though no areas in library work is barred from TQM
applications. Some areas wherein TQM can be applied in LIS are:

(i) Service at the issue desk

(ii) Communication with the customers – emails, telephonic, spoken communication,
etc.
(iii) Books processing
(iv) Book selection process
(v) Shelving
(vi) General maintenance and housekeeping
(vii) Security gate management
(viii) Monitoring usage by means of user studies, usage statistics, etc.
(ix) Book procurement process
(x) Stock verification
(xi) Cataloguing and Data entry
(xii) Organizing meetings
(xiii) Service to internal staff such as catering, leave management, duty roster
preparation, etc.
(xiv) Reference Service
(xv) Compilation of bibliographies
10. Barriers to TQM in Libraries

TQM seeks to integrate all library functions (Book Selection and Processing, Circulation,
Readers Service, Reference Service, Maintenance, Resource Management, Marketing,

19
etc.) to focus on meeting customer needs on the one hand and library goals on the
other. TQM views the library as a collection of various processes. It maintains that
libraries must strive to continuously improve these processes by incorporating the
knowledge and experiences of the staff. Some of the barriers to the implementation of
TQM in libraries are:

(i) Lack of understanding: Many librarians have a wrong notion that quality is
expensive and therefore, no initiative is taken to improve the quality. In reality,
quality does not have to be expensive. Besides, in the long run, it saves cost,
staff time and other resources. Implementation of TQM requires only
commitment and determination.

(ii) Lack of higher expectations: Many of our library staff have a sense of
complacency and even lethargy and they do not find any driving force for making
a quality leap.

(iii) Lack of management commitment: Often, senior leadership in the libraries do

not assign importance to quality initiatives and therefore, no training is provided
to the staff in TQM techniques without which it cannot be implemented though
many junior staff are willing to participate in quality programs.

(iv) Lack of involvement of junior staff in quality programs: In many libraries, most of
the initiatives are driven by the senior staff while the junior staff only perform the
tasks assigned to them and they are not involved in new initiatives. Such an
environment is not conducive to quality programs.

(v) Inadequate resources for TQM: Quality improvement is often considered as an

unnecessary expenditure and therefore, a paltry sum is provided for staff training
and other resources. In fact, adequate resources, if provided for implementation
of TQM, will bring increasing returns in future.

(vi) Lack of user focus: In many libraries, there is a total absence of user focus and
no feedback meetings are held in order to find out how users find the library
services. Such an environment is not conducive to TQM.

(vii) Lack of training: TQM requires adequate training in Mathematics, Statistical

quality control techniques, other tools of TQM and use of related software
besides skills in communication, goal setting and customer service. Lack of

20
 training in using these tools will result in projects which are incomplete or un-
professional.

11. TQM in Public, Academic and Special Libraries

In any library, the priority areas for TQM are those which affect immediate customer
service, such as Shelving, Reference Service, Circulation, Book Processing, Security
Gate management, etc. However, in view of the different goals in public, academic and
special libraries, the following priority areas are suggested though it should not be taken
as a rule. The concerned library staff need to identify the TQM projects depending on
what is best for them.

Public libraries provide reading materials for recreation besides information materials for
self development of their users. Besides, there is a stress on reference service relating
to local information, careers, and general knowledge. Some TQM priority areas are:
Book selection, Reference Service, Circulation, Stock management including shelving,
binding and weeding.

Academic libraries lay stress on providing a conducive environment for study and
research. They usually have a large book stock and the students need guidance in using
library and its various databases for their projects. Some TQM priority areas are:
Circulation, Stock Management, Readers Orientation and Information Literacy programs
and Security Gate management.

The objective of the special libraries is to save the time of the specialists by providing
pin-pointed technical/socio-economic information. The library staff will have to organize
micro-documents besides using both printed and online resources and getting materials
from other libraries so that the output of the specialist user is enhanced. Some TQM
priority areas are: Literature Searches, Document delivery services, Organizing micro-
documents, Providing Current Awareness and SDI services.

12. TQM VS Six Sigma

Six Sigma is a set of techniques for improvement of quality processes and it was
developed by Motorola in 1986. Six Sigma seeks to improve the quality of process
outputs by identifying and removing the causes of defects (errors) and
minimizing variability in manufacturing and business processes. It uses a set of quality

21
 management methods, including statistical methods, and creates a special infrastructure
of people within the organization ("Champions", "Black Belts", "Green Belts", "Yellow
Belts", etc.) who are experts in these methods (Wikipedia). Six Sigma is being adopted
by several organizations for quality management.

TQM has been around for quite sometime before Six Sigma was introduced.

Though both TQM and Six Sigma have similar objectives, TQM is considered more as a
cultural initiative with the objective of making incremental but continuous quality
improvement in the organization. It focuses on general improvement by approaching the
problem collaboratively and culturally. Six Sigma, on the other hand,is a process
centered methodology taking quality improvement to the next level. It is more of a
statistical approach and is data driven. It aims to reducing variation in product/service
delivery and achieve near perfection by restricting the number of possible defects to less
than 3.4 per million. Six Sigma focuses on cost reduction by reducing the cost of defects,
operational cycle and wastage.

While TQM approaches quality from what the customer expects, Six Sigma implies that
quality is reflected in terms of defects, which have to be totally eliminated.

While TQM stresses on continuous improvement in performance, Six Sigma focuses on

setting minimal standards and acceptance requirements.

While TQM can be undertaken as a part time activity by teams with some training, Six
Sigma calls for staff who are certified as ‘Black Belts, Green Belts and Yellow Belts’ who
are dedicated professionals.

While a TQM activity has four main stages, i.e., Plan- Do- Check- Act, the Six Sigma
project has five stages, i.e., Define – Measure – Analyze-Improve-Control.

From the discussion above, it becomes evident that in a library, which is a socio-cultural
organization, TQM is more relevant than Six Sigma which is more suited to a
manufacturing organization.

13. Summary

Many people have incoherent ideas about quality and some of them even like to equate
quality with expense. Modern concept of quality is defined as a conformance to
requirements and requirements are defined as the task to be accomplished in meeting

22
 customer needs. Quality cannot be assured by mere inspecting the products or service;
the customer satisfaction has to be designed into the whole system.

Total quality management (TQM) is the term applied to the approach which
organizations adopt to improve their performance on a systematic and continuous basis.
This is achieved through the involvement of employees throughout the organization in
satisfying the total requirements of every customer, whoever the customer may be--
either external or internal--and the development of processes within the organization
which are error-free.

There are four steps in the TQM process : Plan, Do, Check and Act (remembered by the
abbreviation, PDCA cycle). (a) Plan - The first step in the TQM process is recognizing
that a problem exists. Problems may be identified either by the user of the library or by
staff operating the process themselves. (b) Do : Do refers to the trial runs after a
problem is identified and possible solutions are worked out. Trial runs of solutions be
monitored and effects be measured. (c) Check : Check is the third step in the TQM
process. This involves studying the actual results (measured and collected in "Do"
above) and comparing against the expected results (targets or goals from the "Plan") to
ascertain any differences. (d) Act : 'Act' is the fourth step in the TQM process. This
involves implementing the new processes by standardizing and documentation. New
processes might be very different from the original and a new processes flowchart and
documentation should be prepared. After one cycle of PDCA Cycle is over, the cycle is
repeated and this results in continuous improvement.

For TQM to succeed, what is required is a spirit of quality pervading across the entire
organization at all levels. This can be ensured only if there is an active commitment and
support from the senior management.

While Six Sigma also aims at continuous improvement in customer satisfaction and
profits, its central idea is that if you can measure how many "defects" you have in a
process, you can systematically figure out how to eliminate them and get as close to
"zero defects" as possible. To achieve Six Sigma Quality, a process must produce no
more than 3.4 defects per million opportunities. An "opportunity" is defined as a chance
for nonconformance, or not meeting the required specifications. This means we need to
be nearly flawless in executing our key processes.

14. References

23
1. Chakrabortty S.a. Quality : how to make it happen. Source not known.

2. Chakraborty S. b. Will quality happen if we got ISO 9000 ? BMA Review, pp. 37-42
(Year and volume not known).

3. Chakraborty, S (1996). TQM and organizational learning. Productivity. Vol 37(1).

4. Cook, S., Customer Care: Implementing Total Quality in Today's Service Driven
Organization, Kogan Page, London, 1992.

5. Crosby, Philip (1979). Quality is free. New York, McGraw Hill.

6. Drucker, Peter (1985). Innovation and entrepreneurship. Harper and Row.

7. Feigenbaum, Armand Vallin (1961), Total Quality Control, McGraw-Hill, New York.

8. Maccoby, Michael (1993). To create quality, first create the culture. Research –
Technology Management. Vol 36(5).

9. Sheward, W. A. (1931). Economic control of quality of manufactured products. London,

Macmillan.

10. Stuart, Crit and Drake, Miriam A (1993). TQM in research libraries. Special Libraries.
Summer 1993.

11. Six Sigma (In Wikipedia. Available at : http://en.wikipedia.org/wiki/Six_Sigma. Accessed

31 August 2014).

Weblinks

1. An overview of TQM in libraries, by G. Jayamalini. DRTC Workshop on Information

Management, 6-8 January 1999. Available at:
http://drtc.isibang.ac.in/xmlui/bitstream/handle/1849/99/Pap-cb.pdf?sequence=2.
Accessed on 6.6.2014.

2. Application of total quality management to library and information services in Indian

open universities. Available at: http://www.col.org/forum/pcfpapers/saroja.pdf.
Accessed on 6.6.2014.

3. Total quality management in academic libraries, by Petra Duren. Qualitative and

Quantitative Methods in Libraries. Vil. 1, 2012, pp. 43-50. Available at :

24
 http://www.qqml.net/papers/July_Issue/5QQML_Journal_2012_Duren_1_43-50.pdf.
Accessed on 6.6.2014.

4. University of Wollongong. Planning, policies and total quality management. Available at

: http://www.library.uow.edu.au/about/UOW026249.html. Accessed on 6.6.2014.

5. Quality management approaches in libraries and information services, by Pao-Nuan

Hsieh etal. Libri. Vol 50, 2000, pp. 191-201. Available at :
http://www.librijournal.org/pdf/2000-3pp191-201.pdf. Accessed on 6.6.2014.

6. Total quality management in libraries : Fad or Fact ? by J H Viljoen and P G Underwood.

South African Journal of Library and Information Science, 65(1), March 1997, pp. 46-52.
Available at : http://cdigital.uv.mx/bitstream/123456789/5953/2/Al7.pdf. Accessed on
6.6.2014.

Books for further reading:

1. Integrating total quality management in a library setting, by Susan Jurow and Susan
Barnard. London, Routledge, 1993.

2. Library quality, by Sara Laughlin. ALA Editions, 2009.

3. Total quality management in Central University Libraries of India, byMonawwerEqbal

and Masoom Raza. LAP Lambert Academic Publishing, 2011.

4. Application of total quality management to library and information, by Puspanjali Jena,

Pragun Publication, 2012.

5. Total quality management in university libraries, by Premchand,Authorpress, 2009.

25
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 05 Change Management

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Prof Dinesh K Gupta

Content Writer Professor, V M Open University

Retd Mrs Renu Arora

Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 MODULE 5
CHANGE MANAGEMENT IN LIBRARIES

I. Objectives

The Objectives of the unit/module include:

- Make aware of the concept of change and change management;

- Describe about the changes taking place in libraries and information centers;
- Analyze the nature of change in libraries and information centers;
- Discuss about the planning and implementation of change management;
- Implement change in libraries and information centres; and
- Describe about the resistance and overcoming resistances for change
management.

II. Learning Outcome

After going through this unit/module you will understand that change is constant and
every organisation and individual has to undergo for change not only once but time
and again. You would learn about the change and change management concept, the
factors affecting in libraries and information centres in modern times, the key
enablers of change in libraries, steps for making change happen in institutions like
libraries and steps for successful change management.

III. Structure
1. Introduction
2. Change Management
3. Why Change Occurs: Situations for Change in Libraries
3.1 External Environment
3.2 Internal environment
4. Analyzing the Nature of Change in Libraries and Information Centers
5. The Concept of Change and Change Management
5.1 Concept of Change
5.2 Content of Change
5.3 Types of Change
5.4 Models of Change Management
5.5 Responsibility for Managing Change
6. Responses to Change (Overcoming Resistances)
7. Planning for Change

1
 8. Implementing Change
9. Summary
10. References
1. Introduction

Change and its management in organizations is a key theme and topic for discussion
among managers everywhere, may it is public-funded organization or privately
owned, global or local, large-sized or small ones, in the service sector or commodity
business. The fast changing world we live in is not only creating existing
opportunities and developments but is also causing widespread uncertainty, and
often concerns everyone. This is particularly so in the information and library sector
where transformation has been taking place over a number of years.

In modern libraries, everything is changing- the processes, the services, and the
media in which information are stored and accessed. The collection of libraries has
become diverse from printed material to digital; card catalogue has been replaced
with the OPAC; manual circulation and security system is being replaced with the
barcode and RFID. The librarian -the traditional slow creature has now been
supposed to be good manager and a change leader. And the libraries-the treasure of
knowledge, have become information bureau to the extent that now we have libraries
without wall and integration of automated libraries with digital libraries is on agenda
for many librarians. There are many more changes taking place in the information
arena. It seems inescapable that every library and information center has to address
the imperative for change. In this module, you will be made aware of why such
changes are imminent in libraries and information centers; what are the key enablers
of change in libraries; what the concept of change management is and how it can
happen in institutions like libraries.

2. Change Management

Change management is the application of a structured process and set of tools for
leading the personnel of an organisation to achieve changes for a desired outcome.
Change management emphasizes the “people side” of change and targets
leadership within all levels of an organization. When change management is done
well, people feel engaged in the change process and work collectively towards a
common objective, realizing benefits and delivering results. Change management
entails thoughtful planning and sensitive implementation, and above all, consultation
with, and involvement of, the people affected by the changes. If we force change on
people normally problems arise. Change thus must be realistic, achievable and

2
 measurable. These aspects are especially relevant to managing personal change.
Before starting organizational change, questions to be asked are: What do we want
to achieve with this change, why, and how will we know that the change has been
achieved? Who is affected by this change, and how will they react to it? How much of
this change can we achieve ourselves, and what parts of the change do we need
help with? These aspects also relate strongly to the management of personal as well
as organizational change.

Change management may include the following steps:

- Perceiving a situation for change

- Analyzing the existing situations
- Conceptualizing the change and change management
- Preparing and trying out plan for change
- Overcoming resistance to change
- Implementing change
- Monitoring or reviewing change

3. Why Change Occurs: Situations for Change in Libraries

No one can escape from the environmental pressures. It is imperative for all
librarians to continually sensitive to the environmental changes, both external and
internal, to use all relevant tools and techniques to inform themselves of change in
the environment, and to understand significance of these changes for their
organization.

3.1 External environment

During the last two decades, we have seen significant changes in the economic,
social, political and technological environment. They also generate their own internal
environment that affects operations and the process, both even within an
organization. Taking a stock of the environment and its impact are necessary while
we notice the changes in an organization. The Figure 1 gives an idea as to which
aspects of library management deal with and also makes it clear that they are
influenced with the external environment and can influence the library's internal
management in turn.

3
 Environment

User
Community Fund
Providers
Govern m
ents
E E
n n
v v
Library
ir Parental Suppliers ir
o Institutio Management o
n ns n
m m
e Library e
n Interest n
Networks
t groups t

Emp loyees

Environment

Fig. 1: External Environment

Thus it is clear that libraries interact with the environment. A library gets input, energy
and materials from its environment. LIS managers need to be constantly active to
effective work in the changing environment. Thus, the overall environment in which a
library works can be divided in to two, namely, external and internal.

External pressures on libraries come from the changes taking place outside the
library world. It may be seen in context of local, regional, and international impact on
libraries and information centers. Its dimensions may include economic,
technological, and socio- political dimensions. These dimensions embody conditions
and events that have the potential to influence the organization in following ways:

Technological dimensions: Technology is the business of every organization. The

technologies offer better-featured products but need less space and more capital and
skills. The most noticeable developments are in information, communication, and
networking technologies. They are used for processing, storage, retrieval, and
transmission of large volume of information across geographical zones within little or
no time. New technologies offer services in a variety of improved ways, such as:

- Creation of new or improved services;

4
 - More involvement of customers in operational tasks by offering self- service
- system;
- Bridging the gap between small and large libraries, as IT provides an
opportunity to use the resources, services, product from remote locations
through resources sharing and networking;
- Accessible data bank, it would be helpful in recognizing the users’
information needs in a better way. Need recognition and helps in
strengthening relations with the users; and
- Personalized interaction and services are also possible.
- The globalization of information is readily apparent. Many national and
international information networks exist for free flow of information. The
technology is dramatically influencing service strategies such as:
- Modern communication infrastructures make possible service delivery at
global level;
- The increased use of IT in offering services not only globalizes but also
provides opportunities to know the services offered globally; and
- The changing nature of services due to advanced technologies, which are
radically altering the methods by which L & I centers, can globalize their
services.

The globalization of information has created the quality consciousness among users
and has increased the expectations of the user groups to a great extent. L&I centers
would have an opportunity to prove their worth at par with the world standard. This
would also alter the organizational structure. Change in size is also imminent.
Change in size and structure would be linked to change in strength of the staff and
their roles. Size, structure, strength and role of the staff will tend to change in
management style also. As such the key question is: Are there advances in
technology affecting library's collection, operations, or service design and delivery
that should be seriously considered?

Economic Dimensions: The changes caused by new economic thinking are

manifold and deeper. Public sector enterprises involved in health, insurance,
banking, telecommunications, public transport, universities and libraries are under
threat and the governments of most of the countries now prefer as a matter of social
as well as economic policies to put almost anything in private sector. Challenges of
change in any country will not be different from the rest of the world, present day
library and information centers are unable to maintain their acquisition and services
at previous level with the finances made available by the state agencies, which has

5
been cut down or remained static for the last many years. A major portion of the state
grants go for the staff salary and has become difficult for libraries and information
centers to cope up with the growth of literature into great pressures on acquisition.
Similarly, there has been a great necessity of funds for acquisition of newer
technologies to enhance service capabilities and output of products. There is also a
threat from competitors to maintain quality services, as in market economy, public
and private sector would co-exist for free flow of information. Commercial firms
engaged in production of information and its organization and retrieval would also
charge for services. Thus, the main challenges before libraries and information
centers managers are:

- To exploit resources properly and use them efficiently;

- To mobilize resources to meet the financial needs; and
- To make services and products qualitative and competitive through
accountability.

This has led the libraries to think to market their services and products and charge for
value added services, to enter into joint ventures and alliances, to bring operational
efficiency and effectiveness etc. The key question relating to economic change is:
Whether and how the changes in the economy are likely to have impact on the
operations of the library?

Socio- Political Dimensions: The process of democratization at the grass root level,
in the form of local bodies at village, block and district level; policies of up liftman of
weaker sections of the society; concept of social justice; total literacy campaign, etc.
are leading to the change in people's attitude, habits, value, and belief. At the same
time as a consequence of political decisions as regards to ownership and control
over public enterprises has put libraries to take the initiatives in tune with the
organization they serve. Such initiatives are needed in regards to goal- setting,
developing the vision, ever ready to cooperate, respond and react to the new
situations in the new environment.

Many library and information centers have taken serious initiatives and have
attempted to serve in such an environment. Many are yet to formulate their response
to the changed environment. They need to think through their vision, goals and
objectives, organizational culture, organizational and functional strategies, etc. There
are issues relating to mobilization of key resources; organizational structure;
management system and process to ensure the effective utilization of the resources;

6
 monitoring and leading the organization to see that it is moving in the right direction.
The question in this regard is: "Are social and political circumstances conducive to
the exploitation of market opportunities?”

3.2 Internal environment

Alongside external dimensions of the environmental changes, there are also internal
dimensions which library and information managers need to take into account. The
internal dimensions include physical resources, systems and people. The whole
spectrum is shown in the figure 2:

Technology

Rules Building

Finances USERS Info. Res.

Sys. &
Authorities Procedure

Human Resources

Fig 2: Internal Environment

Internal organizational factors, such as resources- human, finance, and information,

systems and procedures, rules, technology, facilities, all are there to serve users
better. Thus, the important elements of the internal environment may broadly be
grouped as, users, physical resources, systems, and people.

Customers: ' User is the king around whom all activities of the library revolve',
' Library and information centers exist to meet the needs of all its users', ‘User is the
focal point of all information activities', ‘Library and information centers are worthless
without users'…. The world is full of pious saying about users. It is mainly because of
central position of user in all components of the library. User is "the most important
entity in all kinds of libraries- public, academic and special. User may be a reader,
patron, customer, client or anyone who makes the use of services in a library set-up."

Physical resources: The most important dimension of the service quality that
represents evaluative criteria being used by customers are tangibles such as
physical facilities, information sources, equipment, communication material, etc.

7
 These tangibles are required for the comfort of users to sit and study in the library
and producing value based services/products to customers. All aspects of physical
facilities must be planned and maintained to ensure convenience, safety, cleanliness,
and comfort. Information resources must be exhaustive, up-to-date, and balanced in
order to provide pin- pointed and timely delivery of information and services with the
help of modern equipment. Cozy and inviting atmosphere of the library will attract
customers to come again and again and value based services will ensure increased
satisfaction among customers. But, the concept of library is changing to the extent of
being a library without walls.

Systems: In a library, systems comprise of the service operations, where inputs are
processed and the elements of the service products are created and service is
delivered. Activities and acts relating to classification, cataloguing, indexing,
charging-discharging, rules and regulations, and the like. Every system and
procedure must be designed and operated as far as applicable to meet the needs of
customers, aiming at making simplicity in use, accuracy, reliability, timeliness,
completeness and the like, so that some trust about the services is developed among
customers.

People: Here people, include employees working in various sections of the library
working at various levels, i.e., lower, middle, and top; skilled and unskilled,
professional and non- professional. It is the value, belief and approach of employees
that will reflect in the organization they work. The management structure and style
must support each employee to give some intangible value to its customers- internal
and external. People involved in L & I services require good knowledge of both
systems and physical resources and must be competent to use his knowledge to
create customized offerings to customers and an ability to communicate about the
value of services to them.

4. Analyzing the Nature of Change in Libraries and Information Centers

It is evident from the fact that libraries operate in wider spectrum of technological,
economic, political, social, and cultural aspects. It is a time of faster changes with
wider implications. No one can escape from the impact of environmental changes in
all kinds of businesses. What is most important is that LIS managers must try to
understand the nature of changes, their volume and directions and must make efforts
to find opportunities out of it rather than just sitting aside. As such library resources,
services, and facilities always look forward to match the market mood and needs of
users.

8
As starting point, no library exists in isolation. It is a part of larger community.
Traditionally, libraries were perhaps slower at first to respond to outside influences
but now they need to be as active as their counterparts in adopting strategic planning
and commercial outlook, besides use of newer technologies. With such move the
internal dynamics of the libraries is also changing. Nevertheless, all change whether
from internal or external sources, large or small, involves adopting new mindsets,
processes, policies, practices and behavior.

The greatest influencing factor of the present day environment is the wider use of the
information technologies in acquiring, organizing, access, retrieval and sharing of
information which traditionally has been the domain of the librarianship. But with the
advent of information technologies such aspects are in almost total transformation to
the extent that a modern library may be less of a place or library without walls where
information is kept is a portal through which the users may access the vast
information resources of the world. The success of the information unit lies on use
not on storage. The issues such as to how the optimum use of information sources is
made; how better the user’s needs are met; how well is the organization of the
information sources so as to meet the information needs of the users in the minimum
possible time and efforts, becomes important. It is also necessary to think and get
answers to the following key questions-Should libraries still house information
sources? When should we buy hard copies and when should we make them
available electronically? What proportion of our budget should go towards electronic
access to information? Should we allow direct access or are librarians still going to
serve as intermediaries?

Information sources and media in whatever form are unused unless these are
available to the users in the fashion they prefer. Basically because, a library is
essentially a service unit and its foundation lay on serviceability towards users. The
services of a library have to be seen in the context of a dynamic and responsive need
related relationship and are akin to any service industry that would offer to its
clientele. We provide services that our customers demand or need. Very often, we
ask our customers what they want and give them that in as timely a manner as we
can. Is this the best way of serving the needs of our users? Are there alternatives?
To make a difference we must see that what is the need of service to them? What
are the features of the services and how well we can translate these features into
customer's benefit? How efficiently we have planned the service? What are the
tools for improvement in the service? How well the service is delivered to the users?
etc.

9
To run show in the library, adequate funds are very much needed. Librarians have a
grave concern about failing in their annual financial grant, taking more positive
attitude towards increasing income from a range of external sources, and the way
they manage stretching limited funding. They are also involved in various aspects of
financial planning, budgeting, accounting, and auditing in libraries and information
centers. The management of information however incurs costs of which both
providers and recipients must be aware. How these costs are met is the subject of
discussion now than for many decades past, but even defining them has caused
problems. The measurement of cost and value of information is far from being a
precise science. Part of cost of information provision lies in the creation, distribution,
and storage of media; part lies in the provision of institutions and systems through
the information are accessed. Part lies in employing the skilled workers and who
manage the institution and design and operate the system; we must also try to
assess the opportunity cost of the absence of information or failure to provide it.

It is not the information resources, nor the users alone that make the library. It is the
trinity of these two and people that constitutes a library. The library becomes living
organism only when all three act together. The people are vital to the trinity; it is the
personal element that gives vitality to other two. As such the effective capitalizing of
human resources for the benefit of the user community with the help of available
information and other resources is necessary. But, until recently, management of
human resources was not a very significant issue in library and information sector.
Usually the personnel or staffing issues were also important. Most of the staff was
appointed on the basis of academic achievement or experience, but the recruitment
specification rarely have given significance to skills of managing people and handling
change. This situation is now changing rapidly as a result of drive towards
"managerialist" approach in this sector. As such a more flexible approach is needed
to manage library staff, to ensure that they continue to adapt to the changing needs
of their customers. We believe that libraries at times display all of these underlying
values of HRM. Moreover, the customer-centered approach, which is characterized
as flexible approach, has already many features which business organizations are
moving towards in response to competitive pressure.

The use of technology by information providers antedates the invention of the

computer by more than century, but it is, of course, the computer which has
transformed almost everything with which this module is concerned. The
communication and information technologies have changed the paradigm of access
and delivery of information. No account of information world could be half-complete

10
 or remotely adequate if it did not recognize and expound the profundity of the impact
of technological change. Electronic information now embraces multiplicity of content-
data, text, image, graphics, and voice. The technology trends and developments tend
to dominate debate on the future shape of library, i.e., electronic library/ digital library/
or hybrid library. They are inextricably linked with political, economical and socio-
demographic factors: accountability, quality and value for money are the managerial
imperatives in a climate of continuing financial constraint, a diversified customer base
and empowerment of the individual- exemplified by the concept of consumer choice.
Our role and status in the future is critically dependent on where and how do we
position ourselves now.

Now a day, libraries are seen as to be stitching together various activities and
approaches in order to cope up with, or may be seen to be coping with, the
challenges of change. The directions, restrictions and constraints are imposed by the
environment in which a library operates are not different from other organizations,
Even a library operates in a wider context or environment forming a dynamic
relationship with other organizations. This phenomenon determines the conditions,
which have an impact on overall management of libraries and information centers.

5. The Concept of Change and Change Management

5.1 Concept of change

Change is universal, everywhere it happens. Change will occur throughout our life, at
homes, at works, in the world around us and in us. We cannot prevent change taking
place. The first and foremost task for a manager is to assess the nature and
desirability for change in the organization and to envision its directions. As,
management is charged with the responsibility for maintaining a dynamic equilibrium
by diagnosing situations and designing adjustments that are most appropriate for
coping with changing environment. Successful managers recognize the need for
change in order to keep their organizations competitive in a dynamic environment.
They are able to take up the ‘challenge of change’ proactively. In simplest way, we
may consider change as the alteration of the form or situation for surviving better in
the new environment. In other words, it can be an attempt to improve the
performance of staff, teams, and the whole organization by altering structure,
behavior, strategy and technology, etc. As change can be seen as:

- Ending a task, procedure, relationship, activity,

- A transition period allowing adjustment, learning, coping, training,
- Embarking on a new activity, relationship, process.

11
Thus, organizational change refers to the alteration of structural relationships and
roles of people in the organization in order to improve its capacity. Organizations that
are not able to adjust to change may have difficult time in the future. More so change
is taking place at a faster pace than ever before. The forces for change may come
from the external environment and from the environment within the organisation.
The introduction of change into an organisation is not a not a matter to be taken
lightly. Even a change that appears small to the manager may adversely affect the
staff morale and management credibility.

Irrespective of the way the change originates, change management is the process of
taking a planned and structured approach to help align an organization with the
change. In its most simple and effective form, change management involves working
with an organization’s stakeholder groups to help them understand what the change
means for them, helping them make and sustain the transition and working to
overcome any challenges involved. Different people have different ways to define
change management. While many of us 'know' intuitively what change management
is, we have a hard time conveying to others what we really mean.

In simple words, change management means to plan, initiate, realize, control, and
finally stabilize change processes on both, corporate and personal level. Change may
cover such diverse problems as for example strategic direction or personal
development programs for staff. Change is the continuous adoption of corporate
strategies and structures to changing external conditions. Today, change is not the
exception but a steady ongoing process. On contrast ‘business as usual’ will become
the exception from phases of turbulence. Change management comprises both,
revolutionary one-off projects and evolutionary transformations.

Change can be a time of exciting opportunity for some and a time of loss, disruption
or threat for others. How such responses to change are managed can be the
difference between surviving and thriving in a work or business environment. From a
management perspective it involves the organizational and behavioral adjustments
that need to be made to accommodate and sustain change. There are numerous
models and theories about change management, and it is a topic subject to more
than its fair share of management fads and fashions. Popular approaches include the
linear, step by step methods exemplified by Kurt Lewin’s classic three-phase model of
change -- unfreeze, move or change, and refreeze, John Kotter’s popular 8 step
change model, the McKinsey’s 7-S model , and the ADKAR model. Other approaches
such as Rosabeth Moss Kanter’s theories and change theories based on derivatives
of the Kübler-Ross model focus on the cultural and people aspects of change. Each

12
 approach has its pros and cons, however no one framework is "best" in all situations.
Indeed it is not so much the actual model or theory that is important, but more that the
approach that is taken is relevant to the circumstances. In fact the best change
approaches appear to use and adapt aspects of various models to suit the culture of
the organization and the context of the change. Fundamentally, the basic goal of all
change management is to secure buy-in to the change, and to align individual
behavior and skills with the change.

5.2 Content of change

There are very few general rules in organizational change, some general principles
hold true for all organizations. Nilkant and Satyanarayan identifies four areas that can
be targeted for change, include: technology, quality, cost and marketing. However, in
libraries being not for profit service organization some more areas are necessary to
be addressed while addressing change may include: accountability, efficiency.

Technology The technology trends and developments tend to dominate the future
shape of library and information services, they are inextricably linked with political,
economic, and socio-demographical factors: accountability, quality, value for money,
are the managerial imperatives in a climate of continuing financial constraints, a
diversified customer base and empowerment of the individual- exemplified by the
concept of consumer choice.

Marketing The diversity of groups seems likely to increase; for example, social
inclusion initiative have increased the need for public library managers to identify the
different user groups who make up their community profile; changes in access to
higher education and new methods of learning have increased the number of non-
traditional users and the need to develop and monitor innovative methods of service
delivery to them. Technology applied to service delivery, management information
and surveys, offers the possibility to identify and monitor different user groups and
sub-groups. It is becoming easier to break down the user base. The apparent
increase in the number and complexity of user surveys, etc. seems to be contributing
to an increase in identifiable groups of existing groups. Library managers need to
think about the impact of this in planning balanced and equitable service.

Quality The quality that is geared towards customers is the manifestation of the
library services. In the changed environment, 'quality' has become an essential
agenda for all organizations. Quality Certification and accreditation or ratings are
widely publicized to attract customers. As such quality is an essential criterion for
any organization not only to prosper but even to survive. Quality is not what we know

13
and need contrarily, it is what customers need and trust it. Therefore, library and
information centers must employ a user-based view of quality and match their
services to their specifications and satisfaction.

Finances Resources of all libraries are shrinking and there is need to mobilize
available resources and use them to the fullest extent possible. One thing that is
certain to occur and recur in the present foreseeable future is that libraries will
continue to feel downfall in the financial support from the authorities. The time has
come when the parent organisation cannot alone bear the total financial burden of
financing libraries. Additional resources are to be thus mobilized and costs need to
be shared. There is need to use resources more cautiously and manage more
professionally. They are also required to generate resources without government
intervention. The implications for LIS managers is to find ways to deliver their
services while holding the line on budget increase, participate in resources sharing
arrangement, and earning some money by selling services and products.

Accountability The libraries are liable toward users, fund providers, society,
governments and must fulfill this obligation. A major thrust of the new environment is
to promote culture of enterprise and accountability. Accountability is, in a way, a
guidepost to excellence. Lack of accountability breeds irrelevance and mediocrity.
Excellence and accountability thus go together. If any institution is intrinsically
committed to excellence, it automatically wishes to be accountable. Implication for
LIS managers is to be more accountable to users, fund providers, and to the society.
In the changing environment, policies inherently have acquired business
connotations and are loaded with expressions like "profit", "transparency",
"marketing", "customer satisfaction", etc. They expect the services that traditionally
are free at the point of use, to demonstrate the same efficiency and quality as
commercial enterprises. Unless libraries are coming unto expectations of their users,
their funding will be questioned. Knowledge of performance measures is equally
important, as with the application of these measures the value and benefit of the
library services can be demonstrated.

Operational efficiency Libraries being service organizations are supposed to offer

free service, but there is nothing free in this world. Traditionally library users did not
pay directly for the service they used. Indirectly taxpayers paid for it. Consequence of
the free service philosophy hinders the efficiency of the service. Though the situation
is reversed. But, this approach is certain to change when an organization comes in
competition to other, particularly with the private sector enterprises which have
competitive advantage over the public sector in terms of efficiency. Thus, there will

14
 be pressure on libraries to improve their efficiency, if they do not attain it there might
be some danger of existence of such libraries.

Each of these content areas is supported by a set of structure, processes and

procedures. Any change in the content areas will also require corresponding change
in structures, procedures and procedures. You need to be aware of the linkages that
need to be strengthened at the implementation stage.

5.3 Types of change

Change is a process of progressing for future from the past which implies to the
transferring an organization from the known situations to the unknown situations.
Change could either be slow or abrupt. If change is unplanned and sudden, it is more
probable that it may produce negative results in an organization, hence the need for
change management which means a systematic transition from the old to new. It is a
process which is planned and continuous and includes best practices in the trade; it
could be necessary, or induced for better performance or adopted to cope up with the
advances in technology .A gradual change is generally met with less resistance as it
allows the individual some time to adapt to the new environment. Thus change
management involves the process of implementing changes in an organization in a
controlled manner to achieve better results.

Change can be of many kinds: directional change, fundamental change, functional

change, total change, planned change, happened change, revolutionary change,
transformational change, strategic change, anticipated change, reactive change, etc.
These changes are described from the point of view of complexity. However,
changes can be broadly categorized into four:

Anticipatory Changes These are made with an intention to take advantages of

situations which are expected to arise. Such changes are systematically planned
because the manager monitors the situation regularly and whenever he expects
change, he attempts to make a change in organization as to get its benefits.

Reactive Change These changes are forced on the organization by unexpected

environmental pressures. In other words, if there is a change in external environment
to cope with changing environment reactive changes are made in organization. Such
changes are generally made for survival in the organization. Sometimes, these
changes are made to exploit new opportunities as provided by changing
environment.

15
 Incremental Changes Incremental changes are those which are made with an
intention to maintain functioning of organization on its chosen path. Since, the
organization has many sub-systems; these are to be adjusted from time to time so as
to secure smooth functioning of the whole organization. Such adjustments are known
as incremental changes.

Strategic Changes Structural changes are basic in nature. These changes have
great influence on the overall functioning of organization. They alter overall shape
and direction of the organization. For example, change in technology, change in
location of plant or diversification of organizational operations, etc.

Change can also be:

a. Continuous change: This is a necessary part of an organizational life and

occurs as a result of adjustment to altered states of internal and external
environment. Continuous change is planned and there is some control over
the situation and there is ample time for the process.
b. Discontinuous change: This is something which comes as a response to an
abrupt change or event in the environment. It could be described as a
strategic shock. For example, Change in the top management, expansion or
downsizing of an organisation, etc.

5.4 Models of change management

An organization may be in a state of equilibrium, with forces pushing for change on

one hand and forces on resisting change. As mentioned above various theories or
models exist which suggest such equilibrium. In brief, we will discuss theories
propagated by Kurt Levis and John Kotter.

Kurt Levis propounded in his field force theory that equilibrium is maintained by
drawing forces and restraining forces. This may put some movement, but also
increases resistance by strengthening the restraining forces. Another approach, and
one that is usually more effective, is to reduce or eliminate the restraining forces and
then move to a new level of equilibrium. In organizations, therefore, a change in
policy is less resisted when those affected by it participate in the change.

The change process involves the following three steps:

- Unfreezing: it creates motivation for change. When people feel discomfort

with the present state of affairs, they may see desirability for change.
- Moving or changing: It may occur through assimilation of new information,
exposure to new concepts, or development of a different perspective.

16
 - Refreezing: It stabilizes change which needs to be congruent with the
person’s self concept and value which reinforces new behavior in the people.

Kotter introduced his eight-step change process in his 1995 book “Leading Change”;
we look at his eight steps for leading change below:

- Creating urgency: need for change needs to created and such sense must
go on in the whole organization
- Forming a powerful coalition: it’s necessary to convince people that change is
necessary. Strong leadership and support of people is imminent.
- Creating a vision for change: a clear cut understanding of change among
employees is required in the language they can understand.
- Communicating the vision: success depends on the implementation of vision
into realities.
- Removing obstacles: people don’t like change and resistance from may take
place at some point of time. It is necessary to overcome such resistances.
Removing obstacles can empower the people you need to execute your
vision, and it can help the change move forward.
- Creating short-term wins: Small steps needs to be taken and success on
these small steps matters a lot. It may boost confidence of the employees and
motivate them.
- Building on the change: good beginning and thereafter continuous successes
provide opportunities to build on what were the right decisions and need for
scope for improvement in the future.
- Anchoring the changes in Corporate Culture: To make change it is necessary
to make a change strict and setting values that it must be reflected in day to
day operations.

5.5 Responsibility for managing change

The employee does not have a responsibility to manage change - the employee's
responsibility is no other than to do their best, which is different for every person and
depends on a wide variety of factors (health, maturity, stability, experience,
personality, motivation, etc). Responsibility for managing change is with
management and executives of the organisation - they must manage the change in a
way that employees can cope with it. The manager has a responsibility to facilitate
and enable change, and all that is implied within that statement, especially to
understand the situation from an objective standpoint (to 'step back', and be non-
judgmental), and then to help people understand reasons, aims, and ways of

17
 responding positively according to employees' own situations and capabilities.
Increasingly the manager's role is to interpret, communicate and enable - not to
instruct and impose, which nobody really responds to well.

6. Responses to Change (Overcoming Resistances)

If you ask employees what they think about change, you will normally find that most
people have negative attitudes and perceptions towards change. They have fears of
losing their job, their status or their social security, or they are afraid of a higher
workload. In many cases, first effects of change on employees, leaders, and on
performance levels are negative. These effects include fears, stress, frustration and
denial of change. Most employees tend to react with resistance to change rather than
seeing change as a chance to initiate improvements. They are afraid of losing
something, because they have incomplete information on how the change processes
will affect their personal situation in terms of tasks, workload, or responsibilities. If
chance processes lead to redundancies, those who “survived job cuts” still have a
negative attitude towards change. One reason may be that they now face additional
tasks and responsibilities. Some people may feel guilty for still having their job while
others became unemployed. Such emotional reactions may cause additional stress
in the changing organization. Managers need to keep in mind those negative side-
effects of change initiatives in order to achieve the expected positive results. The
success of change projects depends on the organization’s ability to make all their
employees participate in the change process in one way or the other.

When change occurs, both managers and staff may react to it. The reactions can be
positive or negative in the form of: rejection, resistance, tolerance, acceptance or
enthusiastic implementation. Resistance to change is common as routine is an
important part of most of our lives, and making change can be difficult. We may be
anxious about coping change, unsure of its impact and worried about how long it will
take to learn new task or implement the change. Stueart and Moran describes the
following reasons for resistance:

- People don’t understand or don’t want to understand.

- People have not been fully informed.
- People’s habit and securities threatened.
- People are happy with the status quo.
- People have vested interests and definite perceptions of what is needed or
wanted, even if they agree that change is necessary.

18
 - Rapid change, or, the speed with which change occurs, causes greater strain
on the organization.
- Rapid changing technology and societal conditions render some individuals
obsolete.

Changes that affect library and information centers and resistance to those changes,
either on the part of library managers or other librarians, follow the same pattern as
change in the society in general. Change can also bring about alterations in
workgroups, individual status or power structures that threaten the comfortable
environment that previously existed and challenges the individual’s – or group’s
interest. For any manager, overcoming resistance to change will be critical to
success. By implementing planned change, resistance could be minimal. In addition,
depending upon the situation and the individuals concerned, the following strategies
can assist in reducing resistance:

- Ensure that change is introduced gradually.

- Listen carefully and negotiate fairly over staff concerns. Be responsive to their
ideas.
- Maximize communication opportunities. Let everyone know exactly what is
happening and encourage feedback through the entire process.
- Minimize unnecessary disruptions to staff by, for instance, having building
work done out of hours.
- Be positive and enthusiastic about the advantages the change will bring.
- Identify key staff members who will become ‘change champions’ acting as
role models who will influence other staff.
- Align the proposed changes with individuals and organization’s ethos and
values.
- Maintain momentum and interest throughout the process.
- Try to ensure a successful change process- it makes the next one easier to
implement!

7. Planning for Change

Planning is an important step for change. Planning for change may be both internally
generated and externally imposed. However, change requires considerable thinking
on planning for best chances of success, may include:

- Conceptualizing: clear understanding and developing awareness, deciding

whether to and envisioning the change.

19
 - Preparing: getting the organization ready for change, listening to the staff
members and consider their feelings respectfully.
- Organizing the planning group: selecting staff to participate and building them
into teams and organize meetings.
- Planning: creating and examining options based on the goals and objectives
and then developing a plan.
- Deciding: evaluating the options with pros and cons, deliberating and then
making a decision.
- Managing the individuals: discussing the change and dealing with reactions to
it, then monitoring its implementation.
- Controlling resistance: identifying resistance, analyzing its source and
counteracting it.
- Implementing: formal introduction of the change at the right time and then
following it through.
- Evaluating: re-examining the goals, identifying problems, and making
adjustments.

8. Implementing Change

We have seen that change involves many related steps. For effective implementation
of change, it is necessary that the manager makes a depth study of prevailing
conditions, understands the need for change, evaluate and estimates the pros and
cons of implementation of change, and should have well defined plan for
implementation. There is always a need for listing the steps to be followed for making
change orderly and effective. In the beginning, change is likely to have a negative
impact on the services being delivered but over the time, people become acquainted
with the new system or procedure and thus this will result in improvement of the
services.

Albrecht talks of needing time and patience when implementing change, and outlines
the following steps that will assist in making the process go more smoothly:

- Involve staff from the very beginning and prepare them well in advance for
change that will occur.
- Have meetings and brainstorm to identify problems that may arise with the
proposed changes and also, those that may occur during the changeover
process.
- Let clients and users know in advance if the change is likely to have any
impact on them.

20
 - It if is a major change, try to introduce it in stages or conduct a test run first in
order to identify problem areas.
- Select certain key staff, who are well-trained and motivated, to be ‘change
agent’. They will act as leaders to facilitate the introduction of the new system.
- Make sure that during the changeover you make time to be fully involved and
ready to assist wherever necessary.
- Have regular progress reviews where all staff involved can comment on the
change, highlight problem areas and try to preempt potential trouble.

9. Summary

In this module, you have seen that change is constant and every organization and
individual has to undergo for change not only once but time and again. As such
change has become a reality of the present and will remain in the future as well.
There is always a need for keeping a track of the changes taking place outside and
inside the organization which may have impact on the organization and individuals.
The successful manager is one who can anticipate change impact and plan in
advance to deal with the future change. He can make the change favorable for the
organization by involving individuals. There are various ways to anticipate and
undertake change but these cannot be universal and are situational for an
organization. This module incorporates many issues such as: conceptualizing the
change and change management, perceiving a situation for change, analyzing the
existing situations, preparing and trying out plan for change, overcoming resistance
to change, implementing change and Monitoring or reviewing change

10. References

1. Beerel, Annabel, Leadership and change management, 2010, Sage, London, 264p.
2. Clarke, Liz, The essence of change, 1997, Prentice-Hall of India, New Delhi, 202p.
3. Curzon, Susan Carol, Managing change: A how to do manual for librarians, 2006,
Facet Publishing, London, 128 p.
4. Gupta, Dinesh K. and Jain, S.L. Managing change in libraries, ILA Bulletin, 1996, 29-
32
5. Kumar, PSG., Management of library and information centres, 2003, B.R. Publishing,
New Delhi, p.671
6. Nilakant, V. and Ramnarayan, S., Change management: Altering mindset n global
context, 2006, Response Books, 355p.
7. Pymm, Bob, Learn library management, 2000, DocMatrix, Canberra, p.120-121

21
8. Stueart, Robert D. and Moran, Barbara, B. L, Englewood, Library and information
centre management, fifth edition, 1998, Libraries Unlimited, p.401
9. Sudha, G.S. Management, 2002, RBSA Publishers, Jaipur, 2002, p.465.

22
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 06 Governance of a Library

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Prof Dinesh K Gupta

Content Writer Professor, V M Open University

Retd Mrs Renu Arora

Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 M ODULE 6
GOVERNANCE OF A LIBRARY

I. Objectives

The objectives of the unit/module are to:

- Describe the meaning of governance and its need for libraries;

- Discuss the role of library authority in governance;
- Enumerate the principles of effective governance of a library; and
- Bring out the practices followed in different type of libraries.

II. Learning Outcomes

After going through this unit/module you would learn the meaning of governance and its
importance and need for libraries; the role of library authority (ies) in governance; the
principles of effective governance of a library; and the practices followed in different type
of libraries, and role of IFLA in bringing good governance in libraries throughout the
world.

III. Structure

1. Introduction

2. Meaning of Governance

2.1 Relation between Governance and Management

3. Need for Governance of a Library

4. Goals of Library Governance

5. Governance and Authority of the Library

5.1 Types of Library Committees

5.2 Powers and Functions of Library Committee

5.3 Formation of a Library Committee

5.4 Examples of Library Committee

6. Role of IFLA in Good Governance of Libraries

7. Summary

8. References

1
1. Introduction

‘ Good governance’ is the mantra of modern governments around the world. Good
governance is a relative term which is interpreted in different ways, may be in regard to
decision making process, implementation of plan and projects, measurement of
economic indices or up liftman of backward classes of society and so on. In corporate
world, good governance is about commitment to values and voluntary ethical business
code of corporations. This includes the process of structuring, operating, and controlling
an enterprise with specific aims of fulfilling its long term strategic goals. Many a times it
is considered synonymous with sound management, transparency, accountability,
disclosure of information, etc. The term governance can apply to corporate, international,
national, local governance or to the interactions between other sectors of society. What
includes good governance remains a point of discussion in inter-governmental,
governmental and non-governmental agencies and enterprises.

Good governance of a library is equally important as library is a not-for-profit-

organization and the theories of good practices are equally applicable for all
organizations including not-for-profit ones. But, to make it understood it is pre-requisite
to understand as to how a library is governed. In general, it is an assumption that a
public library is governed by the people of the local community or the municipal body.
The academic library is governed by the parent body and the way the parent body is
governed vitally affects the governance of the library. The library governance refers to
the persons (or committees or departments, etc.) who make up a body for the purpose of
governing the library. Such committees are of executive, advisory or ad hoc in nature.
This module discusses the concept of governance, need and goals for governance in a
library, governance and library authority governance practices in different kind of
libraries and role of IFLA in bringing good governance in libraries. Let us now
understand the meaning of governance.

2. Meaning of Governance

What is meant by governance? Is governance what governments do? Or is it more than

that? What is ‘good governance’ which has been now in the public discourse for many
years? What do we mean by ‘transparency’ and ‘accountability’ in governance? Several
perspectives on governance have been presented in these years. Good governance is

2
an indeterminate term used in international development literature to describe how
public institutions conduct public affairs and manage public resources. Governance is
"the process of decision-making and the process by which decisions are implemented
(or not implemented)". (http://en.wikipedia.org/wiki/Good_governance)

“Public sector governance refers to the way that the state acquires and exercises the
authority to provide and manage public goods and services, including both public
capacities and public accountabilities” (Levy, 2007).

UNDP Strategy Note on Governance for Human development defined governance as “a

system of values, policies and institutions by which a society manages its economic,
political and social affairs through interaction within and among the state, civil society
and private sector. It is the way society organizes itself to make and implement decisions
- achieving mutual understanding, agreement and action. It comprises the mechanisms
and processes for citizens and groups to articulate their interest mediate their
differences and exercise their legal rights and obligations. It is the rules, institutions and
practices that set the limits and provide incentives for individuals, organizations and
firms” (UNDP, 2007).

“Governance is distinct from government, and is the process through which various
stakeholders articulate their interests, exercise their rights, and mediate their
differences” (Debroy, 2004).

Tenth Five Year Plan stated that “Governance relates to the management of all such
processes that, in any society, define the environment which permits and enables
individuals to raise their capability levels, on one hand, and provide opportunities to
realize their potential and enlarge the set of available choices, on the other” (Planning
Commission, 2008)

Tandon (2002) defined governance as “the joint responsibility of the state, market and
citizens to mobilize public resources and promote public decision-making towards the
advancement of common public good.”

Thus, governance is about defining and prioritizing public goods, institutional

mechanisms and structures for delivery of those public goods, and processes by which
such structures and mechanisms operate. It focuses on articulation of interest by various
stakeholders, specially the hitherto excluded and the marginalized. It recognizes that
differences among various interests around public goods, and the preferred modes of

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 delivering the same, would necessarily exist in a democratic polity, and it, therefore, lays
emphasis on negotiated and dialogical approaches to dealing with those differences.

2.1 Relation between governance and management

The role of governance and management of an enterprise is immense in attaining its

objectives. Many a times these two terms are compared and distinguished. But, these
are interlinked and interdependent.

Governance concerns the structures, functions, processes, and organizational traditions

that have been put in place within the context of a program’s authorizing environment “to
ensure that the [program] is run in such a way that it achieves its objectives in an
effective and transparent manner.” It is the “framework of accountability to users,
stakeholders and the wider community, within which organizations take decisions, and
lead and control their functions, to achieve their objectives.” Good governance adds
value by improving the performance of the program through more efficient management,
more strategic and equitable resource allocation and service provision, and other such
efficiency improvements that lend themselves to improved development outcomes and
impacts. It also ensures the ethical and effective implementation of its core functions.

Management concerns the day-to-day operation of the program within the context of the
strategies, policies, processes, and procedures that have been established by the
governing body. Whereas governance is concerned with “doing the right thing,”
management is concerned with “doing things right.” The boundary between governance
and management is not hard and fast. In particular, both the maturity and the size of the
program will influence the dividing line and the degree of separation between the
program’s governance and management structures. Lessmature programs may take
time to establish formal governance mechanisms. Smaller programs with limited staffing
and financial resources may tend to blend responsibilities between those who govern
and those who manage, and to call on governing body members to be more involved in
specific day-to-day management decisions. The extent of governance should be
proportionate to the size of the program in order not to result in an over-governed and
under-performing program.

The distinction between governance and management has been described in the
following manner:

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 - Governance is a concern for the basic purpose of the organisation or ‘large
picture’ rather than details of its parts. It involves measurement of outcomes or
results rather than the way in which these are achieved.
- Governance is about the ends while management is about the means of
organizational operation.
- Governance is ‘hands off’; management is ‘hands on’.
- Governance is about approving policy and goals. Management is concerned with
ensuring that the policies are followed and the goals achieved.
- Above all, governance is fundamentally about relationships. The major
determinant of success relates to human capital factors, such as the mix of skills
and knowledge on the Board and its alignment to organizational needs at a given
time.

Although there may be a well-developed appreciation of governance issues and the

allocation of responsibilities between the governing body and the head of the library, it is
important to continue to test and enhance this understanding. The governance is
concerned with the orderly development of the library to take place in a most effective
way whereas management deals with day to day problem of the staff and operations and
management is concerned running of the library. Good governance can look at the
relationship between the authorities and the employees, authorities and the users,
authorities and the fund providers, authorities and the government, and relations with
other library authorities. Governance is not merely set of documents administering the
library nor it is set of decisions or precedents set by the authority. It is these, plus
combination of written and adopted constitution and body of experiences develop to
express the concepts in the charter.

3. Need for Governance of a Library

Governance is a framework set by an authority (generally referred as the library

committee in case of public libraries) to direct the library as an organization that
identifies the process of conducting business of the authority, delegation of powers, and
processes and policies to achieve accountability in achieving the objectives of a library.
It is different from management, as the library committee does not run the library but
ensures that it is run properly. In many countries, such authority is known as Governing
Board, Board of Trustees, Board of Management, Executive Committee, etc.

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 Generally, governance of a library allows the library to clarify about its mission,
organizational structure, goals and objectives and developments taking place of a
library, and to make the necessary documentation so that stakeholders are convinced
about the activities undertaken by the library for the benefits of its user community.
There is always need for a working document that provides a basis for the work done by
the library. Such document may provide a baseline and guidance for services and
facilities, information resource development, operational procedures, membership,
privacy policies, copyright issues and the like, the day to day and long-range goals of the
library. But in absence of such documents the governance of a library remains subjective
and may differ with the authority which control or advises or manages the library.

The National Knowledge Commission recommendations address the issue of the

governance and ask for the greater community involvement in the governance of the
libraries. It recommends that “It is necessary to involve different stakeholders and user
groups in the managerial decision-making process of libraries. Public libraries must be
run by local self-government through committees representing users of the library.
These committees should ensure local community involvement and should be
autonomous enough to take independent decisions to conduct cultural and educational
community based programmes. Libraries should integrate with all other knowledge-
based activities in a local area to develop a community-based information system. In
rural areas, the responsibility for village libraries and community knowledge centres must
lie with the Panchayats. These should be set up in school premises or close to them.”

4. Goals of Library Governance

Good governance involves far more than the power of the state or the strength of
political will. The rule of law, transparency, and accountability are not merely technical
questions of administrative procedure or institutional design. They are outcomes of
democratizing processes driven not only by committed leadership, but also by the
participation of, and contention among, groups and interests in society—processes that
are most effective when sustained and restrained by legitimate, effective institutions.

Governance is an agenda of modern enterprise as it may help to manage the enterprise

effectively, therefore, there is a need for clear cut mentions in the enterprise documents
about the establishment of the enterprise, its purpose, legal framework, funding,
planning, and reporting for the governance, so that enterprise is effectively managed.

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Governing bodies of a library can perform the following key functions:

- Establishing The Legal and Policy Framework: The role of the authority, its
composition, tenure of members, roles, etc. must be clearly spelt out in the
respective laws and regulations of the library. The governance questions may be:
Whether guiding principles for governing the library have been spelled out?
Whether there is any board or council in the act/ordinances/statues to govern the
library? What is the mechanism to fill in vacant positions of the board/ council
members? Is there any criteria defined to select the board/committee members?
Whether the role of the head of the governing council/ board has been defined?
What is the relation with the Executive head with the governing council and its
head? What are the meeting requirements of the board? , etc.

- Clarity of Mission and plans: There should be written mission statement of the
library with a clear-cut plan to achieve the mission. The governance questions may
include: Is there a solid governance framework that includes by-laws, policy and an
achievable plan that is based on why the library exists? What it is that needs to be
achieved?

- Policy making and mobilizing resources: The library authority’s major role lies with
the policy making and resources mobilization. Effective use of resources, therefore,
makes sure it works and keeps it in shape. The governance questions may include:
Does the library’s planning address both short‐and medium‐term horizons? Does
the library’s plan articulate with the university’s strategy? Is an appropriate annual
implementation plan in place? Is this supported by appropriate financial resources
and robust project frameworks? Where and how to get the resources that are
needed?

- Effective bondage between the Authority and the Managers and Staff: There
should be clarity of the functions and relationship of the authority and the
managers and the staff of the library. The governance questions may include:
Does the university’s HR strategy support library needs? Do
we have a succession planning framework? Are we
identifying, supporting and developing our star performers? Do we have effective
equality and diversity policies? Are we investing sufficiently in staff development?
Do we have effective staff review procedures?

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 - Decision making: The library authority makes decisions on behalf of the
stakeholders with regard to resources, facilities and services. Governance related
questions may include: whether new services for children have to be started?
Whether focus of the collection development should be on print or electronic
resources? How much of the bandwidth needs to be subscribed to facilitate high
speed internet access? Whether new staff is to be employed to strengthen
customer service in the library?

- Taking stock of the achievements from time-to-time: Library authority has to take a
look of the implementation of the policies and affectivity of the decision in regard to
achievements set forth by it for the benefit of the user community. Governance
related questions may include: Has the Committee conducted a
self‐assessment of its performance? How does it fit into university governance?
Is it expected to report regularly and actively? Are processes for refreshing
membership effective? Are members trained? Are communications between the
Library and committee members effective? Do members understand the Library’s
management structure and systems? Do members provide independent review of
risk strategies etc? Do our facilities meet student expectations? Do they contribute
to attracting high quality staff? Are we investing annually to maintain and improve
facilities? Are high‐cost space and facilities adding value to the university? Are we
duplicating facilities on campus unnecessarily?

5. Governance and Authority of the Library

In the instances searched, governance was in place in some form – bylaws, articles, etc.
– if not directly searchable. In public settings, the term tracked to documents dealing with
how it was organized – membership in committees, meeting occurrence, community
representation, etc. This appears to vary from the size of the body and the library
involved. Size does matter, in both holdings and community.

In governing a library, the library authorities make decisions with regard to various
aspects of planning, operations and management of a library. The powers and functions
of such authority are attained differently in various kind of libraries Higher education
libraries have such provisions in their handbook and procedures in the form of statutes
and rules. In public library, provisions for library authority can be found in laws passed by
the Government in the form of bylaws, articles comprising of its constitution, terms of
reference, membership, tenure, conduct of meetings, community representation, etc.
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Power of governance resides in the body which is responsible for overall development of
a library. Many of the authorities involved in governance are appointed, volunteers, or
are involved as part of their employment, etc.

In University library, it is based on the statutes and ordinances adopted by the governing
body of a university. The statutes made in accordance with the policy enunciated by the
university act would determine the status of the librarian in the general set up of the
university and provide for its organization and administration.

In public library, laws enacted by a state legislature forms the legal basis for the
establishment, maintenance and governance of the public library. In India, the public
libraries were formerly under the ministry of education but now it is under the ministry of
culture.

In a special library run by a company or industry, there may be no legal basis of library
governance. The library concerned may be their internal matter and the librarian may be
at the mercy of the higher authorities of the concerned organization. There may be no
prescribed rules, regulations, etc.

The word “authority” implies a person having the power to do something, the power
being derived from his office or character or prestige. A person having power is
authorized by a competent agency / authority to carry out a certain job. The purpose of
granting authority is to allow him / her to perform some kind of service by means of
administrative process.

i. College Library

In a college, the Board of Management is the authority and college librarian is

directly answerable to the principal.

ii. University Library

In Indian Universities, the Executive Council (EC) is the library authority. In actual
practice, many powers are delegated by EC to the Vice Chancellor (VC). So, the
librarian is directly answerable to the VC.

iii. Public Library

In a public library, the Directorate of Library Services or Local or State Library

Authority is the library authority or otherwise a library board might be the authority.
The librarian is responsible to the board. In case of a public library, where there is

9
 library legislation, it is mentioned in the library act as to who will be the library
authority. But when there is no library legislation, then the Director of Library
Services will be the library authority.

iv. Special Library

The Board of Directors or Board of Trustees of the parent body is the authority. The
librarian is answerable to the Managing Director or some other senior officer and in
practice the situation differs from library to library.

5.1 Types of library committees

There are mainly two types of library committees

- Executive Committee: This committee is most powerful as it has full power

over those matters which are delegated to them by the library authority. So the
decision of the library executive committee is final and mandatory. It need not
report its decision to the library authority.

- Advisory or Recommendatory Committee: It simply gives proposals which

are subject to the approval of the library authority.

- If we go deep into the history of library committees we will also find some other
types of library committees. These are as follows:
- Self Perpetuating Committee: These committees have the sole authority and
independence as regards the control and management of the library under it. It
does not have to report to any other higher body about its activities.

- Adhoc Committee (Statutory Committee): It has the advantage of being

independent of politics. It takes decision expeditiously. This committee is more
or less independent. The Madras Public Library Act of 1948 provides the
appointment of such a committee. This type of committee serves as library
authority.

- Nominated/Elected Committee: A large committee or an authority nominates

or elects a smaller body for looking after certain bodies under it. It delegates
certain power to such smaller bodies or committees.

- Recommending Committee: It does not have any real power except that it
simply gives certain proposals which are subject to the approval of the library
authority.

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 - Reporting Committee: This committee has sufficient powers to decide the
matters within certain limit. Such decision needs no confirmation of the
supreme authority but the decision is to be reported to the latter for information.

5.2 Powers and functions of library committee

Powers and functions of a library committee vary according to its nature. In case of the
Executive Committee, the powers, functions and responsibilities are more whereas in
case of a recommending committee, these will be narrowed to a great extent. Almost all
the proposals for discussion at the library committee meetings are put forth by the
librarian who generally acts as an ex-officio secretary to the committee. The library
committees generally serve the following purposes.

- Library Building: Library committee plays a great role in the construction of

the library building and also makes necessary arrangements for the
maintenance of the library building.

- Library Furniture and Fittings: Library committee ensures the availability of

the adequate and proper standard furniture so that in future any number of
identical articles may be added without any wastage of money or space.

- Library Staff: A library committee employs the qualified and adequate library
staff for the library.

- Library Rule: It frames a set of library rules and keeps them up-to-date.

- Library Finance: The librarian not being an elected representative of the

people cannot successfully appeal for more fund allocation for the library. But
the committee being a representative body of the people can successfully and
convincingly appeal for more funds. The committee can also allocate the funds
for the library.

- Library Collections: A library committee may appoint a sub-committee to

serve as book selection committee so that the lists of books are thoroughly
scrutinized to avoid the purchase of undesirable books.

- Library Accounts and Audits: A library committee provides the proper

machinery for checking the library accounts. It may appoint an account sub-
committee for auditing the accounts.

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 - Standard Library Service: A library committee put in its best efforts to secure
full coverage and standard library services to the users.

- Library co-operation: A library committee finds out ways and means of

securing co-operation between various branches within a locality and between
other authorities.

- Supervision and Advice: Public functions are best performed by a committee

of persons who may be elected or nominated out by the people themselves as
such the library committees also supervise and advise the librarian in matters
on which public participation is essential.

- Buffer Agency: The committee serves as a buffer agency and an interpreter of

the needs of the library to the community, controlling and guiding the library
activities. In the absence of a library committee the librarian would find himself
defenseless and unprotected.

5.3 Formation of a library committee

Soon after the decision of establishing a library, it is beneficial to have a library

committee which can draw the objectives, short and long term goals, and make a plan to
achieve the objectives and goals. It should be reflected in the constitution of the
committee that the committee represents the people the library will serve. For a public
library, it could include people from all segments of the society, namely, teachers,
students, professionals, workers, community leaders, mothers, elderly people and others
who have an interest in the library and others whom interest is to be created.

Once the Committee is formed, there is a need to decide how to structure it. The
members’ strength and category should be decided and mentioned clearly. In a
committee, there could be officers of the committee, like: president (sometimes called
the chairperson), vice president, secretary and treasurer. The tenure of the committee
could be for one or more years, but tenure of the committee, required number of
meetings in a year, minimum and maximum time gap in the meetings should be to
clearly mention.

There could be provisions for honoring people who are doing a good job by re-electing
them, and allows people to leave office gracefully when they no longer wish to serve. It
also ensures that the officer’s change regularly, which gives more people a chance to
serve. Here are some basic “job descriptions” for the different offices:

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The President is the chief officer of the committee. He/she runs the meetings, decides
on the agenda and keeps order. The president should make sure that discussions are
kept to the point and that everyone has a chance to participate. He/she works with the
committee to set policies, recruit librarians, make reports and oversee the finances of the
library.

The Vice President takes place of the president when he/she is not there and does any
other duties assigned by the committee.

The Secretary keeps notes on what happens during all the meetings. These should
include who were present, what was discussed and any decisions that were made.
He/she should be able to write clearly and summarize discussions.

The Treasurer is responsible for the library’s finances. He/she distributes funds
according to the decisions of the committee and should report all income or expenses to
the committee.

Regardless of the committee structure chosen, it is wise to have a set of written

guidelines that describe how the committee works. Sometimes these guidelines are
called a constitution or bylaws. Their purpose is to make sure that the committee does
things in a consistent and fair way.

Here is a list of things to consider when writing the guidelines:

Composition of Committee: How many people should serve on the committee? It is fine
to give a general range, such as- How will members be selected for the committee? Will
the whole community elect them or will they be chosen by someone? Sometimes, the
initial leaders of the library project choose or appoint core committee members who then
elect other members. If there are certain people who have to be always on the
committee, like the librarian, head of the school, president of the community
development committee or others, it has to be included in the guidelines.

Decision making process: How will decisions be made? Will you try to reach a solution
everyone agrees on (a consensus) or will you discuss different viewpoints and then
vote? Each method has advantages and disadvantages. Deciding by consensus
ensures that everyone agrees, but it may take a very long time, and in some cases, it
may not be possible. Voting is quick, but people on the losing side may feel dissatisfied.

13
 Meetings of the Committee: How many members of the committee need to be present at
a meeting for a decision to be official? This number is called a quorum and it is usually at
least half the members plus one. It is important to decide this number because you don’t
want only one or two members to be able to make decisions for the whole committee.
Pick a number that seems reasonable. If you require too many members to be present,
you may never have enough to make an official decision. If you require too few to be
present, a small group may end up making all the decisions. Under what circumstances
will members are asked to leave the committee? For example, you might decide that
people who miss three meetings in a row will be expelled.

Finally, how will changes be made to the committee guidelines? These rules are not
meant to be absolute laws. Leaving outdated or unpractical rules in the guidelines can
lead to arguments and confusion, so be sure to have a procedure for making changes.

Establishing a library committee and writing the guidelines are major steps toward
making the library a success! Having a committee ensures that the library will reflect the
needs of the community, and writing guidelines ensures that the committee has clear
rules for action. There is always a need of reviewing the efforts of the governing body as
to what extent it has been able to achieve the goal set for a particular time.

- Has the Committee conducted a self‐assessment of its performance?

- How does it fit into university governance?

- Is it expected to report regularly and actively?

- Are processes for refreshing membership effective?

- Are members trained?

- Are communications between the Library and committee members effective?

- Do members understand the Library’s management structure and systems?

- Do members provide independent review of risk strategies, etc?

5.4 Examples of Library committee

Example-1

IIT Roorkee

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As the Library has to cater to the needs of variety of clientele such as faculty, research
scholars, post graduate and under graduate students, institute administrators as well as
specialists, industrial workers engaged in neighborhood industries and non teaching
institute staff, a wide range of subject fields are to be represented in our book stock with
prime thrust for meeting the needs of students and faculty members. Besides this, for
smooth functioning of the library and safe guarding the interest of all sections of the
library users, formation of policies, rules & regulations and implementing the library
policies in a judicious manner, an infrastructure is needed for the library. To meet the all
the above objectives the Central Library is advised by a Library Advisory Committee with
the following constitution and representatives.

Constitution & Functions

The committee shall consist of the following members:

- A Senior Professor to be nominated by the Director as Chairman.

- One Faculty representative/scientist from each Academic Department/Centre,

generally the Faculty-in-Charge of the Departmental Library.

- Three representatives each from UG, PG and Research Scholars to be

nominated by IITR Students’ Association and FRS, respectively.

- Librarian – Member Secretary (ex-officio).

o In addition to the composition specified above, the Chairman of the Senate

may make an additional nomination to the Committee.
o The Chairman of the Committee shall be appointed by the Director from
amongst the Professors. The tenure of the Chairman shall not exceed three
years.
o Faculty members on the Committee other than its Chairman shall serve on the
Committee for two years. However, student-members shall serve for one year
only.
o The Committee shall meet at least four times in an academic year with 50% of
its membership consisting a quorum.
o The duties and functions of the Committee shall be as under:
- To consider policy matters regarding Central Library/Departmental libraries
including the policy for procurement of books and journals and render advice to
the Purchase Committee for Library procurements.

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 - To look into day to day problems of the Library clientele, Library staff and send
recommendations to the ECS/Senate, Board for the desired decision.

- To supervise the allocation and utilization of funds for different departments for
purchase of books and journals for the Central and Departmental libraries.

- To maintain liaison between Central Library and various Academic

Departments for the purchase of networking of Departmental libraries with the
Central Library.

- To consider and put forward the views of faculty members regarding

books/journals selection, ordering process etc.

- To consider and put forward the views of students and Research Scholars
regarding their problems and solutions sought thereof.

Example-2

Library Advisory Committee (LAC), Sir Dorabji Tata Memorial Library, TISS,
Mumbai

The function of the Library Advisory Committee is to support the functioning of the library
so that it can facilitate the library development plans by advocating the library
development activities with the management. The purpose of the Library Advisory
Committee is to act as a channel of communication and dialogue between the University
Library and its users. The Committee’s main objective is to aid in the establishment a
bridge between the Library and the academic fraternity and the institute management.
The Library Advisory Committee (LAC) is to be appointed by the Director of the
Institution.

Composition: The suggested composition of this Committee is as follows:

- Chairperson: Director/or any person nominated by the Director will be the

chairperson

- Members: One faculty each from Schools/Independent Centers (Librarian to

propose panel names)

- Secretary : Librarian Shall be the Secretary of LAC

- All officers of the Library shall participate in the meeting to provide required
inputs

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 o Meeting Frequency: The LAC would meet at least once in every quarter to
review the library affairs.

Tenure: The committee shall be reconstituted once in two years. Director can
recommend a replacement for a member who withdraws from the LAC. No member shall
serve the Committee for more than two consecutive terms. For the sake of continuation
one third of members from previous committee need to continue

Meeting Minutes: Meeting minutes shall be recorded and circulated to all members for
consideration. In the next meeting, the minutes shall be confirmed by the members.

Terms of Reference for LAC:

a. To provide general direction to the Library

b. To review the functioning of the library with regards to its support to the
academic programmes of the institute.

c. To advise the management on matters of policy relating to development of

library.

d. To outline the library collection development policy as and when required, for
its implementation.

e. To monitor and evaluate, from time to time, trends and developments in

information technologies, networking, library automation, library cooperation
etc., and to direct the library in their adoption.

f. To suggest ways and means to generate revenue from library resources.

g. To formulate action plan for the development of library infrastructure, facilities,

products and services.

h. Evaluate the suggestions made by the library users

i. To formulate the policy for library use and procedure to be framed

j. To assist library in providing need based information services

k. To review the requirements of the new programmes being introduced and

advise library about financial assistance.

l. Evaluating the books procurement school wise and allocation of budget

accordingly.

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 m. Any other function as assigned by Director

6. Role of IFLA in Good Governance of Libraries

Library associations play a vital role in making good governance work in the libraries. At
the international level, IFLA has developed guidelines for Transparency, Good
Governance and Freedom from Corruption. IFLA considers that:

- Transparency is the basis of good governance and the first step in fighting
corruption. It provides a universal rationale for the provision of good records
management systems, archives, and financial regulatory and monitoring
systems. It is directly linked to the practice of socially responsible authorship
and journalism, the work of editors, the publishing and the distribution of
information through all media.

- Corruption undermines basic social values, threatens the rule of law, and
undermines trust in political institutions. It creates a business environment in
which only the corrupt thrive. It hinders scientific work and research, weakens
the functions of the professions and obstructs the emergence of the knowledge
society. It is a major contribution to the creation and prolongation of human
misery and the inhibiting of development. Corruption succeeds most under
conditions of secrecy and general ignorance.

o IFLA asserts that libraries are in their very essence transparency institutions,
dedicated to making available the most accurate and unbiased educational,
scientific and technical, and socially relevant information to each and everyone.
The information materials and access provided by libraries and information
services contribute to good governance by enlarging the knowledge of citizens
and enriching their discussions and debates.
o Libraries and information services should extend their mission so as to become
more active components in good governance and the struggle against
corruption. In particular they can perform a significant role in informing citizens
of their rights and entitlements.
o IFLA, therefore, calls on all library and information professionals, and all those
responsible for the governance of library and information services at national
and local level to support the following programme:

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- Librarians should counter corruption directly affecting librarianship, as in the
sourcing and supply of library materials, appointments to library posts and
administration of library contracts and finances. Library Associations should
support this through the creation or strengthening of Codes of Professional
Ethics.

- Librarians should strive to improve professional status of all information

professionals and promote better pay for professionals to reduce their
susceptibility to corruption.

- Librarians should reassert their role in educating citizens by developing strong

collections and facilitating access to information on philosophical and
socio/economic/political topics.

- Where a country has information access or freedom of information laws,

librarians should seek to make the library a centre where citizens can be
assisted in drawing up and submitting information requests.

- Where a country does not have information access or freedom of information

laws, or such laws are not effective, librarians should support initiatives to draft,
amend, promote and protect such laws from neglect.

- Training should be organized for librarians and users in the use of the type of
information that will improve citizens’ understanding of the laws and assist
them in the pursuit of their rights and entitlements.

- Libraries should collect information materials issued by official bodies,

particularly those that deal with citizens’ rights and entitlements. They should
seek to make information that is issued by official bodies more comprehensible
and accessible (through indexes, abstracts, search support, etc). They should
also organize digitization and other preservation programmes for official
information relating to laws, rights and entitlements, and facilitate access to
existing databases of these types of information.

- Libraries should be made available as venues for the promotion of information

rights (through posters and other publicity methods) and librarians should seek
to raise awareness of the right to information.

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 - Libraries should create or cooperate in the creation of anti-corruption portals
which link content from official sources, anti-corruption NGOs and other
relevant sources.

- Libraries should support existing and planned citizens’ advice centres provided
by anti-corruption NGOs with information provision, technical assistance with
databases and all other relevant aspects of their professional expertise.

7. Summary

The governance of the library is an important issue for achieving the objectives of a
library. The governance must be clearly spelt out in rules and laws so that there the
decision flows appropriately and no conflict arises in functionaries. The people who are
involved in governance must set examples by accountability, transparency and
qualitative decision making process. The stakeholders of today’s libraries expect strong
leadership. Modern governance must reach beyond budget oversight and a regular
strategic planning exercise. A library board must embrace new ideas, probe its basic
values and raison d’être and forge relationships to generate a comprehensive and
efficient service that reflects its community’s unique needs.

8. References

1. Ansari, M.M., Library management, New Delhi: Shree Publishers, 2003

2. Kumar, PSG., Management of library and information centres, New Delhi: B R

Publishing, 2003

3. Struat, Robert D. and Moran, Barbara, Library and information centre

management, 5th ed., Englewood: Libraries Unlimited, 1998

4. Krishan Kumar, Library manual, New Delhi: Vikas Publishing, 2011

5. Wendell, Laura, Libraries for All!: How to start and run a basic library, Paris:
UNESCO, 1988

6. IFLA Manifesto on Transparency, Good Governance and Freedom from Corruption

http://www.ifla.org/publications/ifla-manifesto-on-transparency-good-governance-
and-freedom-from-corruption

7. Stevens, Charles H.Governance of Library Networks, Library Trends, Fall 1977,

219-240

20
8. Westchester Public Library, Library Governance

http://www.wpl.lib.in.us/policies/library%20governance.pdf

9. Cut to the chase: Ontario Public Library Governance at a glance:

http://accessola.com/olba/pdf/cut_to_the_chase.pdf

10. Levy, Brian, Governance reform: Bridging monitoring and action, World Bank, 2007

11. UNDP, Governance indicators: A user guide, 2 nd ed., 2007

http://www.undg.org/docs/11652/UNDP-Governance-Indicators-Guide-(2007).pdf

12. Debroy, Bibek Agenda for improving governance, New Delhi: Academic
Foundation, 2004

13. India, Planning Commission, 10th Five Year Plan

http://planningcommission.nic.in/plans/planrel/fiveyr/10th/volume1/v1_ch6.pdf

14. Tandon, R., Board games: Governance and accountability in NGOs. The
Earthscan Reader on NGO Management. London, UK. Earthscan Publications,
2002

21
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 07 Organisational structure of the library

Paper Coordinator
Development Team
Principal
Content Investigator
Writer
Dr. Jagdish Arora, Director
&
INFLIBNET Centre, Gandhinagar
Subject Coordinator
Content Reviewer

Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr R K Verma
Content Writer Former Chief Scientist, CSIR - NISCAIR

Retd Mrs Renu Arora

Content Reviewer
Head, Education and Training, CSIR-NISCAIR

Content Reviewer
 MODULE 7

ORGANISATIONAL STRUCTURE OF THE LIBRARY

I. Objectives

The objectives of the unit/ module are to:

- Discuss the process and principles of library structure and related aspects;
- Apply the principles and procedures for creating an organisational structure for a
library;

- Describe the meaning, elements, and functions of organisational structure;

- Elaborate the working of organisational structures along with their models; and

- Establish the basis for departmentalisation.

II. Learning Outcomes

After going this unit/ module you would learn the meaning, elements, and functions of
organisational structure and working of organisational structures along with their
models. You would also learn the bases for departmentalization, the process and
principles of library structure and related aspects. The principles are: Principle of
unity of objective, Principle of efficiency, Principle of specialisation, Principle of
flexibility, Scalar principle, Principle of balance, Principle of personal ability, Unity of
command, Span of control (span of management), Principle of unity of direction,
Delegation of authority and responsibility, Line vs. Staff positions, Coordination and
integration.

III. Structure

1. Introduction

2. Meaning and Scope of Organising

2.1 Organising as a Process

3. Basic Forms of Organisational Structures

4. Organisation Structures

5. Principles of Organising

5.1 Principle of Unity of Objective

5.2 Principle of Efficiency

5.3 Principle of Specialisation

1
 5.4 Principle of Flexibility

5.5 Scalar Principle

5.6 Principle of Balance

5.7 Principle of Personal Ability

5.8 Unity of Command

5.9 Span of Control (Span of Management)

5.10 Principle of Unity of Direction

5.11 Delegation of Authority and Responsibility

5.12 Line vs. Staff positions

5.13 Coordination and Integration

6. Prerequisites for Organising

7. Characteristics of Organising

8. Elements of Organisational Structures

9. Models of Organisational Structure

9.1 Departmentalisation based structure

9.2 Bureaucratic Structure

9.3 Project Based Structure

9.4 Matrix Based Structure

9.5 Network Based Structure

10. Features of a Good Organisational Structure

11. Organisational Charts

12. Summary

13. References

1. Introduction

All the organisations including libraries are considered as a system of functional

elements which are interrelated and interdependent. The term ‘organising’ relates to
the process of defining formal relationships among employees (personnel) and
resources like raw materials, equipments, and capital etc. to accomplish set goals.
For doing this, an organization has to be structured in order to achieve the goals and

2
 objectives. While library planning in terms of providing the necessary framework for
achieving a set goal is required, it is the human effort which translates the plan into
action. Organising is the process of devising the mechanism through which the
efforts of people are directed and coordinated towards goal achievement. So, the
term organising can be defined as the cooperative effort of human beings to achieve
set goals and objectives through a formal relationship. The structure also defines the
role of the functionaries, their relationships, authority and responsibilities. In this
module, the various principles, characteristics, elements as guidelines and models of
organizing structures in libraries have been described. A few features of good
organising have also been enumerated.

2. Meaning and Scope of Organising

The various steps falling under the scope of the word ‘Organising’ include analysis of
all the activities of an organization in to homogeneous types of works and jobs
resulting in to a logical structure. Further steps are to assign the activities to specific
positions and employees, and finally to provide certain means for coordinating the
efforts of individual employees and groups.

On the micro level, the term ‘organising’ refers to the process itself as well as the
result of that process of organising. It is ultimately reduced to a structure which
results from combining the necessary resources for fulfilling the organisation’s
objectives. It also includes the processes of identifying and grouping work, defining
and delegating responsibility and authority, and establishing activity-authority
relationships. In other words, organising differentiates and integrates the activities
necessary to achieve the objectives. Activities are grouped into working divisions,
departments, or other identifiable units mainly by clubbing similar and related duties
and tasks. The resulting structures of the organization take the shape of various
divisions, departments, sections, units or cells obtained on the basis of division of
works and jobs. These structural patterns reflect horizontal and vertical positions,
indicating distribution of work, authority and responsibility, span of control, nature of
duties, work flow, means for evaluation of work output, staff discipline mechanism,
smooth flow, functional points and coordination points, etc.

2.1 Organising as a process

As mentioned above, the process of organizing involves differentiation and

integration of all the activities in the organization. The various step of this process are
given below:

3
- To determine the various activities based on their performance and objectives of
the organization. This also includes type of activity.

- To group the identified activities into closely related and similar activities as
departments and divisions and further into sections, if necessary.

- To decide about the key departments which require more attention and their
relative importance.

- To determine the various levels for which major and minor decisions are to be
taken including centralisation vs. decentralisation .(see sec 7.12.2)

- To determine the number of subordinates who should report directly to each

executive or officer.

- To set up a coordination mechanism so that various

departments/divisions/sections work together in a synergetic way. This assumes
that organising as process should reflect the clear objectives of the organization.
For this purpose, there is requirement of good decision analysis, activity analysis,
and relations analysis.

Besides above steps, the process of organising must reflect the authority,
environment, and the necessary resources available including the human resources.
There are certain identified factors which can affect the organisational structure.
These are: Environment, Technology, and Psychological characteristics of
employees.

Environment

The organizations work within an environment which comprises of social, economic,

and legal systems. Further a change in any system may affect the design of a
particular structure of the organization. The libraries operate in a complex and
continuously changing external environments which may give rise to new challenges.
More responsive or conducive the organization, more favourable will be its impact
and image in the public which eventually will lead to its success and survival.

Technology

Libraries have been adopting modern technologies like computers,

telecommunication, micrographics, reprography, etc. for library automation, and
computerization activities and their impact on the organizational structure is very
substantial.

Psychological Characteristics

4
 The changing psycho-social characteristics of the workers, e.g., formal recognition of
staff unions and leisure time, etc. are also important in deciding organizational
structure.

Other factors

The above three factors are external to the organization with regard to library
management. There are certain other factors namely; management attitudes towards
centralization vs. decentralization, delegation of authority, role of line and staff
employees, scalar principle, and span of control (see section 7).

3. Basic Forms of Organisational Structures

There are two basic forms of organizational structures (see section 13), viz. a formal,
hierarchical or mechanistic form and an informal adaptive or organic model. In the
context of libraries, the traditional hierarchical organisational structures are more
relevant and in practice. Aspects like delegation, centralization, vertical and
horizontal coordination, and departmentalization and their implied principles including
the relationship between organisational structure and technology, formal and informal
organization are also the main concern for librarians as managers.

4. Organisation Structures

An organisation structure is built around the analysis of activities, responsibility for

decisions, and relationships which enable fulfilment of objectives. Activity analysis
leads to departmentalisation, decision making to evolution of the pattern of flow of
authority, and relationships to leading, staffing and communication. The structure
defines the pattern of vertical flow of authority, i.e., ‘level’, and the area over which
the authority runs is known as the ‘span’ of an organisation. As an illustration the
Figure 1 and 2 reflect the level and span of an organisation.

Level-1- Librarian

Level-2- Deputy Librarian

Level-3-Assistant Librarian

Level-4- Senior Professional assistant

Fig.1: Organisational Level

5
 Chief or Director (Information)

-------------------------------------------------------------------------------------------------------------------

Head Head Head Head

Projects Publications Traditional Library services Digital library

---------------------------------------------------------------------------------------------------------------------

Fig. 2: Organisational Span

5. Principles of Organising

Studies have been conducted to develop techniques for activity and workload
analysis, work and job analysis, job definitions and descriptions, models of
organizational structure and similar others. Organizational charts, block diagrams,
work flow charts, etc., portray the functions of an organization very clearly, indicating
its managerial strength. Some general but basic principles of organizing are listed
below:

- The key activities should be clearly defined and grouped on some logical' basis;

- The responsibilities of each division, department, unit and job should be clearly
defined;

- Responsibility and authority should be made equal;

- Authority should be delegated as far down in the organization as possible;

- The number of employees reporting to each officer/manager should be

reasonable;

- The organization should be designed to provide stability, flexibility, perpetuation

and
self-renewal; and

- The organization structure should be evaluated and may be restructured, if

needed on the basis of its contribution to the organization's objectives.

In addition to the above, a few well known principles of organizing which are
interrelated and may help in creating an efficient organisational structure are
described below:

5.1 Principle of unity of objective

6
 This states that the organisational structure should facilitate the contribution of
individuals to the achievement of organisation’s objectives. This is possible only
when the organisation has clearly defined objectives.

5.2 Principle of efficiency

According to this principle the objectives of the enterprise must be accomplished with
minimum unsought consequences or cost. The organisational structure should
enable the enterprise to function in an efficient way.

5.3 Principle of specialisation

This principle states that effective organization must promote specialization. As per
this principle, the officers/executives at higher levels should be approached only in
case of exceptionally complex problems and routine matters should be dealt with by
the subordinates at subsequent lower levels. This is due to the limited time available
with them.

5.4 Principle of flexibility

The organisation should be adaptable to changing circumstances and should

permit growth, expansion and replacement without dislocation and disruption of the
basic design.

5.5 Scalar principle

There should be a clearly defined ultimate authority in every organization. This will
ensure more effective organisational performance and communication. The
responsibility should flow from the top management downwards in a clear unbroken
line of authority. The chain of command is the line along which authority flows from
the top of the organisation to any individual.

5.6 Principle of balance

There should be a reasonable balance in the size of various departments, between

centralisation-and decentralisation, between the span of control and the number of
levels and among all type of factors, viz. human, technical and financial.

5.7 Principle of personal ability

The organisational structure must ensure optimum use of human resources.

5.8 Unity of command

Each person should report to only one immediate superior, i.e., each employee
should have only one supervisor. Dual subordination must be avoided.

7
5.9 Span of control (span of management)

There should be a limit o f number of direct subordinates reporting to a manager.

The span of control should minimum and should depend on the nature and variety of
activities, the time required for each activity and the person.

5.10 Principle of unity of direction

There should be one objective and one plan for a group of activities having the same
objective. Unity of direction facilities unification and coordination of activities at
various levels.

5.11 Delegation of authority and responsibility

In this process of delegation of authority, t h e r e s h ou l d be a consideration o f

the results expected, the tasks assigned, the degree of delegation required to
accomplish, and the tasks and there possibility to be fixed. The authority delegated
should be equal to their possibility. Further, there are three sub-principles relating to
delegation. These are:

a. Principle of delegation: This states that the authority delegated to an

individual officer/manager should be adequate to ensure his ability to
accomplish their results expected from him/her.

b. Principle of absoluteness of responsibility: This principle says that the

responsibility of the subordinate to his superior for performance is absolute,
and no superior can escape responsibility for the organisational activities of
his/her subordinates.

c. The authority-level principle: This relates to the m aintenance of intended

delegation which requires that decisions within the authority and competence
of an individual officer/manager be made by him and not be referred upward in
the organisational structure.

Responsibility pertains to what one must do and accountability is the process by

which individuals can be called upon to justify their actions. Accountability is the
process of enforcing responsibility. I n ge neral, one is administratively
accountable to one’s supervisor. It may be noted that the delegation not only helps
to create an organisational structure but also relieves an officer/manager of his
heavy workload, leads to speedy and better decisions and boosts morale in the
organisation. However, there are some hurdles to effective delegation e.g. fear of
loss of power, lack of confidence in subordinates, fear of being exposed, inability
and difficulty in briefing and the feeling that one can do it better itself.

8
5.12 Line vs. staff positions

Line refers to the command authority of supervisors over their subordinates .Line
positions are directly responsible and accountable for the tasks assigned. Line
activities are activities that are directly involved in the fulfilment of the primary
mission of the organisation. On the other hand, staff activities are those which
provide advice, support and service to the line positions and do not carry command
authority and responsibility. Staff positions do not fall into the hierarchical structure
of the organisation. They are usually in the form of assistant or advisory, specialised
and corporate staff. The staff authority varies from consultation (voluntary and
compulsory) to concurring to the extreme case of functional authority where staff
specialist has a direct common authority in a functional area over line manager. The
relationship between line and staff in any organisation should be direct, cordial, and
vertical at different levels.

There may be some occasions when a conflict may arise due to difference in
perceptions between them, thee a caucusing the other and feeling that the other is
slowly reducing one's authority or interfering or is non-cooperative. The line-staff
conflict should be reduced to minimum. The specialised knowledge, the
sophisticated system developed, the image consciousness of staff experts, and the
importance due to the responsibility for implementation of advice and authority of the
line staff cause these conflicts. Resolving line-staff conflicts often difficult. The only
way is better understanding of the nature of the relationship and empathy.

Functional Authority

The functional organisation is a modification and exception of the line and staff
organisation where by staff departments are give an authority over line personnel in
narrow areas of specialisation. Functional authority is the right of staff specialists to
issue orders in the own names in designated areas. Functional authority is the
supervisory power exercised by a person outside the unit i.e., staff specialist on unit.
Functional authority violates the principle of unity of command. In the case of
functions like safety and labour relations, which are of crucial importance, this kind of
functional authority sin p r ac tic e . In large libraries, important projects like library
automation may require functional authority. Enough care should be taken in
handling such situations.

Centralisation vs. Decentralisation

This is a major issue in organizing libraries. Centralisation is the degree which authority is
retained by higher-level managers within an organisation rather than being

9
delegated, There are many arguments in favour of both centralisation and
decentralisation. A manager has to take note of some important factors before
deciding on the degree of centralisation.

Among positive points which centralization ensures is the human behaviour itself.
The fact that the same is likely to produce uniformity of policy and action, have
fewer risks of errors by subordinates, and can utilise skills of central specialised
experts and enable closer control of operations are to be noted.

On the other hand, decentralisation has advantages, e.g., it produces speeder

decisions and actions on the spot, decisions that are more likely to be adapted to
local' conditions, greater interest and enthusiasm of subordinates and saves the time
of the top management for other activities like planning, policies, etc. The other
factors to be taken note of include the cost of decentralisation, the size and
complexity of the organisation since larger, diverse and complex activities require
more decentralisation, institutional history, managerial philosophy, the ability of
available personnel, the geographical dispersal of the organisation, e.g., more the
dispersion more decentralisation, competence of available personnel, adequacy of
the communication system; and the fact that new technologies like ICT have made
it possible to go for decentralisation. In large libraries, house- keeping operations
like acquisition, technical processing, printing, reprography, etc. can be effectively
centralised. But user services and operations have to be decentralised. A judicious
combination of both should be a d o p t e d for best results based on the factors
mentioned above.

Delegation vs. Decentralisation

It may be noted here that delegations process, where as decentralisation is the end
result of delegation and dispersal of authority. In delegation, a superior continues to
be responsible for the work delegated to his subordinates, where as in
decentralisation the supervisor is relieved of his responsibility for that. Delegation is
essential, but decentralization is optional.

Coordination and Integration

Coordination is also a part of library management and is the process of ensuring that
persons and units who perform interdependent activities work together in a way that
contributes to overall goal attainment. It is the process of linking various activities to
achieve a functional whole. On the other hand, integration is the unified control of a
number of successive or similar operations. An effective organisation structure not
only requires vertical and horizontal coordination but also perfect integration of

10
 functions. Vertical coordination is concerned with linking of superiors and
subordinates and of units at different levels of the organisation. Horizontal
coordination is concerned with linking of peers and units at similar organisational
levels.

Libraries as service organisations should lay emphasis on efficient and personalised

services as well as friendly and courteous behaviour. As such integration is essential
in libraries where differentiated units work toward common objectives. Them or
differentiated and specialised are the activities, the greater the need for coordination
and integration. In this context, three elements, namely, (i) authority delegated
through hierarchical relationships, (ii) administrative procedures and systems, and
(iii) communication network in the organisation help the integration of various units in
the organisation.

6. Prerequisites for Organising

In addition to the above principles of organising, there are some points which are
important for ensuring a good organisational structure. These are:

i. An excellent communication system both within an organisations well as to

authorities and the users/public at large,

ii. Extensive designing of library rules, regulations, policies and procedures and
manuals,

iii. Systematic, periodical collection and processing of statistical data which is

most crucial for establishing a good communication system with stake-holders,
and

iv. The complex structure created requires rules and regulations to guide
customers and bring in equality and discipline and avoid misuse,
inconsistency among duties and discrimination.

7. Characteristics of Organising

It is a general and common practice to distribute and club the activities of an

organisation into desirable units to get best management results. But the
characteristics chosen for division should, however, be relevant the purpose and
should produce the expected and desired results. The process of grouping related
work activities in to manageable units is known as departmentation. The purpose of
departmentation is to contribute to the more efficient and effective use of
organisational resources.

11
 Functional similarity is the main basis and criteria for grouping similar work activities.
But some of the factors which affect the objective of grouping functionally similar
work share:

- Inadequate volume of work to allow specialisation

- traditions

- work rules

- personal preferences

- Similarity of functions like inventory control to others in the organisation.

Some similar functions may have to be separated to prevent conflicts of interest and,
sometimes, dissimilar functions may have to be combined to achieve coordination.

8. Elements of Organisational Structures

Various conflicting situations arise due to multiple objectives which are expected to
be served by organizational structures. To keep the same to the minimum level, a set
of key elements of organizational structures are suggested as below:

- Job description and making ‘organizational charts’ by the network of formal

relationships and duties;

- Tasks and duties should be assigned to different people and departments to

be known as ‘differentiation’;

- Separate activities and tasks should be coordinated viz. ‘integration’;

- Maintaining the power, status and hierarchical relationships within the

organization, i.e., 'authority system’;

- The planned and formalized policies, procedures and controls that guide the
activities and relationships known as ‘administrative system’; and

- The flow of the information and communication

network

9. Models of Organisational Structure

There are five major types or forms of formal organisational structures. These are:

- Departmentalisation based structure

- Bureaucratic structure

- Project organization based structure

12
 - Matrix based structure, and

- Network based structure

9.1 Departmentalisation based structure

This structure involves a logical grouping of activities into departments, divisions,

groups and sections with the authority which is reduced hierarchically downwards the
line. The various criteria to be used for organising structures are discussed. Normally,
the following basis is used to establish departments: ( i) subjects (ii) functions (iii)
territory iv) products and v) customers. Each of these methods of division for
organizing is discussed as under:

Subjects

Public and academic libraries use this method of organising extensively. It provides
for more in - depth reference and information services, requiring a higher degree of
subject specialisation on the part of the staff.

There is, however, no set pattern that determines the subjects to be included in a
subject department or no set number of subjects. In academic libraries, subject
departments are usually broad in scope to include all related subjects, such as
humanities, social sciences and sciences. In large public libraries, subject
departments such as business, fine arts, and local history are common. There are
definite advantages in subject organisation. All material dealing with a group of
subjects may be brought together and services organised to meet the interests of
users. The only disadvantage is perhaps the high cost, both in terms of money spent
induplication of materials and the quality of staff required. But the advantages
certainly over whelming to invest in this type of subject organisation.

Function

This is the most common criteria for divisions/departments. Practically all libraries
use this form which divides a library into functional departments such as acquisition,
technical processing, reference services, bibliography, maintenance, circulation,
information, documentation and user’s services, etc.

Division based on functions, is a simple, logical and time-proved method, and has
the advantages of allowing occupational specialisation, helping the easy assessment
of the contribution of each subunit, simplifying training, allowing for defining the
power and prestige as well as tight control of each activity by top management and
ensuring convoy in resource utilisation. However, this method also has some
disadvantages such as unhealthy competition for resources, disagreements on

13
common works, separating house-keeping operations from customers, creation of
friction around departments, difficulties in achieving coordination and responsibilities
resting only with chief executives. It may be noted that wide geographical
distribution, heterogeneous customer groups and dissimilar services come in the
way of functional departmentation. Yet, most libraries use this method for organising
their work and service.

Territory

Public libraries use this method of division to serve different branches, bookmobiles
and other service units. In a national library system, regional libraries are organized
on the basis of their geographical contiguity. But this method may not suit other
types of libraries, as there is little scope for such a division. The advantages of
territorial design are encouragement for local participation in decision making and
recruitment, economy and emphasis on local custom, style and preferences. Among
the disadvantages, duplication of activities, short-run competition among
themselves, poor communication facilities, and slow decision making and action are
noticed.

Products

Large industrial undertakings use this method of organisation as they specialise in

manufacturing different products. Libraries and information units’ attached to such
industrial houses may have to follow the practice of their parent organisations. If we
can consider secondary publications brought out by libraries such as abstracting
journals, current awareness bulletins, and indexing journals, etc. as information
products, the publication department of the library may organise its work in this way.
This method of organising has the advantage of keeping time schedules, ensuring
use of their products and saleability, comparing performance of different products,
and allowing scope for stimulating improved performance and deriving satisfaction.
The demerits included duplications of staff, facilities, equipment and extra
expenditure.

Customers

This method of organisation in libraries is observed in public libraries. Business

operates its services totally based on customer interests and groups. Separate
services for children, students, physically handicapped, blind, etc. are based on this
principle of division. The obvious advantage of this type of organisation is that it
allows the library to meet the special and widely varying needs of different users and
earns the goodwill of customers. The disadvantages are similar to those of

14
 territorial divisions, particularly duplication off abilities and under utilisation of
resources and facilities. Often coordination among different units becomes difficult
because of varying interests.

Combined methods

Libraries have al soused these methods, as well as a few more, but interpret them
differently to their own contexts. Libraries have used the subject or form of
documents as a useful criterion for division. It may be noted that, no single criterion
has been found workable for a situations and hence libraries have been using
varying combinations of these basis to produce a hybrid structure. There is no
unique or single method of dividing the activities of library to create a structure.
There are positive as well as negative points associated with each of them. As a
result, a library uses combination of several of these methods keeping in view the
purpose of creating a structure, i.e., an effective service. As an example, a public
library generally may have a subject unit by combining several subjects, circulation
unit, i.e., function, service to business or children(customer), branch
libraries(territory), etc. An academic library may organise the house keeping
operations function wise while the services may be on the basis of subjects or
customer irrespective of their type, such an exercise of creating an appropriate
organisational structure becomes necessary in large libraries. However, for smaller
libraries, function wise division may normally meet most of their requirements. With
the applications of ICT, i.e., computerisation of library operations and services,
the organisational setup of libraries are undergoing changes. Consequently, all
housekeeping operations may invariably be centralised while the service points,
maybe decentralised. However, irrespective of the organisational structure of library,
the organising processes and principles would still be valid.

9.2 Bureaucratic structure

This is the oldest form of organisation to develop, and is hierarchical, formal, and
mechanistic in nature. The main features of bureaucratic structure are:

- Controlling and supervising through the creation of a hierarchy of positions

having authority and responsibility.

- Systematic division of labour on the basis of competency and specialization.

- Framing of rules and regulations to ensure uniformity, continuity, coordination of

efforts, and stability.

- Impersonal relationship to ensure and achieve unbiased execution.

15
 Besides the above plus points of bureaucratic structure, there are some pitfalls also
as dysfunctional aspects of the same. These are:

- Specialisation, leads to conflict between different bureaucratic units which may

be detrimental to the overall objective;

- Formation of status-conscious groups;

- Rigid and religious application of rules, and procedures often by incapable

hands leading to red-tapism;

- Impersonal approach to problems and individuals which may result in inhuman,

narrow-minded and negative attitudes;

- The structure is neither conducive to attract technical talent nor to the initiative
taking attitude; and

- Unnecessary delay and notional accountability.

Despite the above drawbacks, the bureaucratic structure of some of its fundamental
features like limited span of control, unity of command, equal authority and
responsibility, and delegation of routine matters still form the foundation of most
management structures.

9.3 Project based structure

The scope of the work involved in project mode and its management includes
complexity of operations, fixed time schedules of delivery, numerous components
and agencies to be dealt with. Also the need for a great deal of planning, research,
coordination and control are features common to large projects. The bureaucratic
and departmentalization structures have not been able to cope with project
managements, so, a different type of organisation structure that is ‘organic’ in nature
has gradually developed which is termed as the project organization. This type of
structure is opposite to the vertical organisation structure which has horizontal and
diagonal relationships. Here the project manager holds the sole authority and
responsibility for planning, organising and completing a project which may many
variations of this basic pattern. In libraries the common example is the library
Automation which is conducted in the project mode involving staff with different
specializations, e.g., library science, computer science, administrative and financial
aspects, etc. This structure violates the vertical formal and mechanistic structure and
belongs to organic structure as mentioned above.

9.4 Matrix based structure

16
 This is an organizational structure which facilitates the horizontal flow of information.
It is used mainly in the management of large projects or development processes,
drawing employees from different functional disciplines for assignment to a team
without removing them from their respective positions. In other words, it means that
the institution deals with multiple products and/or projects, organising on the basis of
products or projects is an appropriate method of division of work and responsibility.
This type of division when integrated with the functional organisation constitutes a
type of matrix based structure. Employees in a matrix organization report on day-to-
day performance to the project or product manager whose authority flows sideways
(horizontally) across departmental boundaries. They also continue to report on their
overall performance to the head of their department whose authority flows
downwards (vertically) within his or her department. In addition to a multiple
command and control structure, a matrix organization necessitates new support
mechanisms, organizational culture, and behaviour patterns. Developed at the US
National Aeronautics & Space Administration (NASA) in association with its
suppliers, this structure gets its name from its resemblance to a table (matrix) where
every element is included in a row as well as a column. The success of the matrix
structure is dependent on the roles, expectations and understanding of various
members of the matrix system. This implies a great deal of sharing of information and
creating mutual confidence.

The matrix structure blends the functional and divisional structures, gaining the
advantages of both. Each person belongs to a functional department such as
production, reporting to a supervisor above. Each person also answers to a project
team or business unit. Teams benefit from the functional expertise of members, while
the functional hierarchy exerts a measure of control and accountability for business
activities. The downside is, of course, that whenever one who has two supervisors
with possible conflicting interests and loyalties, divisional and functional power
struggles can erupt.

9.5 Network based structure

A network based structure is formed when two or more geographically separated

organisational units with common functions are joined together through channels of
communication. For example, hotel chains, and airlines follow this type of network
structure. Libraries also work on this concept of resources utilisation and sharing. In
this type of structure, the enterprise relies on outside agencies/companies rather than
hiring workers for all of its business functions. The networking company can employ
few workers, while enjoying the reach, capacity and functionality of a larger business.

17
 It may, for example, hire an outside manufacturer to produce its products. The
network structure lowers costs and gains flexibility because it uses outside help
according to need. However, creating a network-based company means losing
control over whatever processes the company delegates to others.

10. Features of a Good Organisational Structure

Some of the salient features of a good organisation structure are:

- It should ensure the achievement of objectives in an efficient and effective way.

- Organisational levels (as the scalar relationship) and span of management
should be balanced to achieve optimum results. It should also be seen that the
number of levels should match the number of functions and the complexity of
the organisation. For example, too many levels lead to confusion, a diffused
exercise of authority, an increase in overhead costs, blocking of
communication channels, and a lack of consistency and cohesiveness in
decision making in a few hands.
- The span of management depends on the level and may vary from organisation
to organisation. A span with 3 to 5 subordinates at higher level and 5 to 8 at
lower level, where subordinates have to work out only specific tasks, seems to
be most conducive for obtaining the best results in library organisations. In this
way, such a structure maintains correct and effective superior-subordinate
relationships and saves time. Further, this structure can cope with the
continuously evolving nature of the organisation and hence allows flexibility and
an ability to respond to external and internal changes in environment.

11. Organisational Charts

An organisational chart is simply a graphic presentation of organisational structure

which indicates hierarchical and vertical positions, span of management,
relationships between line and staff positions, flow of authority, responsibility, and
communication. It gives an overall picture of the structure. So it is easier to identify
the weak links in the chain, conflicting situations, friction, and imbalances, if any.
This exercise helps in restructuring the whole organization also. However, with the
passage of time, an organizational structure becomes inflexible, and may not cope
with the uncontrolled changes in external environment, which may create uncertainty
in the minds of employees. On the other hand, too many changes in short time may
give rise to the condition of instability and confusion among the staff. In such a
situation, a balanced approach keeping in view the basic elements of organizing
may be fruitful.

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12. Summary

The various aspects of organisational structures for the library have been described.
Besides the basic points like meaning, scope, elements as guidelines, this module
has covered the process of organizing, principles, characteristics, models and
various points for good organising. The major type of the model i.e.
Departmentalisation describes the criteria and basis for the same which include
subject, function, customer, product, and territory as the most common and
practiced method in libraries, though the combination of more than two methods
under departmentalization is not uncommon. Among good features of organizational
structure, the issue of balancing span of management with levels is important.
Whatever be the organizational structure, it should be able to cope with the
continuously evolving nature of the organization and hence should allow flexibility
and ability to respond to the external and internal changes in the environment

13. References

1. Evans G et. al. Beyond the basics: The management guide for library and information
professions Public librarian’s human resources handbook: employer rights and
responsibilities. Neal Schuman Publishers, New York, 2003
2. Grifftin, Ricky: Principles of management. 4th ed. Houghton Mifflin, Boston, 2005
3. Ghosh, M. “The Public Library System in India: Challenges and
Opportunities.”Library Review54, no. 3(2005), 180-91.
4. Luthans, Fred. Organisational behaviour, 3rd ed. McGraw Hill Kogakusha, Tokyo,
1981
5. Mondy,R Wayne et. al. Management: Concept and practices, 4th ed. Allyn and Bacon
Inc., Boston, 1988
6. Tripathi PC and Reddy P N. Principles of Management. 2nd ed., Tata McGraw Hill,
New Delhi, 1991.

19
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 08 Different sections of a modern library and their

functions

Paper Coordinator
Development Team
Principal
Content Investigator
Writer
Dr. Jagdish Arora, Director
&
INFLIBNET Centre, Gandhinagar
Subject Coordinator
Content Reviewer

Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs C M Anand
Content Writer Retd Scientist F, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE-08

DIFFERENT SECTIONS OF MODERN LIBRARIES AND THEIR FUNCTIONS

I. Objectives

The objectives of the unit/module are to:

- Distinguish between an automatic, digital, virtual and modern library

- Identify different sections of a modern library

- Explain functions of different sections of a traditional and a modern library

- Describe the advantages of computerized housekeeping operations of a library

over manual ones

II. Learning Outcomes

After going through this unit/module, you would understand that organizing modern
libraries into different sections and describing their functions is a challenging task. You
would learn about the concept of modern library; sections of a modern library, such as:
acquisition section, technical processing section, periodicals section, readers’ services
section, administration and accounts section, and information technology section.

III. Structure

1. Introduction
2. Modern Libraries Categories
2.1 Automated Library
2.2 Digital Library
2.3 Virtual Library
3. Modern Library
3.1 Sections of a Modern Library
4. Summary

5. References

1. Introduction

Libraries are universally recognized as social institutions and no community is complete

without a library. For example, a public library is an important element in the life of a
community, an academic library (school, college and university) is an integral part of an

1
 education system and a special library is an indispensable tool in R & D institutions,
government departments, large business and industrial houses. All these libraries have
been adapting new technologies to serve their respective user community in a better
way.

Advances in computers and communication technologies have completely revolutionized

the library system and services. The traditional libraries are changing rapidly by adopting
these new technologies in their routine library operations, collection development and for
providing state-of-the art user services. The libraries are using integrated library
management software packages for automating their house keeping functions like
acquisition, serial control, circulation and other administrative activities. With the
emergence of new digital means of storage and dissemination of information, libraries
are not only modernizing their services, but are offering their services to users in remote
locations. Several library networking systems have been formed for resource sharing
and cooperation. Library consortia are being formed for collective acquisition of digital
resources for the benefit of user community. There is an ongoing transition of traditional
libraries to modern libraries throughout the world including India.

2. Modern Libraries Categories

An automated library, a digital library and a virtual library, all come in the category of
modern libraries.

2.1 Automated library

In an automated library all housekeeping activities such as acquisition, cataloguing,

circulation, serials control, etc. are automated with the help of computers and integrated
library management software package. This improves the basic functions and services
of a library. Library work consists of a number of inter-related activities and the data
generated during these activities are of repetitive in nature and useful in different
sections. The Manual work involves repeating the same activity in different sections of a
library. The aim of automation is to integrate these activities and minimize repetition of
work.

2.2 Digital library

There are many definitions of digital library. Basically a digital library is a library in which
collections are stored in digital formats and are accessible by computers and other
electronic devices via intranet or internet. In general, the digital library is a structured,

2
 processed and organized digital repository of knowledge. Such repository is created to
serve the user community as the traditional library serves the users. For example Digital
Library of India (DLI) is a digital library of books, predominantly in Indian languages
which are searchable and are available free to everyone over the Internet. In addition,
DLI provides links to 6 Indian online newspapers and INSA (Indian National Science
Academy) journals.

Fig.1: Snapshot of Digital Library of India (http://www.newdli.ernet.in/)

Digital libraries basically store materials in electronic formats and manipulate large
collection of these materials effectively. Research into digital libraries is research into
network information systems, concentrating on how to develop the necessary
infrastructure to effectively manipulate the information on the Net (National science
Foundation 1999).

Digital Library may be considered as a resource that reconstructs the intellectual

substance and services of a traditional library into digital form. Digital libraries are not
replacements for traditional libraries, rather the future of traditional libraries, much as
medieval manuscript libraries simply became a specialized and much revered part of the
larger print based libraries that we have today. (Michael Seadle).

Thus, a digital library may be an individual or independent library or may form a part of a
modern library which may be an academic, public or special library.

2.3 Virtual library

Virtual library is a collection of resources available on one or more computer systems,

where a single interface or entry point to the collection is provided online. The key point

3
 is user need not know where particular resources are located. A virtual library provides
links to resources stored in different servers around the world. The library is virtual in
the sense, that it does not have any physical collection of resources. It aggregates
distributed resources, categorizes them and provides links to these resources from its
website. The emphasis in virtual library is on organization and access, not on
developing physical collections. For example The ‘WWW Virtual Library’ is a catalogue
of Web pages compiled by Confederation of Volunteers, who compile pages of key links
for particular area in which they have expertise.

Fig.2: Snapshot of WWW Virtual library (http://www.vlib.org/)

3. Modern Library

A modern library can be defined as a dynamic institution engaged in acquisition and

maintenance of collection, both general and specialized, in variety of media and format,
with a view to serve users, who may consult resources within the library or online, or
may require reference service in person or remotely. A modern library maintains an
accessible website and relies on technologies for enhancing its services. It makes
concerted effort to provide services to its users as per their need, besides providing
place based services.

Some examples of the modern libraries in India are Library of Indian Institute of
Technology, Delhi (an academic library), JRD Tata Memorial Library of Indian Institute of
Science, Bangalore (a special Library) , National Library, Kolkata and Connemara Public
Library, Chennai ( public libraries).

4
 Fig.3: Central Liibrary, IIT, Delhi.JRD Tata Memorial Library, IIS, Bangalore

Source:http://www.iitd.ac.in/ Source: http://www.iisc.ernet.ac.in/

Fig.4: National Library, KolkataConnemera Public Library, Chennai

Source: (http://www.nationallibrary.gov.in/) (http://www.connemarapubliclibrarychennai.com)

This Module deals with functions of different sections of a modern library, which is
automated, has print as well as electronic resources and provides traditional as well as
IT based services. It provides access to its in-house collection as well as remote
collection on its web site. In addition it provides place based services in the library
premises.

3.1 Sections of a modern library

5
Library needs a simple and systematic organizational structure to achieve its goals and
objectives. For organizing functions of a library, its activities relating to each function are
divided into works and jobs, and then grouped and arranged into desirable sections or
units. These sections or units are arranged to form an organizational structure. The
criteria used for creating sections or units in a library are. I) Functions; ii) Users; iii)
Information Products; iv) Process or Equipment; v) Subjects; and vi) Materials. The most
common form of organizational design is the functional structure. This divides the library
into functional divisions/sections/units such as Acquisition, Technical Processing,
Circulation, Reference, Maintenance etc.

Any library, irrespective of its size or type, procures, organizes, and displays the
collection for the users. In addition, libraries offer different services to their respective
users. The above work in a library is carried out by different sections/divisions of the
library. For example acquisition section is responsible for procurement of the resources,
technical processing section is responsible for classification and cataloguing of the
resources, maintenance section is responsible for display and maintenance of these
resources and user services division/section provides different services to the users
including circulation service, reference service, etc. Apart from these sections or
divisions there is an administration division which looks into the administrative activities
of the library including the maintenance of building, furniture, security, etc. The libraries
subscribing to large number of periodicals have serials division/section which handles
the procurements of serials. Serials include periodicals, newspapers, annuals (such as
yearbooks and annual reports), proceedings and transactions of societies and numbered
monographic series. Libraries offering IT services may also have an additional
information technology division to provide computer terminals for Internet access and
CD-ROM workstations.

The number of sections/ divisions in a library may vary from basic 6 divisions to as many
as 15 divisions. For example in big libraries like National library, Kolkata there are as
many as 31 divisions and under these divisions there are 20 sub-divisions to carry out
different activities of the divisions.

6
Fig.5: Divisions of National Library, Kolkata. Source: http://www.nationallibrary.gov.in)

Similarly in a university library there may be as many as 15 divisions depending upon

the type of collection and services offered. For example in Mysore University Library,
there are 15 Divisions to carry out different activities of the library.

Most of the library automation packages offer basic 5 modules for automation of
activities of different divisions of a library. This module will cover in detail these modules
and compare with the sections/divisions of a traditional library, where the entire work is
carried out manually.

Traditional Library Sections/Divisions Integrated Library

Automation System

Acquisition Section/ Division Acquisition

Periodicals Section/Division Serial Control

Technical Processing Section/Division Catalogue

Circulation Section Circulation

Maintenance Section/Division OPAC

User Services Section/Division

Administration and Accounts Section

7
Acquisition Section

Function of Acquisition Section of the library is to procure library material. Procurement

of the library material for a new library is governed by the need for development of basic
collection along with acquisition of new publications. In an existing library the new
publications are acquired keeping in view the expressed demands and in anticipation.
The library material acquired by the libraries can be divided into three distinct categories,
viz. i) Monograph publications; ii) Serial or periodical publications; and iii) Material on
other media like audio-video films, magnetic, optical or electronic media.

In most of the libraries monograph publications like single or multi-volume books, text-
books, reference books, annuals, dissertations, etc. are procured by the acquisition
section. Serials or periodical publications are procured by the periodical section. Library
material on other media is generally procured by the acquisition section but maintained
and handled by the media department of the library.

Acquisition section performs following tasks:

- Selection of documents for procurement

- Checking of documents to avoid duplication
- Getting approval from competent authority
- Sorting out rejected items
- Getting sanction for ordering of approved documents
- Ordering of documents
- Claiming/ cancellation of orders
- Receiving and invoice processing
- Payment and tracking fund allocation and adjustments
- Accessioning of documents
- Sending the documents to Technical Processing Section
Selection of Documents

Suggestions for purchase of documents are received by the library from users, library
staff, vendors, etc. Document Selection is done by the library staff, library committee and
the users. The library staff may note down the new items to be procured and present
them to the subject experts for approval. Subject experts or other users may also

8
recommend certain items to be purchased. But, in all the cases, it is the responsibility of
the acquisition staff to check that any item recommended for procurement is not already
available in the library to avoid duplication. The bibliographical details of each item
suggested for procurement are noted down on a standard card by the Acquisition
Section.

Checking of Documents to Avoid Duplication

This is done by checking each provisionally selected item with the existing library
catalogue and four different trays where cards pertaining to documents already selected,
documents already ordered, documents already received and documents in the
accessioning process are kept.

Getting Approval

A list of provisionally selected items is prepared and sent to the competent authority for
approval. In an academic library the list is sent to the subject expert like head of the
department of the respective subject.

Sorting Out Rejected Items

Once the list is received back, cards pertaining to the items marked rejected or pending
are taken out from the tray. Cards for rejected items are destroyed and for pending
items are shifted in another tray. Thus, the tray now contains all the items which are to
be procured. The tray can be labeled as “Documents Approved’.

Procurement of Documents

In a library documents are procured in five ways, viz. i) Purchase; ii) Gifts; iii)
Institutional membership, iv) Deposits and v) Exchange. Purchase form the major
means of acquiring the documents in any library.

Ordering of Documents

For placing order the formal sanction is obtained from the sanctioning authority. For this
purpose separate lists are to be typed out for subject or category of documents as per
the classification in the budget allocation. The necessary financial report is prepared to
accompany the lists including the total estimated cost, total allotment in each case,
amount already spent and balance budget available. Sanction is obtained for each list. If
any alteration and deletion is made in the list the same is to be entered in the respective
cards also.

9
Once the sanction is obtained the items are ordered with the respective supplier.
Different practices are followed by the libraries in the choice of supplier. Following
methods are available for placing order with the supplier:-

- Inquiry/Tender Method

- Quotation Method

- Standing Vendor Method

- Book-on-Approval Method

- Open Purchase

- Direct Ordering with the Publishers

A library may use one or more of these methods. The choice of supplier is mainly
governed by three factors, such as i) Trade discount; ii) Conversion rates of currencies;
and iii) Timely supply of ordered items, in perfect condition and at the correct price.

The order placing work consists of tallying the selection list with the corresponding cards
to sort out items for different means of procurement and different types of orders. The
lists are then finalized for placing order. The cost incurred by each list is then verified
and the amount noted in the Budget Allocation Register. Order lists are then prepared in
triplicate. Original order list along with the covering letter is sent to the supplier. Second
copy of the order is sent to the concerned expert or department for information and third
copy of the order is filed in the section. The cards belonging to the items ordered are
taken out, order details are noted down on them and then cards are arranged in a tray
labeled as “Documents-on-order”. Other cards are filed separately for appropriate action.

Once the order is placed with the suppliers, they are required to be chased for
incomplete delivery, wrong invoices, delayed delivery and so on and so forth. When the
supply is received, the documents and the bills are matched with the Order list. If any
discrepancy is observed either in the number of items supplied, or physical condition of
any document or the amount charged, the same is notified to the concerned supplier.
When the supply is found acceptable, the cards relating to the items supplied are taken
out from the “documents-on-Order” tray and supply date and bill number are noted down
on each card. The documents and cards are then sent for accessioning.

Accessioning

10
Accession register is basic record in the library about each document received by the
library. The general practice in libraries is to have a single register in which all
documents, purchased or received by other means are entered. But some libraries have
separate accession registers for items received as gifts or deposit. Some libraries have
accession register in a card form.

Documents are entered in the Accession Register date-wise according to their receipt in
the library. All purchased documents are entered in the order of the bills. For this
purpose bills are first arranged in the ascending order of their dates. Documents covered
by each bill are then arranged and kept in the order in which they are listed in the bill.
Document after document along with the bill details are then entered into the Accession
Register keeping, the Accession Numbers running continuously. Accession Number
assigned to each document entered in the Accession Register will be a unique number
which can identify that document. The accession Number is then written legibly on the
verso of the title page and if necessary on the clue page of the document. The same
number is then noted on the bill against each item. After entering all the items covered
by one bill a certificate is furnished on the bill stating, “All the documents as per the bill
have been duly entered in the accession register vide Accession Numbers
from……….to………” The bills relating to books accessioned are then sent for Bill
Passing Work and documents are sent to Technical Department for processing. The
cards pertaining to these items are taken out, and date of accessioning and accession
numbers are written and cards are filed in a tray labeled as “documents-in-Process.”

Bill Passing Work

Every bill is scrutinized by checking the calculations, conversion rates, if any, and
discounts. When verified and found correct, then a certificate is furnished on each bill
stating that the bill is in order and the payment may be made to the supplier. Each
certified bill along with the Accession Register is sent to the librarian for checking the bill
and corresponding entry in the Accession Register and finally for passing the bill for
payment. The librarian after duly checking all details signs the bill and sends it to the
Accounts Section for payment.

Computerized Acquisition System

In an Integrated Library management System (ILMS), the Acquisition Module enables

the library staff to handle all major functions such as selection and approval process;

11
order processing, sending of reminders or cancellation; Receipt of orders, payment and
budgetary control; files pertaining to vendors, publishers, etc.; currency conversion and
generation of various reports. In such system data pertaining to each document is
entered once only and the same record is used for selection, approval and for ordering
purposes. Corresponding lists and reports are generated by the system. Once supply is
received and receipt details are added in the record the record and the corresponding
document are ready for accessioning. In many ILMS, once the bill number and date of
receipt are entered in the record, the system generates accession number which can be
noted down on the corresponding document. Once a document is accessioned the
record pertaining to that document moves to processing section for classification and
cataloguing.

Technical Processing Section

Technical Processing Section is one of the most important sections of a library. While
Acquisition Section is responsible for building good library collection, this section is
responsible for making this collection into serviceable form. Two main functions
performed by this section are i) Technical processing i.e. Classification and
Cataloguing, and ii) Physical preparation of documents for circulation and use.

The Technical Processing Section may consist of various units, such as Classification
Unit, Cataloguing Unit and Book Processing Unit, to carry out different activities.

Documents after accessioning are classified here. Classification helps the books on the
same subject to be placed together. There are many classification schemes available.
Some of the most commonly used classification schemes are i) Dewey Decimal
Classification Scheme (DDC); ii) Universal Decimal Classification Scheme (UDC); and
iii) Library of Congress Classification Scheme. Colon Classification Scheme of Dr. S. R.
Ranganathan is analytico-synthetic scheme, where class number is constructed based
on certain rules with sound theoretical principles. But, due to lack of continuous revision
this scheme is not used by many libraries. The other above mentioned three schemes
are enumerative ones and are under constant revision to accommodate newly emerging
subjects. Latest edition of DDC (23rd Edition) is available in both print (4 Volumes) and
Web format (WebDewey).

Classification Unit

12
Documents received after accessioning are classified by the classifier in the
Classification Unit. Following jobs are carried out by the classifier

- Checking for duplicates;

- Identifying specific subject of the document;

- Referring to the classification schedule and assigning the class number;

- Assigning Book Number

- Assigning Subject Headings

When books/documents are received by the classifier he/she checks for duplicates in
the library catalogue, if the concerned book is new edition of a book already available in
the library, then same class number is assigned to the new book. For assigning class
number to other documents, specific subject of the book is first determined. Title of the
book helps in determining the subject of the book. In case title is misleading, then
forward, preface, table of contents are read to find the subject. Once the subject of the
document is identified, the classification schedule is consulted to assign the class
number. Class number is written on flyleaf of the book with pencil. Pencil is used
because class number can be erased without damaging the book, if the need arises. A
sound subject background is essential for a classifier, as most important job in
classification is determining the specific subjects which can be done by the subject
experts because they know their subjects thoroughly. If some modifications are made in
schedules of classification scheme in use, then it should be recorded in the staff manual
of the library and it should be kept up-to-date and serve as guiding tool for the newly
appointed staff.

Assigning Book Number

After assigning the class number, Book Number is assigned. Generally author’s name or
year of publication of the book is used to constitute a Book Number. There are number
of systems available for allotting book number. Some of them are as follows:

- Cutter’s Author Table;

- Cutter-Sanborne Author Table;

- Merill’s Author Table;

- Ranganathan’s Book Number System.

13
Cutter’s Table or Cutter-Sanborne Tables are used to allot author marks. For example
the book entitled “Handbook of Special Libraries and Librarianship’ by Anil Kumar
Dhiman is to be allotted a book number. By using the Cutter-Sanborne table, the Book
Number will be D 537 H. Here ‘D’ is the first letter of the surname and ‘537’ is the
number given by Cutter table representing first three letters of the author’ surname name
and ‘H’ represent the first letter of the title of the book. Some libraries use first three
letters of the author’s surname instead of referring to the Cutter’s Table for assigning
book number.

Ranganathan’s Book Number System consists of language, form, year of publication,

accession part no., volume no., supplement no., copy no. etc. But libraries using
Ranganathan’s Book Number System mostly use only year of publication as Book
Number for their general books collection. For example, the book number is to be
allotted for a book published in 2006, the Book Number will be P 6. Here P stands for
year 2000 and 6 stands for the actual year number. Similarly a book published in year
2014 will have Book Number P 14.

If same book has number of copies then in addition to Book Number a copy number is
also allotted to each subsequent copy as 1, 2, 3 … along with the Book Number.

Call Number of a book consists of Class Number, Book Number, Collection Number and
Copy Number (if any) of a book. Books are arranged on the shelves by their Call
Numbers. Call number of a book is unique number by which it is identified and located
on the shelves. No two books in the same library will have same call number.

Assigning Subject Headings

Subject Headings are assigned by the classifier as he knows the subject thoroughly. To
have uniformity in assigning the subject headings one of the following Subject Headings
Lists are used:

- Library of Congress List of Subject Headings

- Sears List of Subject Headings

- A.L.A. List of Subject Headings

- Ranganathan’s Chain Procedure

14
Classifier writes down subject headings with pencil on the back flyleaf of the book. He
also gives other directions whether main or shelf cards are to be prepared or cards for
joint authors, series, etc. are to be prepared.

After thorough checking by the chief classifier, the books are sent to the Cataloguing
Section.

Cataloguing Unit

Classification helps to place books on the same subject together on the shelves for
browsing. Call number of the book determines the exact place of the book on the
shelves, where book can be physically placed. But library users seek books through
different approaches, such as by author, title, publisher, series, editor, etc. To meet
different approaches of the user to search collection, a catalogue is prepared by the
library. Function of the Cataloguing Unit is to prepare this catalogue.

Types of Catalogues and Catalogue Codes

There are many kinds of catalogues such as Classified Catalogue or Dictionary Type of
Catalogue. The library has to decide which type of catalogue it will use. Again a library
has to decide whether a typed, handwritten or printed catalogue is to be maintained. It is
further to be decided as to which type of material is to be used for preparing the
catalogue i.e. whether sheaf catalogue, card catalogue, or printed book catalogue or
computer printout of the catalogue is to be prepared.

The next point of decision is kind of cataloguing code according to which catalogue is to
be prepared. These codes are:

- Anglo-American Cataloguing Rules; and

- Classified Catalogue Code of Dr. Ranganathan

This also depends upon the kind and size of the library. At present, many libraries using
Library Management Software use MARC format.

Cataloguing Work

Cataloguing work requires well qualified and experienced staff. In case cards are written
by hand, the cataloguer should have good handwriting too.

Manual preparation of catalogue involves following activities:

- Preparation of Main Entry Card

15
 - Preparation of Shelf list

- Preparation of Added Entries and Cross Reference Cards

- Alphabetization of cards

- Filing of Cards

- Maintaining and updating of library catalogue

- Maintenance of staff manual and authority file

- Preparation of list of additions

Main entry card contains maximum information about the book. Most of the libraries use
ISBD (M), which is International Standard Bibliographical Description for monographs.
The ISBD (M) covers following seven broad areas:

i. Title and statement of authorship area

ii. Edition area

iii. Imprint area

iv. Collation area

v. Series area

vi. Notes area and

vii. International Standard Book Number, Binding and Price area.

On the back of the main entry card information is written about added entries and cross
reference entries. Added entry cards contain briefer information than the main card. In
case Unit Card method is followed, then as many copies of main cards are made as
there are number of added entries. Heading of each added entry is written on top of the
one of the copy of the main card.

A shelf list is duplicate copy of the Main entry card. For each book, one shelf list card is
made. Shelf list cards are arranged in classified order and are filed in shelf-list trays or
in cabinets.

From the main entry cards list of new additions is prepared for the benefit of the users.
The list may be prepared monthly or quarterly and circulated among the users as per the
policy of the library. The list serves as current awareness service informing users about
new additions in the library.

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Physical Processing Unit

Documents and the catalogue cards after cataloguing are sent to the Physical
Processing Unit for preparing the documents for circulation and use. This job is carried
out by the semi-skilled professional staff. Physical preparation of books involves
following activities:

- Preparation and Pasting of Spine Label on the Documents

- Ownership Slip/Mark on the Document

- Preparation and Pasting of Date Slip

- Pasting of Book Pocket

- Preparation of Book Card.

Spine label for each document is prepared. Spine label is either square or round in
shape and its size is usually 1.25” and it is made from gummed white cloth or gummed
glazed paper. On the spine label call number of the book is written and it is pasted one
inch above the bottom of the spine of the book, so that it is visible when books are
arranged on the shelves.

Ownership marks are put at various places of the book with rubber stamp or embossing
machine. The stamp contains the name of the library and place for writing accession
number and date of accessioning.

Date slip of size 5”x 3” are pasted on the top most portion of the front or back fly-leaf of
the book. Date slips are usually printed slips with name of the library, with provision for
writing author, title, accession number and call number of the book on the upper part of
the slip and for writing date of issue on the lower part of the slip.

Book pocket for inserting book card is pasted on inner right side of the front or back
card-board cover of the book.

Book card is printed card of 5”x 3” size with name of the library along with headings for
writing author, title, accession number, call number and date of issue and return. The
book cards are prepared for each book which is to be issued for home use and is
inserted in the respective book pocket.

Once physical and technical processing of documents is over, the documents are
released for public use. Documents are released at periodic intervals as per the policy of

17
the library. It may be once a fortnight or once a month. Documents thus released are
usually put on display for a week or so before they are merged with general collection
and are shelved in the proper location.

Once books are released for use after physical processing, the catalogue cards relating
to these books are merged with the main catalogue. In case of Classified Catalogue, the
Main Entries and Cross Reference Entries are filed in Classified Part and Added Entries
are filed in the Alphabetical Part. There are prescribed rules for filing in classified as well
as alphabetical arrangement. A library either formulates its own rules for filing or adopts
some of the standard rules available, such as A.L.A. Rules for Filing or I.S.I. Standards
for Alphabetical Arrangement.

Cataloguing Module and OPAC

In an automated library the Cataloguing Module can be used for retrospective

conversion of library resources as well as for data entry operations of new resources.
Once a new document is accessioned, the record pertaining to that document changes
its status to ‘in-process’ and is accessible to technical processing section for
classification and cataloguing. The classifier and cataloguer have to check and fill in
remaining fields only for each record. This saves their time. To minimize data entry
operations the system also maintains authority files of person names, subject headings,
corporate body names, series names, publishers’ names, etc. from which relevant
options can be selected. Many Library Management Systems even allow downloading of
relevant records from union catalogue of participating libraries, or other OPACs. This
helps in saving the data-entry efforts and in some cases classification and cataloguing
efforts, and at the same time in maintaining the uniformity. The system generates spine
labels, book labels as per specifications. This obviates the need for writing on spine
labels and book labels with hand

In a card catalogue a document can be searched by author, title and subject. Library
user has to search in different catalogue cabinets to search for the document. If the
search is successful, the call number of the required document is noted down and then
one has to go to the relevant shelf where the document is shelved. If it is not available
there then library staff is consulted to find the status of that document. Thus, the library
user has to spend great deal of time in searching the library collection. Whereas OPAC
(online Public Access Catalogue) of a library not only provides more search options to

18
the user, it gives the status of the document as well, i.e. whether issued, reserved or on
the shelves.

Periodicals Section

A periodical is a serial publication. A serial is any publication that is published at regular

intervals (Daily, weekly, monthly, quarterly, or annually) under the same title and
intended to continue indefinitely. Periodicals, magazines, newspapers, journals, annual
reports, etc. are all serial publications.

Periodicals are also referred to as journals. In general, the information in periodicals is

more timely, current and up-to-date than information in books. Periodicals are of many
types such as scholarly periodicals, trade and business periodicals, popular periodicals
and magazines. Periodicals are published by learned societies, R&D organizations,
universities, trade and business organizations and commercial publishers.

Most of the libraries depending upon their requirements acquire periodical publications.
In academic libraries, particularly in college and universities and in libraries of R&D
institutions, major part of the budget is spent on procurement of periodicals. Periodical
publications are acquired through gifts, exchange, institutional membership and
purchase. In most of the libraries maximum number of periodicals is procured through
purchase. However, work relating to purchase of periodicals is different from that of
purchase of books. In case of purchase of periodicals, the annual subscription is to be
made in advance and issues are received subsequently throughout the year as per
frequency of the periodical. Purchase procedure for the next year’s subscription has to
be initiated 2 to 3 months before the expiry of current year’s subscription. In addition to
that, the library has to keep track of the receipt of each issue of the periodical depending
upon its frequency. This requires different procedure for recording the receipt of each
issue of periodical and then sending reminders to the concerned agency if particular
issue is not received. Displaying the latest issues of the periodicals for readers, once a
volume is complete, then collating all the issues of a periodical and sending them for
binding, etc. are other jobs to be handled for periodical publications. Because of the
above mentioned different procedures for purchase and handling of periodicals, the work
relating to periodicals are not carried out by the Acquisition Section /Division of the
library. This work is handled by Periodical Section, particularly in libraries procuring large
number of periodicals.

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Periodicals Section performs following tasks:

- Selection of Periodical Publications

- Acquisition and Ordering of Periodical Publications

- Receipt of Issues of Periodicals

- Recording Details of Each Issue Received

- Sending Reminders for Non-receipt of Periodical or any of its Issues

- Sending Current Issues of Periodicals for Display

- Collating Back Issues of Periodicals for Binding

- Receiving Back Volumes of Periodicals after Binding

- Writing an Accession Card for each Volume and Sending both for Accessioning

Selection of Periodical Publications

Selection of periodicals for a library depends upon the subject covered by the library and
category of users. The librarian’s role is to ensure that adequate number of periodicals is
procured keeping in view the interest and demands of user group as well as
requirements of the parent institution. These days most of the periodicals are available in
electronic formats, either as full-text online databases or on CD-ROM. The library has to
take decision, whether to subscribe to printed periodical or subscribe to its electronic
version. Some publishers of periodicals offer online access to electronic version of
printed periodical which library is subscribing to, by charging little extra.

Acquisition and Ordering of Periodicals

There are several methods of acquiring periodical publications, such as through Co-
operative Acquisition, or by joining e-Journal Consortia or by Direct Purchase by the
individual library. In case of direct purchase, there are two different methods for ordering
of periodicals, viz. i) Direct Subscription Method and ii) The Agency Method.

In Co-operative acquisition, the periodicals are acquired by a central agency on behalf of

all the libraries. As order is placed in bulk, maximum discount can be obtained. Individual
libraries are relieved from the arduous task of placing order, problems of foreign
exchange, investment risks and government audit requirements. Similarly, a library is
benefitted by joining E-Journal consortia. This way library can have access to more
number of periodicals than a library can subscribe to. At present most of the libraries of
20
academic and R&D institutions join one of the E-Journal Consortia for electronic journals
and purchase core periodicals either through direct subscription method or through
agency method.

In direct subscription method order is placed directly with the publisher. This requires
writing to each publisher to get invoices from them. When invoices are received, then
invoices are processed, approval from concerned authority is obtained bank drafts are
obtained and orders to each publisher along with the bank draft are sent. In this method
library has to deal with each publisher separately. This requires lot of paper work as
numbers of bank drafts are to be made for each publisher, foreign exchange clearance
and statement from the bank has to be obtained for conversion from Indian rupee to
foreign currency, etc.

In Agency Method, the order is placed with an agent, who acts as the intermediary
between the library and the publishers. Here the list of periodicals to be purchased is
made and order is placed in bulk with the agent. Payment is also made to the agent on
receipt of consolidated bill from him/her. Payment is made in Indian rupees, as it is the
job of the agent to convert the currency into required foreign exchange. The library
specifies the list of titles for renewal and list of new titles. The library gives full details of
each periodical title such as its full title, name of the sponsor, name and address of the
publisher, volume number, periodicity and previous year’s subscription details in case
of renewal. On receipt of invoice from the agent, the advance payment is made to the
agent only when he/she executes a bond on stamped paper stating the terms and
conditions of supply and details of the advance amount taken.

Receipt and Recording of Periodicals

There are different methods used by libraries for recording details of periodicals they are
procuring and for entering details as and when a new issue is received. Following are
some of the methods used:

- Ledger System

- Card System

- Three-Card System

- Kardex

- Computerized System

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Above first four systems are manual systems and the last one is computerized. In
Ledger System a bound register is used for writing details of periodicals. One page is
allotted to each periodical title. All the details of a periodical, such as title, periodicity,
names of the sponsor, publisher, and supplier, and subscription details are written on
upper part of the page. Lower part of the page is divided into 4-5 columns where year,
volume number, issue number, and date of receipt of issue are entered. Last column is
left blank, which is used for writing details of action taken in case of non-receipt of any
issue, or other related problems pertaining to the periodical. This system is rigid as there
is no provision to insert new periodical title at an appropriate place except at the end of
the register. Then for finding missing issues, all the pages of the register are required to
be seen periodically. This takes lots of time. The Ledger system can be used for small
libraries subscribing to a few periodicals. But this system is not suitable for libraries
procuring large number of periodicals. To overcome above mentioned problems
subsequent systems were developed by the library professional.

The periodicals recording system in a library should be flexible, alert library when a
particular issue is due, it should enable the library to know non-receipt of any issue so
that follow up actions like sending of reminders and claiming replacement can be done
on regular basis. In addition, it should be able to generate various reports and listing of
periodicals by subject, title, publisher, sponsor or supplier wise. All such functions can be
performed by an automated serial control system of a library management system, i.e. a
computerized system.

Receipt of issues of periodicals is an ongoing job. This involves watching the arrival of
issues of dailies, like newspapers and sending them for display. This is called ‘Daily
vigilance.’

Periodical receiving work comprises receiving current issues of periodicals, opening the
wrappers and stamping them, registering them and sending them for display in the
reading room. In addition to the above tasks, keeping a watch on the arrival of the issues
of periodicals due in the current week is also the responsibility of the Periodicals Section.
This is called ‘Weekly Vigilance’. Correspondence with the publisher/suppliers for non-
receipt of current/back issues, bringing to their notice the supply of defective or duplicate
issues of periodicals, or for any other issues relating to periodicals is also handled by the
Periodical Section.

Binding of Periodicals

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Magazines and periodicals of ephemeral value are not bound. But periodicals of
permanent value are bound when a volume is complete. A bound volume of a periodical
is treated like a book and kept in the library for permanent use.

Binding process of periodicals is quite different from that of books and is handled by
periodical section. All the issues of a periodical are collated. Volume’s title page is kept
on the top. Cover pages of all the issues are removed if they do not contain any
significant information. Volume index, if any is placed at the end. If supplements are in
continuous pagination with the issues, then they are bound as they are, but if they are
separately paged, then supplements are separated and placed at the end of all issues.
After this binding instructions are given and volumes are sent for binding. Binding details
including binder’ name, date of sending, etc. are noted down in the respective periodical
record. When bound volumes are received, accession cards are written and bound
volumes along with the accession cards are sent for accessioning. The accession
numbers so received are noted down in the respective periodical record.

Computerized Serial Control System

Computerized serial control system takes care of all the functions of Periodical Section,
such as, i) Managing the suggestions for purchase of new serial titles, renewal of
existing titles; ii) Maintaining databases of periodicals, vendors, publishers, suppliers and
binders; iii) Check-in of individual issues of journals; and iv) Handling payment, sending
reminders, identifying periodicals for binding and noting binding details as well as history
of the periodicals. In-addition, some LMS facilitate export/import of serial data, and
handle cataloguing of electronic journals as well.

Readers Services Section

The Readers Services Division is very important division of the library, because this
division is responsible for putting the library collection to maximum use. Functions
performed by this division are providing circulation service, reference and information
service, reprographic service, reader room service, arranging access to Internet and
other media services, displaying and maintenance of library material, etc. These
functions are carried out by different units of the division. Depending upon the type of
and size of the library there may be as many as 6 to 7 units or sections performing
various activities. Three units or sections which perform basic activities of the division

23
are i) Circulation Unit/Section; ii) Maintenance Unit/Section; iii) Reference and
Information Services Unit/Section.

Circulation Unit

Circulation Unit deals with lending of reading material to library members for their use
outside the library. Lending of books is one of the best known functions of a library to
promote the use of library collection. However, the number of books to be given on loan
and period of retention of books depends on various factors including individual policy of
the library.

The Circulation Section performs following tasks:

- Registration of Members

- Lending of Books

- Charging of Over Dues

- Reservation of Books

- Renewal of Books

- Maintenance of Records

- Maintenance of Statistics

- Lending of Books on Inter Library Loan

- Preparation of Reports

- Issuing of No-Due Certificates to Members

Registration of Members

This involves registering the members, specifying the category of user (For example in
an academic library student (graduate, post-graduate or research scholar), professors,
non-teaching staff, etc.)), noting down current address and phone number, permanent
address, number and types of items to be issued, etc. Each member is issued a library
card with user Id. Members’ record is maintained in a file or card form.

Circulation Systems

For lending and receiving the books back from the users (i.e. charging and discharging
of books) libraries use one of the circulation systems that are in vogue, such as:

24
 - Ledger System;

- Browne Charging System;

- Newark Charging System; or

- Computerized Circulation System.

Ledger System

In this system separate page is allotted to each registered borrower, where all the
borrower’s details are entered. Whenever a book is issued to the borrower, transaction
details like title of the book, accession number and date of issue is entered on the
borrower’s respective page. When a book is returned, then date of return is mentioned
against that transaction. This system is not very satisfactory, as it is not possible to know
immediately when a particular item is due and to whom it is issued. One has to scan
page-by page to find the information.

Browne Charging System

Browne Charging System was developed by Nina. E. Browne who was librarian of the
Library Bureau in Boston and served as a secretary of the Publishing Board of American
Library Association. In this System registration cards of all borrowers are arranged
alphabetically. Each borrower is given as many library cards or tickets as he is entitled
to. Cards are in the shape of pockets and on each card name and address of borrower,
date of expiry of membership is written.

Charging is issuing the books to the borrowers. During charging process, the borrower
gives his/her card and book to the assistant at the circulation counter. Counter assistant
checks the borrower card, takes out the book card from the book pocket and inserts it
into pocket of borrower’s card. Then he puts issue or due date stamp on the date slip of
the book. The book is charged and given to the borrower. The borrower’s card which
holds the book card is filed in charging trays under the due date for return, and within
that date by accession number or call number of the book. Then call number or
accession number of the book and borrower number are recorded in daily circulation
register.

When a borrower returns the book at the circulation counter, the due date is checked
from the date slip of the book. The book card along with the borrower ticket is taken out

25
from the charging tray. Book card is inserted back into book pocket, due date on the
date slip of the book is cancelled and borrower’ card is returned back to him/her.

If book is returned after the due date, the overdue fine is calculated and overdue charge
slip is given to the borrower. The borrower’s card is returned only after the overdue
charges have been duly paid.

This system is better than the Ledger System as issue of reminders and calculation of
fines is simplified. The statistics of issue can be prepared easily as daily transactions are
recorded. However, it is difficult to find out how many books are issued to a member, as
borrower’s cards are scattered in the issue trays. In case of loss of borrower’s card, its
misuse is possible as signature of the borrowers are not taken. No permanent record of
issue is available.

Newark Charging System

This System was developed by John Cotton Dane and first used in the Public Library of
Newark, USA. In this system two files of registered members are maintained. One file is
arranged alphabetically by names of the members and another is arranged by their
membership number. Each borrower is given one card which bears name, address and
membership number of the borrower and space for recording transactions.

Charging system here is more elaborate than the Browne Charging System. When the
borrower gives his /her card and book at the circulation counter for borrowing, the
assistant puts the issue date or due date stamp on the date slip of the book. Similarly,
the date is stamped on the book card taken out of the book pocket and on the borrower’s
card. The borrower’s membership number is written opposite the date stamp on the
book card. The book card is filed in charging tray as per the due date, and within the
date by accession number. The book is charged and given to the user along with the
borrower’s card.

When the book is returned along with the borrower’s card, the date of return is stamped
on the borrower’s card and the card is returned to the borrower. The book card is located
in the issue trays behind the appropriate date guide cards and within that date by
accession number of the book. The book card is inserted in the book pocket and book is
now ready for shelving.

If the book is returned after due date, the fine is computed and collected. The date of
return is stamped on the borrower’s card only after the fine is received by the library.

26
In Browne Charging System once a book is returned, the card is given back to the
borrower and there is no permanent record of number of times a book has been
borrowed and types of books have been circulated. Where as in Newark Charging
System there is permanent record of number and types of books circulated. Since each
transaction is recorded on the book card, it is possible to know the kind of books
borrowed by each reader. As transaction is recorded on book as well on borrower’s card
the danger of dislocation is less. However, this system is slow and time consuming. In
circulation procedure, due date or date of issue is stamped at three places, i.e. on book
slip, on book card and borrower’s card. Then borrower’s membership number is written
on the book card. All this consumes time and there is danger of writing wrong
membership number during rush hours. More over two registration files are to be
maintained in this system.

Computerized Circulation System

Circulation Module of Library Management System performs all major functions of

circulation in a library such as registration of members, lending of books, sending
reminders, recovery of overdue charges, issuing of no-due certificate, managing of inter
library loans, reservation of books and maintaining records pertaining to binding, lost,
replaced and withdrawn items.

In computerized system members can be searched by member’s name, member ID,

department, designation, category and date of registration. Whenever a transaction is
made accession number of the book and Member Id is scanned by Barcode reader. The
system automatically check the validity of the member, number of items already issued,
maximum borrowing capacity, any overdue items, etc. before issuing a book. For
overdue items fine slip can be printed. The system also provides options for reserving or
renewing an item. Besides issue, the system can perform house maintaining
transactions for lost, damaged, missing and withdrawn items. Recall/reminders notices
can be generated by the system for any issued item. A letter can be printed or e-mailed
to the borrower of the item. One can search issued items by three criteria, viz. issued
during specific period, by member code and by accession number. Some systems can
perform stock-verification function also.

Maintenance Unit

27
This section is responsible for shelving, re-shelving, maintaining orderly arrangement of
the collection and taking care of all types of library material and associated equipment.
In fact, the ultimate success of all other functions of library such as acquisition,
classification, cataloguing and circulation, are dependent upon efficiency this section. If
library collection is not properly displayed and maintained it will not attract the library
users and thereby library collection will not be put to maximum use.

Activities performed by this section have been covered in detail in Module 11 of Library
Management paper. This Section performs following functions:

- Shelving and Display of Library Material

- Maintenance of Collection

- Preservation of Library Collection

Shelving and Display of Library Material

Arranging books and other material on the library shelves is carried out by this section.
Work involves shelving of new books received after processing, re-shelving of borrowed
books returned by the users and books and other material left on the tables by the
readers after use.

The section is also responsible for displaying current issues of periodicals as well as
newspapers in the reading room and shelving and maintenance of non-print media like
films, audio cassettes, CD-ROM, DVDs, etc. Non-Print media is stored away from the
open book stack area. This media is normally kept in media room or computer room
where the equipment for playing particular media item is available.

Maintenance of Collection

Tasks relating to maintenance of collection are also handled by this section. It involves
continuous monitoring of the stack rooms and display areas. Shelving and re-shelving
the material, keeping the collection in order, taking out books which are not in order and
re-shelving them in proper place, identifying and removing the books needing repair,
regular cleaning and dusting the area and protecting the collection from dust, heat, direct
sunlight, moisture, insects and pest infestation. This Section is also responsible for
maintenance, checking and rectification all sign boards and library display guides.

Preservation of Library Collection

28
The activities relating to preservation of library material are carried out at various levels
and by various departments in a library. Maintenance Sections’ role in preservation is to
handle library material carefully, keep the environment in stack rooms and storage area
clean, free from dust, insect and pest manifestations and protecting the material from
direct sunlight.

Reference and Information Services Unit

Reference service deals with providing personal assistance by the library staff to the
user seeking information. Information services are provided in anticipation of demand
from the library users. Work related to this unit/section can be categorized as direct and
indirect type. Direct type of work covers all front end services which are provided by the
section to the library users. Indirect type of work includes backend operations like
building and maintenance of reference collection and other activities related to the
section. According to William Katz, The reference service defined by function can be
divided into two categories, direct and indirect.

Direct category includes

a. Reference and information service. This is personal assistance provided to the

user in pursuit of information; and

b. Formal and informal instructions in the use of library and its resources.

Direct services cover responsive as well anticipatory services. Responsive services

cover short range reference service, long range reference service, guidance in the use
of library tools such as catalogue including OPAC and reference books including, online
databases. This work is handled by the professional staff. All categories of libraries
provide these basic services. The libraries attached to R&D institutions provide
documentation and information services to their users in anticipation of their demands.
Services such as current awareness service, SDI service, indexing and abstracting
service, web based or Internet based services come under this category.

Indirect category include

i. Selection and maintenance of reference material;

ii. Organization and administration of reference service;

iii. Evaluation of the section’s performance; and

29
 iv. Handling of other miscellaneous tasks, such as photocopying, maintaining
reference records and preparing publicity material and reports.

Administration and Accounts Section

All the administrative activities pertaining to staff and maintenance and upkeep of library
building, including air conditioning, security arrangements, etc. are carried out by the
administration section. Library’s budget relating to salaries of staff, purchase of
equipment and materials for the library are handled by the Accounts Section. Only
independent libraries which do not form part of any institution have an Administration
and Accounts Section. The libraries which are attached to any institution, such as
academic libraries, this work is carried out by the institution’s administration and
accounts section

Information Technology Section

Modern libraries have CD-ROM workstations, online databases, number of computer

terminals with Internet access and OPAC (Online Public Access Catalogue) for
searching library collection. These libraries provide online access through their website.
Maintenance of these computer systems including hardware and software maintenance
and networking issues are handled by information Technology Division/Section. The
section is also responsible for providing instruction to the users. In many libraries this
section is named as Computer Services Division.

As mentioned earlier the divisions/sections/units in a library also depend upon the type
and range of activities performed by the library. For example National Library, Kolkata is
a depository library for all the books published in the country under the ‘Delivery of
Books and Newspaper Act of 1954’. Under this Act library receives books in almost all
Indian languages. The library has separate divisions for each Indian language, i.e. 15
Indian Language divisions. Language divisions acquire process and provide reading
material in the respective language and answer reference queries as well. In addition to
that the library has 5 foreign language divisions such as East Asian Languages Division,
Germanic Languages Division, Romanic Languages Division, Slavonic Languages
Division and West Asian and African Languages Division. These divisions are also
responsible for collection development, collection organization and information
dissemination to the readers in the respective languages. These divisions maintain their
own stacks and provide reading facilities.

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4. Summary

Information and communication technologies have greatly impacted the library systems
and services. Traditional libraries are adopting these technologies to become modern.
Emergence of automated, digital and virtual libraries around the globe is a common
sight. A modern library is an automated library, has print as well as electronic resources,
and provides traditional printed and IT based services.

Any library, irrespective of its size and type, procures, organizes and displays library
material for use. In addition, a library offers various services to their respective users. A
library needs a systematic organizational structure to perform its functions. Most
common form of organizational structure of a library is function based structure. This
divides library into functional divisions, sections or units such as acquisition, technical
processing, circulation, reference, maintenance, etc.

Function of acquisition section is procurement of library resources; technical processing

section is classification, cataloguing and physical preparation of resources; maintenance
section is shelving, display and maintenance of library resources; circulation section is to
provide lending service to the users and reference section is to provide reference
service. Libraries subscribing to large number of periodicals have serials or periodical
section/unit to handle procurement of serials. Libraries offering IT based and online
services may have additional Information technology division to provide computer based
services and handle computers and related equipment. Apart from these divisions or
sections, an independent library has an administration and accounts section which
handles administrative and accounts related functions of a library. The
divisions/sections/units in a library also depend upon the type and range of activities
performed by the library. For example National Library, Kolkata has 31 divisions and
under these divisions there are20 sub-divisions to carry out different activities of the
divisions.

Most of the library automation packages offer 5 basic modules for library automation
such as Acquisition, Catalogue, Circulation, OPAC, and Serials Control. All these
modules are integrated. Library work consists of a number of inter-related activities and
the data generated during these activities are of repetitive in nature and useful in
different sections. The manual work involves repeating the same activity in different
sections of a library. The aim of a library automation package is to integrate these

31
 activities to minimize the repetition of work. This improves basic functions and services
of a library.

5. References

1. Anandan, C., Gangatharan, M (Editors). Digital Libraries from Technology to

Culture. New Delhi: kanishka Publishers, Distributors. New Delhi, 2006.

2. Beenham, rosemary, Harrison, Colin.The Basics of Librarianship. London: Clive

Bingley, 1990.

3. Chirgwin, E. Joh, Oldfield, Phyllis. The Library Assistant’s Manual. 2 nd Edition.

London: Clive Bingley, 1982.

4. Dhiman, Anil Kumar. A Handbook of Special Librarianship. New Delhi: EssEss

Publications, 2008.

5. Phadke, D. N. (Editor). In Search of Excellence - Librarianship. 3r d Edition.

Mumbai: Multi-Tech Publishing Co., 1990.

6. Satpathy, Sunil Kumar, Swain, Chandrakant, Rautaray, Vijayalaxmi. (Editors).

Modernisation of Libraries: A challenge in Digital Era. New Delhi: Mahamaya
Publishing House, 2008.

7. Seadle, Michael, Greifender, Elcie. Defining Digital Library. Library Hi Tech, vol.
25, No. 2, 2007, 169-173.

32
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module : 09 Selection and acquisition

Paper Coordinator Development Team

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer
INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer
Prof Dinesh K Gupta
Paper Coordinator Professor, V M Open University

Dr Rama Patainak
Content Writer Librarian, IIM Bangalore

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 9

SELECTION AND ACQUISITION

I. Objectives
The objectives of the unit/module are to:
- Elaborate the expertise needed to select and acquire print and non-print
collection in the library.
- Comprehend the methods and steps involved in building a collection in a
library.
- Identify additional methods and criteria involved in the selection of various
resources in electronic format.
II. Learning Outcome
After going through this unit/ module, you would learn different aspects of selection
and acquisition. You would learn about the need for collection development and
policy for print and e-resources, selection of library resources, acquisition of library
resources, licensing, access models, e-books, technical issues, selection tools etc.

III. Structure

1. Introduction
2. Need and General Principles of Book Selection
3. Book Selection Policy, Tools and Process
3.1. Collection based evaluation and selection
3.2. Content and subject
3.3. Currency
3.4. Veracity
3.5. Conspectus method
3.6. Circulation Statistics
3.7. Collection mapping
3.8. Checklist method
3.9. User Studies and Usage data
3.10. Citation analysis
3.11 Collection Analyser
3.12 Return on Investment
4. Acquisition Procedure and Issues
5. Selection and Acquisition of Electronic Resources
6. Selection and Access to Databases
7. Selection and Access to Electronic Journals
 7.1. Big Deals / Subject Bundles
7.2. Pricing models
8. Selection and Access to Electronic Books ( Ebooks)
9. IFLA Guidelines
10. Selection and Acquisition in Different Types of Libraries
11. Interface with other Departments
12. Conclusions
13. References

1. Introduction

Book selection is an essential element for all libraries, may it be small or big; public,
academic or special, and all librarians participate some way or the other in this
process. Selection of library resources is a craft that requires diverse expertise,
experience and intuition. Over the last three decades, the process of selection has
undergone various evolutions because of pedagogical changes, scholarly
communication, Internet and web technologies along with new publishing formats.
With the advent of electronic resources and vast amount of data sets available in the
information world, decisions on purchasing especially the electronic content at
individual library level has become a daunting task with various selection tools and
criteria. In the past selection and acquisition remained two distinct works of
acquisition section of a library. Acquisition process remained a long time process
say for example one month for Indian books and three months for foreign books
after ordering. But, this time has reduced drastically and the time the item is selected
can be ordered online and may be available within one day to one week from any
part of the world. Even online access requires no time once the e-publication is
available by the distributor/publisher/database provider. Therefore, selection and
acquisition has been taken as an integrated activity in this unit.

This module discusses various issues related to the selection and acquisition of
traditional and electronic material, emphasizing the need for selection of library
material, principles of selection, types of resources and their selection, selection
criteria for documents, acquisition procedure,selection and acquisition of e-
resources, acquisition issues with printed and e-resources, and selection and
acquisition in different type of libraries, etc.

2. Need and General Principles of Book Selection

A library is a service institution with limited funds. Hence, care has to be taken to
see that useful books should be purchased for the library within the budget allotted.
The books should satisfy the aims and objectives of the library. Certain general
principles are enunciated for selection of documents by eminent librarians to provide
good guidance. Let us examine some of them. Library material needs to be
selected, ordered and acquired within the context of the collections development
goals as set out for the library.

Book Selection is an important activity to meet the information needs of a large

number of library users. Book selection requires critical judgment and skill. It is an
active, complex and intellectual activity involving principles and tools. It is an effort
to restrict indiscriminate acquisition. Book selection facilitates adding of a wide
variety of materials useful to the clientele to the library.

As all selection process begins and ends with the user community and the long term
mission, goal and priority of library and its parent body, many libraries have written
collection development policies which describe these goals and objectives; which
also serve as a guide for developing and managing collection. However some
libraries, in the absence of any written document, adhere to the established process
and norms which become an informal guideline for selection process. On the other
hand, the burgeoning of consortia due to the high cost of acquiring has also
diminished the role of librarians in decision making at individual level of library as it is
being displaced by group decision of consortia.

The philosophical foundations that were espoused during last century continue to be
relevant in holding the library patron as a starting point for any collection
development activities. Ranganathan's second and third law, "every book its reader
or every reader itsbook" and Drury's principle on selection in 1930 “the high purpose
of book selection is to provide the right books, for the right reader and at the right
time” propound the supremacy of the user centric process of selection of library
resources. Mc Colvin advocated his Demand and Supply Theory of Book Selection
in 1925. He states, "Books in themselves are nothing. They have no more meaning
than the white paper upon which they are printed, until they are made serviceable by
demand. The more closely book selection is related to demand, the greater is the
resultant and possible service". His theory also advanced the concept of users
demand for selection of books and resources in the library.

Principles enunciated by Drury in 1930 include:

- Provide the right book to the right reader at the right time;

- Study the community, analyze its desires, diagnose its ailments, provide for its
wants and satisfy the needs;
 - Enact suitable standards for judging all books and strive to accommodate
them;

- Duplicate the best rather than acquire the many;

- Select for positive use. A book should not be simply good, it must do good
service;

- Keep selection within the budget, knowing the total amount available and
maintaining a just proportion in allotments;

- The above mentioned principles, if followed carefully, may ensure the selection
of the best reading materials for the users.

The vital observation by Melvil Dewey regarding library collection in one sentence is
"The best reading for the largest number at the least cost". He has spelled the
principles of book selection as under -

- The best documents are those which satisfy the just demands of the users for
recreation, knowledge and study; the documents which cater to the social and
cultural needs of the users.

- Selection of documents should satisfy as many readers as possible taking into

consideration the limitation of resources.

- One has to be careful in the selection and economical in purchases to ensure

optimum satisfaction to the maximum number of readers.

Ranganathan's first three laws of library science are helpful in formulating the
principles of selection of documents.

- The first law “Books are for use” - makes it obligatory that only those
documents which are useful to the clientele of a particular library should be
selected.

- The second law “Every reader his book” directs the selector to cater to the
information needs of all the users of the library.

- The third law “Every reader his/her book” suggests that all efforts should be
made to put to use those documents of value which have been selected in
anticipation of the needs of the users.

3. Book Selection Policy, Tools and Process

Library resources comprise both documentary and non-documentary sources. The

documentary and non-documentary sources may include:
Documentary Sources Non-Documentary Sources

Treatises, Monograph, Textbooks, Reference Books, A) Humans

Dictionaries, Thesauri, Encyclopedias,
Consultants
Handbooks, Manuals, Data Books and Tables,
Experts
Catalogues, Bibliographies, Directories,
Yearbooks, Almanacs, Biographical Resource Persons
Dictionaries, Maps, Globes, Atlases,
Extension Workers
Gazetteers, Guidebooks, Manuscripts
Representatives of Firms
Periodicals, Patents, Standards Theses,
Conference documents Souvenirs, Technological Gatekeepers
Festschriften Reports, Articles, Diaries, Letters Common Men
Office files, Computer files, Database Video
B) Organisations
Recordings

However, present day libraries need to acquire printed and electronic resources for
building a balanced collection. In order to develop useful collection, it is essential to
formulate selection policy for the acquisition of e-resources. The selection of library
materials is the joint responsibility of the academic faculty members and library staff.
It needs careful planning as there are number of factors which affect collection
development.

- Explosion of literature in all areas of knowledge;

- Increase in costs of publication due to rise in prices of paper, ink, printing,
binding materials;
- Increase in complex demands for multi-disciplinary publications;
- Escalation of costs and conversion rates of foreign currencies due to
devaluation of rupee in international market;
- Reduction in grants for developing collections in print and e-resources;
- Joint acquisition arrangement for acquiring e-resources;
- Continuous interaction of staff with users for effective services; and
- Training staff to render effective and efficient services from varied multiple
media collections.

The selection of resources should be based on the general policies viz. the
objectives of the library, users' requirement, existing holdings of the library, authority,
accuracy, cost and the overall value of the item. Priority should be given to cover
the following aspects -

- Chronological coverage Current and retrospective publications

 - Subject coverage Various disciplines covered in the syllabus of various
programmes
- Books of different levels Higher secondary school, intermediate, undergraduate,
postgraduate and research
- Geographical coverage Local, regional, national, international,
- Language coverage Languages as media of instructions

Media coverage Print and non-print media viz. electronic, magnetic, optical, digital,
miniaturized microforms

Some general guidelines concerning dos and don’ts of selection and acquisition of
resources may include:

- Select only items listed in standard catalogues;

- Select those items which are favourably reviewed in at least two sources;

- Avoid selection of negatively reviewed resources;

- Justify selection of documents of controversial subject giving positive details;

- Do not select items of sensational, violent or inflammatory nature;

- Select only items of lasting literary and social value.

- Avoid duplication as far as possible

- Prefer to procure paperback editions instead of hardbound books

- Place standing orders for serials such as yearbooks, annuals, directories etc
and procure expensive foreign publications every alternate year

- Give importance to purchase of current latest publications and avoid selecting

out of date books

- Take care and precaution in getting 30% or more discount on remaindered books

- Follow Good Offices Committee Recommendations (GOCR) for getting benefits

consistently and continuously. In absence of the GOCR, follow bank rates
decided by the Reserve Bank of India

- Demand for original invoice as price proof of foreign books rather than
photocopies of pages from printed catalogues or book selection tools.

There are different tools for selection of books, journals, e-resources, databases.
The library professionals must have knowledge of these tools/ sources in order to
select the qualitative material for the library, e.g. Books in print or cumulative book
index or a national bibliography is important source for printed books, Ulrich
 Periodicals Directory is good source for selection of journals. There are number of
selection tools which are available for selection of library resources. Bibliographies,
New titles lists from Societies, Directories, publishers’ catalogues, Review of new
books in core discipline based journals which help in identifying relevant books. All
major publishers have their own websites with RSS feeds which can alert about the
arrival of new books, Databases such as Global Books in Print also provide books
published all over the world. Books stores and book fairs provide an opportunity to
examine the materials before purchase and Book fairs bring many publishers to
display and promote their publications.

Hindu Book reviews in newspapers, Times supplement, publishers' catalogues in

print or electronic from reputed publishers also provide relevant information.
Amazon, Flip cart, Infibeam are some of the web based tools which provide reviews
and also help in identifying out of print books and ensure speedy delivery when
order is placed.

For subject journals, Indexing and Abstracting services, which provide the list of
titles indexed, can be checked in library holdings. Guide to Indian Periodicals which
indexes journals from social sciences and Humanities, Science Citation Index,
catalogues / announcements from journal publishers etc., are some of the vital
selection tools for journals.

Government publications are usually identifiable by authorised distributors who

acquire rights to deliver on order. Book well and Jain Book agencies based in Delhi
are some of the popular sources. Government Publication and information division
also maintains an updated list of publications and various ministries and
departments host their publications in their own website.

In previous section, we have discussed some general principles of selection. But we

face certain problems in the selection and acquisition of documents. The criteria for
selection of some different kind of library material is discussed below -

Criteria for selection of library Material

Library Criteria for Selection
Material
Books - Authoritativeness of author and publisher
- Importance of subject matter
- Accuracy of information
- Value and quality
- Importance to total collection
- Current and permanent values
 - Relationship to other materials in the collection
- Price and
- Format.

Reference - Authority: the author, his credentials and his previous work,
Material publisher's reputation and publication data
s - Scope and purpose of the work
- Treatment of the subject
- Arrangement
- Format
- Indexing and bibliographical value
- Comparison with other reference tools
Text Books - Applicability to course of study
- Table of contents
- Clearly stated objectives
- Organisation of information
- Index
- Appendix
- Glossary
- Physical quality, quality of paper, printing and binding

Periodicals - Subject coverage

- Scope and authenticity of the periodical
- Accuracy
- Organization of information
- Continuity of the periodical
- Indexing, abstracting and bibliographical value
- Book reviews

e-resources List of Electronic resources can be searched on Google as most of the

libraries provide directory of electronic resources through subject
guides. Section 8 of this lesson discusses in details, issues
pertaining to electronic content.
For selection of library resources According to ODLIS, evaluation refers to “the set
of standards used by librarians to decide whether an item should be added to the
collection, which normally includes a list of subjects or fields to be covered, levels of
specialization, editions, currency, languages, and formats (large print, non-print,
abridgments, etc.). Selection criteria usually reflect the library's mission and the
information needs of its clientele, but selection decisions are also influenced by
budgetary constraints and qualitative evaluation in the form of reviews,
recommended core lists, and other selection tools.”

The methods of evaluation may be categorized into collection based and user based
methods.

3.1 Collection based evaluation and selection

 In this method, decision on selection and purchase depends on evaluation and
assessment of the title, based on several parameters. These may include the
following:

3.2 Content and subject

Content and subject are evaluated in terms of their scholarly nature, scope on a
topic or a given subject covered either at peripheral or in depth level, which is
usually done in consultation with subject experts to assess the quality of Scholarship
and uniqueness of the content.

3.3 Currency

Date stamps on the content created has to be checked to know the how current is in
the information that is covered.

3.4 Veracity

Author or creator’s credentials are verified to identify the affiliating institute or

organization that might have sponsored the publication of the content along with the
reputation of the publisher. Apart from the above, writing style, geographic coverage,
physical quality, uniqueness of content, frequency of updates, reader or user level to
which is content is directed, cost in relation to the quality of item should also be
taken into consideration.

3.5 Conspectus method

In 1979, ResearchLibrariesGroup,I North America developed a collection

assessment tool known as RLG Conspectus method to ensure uniform evaluation of
collection and facilitate resource sharing. It has proposed collection level to assess
or define the extent of library collection. These levels are as follows

- Out-of-Scope: The Library does not collect in this area.

- Minimal Level: A subject area in which few selections are made beyond very
basic works. For foreign law collections, this includes statutes and codes.
- Basic Information Level: A collection of up-to-date general materials that serve
to introduce and define a subject and to indicate the varieties of information
available elsewhere. It may include dictionaries, encyclopedias, selected
editions of important works, historical surveys, bibliographies, handbooks, a
few major periodicals, in the minimum number that will serve the purpose.
- Instructional Support Level: A collection, that in a university is adequate to
support undergraduate and post graduate instruction, or sustained
independent study; that is, adequate to maintain knowledge of a subject
required for limited or generalized purposes, of less than research intensity. It
 includes a wide range of basic monographs, complete collections of works of
more important writers, selections from the works of secondary writers, a
selection of representative journals, and reference tools and fundamental
bibliographical apparatus pertaining to the subject.
- Research Level: A collection that includes the major published source
materials required for dissertations and independent research, including
materials containing research reporting, new findings, scientific experimental
results, and other information useful to researchers. It is intended to include all
important reference works and a wide selection of specialized monographs, as
well as a very extensive collection of journals and major indexing and
abstracting services in the field.
- Comprehensive Level: A collection which, so far as is reasonably possible,
includes all significant works of recorded knowledge (publications,
manuscripts, and other forms), in all applicable languages, for a necessarily
defined and limited field. This level of collecting intensity is one that maintains
a “special collection." The aim, if not achievement, is exhaustiveness. Older
material is retained for historical research. For example, in law collections, this
includes manuscripts, dissertations, and material on non-legal aspects.

3.6 Circulation statistics

Libraries, distraught with budget cuts, had to rely on sources of demand which
justified funding decisions on collection development. One such source which
emphasized the demand from users on collection was the usage data collected from
circulation statistics to assess the activity of collection. The results of circulation
analyses 1 have been applied to a number of important issues, including evaluating
collection acquisition policies, guiding such management decisions as allocating
physical space for materials, identifying materials for offsite storage, allocating
funding for materials, and suggesting approaches to de-selection.

3.7 Collection mapping

Collection mapping is a technique to examine the state of information resources,

both quantitatively qualitatively and qualitatively in certain subjects and it is also a
process to identify the strengths and weaknesses of a certain fixed collection with a
view to further development.

1
Justin Li� man and Lynn Silip igniConnaway, “A Circu lation Analysis of Print Books
and E-books in an Academic Research Library,” Library Resources and Technical
Services 48, no. 4 (2004): 256– 62.
3.8 Checklist method

One of the oldest methods of collection evaluation which dates from at least 1849
when Charles Coffin Jewett conducted a major evaluation of Smithsonian Institute’s
collection. The checklist method provides a qualitative, collection centred evaluation
which allows one to evaluate numerous collections, especially those located in
various parts of the country. Cheryl Elzy noted that checklist method also acts as
collection development tools, not just a collection evaluation tools by illustrating
holes in the collections or valuable resources that are missing. This method of
collection evaluation is the practice of checking a library collection against a list of
notable books or materials to see if the collection includes these titles. This is the
oldest method of collection evaluation, and its first recorded use occurs in 1849 by
Charles Jewett at the Smithsonian Institute.

3.9 User studies and ssage data

User surveys and studies have always been centric to libraries to obtain a subjective
evaluation probing the adequacies or inadequacies pertaining to its collection,
resources or services. Including users in the decision making process to evaluate on
the relevancy, currency, preferable format and non-use of certain collection enables
library to understand the changes in the patterns of use, perceptions and
acceptability levels to a new collection development strategies.

3.10 Citation analysis

A bibliometric technique in which works cited in publications are examined to

determine patterns of scholarly communication, for example, the comparative
importance of books versus journals, or of current versus retrospective sources, in
one or more academic disciplines. The citations in student research papers, theses,
and dissertations are also examined by librarians for purposes of collection
evaluation and development. Citation analysis 2 is used in journal subscriptions
where decisions to be made include to acquire or not a particular title, to continue or
discontinue a subscription, to weed a backset. Line and Sandison 3 acknowledge
three uses to which ranked lists derived from citation counts can be put: (1) highly
ranked journals not available locally and within subject scope are worth examining in
more detail; (2) low-ranked journals that are taken locally should likewise be
examined; and (3) lists based on source journals in a particular subject can indicate
journals outside of that subject which may not yet have been acquired but may be

2
Smith, Linda (1981) Citation Analysis. In Library Trends Vol 30, No 1, p 83-106
3
Line, Maurice and Sandison, Alexander. “Practical Interpretations of citation and lib rary
use studies” In College and Research libraries vol 36 ( Sept 1975), p393-96
 valuable for local use. Citation Analysis is the method most used at the college and
university level. This method looks at citations on bibliographies prepared by
students' and faculty's written work to see if the resources used are included in the
learning institute's partner library. The purpose is to see if the written work produced
can be done using only the library located at the college or university. Citation
analysis is a good research method to use in academic libraries at the university and
college level when performing collection evaluation. This method is performed by
studying bibliographies from many sources such as student papers, faculty research
publications, along with theses and dissertations. This information is then used to
see what percentage of the items cited in the bibliographies have come from the
academic library’s collection. Citation analysis is used to see if the work produced at
the university or college has been written using sources mainly from the academic
library at that learning institution

3.11 Collection analyser

Collection analyser of OCLC helps library to compare its collection with authoritative
list and libraries that contribute data to OCLC WorldCat. It is designed to help
libraries identify gaps in collection, weed out collection which is not in demand,
uniqueness value of titles apart from getting alerts of authoritative / predefined list
that are currently not available with the library

3.12 Return on investment

It is used to measure the economic influence of libraries in extending benefits to

users in terms of value measuring the academic performance or research output or
in time saved to identify relevant resources for academic and research pursuits.
There are number of studies carried out in public libraries in United States for their
sustenance and attracting funds, but of late increasingly adopted in data driven
academic libraries to advocate for allocation of more resources.

For Journal subscription, the criteria for subscription are usually governed by the
following factors.

- Educational and research value

- Indexed in leading indexing services such as web of science or Scopus.

- Impact factor as per journal citation reports.

- Reputation of publisher

- Cost / subscription price

Bibliometric / citation and alternate to citation studies.4. Acquisition Procedure and

Issues The success of implementing the selection and acquisition work depends
mainly upon two major factors - budgeting and acquisition policy.

Source of Finances:Library receives funds from the parent body or government or

local tax payers or any other means.

Library Budget: Library is required to prepare an annual budget in accordance with

procedures established by the university. Ranganathan suggested the following
proportions for allocation to staff salary, book grant and miscellaneous items.

- Book grant --- 40%

- Salary for staff --- 50%

- Miscellaneous items --- 10%

Allocation of Funds: Allocation of the available funds needs to be done on various

types of documents and e-resources or for different libraries / sections in accordance
with the policies. Budget allocation can be done keeping in view some criteria.

- Number of departments

- Number of certificate and diploma courses offered

- Number of undergraduate and post-graduate courses offered

- Number of part-time and full-time faculty members

- Number of research scholars

- Number of students enrolled

- Number of patrons and outside members

- Variation in prices of every media resources in different subject areas.

A sub-committee can be constituted to help the librarian in deriving a formula

considering all these criteria and budget can be allocated accordingly. Purchases
are monitored to ensure that the expenditure incurred during the current financial
year on each subject is in accordance with the budget allocation. Quarterly
expenditure statements should be sent to facilitate faculty members to recommend
books in time lest the budget should lapse.

In addition to salaries and purchase of books and journals, a portion of funds is used
for various other purposes. They include special library stationery items and
requisites such as catalog cards, book cards, accession, withdrawal and stock
verification registers, communication such as telephone, printing, duplicating, travel,
freight and insurance and other miscellaneous expenditures.
On approval of budget and selection of items to be bought the following broad
procedure is adopted for acquiring the item:

- Checking that the item selected ahs full bibliographic information and there are
funds available in the particular subject.
- It is to make sure that the item selected is not already ordered or standing
order (if any) has not been placed.
- If the acquisition policy allows duplicating items or newer edition or any other
specification about the copies and edition needs to be carefully investigated.
- Making decision on the method of acquisition, as whether it has to be
purchased from the publisher or standing supplier or distributor or any other
agency.
- Pricing must be check with the publisher’s catalogue or any other
bibliographical source.
- Checking the availability of the item in the market by individual website of
publisher or any source.
- Selecting the supplier and which item is to be purchased from which publisher,
e.g for government publications, children books, text books needs to be
chosen in the database if online acquisition management system has been in
place.
- Entering the field record into the database to generate purchase order and
placing order with the pre-defined conditions of supply including discount.
- On receipt of the item, the “on order” status is changed to “in process” as the
material is passed to the technical processing department.
- If any supplier makes delays in supply from the specified period than reminder
to be generated sand sent. If need arises, reordering is to be done to the same
or other supplier.
- Receive item and invoice; check to make sure that the correct item was
supplied and arrange for return of incorrect shipments along with the remarks.
- Update on-line acquisitions system with receipt information; forward item for
and note in on-line system where and when Acquisitions sent item, after
annotating item with order number and location for which item will be
catalogued; make sure that selector’s original cataloging treatment instructions
travel with item to technical processing department.
- Passing the invoice for payment and sending to the Finance Department.

Acquisition Policy and Procedure of JNU, New Delhi can be found at:
http://lib.jnu.ac.in/book-acquisition-policy
 Librarians face several problems in acquisition of print and non-print materials and
equipping the library with relevant useful collections for the members. Prasher
(2002) who has suggested a few problems faced by the librarians while developing
collection.

4. Acquisition Procedure and Issues

Shrinking budget: Libraries all over the world face the problem of shrinking budget
and find it difficult to cope up with the explosion of literature and publications in all
area of knowledge as well as increase in complexities of demands for information
from the users. Indian libraries face severe cuts in the grants which causes
diminishing purchase power due to inflation and devaluation of rupee in the
international market.

Foreign Publications: Libraries find it very difficult to get foreign publications

recommended by academicians and research scholars. Many a time it is not
possible to get them directly from the publishers abroad. Librarians depend upon
the Indian representatives of the foreign publishers. Foreign publications being very
costly, they are not readily available in the market but have to be procured against
orders from the libraries. They take about 120 to 180 days depending upon the
publishers and distances involved. Booksellers are keen to get the orders, even by
under-quoting, though they are not able to execute them. At the end of the financial
year, only 40% to 60% ordered books are received after sending several reminders.
They push their unsold books in the place of the ordered books after waiting for the
long time and compelling librarians to indulge in rush purchase lest the funds get
lapse.Most of the orders are processed based on “Print on Demand4” model after
the advent of digital printing.

Indian publications: Book trade in India is well developed and procuring

publications of the leading well known publishers is not difficult. But valuable
publications from the unorganized sectors, small publishers of states and individual
author publishers are not well publicized and hence are not easily noticed. They
remain unprocuredinspite of their being useful.

Publications in Indian languages: Indian publications in regional languages are

much in demand and are published usually by publishers in the respective regions.
Their publicity and sale is restricted in their own regions and it is very difficult to
procure them. They charge advance payment and postage charges which
sometimes becomes more than the cost of publications.
4
Print on dem and (POD) is a printing technology and business process in which copies of a book (or other document) are not
printed until an order has been receiv ed, allowing books to be printed singly, or in small quantities. (source:
https://en.wikipedia.org/wiki/Print_on_demand accessed on 25th July, 2016)
Publications of Learned Societies: Publications of learned societies are usually
short discount titles and not available through normal channels. They also demand
advance payment from the bookseller. Since they are valuable documents for
research and higher studies, special efforts are to be made to procure them.
Booksellers do not give discount on such titles but sometimes even demand
handling charges or even advance payment.

Rare and out of print books: Academic libraries need to build collection of rare
books, classics and out-of-print publications useful for conducting research. These
books are not available through normal trade channel. They are procured only by a
few specific booksellers or dealers of rare and second-hand books. The prices are
not fixed but have to be negotiated. Libraries have to relax their policies for
acquisition of books to procure rare and out-of-print books. Approvals for such
books have to be taken giving justifications prior to ordering them.

Problems of procuring non-print media resources: Academic libraries are

becoming hybrid libraries in India since last three decades. Realizing the importance
of media resources, they keep funds for procuring them but due to lack of
comprehensive selection tools, they are not able to develop collections of varied
physical formats of media resources. Majority of media resources are to be
imported from foreign countries and on advance payment. Ordering media
resources following Government of India Policy, getting released the ordered items
from the custom and payment of custom duty in certain cases becomes very
cumbersome.

Concentration of book trades in metropolitan cities and big towns: Academic

institutions in India have developed quickly all over the country after independence
but book trade market is active only in four metropolitan cities such as Delhi,
Mumbai, Chennai and Kolkata and a few big towns having many educational
institutions. Universities and colleges in other parts face considerable problems in
acquisition of required books for their libraries.

Indian bibliographical tools: Indian Bibliographical tools are not published

regularly. They are not very dependable as they are neither up-to-date nor
comprehensive. Even the Indian National Bibliography suffers from these
limitations. Again, Indian language publications are not covered by the Indian Books
in Print. No dependable tool is available for government publications, society
publications, technical and statistical reports, theses, dissertations research reports
and non-print media resources. It poses a very serious problem for the libraries to
spot out such publications.
Books on approval: Libraries receive books on approval from the booksellers and
send them to the faculty members concerned for selection. Booksellers usually
supply costly publications and those giving them higher margin. They are keen to
sell only those books which are in their stocks rather than those required by the
libraries. Faculty members do not select the books quickly ad return or use / misuse
by taking photocopies of the relevant pages.

Advance Payment: In many universities advance payment is not permitted for

books. But in order to procure some government publications and institutional
publications, advance payment has to be made. Librarians have to justify payment
of bills in advance and take approval from the authorities. After receiving the
ordered books advance in the name has to be adjusted by informing to the Accounts
and Finance Division. It is a cumbersome process but they need to be procured to
enrich the collection.

Faulty import policy and unorganized Distribution System: Lack of systematic

import policy, appropriate distribution system, comprehensive and well documented
bibliographical selection tools also cause lot of problems in acquisition of books for
the library.

Fluctuation in exchange rates and unstable prices: Foreign publishers frequently

revise the prices without any prior notification and devaluation of rupee in the
international market also results in increasing the costs of books already ordered.
Librarians have to bear the loss and it upsets their collection development
programme.

Quotations for purchase of books and journals: Calling quotations for purchase
of books and journals was in vogue before four decades. But it was discontinued
later when GOC was instituted. Fixed terms and conditions and standard rates for
foreign currencies were fixed for acquisition of books and journals. Still a few
libraries invite quotations but on the long run it is not very beneficial for developing
useful collection. Booksellers will supply only those documents which are meeting
their profit margin.

Good Offices Committee: In India, Good Offices Committee (GOC) consisting

members from the Ministries of Government of India (GOI), leading librarians and
booksellers/publishers was constituted to help both librarians and booksellers. The
GOC met regularly and decided the conversion rates of various foreign currencies
and discounts on different kinds of publications. They also recommended some
terms and conditions to be followed both by the libraries and book trade. The
conversion rates were with certain mark-up for the book trade to cover their
 expenses of procurement and all libraries used to purchase the books at standard
conversion rates of foreign currencies. Hence it helped both the booksellers as well
as librarians.

But since last 15 years it has become non-functional as the GOI members have
been pulled out and librarians and booksellers are not able to reach any amicable
and convincing decision to fix the rates for the foreign currencies. For some time
two recommendations were issued – one by the Indian Library Association (ILA) and
other by the Federation of Publishers’ and Booksellers’ Associations of India
(FPBAI). Libraries were insisting on paying according to the ILA’s recommendation
and book trade was charging according to FPBAI recommendations. At present
most of the libraries have shifted to payment according to the conversion rates
decided by the Reserve Bank of India (RBI) and announced in leading news papers.
But still in small towns, booksellers charge them according to FPBAI rates with
almost 3%-4% mark-up and librarians are forced to pay as it is difficult for them to
procure books.

Remaindered books: Foreign publishers get rid of publications which are not sold
within certain stipulated time as it is very expensive for them to store them. These
books, though not out-of-date publications are declared as remaindered books and
Indian booksellers get them at 60 % to 80% discount after negotiating with the
publishers. According to the Good Offices Committee recommendations, they are to
be sold at 30% discount on the normal price. But as there is no stamp or mark of
“remainder” on them and therefore booksellers charge normal price with regular
discount of 10% to the libraries and there by earning more profit.

5. Selection and Acquisition of Electronic Resources

For electronic and multimedia resources, the additional considerations may include
several of the following 5:

- Licensing and contractual terms

- Special pricing models of retaining print subscriptions, restrictions

cancellations, consortia purchases

- Print and its digital equivalent on completeness

- Currency

5
Johnson, Peggy. Fundamentals of Collection Develop ment and Management.3rd Ed. Ch icago
: A merican Library Association. 2009
 - Ability to select and de-select individual titles or other content if it is package
deal offered by an aggregator and publishers.

- Technical or customer support

- Vendor support and responsiveness

- Availability of back files

- Permission of access when subscription is discontinued.

- Quality of end user interface

- Compatibility with Electronic resources management tools, such as discovery

services, link resolvers, A to Z services, electronic reserves, course
management software, exporting to thirty party providers

- Preservation strategies either through local infrastructure or third party

providers

- Physical logistical requirements within the library, including space, furniture,

hardware, wiring, and telecommunication and data ports.

- Effective use of technology.

6. Selection and Access to Databases

Evaluation criteria for databases are still evolving and technological and licensing
issues are the major factors which influence the selection process. During the trial,
library gets an opportunity to review the product and its features on the following
parameters.

Content: Content is assessed in terms of its currency, relevancy, breadth and depth
of the topic, consistency and reputation of author and publishers like any other
traditional resource but the most challenging aspect that confronts the selector is
availability from multiple sources. Electronic content can easily be obtained through
different sources and repackaged into a variety of products. And these options from
multiple sources create selection dilemmas6

Technological solutions are available to check the overlap analysis and

uniqueness of content as duplicity of content is a major concern for libraries in the
acquisition of electronic resources.

Technological concerns: Advent of World Wide Web and Internet has

revolutionized the access methods for digital content. Libraries are now constituting

6
Davis, Trisha. (1997). Evaluation of selection activ ities for electronic resources.Library
trends, Vol 45(3) winter 391-403.
selection committees to include members are drawn from technical domain to
evaluate options that are suitable for the library in terms of software, hardware and
network infrastructure.

Access: It is dependent on the hardware and software requirements and given the
array of methods available, selector is expected to be technically equipped to opt for
the best method for a given resource. IP filtering, concurrent access, remote access,
terminal specific, through online public access catalogue, via email are some of the
access methods available for accessing digital content. However, additional features
such as downloading of data, search strategies, saving history of searches,
exporting and importing of references, integration with social networking tools,
personal bibliographic manager are some of additional features which are also
considered apart from ease of access.

Browsers and their versions, additional plug-in, excel exports, response time,
downtime time, other applications and their versions have to be carefully assessed
before a purchase decision is made.

Archives: One of the most challenging factors which confronted the resource
acquisition in electronic format in early 1990s is archival and perpetual access. In
the initial years of digital publishing, content was leased and libraries owned no
content once subscription is terminated. However, as libraries became more vocal
with activism by professional bodies and groups at various platforms and retention of
the content is made available at additional or negotiated cost. Third party storage
sites such as CLOCKKS and PORTICO are available to ensure the perpetuity of
content and database providers also permit storage or deep archives at libraries’
local servers as well.

Licensing issues: Written license agreements govern the use and restriction of
accessing the digital content displacing the provisions ordained by copyright laws. A
pre purchase process of any digital content entails negotiations of various terms and
conditions pertaining to the following:

- Authorized users: it should broadly include current affiliated faculty, students,

research scholars (both full time and part time) apart from walk-in users.

- Rights of the users: Users should have the right to browse, search, download,
print and share content for scholarly purpose and sometimes create derivative
works out the content and also should include all such activities permissible
under fair use clause of copyright act of native countries of international
agreements
 - Restrictions on Usage: Restrictions by vendors should be reasonable and
clauses for monitoring the use should be avoided.

- Performance obligations by the Licensee: It should be bilateral agreement

between the library and content provider where the clauses of terms of the
agreement are complied with, to execute the agreement.

- Performance obligations by the Licensor: content provider should agree for

uninterrupted access and should respect the privacy of users

- Governing Law: Libraries should negotiate for insisting application of laws of

native jurisdiction pertaining to contract and copyright or should conform to
international laws that are mutually acceptable.

- Pricing and severability clauses. Pricing of content should be transparent

Counter compliant statistics: Project Counter 7 (counting online usage of

networked electronic resources) as in initiative launched in 2002 to set standards for
recording the online usage statistics which are consistent and compatible. Initially it
covered online journals and databases in 2003 but extended to online books and
reference works in 2006. Counter also developed a protocol in collaboration with
NISO on SUSHI (Standard usage harvesting initiative) to facilitate automated
harvesting and consolidation of usage statistics from different vendors. This initiative
is very helpful to both librarians and publishers. Usage statistics helps librarians to
take better informed purchase decisions and plan ICT infrastructure to develop
multiple channels of dissemination and publishers are able to provide the data as the
customers wanted and develop multiple channels of dissemination.

Alternate to Citation Studies: Altmetrics / plum analytics: Traditional Bibliometric

studies were considered as gold standard for measuring the impact of journal and
journal citation reports and Eigen factor and more recently, the H INDEX, Scimago
journal rankings were used to evaluate the impact factor of journal before a selection
decision is made. Altmetrics8and plum analytics 9 intruding into the scholarly
landscape to capture social web for analysing and informing scholarship. With
thousands of scholarly papers discovered, discussed, shared on social web, these
tools were designed to count on the impact that a research generates that which is
usually published in electronic medium. These tools are designed to categorize the
impact in form of “saved”, cited”, recommended articles or discussed.

8
http://www.alt metric.co m/
9
http://www.plu manalytics.com/
7. Selection and Access to Electronic Journals

According to online dictionary of library and information science10 “A digital version

of a printjournal, or a journal-like electronic publication with no print counterpart
(example: EJournal), made available via the Web, e-mail, or other means of
Internetaccess.”

However, evaluation criteria which are influencing the collection development

decisions for electronic journals are as follows

7.1 Big deals / subject bundles: Journals on a particular topic or theme are bundled
together as a subject collection by publishers and offered to libraries to subscribe or
own the collection as a whole instead of selecting individual titles in a collection.
Among the advantages of subscribing to big deals is increasing access to a variety
of journals, cost effectiveness and precise budget predictability. However, the flip
side of big deals is that the bundle may comprise of titles that are peripherally
relevant and not selected by individual libraries which also form a part of collection

7.2 Pricing models: There could be two type of pricing models, namely:

- Subscription model with perpetual access: In this model, library pays time
amount for the period of subscription and gets perpetual access for the
subscribed period.

- Pay per View: This model requires the user / library to pay for the viewing or
downloading article from a journal that is not subscribed by the library. It is an
alternate to inter library document delivery services as instant access is
available to faculty and research scholars to articles from journals that are not
subscribed by the library.

8. Selection and Access to Electronic Books ( Ebooks)

An electronic book or eBook is a digital version of a traditional book which can be
read in computer, eBook reader or smart phones and tablets. A chronology on
evolution of eBooks is reproduced from the book authored by Richard Kapling is
illustrated below. Ebooks are available as aggregators’ packages and directly from
publishers. Netlibrary, my ilibrary, overdrive, world e library, ebrary are aggregators
which are available on subscription based models without any perpetual access.
Publishers packages from Springer, oxford, Taylor and Francis, Cambridge, Elsevier
etc are available as subject bundles and also provide the option of “ Pick and
Choose” majorly on ownership models.

Advantages of e books
10
http://www.abc-clio.co m/ ODLIS/searchODLIS.aspx
 - Searchability : readers can search for and find an exact word or subject in
seconds

- Modifications : eBooks can be updated and more frequently and seamlessly

- Portability : once device can carry thousands of eBooks

- Variety : there are many e book reading devices and handhelds to choose from

- Readability: readers can increase or decrease the font size of the text, image
and figures

- Space saving: e books reduce shelving space requirement for libraries

Disadvantages

- Reading on screen: it is not always preferable to read large amount of text only

- Battery Power : Most of readers have battery power not more than 3 hours

- Multiple readers: there are multiple readers to choose from and each comes
with its own format

Selection of e books entails participation from multiple stakeholders.

- Content evaluation from subject experts

- Licensing and financial aspects by library professionals

- A new model emerging o influence the selector’s role is Patron driven

acquisitions or Demand Driven Acquisition

Requesting trials for eBook collection

A trail offers an opportunity to evaluation eBooks during which these can be

evaluated on

- Currency, relevancy, content

- Ease of search

- Print and download options

- Level of DRMs

- Format

- Software / apps needed to view

- Access on smart devices such as tablets and phones.

Patron Driven AcquisitionsThis model evolved with the advent of eBooks and also
known as Demand Driven Acquisition. In this model patrons play a key role in
selection of books and purchase is made after the patron uses the book. In this
model library preselects the books on a subject collection and loads the records in
OPAC or vendor provided interface. Based on the patrons attempt to view and
download the books, an alert is triggered to librarian. The purchase decision is made
depending upon the number of times the book is used. EBSCO academic
collections, my ilibrary, PROQUEST EBL, JSTOR offer this option.

Sources: There are number of aggregators and publishers who offer eBooks,
Springer, Oxford, Taylor and Francis, Routledge, EBSCOHOST, PROQUEST,
Netlibrary, Overdrive, Wiley etc.

Pricing models

- Perpetual access and ownership: In this model, library pays one time amount
and owns the title; however there could a small fee that is charged as platform
fee for the subsequent years.

- Subscription: EBooks are subscribed for s specific period and access gets
deactivated after the subscription is terminated. In this model, the library loses
the content once subscription ends.

- Pay per View: This model requires the user / library to pay for the viewing or
downloading either the full book or a chapter or number of chapters depending
upon the need without actually subscribing to the resources. It is ideal for either
high priced or low use resources.

- Short term rental: E-books are rented at a price for a short interval, and will not
be available after the rental period is over.

- Restricted concurrent user access: In this model, the number of users

accessing a particular title is restricted a certain number to which libraries
decides to pay for, which could be either subscription on ownership based,
JSTOR e books follow this model.

- Apart from the above purchase models, the associated costs which might add
up to the collection budget such as fees for MARC records, staff costs for
training and maintenance, archives fees.

File formats and Devices:It is important to know the files formats and devices
required to check the compatibility before a purchase decision is made. Criteria
 should include eBook readers, mobile devices and applications as these are
changing and evolving 11.

- Portable document format is the most popular format used widely for eBooks,
but as there are stored in images, files cannot be viewed in eBook small
screens. However, there are portable to all types of devices.

- Epub is industry based standard of international digital publishing forum. It is

compatible with Nook and Sony eBook readers and can be read in any
windows or MC computers through adobe digital edition.

- Kindle editions cannot be read without kindle application and is based on

Mobipocket format which allows the files to be locked to a user’s registered
device.

Audio visual Resources:Apart from traditional methods on evaluating the scope

and depth of the content on accuracy, authenticity, relevance, reputation of
publishers, technical evaluation on file formats, software and hardware
requirements, access, dissemination and delivery methods, selectors should also be
aware of stringent copyright guidelines on access, usage and storage. Pricing
models vary from offering the product in physical form of DVD or storage unit,
steaming rentals, access based such as Classroom or public viewing, lending to
patrons or mirroring in a server are some of the access models offered by publisher
and special pricing is offered for academic and non-profit organizations.

9. IFLA Guidelines

IFLA Section on Collection Development Collection describes that development is

based on ongoing assessments of the information needs of library clientele, usage
statistics analysis, and demographic projections, and is normally constrained by
budgetary limitations. The processes of collection development include:

- formulation of selection criteria

- planning for resource sharing (i.e., cooperative decision-making within library
consortia or with other libraries)
- planning for new collections or collection areas
- routine selection and de-selection decisions
- evaluating options for access (e.g., format choice, ownership v licensing)

These processes are guided by a collection development policy which establishes

priorities and facilitates decision making.

11
Kaplan, Richard ( Ed) . Building and Managing ebook collection Ch icago: Neal Schuman,
2012
 The IFLA Section further describes the activities associated with the acquisition of
materials (print, other traditional format library materials, and electronic resources)
by purchase, exchange, gift, or legal deposit, include:

- Ordering, receiving, claiming, and payment

- Selecting and evaluating supply sources
- Negotiating pricing
- Licensing of electronic resources
- The open access movement
- Scholarly communication

The IFLA Guidelines describe that e-resources represent an increasingly important

component of the collection-building activities of libraries. The guide concentrates
mainly on academic and research library purposes, but nonetheless will be of high
value to many types of libraries. “Electronic resources” refer to those materials that
require computer access, whether through a personal computer, mainframe, or
handheld mobile device. They may either be accessed remotely via the Internet or
locally. Some of the most frequently encountered types are:

- E-journals
- E-books
- Full-text (aggregated) databases
- Indexing and abstracting databases
- Reference databases (biographies, dictionaries, directories, encyclopaedias,
etc.)
- Numeric and statistical databases
- E-images
- E-audio/visual resources

The Guide focuses exclusively on e-resources whether acquired via purchase or

license, free from the web, born digital or multiple format materials (e.g., CD-ROM
combined with a book). E-resources present a number of challenges not
encountered with the selection and acquisition of traditional analogue materials and
it is advisable for the library to develop clear policies and processes for the selection
and management of such resources. These will provide clarity to staff and ensure
that e-resources within the library are developed with due consideration of cost,
technical feasibility, licensing, access and preservation requirements, and
constraints. The Guidelines can be accessed at:

10. Selection and Acquisition in Different Types of Libraries

 Each type of library has different clientele and resources according to their needs
need to be acquired in the library. In the different courses of e-PGpathashala
content, there are different modules on selection and acquisition and related
aspects, as enumerated below:

Name/number Title of the Issues covered in the module

of the paper Module
and

Paper No : Collection The module covers concept of collection

11on Development development in traditional library context,
Academic and Access functional aspects of collection development/
Libraries Management management, collection development policy,
in Academic models of collection development and problems
Module :
associated with collection development.
Libraries
06

Paper No : Collection The module incorporates meaning of collection

12 Development development, need of collection development
Policies and policy, elements of collection development policy,
Special and
Procedures etc.
Research
Libraries

Module :

12

Paper No : Documentary The module covers categories of library material

13 Resources of required by public libraries, discusses various
Public kinds of documentary resources and their role in
Public
Libraries a public library.
Libraries

Module

14

11. Interface with other Departments

 Inter library Loan: Inter library loan statistics are always used to corroborate
demand for certain resources while evaluating for purchase decisions.

Circulation: Circulation statistics are used to take decision on purchase of multiple

copies and aid in weeding of old materials

Computer or Information Technology Department: Selection and evaluation of

electronic content includes involvement of multiple stakeholders including IT
department of the organization. In academic and research libraries this interface is
still evolving raising complex issues on consensus specially on hardware, software
and network requirements for disseminating the content to end user community. IT
department generally provides IP ranges for access or evaluates the hardware and
software requirements for resources are installed in specific terminals.

Legal Department: The advent of written license agreement for digital and
multimedia content has compelled the library professionals to seek legal counsel on
the terms and conditions and complicity with obligations on the rights and restriction
of use before an agreement is signed with the vendor. It is also suggested to find
whether as library professionals can legally sign agreements on behalf of the
institute as well.

Promotion and Outreach: Liaisoning activities in promoting library collection

provides an opportunity to understand the need of its constituents especially non-
users or underserved. Functional divisions within the library engaged with promotion
and outreach activities of library resources and services assess the satisfaction
levels and can provide vital inputs on incorporating new parameters especially
delivery and dissemination channel to provide an online resource

12. Summary

Selection and acquisition of library resources has undergone widespread

transformation in the last two decades with the advent of new publishing formats and
web technologies. As libraries are drifting to electronic formats, selection and
evaluation process would continue to evolve with these ever changing publishing
formats. Though the role of subject experts is still relevant for assessing the content,
new domains of expertise especially on technology and legal field will continue to
expand the intrusion of multiple stakeholders in the selection process. Selection
committees in academic and research libraries have already started interfacing with
Information technology and legal departments within the organization for purchase of
digital and multimedia content.

13. References
1. Anderson, Pauline H (1985) Library media leadership in academic secondary
schools. Hamden, Connecticut: Library Professional Publications, p.16-56
2. Bradley, Jana & Bradley, Larry (1988), Improving written communications in
libraries. Chicago: ALA, p.125-149
3. Carrigan, D. P. (1996). Collection development—Evaluation. The Journal of
Academic Librarianship, 22(4), 273-278.
4. Cleary, C. (2009). Why the “Big deal” continues to persist.The serials
librarianvol 57(4), 364-379p
5. Dahl, C. (2012). Primed for patron-driven acquisition: A look at the big picture.
Journal of electronic resources librarianship, 24(2), 119-126.
6. Davis, Trisha. (1997). Evaluation of selection activities for electronic resources.
Library trends, Vol 45(3) winter 391-403.
7. De Fino,M., and Lo, M. L. (2011). New roads for patron-driven e-books:
collection development and technical services implications of a patron-driven
acquisitions pilot at Rutgers. Journal of Electronic Resources Librarianship,
23(4), 327-338.
8. Duranceau, E. F. (1998). Beyond print: revisioning serials acquisitions for the
digital age. The Serials Librarian, 33(1-2), 83-106.
9. Evans, G. Edward, (1987) Developing library and information center Collection.
Littleton: Libraries Unlimited.,p.65-81.
10. Fowler, D. (2009). The bundling and unbundling of e-serials: Introduction. The
serials librarian, 57 350-352p
11. Gardner, Richard K (1981) Library collections: Their origins, selection and
development. New York: McGraw Hill, p. 221-231.
12. Gorman, G. E. and Miller, Ruth H.: Changing collections, changing evaluation.
In Collection Management, International Yearbook of Library and Information
Management. 2000-2002, Library Association Publishing, p.309-338.
13. Hall, Blaine (1985), Collection development manual for college and university
libraries. Phoenix, Arizonia: Oryx Press,.
14. Hastings, S. K. (1998). Selection and evaluation of networked information
resources. The Acquisitions Librarian, 10(20), 109-122.
15. Hingwe, K.S.( 1982), Management of University Libraries in India: Principles
and Practices. Calcutta: World Press, p.121 – 124.
16. Hiott, J., and Beasley, C. (2005). Electronic collection management:
completing the cycle—experiences at two libraries. The Acquisitions Librarian,
17(33-34), 159-178.
 17. India. University Grants Commission (1965),Report of the Committee on
University and College Libraries, p.30-40 and p.46-52.

18. Jagannathan, Neela (2004) Developing acquisition policy for university libraries
in India in Library and Information Studies in Cyber Age: Essays in honour of
Professor J. L. Sardana edited by S. M. Dhawan. Delhi: Authors Press, p. 157-
164.
19. Johns, C. (2004), Collection management strategies in a digital environment.
Collection management, 28(1-2), 37-43.
20. Kim, P. J., Lee, J. Y., & Park, J. H. (2009). Developing a new
collection‐evaluation method: Mapping and the user‐side h‐index. Journal of
the American Society for Information Science and Technology, 60(11), 2366-
2377.
21. Kirkwood, H. P. (2000). Academic issues in e-journal selection and evaluation.
The Serials Librarian, 38(1-2), 169-174.
22. Line, Maurice and Sandison, Alexander ( 1975). “Practical Interpretations of
citation and library use studies” In College and Research libraries v36 ( Sept ),
p393-96
23. Littman, J., andConnaway, L. S. (2004). Circulation analysis of print books and
e-books in on academic research library. Library Resources and Technical
Services, 48(4), 256-262.
24. Prasher, R.G.(2002) India’s university libraries: Organisational operations and
service. Ludhiana Medallion Press, Chapter 18–p. 214–220.
25. Poisson, E. H. (1998). Collection development of electronic resources at the
Science, Industry and Business Library (SIBL). The Acquisitions Librarian,
10(20), 123-130.
26. Smith, L. C. (1981). Citation analysis. Library trends, 30(1), 83-106.
27. Tolbert, C. (2009). Purchasing of electronic back files: results of a survey. The
Serials Librarian57(4)410-422
28. VardhmanManaveer Open University , Course Material MLIS-09 at:
http://assets.vmou.ac.in/MLIS09.pdf

Web resources

http://www.altmetric.com

http://www.plumanalytics.com

http://www.projectcounter.org/about.html

http://www.abc-clio.com/ODLIS/searchODLIS.aspx
http://www.ifla.org/files/assets/acquisition-collection-development/publications/gcdp-
en.pdf

http://www.ifla.org/publications/guidelines-for-a-collection-development-policy-using-the-
conspectus-model

http://www.ifla.org/files/assets/acquisition-collection-development/publications/Electronic-
resource-guide.pdf

http://lib.jnu.ac.in/book-acquisition-policy
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar

Module :10 Technical processing

Paper Coordinator Development Team

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer
INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer
Prof Dinesh K Gupta
Paper Coordinator Professor, V M Open University

Dr Rama Patainak
Content Writer Librarian, IIM Bangalore

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 10
TECHNICAL PROCESSING
I. OBJECTIVES
The objectives of the unit/module are to:
- Explain the need of technical processing of library material;
- State the purpose of library classification and escribe the need of notation in
library classification;
- List the various schemes of library classification available in libraries for
organizing library collection; and xplain the concept of main classes in DDC and
CC;
- Explain the use of cataloguing of library material and describe about a library
catalogue and cataloguing;
- Demonstrate the role of MARC 21, Dublin Core and AACR2R in cataloguing;
and explain latest developments in library cataloguing.
II. Learning Outcomes

After going through this unit/module, you would learn about the need of technical
processing of library material; the purpose of library classification; the need of
notation in library classification; various schemes of library classification available in
libraries for organizing library collection; the concept of main classes in DDC and CC;
use of cataloguing of library material; the role of MARC 21, Dublin Core and AACR2R
in cataloguing; and latest developments in library cataloguing.

III. Structure
1. Introduction
1.1. Need of technical processing
1.2. Steps
2. Library classification
3.1 Purpose of library classification
3.2 Notation
3.3 Call number
3.4 Schemes of library classification
3 Cataloguing
3.1 Genesis and evolution of cataloguing codes and rules
3.2 Machine readable formats
3.3 Aacr2r( 2002)
3.4 Choice of access points
 3.5 Authority control
3.6 Subject headings latest developments
4 Summary
5 References
1. Introduction
Technical Processing Section plays a key role to carry out functions of any library.
The journey of every document in the library to reach its readers starts from the
acquisition section. It is the technical section that acquires the documents and
prepares these for use by the users. It, therefore, acts as a bridge between the
acquisition of documents to their circulation. This section attends to all technical
activities by the professional/technical staff of the library. The activities done here are
chiefly classification; cataloguing; physical processing; shelving; and filing of library
material.
1.1 Need of technical processing
Library materials go through the process of technical processing so that they can be
located, used, and returned to the library from which they originated. The need for
technical processing has been brought about by a number of factors, which are:
- Tremendous growth of information resulting in production of a variety of
library materials,
- Necessity of categorization of universe of knowledge,
- Arranging information in such a way that subject specialization is maintained,
- Systematic arrangement of documents facilitates easy storage and retrieval,
and
- Satisfaction of users’ needs.
In addition to the above, several tools have been developed for technical processing
of documents, especially for arrangement and management of collection. These are
the vocabulary control devices like the classification schemes, thesauri, cataloguing
codes, subject heading lists, etc. These tools help in preparation of modern
information services and products.
1.2 Steps
The steps involved in technical processing vary in each library. The processing steps
usually vary by type of library. Within a library different types of material may be
processed in different ways. Basic steps of technical processing of library material
are as follows:
a) Classification
b) Cataloguing
c) Preparation of Shelf list
 d) Labelling the documents
In this Module, we will discuss classification and cataloguing - the two main steps of
technical processing.
2. Library Classification
Organization of library collection for easy retrieval can be traced to university libraries
of the late middle ages as monastery libraries of that time were small and did not
need any classification. It was at the beginning of 16th century when librarians started
devising various classification schemes for arrangement of books. During the growth
of libraries and their use in the 19th century, one of best known efforts which stands
apart to classify universe of knowledge was by Thomas Jefferson, the third President
of United States. He adapted Francis Bacon outline of knowledge to arrange his own
library and had planned to arrange the libraries of University of Virginia and College
of William and Mary.

Soon many followed the Baconian system which classified materials on three
faculties; History, Philosophy and Poetry. T. M. Harris, librarian at Harvard, Edward
William Johnson of College of South Caroline were among them. William Terry
Harris also followed but inverted the Baconian system and created independent
American Classification.

It was in 1876 that Melvil Dewey devised his famous classification known as Dewey
Decimal Classification which was largely based on W. T. Harris system. It is not only
the oldest but also the most widely used classification system in the world. The first
edition was issued anonymously under the title A Classification and Subject index for
Cataloguing and Arranging the Books and Pamphlets of a Library. The second edition
was published under Dewey’s name and after going through several changes, it has
now the 22nd edition which was published in 2004. Presently, the online version of
Dewey called Web Dewey (www.oclc.org/dewey/version/dewey) includes all content
from 22nd edition as well as quarterly updates.

Library materials are classified for several reasons. One reason is that it is difficult to
find library material unless each item has a place where it belongs. Secondly, library
classification helps to locate the materials available in the library. Thirdly,
classification makes a collection browse-able by placing items of similar topics
together. And lastly, with a classification number on each library item, staff can easily
return materials to the shelves for enabling availability for the next user. The main
function of every library thus is to provide reading material to users. As this benefits
the users, library classification by subject is essential.
 Library classification is defined as “grouping of documents having same or like
subject content. It is a system of arrangement adopted by libraries to enable users to
find their materials quickly and easily.” All the books, irrespective of their size, no
matter when written, are naturally grouped together when they belong to the same
subject. Therefore, library classification by subject is essential for all library material.
2.1 Purpose of library classification
The chief purpose of library classification is to facilitate use of reading material. It is,
therefore, essential that library classification should make the documents readily
available to the users whenever required by them. This is due to the fact that
classification helps to arrange documents in the most convenient order.

Various purposes of library classification are:

a) To arrange library material in a manner helpful to the users and the library
staff,
b) To replace the materials in their proper place on the shelves after use by the
users,
c) To facilitate removal of unwanted material from the shelves,
d) To ensure that there is scope to place newly acquired material on the
shelves in their proper place,
e) To place material on the shelves as indicated/shown by the library
catalogue, and
f) To provide every documents an individual class number, so it has an
individual number.
The two main functions of library classification are shelf arrangement and notation.
Shelf arrangement will be discussed in Module on 'Shelving, Maintenance and
Preservation'.
2.2 Notation
Notation is defined as a system of numbers used to represent the classes (subjects)
in a library classification scheme. It is essential in every scheme of classification as it
serves as a symbol in place of a term. As notation makes up the class number, it can
be described as the standard abbreviation of the classification scheme. The system
of providing notation is referred to as notational system. The notational system
consists of:
- Arabic numerals
- Roman letters, both small and caps
- Punctuation marks
- Mathematical symbols
 These symbols may, however, vary from one classification scheme to another. A
good notation should have the following qualities:
a) Simplicity- it should be simple, easy to read, write and remember.
b) Brevity - it should be brief.
c) Pronounceable - it should be pronounced easily.
Example
Subject Notation in DDC Notation in CC
Education 370 T
Chemistry 540 E
Library Science 020 2
History 900 V
2.3 Call number

In addition to the notation from the classification scheme, library items should also be
given an author indicator, made up of letters or letters and numbers that indicate the
author’s last name. Some libraries may also add a title indicator, date of publication,
and/or a copy number. All of these elements together form what is called a Call
Number.

The purpose of the call number is to provide the address for an item in the library.
This address is where the staff will be sure to shelve the item, and where the user
can look for the item. This address also allows a user to browse the collection to find
all of the available items on any given topic. The idea of creating this address, or call
number, for each item in the library is that each item can only have one address. It
becomes the cataloguer’s job to determine the specific focus of the item being
catalogued, and group various materials dealing with the same topic together,
creating an organized, browse-able collection.

The call number consists of class number, book number and collection number.
Thus,

Call Number = Class Number + Book Number + Collection Number

Examples

A book entitled Principles of Physics by R. K. Kapoor will have the following call
number according to Dewey Decimal Classification.

D 530 KAP

Here, D = Collection Number for main collection for lending to users

530 = Class Number for Physics

 KAP = Book Number from first three letters of author’s surname

A book entitled Elementary education by P. K. Vishwas published in 1992 will have

the following call number according to Colon Classification.

T15 N92 TD

Here, T15 = Class Number for Elementary Education

N92 = Book Number according to year of publication, i.e., 1992

TD = Collection Number, indicating that book belongs of Education

Department (as per a table given in Colon Classification Schedules)

2.4 Schemes of library classification

There are several classification schemes in use worldwide. Popular ones among
them are:
- BLISS Bibliographic Classification (BC)
- Colon Classification (CC)
- Dewey Decimal Classification (DDC)
- Library of Congress Classification (LC)
- Universal Decimal Classification (UDC)
Of the above, two classification systems most commonly used in Indian libraries are
the Dewey Decimal Classification (DDC) Scheme, and the Colon Classification
Scheme (CC). Dewey is based on a numerical breakdown of all topics, and the Colon
Classification Scheme is made up of an alphanumerical subject organization.

Dewey Decimal Classification (DDC)

Basic Format This classification scheme, designed by Melville Dewey in 1876, is

used by most of the libraries all over the world. It is an enumerative scheme of
classification as most of the subjects can be assigned numbers directly from the
schedules. Dewey divided universe of knowledge into ten main classes with further
subdivisions accompanied by decimal notation. This notation repeats patterns and
develops subjects with parallel construction. It also repeats standard subdivisions so
that it is easy to browse the shelves in a logical manner. Dewey Decimal
Classification is published in four volumes. The first volume provides introduction with
detailed explanation of schedules, tables and instructions in classifying and building
numbers. Volume 2 and 3 enumerate the schedules. Fourth volume is relative index,
which is original contribution of Melvil Dewey. The universe of knowledge is divided
into 10 subject areas called main classes and each main class is again subdivided
into 10 more sub classes and so on. There are many classifier notes that explain
changes in schedules and tables, instruction on number building, prescribe citation
and preference order and explanation of options. Among the tables, numbers in table
one (standard subdivisions) are the only ones which can be added without any
specific instructions.

The online version of Dewey called as Web Dewey

nd
(www.oclc.org/dewey/version/dewey) includes all content from 22 edition as well as
quarterly updates. One of the biggest advantages of online version is the mapping of
DDC to Library of Congress Subject Headings and links from mapped LCSH to the
LCSH authority records. Extensive use of hyperlinks also provides faster access to
related records and entries in the manual.

Arrangement of classes in DDC is based on disciplines rather than subjects. The

main feature of DDC are:

- The use of pure Arabic numerals in notation;

- The use of decimal to specify subject terms that is specific;
- The scheme is compact and available in four volumes.
- Availability of mnemonic devices that facilitates easy recall of classification
number;
- DDC employs three minimum digits to the left of the decimal; and
- Availability of relative index to the diverse material in the schedule.
Main Classes of DDC DDC arranges universe of knowledge into 10 broad classes.
Each main class is divided into 10 divisions, and each division is further divided into
10 sub-divisions until all the subject terms have been specified.The first summary
contains the 10 main classes. The first digit in each three digit number represents the
main class.
000 Generalities
100 Philosophy & psychology
200 Religion
300 Social sciences
400 Language
500 Natural sciences and mathematics
600 Technology (Applied sciences)
700 The arts
800 Literature & rhetoric
900 Geography & History
Example 500 represents natural sciences and mathematics.
The second summary contains the hundred divisions. The second digit in each three-
digit number indicates the division.

Example
500 is used for general works on the sciences, 510 for mathematics, 520 for
astronomy, 530 for physics.
The third summary contains the thousand sections. The third digit in each three-digit
number indicates the section.
Example
530 is used for general works on physics, 531 for classical mechanics, 532 for fluid
mechanics, 533 for gas mechanic.
A decimal point follows the third digit in a class number, after which division by ten
continues to the specific degree of classification needed.
Examples
Book Selection in Public Libraries 025.21
Types of Book Binding 686.3
In addition to numbers given in the schedules, seven tables can also be used for
number building. These tables are given below:
Table-1: Standard Subdivisions
Table-2: Geographic Areas, Historical Periods, Persons
Table-3: Subdivisions for the Arts, for Individual Literatures, for Specific Literary
Forms
Table-3A: Subdivisions for Works by or about Individual Authors
Table-3B: Subdivisions for Works by or about More than One Author

Table-3C: Notation to be Added Where Instructed in Table3B, 700.4,

791.4, 808-809

Table-4: Subdivisions of Individual Languages and Language Families

Table-5: Racial, Ethnic and National Groups
Table-6: Languages
Table 7: Groups of Persons

Colon Classification (CC) Colon Classification scheme was designed in 1933 by Dr.
SR Ranganathan. CC is an analytico-synthetic scheme. The schedule of CC consists
of certain standard unit schedules. By combining the numbers in different unit
schedules, class numbers can be constructed for any subject. The universe of
knowledge is divided on basis of subjects known as Main Classes.
 The first edition of the scheme was brought out in 1933 and the seventh edition is the
latest edition. But the 7th edition is not much in use. The 6th edition is widely used.
For this reason, we will know here about the 6th edition of CC, which was first
published in 1960 and revised in 1963.

Main Classes of CC The Main Classes of CC 6th revised edition are presented
below:
z Generalia LX Pharmacognosy
1 Universe of Knowledge M Useful Arts
2 Library Science Δ Spiritual Experience and
Mysticism
3 Book Science MZ Humanities and Social
Sciences
4 Journalism MZA Humanities
A Natural Sciences N Fine Arts
AZ Mathematical Sciences NX Literature and Language
B Mathematics O Literature
BZ Physical Sciences P Linguistics
C Physics Q Religion
D Engineering R Philosophy
E Chemistry S Psychology
F Technology Σ Social Sciences
G Biology T Education
H Geology U Geography
HX Mining V History
I Botany W Political Science
J Agriculture X Economics
K Zoology Y Sociology
KX Animal Husbandry YX Social Work
L Medicine Z Law

Examples
Library Science 2
Public Library 22
Engineering drawing D:4

3. Cataloguing
Technical processing, especially cataloguing has undergone a huge transformation in
the last two decades especially after the introduction of items in digital and
multimedia formats in the library collection. However, the three standards which
continue to have universal appeal among libraries of the world before the advent of
FRBR and RDA are ISBD, AACR2 and MARC21.
 The term catalogue refers to a list of books, maps and other items in the library
arranged in a specific order for user to retrieve these items from their shelving
location. According to ODLIS, catalogue refers to “a comprehensive list of the books,
periodicals, maps, and other materials in a given collection, arranged in systematic
order to facilitate retrieval (usually alphabetically by author, title, and/or subject).”
The main objective of the catalogue is to enable users to a number of approaches to
access points to the information contained in the collection. In other words, the main
objective of the catalogue as modified by Bohdan S. Wynar in Introduction to
Cataloging and Classification (8th ed., 1992), which was earlier stated by Charles C.
Cutter in Rules for a Dictionary Catalog (1904), is to enable the user to find a
resource through the following access points:
- Author
- Title
- Subject
And to identify what the library has:
- By a given authors
- On a given subject or related subjects
- In a given kind of literature
And to assist in the choice of work that
- As to the bibliographic edition
- As to its character (literary or topical)
Cataloguing is thus a process which includes identifying bibliographic description,
subject and class number for description of an item in the collection

3.1 Genesis and evolution of cataloguing codes and rules

The first cataloguing rules were prepared by individuals who laid the foundation for all
the codes and rules developed in early twentieth century. Anthony Pannizzi of British
Museum known for his 91 rules and Charles Ami Cutter, a Librarian at Boston
Athenaeum also created an important set of rules, “Rules for a Dictionary Catalogue'
in 1903. Cutter’s rules were comprehensive with regard to subject access and files as
these were for description, name and title access.

However, in early twentieth century, organisations and committees took over the
mantle in developing codes and rules. Library of Congress developed a list of subject
headings under Margaret Mann. Rules for descriptive cataloguing progressed
through a number of manifestations. Some of the cataloguing rules are:

- LC rules for printed cards (1889-1930s)

 - ALA and British Library Association catalogue rules (1908)
- ALA Cataloguing Rules (1941)
- ALA Cataloguing Rules for Author and Title Entries (1949)
- LC Rules for Descriptive Cataloguing (1949)
- AACR (1967)
- AACR 2(1978)
- AACR Revised 2nd Edition ( AACR3R98)
- AACR2R2002

Today, libraries extensively follow AACR cataloguing rules which are heavily oriented
towards academic and research libraries. It incorporates rules for entry and heading,
description and cataloguing of non-book materials. Ever since its origin in 1967, it has
undergone three revisions, 1978, 1998 and 2002. It was the first code which
emphasized on the choice of access points as a separate activity from the
construction of heading used for any access points chosen. General principles
became the basis for the rules for choice of main entry.

a) Entry should be under author or principal author when once can be

determined.
b) Entry should be made under title in the case of works whose authorship is
diffuse, indeterminate or unknown.
3.2 Machine readable formats
MARC 21 has a legacy of history of more than forty years with more than fifty formats
developed across the world including INDMARC from India. It all began with Library
of Congress which started automating catalogue records and sent data to 16 libraries
on magnetic tape. British National Bibliography around that time started a similar
initiative. The success of both the projects led to MARC I project. Both the countries
had their own formats USMARC AND UKMARC. But in the year 200,1 UK adapted a
harmonised US and Canada format known as MARC 21. It is one the formats which
continues to appeal universally to libraries of all types to exchange bibliographic data

Marc 21 is a format and not the code and it has three parts:

1) Leader: The leader identifies the beginning of new records and provides
information for processing of the record.
2) Directory: it consists of series of entities that contain the tag, length and
starting location of each variable field within the record.
3) Variable Fields: The data in a MARC record is organized into variable fields,
each identified by a three-character numeric tag that is stored in the
 Directory entry for the field. Each field ends with a field terminator character.
There are two types of variable fields:
- Variable control fields
- Variable data fields
These carry traditional cataloguing data or elements. Bibliographic information is
entered in the fields both for access points and descriptive cataloguing

A MARC record is a collection of fields and each field contains a unit of information
within a records. Each field may contain one or more subfields. A tag in MARC 21
consists of indicators and subfields which are receded by a single character code
(either\or ! ).

Lois Mai Chan identifies five types of MARC 21 formats:

1) MARC 21 for bibliographic data: for encoding bibliographic information in

records.
2) MARC 21 for Authority data: for encoding authority data collected in authority
records.
3) MARC 21 for Classification data: for encoding data elements related to
classification numbers.
4) MARC 21 for holding data: for encoding data elements in holding records
that show the holdings.
5) MARC 21 for community information: for encoding data in records that
contain information about events, programs and services and the like for
integration with bibliographic records.
MARC Tag Main Entry
001-008 Control Fields
01X-04X Number & Code fields
05X-08X Classification & Call Numbers
1XX Main Entry
20X-24X Title & Title related field
25X-286 Edition, Imprint Etc.
3XX Physical Description
4XX Series Statement Fields
50X-53X Note Fields
53X-59X Note Fields
6XX Subject Access Fields
7XX Added Entry Fields
76X-78X Linking Entry Fields
80X-830 Series Added Entry
841-88X Holding, Alternate, Graphics etc. Field
 9xx – 999 Local information
Dublin Core Dublin Core metadata initiative is a set of terms that can be used for
both web and physical resources. It is a collaborative effort between OCLC and
NCSA (National Centre for Computing Applications) in 1990s. Now, it is a non-profit
organisation located at the National library of Singapore. Dublin Core consist of 15
elements for describing resources. It is widely used for digital repositories hosted in
Eprints or Dspace formats.
1. CREATOR
2. CONTRIBUTOR
3. PUBLISHER
4. TITLE
5. DATE
6. LANGUAGE
7. FORMAT
8. SUBJECT
9. DESCRIPTION
10. IDENTIFIER
11. RELATION
12. SOURCE
13. TYPE
14. COVERAGE
15. RIGHT MANAGEMENT

Dublin core metadata vocabularies distinguish four types of terms:

a) Properties: are called metadata fields such dc: title, dc:creatoretc
b) Classes: groups of resources having certain properties in common and
therefore put together as one concept dc:mitype:Collection
c) Data types: are the syntax rules that specify how a value has be structured.
d) E.gdc:term: W3CDTF for data specification
Vocabulary encoding scheme identifies controlled vocabularies such as thesauri,
classification schemes, subject heading, and taxonomies.
MODS MODS is another metadata created by Library of Congress network
development and MARC standard’s Office. It is derived from MARC 21, but unlike
MARC 21 it uses text instead of numeric tags. It offers more granularities in its data
structure.
3.3 AACR2R( 2002)
Selected rules of AACR 2 R (With Examples) The first chapter of AACR2R covers
description in general which is applicable to all types of materials. AACR 2R
prescribes title page of the resource or item as the chief source of information, which
provides major data for bibliographic description of the resource. If it is not found or
difficult for bibliographic description to ascertain, AACR prescribes for alternate
sources. The chief source of information varies according to the type of resource.
Appendix 1 provides list illustrating chief sources of information for various types of
information resources/item.

Description There are eight areas of description which is based on ISBD (Gen)
framework.

In this section, rules for description along with corresponding MARC 21 TAG are
illustrated with examples.

(i) Title and Statement of Responsibility: M ARC 21 TAG 245 According to

AACR 2R, Title and Statement of Responsibility should be obtained from chief
source of information, but if the resources lack a title proper, one may be
supplied by the other sources or provided by the cataloguer. Phrases and
words which serve as introduction to the title are not be transcribed as part of
title proper. This area comprises:
- Title proper ( subfield a)
- Remainder of the title (subfield b)
- General material designation ( subfield h)
- Statement of responsibility ( subfield c)

Examples
245 \a Portals to the world.\p Selected Internet
resources.\p Maldives\ h[electronic resource] / \c created and
maintained by the Asian Division, Area Studies Directorate.
245 \a Prentice Books archives. \p Underwood biographical
dictionary.\n Volumes 1 & 2 revised \h[electronic resource] /\c
Laverne Moore.
245 \a Focus on grammar \h[electronic resource] : \b basic level.
(ii) Edition: M ARC 21 TAG 250

The edition statement may be obtained from the chief source of information and
rendered in abbreviated and numeral form as given in the Appendix B and
Appendix C of AACR2R. Edition area covers:
- Edition statement ( subfield a)
- Statement of responsibility pertaining to the edition ( subfield b)

250 \a 4th ed. / \b revised by J.G. Le Mesurier and E. Mcdonald, Repr.

 with corrections.
250 \a Rev. ed. / \b with revisions, an introduction, and a chapter on
writing by E.B. White, 2nd ed. / with the assistance of Eleanor
Gould Packard.
250 \a Canadian ed. = \b Ed. canadienn
(iii) Material Specific details
Material specific details area is relevant for serials. It is transcribed as it
appears on the first or last issue or part of the serial using standard
abbreviations.

362 \aVol. 1, no. 1 (Apr. 1981)-

362 \a1968-
362 \aVol. 1, no. 1 (Apr. 1983)-v. 1, no. 3 (June 1983).
362 \aCeased with 2 (1964).

(iv) Publication description

The place of publication is rendered as it appears in the chief source of
information. When more than one place is given typographic prominence, all
the names are to be rendered, each separated by space semicolon space. This
area comprises of:
a) Name of the publisher, distributor
b) Publication area
c) Date of publication. ( MARC 21 TAG 260)
The date of publication of the edition that is catalogued is to be given preceded by
space and comma. If the date of publication and distribution is not given, copyright
date may be used. If no date is found, cataloguer is instructed to give an appropriate
date rendered within square brackets followed by a ?mark.
Examples
260 \aNew York, N.Y. : \bElsevier, \c1984.
260 [S.l.] : \bInsight Press, \c1981.

260 Belfast [i.e. Dublin] : \b[s.n.], \c1946 [reprinted 1965]

260 \a[S.l. : \bs.n., \c [15--?]
260 \aNew York ; \aBerlin : \bSpringer Verlag, \c1977.
260 \aParis : \bVincent, \c1798 \a[i.e. Bruxelles : \bMoens, \c1883]

(v) Physical description

It is transcribed in abbreviated form as provided. This area consists of:
a) Extent of item ( subfield a)
b) Other physical details ( subfield b)
 c) Dimensions ( subfield c)
d) Accompanying materials ( subfield e )
Examples

300 \a11 v. : \bill. ; \c24 cm.

300 \a1 sound disc (20 min.) : \banalog, 33 1/3 rpm,
stereo. ; \c12 in.
300 \a1 videocassette of 1 (Beta) (30 min.) : \bsd., col. ;
\c1/2 in. \3(2 copies)
300 \a271 p. : \bill. ; \c21 cm. + \eatlas (37 p., 19 leaves
of plates : 19 col. maps ; 37 cm.)
(vi) Series
490 \aDepartment of the Army pamphlet ; \v27-50
\aDepartment of State publication; \v7846. \aDepartment
490 and Foreign Service series ; \v128
\aLund studies in geography,\x1400-1144 ;\v101\aSer. B,
490 Human geography,\x0076-1478 ;\v48
490 \aMap / Geological Survey of Alabama ; \v158, plate 3
(vii) Note
Notes area provides flexibility to the cataloguer to transcribe information about
a resource which augments the formal description of the resource. The order of
the note data should be in the same of areas of description.

\aRecast in bronze from artist's plaster original of

500 General Note
1903.
500 General Note \aThree-dimensional film: Natural vision.
\aWith: The reformed school / John Dury. London :
501 With Note
Printed for R. Wasnothe, [1850]
\aIn cassette with: Dissection of the brain stem:
inferior and superior cerebellar peduncle --
501 With Note Dissection of the hemispheres: long association
bundles -- Dissection of the hemispheres: extreme
and external capsules and related structures.
Dissertation \aThesis (M.A.)--University College, London, 1969.
502
Note
Bibliography, \aIncludes bibliographies and index.
504
Etc. Note
Bibliography, \a"Literature cited": p. 67-68. \b19
504
Etc. Note
Formatted \apt. 1. Carbon -- pt. 2. Nitrogen -- pt. 3. Sulphur --
505 Contents pt. 4. Metals.
Note
\aContents on sound disk: A suitable tone ; Left
Formatted
hand colouring ; Rhythm and accent ; Tempo ;
505 Contents
Flexibility ; Ornaments -- Sonata in D major, op. V,
Note
no. 1 / Corelli -- Sonata in G minor / Purcell (with
 Robert Donington, gamba) -- Forlane from Concert
royal no. 3 / Couperin.
Formatted \uhttp://lcweb.loc.gov/catdir/toc/99176484.html
505 Contents
Note
Restrictions \aFor official use only.
506 on Access
Note
Type of \aText (Law reports and digests)
Computer
516
File or Data
Note
Date/Time \aRecorded in Vienna in 1961, previously released
and Place of as WST 17035.
518
an Event
Note
\aDescribes associations made between different
animal species for temporary gain or convenience
520 Summary
as well as more permanent alliances formed for
mutual survival.
Additional \aIssued as Beta 1/2 in. or VHS 1/2 in. or U- matic
Physical 3/4 in.
530 Form
Available
Note
Additional \aAvailable on microfiche.
Physical
530 Form
Available
Note
\3v.1-39(1927-1965)\aElectronic
Reproduction reproduction.\bIthaca, NY :\cCornell University
533
Note Library,\d2001\f(Core historical literature of
agriculture)\5NIC
Original \pOriginally issued: \aFrederick, John. \tLuck.
534
Version Note \nPublished in: Argosy, 1919.
Immediate \cGift; \aLeavitt Hunt's daughter, Mrs. William E.
Source of Patterson; \d1947.
541
Acquisition
Note
Immediate \35 diaries \n25 \ocubic feet; \aMerriwether, Stuart;
Source of \b458 Yonkers Road, Poughkeepsie, NY 12601;
541
Acquisition \cPurchase at auction; \d1981/09/24; \e81- 325;
Note \fJonathan P. Merriwether Estate; \h\7,850.
Source of \aCannot determine the relationship to Bowling
588 Description illustrated, also published in New York, 1952-
Note 58.\5DLC
 Source of \aDescription based on: Vol. 2, no. 2 (Feb. 1984);
588 Description title from cover.
Note

(viii) Standard number and terms of availability

If there are two or more standard numbers, the one that applies to the item
being catalogued should be given. It must be noted that no hyphen should be
used while transcribing in MARC records.

020 \a0914378260 (pbk. : v. 1) \c\5.00

020 \ a 0394502884 (Random House) : \c\12.50
020 \a 0877790019 (black leather) \z 0877780116 : \c\14.00
3.4 Choice of access points
Access points for resource/item being catalogued are again obtained from chief
source of information. According to ODLIS, access point pertains to a unit of
information in a bibliographic record under which a user may search for and identify
items listed in the library catalogue. But in an automated and machine readable
catalogue all fields are searchable and serve as access point. In the MARC record,
most access points are found in the following fields (with XX in the range of 00-99):

1XX - Main entries

4XX - Series statements

6XX - Subject headings

7XX - Added entries other than subject or series

8XX - Series added entries

The term 'personal author' is augmented to include composers, cartographers,

photographers and performers as well as writers and other creators who are chiefly
responsible for intellectual or artistic content of work.
Single personal author (MARC 21 TAG 100): The term personal author is
augmented to include composers, cartographers, photographers, performers, etc. as
well as writers and other creators of work who have contributed to the intellectual or
artistic content of the resource. The chief source of information for ascertaining the
personal author responsible for the work is the title page.

100 \aLe Conte, John Eatton, \d1784-1860.

100 \aEl-Abiad, Ahmed H., \d1926-
100 \aJohn Paul \bII, \cPope, \d1920-
Corporate authorship ( MARC 21 TAG 110 OR 111): a corporate body is defined
as 'an organization or a group of persons that is identified by a particular name and
that may act as an entity'. It includes associations, institutions, business firms,
government, conferences, adhoc events such as festivals and fairs, etc.

110 \a U United States. \bCongress. \bJoint Committee on the Library.

110 \a Inter National Labour Organisation. \bEuropean Regional

Conference \n (2nd : \d1968 : \c Geneva,
Switzerland)
110 \a East Man Kodak Company, \e defendant-appellant.
110 \a Minnesota. \b Constitutional Convention \d(1857 : \g Republican)

110 \a United States. \b Congress \n (97th, 2nd session : \d1982). \b

House.
\a New York Public Library. \k Manuscript \p Aulendorf
110
Codex.
\aUnited States. \bNational Technical Information Service.
110
\u5205 Port Royal Road, Springfield, VA 22161.
\aWhite House Conference on Library and Information
111
Services \d (1979) : \c Washington, D.C.). \e Ohio Conference
Delegation.
\a International Symposium on Quality Control (1974- )
111
\a National Conference on Physical Measurement of the
111
Disabled, \n 2nd, \c Mayo Clinic, \d 1981, \g Projected, not
held.

Works of shared responsibility: When two or more persons or corporate bodies

have made the same kind of contribution to a work, and principal responsibility is
typographically given prominence, it should be rendered for the heading of that
person or corporate body. In case, the principal contributor cannot be ascertained,
the first mentioned name or entity is taken as a heading. Other persons or entities are
given added entries.
Works of mixed responsibility: When a work has many contributors in different
capacities or functions such as adapting, translating, illustrating, composers, towards
the intellectual or artistic content of the resource, it is treated a mixed responsibility.
In such cases, AACR2R prescribed two categories:
 a) Works modified on previously existing works, such as revised edition,
adaptations and translations etc.
- Adapters of texts are preferred as heading and a name title entry is made as
an added entry for the author of original text.
- But if an illustrator has added illustrations to the text, the heading is given to
the author of original text and illustrator gets an added entry.
- In case of revised editions, which might include revisions, updates,
abridgements, the author of original text is chosen for heading and added
entry is prepared for reviser, abridger, etc.
- For translations, author of original text is given the heading and added entry
is prepared for translator.
b) New works that comprise contributors in various capacities
- A collaborative work between an artist and writer is ascertained from a work
of mixed responsibility, and no prominence is given by typography, the main
entry is prepared for the one named first in the chief source of information.
Works with collective title: A work that has a collective title and has two or three
independent contributions, then the title main is preferred with added entries for the
other contributors.
Works without collective title: If a work does not have collective title, the first work
named in the chief source of information is chosen for heading of main entry and
name title added entries are prepared for other works and their titles.
3.5 Authority control

In order to maintain consistency in rendering of headings such as names of personal

authors, uniform titles, series, subject, etc. there is a growing need expressed among
cataloguers to adhere to an authoritative list often referred to as authority file as and
when new items are added to the collection. It enhances the function of cataloguing
in identifying and locating items in library catalogue.

Authority control is available from commercial service providers such as MARCIVE,

Inc., MARC Link Retrospective Conversion

3.6 Subject headings latest developments

Translating the subject content of the resource that is catalogued is to accomplish the
objective of subject access to library collection. It may be either through the numerical
system or through controlled terminology. The basic function of library catalogue as
stated by Cutter is to show what the library has on a given subject. Users approach
the catalogue with their own words and phrases, which are translated and mapped to
 predetermined access terminology of the catalogue. Subject heading have dual
objectives, firstly, to identify the material on a given subject and secondly, to enable
the inquirer to find material on related subjects. In this Module, Library of Congress
List of Subject Headings is covered.
Library of Congress Subject Headings Library of Congress Subject Headings is
based on ALA List of Subject Headings for use in dictionary catalogue. Subject
specialist in Library of Congress later modified and added few more terms and
published Library of Congress List of Subject Headings in 1914 under the title
“Subject Headings Used in the Dictionary Catalogue”. Subsequently, new editions of
LCSH appeared about once every 10 years until 1988, when conversion to a
computerized database was completed. At that time, printed editions began to be
issued annually, and electronic versions were developed, first in CD-ROM and later,
online.
i) Format: LCSH uses a variety of grammatical constructions for its headings
from one-word headings to complex multiword headings. One-word
headings usually are nouns or verb forms used like nouns, such as
FISHING1. The other formats are noun modified by adjective, two and three
word heading nouns with explanatory qualifiers, two nouns connected by
conjunction such as AND, FOR etc.
ii) Cross References: Six types of Cross References are identified in LCSH as
mandated by NISO. They are:
a. BT (Broader Term)- one level higher in a hierarchy
b. RT (Related Term)- same level of hierarchy
c. NT (Narrower Term) - one level lower in a hierarchy
d. UF (Use For)- authorized term
e. SA (See Also) - reference to subject groups, not individual subject terms
f. USE unauthorized term
iii) Subdivisions: For complex subjects, the concept of subdivisions facilitates
decrypting the subject content of the resource. These are topical,
chronological, geographic, and form/genre. Subdivisions for LCSH headings
may be indicated in one of the four ways:
a) The subdivision appears in the list under the heading
b) An instruction to subdivide is given with the heading in the list
c) The heading fits into a designated pattern heading and can be subdivided
like it
1 th
G. Edward Evans, Sheila S. Intner, and Jean Weihs (2011). Introduction to Technical Services. 8 ed. Oxford:
Libraries Unlimited
 d) The heading is a term to which free-floating subdivisions can be added
Rules for free-floating subdivisions can be found in Subject Cataloguing Manual:
Subject Headings and Cataloguer’s Desktop.
In MARC 21, the following subfields are used in 650 tag for entering subject
headings.

Subfield Codes

Main term portion

$a - Topical term or geographic name entry element
(NR)
$b - Topical term following geographic name entry
element (NR)
$c - Location of event (NR)
$d - Active dates (NR)
$e - Relator term (R)
$4 - Relator code (R)

Subject subdivision portion

$v - Form subdivision (R)
$x - General subdivision (R)
$y - Chronological subdivision (R)
$z - Geographic subdivision (R)

Latest Developments
Functional Requirements for Bibliographic Description (With Examples) IFLA
study group on FRBR developed an entity– relationship model during 1992-1995,
which was intended to be independent of any cataloguing code or implementation. In
FRBR conceptual model bibliographic universe consists of several entities that are
related to each other and can be described through elements(or attributes)

These entities are sorted into three groups

Group I. are the products of intellectual and artistic endeavour that are name or
described in bibliographic records. Work, expressions, manifestation and item

Group 2. Those responsible for intellectual and artistic content: person and corporate
body

Group 3 Subject of worlds. Group 1 and 2 plus Concept, Object, Event and place.
 EXAMPLE (ILLUSTRATION) Harry Potter: The Sorcerer Stone (group one)

WORK FICTION MOVIE

Expression Original text Translation Critical edition Original version

Manifestation Paper PDF HTML

COPY 1 COPY 2

FRBR is also built on relations between the entities.

1. Equivalence: It exists between exact copies of the same manifestation of a

work or between an original item and reproduction of it, so long as
intellectual content and authorship are preserved. Example: copies, issues,
facsimiles, reprints, microfilms.
2. Derivative: It exists between a bibliographic work and modification based on
work. For example:
a. Edition, version, translations, summaries, abstracts, digests
b. Adaptations that become new work based on old works
c. Genre changes
d. New works based on style or thematic content of work.
3. Descriptive: Relation exists between a bibliographic entry and a description,
criticism, evaluation or review of that entity. For example, Annotated edition,
case book, commentaries, critiques of existing work.
Resource Description and Access ( With Examples) RDA is designed to replace
AACR2, has its origin in International conference on principles and future
development of AACR- 2 held in Toronto in 1997. After initial testing for three years
through RDA toolkit in 2010, it is adopted by Library of Congress on March 31st 2013.
It is published jointly by ALA, Canadian Library Association, Chartered Institute of
Library and Information Professionals (UK). RDA inherits FRBR structure which
advocates for entity – relationship framework.

Difference between AACR2 & RDA The difference between AACR2 and RDA is
given below:
 (http://www.rda-jsc.org/docs/5sec7rev.pdf and
http://courses.unt.edu/smiksa/documents/BCLAPresentation_20100427.pdf)

1) RDA uses the term “preferred source of information” as compared to “chief

source of information" by AACR2. Title proper is instructed to be taken from
title page in both the codes.
2) RDA makes no distinction between shared and mixed responsibility. It
instructs to records all contributors as they appear on the preferred source of
information.
3) If more than three authors or contributors are found, RDA instructs to omit
any but first of each group of persons and indicate omission in a language and
script preferred by the library instead of indicating marking of omission
according to AACR 2. For example, Roger Smith [and five others]
4) AACR 2 standardizes edition statements, but in RDA, edition statement is
rendered as it appears in the title page.
5) AACR 2 specifies how to mention only one place of publication when more
than one place of publication appears on title page. According to RDA, all
names are to be indicated by sequence, typography and layout as they appear
on the title page.
6) AACR 2 has specified mentioned copyright date if the date of publication is
unknown or [s.n] , but in case of RDA, it has to be mentioned as date of
publication not identified.
5. Summary
The task of preparing documents for use includes both technical and physical
processing. It is, therefore, both logical and economical to perform these two
activities by the Technical Processing Section. The technical processing work
consists of classification and cataloguing of documents. The functions of Technical
Processing Section are, firstly, classification of documents according to a
standardized scheme of classification and cataloguing documents using a standard
catalogue code. Secondly, preparation of the classified and catalogued documents
for their physical location on the shelves of the library and maintaining the
documents.

Classification involves sorting of library documents on the basis of subjects,

determining specific subject of the documents and assigning call number.
Classification provides a system for organizing knowledge. Classification may be
used to organize knowledge represented in any form, e.g., books, documents,
electronic resources. Notation is the system of symbols used to represent the classes
 in a classification system.Library material are often arranged by some sort of numeric
or alpha-numeric system that corresponds to subject areas. This system is referred
as notation.

Cataloguing as a process has undergone complete transformation in the last decade

with the advent of web and internet technologies. Though the purpose and objectives
remain the same, but with multiple formats and potential of exchangeability, original
cataloguing is rapidly being replaced by copy cataloguing using z39 technologies.
The three universal standards which had wide appeal among all types of libraries in
the world are facing extinction with the advent of RDA.

Preparation of the cataloguing work include preparation of main and added entries for
the documents, assigning subject heading and preparing shelf list. Due to
developments in IT, from the traditional card catalogues, users have the facility of
locating documents via OPAC and internet. This facility has enabled anytime and
anywhere access of material from the libraries. Two most popular inner forms of
catalogue are the dictionary catalogue and the classified catalogue.

5. References

1. Chan, Lois Mai (2007) Cataloguing and Classification: an introduction. 3rd

Edition. Scarecrow
2. Welsh, A., & Batley, S. (2012). Practical cataloguing AACR, RDA & MARC
21[E-book]. London: Facet Publishing.
3. Evans, G. E., Intner, S. S., & Weihs, J. R. (2011). Introduction to technical
services [8th ed] . Santa Barbara; California: Libraries Unlimited.
4. Oliver, C. (2010). Introducing RDA: A guide to the basics. American Library
Association.
5. Taylor, A. G., & Miller, David P. (2006). Introduction to Cataloguing and
Classification [10th ed]. Delhi: Atlantic
6. Tillett, B. B. (2003). AACR2 and metadata: library opportunities in the global
semantic web. Cataloging & classification quarterly, 36(3-4), 101-119.
7. Gorman, M. (2003). Cataloguing in an electronic age. Cataloging &
Classification Quarterly, 36(3-4), 5-17.
8. Huthwaite, A. (2003). AACR2 and other metadata standards: The Way
Forward. Cataloging & Classification Quarterly, 36(3-4), 87-100.
9. Riva, P., & Oliver, C. (2012). Evaluation of RDA as an Implementation of FRBR
and FRAD. Cataloging & Classification Quarterly, 50(5-7), 564-586.
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 11 Shelving, maintenance and preservation

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs C M Anand
Content Writer Retd Scientist F, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE – 11

SHELVING, MAINTENANCE AND PRESERVATION

I. Objectives
The objectives of the unit/module are to:

- Understand the techniques of shelving and maintenance

- Identify different types of stacks and stacking methods for print and non-
print materials
- Know the importance of conservation and preservation of library
materials.
- Understand the causes for deterioration of library material and the
procedures to be followed for their long term preservation.
II. Learning Outcomes

After studying this unit/ module, you will be able to know the advantages of
proper shelving of different types of library material; identify various types of
shelves and stacking arrangements available; arrange books, periodicals, and
other types of library material; explain various activities involved in maintenance
of library material; maintain and take care of books, periodicals and other types
of library material; define and differentiate between preservation and
conservation; and know various techniques available for preserving and
prolonging the life of library material.

III. Structure

1. Introduction

2. Shelving of Collection

2.1 Shelving Arrangement

2.2 Type of Stacks and Stacking Methods

2.3 Shelving of Books

2.4 Shelving and Display of Periodicals

2.5 Shelving of Newspapers

2.6 Shelving of Non-Print-Media

1
 3. Maintenance of Collection

3.1 Shelf Rectification

3.2 Library Guiding System

3.3 Stock Taking/Verification

3.4 Weeding

3.5 Repair of Books

3.6 Binding

4. Preservation of Library Collection

4.1 IFLA-PAC Network

4.2 Preservation Activities in India

5. Preservation

6. Causes of Deterioration of Library Materials

6.1 Internal Causes of Deterioration

6.2 External Causes of Deterioration

7. Reformatting

7.1 Reformatting Processes

8. Summary

9. References

1. Introduction

Library material is acquired, processed and displayed on the shelves by all types of
libraries for their respective users. In order to attract and encourage the users to use the
library collection effectively, it is essential that the material is aesthetically displayed,
orderly arranged and kept in good physical condition. This work is carried out by the
maintenance department of the library. Maintenance work involves, shelving, re-
shelving, maintaining orderly arrangement of the collection and taking care of all types of
library material and associated equipment. In fact, the ultimate success of all other
functions of the library, such as acquisition, classification and cataloguing, are
dependent upon efficiency of the maintenance work. If library collection is not properly

2
 displayed and maintained, it will not attract the library users and ultimately mars the
image of the library.

This Module/unit deals with shelving, maintenance and preservation of library material.

2. Shelving of Collection

Arranging books and other material on the library shelves is known as shelving. Shelf
work is physical maintenance of the stacks and involves sorting, shelving, shifting and
shelf reading. Material to be shelved varies greatly in size and shape ranging from very
large atlases and maps to small books, filmstrips, pamphlets, periodicals, audio/visual
material, microforms, CD-ROMS, DVDs and so forth. Correct shelving of various types
and sizes of the stock is imperative if the items are to remain in good physical condition.
The library material to be shelved comes from a number of sources, such as

i. New books and other material received after processing;

ii. Borrowed books returned by the users after use; and
iii. Books and other material used by the readers and left on the tables.

According to access to the library material on the shelves, the library may have Closed
Access System or Open Access System.

a. Closed Access System

In closed access system, the library users are not permitted to enter the stack room
area. Only library staff searches and brings the books required by the users. This system
has many disadvantages. Firstly, if required book is not available then library user has
no facility to browse the collection and select an alternative. Secondly, library staff’s
precious time is wasted in searching and bringing the books required by the users. And,
thirdly, the collection is not put to optimum use.

b. Open Access System

Here, the library users are permitted to enter the stack room area to browse the
collection and select the desired items. While browsing the collection, user may come
across other material which may be of use to him/her. This system puts the collection to
better use as well as saves the precious time of the library staff. However, users
sometimes misplace and mishandle the collection, which places extra burden on the
staff.

3
 Both the systems have their advantages and disadvantages. At present, most of the
libraries use open access system for regular collection and closed access for rare books
and books which are in high demand.

2.1 Shelving Arrangement

Library arranges the library material according to the classification scheme in use in the
library. Majority of the public and academic libraries in India use Dewey Decimal
Classification Scheme and special libraries use Universal Decimal Classification
Scheme. If library uses Dewey scheme, its stock in the library is arranged on the shelves
in a numerical sequence from 000 to 999 and its decimal placing. This makes the books
on the same subject to be placed together for browsing. This is the best type of
arrangement because it facilitates subject approach which is most popular among the
library users. However, at times, library uses different sequences for specific type of
collection for the convenience of the users. For example, in public libraries the fiction
collection is arranged alphabetically by authors’ name and not by class number.
Depending upon the shelving arrangement, it may be Broken Order Arrangement or
Parallel Arrangement.

Broken Order Arrangement

This term is applied when a library deviates from arranging the entire collection based on
chosen classification scheme. For example, Dewey provides a place in the literature
class for fiction books. But, many libraries do not use that classification and arrange
fiction books separately from non-fiction books and in alphabetical order rather than
classified order.

Parallel Arrangements

This term is applied when libraries have more than one sequence of non-fiction stock.
For example, reference books which are not issued to the library users are shelved
separately from the lending stock and over-sized books are shelved separately from the
normal sized books.

2.2 Type of Stacks and Stacking Methods

There is wide range of racks available in the market for shelving and storage of library
material. All these racks within the library are collectively called as stacks. The type of
stacks and stacking methods may vary from library to library.

4
Main criteria for selection of stacks for the library is that the stacks should be robust,
durable and have adjustable planks to accommodate different sizes of library material.
Stacking methods should be such that maximum floor space is utilized and at the same
time there should be enough space for the user to move among the stacks.

Fixed Shelves with Double Rows

These stacks have fixed shelves where material can be arranged in double rows. Here
material in the back row can be accessed by swinging the books in the front row. The
disadvantage of this type of stack is that the material in the rear row is not visible
directly. (Fig.1)

Hinged Shelves

Here two shelves are joined with hinges on one side and one shelf is fixed and other is
mounted in front of the hinges. (Fig.2)

Fig.1: Library Books Stacks

(Source: www.indiamart.com/neat-storage-system)

Fig.2: Cantilever Steel Hinged Periodical Shelves

5
 (Source: www.librarystore.com)

Cantilever Style Shelving Stacks

These are also known as bracket shelving units and are made of steel. It is the most
common type of shelving unit used for books and multimedia material. The unit
comprises oftwo upright metal support columns with slots for fixing the shelves. It is
supported by load bearing base structure. The shelves are bracket attached in series of
slots running the length of the upright. The slots permit shelves to be easily adjusted to
place material of various heights. (Fig. 3) The shelves can be bracket attached to form
single faced or double faced shelving unit. In single faced shelving unit (Fig. 4)shelves
are hung on one side only and the unit is placed against the wall. In double faced
shelving unit (Fig. 5) the shelves are hung on both the sides. The sections of free
standing shelves are usually bolted together and made aesthetically more pleasing by
installing end panels and a canopy top. This type of shelving units are flexible, strong
and cost effective.

Fig. 3: Cantilever Style Steel Stacks

(Source:www.godrejinterio.com)

Fig.4: Single Sided Steel Book Rack

6
 (Source: www.libraryarchitecture.wiki.spaces.com)

Fig.5: Double Sided Steel Book racks

(Source: www.godrejinterio.com)

Case-Style Shelving Stacks

Case style shelving term refers to shelving system that uses full vertical units from floor
to top and also have adjustable shelves that fit into these vertical units. Case-style
shelving has a closed base shelf assembly and a canopy top. This style of shelving
usually comes on a chip core or particleboard either on wood or metal. Case-style
shelving units give finished appearance and are used in places where aesthetics is more
important than cost efficiency. (Fig. 6)

Fig. 6: Case-Style Shelving Stacks

(Source: www.libraryarchitecture.wikispaces.com)

Compact Shelving Stacks

Compact shelving is also called high density moveable aisle. Basically compact shelving
is a set of stacks that ride on moveable carriages over rails that are installed on the floor.
They can be operated manually or by motorized drive system. This type of shelving is

7
used in libraries which have space problem, because it eliminates the need to keep open
space for aisles in between shelving units. This increases the number of volumes that
can be placed within a given area over that of conventional shelving. Compact shelving
can increase the densities of books per square foot from 20 to 100 volumes. Compact
shelving can be used in libraries for collection that is not open to the public, such as rare
book collection or for storing very old books for archival purposes. (Fig. 7)

Fig.7: Compact Book Stacks on Rail System

(Source: www.libraryarchitecture.wikispaces.com)

Rolling Stacks

These are metal stack units mounted on ball bearing wheel placed side by side. (Fig. 8)

Fig.8: Rolling Book Stacks with Open Aisle

(Source: www.southwestsolutions.com)

Multitier Stacks

This type of stacking system consists of stacks from floor to the roof. The system is
constructed with self supported metal framework extending from basement to the roof
and designed to carry the book load with the weight of deck floor. (Fig.9)

8
 Fig.9: Multitier Stacking System

(Source: www.allyoucanlove.com)

Shelving units are available in various heights. The most common standard heights are
42”, 66”, 78” or 90” high. The height of the shelving units should be selected on the
basis of material to be shelved and the target users. Children’s materials are normally
shelved on 42” and 66” high units and other material is shelved on higher units.

2.3 Shelving of Books

Books on the shelves are arranged by their call numbers. Call number of a book is
unique number by which it is identified. No two books in the same library will have same
call number. Call number consists of class number, book number and collection number.
For example, a book on “Introduction to Social Sciences by G. B. Atkinson has the call
number “D 301 ATK’ . Here ‘D’ stands for collection number, ‘301’ class number and
‘ATK’ for book number. Book number is first three letters of author’s last name. If there is
more than one book by the same author the subsequent copies will have call number as
‘D 301 ATK 1’ and ‘D 301 ATK 2’ and so on.

Shelving work involves shelving of new books received after technical processing and
re-shelving of returned books and books used by the readers and left in the reading
room. Before shelving the books are first sorted into smaller workable lots according to
their call numbers and shelf location. Each lot is then carried to the shelf location by
hand if lot is small or by book trolley if it is big. There is wide range of such trolleys
available in the market. (Fig. 10 & 11)

9
 Fig.10: Platform Trolleys for books

(Source: www.indiamart.com)

Fig. 11: Book Trolleys

(Source: www.indiamart.com)

While shelving the books, make sure that all the books stand straight on the shelf by
aligning all spines even with the edge of the shelf. At the same time volumes should be
shifted to the left side of the shelf and held together with the book support. While using
the book support make sure that books are neither too tightly packed, nor left too loose.
(Fig. 12) Books should be held together in such a way, that it is easier to remove a book
from the shelf by holding the middle of the book spine and taking the book out without
disturbing adjacent books. Books are arranged from up to down in a book stack starting
from uppermost shelf. In each shelf they are arranged from left to right. While shelving
Keep sufficient space in each shelf for collection management. Working collection

10
 requires shelves that are 70 to 75% full. The extra space is required for efficient re-
shelving, interfiling of new acquisitions, and multivolume sets. (Fig. 13)

Fig.12: Metal Book Supports

(Source: www.indiamart.com)

Fig.13: Taking out book from the shelf

(Source: www.library.pdx.edu)

2.4 Shelving and Display of Periodicals

Libraries display current issues of periodicals in the general reading rooms or have a
separate reading room where periodicals are kept and displayed. For displaying
periodicals periodical racks are used. These display racks are of three types:-

i. Step Type
ii. Pigeon Hole Type, and

11
 iii. Inclined Type

Step Type

In this type of rack periodicals are displayed step wise. These racks have 4 to 5 steps
and on each step 4 to 5 periodicals can be displayed. These racks are either single
sided or double sided. On a single sided rack generally 20 to 25 periodicals can be
displayed. However, in this type of display system there is no provision to store back
issues of the periodicals. (Fig. 14)

Fig.14: Step Type Display Rack

(Source: www.pakuya.com)

Pigeon-Hole Type

This type of rack has two parts, one being a cupboard at the bottom and other pigeon
hole at the top. Usual height and width are 7.5 by 6 feet. The depth is about one foot in
the pigeon hole where current issues are kept. Cupboard portion is for storing back
issues of the periodicals. Disadvantage of this system is that periodicals cannot be
displayed properly. (Fig. 15)

12
 Fig.15: Pigeon-Hole Type Display Rack

(Source: www.indiamart.com)

Inclined Type

This is a box type of rack with horizontal shelves, each covered with wooden planks with
an inclination to the shelf plank. The shelves can be partitioned into pigeon holes, each
hole being provided with wooden support where current issues of the periodicals are
displayed. Inclined plank provides better way of displaying periodicals. Back issues of
periodicals are kept in the pigeon hole behind the planks. This type of displaying system
is considered best and is an improvement over the pigeon-hole type of racks. (Fig. 16)

Fig.16: Inclined Type Periodicals Display Racks

(Source: www.indiamart.com)

Bound volumes of periodicals are shelved like books on the book stacks. The
arrangement is alphabetical by title and within the same title by year.

2.5 Shelving of Newspapers

Paper copies of newspapers present storage problems. The quality of the paper is often
poor and it becomes yellow and brittle over time. Earlier back issues of newspapers
used to be bound and stored. However, storing massive bound volumes was a difficult
task for the libraries. Presently back issues of newspapers are either microfilmed or

13
 digitized for storage and archival purposes and current issues of newspapers are
displayed on the newspaper racks in the reading rooms. (Fig. 17 & 18)

Fig. 17: Newspaper Reading Stand

(Source: indiamart.com/)

Fig. 18: Newspaper Display Rack

(Source: www.tradee.com)

2.6 Shelving of Non-Print-Media

Non-print media like films, audio-cassettes, video cassettes, CD-ROMs, DVDs, etc. are
shelved separately and away from the open access book stack area, because of the
inherent nature of the material. The material is susceptible to damage caused by dust,
scratching, mishandling, etc. by the library users. Possibility of theft is also there as
some of the items like cassettes can be easily stolen. This material is normally kept in
media room or computer room where the equipment for playing the particular media item
is available. Most of these items are packaged in such a way that these can be easily
shelved like books. Care should be taken while shelving these items. For example films

14
 which are supplied in their own cylindrical containers, should be shelved vertically and
not horizontally. Vertical storage allows retrieval of specific film without having to lift off
several others, as would happen if they were stored horizontally on top of one another.
For audio/ video cassettes and CD-ROMs and DVDs special display racks are available.
In most of the libraries this material is kept in closed access and empty cases are left on
open display which gives details of particular item. (Fig. 19 & 20)

Fig.19: Multimedia Storage Racks

(Source: www.thelibrarystore.com)

Fig. 20: Revolving Media Display Rack

(Source: www.thelibrarystore.com)

3. Maintenance of Collection

Maintenance of collection is one of the important tasks in the library. It involves

continuous monitoring of the stack rooms and display areas. Maintenance work involves
shelving and re-shelving the material, keeping the collection in order, taking out books
which are not in order and re-shelving them in proper place. It also includes identifying
and removing books needing repair, regular cleaning and dusting the area and

15
 protecting the collection from dust, heat, direct sunlight, moisture, insects and pest
infestation, as well as ensuring that all sign boards and library guides are properly
displayed and are in good order and condition to guide the users to various areas of the
library.

Following work is carried out on routine basis by the maintenance staff in the library:-

3.1 Shelf Rectification

According to Ranganathan, shelf rectification is the process of restoring order among the
books. In an open access system, users take out books and misplace them in the
shelves. A wrongly placed book is as good as lost. Therefore, besides vigilance, shelf
rectification should be carried out regularly by the maintenance staff. The work
pertaining to shelf rectification consists of shelf-reading, shifting and shelf straightening.

Shelf-Reading

Shelf reading is synonymous with shelf checking. It means checking the arrangement of
books and other materials in the stacks to ensure that each item is at proper place on
the shelf and rearranging any material which is out of order. An item shelved out of order
may be lost to the user until the shelves are read. Some of the more heavily used parts
of collection require frequent shelf reading, while other parts need to be checked
occasionally.

Shifting

Ideally only 70 to 75% of shelf should contain books. As a library adds material to its
collection, shelves in some areas become crowded. When this happens, shifting of
material becomes necessary to permit future growth. A section of shelves is considered
full at about 75% capacity. At this point, books have to be moved from one shelf to the
next shelf to create needed space. Major shifting should not be done too often, because
it requires proper planning. Therefore, it is better to remove extra books from the
congested shelves and redistribute them to theshelves below or above. This process is
known as shelf easing.

If major shifting has to take place, it should be planned keeping in view of 5 to 8 years of
growth. This process involves measuring the amount of space library material is
currently occupying and how much space is needed for the growth in next 5 to 8 years.
Then making a shifting plan and finally moving the items to be shifted.

16
 Shelf- Straightening

Straightening shelves and correcting shelving order are ongoing tasks. Books are
shelved with spines even with the edge of the shelf. This gives uniform and neat
appearance to the rows of books and makes it easier to read the spine label and book
titles on the spines. But over the period, the books are taken out for reading and
borrowing purposes by the library users, which creates gaps in between the books on
the shelf and books start leaning on the shelves. This requires shelf straightening. The
work involves going through the shelves one by one and keeping the books in straight
line, with their spines even with the front borderline of each shelf.

3.2 Library Guiding System

Library sign boards and stack room guides help the library visitors to self navigate
through the library. The sign boards should be clear, simple, and concise to convey full
information to maximum number of people. These should be located at appropriate
places in the library to catch the attention of the library users.

In stack room area there should be a general sign board clearly indicating how and
where different library material is kept and displayed. Besides, there should be following
stack guides to help the users:-

Tier Guides for each tier of stacks to indicate arrangements of books in that tier. These
guides are required in multitier stacks.

Bay Guides for every bay of shelves indicating the class number and subject heading,

Gangway Guides in each gangway indicating the subject covered in that gangway.

Shelf Guide with each shelf giving the class numbers covered in that shelf.

All these sign boards and guides are periodically checked and replaced if found missing
or damaged.

3.3 Stock Taking/Verification

Stock taking or stock verification is physical checkup of the total library collection, carried out
annually or once in 2-3 years. Main aim of the stock verification is to find out missing
volumes from the library collection. Stock verification also helps in identifying misplaced
books, restoring them to their proper place, and cleaning and dusting of the shelves.

3.4 Weeding

17
 Weeding is removal of books from open access shelves either to discard them or to
move them to reserve, or remote or compact storage. Weeding is required as some
books become outdated in terms of subject matter, such as books on subjects like
science and technology; some get damaged and worn out due to excessive usage and
are beyond repair; and some ready reference books like yearbooks, directories, etc.
which are superseded on the arrival of their new editions.

According to Katz, weeding is one of the best suitable techniques available to ensure
long range usefulness of any collection. Policies relating to weeding may vary from
library to library. In general, a book is not discarded if it is of historical interest despite its
age, or still in demand, and new copy is not obtainable from the publisher, or it covers
subject area in which library has an obligation to specialize.

3.5 Repair of Books

Simple repairs can be undertaken by the library maintenance staff. Torn pages may be repaired
by using special transparent tapes available from the library suppliers. These tapes do
not dry out and become brittle like normal cello-tapes. Cloth tapes may be used to repair
damaged spines or to attach a casing which has become loose.

3.6 Binding

Binding of books is regularly carried out by the libraries to safeguard against wear and tear of
the books due to heavy use. Loose issues of periodicals are also bound when a volume
is complete. In many libraries, binding work is given to the professional binders on
contractual basis.

4. Preservation of Library Collection

According to dictionary definition, ‘preserve’ means to save something from loss,

damage, decay or deterioration. In library context, ‘preservation’ covers all the activities
relating to preserving the library materials, published or unpublished, in all formats, to
keep them in accessible form as long as possible.

Earlier preservation and conservation activities were mainly confined to the archives.
While in libraries, preservation activity was mainly restricted to binding of damaged
books and lamination of fragile documents or manuscripts. It was only in the middle of
20th century when major libraries in the world observed that books published before and
during 19th Century had started deteriorating due to the nature of the material itself, that

18
 the preservation of library material attracted worldwide attention. In addition to that, the
occurrence of natural disasters, such as floods, fire, earthquakes, etc. causing large
scale damage to the library material caused concern and international organizations like
UNESCO and IFLA came forward with definite programmes with explicit aim of
promoting the preservation of library and archival material.

The IFLA Strategic Programme on Preservation and Conservation was officially created
during IFLA Annual Conference in Nairobi in 1984 to focus efforts on issues of
preservation and initiate worldwide co-operation for the preservation of library material.
The IFLA Core Programme on Preservation and Conservation (IFLA-PAC) was
launched during 1986 Conference on “Preservation and Conservation of Library
Materials”, co-organized by Directors of National Libraries, IFLA and UNESCO. IFLA-
PAC has one major goal, that is, to ensure that library and archival materials, published
or unpublished, in all formats, will be preserved in accessible form for as long as
possible according to the following principles:

- Preservation is essential to the survival and development of culture and

scholarship;
- International co-operation is a key principle; and
- Every country must accept responsibility of its own publications.

4.1 IFLA-PAC Network

The network has been originally conceived in a decentralized way:-

- A Focal Point (International Centre)– to implement a global strategy, and

- Regional Centres- to manage activities in that specific region.

Currently PAC International Focal Point is located in IFLA Head Quarters. This has been
previously hosted by Bibliotheque Nationale de France in Paris from 1992 until 2013.

4.2 Preservation Activities in India

In India, National Library, Kolkata has four divisions exclusively devoted to preservation
and conservation activities. Two divisions are for physical and chemical conservation,
third is for reprographic preservation, and fourth is for digitization.

Physical Conservation: Books damaged by human error or by natural causes are

mended, repaired and bound.

19
 Chemical Conservation: Advanced procedures of chemical treatment are adopted to
restore brittle and damaged books. Fumigation chamber is used to destroy eggs and
larvae of insects and termites. Encapsulation is another method used to preserve books.

Reprographic Preservation: Microfilming of old newspapers, Arabian, Persian and

Sanskrit Manuscripts are carried out in this division.

Digitization: Scanning and digitization of old, rare and brittle documents are carried out
for archival purposes. (http://www.nationallibrary.gov.in/)

Conservation Centres of ICCI

The Material Heritage Division of INTACH (Indian National Trust for Art and Cultural
Heritage) now known as The Indian Council of Conservation Institutes (ICCI), was
established for preservation and conservation of decaying art heritage of India. Its first
Conservation Centre was established in Lucknow in 1985. Now ICCI has 7 such
Centres in different parts of the country. Besides curative conservation, these Centres
survey art collections and prepare status report on preservation, advice museums on
conservation methods and provide training on conservation. (http://www.intach.org/)

5. Preservation

Preservation is generic term and includes all activities associated with the maintenance
of resources and preservation of information content. This is in contrast to conservation
which refers to treatment of artifacts in order to extend their useful life. (Clayton and
Gorman).

Preservation can be defined as ‘all managerial, technical and financial considerations

applied to retard deterioration and extend useful life of library materials to ensure their
continued availability.’ Preservation is a preventive measure and more cost-effective
than conservation.

Conservation is the treatment of artifacts (such as manuscripts, rare books, works of art,
or museum objects) by intervention to prolong their life as long as possible in their
original form. Preservation deals with the regular maintenance aspects, whereas
conservation deals with the remedial treatment and restoration of the already damaged
artifact. Conservation is a skilled activity carried out by curatorial and conservation
experts. It should not be undertaken by untrained personnel in the library.

6. Causes of Deterioration of Library Materials

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 There are internal as well as external causes of deterioration of library material. Internal
causes are the nature of the library material itself. External Causes are:

- the environment in which material is kept;

- the way library material is handled; and
- natural and manmade disasters

6.1 Internal Causes of Deterioration

Paper Based Library Material

The traditional library collection like printed books, journals, pamphlets, newspapers, etc.
contain wide range of organic material such as paper, cloth, animal skin, adhesives, etc.
The library materials undergo a continual and natural aging process due to these organic
materials. Measures have to be taken to slow their deterioration by careful handling and
providing suitable environment. For example, acid has been major cause of deterioration
of publications since paper making was industrialized. In the manufacturing of paper,
sometimes fibers are used with low cellulose contents and some chemical compounds
like alum, resin, etc. are used for sizing of paper which causes acidic effect and results
in deterioration of paper.

Alkaline substances preserve and strengthen paper. Acid free materials have PH of 7.0
or higher. Magnesium carbonate and calcium carbonates are most common alkaline
buffers used to strengthen paper.

Film Based Media

There are three main types of photographic materials, viz. cellulose nitrate, cellulose
acetate and polyester. These materials have been used as support material for making
of transparencies, motion pictures, microfilms and other photographic products.
Cellulose nitrate and cellulose acetate are unstable. Even at room temperature, these
chemicals slowly decompose emitting gases in the process. Cellulose nitrate becomes
highly inflammable especially in deteriorated condition.

Preventive Measures

Libraries should isolate and store such material in especially designed storage areas. It
is recommended that cellulose nitrate based films be duplicated onto polyester based
films, which are known as safety films.

Magnetic Media

21
Magnetic tapes, including audio and video recordings on cassettes, audio and computer
reel-to-reel tapes, computer diskettes, etc. are most commonly made of a magnetic layer
of chromium or iron oxide bound with an adhesive onto a polyester film base. It is
adhesive binder which is susceptible to deterioration through hydrolysis and oxidation.
As information stored on magnetic tape is in patterns formed by magnetized particles,
any loss or disarrangement of magnetic oxide causes loss of information.

Preventive Measures

Minimize handling and avoid touching the surface of any tape or diskette. Handle tape
only in clean area and return tapes and diskettes to their individual boxes immediately
after use to avoid possible damage and gathering dust. Maintain operating machines
according to manufacturer’s specifications to ensure that equipment will not damage
tapes. Clean the recorder tape path thoroughly at the recommended intervals. Fast
forward and rewind tapes periodically. Protect the operating equipment and tapes from
dust. Backup copies are the best solutions for protecting valuable tapes and diskettes.

Optical Media

CD-ROM (Compact Disk Read only Memory), DVD (Digital Video Disk), etc. may contain
audio, computer, and video/picture data. The molded plastic computer disk incorporates
a continuous spiral of pits which contains the data. An aluminum reflective layer allows a
laser in the computer disk drive to read the encoded information. Data integrity is
protected by a lacquer coating on one side and a plastic substance on the other side.
Forcefully bending the disk and touching the disk surface with any sharp object damages
the disk and results in loss of data.

Preventive Measures

Do not bend the disk or touch the top surface of the disk with a pointed object like pen or
pencil. These actions deform the disk, wiping out pits and causing areas of disk
unreadable. Do not leave the disk in disk drive. Do not put label, it may unbalance the
optical disk and make it difficult for player to read the data. If label is there do not try to
remove it. It may damage the data in the disk. Do not use cleaning solvent. Dust should
be gently removed using non-abrasive tissue or air gun. Store the disk in acrylic storage
cases, to protect the disk from scratches, dust, light and rapid humidity changes. Protect
the individually cased CDs further by placing them in closed boxes, drawers or cabinets.
This will give additional protection from light, dust and temperature fluctuation.

22
6.2 External Causes of Deterioration

External causes of deterioration are many and comprise

- Environmental factors, such as light, heat, temperature, relative humidity and

air pollution comprising dust, dirt and micro-organisms;
- Insects, pests and rodents;
- Poor handling and storage;
- Theft or vandalism; and
- Natural and man-made disasters

Environmental Causes of Deterioration

a. Light

Exposure to light, natural as well artificial, causes deterioration of paper and other library
media. Sunlight, particularly ultra-violet and infra-red radiation, has most damaging
effect. Light in all its forms promotes decomposition of organic material through
oxidation. This results in weakening and embrittleness of cellulose, adhesives, cloth, and
skin materials. It can also cause media and dyes to fade and change color. This alters
the legibility and appearance of the books, photographs, works of art and manuscripts.
The white paper becomes yellow and brittle. Damage due to exposure to light is
permanent.

Preventive Measures

Do not expose the material to direct sunlight. Keep the lights switched off in storage
area, when not in use. Light must be kept as low as possible in storage, reading and
display areas. Fluorescent tubes, which emit ultraviolet rays, should be fitted with UV
filters. Use window blinds and heavy curtains to control direct sunlight from outside.

b. Heat, Temperature and Relative Humidity

Usually the source of heat is high temperature in the atmosphere and electric bulbs used
in the library for lighting. Humidity is the amount of moisture in the atmospheric air. High
temperature with low humidity causes dehydration of cellulose fiber and paper becomes
brittle. It also damages the emulsion of film based material and adhesive binder of audio
and video cassettes. On the other hand, high temperature with high humidity creates
condition for the growth of fungus or moulds in all organic materials. High humidity is the
root cause of various types of physical, biological and chemical deterioration of library

23
materials. It loosens the book binding, spreads ink, and accelerates chemical
deterioration of the paper. High temperature also speeds up chemical reaction in all
types of library materials including film based material. Severe fluctuation of temperature
and relative humidity can cause more damage to the library materials.

Preventive Measures

In general library material should be stored and used in stable conditions, which are not
too hot, not too dry and not too damp. It is therefore recommended to maintain constant
room temperature of 20- 25 degree Celsius and relative humidity of 45-55%. For this air
conditioning of the stack area is required, which comes out to be expensive. An
alternative to this is to use humidifiers in dry climate to increase the level of moisture
content and dehumidifiers to remove moisture in wet climate.

c. Air Pollution and Micro-organism

Polluted air contains gaseous pollutants caused by burning of fuels and particulate
pollutants like dust and dirt. When polluted air settles on surface of the library material it
causes physical and chemical damage to the material. Dust acts as a nucleus around
which moisture collects and this provides necessary humidity for the growth of fungus
and for chemical reaction. Fungus can weaken, stain and disfigure paper and
photographic material. Cloth, leather and certain adhesives are also affected by the
fungus. As dust and dirt are solid particles of varying size and hardness, they cause
abrasion on the surface of the books. Dust and dirt on the optical and magnetic media
also hamper access to recorded information.

d. Insects, Pests and Rodents

Insects and pests like cockroaches, silverfish, booklice, beetles and termites cause large
scale damage to the library material. They feed on organic material like paper,
adhesives, gelatin, leather, and book cloth. Same damage is caused by rodents like rats
and mice. In addition to causing damage to library collection, they damage electrical
wires as well as furniture of the library by gnawing.

Preventive Measures

Micro-organisms, insects and pests thrive on warm, dark, damp, dirty and poorly
ventilated environment. Keep library and surrounding areas clean and maintain an
environment which is clean, cool, dry and well ventilated to discourage fungi, insects and

24
pests. Temperature and relative humidity may be maintained at moderate level inside
the building where collection is stored. Vacuum cleaning of the shelves and floors,
filtering the air coming from outside and cleaning the air ducts of the air conditioning
system should be carried out regularly. Water leakages of the drainage pipes should be
checked and repaired to prevent dampness. Ensure good air circulation by appropriate
use of fans and windows.

Poor Handling and Storage

Another cause of deterioration of library material is poor handling and storage by the
library staff and misuse by the library users. Deterioration occurs due to improper
shelving, poor maintenance, photocopying, and transportation of the library material by
the staff.

Library users damage the books and other material by handling them with dirty hands,
marking and underlining the text with pen, folding the fore-edges of pages as mark of
reading instead of using book marks and even tearing and mutilating the pages of the
books and periodicals.

Preventive Measures

The mishandling of the library material by the library staff is due to their lack of
knowledge on proper handling, maintenance and preservation techniques for the
safeguard of library materials. This requires organizing proper training programmes for
the staff and bringing out guidelines to be followed to minimize damage and help
preservation. IFLA and Council on Library and Information Resources have brought out
a publication entitled “Principle for Care and Handling of Library Materials”, which deals
with details on the above issues.

Proper shelving of collection and its maintenance have already been dealt with in
Section 2.1 to 2.6 of this module/unit. Storage of collection is equally important.
Enclosures such as boxes, envelops, and folders used for storing the collections should
be alkaline buffered and free from lignin or sulphur. Oversize single sheet material such
as architectural drawings, blue prints, maps, etc. should be stored flat in chest drawers.
If several items are to be stored in one drawer, then each item should be interleaved
with acid-free tissue paper. Blueprints should not be stored in alkaline paper, because
they may fade or turn brown due to high alkalinity over a period of time. Storage area
should always be kept clean, with good air circulation and regularly checked for signs of

25
insects and pests infestations. Water resistant boxes should be used when taking books
out of the library building. Photocopying of tightly bound books, fragile and damaged
books, rare books, and photographs should be avoided.

Readers should be provided with proper guidelines on how to handle books and what
not to do in the reading room. Proper notices should be put up in different places of the
library clearly indicating what is not permitted like bringing food items, drinks, smoking,
etc. in the library.

Theft and Vandalism

Theft of any library item leads to irreparable loss. Theft may occur in open access area
or close access area or even in restricted area of the library. Usually rare book material
and expensive collection is susceptible to theft. Vandalism is act of destroying valuable
material on purpose. Vandalism also includes damage to the building including collection
due to mob fury or war.

Preventive Measures

Library should incorporate all provisions for the security of library building as well as its
collection. An alarm system or closed circuit TV may be installed to monitor the
movements in restricted areas. All entry and exit points should be separate and have
security staff. Expensive equipment may be chained. Rear windows and doors should be
kept closed and locked. Storage area should be kept secured and staff area may be
locked when not in use. Bags should not be allowed inside the library. RFID (Radio
Frequency Identification) system can be used in the library for circulation operation and
theft detection. Here the books have RFID tags instead of barcode system. At the entry
and exit gate gates, special sensors are installed which decode the information on the
RFID tag of the book. When a person tries to take out a book at the entry or exit gate
without getting it issued, the alarm at the gate rings.

Natural and Man-Made Disasters

Disasters, natural or man-made, are generally events with destructive consequences to

the library and its collection. Natural disasters may occur due to floods, earthquakes,
volcanic eruptions, sand storms or hurricanes. Manmade disasters are because of fire,
water leakage or act of war and terrorism. A library should take every possible
precaution to prevent occurrence of an avoidable disaster. Equally important are having
suitable measures in place to cope with consequences of disasters. Therefore, disaster

26
 planning is must for every library. Disaster Plan should be a written document to be used
in case of emergency. According to IFLA document, disaster planning involves five
phases:

- Risk Assessment: To identify danger to the building and its collection.

- Precaution: Implementing measures which will remove or reduce any danger.
- Preparedness: Developing a written preparedness response and recovery
plan.
- Response: Procedures to follow when disaster strikes.
- Recovery: Restoring the disaster site and damaged material to a stable and
useable state.

It should be mandatory for every library to have written disaster preparedness and
response plan containing description of emergency procedures, disaster response
outline, names and addresses of conservation experts, list of staff volunteers, list of
external contacts’ names, addresses and phone numbers of fire office, police and
insurance agencies, and firms supplying materials required to meet emergency.

Library should have fire and smoke detection system and fire extinguishing system.
Inflammable materials and chemicals should not be stored inside the library. Use of
match stick or smoking should be prohibited. Electrical faults should be detected and
repaired in time. Leakage from the water pipes should be checked and repaired in time.

7. Reformatting

Preserving the intellectual content of the documents in another more durable format is
called reformatting. Reformatting is carried out to;

- Preserve intellectual content;

- Reduce wear and tear to the originals;
- Save space: A brittle and badly damaged document may be disposed off
after reformatting if intellectual content is the only concern.
- Improve access: Copies of microfilms and digital media can be made to
improve access to certain documents.
- Duplicate certain items for security reasons, if originals are damaged, stolen
or destroyed.

7.1 Reformatting Processes

27
There are three main reformatting processes:

- Photocopying
- Microfilming and
- Digitizing

Photocopying

According to IFLA document, photocopying as a reformatting process is not a complete

preservation tool, as there is no master copy made from which other copies can be
taken. However, it is useful for replacing missing pages or damaged pages of books and
periodicals before binding.

Advantages: Except photocopier, no reading interface is required and photocopying

costs less than the other processes.

Microfilming

Microfilms can be economically created duplicated and distributed. Microfilm can be

digitized if good quality film has been used.

Advantages; Microfilms occupy less space. Most of the libraries keep microfilms of old
issues of newspapers for preservation purposes. Microfilms, if stored in proper
environmental condition, can last for over hundred years.

Disadvantages: Searching the required image on the microfilm is time consuming.

Microfilm reader is required to view the image. Microfilm readers are of poor quality and
are not designed for human comfort. Even print out may be of the poor quality.

Digitizing

Digitizing is a way of storing images via computer technology. A digital camera or

scanner takes an electronic photograph, which is converted into binary digital code and
can be viewed on computer screen or printed on paper. The data can be stored on
magnetic or optical media. However, digital image is not text searchable. OCR (Optical
Character Recognition) software enables a scanned printed document to be converted
into text, which can be edited using word processing software. However, this process is
not completely accurate and it is time consuming to rectify misread letters.

Advantages: Digitizing provides an image which can be reproduced many times with no
loss in quality. Images can be electronically restored and enhanced. High quality user
copies can be provided. Automated retrieval aids facilitate finding the information.
28
 Digitizing offers quick access to multiple users worldwide. Digital image do not decay
with use.

Disadvantages: It is an expensive process. Due to quick obsolescence of hardware and

software technologies, long term storage of library material in this format would create
access problems. To deal with hardware and software obsolescence, archival copies of
magnetic and optical media will have to be ‘migrated’ whenever new technology comes.

Digitizing and Microfilming Combined

To overcome the problem of obsolescence of hardware and software in digitization, the

production of both microfilm master for preservation purposes and digitized masters for
access are recommended.

8. Summary

In most of the libraries, the work relating to shelving, display and maintenance of library
collection is carried out by the maintenance section. The work involves shelving, re-
shelving, and maintaining orderly arrangement of the shelves and taking care of the
stored as well as displayed collection in print and in other formats. Most of the libraries
arrange books in classified order. This makes the books on the same subject to be
placed together for easy browsing by the users. In public libraries, fiction is arranged
alphabetically by authors’ name and within the same author alphabetically by the title of
the book. A wide range of stack and stacking methods are available. The main criteria
for the selection of stacks are that the stacks should be robust, durable and have
adjustable planks. The height of the shelving units should be selected on the basis of
material to be shelved and the target users.

Preservation of library material is another activity which has attracted worldwide

attention. IFLA-PAC Net-Work has been set up to address this issue. It comprises
International Centre, i.e., a Focal Point responsible for implementing a global strategy on
preservation of cultural heritage worldwide and its Regional Centres (14 in number)
which are responsible for preservation of library and archival material in their respective
regions. Causes of deterioration of library materials can be internal or external. Internal
causes of deterioration of library material are due to the nature of the library material
itself on which information is recorded such as paper, films, magnetic tapes, CD-ROM,
DVDs, etc. External causes of deterioration due to the environment in which the

29
 material is kept, insects, pests and rodents, poor handling and storage and natural and
man-made disasters.

There is an old saying that “Prevention is better than cure’. Same holds true for science
of preservation. The preventive measures which include all form of action taken to
prolong the life of library collection should be followed. This includes keeping the
environment clean and dust free, protection from the sunlight, keeping the temperature
and humidity under control and proper handling and security of the collection.

9. References

1. Adcock, E, ed. IFLA Principles for Care and Handling of Library Material. Hague:
IFLA-PAC, 1998. (http://www.ifla.org/)
2. Beenham, Rosemary and Colin Harrison. The Basics of Librarianship. 3rd Edition.
London: Clive Bingley, 1990.
3. Clayton, P. and Gorman, G. E. Managing Information Resources in Libraries: Collection
Management in Theory and Practice. London: library Association Publishing, 2001.
4. Dhiman, Anil Kumar. A Handbook of Special Libraries and Librarianship. New
Delhi: Ess Ess Publications, 2008.
5. Dureau, J. M. Clement, D. W. G. Principles for Preservation and Conservation of Library
Materials. Hague: IFLA, 1986.
6. Hubbard, William J. Stack Management- A Practical Guide to Shelving and Maintaining
Library Collection. Chicago: American Library Association, 1981.
7. Kenneth, E. Harris and Susan, E. Schur. A Brief History of Preservation and
Conservation at the Library of Congress. Library of Congress Preservation directorate,
Oct. 2006. Pp 1-30.
8. Kedimani, B.S., Kalyani, V. L. , Vijay Kumar. Preservation of Information Resources in
libraries: New Challenges. 2003. BOSALA One Day Seminar: Resources Management
2003.
9. Mcllwaine, john. IFLA Disaster Preparedness and Planning- A Brief Manual.
International Preservation Issues No. 6. Hague: IFLA-PAC, 2006.
10. Morris, Lestre R. and Carroll, John E. Compact Shelving. In. Encyclopedia of Library
and Information Science. Vol. 49. Supplement 12. Allen Kent (ed.). New York: Marcel
Dekkar, 1992. P 94-145.

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11. Shahid, Syed Md. Use of RFID technology in libraries: A new approach to circulation,
tracking, inventorying, and security of library material.
(http://www.unlib.unl.edu./LPP/Shahid.htm)
12. RUSA Guidelines for Preservation, Conservation and Restoration of Local History
and Genealogical Materials. (http://www.ala.org/

31
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 12 Digitisation and computerisation

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr R K Verma
Content Writer Former Chief Scientist, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE- 12

DIGITISATION AND COMPUTERISATION

I. Objectives

The objectives of the unit/module are to:

- Describe the concept, scope, process, and need of digitization in libraries

- Discuss various types of file formats and media types, scanning softwares
- Mention the salient features and prerequisites of various digital library softwares
i.e. Dspace, E-print, and Greenstone digital library
- Enlist the important tips for Planning and management of digitization projects.

II. Learning Outcome

After going through this unit/module, you would be able understand the concept, scope,
process, and need of digitization in libraries. You would learn about the approaches of
digitization, various types of file formats and media types, scanning softwares, salient
features and prerequisites of various digital library softwares i.e. Dspace, E-print, and
Greenstone digital library, and important tips for planning and management of
digitization projects.

III. Structure

1. Introduction
2. Digitisation
2.1 Concept
2.2 Need
2.3 Digitisation Process
2.4 Basic approaches of digitization
3. Computerization
3.1 File Formats and Media types
3.2 Scanning Software
4. Planning and Management
4.1 Feasibility study
4.2 Planning the Project
4.3 Library Automation Hardware and Software Planning
4.4 Human Resources Planning
 4.5 Financial planning
4.6 Purchase of Hardware and Software
4.7 Selection of Material for Digitisation and ‘Born Digital’
4.8 Placement and Training of Manpower
4.9 Content Creation
4.10 Execution of the Project
5. Challenges and Problems
6. Summary
7. References

1. Introduction

Digitisation is the process of converting the content of physical media (e.g., books,
articles, manuscripts, photographs, etc.) into digital format. In most of the library
applications, digitisation normally results in to documents that are accessible from the
website of a library. The contents of digital document can be manipulated and
compressed for further storage. This is due to the fact that when analogue information is
fed into a computer, it is broken down into 0s and 1s changing its characteristics from
analogue to digital. These bits of data can be re-combined for manipulation and
compressed for storage. As an example, multi-volume encyclopedias that take-up yards
of shelf-space in analogue form can fit into a small space on a computer drive or stored
on to a CD ROM disc, which can be searched, retrieved manipulated and forwarded
over the network. One of the most important characteristics of digital information is that it
is not fixed in the way the texts are printed on a paper. Digital texts are neither final nor
finite, and are not fixed either in essence or in form, except, when it is printed out as a
hard copy. Flexibility is one of the main plus points of digital information. An unlimited
number of identical copies can be created from a digital file, because a digital file is not
destroyed by copying. Moreover, digital information can be made accessible from
remote location simultaneously by a large number of users. Optical scanners and digital
cameras are used to digitize images by translating them into bit maps. Similarly, it is also
possible to digitize sound, video, graphics and animations, etc. Thus, digitisation is the
process that creates a digital image from an analogue image and not an end in itself.

In the digitization process, selection criteria, particularly those, which reflect user needs,
are of utmost importance. It implies that all the principles that are applicable in traditional
collection development are also applicable when materials are being selected for
 digitisation. However, there are several other considerations related to legal, policy,
technical, and other resources that become important in a digitisation project. Digitisation
includes one of the three important methods of maintaining digitized collections. The
other two methods pertain to provision of access to electronic resources (whether
licensed or free) and creation of library portals for important Internet resources. In this
module the concept, scope, need, process, and various aspects of computerization
required for digitization have been described.

2. Digitisation

2.1 Concept

The word “digital” describes any system based on discontinuous data or events.
Computers are digital machines because at their most basic level they can distinguish
between just two values, 0 and 1, or off and on. All data that a computer processes must
be encoded digitally as a series of zeroes and ones.

The opposite of digital is analogue. A typical analogue device is a clock in which the
hands move continuously around the face. Such a clock is capable of indicating every
possible time of the day. In contrast, a digital clock is capable of representing only a
finite number of times (every tenth of a second, for example). As mentioned before, a
printed book is analogue form of information. The contents of a book need to be digitized
to convert it into digital form. Digitisation refers to the process of translating a piece of
information such as a book, journal articles, sound recordings, pictures, audio tapes or
videos recordings, etc. into bits. Bits are the fundamental units of information in a
computer system. Converting information into these binary digits is called digitisation,
which can be achieved through a variety of existing technologies. A digital image, in turn,
is composed of a set of pixels (picture elements), arranged according to a pre-defined
ratio of columns and rows. An image file can be managed as a regular computer file and
can be retrieved, printed and modified using appropriate software. Further, textual
images can be OCRed so as to make its contents searchable. An image of the physical
object is captured using a scanner or digital camera and converted into digital format
that can be stored electronically and accessed via computers.

Scope The process of digitisation, however does not stop at scanning of physical
objects, a considerable amount of work is involved in optimizing usage of digitized
documents. Sometimes, these post- scanning processes are often assumed in the
 meaning of digitisation. At other times the word “digitisation” is used in restricted sense
to include only the process of scanning.

2.2 Need

Digitisation makes the document more useful and more accessible. It is possible for a
user to conduct a full-text search on a document that is digitized and OCRed. A reader
can create hyperlinks to related items within the text itself as well as to external
resources. It may be noted that digitisation does not mean replacing the traditional
library collections and services; rather, it serves to enhance them. There are various
reasons for converting a document into digital format for example, the objective of
digitisation, availability of finances, end user etc. While the objectives of digitisation
initiatives differ from organisation to organisation, the main objective is to improve the
access.

Other objectives may include preservation, cost saving, information sharing, and keeping
up to date with technology. While new and emerging technologies allow digital
information to be presented in innovative ways, the majority of potential users are
unlikely to have access to sophisticated hardware and software. Further, sharing of
information among various institutions is often restricted by the use of incompatible
software also.

One of the main benefits of digitisation is to preserve rare and fragile objects by
enhancing their access to multiple users simultaneously. Very often, when an object is
rare and precious, access is only allowed to a certain category of users. Digitisation can
allow more users to enjoy the benefit of access. Although, digitisation offers great
advantages for access like, allowing users to find, retrieve, study and manipulate
material, it cannot be considered as a good alternative for preservation. This happens
because of ever changing formats, protocols and software used for creating digital
objects.

There are several reasons for libraries to go for digitisation and there are as many ways
to create the digitized images, depending on the needs and uses. The prime reason for
digitisation is the need of the user for convenient access to high quality information.
Other important reasons are:
 Multiple Referencing: Digital information can be used simultaneously by several users
at a time.

Wide Area Usage: Digital information can be made accessible to distant users through
the computer networks over the Internet.

Qualitative Preservation: In digital preservation, images can be scanned at high

resolution and bit depth for best possible quality. The quality remains the same inspite of
multiple usages by several users. However, a special care has to be taken while
choosing digitisation for preservation of information.

Archival Storage: Digitisation is used for restoration of rare material. The rare books,
images or archival material are kept in digitized format as a common practice.

Security Measure: Valuable documents and records are scanned and kept in digital
format for safety and security.

2.3 Digitization Process

To begin the process of digitisation, first of all, we need to select documents for
digitisation. The process of selection of material for digitisation involves identification,
selection and prioritization of documents that are to be digitized. Data can be captured in
two ways i.e. data already available in digital form known as “born digital” which can be
easily converted into other formats. The second way is to convert the physically
available data in the form of print matter from external sources. However, in this case,
Intellectual Property Right (IPR) issues may have to be resolved. It may also be required
to obtain permission from the authors, publishers and data suppliers for digitisation
particularly when the data is not in public domain.

Selection In this step, the IPR issues should be addressed. One may have to get
permissions from the publishers and individuals which could be difficult, and very time
consuming. It may also involve negotiation and payment of copyright fees, if applicable.
Selected documents for digitisation may already be available in digital form. It is always
economical and appropriate to buy e-media, if available, rather than their conversion.
The type and nature of document, for example, whether the same is in a bad shape,
over-sized material, a manuscript, bound volumes of journalistic. would need a highly
specialized equipment and skilled manpower. Further, the documents to be digitized
may include simple text, line art, photographs, color images, etc. The selection of
documents needs to be reviewed very carefully taking in to consideration the various
important factors i.e. quality, utility, cost, and security. In selection of material for
digitisation, priority should be for rare and much–in-demand documents and images.

Other factors which may be considered for selecting appropriate media for digitisation
may include:

Photographs and slides: Selecting photographs is a very crucial process and requires
high resolution. The quality, future needs, and copyright issues and aspects are also
important and must be taken in to account.

Audio: The sound quality is to be checked and required corrections made together by
the subject expert and computer sound editor together.

Video: The video clippings are normally edited on Beta max tapes, which can be used
for transferring on to digital format. While editing color tone, resolution is checked and
corrected.

Documents: The objective of digitisation is to have increased access to digitized

materials including its value addition. The criteria for selecting documents are: more
demand, rare availability, and difficulty in handling which should be reviewed and
selected for the process. If the correction of literary value demands much input, then
documents may be considered for publication rather than digitisation. However, the main
consideration for digitisation of documents should be intellectual value and significance
of contents i.e. authority, quality, timeliness, uniqueness, and demand. To sum up the
main considerations are: the intellectual contents, physical nature of the source
materials, and number of current and potential users.

Scanning In the process of scanning, the image is “read” i.e. scanned at a predefined
dynamic range and resolution. The resulting file, called “bit-map page image” is
formatted (see sec.3.1.4) and tagged for storage and subsequent retrieval by the
software package used for scanning. Electronic scanners are used for getting an
electronic image into a computer from its original which may be a text, manuscript, and
photograph etc. Acquisition of image through a camera, fax card,or other imaging
devices is also possible. However, image scanners are most important and most
commonly used component of an imaging system for the transfer of paper-based
documents.

Steps in the Process of Scanning using a Scanner

 - A picture is placed on the scanner’s glass

- Scanner software is started

- The area to be scanned is selected

- The image type is chosen

- The image is sharpened

- The image size is set, and

- The scanned image is saved using a desirable format

Indexing Scanned images are a set of pictures that need to be related to a text
database describing them and their contents. The indexing process involves linking of
the database of scanned images to a text database. An imaging system typically stores
a large amount of unstructured data in a two file system for storing and retrieving
scanned images. The first is traditional file that has a text description of the image i.e.
keywords or descriptors along with a key to a second file. The second file contains the
document location. The user selects a record from the first file using a search algorithm.
Once the user selects a record, the application program keys into the location index,
finds the document and displays it.

Author Title Keywords Image Image23 /image/new/gupt

e a.pdf
2
3

Key to image Image location

Fig. 1: Two File System in an Image Retrieval System

Most of the document imaging software packages through their menu driven or
command driven interface, facilitate elaborate indexing of documents. While some
document management systems (DMS) facilitate selection of indexing terms from the
image file, others allow only manual inputting of indexing terms. Further, many DMS
packages provide Optical Character Recognition (OCR) read (OCRed) capabilities for
 transforming the images into standard ASCII files. The OCRedtext then serves as a
database for full-text search of the stored images.

Storing The most persistent problem of a document image relates to its file size and,
therefore, to its storage. Every part of an electronic page image is saved regardless of
the presence or absence of ink. The file size varies directly with scanning resolution, the
size of the area being digitised and the style of graphic file format used to save the
image. The scanned images, therefore, need to be transferred from the hard disc of
scanning workstation to an external large capacity storage devices such as an optical
disc, CD ROM/DVD ROM disc, snap servers, etc. While the smaller document imaging
system may use offline media, which need to be reloaded when required, or fixed hard
disc drives allocated for image storage, larger document management systems use
auto-changers such as optical jukeboxes and tape library systems. The storage required
by the scanned images varies and depends upon factors such as scanning resolution,
page size, compression ratio and page content. Further, the image storage device may
be either remote or local to the retrieval workstation depending upon the imaging system
and document management system used.

Retrieving Once scanned images and OCRed text documents have been saved as a
file, a database is needed for selective retrieval of data contained in one or more fields
within each record in the database. A document imaging system, typically, uses at least
two files to store and retrieve documents. The first is traditional file having text
description of the image along with a key to the second file. The second file contains the
document location. The user selects a record from the first-file using a search algorithm.
When the user selects a record, the application program keys into the location index,
finds the document and displays it. Most of the Document management system provide
elaborate search possibilities including Boolean (AND, OR, NOT), proximity
operators,and wild cards. Users are also allowed to refine their search strategy. Once
the required images have been identified their associated document image can quickly
be retrieved from the image storage device for display or for getting output in print form.

2.4 Basic approaches of digitization

There are four basic approaches that can be adopted to convert from print to digital
medium:

- Image Only scanning

 - Retaining Page Layout and Optical character recognition

- Retaining Page Layout using Acrobat Capture; and

- Re-keying the Data

Image only Scanning Cost wise, ‘Image only’ option is the lowest. In this option, each
page becomes exact replica of the original source document. Several digital library
projects (see sec 6)are concerned with providing digital access to materials that already
exists in printed media in traditional libraries.

Some of the features of scanned page images are:

(i) It offers a reasonable solution to libraries for converting existing paper

collection for example, heritage documents without having access to the
original data in computer readable or processing formats which could be
converted into HTML/SGML or in any other structured or unstructured text.

(ii) It is a natural choice for large-scale conversions for major digital library
initiatives. Printed text, pictures and figures are transformed into computer-
accessible forms using a digital scanner or a digital camera in a process
called document imaging or scanning.

(iii) The digitally scanned images are stored in a file as bit-mapped page images,
irrespective of the fact that a scanned page contains a text, a photograph, or
a line drawing.

(iv) A bit-mapped page image is a type of computer graphic, literally an electronic

picture of the page which can be equated to a facsimile image of the page
and as such they can be read by human beings, but not by the computers.
However, this “text” in a page image is not searchable on a computer using
the present-day technology, the e-based implementation of which also
requires a large space for data storage and transmission.
 (v) Capturing page image format is comparatively easy and inexpensive,
therefore, it is a loyal reproduction of its original page, maintaining its integrity
and originality.

(vi) The scanned textual images, however, are not searchable unless it is
OCRed, which in itself, is highly error prone process, especially when it
involves S&T texts. There are various options of technology for converting
print to digital form.

It may be noted that in case, OCR is not done, the document is not searchable. Most
scanning software generate Tagged Image File Format (TIFF) format by default, which,
can be converted into PDF using a number of software tools. Scanning to TIFF / PDF
format is recommended only when the requirement of project is to make documents
portable and accessible from any computing platform. The image can be browsed
through a table of contents file composed in HTML which provides link to scanned image
objects.

Retaining page layout and Optical Character Recognition (OCR) There are some
equipment, for example, Xerox’s Text Bridge and Caere’s Omni page which include
technology that allow the option of retaining text and graphics in their original layout as
well as word-processing and plain ASCII formats. Output can also include HTML with
attributes like bold, underline, and italics which are retained.

Retaining Layout after Optical Character Recognition (OCR) OCR programs are
software tools used to transform scanned textual page images into word processing file.
OCR as text recognition includes the process of electronically identifying text in a bit-
mapped page image or set of images which can generate a file containing that text in
ASCII code or in a specified word processing format with the intact image in the process.
A scanned document is nothing more than a picture of a printed page which is not
editable and cannot be manipulated or managed based on their contents. In other
words, scanned documents are referred to by their labels rather than characters in the
documents.

Retaining Page Layout using Acrobat Capture The Acrobat Capture provides various
options for retaining not only the page layout but also the fonts, and to fit text into the
exact space occupied in the original. In this way the scanned and OCRed copy never
under- or over-shoot the page. Accordingly, it treats unidentified or unrecognizable text
as images that are pasted in its place. Such images are perfectly readable by anyone by
looking at the PDF file, but no editable and searchable text file is possible. Contrary to
this, ordinary OCR programs treat unrecognized text similar to wild characters or some
other special characters in the ASCII output. Acrobat Capture can be used to scan
pages in three ways i.e. as images, image +text and as normal PDF. All of these three
options retain page layout. Out of these three options the Image only option has already
been described in sec. 4.4.1. The other two options are described below:

(i) Image + Text: In this option, OCRed text is generated for each image where
each page is an exact replica of the original and left untouched. However, the
OCRed text sits behind the image and is used for searching. It may be noted
that OCRed text is only used for searching and is not corrected for errors.
While the cost involved in this case is much less than PDF Normal, the file
size of Image + Text PDFs is considerably larger than the corresponding PDF
Normal files and pages will not displayed quickly or cleanly on screen. This
happens because, the entire page is a bitmap and neither fonts nor line
drawings are victories.

(ii) PDF Normal: In this option, all graphics and formatting are preserved, and
substitute fonts may be used where direct matches are not possible. It gives
a clear view on-screen display. It is searchable, but with significantly smaller
file size than Image Text. The result is not, however, an exact replica of the
scanned page. It is a good choice when files need to be posted on to the web
or otherwise delivered online. If during the Capture and OCR process, a word
cannot be recognized to the specified confidence level, Capture, by default,
substitutes a small portion of the original bitmap image. Capture ‘best guess
‘of the suspect word lies behind the bitmap so as to make the searching and
indexing still possible. On the other hand, there is no surety that these
bitmapped words will be correctly guessed. In addition, the bitmap is
somewhat interfering and suspicious from the ‘look’ of the page. Further,
Capture provides option to correct suspected errors left as bit-mapped image
or leave them untouched.

Re-keying The best solution in re-keying includes keying-in the data and its verification.
This involves a complete keying of the text, followed by a full re-keying by a different
operator, the two keying-in operations might take place simultaneously. The two keyed
 files are compared and any errors or inconsistencies are corrected. This procedure can
guarantee at least 99.9% accuracy, but to reach still more close to 100% accuracy level,
it would normally require full proof-reading of the keyed files, table lookups, and
dictionary spell checks.

3. Computerization

3.1 File Formats and Media types

Every object in a digital library needs to have a title name or identifier which can identify
its type and format in a distinct manner. This is achieved by assigning file extensions to
the digital objects. The file extensions in a digital library typically denote formats,
protocols and rights management that are appropriate for the type of material. Besides
simple formats, a term called file format is also used to store different media types like
text, graphics, pictures, images, music works, video programs, databases, and models
including any combination of these types. File format is nothing but an arrangement for
discrete sets of data that allow a computer and software to interpret the data.

Some of the examples of names of file formats applicable to digital library and their file
extensions are given in Tables1, 2 and 3(see sec3.1.5)

However, Formats and Encoding Used for Text and image-based contents of a digital
library can be stored and presented as

- simple text or ASCII (American Standard Code for Information Interchange);

- structured text(SGML or HTML or XML);

- unstructured text;

- page description language, and

- page image formats.

Simple Text or ASCII Simple text or ASCII is the most commonly used encoding scheme
used for facilitating exchange of data from one software to another or from one platform
to another.

Now a days, full-text papers from many journals are available electronically through
online vendors like STN and DIALOG. While, the simple text or ASCII is compact, easy
and economical to capture and store, searchable, inter-operable and is compatible with
other text-based services, the same cannot be used for displaying mathematical
formulas or complex tables. Also, the diagrams, photographs, graphics, special
characters cannot be displayed in ASCII. Further, ASCII format does not store text
formatting information, i.e., bold, font type, font size, italics, or paragraph justification
information. Thus, a simple text or ASCII in many ways is not sufficient to represent
many journal articles because of these reasons. Although simple text or ASCII is very
useful in searching and selection, its inability to capture the richness of the original
makes it an interim step to structured text formats.

Structured Text Format Structured text format captures the essence of documents by
‘marking-up’ the text so that the original form could be recreated or even produce other
forms like ASCII. Structured text formats have provision for embed images, graphics and
other multimedia formats in the text. Standard Generalized Markup Language (SGML) is
one of the most important and popular structured text format. Similarly, Office Document
Architecture (ODA)also is a competing standard. SGML is an international standard,
around which several related standards are built. SGML is a flexible language from
which Hyper-Text Markup Language (HTM)was originated, and is considered as de facto
standard for markup language of the World Wide Web (www) which controls the display
format of documents and even the appearance of the user interface for interacting with
the documents. Like simple text or ASCII, structured text can be searched or
manipulated. It is highly flexible and suitable both for electronic and paper production.
Well-formatted text increases visual presentation volume of textual, graphical and
pictorial information. Structured formats can easily display equations and complex
tables. Also, the structured text is compact in comparison to the image-based formats,
even after including embed graphics and pictures.

Creation of structured text, if rekeyed, is always too expensive on a production basis.

However, creation of structured text is generally integrated with the production of printed
artifacts. SGML is in fact, a format generated as a by-product of printed artifacts
generated electronically.

Besides SGML and HTML, there are other formats used in digital library implementation
for example, TeX. TeX is used for formatting highly mathematical text and it allows
greater control over the resulting display of document, including reviewing the formatting
of errors.
Page Description Language (PDL) Page Description Languages (PDLs), such as
Adobe’s PostScript and PDF (Portable Document Format) are similar to image but the
formatted pages displayed to the user are text-based rather than image-based.
PostScript and PDF formats can easily be captured during the typesetting process.
PostScript is especially easy to capture since most of the systems automatically
generate it and conversion program, called Acrobat Distiller, can be used to convert
PostScript file into PDF files. The documents stored as PDF require Acrobat Reader at
the user’s end to read or print the document. The Acrobat Reader can be downloaded
free of cost from the Adobe’s Web Site.

Acrobat’s Portable Document Format (PDF) is a by-product of PostScript. Adobe’s

page-description language has become the standard way to describe pages
electronically in the graphics world. While PostScript is a programming language, PDF is
a page-description format.

PDF can have two formats:

(i) Text-based PDF that uses outline font technology of PostScript PDL (Page
Description Language) from Adobe to describe format of a page;

(ii) Raster-scanned image PDF without the text output of OCR (Optical
Character Recognition). The image PDF is essentially equivalent to TIFF or
CCITT G4 formats or to a photograph where text characters cannot be
manipulated by the computer. Besides, an image-based PDF may be
converted into text-based PDF once it goes through the process of OCR. In
this process, scanned image is replaced by the text with fonts and layout
matching with the scanned document.

Page Image Format The digitally scanned images are stored in a file as a bit-mapped
page image, irrespective of the fact whether; a scanned page contains a text, line
drawing or a photograph. The bit-mapped page image can be created in many different
formats depending upon the scanner and its software. There are certain national and
international standards for image-file formats and compression methods to ensure that
data is interchangeable amongst systems. An image file stores discrete sets of data and
information allowing a computing system to display interprets and prints the image in a
pre-defined way. An image file format consists of three different components, i.e.,

- header which stores information on file identifier and image specifications;

 - image data consisting of look-up table and image raster and

- footer that signals file termination information.

While bit-mapped portion of a raster image is standardized, it is the file header that
differentiates one format from another.

Tagged Image File Format (TIFF) It is the most commonly used page image file format
and is considered to be the de facto standard for bitonal images. Some image formats
are proprietary developed by commercial vendors and require specific software or
hardware for display and printing. Images can be colored, grey-scale or black and white
(called bitonal). They can be uncompressed (raw) or compressed using several different
compression algorithms.

Abbreviation Format File extention

ASCII File format for unstructured .txt

text
ASCII

File format for Structured .html

Text

HTML Hypertext markup Language

PDF Portable Document Format .pdf

(Adobe)

PostScript PostScript (Adobe) .ps

SGML Standard Generalized Markup sgml.

Language

TEX Texture Format .txt

XML Extended Markup Language .xml

Table 1: File Formats Used in a Digital Library

Abbreviation Format File Extention

BMP Bit Map Page (Windows) .bmp

 IMG Ventura Publisher img.

JFIF JPEG File Format .jfif

JPEG Joint Photographic Expert .mpg

Group

PCD Photo CD (Kotak) .pcd

PCP PC Paint (Black & White) .pcp

PCX PC paint Brush (Colour and .pcx

Black & White)

PDF Portable Document Format .pdf

PNG Portable Network Graphic .png

PSD Photoshop .psd

SPIFF Still Picture Interchange File .spf

Format

TGA True Vision Targa .tga

TIFF Tagged Image File Format .tif

TIFF-G4 Tagged Image File Format .tif

with Group4 File
Compression

Table 2: File format for Images

Abbreviation Format File Extension

AIFF Audio Interchange File Format .aif

AU Audio (Sun Microsystem) .au

AVI Audio Visual Interleave .avi

FLA Macromedia Flash Movie .fla

FLC AutoDesk Flic Animatiom .flc

MIDI Musical Instrument Digital .midi

 Interface

MOV Quicktime for Windows Movie .mov

MPEG Motion Picture Expert Group .mpg

MP2 MPEG Audio Layer 2 .mp2

MP3 MPEG Audio Layer 3 .mp3

RAF Real Audio Format .ra

(Progressive
Networks)

SND Sound .snd

VoC Creative Voice .voc

WAVE Waveform Audio (Microsoft) .wav

Table 3: Audio and Video File Format

3.2 Scanning Software

For scanning the image and capturing the same in the computer, the scanning software
is used. Generally, this software is provided by the manufacturer of the product to the
buyers. Following are some of the applications mostly in practice.

Digitisation of Audio and Video The analogue type of sound tracks which we generally
listen from radio or tape recorders can be digitized by attaching an audio player to a
system. It is done through an audio capture card so as to record the sound to the
system. The audio files are saved as mp3, midi, and wav etc. In terms of sound quality,
MP3 format is better and highly compact as compared to other formats. Theses audio
files can be further processed using noise reduction software. Like audio, video capture
also requires a video capture card with input from video cassette player (VCP/VCR), TV
antenna, cable or movie camera etc. The digitized files can be saved as mpg, mov, and
avi file formats.

Image Editing Applications Once the process of the scanning of image is over and the
same is available in the computer, the image editing applications can be used for further
manipulation. Most image editing software offer features like image editing, cropping,
color adjustments, forms conversion, resizing, sharpening, filter, etc. Most image editing
software can also be used for capturing the images.

Organizing Digital Images Scanned images need to be organized so that the same are
useful, otherwise a disc full of digital images without any organisation, browse and
search options have no meaning except for the information on the one who created it.
Besides this, the images need to be linked to the associated metadata so as to facilitate
their browsing and searching. The following three steps describe the process of
organizing the digital images:

- Organize the scanned image files into disc hierarchy that logically maps the
physical organisation of the document. For example, in a project on scanning
of journals, create a folder for each journal, which, in turn, may have folder for
each volume scanned. Each volume, in turn, may have a subfolder for each
issue. The folder for each issue, in turn, may contain scanned articles that
appeared in the issue along with a content page, composed in HTML
providing links to articles in that issue.

- Name the scanned image files in a strictly controlled manner that reflects
their logical relationship. For example, each article may be named after the
surname of first author followed by a volume number and an issue number.
For example, file name “guptadkv6n2.pdf” conveys that the article is by “D. K.
Gupta” that appeared in volume 6 and issue no.2. The file name for each
article would, therefore, convey a logical and hierarchical organisation of the
journal.

- Describe the scanned images file internally using image header and
externally using linked descriptive metadata files. The following three types of
metadata are associated with the digital objects:

i. Descriptive Metadata: Includes content or bibliographic description

consisting of keywords and subject descriptors.

ii. Administrative or technical Metadata: Incorporates details on original date

of creation, source, file format used, version of digital object, compression
technology used, and object relationship, etc. Administrative data may reside
 within or outside the digital object and is required for long-term collection
management to ensure longevity of digital collection.

iii. Structural Metadata: Elements within digital objects facilitate navigation, for
example, table of contents, index at issue level or volume level, page turning
in an electronic book, etc.

The simplest but least effective method for providing access is through a table of
contents and linking each item to its respective object/image. Content pages of issues of
journals done in HTML would offer browsing facility. Full-text search to HTML pages or
OCRed pages can be achieved by installing one of the free Internet search engines like
Oingo Free Search (http://www.oingo.com/oingo_free_search/products.html); Swish-E
(http:// www.berkeley.edu/SWISH-E/);WhatyoUseek (http://intra.whatuseek.com/); Excite
(http:/ /excite.com/) and Google (http://www.google.com). Large scanning projects
would, however, require a back-end database storing images or links to the images and
metadata (descriptive/administrative). Back-end database used by most document
management systems holds the functionality required by most web applications.
Important management systems like File Net have now integrated their database with
HTML conversion tools. Further, some of the document management systems have also
signed up with Adobe to incorporate Acrobat and Acrobat Capture into their web-based
document management systems. These databases entertain queries from users through
“HTML forms” and generate search results on the fly. Several digital library packages
are now available as “open source” or “free-ware” that can be used not only for
organizing the digital objects but also for their search and retrieval.

Digital Library Software Several digital library software are currently available like,
DSpace, Greenstone Digital Library (GSDL), EPrints, Fedora, etc., which are available
freely for download on the Internet. There are also some commercial Digital Library
Software available but none has been used on large scale as compared to those
mentioned above. A brief description of salient features of some of the common digital
library software available in public domain is given below.

D Space D Space is making its impact, with an increasing number of institutions around
the globe installing, evaluating, and using the package. D Space (www.dspace.org) has
been developed in partnership between Hewlett Packard (HP) and Massachusetts
Institute of Technology (MIT). The same is used as institutional repository software and
the development is still in progress. The latest version is 1.2 available for download at
the D Space web site. Currently, the original developers undertake most of the core
development, but a growing technical user base is generating suggestions for future
releases as well as looking for producing some add-on modules. In addition the D Space
Federation is guiding the transition of this software to a more community-wide open-
source development model.

D Space captures, stores, indexes, preserves, and, redistributes the intellectual output of
a university’s research faculty into digital formats. D Space accepts all forms of digital
materials including text, images, video, and audio files. Possible content includes:
papers and preprints; conference papers, technical reports; working papers;; e- theses;
datasets(statistical, and geospatial etc.); images (visual, scientific, etc.); audio files;
video files; learning objects; and reformatted digital library collections. The back end
technologies used include: Apache, Tomcat, OpenSSL/mod_ssl; Java1.3, JSP1.2,
Servlet 2.3; PostgreSQL7, JDBC (RDBMS); CNRI handle System5 (persisten ids);
Lucene 1.2 ( index/ search).

Specifications as Prerequisites D Space depends upon the Java programming

language and the Postgre SQL open source database system. It also requires a number
of additional Java- based elements to be installed: Tomcat, which is a Java based
server; a number of Java code libraries; and the Ant, a Java compiler. It is
recommended that D Space be installed on a Linux or a Unix machine. It requires an
experienced system administrator to do the prerequisite installation.

E-Prints E-prints were developed in the Intelligent Agents, Multimedia Group at the
Electronics and Computer Science Department of the University of Southampton. With
its origin in the scholarly communication movement, e-print default configuration is
geared to research papers but it can be adapted to other purposes and content. GNU E-
prints is freely distributed to the GNU General Public License. GNU Eprints 2.x is a free
software which creates online archives (http:// software.eprints.org/). The default
configuration creates a research paper archive. The latest version is 2.3 and is available
for download at http://software.eprints.org/download.php

Specifications as Prerequisites

- Any computer capable of running GNU/Linux or similar operating system. The

faster, the better, but any Intel Pentium II processor will provide good
performance.
 - A GNU operating system. GNU/Linux (a very advanced and free UNIX- like
operating system) works just fine, and is in fact the development platform

- Apache WWW server

- Perl programming language, also a number of additional modules

- mod_perl module for Apache, which significantly increases the performance

of Perl scripts

- My SQL Databases

Greenstone Digital Library (http://greenstone.org) The Greenstone Digital Library

software is produced by the New Zealand Digital Library Project at the University of
Waikato, and distributed in cooperation with UNESCO and the Humanities Library
Project Greenstone Digital Library is open-source software available under the terms of
the GNU General Public License. It has the ability to serve digital library collections and
build new collections. It provides a new way of organizing information and publishing it
on the Internet or on CD-ROM.. The New Zealand Digital Library Web site
(http://nzdl.org) contains numerous example collections, all created with the Greenstone
software, which are publicly available for anyone to peruse,

Specifications as Prerequisites

- The Greenstone runs on Windows and Unix platforms.

- The distribution includes ready-to-use binaries for all versions of Windows

and for Linux.

- It also includes complete source code for the system, which can be compiled
using Microsoft C++ or gcc.

- Greenstone works with associated software that is also freely available: the
Apache Web server and PERL.

4. Planning and Management

Digitisation is a highly specialized and cost-intensive activity and is the first step towards
building a digital library. It requires inputs from various branches of knowledge which
implies that the purpose, objectives, and needs of digitisation are determined clearly. So,
the digitisation proposal should define its goals, scope, benefits, costs, time span,
implementation issues, deliverables and target users. Depending on the situation, it may
 be desirable to continue with traditional collections and at the same time to acquire
collections in digital media. Other options may be to buy access to electronic resources;
and develop library portals or subject gateways instead of undertaking digitisation
project. This strategy would save the cost and efforts on digitisation and other recurring
administrative costs.

Once a decision for digitisation is finalized, due consideration and importance should be
given to factors like reusability, sustenance, verification, interoperability, and
documentation both for users as well as for the developer. Some of the pre-requisites for
careful planning of digitisation in various steps are described below:

4.1 Feasibility study

The feasibility study should be established not only in terms of the availability of tools,
and expertise, but also include the factors like Number/volume of documents to be
covered in the process of digitisation, demand for material to be digitized, target
audience, and user’s requirements etc. The study should also assess whether the library
can take-up the same as in-house project or to be out-sourced.

4.2 Planning the Project

The planning of the project needs to cover the areas of Managerial Planning to involve
the process of sequencing various tasks, their time management and project monitoring.
Activities which require managerial planning may include manpower recruitment,
conducting feasibility study, digitisation (whether in-house or out-sourced procurement of
equipment, IPR management issues, organization and integration of content, finding
market, launching and marketing of services. Additionally, some of the other
management techniques like PERT, CPM, flow diagrams, and SWOT analysis may be
deployed at this stage.

4.3 Library Automation Hardware and Software Planning

In this activity, first of all, the technical specifications may be worked out before the
actual process of digitisation starts irrespective of whether digitisation is out-sourced or
done in-house. Next, the requirements of software and hardware for the servers and
network components may be worked out including their financial implications and
network components. Further, the connectivity and bandwidth needed for hosting the
 digitized collection may be planned. For doing this, the existing types, formats, standards
and practices should be reviewed first.

Then, the draft specifications are to be prepared and to be tested with sample data.
Necessary changes may be made in the specifications based on this testing laid down
for metadata creation for digital objects and for the digital collection. Digital objects and
digital collections typically require descriptive i.e. keywords/descriptors, structural i.e.
navigation, content pages etc., and administrative i.e. formats, compression, standards,
etc. metadata.

4.4 Human Resources Planning

Human resource planning would depend on whether the library is going for outsourcing
the process of digitization or in-house digitization. The areas for required human
resources are: training of existing staff, recruitment of new staff with desired skills, and
staff time involved. It is be noted that project management continues to be an important
issue even if the digitisation work is outsourced. The project management may be further
divided in to various groups with clearly defined responsibilities. Finally, to facilitate
unambiguous communication among the groups and the staff, a well defined reporting
structure may be laid down.

4.5 Financial planning

Financial planning is very important and includes the various types of costs such as
migration from one medium to another and from one computer to another, cost of
hosting the services and their maintenance Other aspects are:

4.6 Purchase of Hardware and Software

Choice of the tool, equipment, and technology may be made considering the various
aspects like software for search and access, storage and back up devices, network
equipment regained, and other related items.

The software may be acquired or developed in-house. After acquiring / developing

software, the following operations will be executed.

- Installation of hardware and software;

 - Installation of the network required for hosting the digitized collection.

- Consider bandwidth requirements that depend upon the media offered by the
digital library. While simple text requires relatively low bandwidth to deliver
content, images and video require large bandwidth; and

- Installation of other components

4.7 Selection of Material for Digitisation and ‘Born Digital’

The first and foremost in the process of execution of the project, is to identify, select, and
priorities the documents which are to be digitized. If documents are available in digital
form, they can be easily converted to other formats. In other case, when the organisation
is itself creating contents, strategies are to be laid down to capture ‘born digital’ data. If
the selected material is from external sources, IPR issues need to be resolved. In case
the material being digitized is not available in public domain, then it becomes necessary
to get permission from the publishers or data suppliers for digitization. Moreover,
decision may be taken whether to OCR the digitized images. Documents selected for
digitisation may already be available in digital format. However, it is always economical
to buy e-media, if available rather than their conversion. Further, bound volumes of
journals, manuscripts, deteriorating collections, and oversized material etc., would
require highly specialized equipment and highly specialized manpower.

4.8 Placement and Training of Manpower

Since the entire job of developing and or maintaining a digital library is a highly skilled
one, there should be no compromise or any lapse in the quality of intake or selection of
manpower for the job. It should be noted that even if good quality manpower is
employed, they usually need training to upgrade and sharpen their skills for this job
which implies that necessary training, should form an integral component of the
execution of the project.

4.9 Content Creation

The steps involved in content creation include the following

- Conversion of datasets which are ‘born digital’, e.g. converting MS Word file
into PDF;

- Conversion of the existing printed sections into digital format (digitisation);

and
 - Identification of vendors in case the digitisation work is to be outsourced.

4.10 Execution of the Project

Once the software, equipment and other infrastructure facilities are installed, and the
priorities of the documents for digitisation laid down, the execution of the project is
initiated. The library may use digital library software like DSpace, or Greenstone Digital
library etc.

5. Challenges and Problems

The most significant challenges in planning and execution of a digitisation project relate
to technical limitations, budgetary constraints, copyright considerations, lack of policy
guidelines and lastly, the selection of materials for digitisation. Other important issues
and problems relate to the selection process, preparation of the materials, cooperation
with the publishing sector, the specifications for the digitisation itself, research into
improvement of optical character recognition (OCR), research into several file formats to
reduce the cost of storage, automatic quality control mechanisms, new language-based
techniques for search and retrieval, the digital preservation of the files and the technical
infrastructure to support all these aspects.

At the turn of the century a shift in emphasis occurred in digitisation activities. Libraries
moved from digitizing highlights to digitizing complete collections. Digitisation projects
became larger and therefore project management became a more important issue.
Developments in methods and techniques were stabilizing and there was a growing
awareness of the problem of long-term preservation of the digital files. Instead of visually
attractive materials the libraries started digitizing text materials and audio and video
collections. New possibilities for the use of the digitized collections were discovered,
such as applications for specific target groups like scientists and students.

In the beginning, a library may have to buy its own scanners and hire its own staff, but it
has been discovered that scanning is not the core business of the library. So, digitisation
may have to be outsourced. Because high standards are set, it may not be possible to
meet high quality standards of the libraries as per their requirements. The high
standards lead to very high quality images, but also produce very high costs for
scanning and storage of the large master files.

Because of the growing scale of digitisation projects some of the old basic assumptions
have to be reconsidered. There is now a preference for digitizing from microfilm which
 mostly delivers lower quality images but is cheaper than digitizing from originals. Also,
research is being done into alternative file formats for TIFF like jPeg2000, which
decreases the amount of necessary storage capacity. For the same reason the use of
only one format for both access and preservation is being considered. For a library to be
able to outsource its scanning activities, it is necessary to introduce quality standards
that commercial companies can handle. While outsourcing all scanning activities,
expertise in the area of imaging techniques may still be held within the library. Further,
because of the high standards for digitisation, quality assurance of the digital files is
automatically on a high level as well. From the beginning quality control managers have
to check everything that is digitized. Sometimes, in the first small-scale projects, every
file is to be checked and scanned again if the quality is not perfect

It may be concluded that a better balance between quality, quantity and costs has to be
struck if libraries wish to digitize on a large-scale. Digitisation processes have to become
more efficient and the only way to do this is to limit expectations and not try to be perfect
at all costs.

6. Summary

Defines the concept and scope of digitisation as the process of converting the content of
physical media including the basic approaches of the same as practiced in libraries.
Digitisation not only includes scanning equipment, process, digital library software, file
formats and media types etc., but also covers the most important aspect i.e.
identification and selection of material to be digitized. The salient features of various
digital library software e.g. DSpace, E-print, and Greenstone digital library etc. have
been discussed. One of the most important aspects i.e. planning and management for
digitization is the area where librarian has major role to play. Some of the important tips
in this area are provided which are useful in digitization projects initiated by many
libraries. These include: Feasibility study, Library Automation Hardware and Software
Planning, Human resource planning, Placement and Training of Manpower, Financial
planning, Content creation, Selection of Material for Digitisation and ‘Born Digital’, and
Purchase of hardware and software. Among the challenges and problems faced by the
librarians, technical limitations, budgetary constraints, copyright considerations, and lack
of policy guidelines are worth mentioning. It is concluded that a better balance between
quality, quantity and costs has to be struck if libraries wish to digitize on a large-scale.
7. References

1. Arms, William Y. Digital Libraries. The MIT Press: Cambridge, MA, 2000.
2. Jantz, Ronald. “Technological Discontinuities in the Library: Digital Projects That
Illustrate New Opportunities for the Librarian and the Library.” IFLA Journal 27
(2001), 74-77.
3. Kessler, Jack.Internet Digital Libraries: The International Dimension. Boston:
Artech House Publishers, 1996
4. Lesk, Michael. Practical Digital Libraries: Books, Bytes and Bucks. San Fransisco:
Morgan Kaufmann Publishers, 1997

5. Noerr, Peter.Digital Library Tool Kit. U.S.A.: Sun Microsystems, 2000

Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 13 Strategic Planning

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Shantanu Ganguly
Content Writer Fellow and Area Convenor, TERI

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE13

STRATEGIC PLANNING

I. Objectives

The objectives of the unit/module are:

- To introduce the concept of strategic management

- To discuss the importance of strategic management with reference to libraries
- To explain the strategic planning process
- To describe various factors and techniques of strategic planning

II. Learning Outcome

After going through this unit/module, you would learn importance of planning and
strategic planning and management in libraries and information centers. You would
also learn meaning and need for strategic planning, planning techniques,
assessing the environment, developing strategies for: collection development,
allocation of rational budget allocation, strategic development in technology,
and strategic communication and marketing.

III. Structure

1. Introduction
2. What are Strategies?
2.1 When should a strategic plan be developed?
2.2 How are strategies developed?
2.3 What is strategic management in Libraries?
3. Planning Services and Systems in Libraries and Information Centres
3.1 Anticipating the Future
3.2 The Planning Concept
3.3 Factors in Planning
3.4 SWOT Analysis?
4. Planning Techniques
4.1 Developing Standards and Guidelines
4.2 Management by Objectives (MBO)
5. What is Strategic Planning in Libraries?
6. Environment Assessment
6.1 Strategic planning principles
 6.2 Focus and action plans
6.3 To facilitate intellectual life in the institution
6.4 To be a leader among academic institutions
7. Strategies for Collection Development
7.1 Acquisition Policy
7.2 Consistency
7.3 User Involvement
7.4 Competitive Vendor Profile
8. Rational Budget Allocation
9. Strategic Development in Technology
10. Strategic Communication and Marketing—A Necessary Tool
11. Strategic Plan of Actions - Case Studies
11.1 Case Study: 1
11.2 Case Study: 2
11.3 Case Study: 3
12. Example
13. Summary
14. References
1. Introduction

Strategic management as a term and concept is not new. The term was first used in
the 1970’s, and it meant that a staff of strategic planners tried to sell them to decision
makers. In the 1990’s, the view of strategic planning and strategic management is
much different. Goodstein, Nolan, and Pfeiffer’s definition of strategic planning takes
us away from the notion that strategic planning is a staff job and focuses more on a
process that requires the senior leaders of an organization to set its strategic
direction.

The concept of strategic management builds on this definition of strategic planning,

recognizing that although planning is the prelude of strategic management, but it is
insufficient if not followed by the deployment and implementation of the plan and the
evaluation of the plan in action. Strategic management is a systems approach to
identifying and making the necessary changes and measuring the organization’s
performance as it moves toward its vision. It has been defined as:

“….management….system…that links strategic planning and decision making with the day-
to-day business operational management”. (Gluck, Kaufman and Walleck, 1982)
The following model depicts the five processes of strategic management which are
pre-planning, strategic planning, deployment, implementation, and measurement and
evaluation.

Fig 1: The Strategic Management Model

(Source: Strategic Management Handbook for Senior Leaders: A Handbook for
Implementation, Denise Lindsay Wells)
Strategic management goes beyond the development of a strategic plan, which
included the pre-planning and strategic planning processes. Strategic management is
the deployment and implementation of the strategic plan and measurement and
evaluation of the results.

- Deployment involves completing the plan and communicating it to all

employees.
- Implementation involves resourcing the plan, putting it into action, and
managing those actions.
- Measurement and evaluation consists not only of tracking implementation
actions, but, more importantly, assessing how the organization is changing as
a result of those actions and using that information to update the plan.
 Strategic management is a continuous process rather than one-time event.
Therefore, the senior leaders must become strategic thinkers and leaders of the
organization and its culture, changing it as necessary.

When an organization is practicing strategic management, thinking becomes more

visionary, which is characterized by:

- Breakthrough thinking about the future; organizational boundaries are more

flexible
- A shift in focus from the inputs that are used to run the business to the
outputs and outcomes the organization desires to achieve
- A focus on optimizing organizational performance and process quality as keys
to delivering quality products and services
- A move toward an organizational culture that adapts easily to change
- With practice, patience, dedication, and hard work, the organizational learning
that takes place through the application of strategic management will bring
the organization closer to realizing its goals and vision.

With each update of the strategic plan, senior leaders will become better able to
deploy the plan, implement changes, and measure organizational performance.

2. What are Strategies?

Strategic management consists of the analysis, decisions, and actions an

organization undertakes in order to create and sustain competitive advantages. This
definition captures two main elements that go to the heart of the field of strategic
management.

- The strategic management of an organization entails three ongoing

processes: analysis, decisions, and actions. Such as analysis of strategic
goals (vision, mission, and strategic objectives) along with the analysis of the
internal and external environment of the organization. Decisions, address two
basic questions from management point of view: What industries should we
compete in? How should we compete in those industries? And last are the
actions that must be taken. This requires leaders to allocate the necessary
resources and to design the organization to bring the intended strategies to
reality. This is an ongoing, evolving process that requires a great deal of
interaction among these three processes.
- The essence of strategic management is the study of why some organisations
outperform others. Managers need to determine how a firm is to compete so
that it can obtain advantages that are sustainable over a long period of time.
 That means focusing on two fundamental questions: How should we compete
in order to create competitive advantages in the marketplace?
- Managers must also ask how to make such advantages sustainable, instead
of highly temporary, in the marketplace. That is: How can we create
competitive advantages in the marketplace that are not only unique and
valuable but also difficult for competitors to copy or substitute?

Fig 2:
Strategic Framework of the Organisation in relation to Internal and External Forces
Michael Porter argues that sustainable competitive advantage cannot be achieved
through operational effectiveness alone. Most of the popular management
innovations of the last two decades-total quality, just-in-time, benchmarking, business
process reengineering and outsourcing all are about operational effectiveness.
Operational effectiveness means performing similar activities better than rivals. Each
of these is important, but none lead to sustainable competitive advantage, for the
simple reason that everyone is doing them. Strategy is all about being different from
everyone else. Sustainable competitive advantage is possible only through
performing different activities from rivals or performing similar activities in different
ways. An organisation with a good strategy must make clear choices about what it
wants to accomplish.
2.1 When should a strategic plan be developed?
Strategy development follows the creation and affirmation of the organization’s
purpose statement, environmental and program data collection and analysis, and
identification of critical issues. It is critical that strategy development follows these
steps because the information gathered and decisions made in these phases are the
 foundation for strategy creation and selection. Each of these steps provides the
following: The purpose statement, the statement of the organization's ultimate goal,
provides the direction to which the strategies should ultimately lead. External market
data and program evaluation results provide critical data to support strategy
development. Without this information and insight, the organization's strategies will
not be in alignment with or effective in the market place. The critical issues list serves
as the specific focus and frame work for the activities of the organization and the
pattern of these activities (developing and selecting the strategies).

2.2 How are strategies developed?

Strategy formulation is a combination of rational and scientific examinations, intuitive

best guesses. Many individuals are overwhelmed by the idea of developing
strategies, but it can be a fun and invigorating process. The process entails:
examining the organization's critical issues determining how the organization's
strengths and skills can be employed to address the critical issues analyzing
opportunities and strengths and looking for ways to synthesize the two exploring and
choosing the best approaches for the organization. During this evaluation ask these
key questions: Does the strategy meet/address critical issues? Is this aligned with
our mission? Is this approach financially viable? One effective method of strategy
generation is to list critical issues and organizational strengths on to flipcharts and
then have staff or board members brainstorm possible uses of those strengths or
other skills to address the critical issues.

2.3 What is strategic management in Libraries?

This is the application of strategically thinking of the jobs leading the library. This has
the following three elements:

- Formulation of the library’s future mission in the light of changing external

factors such as regulation, competition, technology and the users.
- Development of a competitive strategy to achieve the mission, vision and
goals.
- Creation of the library structure which will deploy resources to successfully
carry out its competitive strategy.

3. Planning Services and Systems in Libraries and Information Centres

Planning is a major component of strategic development. Effective planning of

services and systems in libraries and information centres encompasses activities
directed toward developing a vision and a mission, and then setting goals,
 motivating individuals, appraising performance of both personnel and systems,
evaluating results, developing a financial base to accomplish all of that, and then
adjusting directions to account for the outcome of those activities. Planning is at
the heart of management activities because its effectiveness—or in some cases
ineffectiveness—is reflected in every segment of an organization’s developmental
process. As an analytical process, it involves assessing the future, determining a
desired direction for the organization in that future, creating objectives in the
context of that future, developing programs of action for such objectives, selecting
an appropriate agenda from among those alternatives that are priorities, and
pursuing a detailed course of action.

3.1 Anticipating the Future

Planning is an effort to anticipate future change; it can be accomplished by

choosing from among several possible alternatives. Planning in the past was most
often accomplished as a line function, performed only by managers in a direct
supervisory relationship. Now many large libraries and information centres have
developed cadres of people whose primary function is planning. Officers in staff
positions augment and support team-based planning efforts, sometimes acting as
information sources, sometimes as catalysts, sometimes as advisers, and
sometimes as devil’s advocates. Those individuals might, for example, provide
factual data and propose new services, but their primary role is to coordinate the
entire planning program. Information centres like for-profit organizations are more
likely to relate a portion of their activities to a planning division and with
knowledge management becoming such an important component of their
responsibilities, are likely to be represented at a high level in the organization
because knowledge management plays an important role in those initiatives.

3.2 The Planning Concept

A textbook definition of planning is that it is an “analytical process which involves

an assessment of the future, the determination of desired objectives in the context
of that future, the development of alternative courses of action to achieve such
objectives and the selection of a course, or courses, of action from among these
alternatives.”

Planning is both a behaviour and a process; it is the process of moving an organi-

zation from where it is to where it wants to be in a given period of time by setting it
on a predetermined course of action and committing its human and physical
resources to that goal. The analogy of a road map is an appropriate one—if one
 doesn’t know where he or she is, and doesn’t know how to get to where he or she
wants to be, many roads lead to a dead-end, or at least a retracing of steps. Basic
questions of “who, what, when, where, and how” are preceded by the most
important philosophical question of “why,” and all must be addressed in the
process. Perhaps the most important reasons for planning are: to offset
uncertainty and to prepare for change, to focus attention on a clear direction for
the future, to gain economic control of the operation, and to facilitate control and
to demonstrate accountability.

A successful planning approach must build an understanding of the library’s or

information centre’s reason for existence and capabilities as an essential first step
to identifying future directions. To create a planning attitude, the concept must
involve all levels of the organization, beginning at the top and filtering down
throughout the various levels to be accepted and implemented through policies,
procedures, projects, and programs that can be developed as a result. The
outcome, a planning document, becomes today’s design for tomorrow’s action, an
outline of the steps to be taken starting now and continuing into the future. The
process leading to the development of a written document involves all segments
concerned with and affected by the process, both inside the immediate library and
information centre and outside through customers with programmatic interests
and individuals and organizations with vested financial interests. This planning
process forces action on the part of the “whole” of the institution.

3.3 Factors in Planning

Factors in the planning process can be arbitrarily divided into at least five
elements: time, collecting and analyzing data, levels of planning, flexibility, and
accountability.

Time Frame There are two categories of plans with respect to time: long-range or
strategic plans and short-term, annual, or operational plans. These categories
refer to the span of time over which the plan is effective, starting with the time
when the plan is initiated and ending with the time when the objectives of the plan
are actually measured for achievement.

Short-term plans provide the guidelines for day-to-day operations and the
procedures by which they are accomplished. These plans are much more detail-
intensive and immediate than strategic plans, and their objectives are much more
short-term and specific. They encompass more known factors and, therefore, are
more quantitative. Short-term plans bring the general guidelines developed in
 long-range plans to the operational level. One might view the two approaches as
complementing each other—strategic plans providing the overview and
operational plans providing the specific budgetary factors for a specified period of
time. Because short-term plans are specific and immediate, they do not carry the
uncertainty that strategic plans do.

Collecting and Analyzing Data This step includes systematic collection of data
concerning the library or information centre, its activities, operations, staff, use,
and users over a given period of time, as well as the external environment, which
affects what the organization wants to do and the way it can do it. In other words, it
is an analytical study of the whole organization and its operation. One must fight
the urge to allow data collection to dominate or to bog down the planning process,
rather viewing this step as a means to an end—the collection of data relating to
past activities with the view of making decisions about future ones.

Levels of Planning Traditionally, long-range planning has been carried out

primarily by the upper echelons, whereas short-term planning usually is conducted
by supervisors or coordinators at the point-of-impact of services. In libraries and
information centres that have planning committees or officers, and in smaller
organizations, a hierarchical approach is abandoned in favour of input from all
levels and segments of the organization.

Flexibility, or adaptability in meeting changing needs, is the essence of good

planning. Flexibility applies to both short-term and strategic planning processes.
Any planning that is too rigid to accommodate change as it occurs is an exercise
in futility. This is why it is important to review plans on a scheduled basis with the
intent of revising priorities that might change over the short term, as well as
identifying objectives that have been accomplished.

Accountability is a key to future success. Accountability requires obligation and

initiative to carry out established plans. For managers, this means delegating
authority and making individuals or teams responsible for achieving the plan’s
objectives once they have been established. Ultimately, however, the manager is
accountable for the action or inaction toward the established goals.

3.4 SWOT Analysis?

SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis is a

methodology of examining potential strategies derived from the synthesis of
organizational strengths, weaknesses, opportunities and threats (SWOT). The
partnering of the different elements and the extensive data collected as a result of
 the analysis can serve as a spark for roundtable discussions and refinement of
current strategies or generation of new strategies.

4. Planning Techniques

Many techniques must be considered for use in the planning process. However,
they should not be mistaken for the process itself. Some of the most important
techniques are developing standards and guidelines and forecasting.

4.1 Developing Standards and Guidelines

Standards are measurable, enforceable, and can be directly related to goals. They
should provide guidance for actions in the present climate while being flexible
enough to allow for future development. General, industry-wide, or profession-
wide standards or guidelines established by various professional groups provide a
basis for planning. For example, standards have been developed by the American
Library Association, IFLA, and the Special Libraries Association. But these
standards are not plans, they are a means of defining acceptable service. Each
individual library must develop its own plans based on the demands of its
clientele, using those industry standards as guidelines. Both human and technical
factors must be considered in developing sound standards.

4.2 Management by Objectives (MBO)

MBO has been informally applied in some libraries (though perhaps not
consciously) to combine individual and institutional goal setting with the decision-
making process. Much has been written on the technique of MBO, a process that
has been in and out of favour with industry and commerce for some time. Some
now believe that its time has passed, whereas others feel it is now re-emerging.

Management by Objectives is perhaps one of the most evident examples of

participative management because it involves everyone, to an extent, in the
management process. It can clarify responsibilities, strengthen planning and
control, and establish better relationships between supervisors and other staff
members. The process rests upon several premises:

a. Clearly stated objectives. If objectives are not clear, they should be

clarified.

b. A succession of specific objectives. Benchmarks must be established to

measure progress.

c. Delegation of specific objectives. Certain people should be responsible for

 accomplishing specific objectives.

d. Freedom to act. Subordinates should be given objectives and authority and

then be charged with accomplishment of those objectives.

e. Verifiable objectives. To achieve objectives, it is best to quantify them. If

they are non-quantifiable objectives, they may relate to quantifiable ones.

f. Clear communication. This exists only when objectives are specific, are
agreed upon by all parties, are budgeted, and are known by all individuals
who have a reason for knowing.

g. Shared responsibility. Team effort is the key to management by objectives.

h. Personal accountability. Each person must be accountable for the

achievement of his or her assigned objectives.

i. Improving management ability. Management is able to plan more objec-

tively when these premises are accepted.

5. What is Strategic Planning in Libraries?

Strategic planning is a management tool to help the libraries to do better. It is used to

determine mission, vision, values, goals, objectives, roles and responsibilities,
timeliness, etc. This is a disciplined effort to produce fundamental decisions and
actions that shape and guide what the library is, what it does and why it does it, with
a focus on the future. Strategic planning is only useful if it supports strategic thinking
and leads to strategic management. Thesis is the basis for an effective organization.

6. Environment Assessment

Libraries are affected by many changes in education and research that had impact
on the institution as a whole. Some of these changes present opportunities and some
threaten higher education and libraries as they operate. In addition, there are other
factors in the environment that are of specific importance to libraries as they plan for
the future. Some of the important factors include:

a. Changes in Library Outlook

There is slow but steady change in the library's outlook is taking place. They are
starting to engage in collaboration and partnership with global organisations for
various reasons and also in consortia mode. Collaborations and partnerships require
new skills for staff, such as knowledge of licensing and negotiations and technical
infrastructure management. Libraries are also in the midst of expanding the building
space for traditional collections apart from new forms of media and non-traditional
 information resources. Traditional models of academic library services are insufficient
to meet current requirements and the librarians need to engage in devising new
models.

b. Changes in Information and Communication Technology (ICT)

The increasing online environment is resulting in users who are more technology
savvy and are demanding and expecting more from the libraries. The potential of
delivering information anytime anyplace challenges libraries to re-examine how
space is organized and used. It is necessary to create new modes to deliver services
to the user’s desktops even outside the campuses. As more resources are created
via the web, issues arise related to licensing, archiving, security and access.
Librarians are challenged to develop new technical skills and abilities to validate the
quality of information resources over the web.

c. Changes in Electronic Publishing

The transition from print to electronic distribution brought significant disruption to the
publishing industry and also marketing the resources. The challenges concern the
traditional scholarly communication that is converting the traditional publishing to the
digital environment, intellectual property rights issues, alternatives to journals and
dramatic increase in all forms of information content, etc. These challenges along
with enabling technologies have created major issues around copyright, ownership
and management of digital resources.

d. Changes in Higher Education

Innovations in the design and delivery of higher education to reach to the people are
on the increase. But effectiveness of such innovations and the impact on the faculty
productivity is still not clear. The new modes of learning need different approach and
new support system for both students and the faculty.

e. Changes in Research Environment

Research funding, which was with government support is now available from public
and private sources. While these new partnerships are important to the research,
they also raise issues about the priorities, type of resources and support and the
faculty interest, addressing the legal issues etc. Only established research libraries
remain unaffected by these challenges in research funding.

6.1 Strategic planning principles

 In developing a strategy it is important to ask right questions to formulate right
choices. The typical right questions for libraries to answer are:

1. What do libraries need to do to support excellence for different types of users?

2. How the library can support divergent research needs, on and off campus
including support in collaborative research?
3. How the library can continue to facilitate and preserve developments in
knowledge across the campus and in the wider scope of research and
scholarship?
4. How to participate actively in campus-wide solutions to information technology
applications to support teaching and research?
5. How the library can contribute and strengthen the life on campus in the
institution?

Libraries in the academic institutions are creative partners in the research and
learning process. They select, organize, present and preserve information resources
relevant to education and research in the institutions. They sustain these resources
and provide quality services on behalf of the present and future research and
scholarly community. They build intellectual connection among these resources and
educate the university community in the effective use of information. The libraries
want the community to think first when they need information. Today’s complex and
challenging environment requires the libraries to focus on core mission and
willingness to experiment. Small changes may meet the university’s short-term needs
but they will be inadequate to sustain excellence on the long term needs.

6.2 Focus and action plans

Providing rapid, easy and precise access to high quality information to support
teaching and research. Locating and accessing accurate information has become
increasingly difficult in today’s environment. The challenge to the libraries is to
provide user-friendly, integrated, responsive and precise access to all resources in
any medium in all relevant disciplines wherever and whenever it is needed. This
requires libraries to develop tools to merge an invaluable traditional asset with
emerging forms of research and instruction. Simply providing access is not sufficient.
Overwhelming volume of information is available and the users need to have
confidence in libraries that they would get the best resources to meet their specific
needs. This requires the librarian to play the increasingly important roles of evaluator
and organizer of information and educator of users. Librarian requires new skills and
approaches to be successful in meeting the user requirements.
 Another important aspect of access is availability of access over time. In addition to
providing access to current materials, the preservation and sustainability of
resources, whether owned, developed or accessed, whether in print or electronic is
an important goal that must be fulfilled. Emphasis should been relevance and
excellence to define the standard for best practices in the libraries.

Expanding network
This strategy focuses on the need to continue to build
based access to
collections that provide the best and most relevant
collection by providing
resources to the university community and ensuring ease
online digital resources
of access for users. As more digital resources become
whenever
available the library staffs need to develop tools and
needed.
processes to add an expanding variety of digital contents
to supplement the library resources to contribute to the
libraries’ goal of excellence.

Improve access to • Access to resources that are owned by the library

materials that are based could be enhanced through improved organization of
in the library and physical materials and better delivery system with
acquired externally by value-added services such as electronic table of
providing enhanced contents, reviews or html links etc. In the cases of
access and delivery of materials not owned by the library, the challenge is
resources. to develop a systematic approach that ensures
timely and accurate delivery. In both the cases the
focus is delivery of services to the expectations of
users.
• Library should be developed as a virtual gateway to
quality resources and services regardless of medium
(web, print or multimedia). The libraries need to be
able to provide enhanced data access and usability
to faculty and students. The emphasis should be on
the library as an enabling gateway rather than
gatekeeper providing access to all relevant high
quality information resources.
• Digitize selected university publications and
important archival material and also initiate
digitization of other materials of value to the
university. Space and storage problems can be
 expected to continue.
• The libraries should take a leadership role in
demonstrating the utility of managing resources into
and under digitization. This will require both direct
action in digitizing the university materials and
collaborating with colleagues on campus, other
libraries and within consortia.

Improve service to the
students and faculty by
reducing fragmentation,
expanding service
hours and developing
training programs in the
evaluation and use of
information resources.
For faculty and students needing access to the libraries’
print resources, the fragmentation of the physical
collections and need for useful bibliographic records as the
teaching and research become more distributed and more
interdisciplinary. Services should be available 24/7,
whether through physical presence or electronic
connection. Libraries should play major role in educating
students in information seeking strategies. With new
technologies and techniques there are opportunities for
librarians to reach out to students, faculty and researchers
and help them to fully utilize the resources that are
available.

Table 1.0 Action plan

6.3 To facilitate intellectual life in the institution

Libraries must be creative partners in the research and teaching process of the
institution. This requires the library to redefine its role and acquire a place of
recognition. In today’s learning environment students and faculty need not only
individual study and work space but also multimedia spaces that allow group of
people to work actively in close proximity to information. Libraries now must provide
easy access to all media and learning tools to facilitate variety of working modes to
the users. By providing both access to media and resources and opportunities for
conversation and collaborative work, the library truly becomes place for active
academic work. Today such space is lacking. The students are looking to the
libraries for space that contributes to quality of life and intellectual growth.

Create space that meets The needs that should be addressed are:
the needs of the
• Secure individual study space
 academic community. • Group study and project space, both quiet and noisy
• Space that is conveniently located
• Exhibition space for displays and to host events
• Space that is accessible and secure with 24/7 with
minimal staffing but with access to resources and
information
• Easy access to library café
• Multimedia space

Create space that meets It is necessary to reassess the present space and redesign
the needs of current and the space slowly with additional construction, if necessary.
future library operations Most independent library buildings on the campuses can be
remodelled to suit to the requirements with future
expansions.

Incorporate appropriate There are many high-end technological advances, such as

emerging information high bandwidth access wireless capability, that are
technologies in to library’s sufficiently expensive to warrant deployment as shared
space. resources. Library’s IT infrastructure should mould into the
university’s IT infrastructure.

Table 2.0 Action plan

6.4 To be a leader among academic institutions

Information Technology has dramatic impact on expectations regarding the definition

and scope of libraries. But unfortunately, the gap between expectations and reality is
vast in the libraries in India.

Advances in information technology focus almost exclusively on new applications

and short and long-term gains. The University libraries have a unique responsibility
for the development of sustainable information technology models for the future. IT
has now created the need for educators and librarians to understand the impact and
potential of the next generation of IT and to ensure that technological advances serve
education and society effectively into the next century.

Create a digital library with partners from industry This helps to address
important problems in applied library and information technologies. The digital library
would focus on the new roles and responsibilities of libraries in the changing
educational environment of higher education. It would address the need of libraries to
 sustain and serve digital publications from variety of sources and would also develop
strategies and tools for managing the digital materials including the e-prints.

A digital library would provide a venue to experiment with new ways of organizing
library services cutting across disciplines, supporting staff exploring new ideas,
addressing technical problems and designing new services. It could also serve as a
training ground for library staff to learn new skills.

Use the best applied technology to enhance user self-service Though present
day technologies may enable the library users to do more on their own, it is not
always simple. There are areas where a desire for self-service is at odds with system
functionality. Technology will be sought that enables the libraries to address self-
service check out and check in and user initiated interlibrary lending and hot links
from within the libraries gateways and online catalogue.

Extend the reach of library staff As technology enables the students, faculty and
researchers to access information from desk tops, they still need access to library
expertise and assistance in using these materials. Live connectivity to library services
could become a characteristic of the University, enhancing the university’s image and
reputation in the scholarly community.

7. Strategies for Collection Development

Collection development is considered as one of the primary tasks for any library and
information centre. It is a dynamic and continuous activity. In order to develop a
balanced, user-oriented and active collection, a well planned and thought out system
has to be evolved by the library and information managers in close association with
the representatives of various user constituencies. Such a system will not only help
develop need based collection but also save money, time and space that would,
otherwise, be wasted on developing irrelevant, outdated, and passive collections.
Some of the strategies followed in building the library collection of typical library are
briefly outlined and illustrated as follows:

7.1 Acquisition Policy

Collection development of all forms of documents like the books, periodicals, CD-
ROMs, audio-visual materials, corporate reports, rare materials, electronic
databases, etc. on a well thought out, instrument in the form of an “Acquisition
Policy”. The policy instrument, discussing various key collection development policy
issues, addresses the following concerns:

- Qualitative collection development

 - Not much of year-end like pressures
- No vendor patronages
- User requisitions/recommendations based collection development.

7.2 Consistency

The consistency of the library growth profile on books and periodicals indicates that
the library has been growing steadily in terms of its core collection, comprising books
and periodicals and also other resources, both print and electronic.

7.3 User Involvement

A library’s holdings are rated better (and user oriented) if most of the acquisitions are
on the basis of user requisitions/recommendations. Towards periodical
subscription/renewal also, the library follows a unique system ensuring user
involvement to the maximum possible extent.

7.4 Competitive Vendor Profile

Library should invite quotations and profile from the authorised suppliers and
vendors. The vendors and suppliers should have standing in the market in terms of
supply, authenticity, delivery on-time.

8. Rational Budget Allocation

Need for rational budgetary allocation assumes significance when financial resources
are limited and competing demands show an increasing trend. Both these aspects
were not a limitation during the initial growth phase of the library. However, things
change over the years. The institution and the library together has to do lot of due
diligence for a comprehensive budget allocation policy. Library committee, with its
membership representing all user constituencies, should pro-actively discuss and
deliberated on the issue and came up with a policy for the purpose. Especially, the
logic followed is that the allocation of budget for acquisition of new books, periodicals
and e-resources is related to the number of faculty members and the number of
courses (core as well selective) taught in particular area and other academic
activities in that area. The budgetary allocation is made in the beginning of each year
for each area, depending on the total budget available for acquisition of reading
materials. Later, a mid-year review is done where the funds likely to remain unused
(if any) in a particular area could be reallocated to other areas where requirements
are likely to exceed the allocation made in the beginning of the year.

9. Strategic Development in Technology

 As libraries and information centres plan strategies for the future, one of the most
important components is developing a strategy that anticipates technological
needs and integrates that into the planning process. Technology is the major force
in changing library and information services today, and it is recognized that it
continues to outpace humankind’s ability to envision how it can be most effectively
used. Additionally, the lifetime of a technological innovation is reduced by the
constant upgrade of both hardware and software. Technology planning, as an
important component in the strategic planning process, helps translate the library’s
vision and mission into options and actions. A reasoned approach to technology
planning would require establishing standards, norms, and methods for evaluating,
purchasing, implementing, and using technology, including hardware, other
equipment, software, and staff training. Assuming that such a plan is already in
place or is progressing simultaneously, a technology component should be
articulated and integrated into the strategic plan.

Experience has shown that such a team-based approach ensures greater success
in technology’s integration into the vision of information services. In the “looking-
around” aspect of the environmental scan and the SWOT analysis, clients,
customers, patrons, users, or other stakeholders and their needs will already have
been identified. Identifying how technology applies in satisfying their needs is
therefore paramount to successful mission accomplishment. Because technology
plays such an important role in information services, planning its integration is
embedded in almost every aspect of strategic planning processes.

10. Strategic Communication and Marketing—A Necessary Tool

Once the strategic plan has been developed, the plan itself can serve as an
important tool for communication and marketing within the community. This
thought will have been built into the plan at the very beginning by involving the
whole community in the planning process and, thereby, encouraging everyone to
buy into the outcome. The strategic planning process has not only identified goals
and objectives but also the means by which the library will accomplish them.
Perhaps the most important component is that of assuring or reassuring
customers that their needs, identified in the process, will be met. That fact is
translated into terms that everyone can understand in a marketing process. This
requires special focus on a communication plan to promote those priorities of
information services. A comprehensive marketing program, of course,
encompasses not just the strategic plan, but because the major components of
“what we are here for” have been identified in the plan, it makes sense to
 extensively market the goals and objectives of the plan, as the showpiece of the
wide range of activities that are involved in meeting the needs of customers and
giving value to those efforts.

Marketing the strategic plan presents the opportunity to move from the “push”
mentality of persuasion to a “pull” mentality of identifying what is needed, a
process that has been carried out in the strategic planning process. It involves all
of the elements already discussed under strategic thinking and planning. For
instance, when thinking about an environmental scan (SWOT, with its PEST
component), a marketing audit would have been included in the community
analysis component. Therefore the marketing audit and planning process must be
bundled together in a single process in order to reach a successful comprehensive
planning outcome.

11. Strategic Plan of Actions - Case Studies

11.1 Case Study: 1

IFLA (International Federation of Library Associations and Institutions)

Background IFLA, the International Federation of Library Associations and

Institutions, is the leading international body representing the interests of library and
information services and their users. IFLA acts as the global voice of the library and
information profession, by:

- Promoting high standards of provision and delivery of library and information

services;

- Encouraging widespread understanding of the value of good library and

information services;

- Representing the interest of its members throughout the world.

To achieve its goals IFLA works in close cooperation with its strategic partners in the
cultural heritage sector, in the scientific world and beyond. IFLA is an independent,
international, non-governmental, not-for-profit member-based organisation,
registered in the Netherlands as a Federation with full legal capacity, as required by
Dutch law.

The role and position of libraries is rapidly changing to match the growing influence of
the Internet, the digitisation of knowledge, and the expanding impact of online social
networking tools. To continue its role as the trusted global voice of the library and
information community, the IFLA Strategic Plan sets out IFLA’s strategic directions
 and goals for 2016-2021. It is a Strategic Plan to guide the governance and the entire
activities of the IFLA organisation.

Vision IFLA is the trusted global voice of the library and information community, and
drives equitable access to information and knowledge for all.

Mission IFLA is the international organisation for library and information

associations, institutions and librarians in the user communities they serve
throughout the world.

To advance the interest of its members IFLA:

- furthers accessibility, protection, and preservation of documentary cultural

heritage;

- supports a library and information profession which anticipates and responds

to the needs of communities worldwide;

- drives high standards in library and information services and professional

practice;

- encourages widespread understanding of the value and importance of high

quality library and information services in the public, private and voluntary
sectors;

- promotes libraries as vital institutions that enhance people’s lives through

equitable access to knowledge and information;

IFLA does this by creating strategic alliances; enhancing professional education;

developing professional standards; disseminating best practices and advancing
relevant scientific and professional knowledge. IFLA will work with its members,
partners and other relevant strategic organisations and governments to fulfil its
Strategic Directions.

Strategic Direction

Libraries in Society
We will developed the library and information services sector
to build literate, informed and participative societies. We will
develop strategies and tools to enable libraries to be key
providers of information, education , research, culture and
social participation

Information and We will build a framework that promotes equitable access to

information and knowledge in any format and in any place.
 Knowledge We will establish the capacity for library to cat as catalyst of
innovation, able to facilitate the creation and reuse of content
by their communities.

Cultural Heritage
We will support the library and information services sector
and work closely with our network of culture heritage
partners to safeguard cultural heritage in its diverse forms,
including traditional, historical, indigenous and contemporary
expression, and to achieve optimal coordination of our
cultural heritage activities.

Capacity Building
We will establish the capacity to raise the voice of the library
and information services sector at national, regional and
global levels. We will develop an advocacy agenda and
strengthen the ability of IFLA’s members to advocate
effectively for libraries as key players in political, economic
and social change.

Scope of the IFLA Strategic Plan This strategic plan sets out IFLA's strategic
directions and goals for 2016-2021. It aims to guide the governance and activities of
the IFLA organisation. For 2016-2021, the IFLA Governing Board has set out four
Strategic Directions:

- Libraries in Society
- Information and Knowledge
- Cultural Heritage
- Capacity Building

The four Strategic Directions of our Plan will be progressed through a set of Key
Initiatives and Activities, which will be updated every two years.

11.2 Case Study: 2

Goldsmiths, University of London (Strategic Plan 2010-2019)

Mission The Library exists to provide access to the information resources needed by
students and staff in the formats they can use at the times and places they want to
use them.

Strategic objectives

- To support learning and teaching and enhance the student experience

 - To support research, including the REF
- To engage with the local community
To ensure that appropriate services are delivered efficiently and cost effectively

1. Support for 1.a Continue to provide information resources (books, journals,

Learning and audiovisual items, databases, special collections) relevant to
Teaching taught courses.

1.b Where possible to provide resources in digital format

1.c Raise students’ awareness of other libraries that they could

use to support their learning

1.d Continue to provide library induction and information skills

training, by various means, integrating this where possible
with coursework

1.e Continue to support language learning and teaching

1.f Continue to improve the building to provide varied study spaces

and other facilities to support learning

2. Support for 2.a Provide better access to information resources, in conjunction

Research with other libraries

2.b Acquire and catalogue special collections relevant to research

2.c Build partnerships with academic departments and cultural

bodies in order to participate in research and resource
enhancement projects

2.d Continue to manage the institutional repository and support the

Research Excellence Framework

2.e Continue to manage intellectual property rights and digitisation

services

3. Community 3.a Continue to work with the academic departments to support

engagement students

3.b Continue to work with the team on workshops

3.c Continue to offer work placements for LIS students and school
students
 3.d Continue to offer bursaries and prizes linked to special
collections

3.e Offer opportunities for continuing professional development to

artists

3.f Set up a programme of exhibitions open to the public

4. Efficiency

4.a To provide suitable access to information resources and other

shared services for students and staff

4.b Update systems to improve services and take advantage of

new technologies

4.c Survey library users regularly to ensure that services are

relevant to their needs

4.d Market services to targeted groups of users to ensure take up

and enhance reputation of Goldsmiths

4.e Review processes systematically to eliminate waste

4.f Improve shelving of books (both speed and accuracy)

4.g Maintain a high standard of customer service.

11.3 Case Study: 3

Victoria University

Mission Victoria University Library is integral to the University’s mission to positively

transform lives through the power of education and research by enabling access to
quality information, providing excellent learning spaces and services, and supporting
the University’s research activities.

Vision Over the next five years Victoria University Library will remain integral to the
University’s mission by:

- Positioning the Library’s information resources and services in an expanding

digital world to meet the changing needs of students, teachers and
researchers
- Harnessing technologies that enable users to more simply and effectively
discover the information they require
 - Re-conceptualising virtual and physical learning spaces to support modern
pedagogies
- Developing more effective student centred services through the innovative
use of technologies
- Increasing its partnerships with faculties, departments and external bodies to
support learning and research
- Creating dynamic organisational structures and refreshing staff capabilities
Library

Strategies

Partnering to The Library will:

support student • Embed Library services and information resources in the
learning University’s Learning Management systems and in internet
based learning communities
• Extend the range of electronic information resources to
support contemporary student learning and move further
away from the focus on print collections
• Improve navigation of the Library web pages and simplify
searching of the Library’s online resources to maximise
easy access to relevant, high-use electronic resources
• Tailor initiatives to support the learning needs of the
University’s diverse student groups and course options and
engage with students by providing opportunities for student
employment
• Develop flexible learning spaces and grow Learning
Commons partnerships to foster a sense of community for
students
• Employ strategies to meet the planned growth in student
numbers and the consequences for space, computer
access, resource management, information resources and
services

Partnering to build The Library will:

research • Provide and regularly assess research information
resources so they align with VU’s changing research
strengths and priorities
• Support research students at all stages of the lifecycle of
 their research degree in collaboration with the Office of
Postgraduate Research
• Engage as a partner with the Office for Research in
developing and supporting initiatives related to the
management, preservation and retrieval of research
publications and data
• Position the Institutional Repository platforms to integrate
with the University’s scholarly publication cycle in order to
enable wider public access to University research output
• Partner with researchers in e-research programs and data
management initiatives and strategies.

Partnering with the The Library will:

University • Work with faculties to develop blended learning programs
that embed information seeking and management skills
with particular emphasis on the best practice use ofe-
learning .
• Collaborate with faculties to streamline the identification
and acquisition of up-to-date information resources and
review and promote awareness of its existing electronic
andprint resources

• Develop and foster policy initiatives that facilitate good

governance practices around copyright, the VU art
collection, publications and data management

• Facilitate partnerships with University corporate service

areas and contribute to the work of major University
committees to implement University strategies.

Partnering with The Library will:

industry and • Develop information service initiatives with partnered
communities organisations in alignment with the University’s
engagement framework with a special focus on the other
libraries inthe western region of Melbourne
• Continue to work with the University to explore
opportunities to expand services for VU Alumni
• Deepen and extend strategic relationships and
partnerships with other libraries, representative groups and
 professional and related associations, including consortia
to add value to VU Library services

Partnering with • The Library aims to work with its staff to be more agile and
Library staff dynamic and put in place the skills and organisational
structures required to meet future needs to attract, develop
and retain staff.
• Establish an organisational structure which aligns with the
Library’s strategic plan and achieves its objectives and
which has the flexibility to evolve and adapt to meet new
needs, processes and strategic priorities
• Identify areas of skills and knowledge required to meet the
needs of the future; then select, develop, and train staff
with the skills required to enable the Library to achieve its
strategic objectives
• Develop roles to foster a culture of collaboration, flexibility
and innovation within a supportive environment that
rewards the endeavours of staff.

12. Example

An example of a typical strategic library plan in the current scenario is given below:

Mission The Library exists to provide access to the information resources needed by
all stakeholders in the formats they can use at the times and places they want to use
them.

Strategic objectives

- To support learning and teaching and enhance the student experience

- To support every academic activated and also research and development of the
organisation
- To engage with the local community
- To ensure that appropriate services are delivered efficiently and cost effectively

Support for Learning and Teaching

- Continue to provide information resources (books, journals, audio visual items,

databases, special collections) relevant.
- Where possible to provide resources in digital format
- Raise awareness of libraries services, and products that they could use to
support their learning
 - Continue to provide library induction and information skills training using
information literacy programmes, by various means, integrating this where
possible with academic work
- Continue to support language learning and teaching
- Continue to improve the building to provide varied study spaces and other
facilities to support learning

Support for Research

- Provide better access to information resources, in conjunction with other

libraries
- Acquire and catalogue special collections relevant to research
- Build partnerships with academic departments and cultural bodies in order to
participate in research and resource enhancement projects
- Continue to manage the institutional repository and support the Research
Excellence Framework
- Continue to manage intellectual property rights and digitisation services

Efficiency

- To provide suitable access to information resources and other shared services

for students and staff
- Update systems to improve services and take advantage of new technologies
- Survey library users regularly to ensure that services are relevant to their needs
- Market services to targeted groups of users to ensure take up and enhance
reputation of the organisation vis-à-vis library
- Review processes systematically to eliminate waste
- Improve shelving of books (both speed and accuracy)
- Maintain a high standard of customer service

13. Summary

Strategic planning is an organization's process of defining its strategy, or direction,

and making decisions on allocating its resources to pursue this strategy. It may
also extend to control mechanisms for guiding the implementation of the strategy.
Strategic planning became prominent in organisations during the 1960s and
presents in libraries and information organisations too it remains an important
aspect of strategic management.

In this module/unit, you have learnt the need for strategic planning in libraries.
Every modern library requires the strategic planning process. The levels and steps
 of strategic planning have also been covered. Key factors in the prevailing
environment influence the library planning. Definite strategies are required for
collection development, budget allocation and develop marketing strategies.
Lastly, strategic plans of action in the form of case study and an example of library
planning in the current scenario have also been outlined.

14. References

1. Donald E. Riggs. Strategic Planning for Library Managers. Phoenix, AZ:

Oryx Press, 1984.
2. Charles B. Lowry. When’s This Paradigm Shift Ending?Portal: Libraries and
the Academ y, 2 (3), 2002, vii-xiii.
3. Alam, Aftab. (2004). E learning: emerging issues and prospective trends.
Prajana, 6 (2), 17-20.
4. Anandan, C &Gangatharan, M. (Eds). (2006) Digital libraries: from technology
to culture. Delhi: Kanishka.
5. Prasher, R.G. (1993). Developing libraries collection. New Delhi: Medallion.
6. Raina, R. (1999). TQM in library and information services. New Delhi: Infuse,
p.30-40.
7. Henry Mintzberg.The Rise and Fall of Strategic Planning (Upper Saddle
River,NJ: Prentice - Hall, 1994), 333.
8. Stuart Wells, “To Plan, Perchance, to Think; Aye, There’s the Rub,”
Information Outlook 5 (September 2001): 10-11.
9. Edward R. Johnson, “Academic Library Planning, Self-Study, and
Management Review,” in Charles R. McClure, ed., Planning for Library
Services (New York: Haworth Press, 1982), 72.
10. Arthur Langley, “The Role ofFormal Strategic Planning,” Long Range
Planning2 (1988): 48.
11. Benjamin B. Tregue and John W. Zimmerman, “Strategic Thinking,”
Management Review 68 (February 1979): 10-11.
12. Richard Cyert, “Designing a Creative Organization,” in Handbook for Creative
Managers (New York: McGraw-Hill, 1988), 186.
13. Peter M. Senge, The Fifth Discipline: The Art & Practice of the Learning
Organization (New York: Doubleday, 1990).
14. Miami University Library. Preserving the Past, Embracing the Future. 2000-
2004 Strategic Plan. www.lib.muohio.edu/libinfo/strategic/Intro.html.
15. California State University Northridge-Strategic Plan
www.library.csun.edu/susan.curzon /stratpln.html.
16. University of Iowa Libraries-Strategic Plan 2000-2004 (rev. A'larcH 2001
www.lib.uiowa .edu/admin/strategic-plan.html.
17. Peter F. Drucker, Management: Tasks, Responsibilities, Practices (New
York: Harper & Row, 1974), 121-22.
18. George S. Odiorne, Management by Objectives{ New York: Fearon-Pitman,
1965), 55-56.
19. Oren Harari, “Ten Reasons TQM Doesn’t Work,” Management Review 38
(January 1997): 38-44.
20. Tom Peters, “Strategic Planning,” Total Quality 5 (October 10, 1994): 1.
21. Carla J. Stoffle, et al., “Choosing Our Futures,” College and Research
Libraries 57 (May 1996): 213-33.
22. Richard DeGennaro, “Library Administration and New Management
Systems,” Library Journal 103 (December 15, 1978): 2480.
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 14 Operations Research

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs Renu Arora

Content Writer Former Head, Education and Training, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 14

OPERATIONS RESEARCH

I. Objectives

The objectives of the unit/module are to:

- Describe the need, purpose and role of Operations Research (OR) in an information
organisation;
- Get an insight into the OR development process;
- Explain the advantages and disadvantages of OR; and establish role of OR in
Libraries and information organisations.
II. Learning Outcomes
After going through this unit/module, you would learn the meaning, characteristics, the
significance and need of operations research in libraries and information centres. You
would also learn about operations research development process; advantages and
disadvantages of operations research. The six steps of operations research include:
formulating the problem, constructing the model, deriving a solution of the problem
from the model, testing, implementing and finally the feedback for improvement.

III. Structure

1. Introduction
2. History of OR
2.1 OR in Libraries and Information Organisations
3. Operations Research (OR)
3.1 Concept
3.2 Definition
3.3 Why Libraries need OR?
4. Characteristics of OR
5. OR Process
5.1 Mathematical Model
6. Application of OR in Library/Information Organisations
7. Advantages of OR
8. Disadvantages of OR
9. Summary
10. References

1. Introduction

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 An operation is a pattern of activity of men and machines, engaged in carrying out a
cooperative and usually repetitive task, with pre-set goals and according to specified
rules of operation. The scientific study of operations is called operations research
(OR).

Libraries and information organisations, like any other organisation require

competent management. The present day libraries are complex systems and require
sophisticated management. Operations research is an important management tool
which can aid the library managers in effectively using all available resources. OR,
having a set of analytical tools enables researchers to understand library and
information activities and services in a better manner.

Operations research is a branch of applied mathematics that helps in making better

decisions given resource constraints. This field first emerged during World War II and
has evolved to encompass numerous analytical techniques. Areas that lend
themselves to OR techniques besides the library and information organisations are
manufacturing, logistics (especially airlines), health care and materials transportation.
The right technique when applied to real-life problems can deliver significant values
and insights to planners and policy makers who have to make decisions.

Operational Research (OR) looks at an organisation's operations and the functions it

exists to perform. The objective of Operational Researchers is to work with users to
find practical and pragmatic solutions to operational or strategic problems.

2. History of OR

Operations Research started just before World War II in Britain with the
establishment of teams of scientists to study the strategic and tactical problems
involved in military operations. The objective was to find the most effective utilisation
of limited military resources by the use of quantitative techniques. It was adopted by
the industry after the World War II. The initial applications of operations research to
industry were extensions of those applied to the military, and the results in the private
sector were mixed. The objective was to find the most effective utilisation of limited
military resources by the use of quantitative techniques.There were, however,
enough successes to draw attention to the field.By the mid-1950s, operations
research had received considerable publicity, and it soon became a familiar phrase in
the vocabulary of management.

During the 1960s, operations research was introduced in universities as part of

course on industrial engineering or management. It was found that in many respects,
operations research was similar to ‘scientific management,’ which had earlier been

2
 pioneered by Fredr- ick Taylor, Frank and Lillian Gilbreth, and many others.
Management schools too followed suit and incorporated operations research into
their curriculum

After the 1990s, OR has grown to a large extent due to wide use of computers in
organisations as it has become very easy to prepare mathematical models with the
help of computers. Manufacturers used operations research to make products more
efficiently, schedule equipment maintenance, and control inventory and distribution.
And success in these areas led to expansion into strategic and financial planning and
into such diverse areas as criminal justice, education, meteorology, and
communications.

India, after it got independence, was one of the first countries to start utilising
operations research. CSIR’s Regional Research Laboratory at Hyderabad in 1949
established the first Operational Research Unit in the country. Similarly at the same
time, the Defence Science Laboratory set up a unit to take care of its planning, stores
and purchase issues. The Indian Statistical Institute, Calcutta established an
Operations Research Unit in 1953. The Operations Research Society of India was
setup in 1955. Presently, the utilisation of OR techniques is in many government
departments, military operations, industry, etc. A large number of universities in India
are also offering formal degrees in operations research.

2.1 OR in Libraries and Information Organisations

The application of operations research methods in libraries started in the early 1960s.
Philip M. Morse at the Massachusetts Institute of Technology (MIT) was first one to
develop interest in libraries. He used the library of MIT as a convenient laboratory for
student projects in the operations research program

The National Science Foundation was one of the first foundations that supported
much of the early work in the United States and was the major factor in influencing
operations researchers to address the problems of libraries.

The early efforts focused on traditional areas of library operations, particularly those
that required a minimum understanding of library science. The work at Purdue began
in 1962 with an internally funded operations research study of the university’s
libraries. Later, the work received funding from the National Science Foundation. An
important feature of the Purdue work was the extensive involvement of the librarians.

3
 The work done by the Leimkuhler group at Purdue was probably the most significant,
both in terms of impact, size and duration. The Industrial Engineering School at
Purdue had a good working relation- ship with the Purdue University Libraries.

The activities at Purdue continued to expand in the late 1960s, eventually touching
on almost all aspects of library operations. The scope of the research activity ranged
from course projects to doctoral dissertations. Leimkuhler identified a dozen
operations research theses completed at Purdue by 1971 which related to libraries.

Activities at other institutions followed the general pattern observed at Purdue.

Starting in the early 1960s, there was a decade full of library activity. By the end of
the period, most aspects of library operations had been investigated.

The study of library operations research started changing in the early 1970s. By 1975,
most of the research activity had shifted from operations research units to libraries or
library schools. Most of the library schools started including operations research in
their curriculum. As librarians and information scientists started applying operations
research methodology, it became more difficult to distinguish operations research
studies from other quantitative library research. By the mid-l970s, bibliometrics
became an accepted term to describe quantitative research on libraries. Much of the
research which would have been called operations research in the 1960s was called
bibliometrics by the late 1970s.Bibliometrics, however, did not replace the library
operations research and the trend to apply operations research in libraries has been
continuing since then.

3. Operations Research (OR)

Operations are activities carried out in an organisation. Research is the process of

observation and testing characterized by the scientific method. And,Operations
Research (OR) is the use of advanced analytical techniques to improve decision
making. It is sometimes known as Operational Research, Management Science or
Industrial Engineering. People with skills in OR hold jobs in decision support,
business analytics, marketing analysis and logistics planning – as well as jobs with
OR in the title. It is the field of how to form mathematical models of complex
management decision problems and how to analyze the models to gain insight about
possible solutions.

By using techniques such as mathematical modeling to analyze complex situations,

operations research gives managers the power to make more effective decisions and
build more productive systems based on:

4
 - More complete data
- Consideration of all available options
- Careful predictions of outcomes and estimates of risk
- The latest decision tools and techniques

3.1 Concept

An operation research (OR) is an analytical method of problem-solving and decision-

making that is useful in the management of organizations. In operations research,
problems are broken down into basic components and then solved in defined steps
by mathematical analysis. The model-based OR approach to problem solving works
best on problems important enough to warrant the time and resources for a careful
study.
A common misconception held by many is that OR is a collection of mathematical
tools. While it is true that it uses a variety of mathematical techniques, operations
research has a much broader scope. It is in fact a systematic approach to solving
problems, which uses one or more analytical tools in the process of analysis.
Perhaps the single biggest problem with OR is its name to a layperson, the term
‘operations research’ does not convey any sort of meaningful image of the concept.

3.2 Definition

Operations research, operational research, or simply OR, is the use of mathematical

models, statistics and algorithms to aid in decision-making. It is most often used to
analyze complex real-world systems, typically with the goal of improving or optimizing
performance. It is one form of applied mathematics.

OR is defined as the application of mathematical techniques, models, and tools to a

problem within a system to yield the optimal solution.

Another definition of Operations Research (OR) in the context of library and

information organisations is that it is an analytical method of problem-solving and
decision-making that is useful in the management of organizations. In operations
research, problems are broken down into basic components and then solved in
defined steps by mathematical analysis.

Analytical methods used in OR include mathematical logic, simulation, network

analysis, queuing theory, and game theory. The process can be broadly broken down
into three steps.

1. A set of potential solutions to a problem is developed.

5
 2. The alternatives derived in the first step are analysed and reduced to a small set
of solutions most likely to prove workable.

3. The alternatives derived in the second step are subjected to simulated

implementation and, if possible, tested out in real-world situations. In this final
step, psychology and management science often play important roles.

From the above definitions, it can be concluded that Operations Research orOR is
the field of:
- how to form mathematical models of complex management decision problems,
and
- how to analyze the models to gain insight about possible solutions

In other words, operations research is the discipline of applying advanced analytical

methods to help make better decisions in all kinds of organisations. It can be
described as a scientific approach to decision making that involves the operations of
an organised system as the name implies, operations research involves ‘research on
operations’. This refers to both the approach and the area of application of the field.
Thus OR is applied to problems that concern how to conduct and coordinate the
operational activities within an organisation.

3.3 Why libraries need OR?

Due to rising costs, shrinking budgets and available technologies, the modern
libraries want to make the best use of available resources. The modern computer
and communication technologies have increased need for information requirements
and the present day library users expect high-quality library products and services
whenever and wherever they need them. Library organizations, whether public or
private, need to provide these products and services as effectively and efficiently as
possible. This requires careful planning and analysis, in other words, the hallmarks of
good operations research (OR). This is usually based on process modelling, analysis
of options or mathematical modelling.

OR has been successfully applied to the library and information science field. It is
due to the fact that it is a problem-solving activity which is capable of developing new
techniques as and when a situation demands, OR is applicable not only to the routine
problems but also to strategic and operational planning and problems of design in
organisations. Although considered to be one of the best decision-making and
monitoring techniques of management, it is a constraint, that is, it can be applied to
situations where it is possible to construct mathematical models.

6
4. Characteristics of OR

OR approaches problem solving and decision making from total system’s perspective.
It does not experiment with the system itself but constructs a model of the system
upon which to experiment. The essential characteristics of operations research are:
- It adopts a systems approach
- There is use of interdisciplinary teams
- Application of scientific methods
- Uncovering of new problem
- Use of mathematical models
- Helpful in improving quality of the solution
- Goal-oriented optimum solution
- Improvement of quality of decisions
- Use of computers
- Quantitative solutions, and
- Human factor

In the context of libraries and information organisations, some other characteristics of

operations research are:

- addresses specific problems within specific programs

- deals with problems that are under control of library professionals
- uses systematic procedures for data collection and evidence generation

5. OR Process

The approach to operations research is that of the scientific method. The process
begins by formulating the problem, constructing the model, deriving a solution of the
problem from the model, testing, implementing and finally the feedback for
improvement. The steps of the OR processes are:

a. Formulating the problem.

b. Constructing a mathematical model to represent the system under study.

c. Deriving a solution from the model.

d. Testing the model and the solution derived from it.

e. Establishing controls over the solution.

f. Putting the solution to work, i.e., implementation.

g. Feedback

7
 Fig.1: Phases of an OR Process

These steps vary in complexity from problem to problem. In some applications the
formulation may be very difficult; in others, the model construction may be the most
complex step. The phases of the OR process are described below.

Formulating the problem is one of the most difficult steps for library operations. This
step requires that the objective be stated in measurable terms, defining the system
and identifying any constraints. While operations researchers can assist, formulating
the problem is primarily the responsibility of the librarian.

The construction of the mathematical model and the derivation of its solution are the
areas in which the operations researcher can contribute the maximum. The
knowledge of operations research is vital to these steps. A variety of general models,
such inventory, queuing, linear programming, simulation, networking, and scheduling
have been used extensively. An extensive literature covering both theory and
practice exists for these models. The model construction and solution should be
performed by an expert operations research practitioner for most of the models. The
simple models can construct by the librarian, in case he/she has some training or
experience in operations research.

The next step requires testing the model and its solution. This requires close
cooperation between the librarian and the operations research practitioner. A model
is usually never more than a representation of reality. A good model is one that can
accurately predict the essential aspects of the system. The best method of testing the
model is the librarian’s intuition as it is usually based on experience and thus can be
valuable. Otherwise, there are a variety of technical methods for testing. If the results
do not appear to be right, they should be carefully re-examined before acceptance.

8
 After this, controls over the solution need to be established. Any solution is valid only
as long as there are no significant changes. When conditions change, the solution
must be re-evaluated. For example, in a college library, if the price of certain course
books, not demanded by most students, is very high, then buying multiple copies
may no longer be the best strategy.

Implementation of the results is the final step in the process. If major changes are
required, this can be a difficult step, one that may be met with some resistance. It is
important that everyone involved in the project, including the librarian, the library staff,
the operations researchers, and the management of the library should participate in
the implementation.

The steps discussed above are seldom changed and have to be followed in the order
as presented. Furthermore, these steps may take place simultaneously. In many
projects, for example, the formulation of the problem is not completed until the project
itself is virtually completed. There is usually a continuous interplay between these
steps during the research.

5.1 Mathematical model

A model may be defined formally as a selective abstraction of reality. This definition

implies that modelling is the process of capturing selected characteristics of a system
or a process and then combining these into an abstract representation of the original.
The main idea here is that it is usually far easier to analyse a simplified model than it
is to analyse the original system, and as long as the model is a reasonably accurate
representation, conclusions drawn from such an analysis may be validly extended to
the original system.

Models are classified by their types, functions, dimensionality, purpose, subject and
degree of abstraction. The basic types include- physical, diagrammatic and
mathematical models. In operations research, the mathematical models are prepared
for situations. The mathematical models are the representation of real situations (or
aspects) using algebraic variables in terms of figures, symbols, mathematical
equations or inequalities to represent relations or limitations respectively. These
models include - linear programming, inventory, organizational charts or the income
statements of the organisation.

The main step in the operations research methodology is the model. As mentioned
above, a model is an abstraction, a thought, and provides framework for analysis of a
system. Operations research uses mathematical models to describe, represent, and
imitate aspects of a system’s behaviour. Mathematical models, which are highly

9
 abstract representations, often give librarians the feeling that these models are quite
remote and alien.

The construction of the mathematical model and the derivation of its solution are the
areas in which the operations researcher is most competent. A large portion of
operations research education is devoted to these steps. A variety of general models,
such as inventory, queuing, linear programming, simulation, networking and
scheduling have been used extensively. Unless the librarian has had some training in
operations research, the model construction and solution should be performed by a
competent operations research practitioner for all but the simplest models.

6. Application of OR in Library/Information Organisations

The present day library and information organisations have been significantly
affected by operations research. OR has been successfully applied to those library
activities that can be quantified. Modernisation of information organisations requires
conducting thorough study of existing resources and facilities, which is a costly
commitment. Besides this, there are several management problems requiring proper
decision- making process. For all such tasks, operations research has been found to
be the best possible controlling and feedback mechanism.

Let us take as an example some typical problems of library organisations and

examine them in the context of operations research. Some such problems in library
organisations are:

a. Collection building

The library staffs carrying out book selection activity in all types of libraries uses their
skills and expertise to select relevant items from publishers’ lists. This is done all the
time in libraries all over the world. This activity, however, rests on problematic
foundations. Disregarding the selector’s strongly held belief in the desired effect of
his work, how is the relevance of the selected books carried out by selectors
confirmed?

b. Online database searching

Personnel carrying out online searches in all types of libraries use their skills and
subject expertise to select relevant items from online databases. There is something
problematic about this activity. Disregarding the online searcher’s strongly held belief
in the power of computation, how do we demonstrate that relevant items were
retrieved?

c. Assisting users in finding information

10
 The reference librarians, all the time answer questions by supplying relevant
information. But this too is problematic. Disregarding the reference librarian’s strong
belief in providing answers in interest of the users how is the relevance of the given
answers proven?

In addition to the above three examples, given below are some practical problems
and areas of investigation in libraries and information organisations. These problems
are related to inventory, allocation, queuing, sequencing, routing, replacement and
search of resources, services, procedures and personnel of libraries. Few areas
where operations research may play a part are:

- Long term planning

- Manpower and career planning
- Resource allocation
- Variable loan policies
- Modernisation of library activities
- Weeding policy
- Marketing of information products and services
- Resource sharing and networking
- Investment on new facilities

By constructing appropriate mathematical models, the above problems in libraries

can be solved. By using techniques like mathematical modelling to analyse such
library situations, operations research gives library professionals the power to make
more effective decisions.

This also helps to build efficient library systems based on:

- Complete resources, more information resources and complete data

- Consideration of all available options for providing services to users
- Careful predictions of outcomes and estimates of risk
- The latest decision tools and techniques

OR is therefore a uniquely powerful approach to planning and decision makingin

library and information organisations.

7. Advantages of OR

There are many advantages of applying operations research in library and

information organisations. Some advantages are:
a. The information specialist is able to evaluate the various available routes for
preparing the particular products especially the most feasible and practical one.

11
 b. Tries to derive the maximum output with the minimum possible input.
c. Operations research is very beneficial to the information organisations for
deciding what :
• Information products/services are to be offered
• the quantities
• the methods of prepared
• which employees to engage in the preparation processes, and
• the marketing activities required for the produced products and services

d. Operations research is based upon collected information, knowledge and

advanced study of various factors impacting a particular operation. This leads to
more informed decision making.

e. Finer-tuned Control of Operations- Use of quantifiable means easily reveals the

strengths and weakness of the information organization. This ensure more and
better control over various operations, thereby helping the library in-charge to
manage the library more effectively.

f. Cost Reduction, as better decisions and increased control over library operations
can reduce organizational costs. However, operations research can help reduce
costs in other ways.

g. Team Unification - Because operations research takes an intelligent and

quantifiable look at the internal operations of the organization, there is a strong
foundation for making unified decisions regarding operations.

8. Disadvantages of OR

Operations research has plenty of advantages but there are a few disadvantages too.
The limitations of OR are more related to the problems of model building, time and
money factors.These are discussed below.

a. The main limitation of operations research is that it often ignores the human
element in the production process. This approach is technology driven and
does not take into account the emotional factors and absenteeism of the
employees. Implementation of decisions involves human relations and
behaviour. Also there is a wide gap between the managers and the operation
researchers.
b. Involves Time and Cost - Operations research is very costly. An organization
needs to invest time and effort into OR in order to make it effective. The
organization must hire a team of professionals to conduct constant research.

12
 Due to technological developments, scenarios change very rapidly and
employees must keep reviewing all the scenarios that are under the purview of
OR.
c. Analysis of Only Quantifiable Factors - OR can evaluate only the effects of
numeric and quantifiable factors. It does not consider the complexities involved
with humans and their behaviors. For example, OR may compute a time by
which the ultimate product should be ready. However, because it does not allow
room for employee absenteeism, the production schedule may suffer
tremendously if there is a lot of absenteeism from work.
d. Disconnected From the Real Conditions - The results of OR are often academic
in nature. Their application and integration in real life situations may not be
feasible or practical. The analyst conducting the research is usually a
mathematician who is not well versed in actual library scenarios, i.e., he may
compute results that are idealistic in nature. Because the real world situation is
very different, the OR results may lose their charm and importance.
e. Overdependence on Computers - Operations research depends heavily on
systems and computing techniques. It does not take into account the intangible
elements involved in running a library. For example, OR may compute the
optimum solution for library automation. However, there is an import problem
related to computer systems and the library does not get its supplies on time.
This disturbs the process of library automation but OR does not allow room for
these kinds of problems.

9. Summary

The application of operations research to libraries has been similar to the

applications of operations research to social services. The theoretical work done in
this area in thepast years has been very significant and has led to a better
understanding of both libraries and library users. Operations research has become
an established part of library science education. And, while the impact on library
operations has been significant, it has had a major impact on library education.

In this unit/module , we have traced the history of operations research as seen in

libraries and information organisation. In libraries, significant efforts to apply OR
during the 1960s and 1970s were carried out.

Operations Research deals with decision problems by formulating and analyzing

mathematical models – mathematical representations of pertinent problem
features.Operations research has been defined as the aim to provide a rational basis

13
 for decision making by seeking to understand and structure complex situations and to
use this understanding to predict system behavior and improve system performance.

The six steps of OR are formulating the problem, constructing the model, deriving a
solution of the problem from the model, testing, implementing and finally the
feedback for improvement. The need for constructing a model has also been
explained.

OR has been successfully applied to those library activities that can be quantified.
Modernisation of information organisations requires conducting thorough study of
existing resources and facilities, which is a costly commitment. Besides this, there
are several management problems requiring proper decision- making process. For all
such tasks, operations research has been found to be the best possible controlling
and feedback mechanism. Lastly, advantages and disadvantages of OR are
explained in detail.

10. References

1. Adeyemi, N. M. Library operations research-purpose, tools, utility, and implications

for developing libraries. 1977, Libri, 27(1), 22-30.
2. Arora, Renu. Monitoring and Control Techniques. In MLI-102, Part I, MLIS Course,
IGNOU, New Delhi. 2005. P.156-180.
3. Alimohammadi, Dariush. Operations Research for Library and Inform ation
Professionals. New Delhi: EssEss Publications. 2001. 112 p.
4. Bommer, M. Operations research in libraries: a critical assessment. Journal of the
American Society for Information Science, 1975, 26.
5. Caywood, T.E., ed. Guidelines for the Practice of Operations Research. Operations
Research 19(Sept. 1971):1138.
6. Leimkuhler, Ferdinand F. Operations Research: Applications to Library Management.
In Library Research Round Table: 1977Research Forums Proceedings, edited by
Charles C. Curran, p. 114, fn. 1. Ann Arbor, Mich.: University Microfilms, 1979.
7. Mittal, K.V. and Chander, Mohan. Optimization Methods in Operations Research and
Systems Analysis. Delhi: New Age International. 2008. 404 p.
8. Morse, Philip M. Library Effectiveness: A Systems Approach. Cambridge, Mass.: MIT
Press, 1968.
9. Rardin, Ronald L. Optimization in operations research. New Jersey: Prentice Hall,
1998. 919 p.
10. Taha, H. A., Operations Research. New Jersey: Prentice Hall. 1997.

14
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 15 Operational planning techniques (Use of
planning tools like Gantt chart, PERT/CPM)

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs Renu Arora

Content Writer Former Head, Education and Training, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE-15

OPERATIONAL PLANNING TECHNIQUES (USE OF PLANNING TOOLS LIKE

GANTT CHART, PERT/CPM)

I. Objectives

The objectives of this unit/module are, to:

- Introduce the concept of operational planning

- Discuss different operational planning techniques

- Explain the importance of Gantt Charts in operational planning

- Elucidate the techniques of network analysis with special focus on PERT and
CPM

II. Learning Outcome

After going through this unit/module you would learn that operational planning is day-
by-day and month-by-month planning for what an organisation is doing. You would
learn the need for operational planning in libraries; various operational planning
techniques; role of Gantt Charts in operational planning; network fundamentals;
network diagram with PERT/CPM, and difference between Gantt Charts and
PERT/CPM.

III. Structure

1. Introduction

1.1 Strategic planning vs. operational planning

2. Operational Planning

2.1 Project graphics

2.2 Techniques of Operational Planning

3. Gantt Chart

3.1 Use of Gantt Charts as a tool

3.2 Drawing a Gantt chart

3.3 Advantages and Disadvantages

4. Network Analysis

4.1 Use of Network Analysis as a Tool

4.2 Process of Network Analysis

 4.3 Techniques of Network Analysis

5. PERT/CPM

5.1 Developing a Network

6. Difference between Gantt Charts and PERT/CPM

7. Summary

8. References

1. Introduction

Planning is determining what needs to be done, by whom, and by when in order to

fulfil one’s assigned responsibility. Planning varies at each level of the organisation.
At the functional level, planning must include agreement on purpose and coordination
of work activities.

Operational planning is the day-by-day and month-by-month planning for what an

organisation is doing. The strategic planning on the other hand determines the entire
direction of an organisation, including what it is not doing but should be doing. The
two forms of planning must be integrated, but must not be confused.

Plans are sets of goals and ways to attain them. Without a plan, managers and their
subordinates may not be able to achieve their goals or even know when they have
deviated from the right path. Strategic plans are those established to meet an
organization’s extensive goals. On the other hand, operational plans are those that
contain fine points for executing or implementing, those strategic plans in everyday
activities.

1.1 Strategic planning vs. operational planning

Planning can best be described as the function of selecting the organisational

objectives and establishing the policies, procedure and programmes necessary for
achieving them. Also referred to as long-range planning, the term "strategic planning"
expresses the analytic and comprehensive elements of planning in libraries and
information organisations.
The strategic plan aims to focus on a library’s vision and priorities in response to the
changing environment. These plans also ensure that staffs of the library are working
toward the same goals.

Operational planning on the other hand may be described as establishing a

predetermined course of action with a forecasted environment and its requirements
set the major milestones. If the library managers cannot commit because the
 milestones are perceived as unrealistic, the operational manager may have to
develop alternatives, one of which may be to move the milestones. Top management
must be involved in the selection of alternatives.

2. Operational Planning

An operational plan is necessary to ensure that the activities of the library and its
services are focused on achieving the priorities and goals identified in the strategic
plan. The plan should reflect the following:

- a focus on services to users

- implementation of the priorities and goals of the strategic plan
- formation of operational elements of the agreed strategies
- development of clearly identified goals with manageable and achievable time
frames
- definition of achievable outputs for the level of inputs
- participation of library staff who carry out the activities
- allocation of responsibility to identified staff members for achieving outputs
- a schedule for monitoring, evaluating and revising the plan at regular intervals,
if needed

Operational planning must be systematic, flexible enough to handle unique activities,

disciplined through reviews and control and capable of accepting multi-functional
inputs. Successful operational managers realise that operational planning is a
repetitive process and must be performed throughout the span of the plan. One of
the objectives of operational planning is to completely define all work required so that
it is readily identifiable to all concerned.

Poor operational planning leads to:

- Plan initiation without defined requirements

- Wild enthusiasm
- Disillusionment
- Chaos

2.1 Project graphics

A project is a plan, proposal or a scheme with a set of interrelated tasks to

be executed over a fixed period and within certain cost and other limitations. In other
words,it a temporary endeavour undertaken to create a unique product or a service.

This definition highlights some essential features of a project, which are:

 - it is temporary - it has a beginning and an end, and
- it is "unique" in some way.

With regard to the use of the term unique, it refers to non-repetitive or non-routine, for
example, automating the very first library was a project, running an automated library
now is a repetitive/routine process, not a project.

In India, we have some major projects in real-life, e.g., the Delhi Metro
Rail, Mumbai's Eastern Freeway, Chenab Bridge, New Swanky Double Decker
Express Trains, Yamuna Expressway, etc.

Typically all projects have to be broken down into:

- separate activities (tasks/jobs) - where each activity has an associated

duration or completion time (i.e., the time from the start of the activity to its
finish), and
- precedence relationships - which govern the order in which we may perform
the activities, e.g., in a project concerned with building a house the activity
‘erect all the four walls’ has to be finished before the activity ‘lay roof on' can
start.

And the problem is to bring all these activities together in a logical manner to
complete the project.

We have already established that a formal programme plan with detailed schedules
to manage the total programme is required while preparing the operational plans.
Any plan, schedule, drawing or specification that be read by more than one person
must be expressed in a language that is understood by all recipients.

The ideal situation is to construct charts and schedules in suitable notation that can
be used by all for status reporting. It should consist of three vital control parameters:

- Time
- Cost
- Performance

All schedules and charts should consider these three parameters and their
relationship to corporate resources. Information to ensure proper plan evaluation is
usually obtained through four methods:

- First hand observation

- Oral and written reports
- Review and technical interchange meetings
 - Graphical displays

First hand observations are an excellent tool for obtaining unfiltered information, but
they may not be possible in large plans. Although oral and written reports are a way
of life, they often contain either too much or not enough details, and significant
information may be disguised. Review and technical interchange meetings provide
face-to-face communication and can result in immediate agreement or problem
definition or solutions, such as changing a schedule. The problem here is that only
those present can reach a solution. Good graphic displays make the information easy
to identify and are the prime means for tackling cost, schedule and performance.
Proper graphical displays can result in:

- Cutting planning costs and reducing time scale

- Coordinating and expediting planning
- Eliminate idle time
- Obtaining better scheduling and control of delegation of activities
- Developing better troubleshooting procedures
- Cutting time for routine decisions, but allowing more time for decision-making

2.2 Techniques of Operational Planning

An operational plan is the chief key for managing any organisation. It provides the
library manager with detailed information on the work that must be done to ensure
that planned goals and objectives are achieved. The tools of operational planning
provide practical information on how to implement the objectives, strategies and
programs suggested in the corporate plan of the information organisation.
Operational planning in information organisations is a challenging task with many
complex responsibilities. There are many tools available to assist for accomplishing
the tasks and executing the responsibilities. Some require a computer with
supporting software, while others can be used manually. Information managers
should choose anoperational management technique/tool that best suits their
management style.
Someof the major operational planning techniques are:
a. Risk Management
b. Budgetary Control
c. Work Breakdown Structure
d. Gantt Charts
e. Critical Path Analysis or Network Analysis
f. Resource Histograms
 g. Milestones, Checkpoints and Gates

Risk Management In operational planning there is always a risk or chance that

adverse conditions occur that may cause a project to fail or fail to meet its planned
objectives in terms of time, cost and quality. Risk management addresses the
identified risk issues in advance and helps to contain them. For example, in a
proposed library automation system for a library, the key risks can be identified in
advance. These could be insufficient budget or misunderstanding actual
requirements of end users or lack of experience of library staff or introduction of
possible new technologies in near future, etc. Appropriate risk management
strategies help to take immediate action in case of possible unwanted occurrences.

Budgetary Control Budgets help in authorising expenditure, communicating

objectives and plans, controlling operations, coordinating activities, evaluating
performance, planning and rewarding personnel based on performance. Budgetary
control, therefore, compares the budgeted results as a yardstick in comparison to
actual results in order to quantify deviations from the operational plan. The whole
process, at regular intervals, throughout the implementation phase of the plan can be
used to take control action and bring actual results in line with the plans.

Work Breakdown Structure (WBS) The purpose of the work breakdown structure is
to help plan effectively for a project by breaking key tasks and activities into more
manageable and small units of work. WBS thus produces a detailed list of tasks to be
performed, helps to deliver better costing, scheduling and resource planning for a
project.

Gantt Charts A Gantt Chart is a horizontal bar chart used for project scheduling.
Each task of activity is depicted as a block overtime, actual performance is recorded
in real time and compared to planned deadlines necessary for achieving completion.
This will be discussed in detail in the next section.

Critical Path Analysis or Network Analysis When projects are complex and
lengthy, Gantt Charts are not suitable time management tools. In large projects, there
often exists a high interdependency between various tasks, for example, some
activities cannot started, until others have been completed first, therefore, many
activities are interrelated. Gantt charts are thus less desirable as they do not display
or indicate interdependencies. Network or Critical Path analysis can display more
logically the sequence and timing of each activity. They communicate
interdependency and a more effective time management tool for large or complex
projects.
 Resource Histograms A Resource Histogram is a bar or column chart that shows
the number of resources assigned to a project over a period of time. Resource
histograms usually presented as bar charts, can be an effective tool for planning of
resources and coordinating staff of a project.

Milestones, Checkpoints and Gates Milestones are significant events in the

course of a project that are used to give visibility of progress in terms of achievement
of predefined milestone goals. Failure to meet a milestone indicates that a project is
not proceeding to plan and usually triggers corrective action by management.
Milestones thus are points of completion or achievement on a plan.

Checkpoints are calendar points at which the project reports progress, for example,
weekly checkpoint meetings.

Gates are significant events or major objectives that have been accomplished at
various stages of a project. They assess key completion or quality of work achieved.
Gates are formal points in the project where resourcing for continued work is agreed.

Of the above mentioned, no single tool addresses all project management

requirements. Gantt Charts and Network Analysis are two of the most commonly
used operational planning tools in project management. In the subsequent sections,
Gantt Charts and two techniques of network analysis - Program Evaluation Review
Technique (PERT)and Critical Path Method (CPM) are described in detail as these
are found to be most suitable in library and information organisations. Both of these
techniques can be adopted manually or with commercially available project
management software.

3. Gantt Chart

A Gantt chart is a horizontal bar chart developed as a production control tool in 1917
by Henry L. Gantt, an American engineer and a social scientist. Frequently used in
project management, a Gantt chart provides a graphical illustration of a schedule that
helps to plan, coordinate, and track specific tasks in a project.

3.1 Use of Gantt Charts as a tool

Gantt Charts (Gant Charts) are useful tools for analysing and planning more complex
projects. They:

- Can be used to plan time scale for a project,

- Help to plan, coordinate and track specific tasks that need to be completed
for a project,
- Can be used to estimate required resources,
 - Give a basis for graphic scheduling when these tasks will be carried out,
- Allow to plan the allocation of resources needed to complete the project,
- Are good for small projects when the number of tasks or activities are
small and not complex, and
- Help to work out the critical path for a project which has to be completed
by a particular date.

The charts may be in the form of any of the following:

a. Scheduling or progress charts, which show the sequence of job progress.

b. Load charts which show the work assigned to a work group or allocated to
machines.
c. Record charts which track the actual time spent and delays, if any.

Gantt charts need to be updated at regular intervals. For example, charts have to be
updated - when a work is delayed at the start or when work continues beyond its time
schedule or if the progress of work is not as per the actual plan. If unforeseen
eventualities occur, corrective actions may have to be taken, and this will also need
corresponding changes in Gantt charts.

A Gantt chart isa matrix which lists on the vertical axis all the tasks to be performed.
Each row contains a single task identification which usually consists of a number and
name. The horizontal axis is headed by columns indicating estimated task duration,
skill level needed to perform the task and the name of the person assigned to the
task, followed by one column for each period in the project’s duration. Each period
may be expressed in hours, days, weeks, months and other time units. In some
cases it may be necessary to label the period columns as period 1, period 2 and so
on.

The graphical portion of the Gantt chart consists of a horizontal bar for each task
connecting the period start and period ending columns. A set of markers is usually
used to indicate the estimated and the actual start and end. Each bar on a separate
line and the name of each person assigned to the task is on a separate line. In many
cases, when this type of project plan is used, a blank row is left between tasks.

When the project is under way, this row is used to indicate progress, indicated by a
second bar which starts in the period column when the task is actually started and
continues until the task is actually completed. Comparison between the estimated
start and end and the actual start and end should indicate project status on a task-by-
task basis. Variants of this method include a lower chart which shows personnel
allocations on a person-by-person basis. For this section, the vertical axis contains
 the number of people assigned to the project, and the columns indicating task
duration are left blank, as is the column indicating persons assigned.

The graphics consist of the same bar notation as in the upper chart indicates that the
person is working on a task. The value of this lower chart is evident when it shows
the slack time for the project personnel, i.e., times when they are not actually working
on any project.

Gantt Charts help to monitor whether the project is on schedule or not when a project
is under way. If it is not, it allows to pin-point the remedial actions necessary to put it
back on schedule. The Gantt chart shows the relationship between different activities
over a time span.

3.2 Drawing a Gantt chart

As mentioned above, a Gantt chart is a bar chart that shows the tasks of a project,
when each must take place and how long each will take. As the project progresses,
bars are shaded to show which tasks have been completed? People assigned to
each task also can be represented. To draw up a Gantt chart (Gantt diagram), follow
these steps:

i. Identify tasks:

- Identify the tasks needed to complete the project.

- Identify key milestones in the project by brainstorming a list, or by drawing
a flowchart, storyboard or arrow diagram for the project.
- Identify the time required for each task.
- Identify the sequence, i.e., which tasks must be finished before a following
task can begin or which can happen simultaneously or which tasks must
be completed before each milestone.

ii. Draw a horizontal time axis along the top or bottom of a page. Mark it off in
an appropriate scale for the length of the tasks (days or weeks).

iii. Down the left side of the page, write each task and milestone of the project
in order. For events that happen at a point in time (such as a presentation),
draw a diamond under the time the event must happen. For activities that
occur over a period of time (such as developing a plan or holding a series of
interviews), draw a bar that spans the appropriate times on the timeline:
Align the left end of the bar with the time the activity begins, and align the
right end with the time the activity concludes. Draw just the outlines of the
bars and diamonds; do not fill them.
 iv. Check that every task of the project is on the chart.

v. As events and activities take place, fill in the diamonds and bars to show
completion. For tasks in progress, estimate how far along task has reached
and fill in that much of the bar.

vi. Place a vertical marker to show where project is on the timeline. If the chart
is posted on the wall, for example, an easy way to show the current time is
with a heavy dark string hung vertically across the chart.

Besides drawing manually, there are many other ways to create a Gantt Chart. For
example, Microsoft Project, a task-planning program, makes it easy to track and
chart project timelines with a built-in Gantt chart view. Another option is to use Excel.
Excel does not contain a built-in Gantt chart format, however, we can create a Gantt
chart in Excel by customizing the stacked bar chart type. Using these not only eases
the drawing of Gantt Charts, they also make modification of plans easier and provide
facilities for monitoring progress against plans, as well as generating resource
histograms.

Gantt charts are thus useful tools for planning and scheduling projects. They allow us
to assess how long a project should take, determine the resources needed, and lay
out the order in which tasks need to be carried out. They are useful in managing the
dependencies between tasks. When a project is under way, Gantt charts are useful
for monitoring its progress. One can immediately see what should have been
achieved at a point in time, and can, therefore, take remedial action to bring the
project back on course. This can be essential for the successful and profitable
implementation of the project.

An example of Gantt chart with various details and a diagram can be seen
at http://en.wikipedia.org/wiki/Gantt_chart.

3.3 Advantages and Disadvantages

Some of the advantages and disadvantages of using Gantt chart are given below.

Advantages

1. This is a simple and very inexpensive method and can be developed even by
supervisory staff withvery little training. The charts visually depict complex
ideas in totality.

2. These charts clearly show the decided time and work schedules for every job,
thereby increasing visibility.
 3. Monitoring and control are easier and can be done within a minimum time
frame and at the lowest cost.

4. These charts can be changed and updated quickly at a very low cost.

5. Gantt charts are presentation tools that show the key milestones of a project.

6. The bars on the charts indicate the period in which a particular task or set of
task will be completed. This helps to understand what is happening in the
project all the time.

Disadvantages

In spite of the above-mentioned advantages, there are certain disadvantages.

1. A major disadvantage of Gantt charts relates to task dependencies. When

project managers are illustrating tasks in a project, sometimes they want to
show how the tasks depend on one another. Unfortunately, the Gantt chart's
format does not allow for this. They also do not show job interrelationships
and interdependence.

2. Cost implications cannot be shown.

3. With these charts, it is not possible to depict other alternatives for project
completion.

4. The shape and form of Gantt charts can differ according to the nature of the
requirement. Also the size of the bars on the chart does not indicate the
amount of work.

5. The charts need to be updated constantly.

6. Gantt charts are not flexible as they cannot accommodate changes once the
project has commenced. A change to the schedule requires redrawing of the
chart.

7. As the Gantt chart does not highlight work breakdown structure (WBS)
elements, it has the highest risk of failure or delay.

4. Network Analysis

Network analysis is the general name given to certain specific techniques which can
be used for the planning, management and control of projects. It is defined as
‘Breaking down’ a complex project's data into its component parts,
i.e., activities, events, durations, etc. and plotting them to show their
interdependencies and interrelationships.
 According to McGraw-Hill Dictionary of Scientific & Technical Terms, network
analysis is an analytic technique used during project planning to determine the
sequence of activities and their interrelationship within the network of activities that
will be required by the project. It is also known as network planning.

In libraries and information organisations, network analysis helps to plan, carry out
and complete various small and large projects by analysing the project activities.
Each project isdivided into individual tasks and activities, which are arranged in
logical sequence. The sequence in which the tasks are to performed including those
to be carried out simultaneously has also to be decided before commencement of the
project. Eventually a network diagram has to be constructed depicting relationship
between various tasks, activities and their sequence. Finally costs, time and other
resources are allocated to variousactivities.

Network analysis is an effective and powerful method of assessing:

- What tasks must be carried out

- Where parallel activity can be performed
- The shortest time in which one can complete a project
- Resources needed to execute a project
- The sequence of activities, scheduling and timings involved
- Task priorities
- The most efficient way of shortening time on urgent projects

4.1 Use of Network Analysis as a Tool

Network analysis or critical path analysis is a useful tool for lengthy and complex
projects. Their usefulness is as below:

- Good planning and visual communication tool for effective time management.
- Clearly displays interdependent relationships that exist between the different
activities or tasks to be completed.
- Arranges activities and tasks into proper sequence of events enabling a
project to be completed in the most efficient time possible
- Helps to calculate estimated time or elapsed time to complete a project.
- Highlight the activities that are considered critical, i.e., those activities which
have to be completed with their planned time to complete the projects.
- Identify the critical and non-critical activities.

4.2 Process of Network Analysis

The process of network analysis is:

 a. Break down project into a logical sequence of activities to be completed.
b. Estimate the time duration of each activity.
c. Arrange activities in the most efficient sequence of events and estimate the
elapsed time of the project.

Network analysis has some advantages as below:

- Identifies interrelationships between different tasks or activities.

- Resources can be planned and allocated for appropriate use.
- Good communication and planning tool for time management.

Besides the advantages mentioned above, there are also some disadvantages of
network analysis:

- In case of larger projects, the complexity of the network diagram increases as

number of activities increases.
- There is a definite relationship between time and money but personnel cost is
usually a fixed and not a variable cost.
- While estimating the duration of activities, key uncertainties often exist which
lead to poor prediction of elapsed time.

4.3 Techniques of Network Analysis

Two techniques for network analysis were developed independently in the late
1950's - these were:

- PERT (Program Evaluation and Review Technique); and

- CPM (Critical Path Method)

PERT (Program Evaluation and Review Technique) was developed by the US Navy
for the planning and control of the Polaris Missile Program and the emphasis was on
completing the program in the shortest possible time. In addition, PERT has the
ability to cope with uncertain activity completion times. For example, for a particular
activity the most likely completion time is 4 weeks but it could be anywhere between
3 weeks and 8 weeks.

PERT charts depict tasks, duration, and dependency information. Each chart starts
with an initiation node from which the first task, or tasks, originate. If multiple tasks
begin at the same time, they all start from the node or branch, or fork out from the
starting point. Each task is represented by a line which states its name or other
identifier, its duration, the number of people assigned to it, and in some cases the
initials of the personnel assigned. The other end of the task line is terminated by
another node which identifies the start of another task, or the beginning of any slack
time, that is, waiting time between tasks.

Each task is connected to its successor tasks in this manner forming a network of
nodes and connecting lines. The chart is complete when all final tasks come together
at the completion node. When slack time exists between the end of one task and the
start of another, the usual method is to draw a broken or dotted line between the end
of the first task and the start of the next dependent task.

A PERT chart may have multiple parallel or interconnecting networks of tasks. If the
scheduled project has milestones, checkpoints, or review points (all of which are
highly recommended in any project schedule), the PERT chart will note that all tasks
up to that point terminate at the review node.

Importance of PERT Because it is primarily a project-management tool, a PERT

chart is most useful for planning and tracking entire projects or for scheduling and
tracking the implementation phase of a planning or improvement effort. It is also
important due to following:

- Reduction in cost
- Saving of time
- Determination of activities
- Elimination of risk in complex activities
- Flexibility
- Evaluation of alternatives
- Useful in effective control
- Useful in decision making
- Useful is research work

CPM CPM (Critical Path Method) was developed by Du Pont and the emphasis was
on the trade-off between the cost of the project and its overall completion time. When
time is less of an uncertainty and the project has relatively routine task, CPM is more
likely to be useful. It also distinguishes activities critical and non-critical for
maintaining the schedule. For example, for certain activities it may be possible to
decrease their completion times by spending more money. How does this affect the
overall completion time of the project?

Critical Path Method (CPM) charts are similar to PERT charts and are sometimes
known as PERT/CPM. In a CPM chart, the critical path is indicated. A critical path
consists of a set of dependent tasks (each dependent on the preceding one) which
together take the longest time to complete. Although it is not normally done, a CPM
 chart can define multiple, equally critical paths. Tasks which fall on the critical path
should be noted in some way, so that they may be given special attention. One way
to do this is to draw critical path tasks with a double line instead of a single line.

The Critical Path Method (CPM) is one of several related techniques for doing project
planning. CPM is for projects that are made up of a number of individual "activities." If
some of the activities require other activities to finish before they can start, then the
project becomes a complex web of activities.

Therefore, CPM can help to figure out:

- how long a complex project will take to complete, and

- which activities are "critical," meaning that they have to be done on time or
else the whole project will take longer.

If weput in information about the cost of each activity, and how much it costs to
speed up each activity, CPM can help to figure out:

- whether we should try to speed up the project, and, if so,

- what is the least costly way to speed up the project.

Activities An activity is a specific task. It gets something done. An activity can have
these properties:

- names of any other activities that have to be completed before this one can
start
- a projected normal time duration

In the next section, we will discuss PERT/CPM as operational planning technique.

5. PERT/CPM

While planning library and information centre projects, the PERT and CPM
techniques have been used jointly to plan and control the progress of the projects
from start to finish. This technique has been most suitable especially for highly
complex and long-term projects. PERT and CPM are used together as scheduling
techniques to plan, schedule, budget and control the many activities associated with
projects in libraries and information organisations. These projects are usually very
large, complex, and consist of many interrelated activities to be performed either
concurrently or sequentially. Utilizing PERT/CPM involves breaking the total project
down into many different individual activities with identifiable time requirements. Each
activity must be accomplished as part of the total work to be done.
 The project’s desired completion date is the focal point for scheduling. The time to
begin work on the project is determined by working backward from the desired
completion date. Project managers must coordinate each of the activities so the
project can be completed at the desired date and with minimal costs. The
PERT/CPM schedule allows for converting the project plans into an operating
timetable; thus providing direction for managing the day-to-day activities of projects.

Although application of both PERT and CPM follow the same steps and use network
diagrams to schedule and control projects, the primary difference between these two
techniques is that PERT is probabilistic where CPM is deterministic. The terms PERT
and CPM are usually used together or interchangeably in this context.

5.1 Developing a Network

A network is a graphic plan of all the activities and events that must be completed to
reach the end objectives of a particular project. It should show the planned sequence
of their accomplishments, their dependencies and inter-relationships. Every
PERT/CPM network has two basic components, namely, Event and Activity. Before
developing a network, it is essential to know some terms related to network planning
methods.

PERT/CPM Terminology

Event An event is a point in time, i.e., a milestone in the total work to be

accomplished. It marks the beginning and end of an activity. Events do not consume
resources or time. Events are numbered with those at the tail of the activity having
lower numbers than the events at the head of each activity arrow (left to right).
Events are represented by circles (nodes) and the event number is written within the
circle.

Event is a point that marks the start or completion of one or more tasks. It consumes
no time, and uses no resources. It marks the completion of one or more tasks, and is
not “reached” until all of the activities leading to that event have been completed.
Event is:

- A predecessor event: an event (or events) that immediately precedes some

other event without any other events intervening. It may be the consequence
of more than one activity.
- A successor event: an event (or events) that immediately follows some other
event without any other events intervening. It may be the consequence of
more than one activity.
Activity Every project consists of a number of jobs or tasks called as activities.
Activities are to be accomplished as part of the total work to be done. Activities
consume resources and/or time. They lie between two events and can be identified
with starting and ending points. The network activities are represented by arrows and
can be referred to by their endpoints and/or a letter assigned to the arrow.

Activities can be:

Critical activities:If an activity consumes more than its estimated time, it is called a
critical activity. An activity becomes critical when its earliest start time plus the time
taken by it is equal to the latest finishing time. A critical activity is indicated by
marking a thick arrow to distinguish it from non-critical activities.

Non-critical activities: The activities that have provision, so that even if they
consume more than estimated time, do not result in project delay.

Dummy activities: When two activities commence at the same time, their head
events are joined by a dotted arrow is known as a dummy activity. Dummy activities
do not consume time and may be critical or non-critical.

Precedence Relationships Some activities cannot begin until others have been
completed. Precedence relationships must be defined in order to determine the
sequence of activities in the network.

Path A sequence of activities that leads from the starting node to the finishing node.

Critical Path Critical path, formed by critical activities is the longest path through a
network and consumes maximum time. The critical path is the minimum time for
expected completion of the entire project. Each of the activities on the critical path
has zero slack. The sequence of activities in a network can have more than one
critical path.

Duration is the estimated or actual time required to complete a task or an activity.

- Optimistic time (O): the minimum possible time required to accomplish a task,
assuming everything proceeds better than is normally expected
- Pessimistic time (P): the maximum possible time required to accomplish a
task, assuming everything goes wrong (but excluding major catastrophes).
- Most likely time (M): the best estimate of the time required to accomplish a
task, assuming everything proceeds as normal.
- Expected time (TE): the best estimate of the time required to accomplish a
task, assuming everything proceeds as normal (the implication being that the
 expected time is the average time the task would require if the task were
repeated on a number of occasions over an extended period of time).
- Float or Slack is the amount of time that a task in a project network can be
delayed without causing a delay - Subsequent tasks – (free float) or Project
Completion – (total float)
- Lead time: the time by which a predecessor event must be completed in order
to allow sufficient time for the activities that must elapse before a specific
event is reached to be completed.
- Lag time: the earliest time by which a successor event can follow a specific
PERT event.
- Slack: the slack of an event is a measure of the excess time and resources
available in achieving this event. Positive slack(+) would indicate ahead of
schedule; negative slack would indicate behind schedule; and zero slack
would indicate on schedule

Total Project Time It is the time taken to complete a project and is found from the
sequence of critical activities. In other words it is the duration of the critical path.

Earliest Start Time (EST) The earliest possible time an activity can start, assuming
all preceding activities start as early as possible. It is calculated by moving from the
first to the last event in a network diagram.

Earliest Finish Time (EFT) It is the earliest possible time at which as activity can
finish.

EFT = EST + Duration of that activity

Latest Start Time (LST) It is the latest possible time by which an activity can start.

LST = LFT – Duration of the activity

Latest Finish Time (LFT) It is calculated by moving backwards, that is, from the last
event to the first event of the network diagram. It is the last event time of the head
event.

Float or Slack Slack is with reference to an event and float is with respect to an
activity. This means that slack is used with PERT and float is used with CPM. But
when preparing PERT/CPM charts, they may be used interchangeably. Float or slack
means spare time, a margin of extra time over and above its duration which a non-
critical activity can consume without delaying the project. Float is the difference
between the time available for completing an activity and the time necessary to
complete the same.
Total Float It is the additional time which a non-critical activity can consume without
increasing the project duration. However, total float may affect the floats in previous
and subsequent activities and it can also be negative.

Total Float = (LST- EST) OR (LFT- EFT)

Free Float If all the non-critical activities start as early as possible, the spare time is
the free float. Free float, if used, does not change the float in later activities. This
means that if an activity is delayed by the free float period, the succeeding activity will
not by delayed in turn.

Free Float = EST of tail event – EST of head event – Activity duration

Independent Float The use of independent float of an activity does not change the
float in other activities. Independent float can be used to advantage if one is interest
to reduce the effort on a non-critical activity in order to apply the same on a critical
activity thereby reducing the project duration. The independent float associated with
an activity is not reduced by delaying previous operations whereas such a reduction
can be noticed with free float.

Independent Float = EST of tail event - LFT of head event – Activity duration

Network or Arrow Diagram A network is a graphic view or display of all project

activities interrelated through logical or precedence relationships. Networks should
begin with one node and end with another node. These diagrams are usually drawn
from left to right to show project chronology and they are also called PERT/CPM
charts.A PERT/CPM chart is thus a project management tool used to schedule,
organize, and coordinate tasks within a project. The chart presents a graphic
illustration of a project as a network diagram consisting of numbered nodes (either
circles or rectangles) representing events, or milestones in the project linked by
labeled directional lines representing tasks in the project. The direction of the arrows
on the lines indicates the sequence of tasks.

Fig.1: Network Diagram

 In Fig. 1, “Tasks” are represented by Arrows, “Events” are circles, “Dummy Tasks”
are Dashed Arrows and “Critical Tasks” are Thick Arrows

Steps in PERT/CPM There are six steps involved in PERT/CPM that should be
completed in chronological order:

- Identify activities required by the project.

- Identify the precedence relationships among the activities.
- Determine the expected time requirements for each activity.
- Develop a network diagram of activities (arrows) and events or nodes (circles)
showing precedence relationships.
- Determine the earliest and latest feasible event times.
- Identify the critical path (the minimum time to complete the project).

Example Let us take an example to explain the steps of PERT/CPM.

Illustration of network analysis of redesigning of an information product and its

associated activities including its repackaging are presented below:

The key question is: How long will it take to complete this project?

Activity Activity Completion time (in weeks)

Number

1 Redesign Information Product 6

2 Seek approval from authorities 2

3 Request for inputs for redesigned product 3

4 Receive inputs for redesigned product 2

5 Assemble details related to redesigned product 4

6 Make up redesigned product 1

7 Finalise the product 1

8 Test the redesigned product 6

9 Revise redesigned product based on feedback 3

10 Present to authorities for approval 1

11 Receive and Circulate to the users 1

Before starting any of the above activity, the questions asked would be:

- What activities must be finished before this activity can start?

- Could we complete this project in 30 weeks?
- Could we complete this project in 2 weeks?

One answer could be, if we first do activity 1, then activity 2, then activity 3, ...., then
activity 10, then activity 11 and the project would then take the sum of the activity
completion times, 30 weeks.

But the main question is:

“What is the minimum possible time in which we can complete this project?”

For clarity, this list is kept to a minimum by specifying only immediate relationships,
that is relationships involving activities that "occur near to each other in time".

Activity
Activity number
number

1 must be finished before 3 can start

2 must be finished before 4 can start

3 must be finished before 5 can start

4 must be finished before 6 can start

5, 6 must be finished before 7 can start

7 must be finished before 8 can start

8 must be finished before 9 can start

8 must be finished before 10 can start

9,10 must be finished before 11 can start

We shall see below how the network analysis diagram/picture we construct helps us
to answer this question.
 Fig. 2: Network Analysis Diagram

Data Entry Table

Activity No. Activity Name Immediate Predecessor Normal Time (in weeks)

1 1 6

2 2 2

3 3 1 3

4 4 2 2

5 5 3 4

6 6 4 1

7 7 5,6 1

8 8 7 6

9 9 8 3

10 10 8 1

11 11 9,10 1
Calculations for Network

Activity Activity On Activity Earliest Earliest Latest Latest Slack/Float

No. Name Critical Time Start Finish Start Finish
(LST-EST)
Path Time Time Time Time

1 1 Yes 6 0 6 0 6 0

2 2 No 2 0 2 8 10 8

3 3 Yes 3 6 9 6 9 0

4 4 No 2 2 4 10 12 8

5 5 Yes 4 9 13 9 13 0

6 6 No 1 4 5 12 13 8

7 7 Yes 1 13 14 13 14 0

8 8 Yes 6 14 20 14 20 0

9 9 Yes 3 20 23 20 23 0

10 10 No 1 20 21 22 23 2

11 11 Yes 1 23 24 23 24 0

Project Completion Time = 24 Weeks

Number of Critical Path(s) = 1

CRITICAL PATH TAKES 24 WEEKS FOR THE COMPLETION OF THIS PROJECT.

In the figure 3, the Critical Path is indicated by the blue line.

The critical path is: Activity 1-3-5-7-8-9-11

and, time taken is: 6+3+4+1+6+3+1 = 24 weeks

For items on the critical path, the early days and late days will be the same and there
will be no slack time. While working backwards, the late start of a task is the same as
the late finish of the previous task or tasks. When there is more than one task with
different late starts which is derived from a single task, the earliest late start is used
as the late finish of the previous task.
When the PERT chart is completed, the critical path is the tasks without slack time.

From a project management point of view, the tasks on the critical path need to be
tracked more closely than the tasks that are not on the critical path. This allows the
project manager to focus his or her time with the areas that are most likely to affect
the schedule.

The PERT/CPM chart is more complicated than the Gantt chart but it does provide
the project manager with more information. The PERT/CPM chart is typically not
used in presentations or in meetings due to its complexity. Presently, project
management tools such as Microsoft Project can be used to show both the Gantt and
the PERT/CPMview so a project manager would not necessarily need to make two
separate diagrams.

Fig. 3: Network Analysis Diagram showing Critical Path

Benefits of PERT/CPM
- Useful at many stages of project management
- Especially useful when controlling large projects
- Mathematically simple
- Give critical path and slack time
- Provide project documentation
- Useful in monitoring both the schedules as well as the costs

Limitations in PERT/CPM Technique

- Project activities have to be clearly defined, independent and stable in their

relationships
- Precedence relationships must be specified and networked together
 - Over emphasis on critical paths
- Deterministic CPM model
- Activity time estimates are subjective and depend on judgment
- PERT consistently underestimates the expected project completion time due
to alternate paths becoming critical

6. Difference between Gantt Charts and PERT/CPM

When creating a project schedule, information managers will find both PERT/CPM
and Gantt charts to be essential tools for successfully completing the project at hand.
Both types of charts provide tools for managers to analyse projects through
visualization, helping divide tasks into manageable parts. Their major differences are
discussed below:

Visualization One of the key differences between a PERT/CPM Chart and a Gantt
chart is the way the information is presented. Gantt charts present information in the
format of a bar chart. This presentation helps show the percentage of work
completed for each task. PERT/CPM, on the other hand, displays information as a
network model. This means that a PERT/CPM chart presents an initial node from
which tasks branch out. This helps project managers visualize the sequence of tasks,
as you cannot start on the next activity until the one preceding it is completed.

Work Breakdown Structure One of the key responsibilities of a project manager is

to break down the workload into tasks to guarantee that the project will be finished by
the deadline. Both PERT/CPM and Gantt charts will display the tasks to be
completed, but the charts emphasize different pieces. In Gantt charts, the focus is on
the percentage completion of each task, without demonstrating the link that two tasks
may have to each other. While PERT/CPM typically does not show the percentage
completed, because it employs a network model, it is easy to see which tasks
depend on each other.

Simplification Gantt charts are ideal for straightforward projects with few interlinking
tasks. Gantt charts present project tasks and time allocation as the only two pieces of
data. While this is a limitation where there are interconnecting tasks that depend on
each other, for more basic projects it is easier to interpret the data in a Gantt chart.
PERT/CPM charts, while also including project tasks and time allocation, display
dependency. Gantt charts are easier to change as a task moves along and it comes
closer to completion.
 Accuracy Gantt charts are simpler to read, but PERT/CPM charts extend an element
of detail to the project scheduling through both the network model's ability to display
dependency and PERT/CPM's unique ability to anticipate actual time that a task will
take to completion. Tasks in PERT/CPM charts will have three representative time
structures, namely, optimistic, most likely, and pessimistic. By averaging these times,
a manager can predict how long a task will actually take to complete more
realistically than the single time that Gantt charts provide.

7. Summary

Operational planning is a subset of strategic planning. It describes short-term ways of

achieving milestones and explains how, or what portion of, a strategic plan will be put
into operation during a given operational period, in the case of commercial
application, a fiscal year or another given budgetary term.

In this lesson, we have learnt that an operational plan is necessary to ensure that the
activities of the library and its services are focused on achieving the priorities and
goals identified in the strategic plan. Information managers should choose an
operational management technique/tool that best suits their management style.No
one tool addresses all project management needs. The two major techniques
discussed in this module are Gantt Charts and Network analysis.
A Gantt chart is a type of bar chart, developed by Henry Ganttthat illustrate a project
schedule. Gantt charts illustrate the start and finish dates of the terminal elements
and summary elements of a project. Terminal elements and summary elements
comprise the work breakdown structure of the project. Some Gantt charts also show
the dependency (i.e., precedence network) relationships between activities.

Network analysis is the general name given to certain specific techniques which can
be used for the planning, management and control of projects. Two different
techniques for network analysis were developed independently in the late 1950's -
these were - PERT (for Program Evaluation and Review Technique); and CPM (for
Critical Path Management). In this lesson, these two techniques have been
discussed in detail with examples.

Lastly, major differences between Gantt charts and PERT/CPM charts have been
discussed.

8. References

1. Arora, Renu. Monitoring and Control Techniques. InMLI-102, Part I, MLIS

Course, IGNOU, New Delhi. 2005. P.156-180.
2. Clark, Wallace, Polakov, Walter Nicholas and Trabold, Frank W. The Gantt
Chart: A Working Tool of Management. New York: Ronald Press Co. 1922
3. Punmia, B. C. and Khandelwal K. K.Project Planning and Control
with PERT & CPM. E-book @ http://theijes.com/papers/v2-
i1/Y02101540159.pdf
4. Richman, Larry. Successful Project Management, 3r d ed. New York:
AMACOM. 2011
5. Sharma, S C. Operation Research: Pert, Cpm& Cost Analysis. New Delhi:
Discovery Publishing House, 2006.
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 16 Financial Planning (sources and generation of
income)

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs Renu Arora

Content Writer Former Head, Education and Training, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 16

FINANCIAL PLANNING (SOURCES AND GENERATION OF INCOME)

I. Objectives

The objectives of the module are to:

• Discuss the importance of financial management in libraries;

• Identify the sources of finance for libraries and explain how income is generated in
all kind of libraries;

• Workout the methods of financial estimation for various kinds of libraries and
highlight the major categories of expenditure in libraries.

II. Learning Outcomes

After going this unit you will learn the concept of financial management, importance of
financial management in libraries, the sources of finance for libraries and generation of
income from various sources. You would also learn about the methods of financial
estimation for various kinds of libraries; and the major categories of expenditure in
libraries.

III. Structure
1. Introduction
2. Financial management
2.1 Principles of financial management
3. Library/information centre finance
4. Sources of finance for libraries
4.1 Public libraries
4.2 Academic libraries
4.3 Special libraries
5. Library expenditure
5.1 Principles of library expenditure
5.2 Classification of library expenditure
6. Methods of financial estimation
7. Financial responsibility
8. Summary

1
1. Introduction

For any organization to sustain and grow, finance is the most vital requirement. The libraries
and information organizations, being service organizations, have a national obligation
especially with regard to those attached to academic and public service organizations. It is,
therefore, important that there should be provision of adequate funds to manage various
activities of the organization. As finance like other management activities also requires
regular control and evaluation, a few principles are required to manage it.

In this module, we bring you the various aspects related to financial planning in libraries.
These include the sources of funding in various kinds of libraries, major items of expenditure
in libraries and norms and methods of financial estimation in libraries. The above mentioned
aspects will be examined with reference to academic, public and special libraries. The
libraries usually spend on reading materials (books, periodicals, audio-visual materials, CD-
ROMs, etc.), staff salaries, user services, building, furniture and fittings, maintenance,
equipment and machinery and consumable items.

In this module, we will discuss sources of finance, methods of financial estimation, major
items of expense and the principles, norms and standards on the basis of which library
funds could be estimated.

2. Financial Management

As managers, librarians and information professionals are faced with decisions similar to
those facing managers of other units within an organization. It is important that they too
know about various aspects of financial management. Many of these decisions require the
use of basic financial management techniques. For example, library managers are typically
responsible for a broad range of activities that rely on financial data, including:

- managing day-to-day operations;

- maintaining expenditures in accordance with their budgets;

- selecting optimum approaches for offering a service;

- determining prices to charge for services;

- requesting funds for a capital project;

- justifying projects and/or staff; and

- justifying the existence of the library or information center

Finances are thus essential for every human activity and success in planning various
activities is often dependent on the amount of finance available and the manner in which it is

2
to be utilized. A basic knowledge of library finance, library expenditure, budgeting and
accounting is, therefore, very important for any library and information science professional.

Financial management can be defined as the study of principles and practices involved in
the financial operations of an organization. Libraries too are included here as financial
management also deals with various aspects of acquisition, distribution and utilization of
funds besides balancing of revenue and expenditures. In addition to the above, the general
control and evaluation of financial affairs is also within the purview of financial management.

Besides the above, it the responsibility of parent organization of the library to take care of
financial issues involving raising of funds, investing of funds, preparation and approval of
budget and other finance related matters. The role of the library is to estimate its own
financial requirements; preparation of budget for its functions, activities, programmes;
managing and spending of funds within the stipulated time frame; maintaining accounts and
preparation of financial statements and reports.

2.1 Principles of financial management

For accomplishing the library's mission to promote various services and activities in an
effective manner, it is required that all library professionals and other officials carefully
manage financial resources in a prudent and cost-effective manner. Accordingly, each
official is responsible for adhering to the following principles and responsibilities:

a) Effective control

b) Simplicity

c) Economy

d) Regularity and farsightedness

e) Flexibility

Let us know some details of these principles.

a) Effective control

Financial activities in an organization work very well when they are controlled properly. The
finance should be controlled in a simple manner with proper economy, minimum of wastage,
proper channelization of resources and achieving the maximum with minimum of resources.

b) Simplicity

As simplicity leads to economy and efficiency, the various financial procedures should be
minimum, simple and easy to operate.

c) Economy

3
As in all other activities, in financial matters too economy should be exercised to the
maximum extent possible by taking precautions to avoid unnecessary expenditure,
duplication of efforts/activities and wasteful use of resources.. But it is to be remembered
here that economy should not be at the cost of efficiency.

d) Regularity and farsightedness

Funds must be expended in accordance with the relevant policies, rules and regulations of
the organization and its parent body. Actual financial results must be compared to the
budget on a regular basis to ensure that transactions are reasonable, accurate and
adequately reported and that unnecessary costs are being avoided. When actual financial
results vary significantly from the budget, library officials must determine the cause, evaluate
the activity and take suitable corrective action.

Also essential is sticking to the time schedules especially with regard to preparation of
budget, subscription of journals, etc. The information professionals should also project future
requirements besides the present requirements of the information organization.

e) Flexibility

With the framework of financial rules and procedures, flexibility should be exercised.
Financial rules can be made flexible keeping in view the emergent nature or crisis situation
of a particular activity and making adjustments according to circumstances. Besides the
above, when time is short for utilizing and funds are in excess, they may be diverted to
certain type of useful collection or may be for some latest equipment. But all this has to be
with proper approval of authorities.

3. Library/Information Centre Finance

Promoting good library services depends on adequate finance and efficient library
organization and management depends on adequate financial provision in the library’s
budget. For libraries, finance plays a very important role as they are service organizations
and usually there is more of expenditure involved than income. Libraries usually require
capital funds for physical facilities like building, furniture, fittings, equipment and machinery.
Besides this, libraries also require recurring funds year after year for collection building,
salaries and wages, maintenance and operating the services for satisfying the requirements
of their users. Regular flow of funds ensures smooth and quality services to the users. The
fund required for operating the library has to be available to the library authorities every year
which is based on pre-submitted budget of the library. Besides this, the libraries require
finance on continuing basis and the estimation of the required funds has to be done at least

4
one year in advance. It has to be remembered here that the sources of finance for academic
libraries, public libraries and special libraries are different in each case.

Libraries and information organizations are service organizations and most of the times not-
for-profit organizations. The managing of finances in this kind of organizations requires
proper planning and accounting as there is usually no earning but only spending most of the
times. The services which are to be offered to are to be meticulously planned as majority of
services may have to be subsidized.

Library finance thus involves financial planning, tapping the right sources for realizing funds,
financial estimation, and allocation of funds for various activities, proper utilization of funds,
financial accounting and lastly financial auditing. Like other organizations, library finance too
requires complete financial control.

4. Sources of Finance for Libraries

As already mentioned above, different types of libraries receive funds from different sources.
However, the government grant is the common source for all the libraries except a few
special libraries belonging to private organizations. The sources of finance for libraries are
as below:

1. Regular grants from parent body

2. Ad hoc grant from other organizations

3. Grants as gifts/endowments

4. Earned income from membership fees, subscriptions, sales or services or otherwise

earned by an organization

5. Miscellaneous sources like sale of publications, sale of waste materials, from

reprographic services, etc.

The financial grants usually given to libraries are of two kinds, namely, recurring and non-
recurring. The recurring grants are given for purchase of library materials like books, journals,
operation of regular/continuing services or activities of the library besides the salaries and
wages to the library staff members. These are made available every year.

On the other hand, the non-recurring grants are given for specific purposes like building
construction, setting up of library automation activity, renovation of existing facilities,
purchase of furniture or computer systems or other equipment, etc. These are usually one
time grants and may be made available in one or 2-3 instalments.

5
Besides, the recurring and non-recurring grants, a third type of grant know as the ad hoc
grant is also given at times to the libraries. This is usually a onetime grant given on special
recommendation and for setting up a specific facility or a service.

As already mentioned above, different types of libraries receive funds from different sources.
Discussed below are the sources of finance for each type of library.

4.1 Public libraries

The chief sources of finance of public libraries are:

a) Government grants

In western countries, the public libraries are usually fully supported by funds provided by the
government. In our country, the public libraries are partially supported by funds provided by
the state governments or the local authorities. In states which have proper library legislation,
funds by the government are made available which are usually certain percentages of the
annual budget of the state government.

b) Subscription

It is considered as the main source of income by most of the public libraries. But as the
public library system is supposed to be supported by the government, subscription as the
main source of funding defeats the purpose as services of public library should be free for all
the users. Anyway, in India the practice of receiving the subscription from users is there and
thus this remains as the main source of funding.

c) Library Cess

Some Indian States that have library legislation, have the provision of raising library cess
along with various taxes charged from people of the state. This library cess too contributes
towards the funding of public libraries.

d) Endowments

Some private benefactors and charitable institutions have provision of bestowing funds to
public libraries. Although these kinds of grants are not permanent but are usually quite
helpful at times to build up a specific facility or collection in a public library. At times, the
endowments may not be in monetary terms but gifting of private and personal collection of
some prominent individuals.

Besides the above, public libraries may also raise funds by means of fines for overdue
books, sale of wastage or receiving free publications.

4.2 Academic libraries

6
Academic libraries can be school, college and university libraries and each one has varied
sources of funding.

a) School libraries

The school libraries usually receive a certain percentage of total funds received for the
school from the school authorities. Besides that, library fee is charged from the students
annually which are the main funding sources. There may also be contributions from the local
or state government and at times the school libraries may also receive gifts and endowments.

b) College libraries

The various sources or finance for college libraries include allocation from the current
operating funds of the college, library fees charged annually from students, gifts and
endowments, fines of overdue books and grant from state/local authorities. Besides this a
large number of colleges which are part of the Universities under the Central Government
also receive funds from the University Grants Commission of India.

c) University libraries

The university libraries usually receive financial support from their parent university which
has special provision of budget allocation for the library. This forms the chief source of
funding for the university libraries. Besides this, the university libraries also get grants from
the University Grants Commission of India and the state governments which are passed on
the library. In some universities, fees are charged from student members for the use of the
library and some special services are priced for research scholars and other users. Other
sources of finance in university libraries are sale of publications, sale of old newspaper,
reprographic services, etc. University libraries usually have all kinds of financial support,
that is, recurring, non-recurring and ad hoc grants.

4.3 Special libraries

Unlike the academic and public libraries, the special libraries are completely dependent on
the parent organization for receiving funds as they exist for the sole purpose of giving
information support to the parent organization. Here besides the annual allocation of funds,
special provisions are usually made when the parent organization takes some new project or
activity and special material is required to support the activity. In case of special libraries
attached to large government organizations, a certain percentage of the budget of the parent
organization is made available to the special library. However, when major revamp of library
activities is to be undertaken, the authorities as a special case may provide huge funding
which are one time grants.

5. Library Expenditure

7
As already mentioned in the previous sections, libraries require finances to operate their
services. In this section we will discuss the aspect of expenditure in libraries. Libraries spend
money on reading materials (books, journals, pamphlets, CD-ROMs, etc.), user services,
consumables and other utilities. The main aspect of library expenditure is to take care of the
fact that users are given maximum benefit by spending the minimum amount possible.

The chief characteristics of library expenditure are:

- Library is a spending organization.

- Library is an organization that keeps growing all the time.

- Library expenditure is recurring.

5.1 Principles of library expenditure

The principles of library expenditure are:

- Principle of economy

- Principle of maximum aggregate benefit

- Principle of advance planning

- Principle of equitable allocation

Let us know a few details of these principles.

Principle of economy

This means that economy be exercised in all expenditures. By all means unnecessary
duplication, wastage and extra spending are avoided. Also the expenditure should not
exceed the approved budget.

Principle of maximum aggregate benefit

As libraries are service organization, they exist for the sole benefit of the users. Therefore,
the librarian should, while selecting the reading materials, take extra care to select only
those materials which will be really of maximum benefit to the users. Also the services
should be planned in such a manner that maximum numbers of users are able to utilize them.

Principle of advance planning

It is desired that the library expenditure be planned in advance so that when the time comes
to actually carry out an activity, there are no problems. This also helps in balancing the
incoming funds and expenditure. In case of journals, advance orders should be placed to
avoid unavailability at a later date.

Principle of equitable allocation

8
Library funds should be suitably/equally distributed for various kinds of reading materials and
care should be taken that all subjects are suitable covered. The balance while building
collection is very much desirable for smooth operation of the library. Similarly for modern
services more funds are allocated than the traditional and already continuing services.

In libraries, there are two competing principles, namely the need to sustain funding to the
library system and the need to protect the resources required by various units or the library
for their own ongoing activities. Additionally, meeting the needs of professional staff of library
in the present day technological world will also have to be taken care of. The decisions
regarding the library’s priorities too are required to be taken into account all the time and it
has to be not just on annual basis but to be carried out as an on-going activity.

5.2 Classification of library expenditure

In the previous section we have seen that the recurring grants are given for purchase of
library materials like books, journals, operation of regular/continuing services or activities of
the library besides the salaries and wages to the library staff members. These are made
available every year. On the other hand, the non-recurring grants are given for specific
purposes like building construction, setting up of library automation activity, renovation of
existing facilities, purchase of furniture or computer systems or other equipment, etc.
Keeping in view this aspect, library expenditure can be classified into several heads which
vary from library to library.

In some organizations, we just see expenditures listed only as recurring and non-recurring
but in some cases it may be listed in details as below:

- Books and journals

- Salaries and wages

- Stationery and other consumables

- Binding of books and journals

- Postage and telecommunication charges

- Vehicles

- Equipment (including maintenance)

- Furniture

- Maintenance (includes building upkeep, security, cleaning, electricity, water, etc.)

- Printing and publishing

9
 - Miscellaneous and contingency

In some large libraries, the above may be listed under programme, institutional and capital
budget components. There is not hard and fast rule regarding budget heads and it may vary
from organization to organization.

6. Methods of Financial Estimation

The future of any information organization depends upon the adequate and regular flow of
funds. It is thus essential that the financial estimation may be carried out correctly and
properly so that financing is proper. As is done by other kind of institutions, libraries too need
to carry out financial estimation of their future resources and activities. The best way to
correctly prepare the financial estimation is to make a thorough study of the next year
expected activities and the resources required to carry out these activities. Then against
each resources, the expected costs can be calculated and thus in this manner an error free
financial estimation can be carried out.

Financial estimation, if carried out scientifically and logically also lends support to the
financial requests as these provide documentary and solid support to the amounts requested
for. Besides this, the amount of finance depends on the size of the information organization
in terms of collection and staff size, type of services provided, quantities and quality involved,
number of users and the individualizing factors of the particular information organization. In
the present technological era, the hardware and software requirements, annual increase in
prices of reading materials, established standards and available volumes and variety of
information resources are also to be taken into consideration.

The chief methods of financial estimation are:

- Per capita method

- Formula method

- Proportionate method, and

- Method of details.

Let us study some details of each of these methods in the sections given below:

a. Per Capita Method

In libraries it is a well known fact that instead of grants given on ad hoc basis, allotment of
funds should be made on the basis of per capita method to maintain and improve the
standards of the library services. In this method, minimum financial appropriation is made on

10
per head basis which is considered essential for providing proper or standard library
services. This method is found to be quite suitable in academic and public library. Some of
the common factors that help in determining the per capita financial amount are:

- Average cost of the reading materials

- Average income of the community/society using the library services

- Future requirements of the library

- Levels of library staff, and

- Applicable technologies for providing library services

In this method, usually the library users are categorized and for each category appropriate
amount is appropriated. Then calculation is made for all the users in each category and in
this manner it is the safest method to calculate the library finance based on per head of the
library users.

In this method it is vital that some standard be established with proper approval of the
authorities otherwise it becomes difficult to convince the financial dispersion agencies to
approve grants. Many years ago, the University Grants Commission Library Committee had
recommended that a university should provide Rs. 15 per student and Rs. 200 per teacher
for acquiring reading materials for its library. The Kothari Education Commission in 1964-66
had also recommended that as a norm, a university should spend Rs. 25 for each student
and Rs. 300 per teacher. Similarly, Ranganathan had also given suggestions for providing
funding based on per capita method for the university, college and public libraries.

In the present day context, as the costs of reading materials and salaries of library personnel
have risen so much, it is required that some national agency may take steps to conduct a
study and establish some norms for all kinds of academic and public libraries. The per
capita method is the best, safest and most easy method for financial estimation.

b. Formula Method

The formula method describes a situation in which the distribution of funds to a library is
based on some formula. For example, a state government may distribute funds to libraries
with the state university or college system based on a particular formula, input for which
might be the number of undergraduate students , postgraduate students, researchers,
faculty members, the extent of the collection already available, or other such factors. Such a
formula could determine the precise amount of money to be allocated to each institution or
the relative size of the whole budget which each organization gets. This method is
considered to be very similar to the per capita method for financial estimation.

11
c. Proportionate Method

The proportionate method is based on the presumption that authorities provide adequate
funds to the parent body of the library and out of which the parent body fixes a certain fixed
amount for the library. Usually as a norm, a certain percentage of the whole budget is fixed
for the library and the library has to manage out of that amount. In this method, usually the
institutional budget component of the library is used as a measure to determine the
percentage of the budget which should be allocated to the library. For this, in India, various
standards have been recommended. The University Education Commission had
recommended that 6.5 % of a University’s budget be considered as a reasonable amount to
be spent on its library. The Commission further suggested that based on circumstances, the
expenditure could vary from 6.5 to 10 %. The circumstances can be, for example, planning
of new services, collection building in a special subject area, going in for library automation
or any other activity.

Similarly, for special and public libraries too suitable norms can be established and thus
financial estimation be carried out. For special libraries, there is no limit and percentage can
be quite high as they are for the sole purpose of supporting the activities of the parent
institution and many times, major projects are dependent on timely availability of information.
In case of public libraries, Ranganathan had suggested either 10 % of the total budget or 6
%of the education budget of the local or state government.

d. Method of Details

In this method, all the items of expenditure are to be taken into consideration for the purpose
of preparing financial estimates. The recurring, non-recurring including the capital
expenditure is also to be taken into consideration. Detailed analysis of each item is carried
out with proper justifications and supporting documents. This method requires that all
activities and the resources required for carrying out each activity is highlighted with cast
requirements in each case, in other words, showing financial realities. The details are thus
put up to the authorities with request for finances. This is the best method of financial
estimation and is many times also followed by a presentation.

7. Financial Responsibility

Lastly, there is the issue of who should take over the responsibility of financial management.
Various studies related to financial management of library and information organizations has
revealed that the librarian or the information professional has to be responsible for the
financial management of the library. The following procedures are recommended for efficient
financial management.

12
 a) Preparation of estimates for the fiscal year

b) Presentation to the parent organization

c) Approval by the parent organization

d) Responsible for management of funds for the fiscal year

8. Summary

Financial management is a key tool in controlling and directing the resources of any
business organization. Managers--not only financial professionals but also managers whose
responsibilities are largely non-financial--can use this tool to generate and analyze the
financial information that is essential to decision making in business. Understanding the
principles of financial management helps all managers, from line supervisors to senior
executives, to use this tool more effectively to support the organization's goals.

In this lesson we have seen the various aspects of financial management. The sources of
finance vary from library to library, that is, for academic, special and public libraries the
sources will vary. The methods of financial estimation too vary from library to library. The
nature is library expenditure is different from other types of organizations as libraries being
service organizations are basically spending organizations with very few sources of earning.

Proper financial management leads to preparation of a sound budget that management of

funds in the most appropriate manner. In libraries if funds are managed properly, good
quality reading materials can be acquired and quality services can be offered. All this thus
enables the libraries to carry out their mandate and meet user requirements.

References

1. Holt, Glen. Long-range financial planning for libraries. Bottom Line: Managing
Library Finances 15, no. 3(2002):
2. Mckay, Duncan.Effective Financial Planning for Library and Information Services, 2nd
ed. London: Europa, 2003.
3. Prentice, Anne E. Financial Planning for Libraries: 2n d ed. Lanham: Scarecraw Press,
1996.
4. Spyers-Duran, Peter and Thomas W. Mann Jr..Financing Information Services:
Problems, Changing Approaches, and New Opportunities for Academic and
Research Libraries. Westport: Greenwood Press, 1985.

13
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 17 Financial Management (Allocation, accounting,
auditing)

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mrs Renu Arora

Content Writer Former Head, Education and Training, NISCAIR

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 17

- FINANCIAL MANAGEMENT (ALLOCATION, ACCOUNTING, AUDITING)

I. Objectives

The objectives of the unit/module are to:

- Realise the importance of allocation of finances in libraries and information

organisations;
- Describe meaning of budget and its importance in libraries and information
organizations; and categorize various budgetary methods;
- Establish norms, standards and principals involved in preparation of a budget and
prepare a library budget;
- Maintain library accounts and related records, and conform to the accounting and
auditing requirements of an information organization.
II. Learning Outcomes
After going through this unit/module, you would learn about the importance of
allocation of finances in libraries and information organisations, meaning of budget and
its importance in libraries and information organizations. You would also learn the
various budgetary methods, norms, standards and principals involved in preparation of
a budget; library accounts and related records, and accounting and auditing
requirements of an information organization.
III. Structure
1. Introduction
2. Allocation of funds
3. Budget of library/information organization
3.1. Different kinds of budgets
3.2. Budgetary standards and norms
4. Preparation of library budget
4.1. Calculation of expenditure
4.2. Contents of a budget document
4.3. Principles of budget-making
4.4. Justifying the budget request
4.5. Approval of the budget
5. Accounting
5.1. Financial records
5.2. Type of financial records
6. Auditing

1
 6.1. Types of audit
7. Summary
8. References
1. Introduction

Financial Managem ent means planning, organizing, directing and controlling the
financial activities including procurement and utilization of funds of the information
organisation. It refers to applying general m anagement principles to financial resources
of any organisation. Library and information organization use it to oversee and manage
their income and expenditure with the chief objective of providing satisfying services to their
users.

An effective financial management system enables:

• achievement of short- and long-term goals

• improves performance of the information organisation
• streamlines payments for acquired resources
• ensures efficient billing procedures for sale of products and services
• eliminates accounting errors
• minimizes record-keeping redundancy
• enables compliance of accounting regulations
• helps library staff to quantify budget planning, and
• offers flexibility and expandability to accommodate change

In this module, we will learn, how allocation of funds is carried out after raising the funds
through different channels. Budget allocation is a core problem faced by most libraries
usually by public and academic libraries all over the world. The cost of library materials has
increased tremendously during the past decade while increases to the libraries’ collections
budget have not kept pace. The funds should thus be allocated in such a manner that
they are optim ally used.

Once the funds are allocated, the next exercise is preparation of the library budget. This is
due to the fact that the budget defines the operational possibilities for the library during a
given period of time. It defines the health of the organization and its ability to provide
services to a growing, increasingly diverse population that is demanding a greater variety of
library materials in many formats.

In order to compile a budget, a library or information professional needs to have a good

understanding and knowledge of the library’s expenses and sources of revenue and plans
for future growth. Timelines are generally given in which current budget expenditures and

2
revenues should be estimated. Future budgets are based upon costing forecasts derived
from the current budget estimates.

Besides learning types of budget, methods of budget preparation, justification and approval
of budget, we will also learn the kinds of financial records required by information
organisations. Lastly, importance of audit in financial management will also be covered.

2. Allocation of Funds

Financial management is considered to be an integral aspect of management of any

organisation. Libraries and information organisations too require effective and efficient
management of their financial resources. However, information organisations being not-for-
profit making organisations, differ from other organisations as far as the financial allocation is
concerned. Libraries have usually been allocating their budget according to a formula based
on usage statistics and cost of the materials. In the past few years, this approach has
undergone a change due to the changing information technologies. Besides this, presently,
fund allocations need to be adjusted from year to year, because of the constantly changing
priorities of the institutions and the budgetary constraints faced by libraries.

Allocation of funds is dependent upon the following:

• To determine how libraries spend on their resources;

• How much of the share of the total budget is devoted to various services provided by
the particular library;
• What is the composition of the resources allocated to each of the services;
• What are the costs for each unit of service delivered (assuming that output
measures are available);
• What resources could we reallocate to support an existing service or to start a new
service;
• Limited funds to purchase library materials;
• Formal and informal allocation of funds; and
• Perception of fairness and rational basis while allocating.

The most popular approaches to library budget allocation are formula based allocations. In
these approaches, the allocation is determined proportionally based on several factors such
as the number of functional divisions/units, user categories and number of users in each
category, number of full time employees, etc. However it is hard to determine which factors
to include in the formula and how to weigh them with a rationale which justifies these
decisions.

3
Although in many libraries allocation formulae are used to allocate funds while many more
just adopt an information approach to allocate funds. Rational, well-documented methods of
fund allocation has several advantages over informal or ad hoc approaches. While allocation
formulas can be applied to all kinds of library materials, relatively few institutions use
formulas when allocating budgets for subscriptions or continuing resources. Formulas are
used more often in the allocation of budget related to book collection. Funds should be
allocated in such a manner that they are optimally used. In order to allocate funds in the best
possible manner, the following points must be considered:

- The size of the organisation and its growth capability,

- Status of on-going activities, whether they are long term or short term, and

- Mode by which the funds are raised.

These financial decisions directly and indirectly influence other managerial activities. It is
also vital to understand the library’s parent institution’s resource allocation system. There are
various types of systems for allocating resources, and each can accomplish this task in very
different ways. Although every library’s parent organization’s allocation system probably has
unique aspects, most fall into one of almost a dozen general categories. Library heads who
know how resources are allocated to their budgets can more easily determine how to
influence the parent body so that their budgets get more money.

3. Budget Of Library/Information Organisation

Budgeting is the basic tool of financial management. A budget can be used to:

- provide a plan stated in monetary terms;

- identify costs associated with accomplishing specific goals;

- supply a basis for negotiation and subsequent authorization; and

- monitor progress toward goals.

Budgeting is essential to the financial management process. It is the most basic tool for any
librarian for communicating his/her plans and goals in financial terms. It is a very useful
management tool. Budgets can be developed at almost any organizational level, from that of
a particular product or service to the master budget for the organization as a whole. Most
librarians and information professionals usually deal at the level of a departmental budget,
made up of the costs for one or more specific services or activities. A budget must be
realistic, reasonable, and attainable.

As already stated above, promoting good library services depends on finance. Besides this,
efficient library organization and management depends on adequate financial provisions in

4
budget of the library and information organization. The library authorities have to be aware of
the fact that for better value of library services they should be willing to spend whatever is
necessary for providing these services. Budgetary items in libraries may include:

1. Salaries

2. Training and continuing professional development

3. Capital items

4. Overheads

5. Operational costs

6. Acquisitions

7. Subscriptions

An annual budget must be established for each library to provide a tool to project resources
necessary to achieve its goals and objectives, to measure current financial performance and
guide operations related to financial provisions and to detect substantial changes in
circumstances or working conditions of the organization. Various department of the library
must operate within their allocated budget. If expenditures exceed the budget, justification
for such excess must be provided. A formal plan to eliminate deficit balances must also be
developed.

3.1 Different kinds of budgets

There are different kinds of budgets which one may come across or which one may see from
references in literature. These are:

- Line Item Budget

- Lump Sum Budget
- Formula Budgets
- Performance Budget
- Programme Budget
- Planning Programming Budgeting System (PPBS), and
- Zero Based Budgeting (ZBB)

Let us discuss these methods of budgeting as below.

a) Line Item Budget

The most common type of budget is the line item budget and it consists of a series of lines,
each of which represents a different item of expenditure. The first line may by salaries,
followed by cost of materials, equipment and machinery, contingencies, etc. There is no hard

5
and fast rule as to how these lines are determined and the items specified in these lines may
vary from organization to organization. The chief advantage of this method is that it is very
simple and easy to prepare and for subsequent years by marginally increasing the amounts
the budgets can be prepared. This method, however, has several drawbacks. These are, its
inability to inform how money will be spent, there are no future projections and lastly, it is
very rigid as money allocated for one head cannot be shifted to another head. But chief
advantage is that it is simple to prepare and easy to understand.

b) Lump Sum Budget

In this approach, the authorities provide adequate funds to the parent body of the library and
out of which the parent body fixes a certain amount for the library. Usually as a norm, a
certain percentage of the whole budget is fixed for the library and the library has to manage
out of that amount. In this manner, the budget for the library appears to be lump sum in the
organizational budget of the parent organization. However, although the amount may appear
to be lump sum, the library professionals have to decide how to allocate funds to various
heads of the library. Thus, budget preparation here is at lower or micro-level or a specific
budget in a large organization that otherwise prepares budget in the macro-level of the
organization.

c) Formula Budgets

The formula budget describes a situation in which the distribution of funds to various
organizations performing a similar or a parallel function is based on some formula. For
example, a state may distribute funds to libraries within the state university or college system
based on a particular formula, input for which might be the number of full-time registered
undergraduate students, postgraduate students, faculty members, the extent of collection at
hand and to be maintained, or any other such factor. Such a formula could determine the
precise amount to be allocated to each institution or the relative size of the amount which
each organization gets. A formula budget, of course, determines what the library will get, and
not how it will spend. The library has also to carry out the planning and the other details
required in the budgeting process to determine what is the best way to spend the money.

d) Performance Budget

In this case, the budget is based presumably on what the organization does and what
services it proposes or is required to perform. For each item, a unit cost could be developed.
For example, it costs ‘A’ amount to circulate a book, ‘B’ amount to process a new book. The
budget of the library would then simply be based on the volume of the activities anticipated
for the year, taking into account the unit cost for these activities. A performance budget thus
is based on expenditure incurred on performance of activities and the stress is on

6
operational efficiency. A drawback of this method is that it measures only quantity and not
quality which is rather difficult to measure as user satisfaction depends on it.

e) Programme Budget

Here, the proposed expenses of the organization are delineated and analysed by the
functions it undertakes. A programme budget usually sets forth the library’s proposed
expenditures as they are related to each function. The advantage of such a budget is that
one can see what the money expended is doing and one also get an idea of what will suffer
if the budget is cut or what resources will be needed to increase the scope or extent of
particular services or functions. A useful and informative way of presenting a budget is to
graphically combine the line item budget and the programme budget. Such an assembled
presentation shows what money is going where and to what end.

f) Programme Planning and Budgeting System (PPBS)

A sophisticated and revised version of programme budgeting is referred to as the

Programme Planning and Budgeting System (PPBS), which combines the best of
programme budgeting and performance budgeting. PPBS was introduced for the first time in
US Department of Defense, by Robert McNamara in the 1960s. The chief feature of this
approach is that the objectives to be accomplished are defined before the resources are
allocated to carry out the activities/programmes. After the objectives are defined, the various
alternatives for accomplishing those objectives are examined and costs estimated. After the
selection of the appropriate alternative, the budgets for the organization are created.
Because the system looks at various alternatives, it must view those alternatives over a long
period of time. Thus, the effective life of each alternative is required to be evaluated, which
alternative will first require replacement, how costly will that replacement be, etc. In addition,
PPBS does not assume an organizational structure. Only after the alternatives are weighed
and evaluated and a course of action is selected, the effect upon the organization will be
clear.

PPBS, thus, involves expressing an objective and then evaluates the adequacy of different
alternatives in terms of meeting that objective, the more one can quantify both the objective
and the results of the different alternatives, the easier the decision making becomes. This
quantification, however, is a function of the implementation of PPBS, and while a formal
PPBS program is not functional without objectives and alternatives that can be quantified in
some degree, that quantification is not the essence of PPBS itself. The PPBS method,
therefore, combines the functions of planning activities, programmes and services,
translating them into tangible projects and finally presents the requirements in budgetary
terms.

7
g) Zero Based Budgeting (ZBB)

The latest technique f budgeting, which has been primarily used in industry and government
but now also in all types of libraries is the Zero-Based Budgeting (ZBB). This technique
started in United States in the early 1970s and has become quite popular in India too
especially in the government sector. ZBB is defined as a method of budgeting in which all
expenses must be justified for each new period. Zero-based budgeting starts from a "zero
base" and every function within the organisation is analysed for its needs and costs. Budget
is then built around what is to be done in the coming year, regardless of whether the budget
is higher or lower than the previous one.Let us look at this approach in terms of libraries and
information centres. In case of conventional budgeting systems, previous year’s budget is
used as a baseline and is usually adjusted to reflect current situations and justification is
given for increases in various activities, etc. In case of ZBB, each unit of the budget must be
justified and placed in a hierarchy. Activities are broken into packages and funds are
allocated in their package hierarchy until funds are no longer available till the cut-off point.

Thus in zero-based budgeting two important steps are identified, that is, identification of the
decision packages and ranking of these packages. In identification of decision packages, the
package identified should be the lowest unit for which a budget can be prepared. It requires
a description of each activity with that management unit. This process of description requires
the identification of goals and objectives, a statement of alternatives, the reason for the
activity, consequences of not introducing the package, detailed measurement of
performance and the costs of the activity. After a decision unit is identified, a series of
decision packages is identified, each including goals and objectives and so on. The process
of specifically identifying decision packages focuses on the best way of doing things, either
by saving costs of efficiency of service. Once the alternatives have been suggested,
quantitative measures must be established to monitor output, which is usually expressed in
financial terms. With all the decision packages developed, using the objectives as guides,
they are ranked in priority order and are presented for approval or rejection, the decision
being based on position in hierarchy and affordability.

Ranking decision packages or setting priorities with each unit of the organization helps in
taking decisions about the most important activities within that unit of the organization. After
each unit identifies its priorities, the priorities of all units are collected together and the
process is carried out in the light of the decision packages’ importance to the total
organization. Each decision package relates, to some extent, to others, and this
interrelationship must be considered in ranking them, because related decision packages
share costs of personnel and resources. At some level in hierarchy of the priorities is the
cutoff level, and decision packages that fall below it are not funded. Because setting

8
priorities at the organizational level involves every unit within the organization, it is important
that guidelines be established for ranking purpose.

Zero-based budgeting thus is not concerned with what happened previously but with what is
required in the future. Also it is very similar to PPBS as careful analysis of activities what are
required for the library and their justification has to be identified. The ZBB process also
enables an indication of the real costs of the various activities with an estimate of the
minimum cost level necessary to provide each service. All the above factors makes the zero-
based budgeting the best technique for budgeting especially in Indian libraries.

3.2 Budgetary standards and norms

In the previous module, we have learnt the methods of financial estimation, which are, per
capita method, formula method, proportionate method, and method of details. In the per
capita method, minimum financial appropriation is made on per head basis which is
considered essential for providing proper or standard library services. In the case of formula
method, the distribution of funds to a library is based on some predetermined formula. The
proportionate method is based on the presumption that authorities provide adequate funds
to the parent body of the library and out of which the parent body fixes a certain fixed
amount for the library. Lastly, the method of details involves all the items of expenditure to
be taken into consideration for the purpose of preparing financial estimates. In view of this,
let us now know about budgetary standards and norms.

As you are aware, the chief items of any budget are:

- Salaries of staff

- Cost of materials including books and periodicals

- Stationery, equipment, supplies

- Maintenance expenditure

- Miscellaneous and contingency charges

For establishing budgetary norms and standards concerning distribution of funds to libraries,
the above mentioned major items of expenditure are to be taken into consideration. These
norms and standards differ from library to library.

Ranganathan has suggested the following norm for expenditure for a university library:

Staff 50 %

Books and other reading materials 40 %

Miscellaneous 10 %

9
The University Grants Commission Library Committee has also suggested similar norms for
university libraries. Taking into account the commendations of UGC, other university and
education commissions, similar standards in other countries and several library experts, the
following norms have can be established for academic libraries.

Salaries and Allowances 50 %

Books 20 %

Periodicals 13 %

Binding 7%

Others (including maintenance,

Stationery and contingencies) 10 %

Similarly, in the case of public libraries, the norms are as below:

Salaries and Allowances 50 %

Books 20 %

Periodicals 5%

Binding 5%

Others (including maintenance,

Stationery and contingencies) 20 %

For the special libraries, the following norms can be applied:

Salaries and Allowances 30 %

Books 20 %

Periodicals 30 %

Binding 10 %

Others (including maintenance,

Stationery and contingencies) 10 %

However, with regard to the above norms, it has to be remembered that the above
mentioned norms are only applied as guidelines as each library has to go according to the
rules and regulations of its parent body and the norms as eventually decided by its
authorities are to be considered for the purpose of budget making. The chief objective of any
library is to provide services to its users in the best possible manner. Therefore, with the

10
increase in costs of reading materials and increase in salaries, the budgets should also keep
pace. The library budget should also be prepared keeping in view the demands made on the
library.

4. Preparation of Library Budget

Before preparing a budget, it is always essential to examine the budget history, that is,
examine budget statements and end-of-year statements for the last three years to get the
history of the organization and determine trends. The preparation of the budget is the
responsibility of the librarian or the information professionals who are also entrusted with the
job of administering the allocated funds within the library’s overall programmes and
activities. The details about the items on the budget and their justifications form part of the
budget preparation process, but justification should not be limited to any time frame. The
review and questioning about services and justification for funds should be a continuous
process. The senior management and financial authorities should convey the views and
policy directions for the budget under preparation well advance before the actual
presentation of the budget. Proposals for new and forthcoming services, activities and
projects should also be prepared and projected properly in the budget under preparation.

The proposed budget should be fully supported with proper documents justifying the
proposals and linking these with approved plans. The library professional responsible for
preparing the budget should do the home work properly by taking sufficient time and with
proper efforts to understand the budgeting process within the parent organization. This
helps when final presentation of the budget is made to authorities for approval and justifies
the requests for monetary funding for the future.

4.1 Calculation of expenditure

The preparation of budget necessitates calculation of expenditure which consists of the

capital expenditures and operating expenditures. Capital expenditures are one time
expenditures like the new library building or automating the library or buying a photocopier,
etc. Capital expenditures can reoccur, but they are not on-going costs. They usually
represent long-term investments.

Operating expenditures are current, on-going costs associated with the day-to-day
operations of the information organization. These are divided into fixed and variable costs.
The fixed costs relate to annual overhead charges such as rent, building maintenance,
security, charges for contractual services, etc. On the other hand, variable costs vary
according to usage and relate to consultancy fees, use of online retrieval of information,
electricity charges, conveyance charges, postage, etc.

11
In Indian libraries, the budget requirements are usually filled up in a pre-designed form
devised for the purpose by parent organization of the library. The details to be included in
this form include details of expenditure on:

a) salaries and allowances of library staff members, and

b) various items required for the library.

All the items of expenditure are to show under:

1) actual expenditure actually incurred the previous year

2) original financial estimates for the current year

3) revised estimates for the current year, and

4) original financial estimates for the next year.

This reflects the fact that the budget preparation is not an exercise which is carried out in
isolation and is an effort where details of expenditure of previous year, expenditure being
carried out in the current year and projections for the future are being carried out. Thus the
whole process has to be carried out by an experienced person who is well-versed with the
activities of the organization as organisation’s performance is being reflected in the
budgetary preparation process.

4.2 Contents of a budget document

The budget is a document that is prepared, seen and approved by several officials at
various levels of the organisation. Thus, it is has to be self-contained in all respects with
regard to the activities and services of the library. Every item of expenditure should have
reference to the past allocations, current allocations and future requirements with clear terms
and proper justification for the additional funds requirements.

The contents of a budget document should be:

Title page

Contents page

Mandate of the library

Synopsis of the budget

Complete budget in tabular form (on a single page)

Part I

Goals and objectives of the library (Briefly)

Activities and achievements of the previous year

12
 Anticipated activities and proposed goals (for the Budgeted year)

Future projections

Part II

Budgetary estimates

Item-wise estimates

- Salaries and allowances

- Reading materials

 Documentary

 Electronic

- Library services

- Machinery and equipment

- Stationery and consumables

- Maintenance and security

- Conveyance, postage

- Contingencies

- Miscellaneous

Lastly, a conclusion may be given which may give additional information and other
justifications, if required, regarding request for additional funding.

4.3 Principles of budget-making

There are two fundamental budgeting principles, firstly, a budget is a tool for planning
and monitoring, and secondly, for the budget to be accurate and effective the process must
be inclusive. The librarian is responsible for preparing budget estimates in consultation with
administration and finance departments of the library. The budgetary estimates should also
include expenditure on new staff already recruited or to be recruited and likely purchase of
new furniture and equipment for the library. The following aspects for submitting budget
estimates may be borne in mind:

1. Demand should be made in the budget estimates for non-recurring and ad hoc grants
towards employing temporary staff for a specific period to purchase and process
library materials required for specific purpose.

13
2. The budget should be submitted and approved well in time before the beginning of the
financial year.

3. The budget estimates should be prepared in consultation with various departmental

heads of the library.

4. The library in-charge should ask for sufficient funds in each category of the budget to
support the various programmes leading to sound development of library activities.

5. The budget should represent library planning in terms of its objectives and goals
including provision of funds for purchase of books and periodicals for new
projects/activities to be instituted in the near future.

6. The budget should be reasonably flexible in its execution. The classification of the
budget categories should enable the librarian to check the financial record against the
periodic balance statements sent out by the accounts department of the library.

The guiding principles of budget-making reflect the fact that development of a budget is a
political and administrative process that also has financial and technical dimensions. In view
of this, principles of budget-making are:

- Establish broad goals to guide decision making

- Develop approaches to achieve goals
- Develop a budget consistent with approaches to achieve goals
- Responsible fiscal management
- Clear lines of accountability
- Flexibility to respond to short-term challenges and plan for a long-term vision
- Good financial information
- Stability in the decision-making process
- Evaluate performance and make adjustments

Besides the above, it should be remembered that a budget does not exist in a vacuum.
Instead it should respond specifically to the organization’s current operating context. The
financial weaknesses of the organization have to be identified and rectified in the in the
coming year. If the organization want to do differently or better next year, measures for the
same have to be taken.

4.4 Justifying the budget request

The budget justification is an explanation of each of the components of the budget, which
"justifies" the cost in terms of the proposed activity. The explanations should focus on how
each budget item is required to achieve the aims of the organisation and how the estimated

14
costs in the budget were calculated. When a detailed budget is submitted, all items in the
budget should be justified.

After preparation of the budget, it is submitted to the authorities for approval. Before final
approval to the budget is granted, the authorities may want to know why funds are required,
especially if request for funding is more than the previous year. It may befor new
recruitments, new services, additional equipment, etc. The merits of the request made are
reviewed by the authorities in the light of other similar organizations and the availability of
funds for disposal. While justifying the budget, it is required that details and explanation for
additional funds be provided.

Many times, it is a good idea to ask for slightly more than actually required by padding all the
financial requirements. It is due to the fact that usually budgetary authorities tend to sanction
amount lesser than what is actually asked for. In such cases, the information organizations
manage to operate even if complete amount as requested for is not approved as they had
originally asked for slightly more than actually required.

Lastly, while preparing the budget, it is essential that all budgetary requests are made in a
simple straightforward manner under proper budgetary heads. Many times authorities reject
or ask for revision of the budgetary details if they do not understand the presentation/request
for the budget. It is also essential to keep ready all supporting documents that are available
and required as these are very essential for justification of the budget.

4.5 Approval of the budget

Approval of the budget by the authorities of the information organization is only after they are
satisfied with the justifications provided by the librarian who presents the budget. The
approval in academic organizations is granted by the library committee which is composed
of senior academicians and the authorities finally approve the budget. In case of public
libraries, the public library authority has the power to approve the budget. Finally in case of
special libraries, the parent body of the library or the governing board of the parent body has
the power to approve the budget.

The approved budget is formally notified to the library professionals and in the beginning of
the financial year, the expenditure starts under various budgetary heads.

5. Accounting

Accounting is a pre-requisite of a sound and efficient financial management system of any

library or information centre. It is primarily a system of measurement and reporting of
economic events based upon the accounting equation for the purpose of decision making.

15
Generally, when someone says "accounting" they are referring to the department, activity or
individuals involved in the application of the accounting equation.

In accounting, systematic maintenance of income and expenditure of the library or the

information centre is carried out by recording the same. Proper accounting also helps in
future planning and preparing budgets for the forthcoming years. In libraries and information
organizations, accounting is referred to as the bookkeeping methods involved in making a
financial record of transactions and in the preparation of statements concerning the assets,
liabilities, and operating results of the information organisation.

Accounting is also the classification, analysis, and interpretation of the financial,

or bookkeeping or records of an organization. The professional who supplies such services
is referred to as an accountant. In the recent years, libraries too require the services of
qualified accountants for efficient financial management. It is different from auditing which is
an important branch of accounting. Thus, accounting, in other words, is a system that
provides quantitative information about finances by maintaining and auditing records and
preparing financial reports for the library.

5.1 Financial records

Financial records are those records that deal with finances or relate to financial matters.
Libraries and information organizations too, like other organizations, maintain their financial
records. As in the case of budget preparation, the financial records are maintained as per
the practice of the parent organization of the library. In the present times, the librarian
usually does not maintain separate financial records for the library but these are usually
maintained by the accounts section of the parent body of the library as the purchase
transactions and payments, etc. are handled centrally. However, in case of large libraries,
like a national library or a large university library, there may be a separate finance division
specially for handling the financial transactions of the library.

The financial records are to be maintained on yearly basis, that is, from the beginning of the
financial year till the end of the financial year. Records for the particular year are to be
maintained and the exercise should begin afresh from the next year. The financial records of
any library should usually contain details of outstanding orders, bills pending for payment
and bills already paid.

The chief purpose of financial records is to keep the expenditures in check, that is, within the
approved budget. Some other uses of the financial records are:

- These help in preparing the annual report especially with regard to the details
concerning financial spending, etc.

16
 - These are useful in allocating budget under various budgetary heads.

- These provide first-hand information about allocated budget already spent and due in
a particular financial year, and

- These make available details about payments received, payments due, bills pending,
etc.

The financial records also maintain details related to the payments and the receipts issued.
There is diversity in the manner in which the records are maintained by various libraries and
information organizations. It should be remembered that it does not matter much regarding
the manner in which the records are maintained but what matters most is the fact that the
accounts should be kept in a simple and straightforward manner and the records should be
as simple as possible. Simplicity leads to consistency and efficiency and in the matter of
financial records it better that they are convenient to check all the time.

5.2 Type of financial records

The various types of records to be maintained by any library or information organization are:

a) Ledger
b) Cash book
c) Allocation register
d) Invoice register
e) Salary register
f) Monthly Statement of expenditure
g) Petty cash register
h) Purchase record
i) Revenue record
j) Equipment register

6. Auditing

Auditing is a very important process for any organization for efficient financial management.
It is referred to as:

- An examination of records or financial accounts to check their accuracy,

- An adjustment or correction of accounts, and

- An examined and verified account.

Auditing, thus,is examination and statement of accounts and of other documents connected
with accounts by persons who have had no part in their preparation. Systems of financial
inspection have long been used, especially in connection with public accounts. It must

17
determine whether all assets and liabilities shown are actual, and that they are properly
incurred, valued, and recorded. A check must be made of the surplus, income, and capital-
stock accounts, verified by the examination of the authorizations for expenditure and by
comparing the amounts issued with the amounts authorized. Finally, auditing constitutes an
independent check on the tendency to overstate assets and understate liabilities.

6.1 Types of audit

In Indian libraries, two types of financial audit systems are seen, these are, pre-audit and
post-audit also referred to as audit.

6.2 Pre-audit

Pre-audit system is usually followed in government organizations where the audit system is
very rigorous. Also in case of pre-audit, no item can be passed for payment or no payment is
dispersed unless it has been first audited. The pre-audit system thus reduces the
responsibility of financial department making payments as all the essential verification
related to charging of approved rates, correctness of calculations, checking of items, etc. are
carried out by the audit department or an authorized financial person in advance. Here,
instead of the dispersing officer, the audit officials usually satisfy themselves regarding
authenticity of the payment and all bills, etc. related to the payment.

In many large organizations, usually the parent organization gets carried out a pre-audit by a
team of professional auditors prior to the actual audit. This reduces the errors, etc. when the
actual audit takes place.

3.3 Post-audit

The usually practice in most of the libraries and information organizations is that audit is
carried out by a team of professional appointed by the financial authorities or the
government responsible for funding the organization. In post-audit, the usual method of
making payments by finance department are carried out after proper documentation of bill,
maintenance of records and proper entries in ledger, cash book, etc. At the end of financial
year, the professional audit team visits the library, checks all financial records minutely or
randomly as the case may be. Payments made during the year are checked against the
sanctions, approvals, appropriation of budget alongwith bills and proper entries, etc. If any
mistakes are noticed, these are pointed out and accounts persons are warned to make
corrections, if possible and to be careful in the future.

In libraries and information organizations, although the finances are handled by the finance
department of library or of the parent organization, the responsibility for getting the auditing
done lies with the librarian or in charge of the library. It is, therefore, essential that the

18
librarian should maintain the all the financial records in order alongwith all the bills etc. for
various payments made during the financial year.

Fig.: Budgeting Cycle in Information Organisations

Financial
Estimation

Auditing Allocation
of Funds

Accounting Budget
Preparation

Disburse
ment
(Carry out
activities)

7. Summary

Significant features of a good financial management system includes keeping all receipts
and payments transparent, maintaining financial records up to date and controlling the
financial statements. Librarians have to fully understand and prepare a comprehensive
budget as a plan for current, future and long-range library growth.

Budgeting for library services is one of librarian’s or information specialist’s most important
tasks. During the economic times, a librarian may find it easy to justify an increasing budget
to the library’s governing body, but in times of gloomy financial forecasts, library services
may be seen as non-essential. A budget may be realistic, reasonable and attainable. The
departments of the organization must operate within their budget. If expenditures should
exceed budget, justification for such excesses must be provided. A formal plan to eliminate
deficit balances must also be developed.

Budgetary planning should be based on library’s mission statement and goals. It is always
better to prepare long-range (three to five year) financial plans. Budget documents
generally need to adhere to a format specified by the parent organization. There are several
different types of budgets: line item budgets, program budgets, zero-based budgets,
performance budgets, and five-year (or long-range) budget. An organization may choose to
use any of these types of budgeting procedures.

19
The budget defines the operational possibilities for the library during a given period of
time. It defines the health of the organization and its ability to provide services to a growing,
increasingly diverse population that is demanding a greater variety of library materials in
many formats.

The final aspect of budgeting involves maintaining the financial records and getting the
auditing of the records carried out. The financial records should be kept in simple yet
meticulous manner so that all payments etc. are shown along with proper documentation.

References

1. Drucker, P. F.Managing the non-profit organization: practices and principles. New

York: Harper, 1992.
2. Evans, G.E. “The in’s and out’s of library budget preparation.” The Bottom Line:
Managing Library Finances 14, no.1 (2001): 19-23.
3. Hallam, A. and Dalson, T. Managing budgets and finances : a how-to-do-it manual
for librarians. New York: Neal-Schuman Publishers, 2005.
4. Linn, M. Budget systems used in allocating resources to libraries. The Bottom Line
20, no. 1(2007): 20–29.
5. Roberts, Stephen A. Financial management of Libraries: Past trends and future
prospects. Library Trends 51, no. 3 (2003): 462-93.

20
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 18 Space Planning

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Ishwar Bhat
Content Writer Chief Librarian, Presidency University

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 18

SPACE PLANNING IN LIBRARIES

I. Objectives

The objectives of the unit/module are to:

- Describe the various components of physical resources of libraries;

- Explain the need for a well-designed library building, furniture and fittings, etc.;
- Distinguish the various equipment required for a public library;
- List the various functional areas of a library; and
- Give estimate of space requirements of libraries in the electronic era.
II. Learning Outcomes
After going through this unit/module, you would learn various components of physical
resources of libraries, the need for a well-designed library building furniture and fittings,
etc. You would also learn about the various equipment required for a library, various
functional areas of a library, and estimation of space requirements of libraries in the
electronic era, etc..
III. Structure
1. Introduction
2. Preliminary research
3. Library space planning : who does what ?
3.1. Planning a library building
3.2. The size of the library
4. Principles of planning libraries
5. Location
6. Functional areas in libraries
6.1. Interior of the library
6.2. Design of the library
6.3. Space requirements for different functional areas
6.4. Relative position of functional areas
6.5. Secondary collection
7. Compact shelving
7.1. Multi-tier stack systems (MTSS)
7.2. Weeding out policy

1
 7.3. Digitization of old materials
7.4. Noise prevention
8. Space requirements in electronic era
8.1. Air-conditioning
8.2. Facilities for the physically challenged
8.3. Fire safeguards
8.4. Parking
8.5. Wash rooms
8.6. Green surroundings
9. Summary
10. References
1. Introduction
Library buildings play an important role in provision of library operations. They should be
designed to reflect the functions of the library services, be accessible to all the users of
the community and be sufficiently flexible to accommodate new and changing services.
Besides being easily accessible, they should be located close to other essential activities
of the concerned parent organization. The library collection and services too should also
be available for all categories of users. Librarians should, therefore, ensure that library
buildings are used and managed effectively to make the best use of the facilities for the
benefit of the whole community.

When we design a library building, we need to keep in mind not only its functions but present
and future needs too. The building should provide a conducive environment for the use of the
resources and at the same time, facilitate efficiency and economy in administrative functions. A
library building is expected to perform the following functions: (Kaula, p. 55)

a) Effective technical operations of the library;

b) Efficient and rapid production of information and material on demand;
c) The provision of quiet, comfortable and attractive areas for study;
d) The provision of individual and collective studies for the users doing intensive
research work;
e) The provision of facilities for developing reading habit;
f) The provision to facilitate the contact of users with the contents of the library;
g) The storage and preservation of reading materials; and
h) The accessibility of the reading materials to users without the loss of time.

2
2. Preliminary Research
Designing the library is an art and most of the librarians get the opportunity to design the
library building once or very occasionally in their professional lives. However, one can
benefit from the experience of others. Therefore, much before the actual designing starts,
one important activity is to visit as many new library buildings as possible which would
give a better perspective. One can learn from the successes and failures of others by
visiting recent library buildings. The librarian has to identify the right kind of libraries for the
visit. Besides, the librarian has to observe the various features, use of technology,
experience of the users, and experience of the staff too.

Another way of conducting research is by conducting a survey of the present users of the
library in order to get their views on what features are required in the new library building.
A focus group meeting with the users will also be of help.

3. Library Space Planning : Who Does What ?

Library is planned from inside out. The external shape of the building, color, designs,
orientation, etc. will be decided after the interior functional areas are meticulously planned
by the librarian. The librarian has to specify all the functional areas of the library
envisioning the future, space requirements for each functional area as per professional
standards, other specifications for each functional area, movements and traffic circuit
and inter-relationships between the different areas. Librarian has to do the planning
keeping in view the growth of the library for the next 20 years. Once the functional
areas are fully described to the architect, the finer aspects of plans should include aspects
like internet, ventilation, window details, cooling, heating, internal fittings, prevention of
direct sunlight into the library, acoustics, aesthetics, etc. The architect translates the
librarian’s ideas into graphical form, which, at the later stage, gets implemented by the
engineers. In some countries of the west, a Library Consultant who has rich experience in
designing libraries is also appointed. The job of the library consultant is to not only make
available his experience but also suggest innovative ideas without getting influenced by
the way the library functions at present. In order to get a better perspective, the library
consultant may meet the library users, senior administrators of the organization and if
necessary, conduct a survey seeking views of all stakeholders. The close interaction of
librarian, library consultant and the architect continues till the final designing and drawing
stage is complete. Once the designs and drawings are approved, the architects, engineers
and contractors take over the works and the role of librarian and the library consultant is

3
 to make periodic inspections and provide guidance to the construction team whenever
required.

3.1 Planning a library building

While planning a library building, the librarian and governing body should consider the
following elements:

- Function of the library

- Size of the library
- Design features
- Designated spaces
- Accessible shelving space
- Signage posting
- The ambience of the library
- Space for electronic and audio-visual equipment
- Safety

3.2 The size of the library

The amount of floor-space required by a library depends on such factors as:

- Unique needs of the individual library

- Functions of the library
- Level of resources available
- Size of the collection
- Space available and the proximity of other libraries.

Because these elements will vary significantly from place to place and depend on kind of
library, it is not possible to propose a standard on the space required for a library. Library
buildings exist to support library services needed by their users. Therefore, libraries must
be designed to support a particular library’s service program. There are, however, some
traits that all libraries should have in common: libraries should be attractive, functional,
efficient, flexible, barrier-free and expandable. Additionally, libraries must be designed
around the needs of users but with staff efficiency in mind as expenditure on staff is the
major expenditure of libraries.

Library services continually evolve. When planning a new building or expanding and
renovating an existing one, the design must be flexible enough to accommodate changes

4
 in services and technology. Long-range planning that responds to identified community
needs and anticipates change is an essential part of the design.

4. Principles of Planning Libraries

Important principles of planning libraries are :

a) Functional aspects of the library get a priority over the appearance and aesthetic
aspects;
b) The building should provide economy in administration and operations;
c) The study areas should be close to the active book collection;
d) The building should represent simplicity and user-friendliness;
e) Future requirements in terms of functions, stock and services be given due
consideration;
f) There has to be provision for expansion of the building, if the need arises in future; and
g) Adequate provision has to be made for the physical conveniences for the staff.

5. Location
Location of the library has to be, as far as possible, be central or most easily accessible to
the largest number of users. If a hall is to be chosen for the library in a multi-storied
building, the ideal place will be ground floor rather than the basement or the upper floors.
In a university campus which houses several buildings, the site which is near the
academic block has to be chosen for the library rather than the one which is at the far end
of the campus. For a city central library, a site right in the heart of the city is preferred
rather than a site located in the city outskirts, though it has scenic beauty around. The
traditional thinking that the library has to be necessarily located in a quiet place conducive
for study is to be discarded. On the other hand, the ideal place is the one which attracts
the maximum number of users. It is possible to build an environment conducive for study
even amidst busy surroundings, but it will be a challenge to ensure good use in a place
which is not convenient for the library users to visit.

6. Functional Areas in Libraries

6.1 Interior of the library

In a library building, space is required for storing reading material, users to sit, read and
consult material, staff activities, services and for amenities to be provided to users. Thus

5
 while planning the library building, provision for space for the following activities/divisions is
to be made.

a) Reception/Entrance Hall
b) Reading Room
c) Children’s Reading Room (in public libraries)
d) Study carrels (in university libraries)
e) Meeting/Conference/Exhibition Hall/Room
f) Computer room
g) Librarian’s Room
h) Staff Rooms
i) Acquisition Section
j) Technical Services Area
k) Administrative and Finance Section

6.2 Design of the library

The need for an attractive library building should not be underestimated. A comfortable
and welcoming atmosphere is a critical part of providing excellent, modern library
services. Friendly and pleasant surroundings encourage most of the community to use
the library and to regard it as an essential part of the community. Libraries that are
inaccessible, shabby, dirty, and unattractive dissuade library users as unimportant. The
design of every public library should encourage users to visit, use the library, read and
learn.

Broadly speaking, the following are the functional areas in the libraries:

- Entry/Exit gates
- Cloak room(s)
- Circulation Desk
- Display area for new books, notices, etc.
- Card catalogues or OPAC terminals
- Reference/Information desk
- Periodicals/newspapers display
- Reference sources such as dictionaries, encyclopedias, etc.
- Reserved books (Textbooks) area
- Stacks

6
 - Reading tables and carrels
- Discussion rooms
- Special collection such as rare books/art books/archives
- Toilets for men and women
- Cafeteria
- Rooms for Librarian and Deputy Librarian
- Technical processing rooms
- Multi-purpose halls for lectures/meetings or exhibitions
- Audio-visual hall
- Digitization laboratory
- Room for computer servers, UPS, etc.
- Desks for library office staff, such as clerks
- Temporary storage area for back issues, old newspapers, weeded out books, etc.
- Book repairs and bindery
- Photocopying facility
- Computer terminals for browsing, printing, scanning, etc.

The above list must not be taken as an prescriptive model as the functional areas depend
on the type of library, its objectives and activities and requirements of the users. For
instance, in a small library, various functions including technical processing, book repairs,
administrative works, digitization and even computer servers can all be accommodated in
one room, while in a big university library, even the rare book collection might demand
several halls.

6.3 Space requirements for different functional areas

Space requirements for different functional areas can be worked out on the basis of Indian
Standard, Design of library buildings – recommendations relating to its primary elements
(Second Revision) (IS 1553: 1989). Originally it had been brought out in 1960 by Indian
Standards Institution (now renamed as Bureau of Indian Standards) with the title, Code of
Practice relating to Primary Elements in the Design of Library Building (IS: 1553 – 1960 ).
The original standard had been prepared by the Sectional Committee on Library Buildings,
Fittings and Furniture under the Chairmanship of Prof. S. R. Ranganathan. The standard
was revised in 1976 and 1989. Though the standard was primarily meant for university and
college libraries, a large part of its content can be applied to other libraries too, such as

7
public libraries and special libraries. Some important recommendations from IS 1553: 1989
are reproduced below :

(i) Each floor of the library building shall be at one single level to facilitate the
movement of book trolley from one part to another. Thresholds shall not be provided
anywhere inside the building. (Ref : 9.1)
(ii) The rooms shall be arranged in such a way that the staff other than those servicing
the reading room shall not have to pass through the reading room disturbing the
readers.(Ref : 9.1.2)
(iii) Entrance to library building and exit from it shall be only through the counter
enclosure in the general reading room at the point of entrance from the entrance
lobby. (Ref : 9.2)
(iv) Gangways are not only essential for efficient functioning of the library but also to
allow easy access/passage to firemen to various parts of a room/building. The
minimum clear width of gangways shall be as follows (Ref : 11.1):
- Longitudinal gangway not less than 1 meters;
- Cross gangway not less than 1.35 meters;
- End gangway (between the end wall and nearest row of racks/reading tables)
not less than 1.325 meters).
(v) Dimensions of stack room should be as follows (Ref : 11.2):
- Each unit book rack 2 meters long may be assumed to house 700 to 750
volumes and 1sq.metre of stack room area may be assumed to house 150
volumes.
- Center-to-center distance between consecutive racks is 1.80 meters (on the
basis of 0.45 meter of rack depth plus 1.35 meters of cross gangway width).
- The distance from an end wall of the stack room to the center of the nearest row
of racks is 1.55 meters (on the basis of 1.325 meters of the end cross gangway
plus 0.225 meter of half rack depth).
(vi) Reading room (Ref : 11.3):
- The average area per reader in the reading room should be 2.33 sq. meters and
the size of the reading table is 2.4 meter x 0.6 meter. The centre-to- center
distance between two consecutive rows of reading tables is 1.8 meters. (It has
to be noted that the BIS Code recommends narrow reading tables and the
chairs are kept only on one side of the table in order to prevent cross talking.
(Fig. 2).

8
(vii) Size of other rooms (Ref : 11.4):

For use of Area in sq. meters

Librarian and Deputy Librarian 30

a)
Classifier, Cataloguer, Accession Librarian and 9 per person
b)
Maintenance Librarian
9
c) Secretary to Librarian

Visitors’ room 15
d)
Administrative and professional staff not at 5 per person
e)
service points and other than those mentioned
in (b)
Group discussion room 2 per person
f)
Conference room 2 per person
g)
Seminar room 2 per person
h)
Committee room 2 per person
i)
Cubicles 7 per person
j)

(viii) For details of principles and practices governing good lighting of libraries, reference
can be made to IS : 2672: 1966 which also recommends the levels of illumination to
be achieved by general principles of lighting. For day lighting, reference can be made
to IS 7942 : 1976. (Ref : 14.1).
(ix) Internal noise consisting generally of conversation, frictional noise (chairs scrapping
the floor and the impact of heels on hard floor) and mechanical noises (from book
hoists and typewriters) shall be controlled effectively, for example, by using noise
absorbing materials in ceiling, walls, floors and partitioning surfaces (Ref : 15.1).
(x) All legs of movable furniture should be provided with rubber shoes. The book trolleys
should be with rubber tires. (Ref : 15.1.1).
(xi) The maximum acceptable noise level in a library should be 40 to 45 dB (Ref: 15.2).
(xii) For details of methods for achieving noise reduction and sound insulation, reference
shall be made to IS 1950: 1962 (Ref : 15.3).

9
(xiii) Provision for air conditioning to maintain uniform temperature of 22±1 degree Celsius
and relative humidity at 50±5 percent round the clock throughout the year for at least
the storage space where rare books, manuscripts and similar irreplaceable materials
are stored, shall be made. (Ref : 16.1).

The IS 1553 : 1989, though comprehensive, does not provide guidelines for facilities
required for ICT applications such as computer terminals, Wifi, Server rooms, cabling,
electric points, etc. which are essential part of modern libraries. Separate standards related
to these applications are available and may be consulted by the library planning team.

(Source : IS 1553 : 1989)

10
 (Source : IS 1553-1989)

6.4 Relative position of functional areas

a) Near the entrance/exit gate: Cloak rooms. (In bigger libraries, it is advisable to have
only one gate for entrance and one gate for exit while in smaller libraries, there can be
one gate for both entry and exit. Library should not have any additional entry/exit points).
b) Lobby area : Issue Desk, Reference and Information Desk, OPAC terminals, Catalogue
cabinets, New book Displays, Notice boards
c) Middle of the library, but away from the stacks and reading areas: Librarian, Deputy
Librarian, Technical Processing, Clerical staff, Computer server room
d) Middle of the library but away from the library staff area: Stacks, Periodicals section,
Reserved books section, Reading tables and carrels, Audio-visual hall, Photocopying,
Internet terminals/scanning (It is essential that reading areas have to be near the stack
areas. If they are to be provided in the stack hall itself, the reading tables may be placed
near the windows in order to ensure natural light and air).

11
 e) Far end of the library: Book repair and binding, Digitization lab, Cafeteria, Discussion
rooms, Special collections, Toilets, Multi-purpose halls for
Seminar/conferences/exhibitions halls,.
6.5 Secondary collection

As the collection grows, it will be a good practice to categorize the collection into two
sequences, namely, the active and secondary collection. The active collection consists of
the recent additions and the collection from where the books regularly move. On the other
hand, the secondary collection consists of older editions of books, not-so-relevant and
obsolete materials. Secondary collection can be kept in upper floors or in compact
shelving described in the following paragraph. The purpose is to make the active
collection attractive by retaining latest and relevant books. Developing a secondary
collection facilitates the old and not-so-relevant books move to a less prime location and
they can be weeded out depending on the policy.

7. Compact Shelving

Compact shelving, also called as high density shelving, is a shelving system that rides on
moveable carriages over floor-installed rails. The rails are mounted on the concrete floor.
Compact shelving is available both manually and electrically operated. There are safety
devices which can stop the movement in case it makes contact with an object such as
book trolley or human being. The main advantage of compact shelving is that it reduces
the shelf space drastically by eliminating the aisles. Less used books and reading
materials can be shelved in compact shelving. Also, in some institutions where the library
has to be used as a multi-purpose hall too, such compact shelving is used.

Fig. 3 : Compact shelving system

7.1 Multi-tier stack systems (MTSS)

12
 Multi-tier stacks (MTSS) are steel shelving systems which are assembled as two or more
tiers of shelving sections in which the bottom shelving is the support for the upper level
floor. In this system, shelf uprights or columns and floor decks are self-supporting. Each
level of stack supports the level above. In this system, the shelves cannot be moved
easily. Because of lack of flexibility, MTSS are less preferred than the freestanding
modular bookshelves. Nevertheless, MTSS can be used for storage of secondary
collection books.

Fig. 4 : Multi-tier stack system (MTSS)

7.2 Weeding out policy

Libraries need to have a policy for weeding out reading materials. Extra copies of old
books, grey literature, outdated material, mutilated volumes, old CDs, DVDs, floppies, etc.
add to the maintenance cost besides occupying large space in libraries. Also, of late,
because of the migration to e-books/e-journal format, a large number of print materials
remain unused. A policy for weeding out has to be evolved and it should specify what type
of books and journals or electronic objects can be weeded out and the procedure. The
weed-out activity has to be a continuous process. Weeding out books and journals will
make space available for new additions, which, otherwise, demand building extensions.

7.3 Digitization of old materials

13
 In the electronic era, digitization of less used and old books helps in space saving
provided the library complies with the copyright laws. Many libraries have digitized too old
materials and built digital libraries. It is common to find own publications of the parent
organization and theses submitted to the universities being digitized and made available
either through intranet or for a wider public through internet.

7.4 Noise prevention

Library has to be designed so as to provide maximum noise-proof area which is required

for serious study. Prevention of noise can be done by installing sound absorbing material
and reducing sound reflecting surfaces in the library. Sound absorbing surfaces include
soft false ceiling, wall to wall carpeting for the floor, curtains for windows, providing cork or
rubber/linoleum covering for the floors, etc. Concrete walls, floor, ceiling, etc. reflect the
noise. Rooms such as offices, bindery, cafeteria, etc. be provided spring doors so that the
noise does not reach the reading areas. Book trolleys need to have rubber wheels. Chairs
and tables be provided rubber or cushion-padded legs.

8. Space Requirements in Electronic Era

One of the important implications of information technology is the decrease in the use of
print resources. While the use of printed textbooks and general reading materials has not
severely been impacted yet, the use of print journals and reference sources such as
directories, handbooks, almanacs, yearbooks, etc. has gone down drastically. While
reading for pleasure continues in all kind of libraries, new gadgets such as e-book
readers, laptops, tablets, desktops and mobile phones are steadily slowing down the use
of the printed books. In research libraries, most of the reading by scientists is done by
accessing e-resources rather than from print materials. Reading has become more need
based and less as a habit. One noticeable phenomenon has been the disappearance of
reading habits for current awareness. While libraries have taken up the challenge and try
to woo the readers by various marketing techniques, the onslaught on the print materials
is definite and irreversible. Therefore, storage area may not grow as it used to be in the
previous era. This has to be taken note of while planning the library buildings. Some of the
libraries have converted a part of the reading space into rooms in order to provide
discussion rooms.

8.1 Air-conditioning

14
 Air conditioning has become almost a necessity for libraries. Apart from providing a
comfortable study area and increasing staff productivity, air conditioning prevents physical
deterioration of reading materials. Burchard and his associates observe that ‘air
conditioning in the strict sense means the simultaneous control of eight factors, viz.,
temperature, humidity, air motion, air distribution, dust, bacteria, odors and toxic gases.
Air conditioning also produces a noise-free environment.

8.2 Facilities for the physically challenged

It is necessary that the library provides facilities for the physically challenged persons to
use the library. There has to be a ramp entrance in order to facilitate readers with wheel
chair or walkers or crutches. None of the doors in the library should have thresholds since
they hinder the movement of wheel chairs. Besides, special toilets with wide door are to
be provided so that a person with wheel chair or walker can use them. If the reading
materials are located in more than one floor, lifts are to be provided. Besides, library staff
need to be sensitized to the needs of physically challenged readers and manual
assistance be made available either to locate a book or move the reader with a wheelchair
or evacuate the physically challenged persons in case of emergency.

8.3 Fire safeguards

Libraries contain reading materials which contain the legacy of the past. A major part of
our book collection are irreplaceable and therefore, fire safeguards have to be kept in
mind at the planning stage itself. The conduit electricity wiring, plug/socket points have to
be of good quality. The false ceiling materials, if used, are to be fire-proof. Electric circuit
breakers be made available in each hall of the library in order to cut off the supply in the
event of electricity overload or fire. Adequate fire extinguishers have to be made available
in all halls of the library and staff be trained to use them in emergency. In big libraries, fire
sensors and hooters are installed in order to provide automatic warnings in the event of
fire. Besides, there has to be an exclusive emergency exit gate for evacuation in case of
emergency.

8.4 Parking

Many users travel to the library in own vehicles. For this, there should be sufficient
parking space either at or close to the library. Provision should be made for four and two
wheeler vehicles. There should be separate parking provision for the library staff.

8.5 Wash rooms

15
 In the building of every library, there should be provision for toilets - both for men and
women. It is however, advisable to place the toilets a little away from the main library and
be connected via an open space or a corridor. Besides these, there should be water
coolers too installed so that users need not go out of the library for water while working or
reading in the library.
8.6 Green surroundings
It is advisable to have greenery or plantation around the library. This not only makes the
library attractive but also lends grace to the place. Trees and plants around the library
frees the atmosphere from dust as air turns moist and makes the dust to settle.
9. Summary

The library should have adequate space to implement the full range of library services that
are consistent with the library’s strategic plan that meets local or national
standards/guidelines. A library cannot exist without a proper building, furniture and
equipment. So the construction of a library building is of first and foremost step for
planning a library or information centre. The building should be well equipped and must be
free from dust, dirt, cobwebs and also should be water proof, theft proof and equipped
with noise prevention measures, the provision of drinking water, heating and cooling
machine (air conditioned) and proper lighting.

The basic aim of the design of a library building should be to achieve flexibility by using
the modular system. The library building has to demonstrate a remarkable ability to grow,
to adapt to changing conditions to meet new demands and to implement new
technologies. If these aspects are taken care of then one need not give much weight age
to the predictions made about their future expansion and existence. The space estimates
for the library staff, documents, services, users and for other purposes, i.e., corridors,
entrances, lobbies, toilet, etc. should also be prepared.

The library building has to comply with building, fire, safety, sanitation and other applicable
government and legal requirements. There should be proper budget allocation for various
physical resources and provision for the maintenance of the building, library collection and
equipment. Lastly, the above mentioned aspects are to be taken into consideration
keeping in view the number of users, variety of users, rate of annual growth every year
and requirements with regard to access, convenience and comfort of the library users.

10 References
1. Kaula, Prithvi Nath (1971). Library buildings : Planning and design. Delhi, Vikas, pp. 55.

16
2. Design of library buildings – recommendations relating to its primary elements (Second
Revision). New Delhi, Bureau of Indian Standards, 1989. (IS 1553 : 1989). 10 p.
3. Kaula (1971). Op cit, p. 153.
4. Burchard, John E. et al, eds.: Planning the university library building: a summary of
discussions by librarians, architects and engineers. Princeton : Princeton University
press, 1949.
5. Lechner, Norbert. Heating, Cooling, Lighting: Design Methods for Architects. New York:
John Wiley & Sons, 2000.
6. Dewe, Michael: Planning Public Library Buildings: Concepts And Issues for the Librarian.
Burlington: Ashgate Publishing Ltd., 2006.

17
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 19 Event Planning

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Shantanu Ganguly
Content Writer Fellow and Area Convenor, TERI

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 19

EVENT PLANNING

I. Objectives

The objectives of the unit/module are to:

• Define events, events management and events planning in libraries,

• Outline event details for any kind of event,

• Discuss about carrying out marketing research in event planning,

• Describe the need for planning any future event, and

• Carry out event evaluation process.

II. Learning Outcomes

After going through this unit/module, you would learn the need for event management
and event process, objectives of event, event details, event positioning, event planning
strategy, etc. You would also learn about the application of marketing mix in event
management, logistics managem ent, health, safety and risk assessment, and
event evaluation process.

III. Structure

1. Introduction
1.1. Definition
1.2. SMART objectives for events
2. Event details
2.1. Event place & time
2.2. Contact during event
3. Event positioning
3.1. Event research and analysis
4. Event planning strategy
4.1 Targets of the event
5. Financing
6. Proposal format
6.1. Types of event
6.2. Size of the event
6.3. Purpose of the event
6.4. Requirem ents of the event
 6.5. Feasibility study
7. Application of marketing mix in event management
7.1. Product
7.2. Price
7.3. Place
7.4. Promotion
7.5. People
7.6. Process
7.7. Physical evidence
8. Logistics management
9. Health, safety and risk assessment
9.1. Risk assessm ent - the 5 steps
9.2. Identify the hazards
10. Event evaluation process
11. Summary
12. References

1. Introduction

In today’s dynamic information era, communicating and sharing information and

knowledge is an utmost important component. If one does not share or inform his or
her knowledge, it will remain dormant forever. In this connection, organising an event
is an important communication tool to reach the unreached. The definition of an event
includes any planned activity where any structure (permanent or temporary), open
area, roadway, fenced or unfenced space will contain a number of persons greater
than that normally found in that area or location at one time. This activity may affect
the location or surrounding area prior to, during or after the event.

This event-planning module is developed, to assist people and organisations that

become involved in the management of events. Therefore, public and commercial
events and projects are increasingly taking the step of appointing professionally
trained personnel to senior positions. The field of Event Management is a business
subject with a strong project focus. The skills and knowledge gained in the study of
Event Management can be used in a diverse range of contexts and can cover a wide
range of interesting areas including business, sport and the arts. Most significantly,
governments and local councils are developing extensive policies and procedures
supported by legislation, making legal compliance and risk management important
roles for the professional event manager. All these trends work towards the
 development of Event Management as a professional practice, and contribute to Event
Management being one of the most exciting environments in which to work.

1.1 Definition

According to the management guru Peter Drucker, “Business has only two basic
functions—marketing and innovation.”Dr. Drucker understands that every business
enterprise, whether not-for-profit or for-profit, must carefully research, design, plan,
coordinate, and evaluate its marketing strategy to consistently achieve the goals of
the enterprise.

Event Management is a professional field of practice that requires sophisticated skills

in strategic planning and analysis, risk assessment, marketing, budgeting, cash flow
planning, event proposaldevelopment and many other topics. The project nature of
events, as well as the range of risks theycarry (including financial risk), ensures that
skilled and knowledgeable management personnel are required. Indeed, many major
projects in today’s dynamic world are one-off events requiring these skills.

“Events are tem porary occurrences ...They have a finite length, and for
planned events this is usually fixed and publicized.” (Getz 1997)

“To the custom er or guest, a special event is an opportunity for a leisure,

social, or cultural experience outside the normal range of choices or beyond
everyday experience” (Getz, 1997).

A special event is a one-time or infrequently occurring event outside the normal

program or activities of the sponsoring or organising body. The event planning
models do assist with planning. In the fast moving world of events with perhaps ever
decreasing planning time, shorter lead in times and a more competitive environment,
it is vital that organisations utilise and maximise all their resources efficiently and
effectively and manage and control their time management.

It is not possible to evaluate an event, or to judge whether it has been a success or

not, without having set right at the beginning, criteria and objectives. Without these,
there can be no yardstick to measure performance. Measurement within events is
the key.

Researching stakeholders, clients, delegates, customer requirements and how to

develop an idea into a package and ultimately into a well-designed event should
also develop a clear list of objectives. These are manageable steps of measurable
achievement. They should be set, agreed and understood by everyone involved -
 this will lead to a clear focus, co-ordinated effort and unity of purpose. A useful
acronym to remember these objectives is SMART.

1.2 SMART objectives for events

• Specific to the event

• Measurable in statistical terms

• Achievable or Agreed by those involved

• Realistic or Relevant to the resources available

• Timed around the event

schedule(Walt 1988)

2. Event Details

2.1 Event place & time

The choice of event site and preparation for the same is crucial to a successful event.
It needs to be sufficiently large to accommodate the size of the audience expected,
taking account of the space that will be occupied by structures, the activities and the
facilities provided. The suitability of the site will also depend on the ground conditions,
access routes, the provision of services, and any environmental constraints such as
the potential for noise disturbance if there are houses or workplaces close to the
venue.

A site-layout map should be drawn up showing the position of all the

activities/attractions, the facilities and structures, the circulation routes and entrances
and exits. There should be sufficient, well dispersed exits to allow for safe and rapid
evacuation and a specific non-pedestrian route may need to be identified for
emergency vehicles.

It is important to provide details of the set up as well as the actual times for the event
to ensure minimizing multi-access and assist with the scheduling of works in the area.

2.2 Contact during event

The Organising Secretary is the ultimate event manager and he is responsible for the
overall management of the event. Their role and responsibility includes organising,
resourcing, creative directing, human resource management, negotiating, financial
management, public representation, trouble shooting and liaison. The event manager
must be contactable throughout the event planning, conducting and evaluation
processes. Under the guidance and supervision of the Organising Secretary, an event
 secretariat is constituted, from where all the activities related to the event will be
channelized. The secretariat is the only point of contact.

Events are marketed by most organisations/institutions/associations/societies to their

members and supporters. Many additional event types may be produced, based on the
specific disciplines of each association. A list of different types of events is given
below:

Table 1: Different categories of Events

Conventions A conference is a meeting of people who "confer" about a topic.

Academic conference, in science and academia, a formal event
where researchers present results, workshops, and other activities.
Business conference, organized to discuss business-related
matters. News conference, an announcement to the press (print,
radio, television) with the expectation of questions, about the
announced matter, following. Trade conference, or trade fair,
organized like a business conference but with wider participation
and providing the opportunity for business people and the general
public alike to network and learn more about topics of interest
through workshops, viewing whitepaper presentations, and meeting
vendors of similar or related services.

Exposition A setting forth of meaning or intent. A public exhibition or show, as

of artistic or industrial developments.

Seminars A seminar is a form of academic instruction, either at an academic

institution or offered by a commercial or professional organization. It
has the function of bringing together small groups for recurring
meetings, focusing each time on some particular subject, in which
everyone present is requested to actively participate.

Awards Conferring award to somebody or some group people for the

Presentation outstanding excellence.

Community Service Events organised by the certain community people. There is

Events periodicity of the event. Such as in India, Diwali is a community
event.
Symposia An event or meeting to discuss a particular subject.

Educational and Educational events organised using application of ICT through

video conferences virtual environment such video conferencing or Skype etc.

Receptions An informal get-together to celebrate.

Sport and Programmes/events periodically organised for sports and

recreation entertainment in schools, colleges and in organisations.
programmes

Political rallies Canvassing the political issues before the election.

Tours and study Educational tours are organised by institutions, colleges and schools
missions to achieve certain objectives or mission.

Training Capacity building programmes organised by institutions, colleges

Programmes and schoolson thematic areas.

3. Event Positioning

Event marketing relies on the proper positioning of the product. No event can be
effectively sold until a marketing plan is developed. The marketing plan will likely be
the predicate that determines success or failure. And the key to a successful marketing
plan is “positioning.”Positioning is the strategy of determining, through intuition,
research, and evaluation, those areas of consumer need that your event can fulfil.

• What types of events is the competition offering?

• What level of investment are they requiring of their attendees?
• Who is attending, and who is not?
• What niche are we trying to fill?
• What makes us different and how can we seize upon our unique qualities to market
our events? And what markets will be receptive to our event concept?

The event organising secretary should be able to answer the questions, which have
the greatest opportunity of fulfilling expectations.

3.1 Event research and analysis

We learned earlier that a key component of the five Ps of marketing is market research
and analysis. Before one can effectively design and market an event, there is the need
 to determine the desires, expectations, and anticipations of the audience to whom that
marketing will be directed. The event may be an original production or a historic,
traditional annual meeting but research must be ongoing. By researching markets in
depth, the organising secretary will be able to respond to changing needs as well as to
resolve small problems before they become major ones.

3.1.1 Qualitative and quantitative research

There are two basic categories of research instruments with which we should be
familiar, namely, quantitative and qualitative surveys. Either can be considered for
both pre-event and post-event research. And qualitative methodology is extremely
effective during the event itself. The major difference between the two is, quantitative
research allows little room for interpretation as it is a snapshot of attitude or opinion
based on numerical or analytical ratings systems. It is typically faster because it is
easy to execute and tabulate, less expensive, and not as open to conjecture as
qualitative research instruments.

On the other hand, qualitative research is more in depth, a study of opinions,

objectives, visions, and experiential and performance observations. It is more time
consuming, often more expensive, and more interpretive than the quantitative
approach. Again, both are often used simultaneously, as well as separately, and can
be effective for pre-event marketing and planning strategies as well as post-event
evaluations.

a. Quantitative Research

In most cases, this research is conducted on paper, electronically such as Internet

applications. A survey questionnaire can be designed to deliberate following questions:

• Potential areas of discussion and debate

• Contemporary areas which needs more attention during the event
• Probable speakers of the event
• Format of the event – event within the event such as parallel sessions,
workshops or side events within the mega event.

b. Qualitative Research

What are the objectives of this event? What are the ranges of interests in the markets
we are trying to attract? These are the kinds of questions that compel qualitative
research, the probing inspection of attitudes, opinions, interests, and organizational
directions. By its nature, this type of research is more time consuming and
expensive, as well as more open to vary and sometimes conflicting interpretation by
 analysts. Qualitative research instruments are subjective. Even the subsequent
feedback of the conference also produces overall qualitative research results.

4. Event Planning Strategy

There are some fundamental questions to be addressed before an event planning.

• Firstly, why must we organize the event? – Objectives need to be listed.
• Is that the best way to achieve what we want to achieve? – Format of the
event.
• When arc we planning to organize the event?– Suitable time such as month
(climatic factor is very important)
• Have we agreed it with directly related persons? – participant level
• Where will the event take place? – Appropriate location of the event.
• If the place we shall use will provide everything we need? – logistics
support.
• How much will organization of the event cost? – event budget break-up.
• How shall the funds be raised? – funding opportunity.
• Will the media be interested in it? – media involvement.
• Will the sponsors be interested in it? – unique selling proposition (USP) of
the event.
• How many events of the kind are there? – competitors in the market.

Identify Marketing and Participants Background Funding

Speakers Promotional •National and Paper Opportunities
•National Strategy •International Preparation •Ministries, Bi-
•International •Database •Theme selection lateral and Multi-
Development lateral
Organisation
•Virtual Platform
•Website and •Corporates
Social Media •Thematic Sponsor
•Printed Format •Conference
Sponsor
•Exhibition

Fig 1: Critical Success Factors in Event

 With regard to the type and size of the event its separate elements receive a
different degree of importance. If we expect a success it is necessary to evaluate
its probable strategic factors: determination of its purpose and creation of the
trademark; establishment of target groups, analysis of market potential; definition
of cost, product and distribution mechanisms; promotion, communications,
advertisement potential; identification of PR instruments; determination of
probable sponsors. A format structure has been provided which define factors of
the successful conduct of the event. (Fig. 2)

Factors of success Start:

Responsible person: Assistant:
Determ ination of success factors:
Topic Result Who When
Targets
Target groups (com position)
Nam e of event (Trade m ark)
Type of event, reason ' N .!
Slogan
Logotype
Participating parties
Analysis of m arket opportunities
Marketing strategy, including:
Sponsorship
Organization and realization of
Managem ent/control
Final report * &.
Executed: Notes:
Fig 2: Format structure for successful conduct of event

4.1 Targets of the event

Many events fail because of wrongly set targets, i.e., their type and content,
target groups and their interests; in what aspect this event is different from
others, what makes it exclusive, etc. It will help very m uch to do the job
constructively and system atically and in the aftermath the rate will be higher
and potential for sim ilar future work brighter. The targets must be
m easurable. They should be divided into both qualitative and quantitative:

• Qualitative targets: satisfaction of participants, resource persons

 • Quantitative targets: num ber of participants, income and expenditure.

Quantitative targets like number of participants are easily reckoned.

Qualitative indices like rate of satisfaction with the level of catering to the
participants. Thus it is worthwhile to hold an opinion poll. If it is possible to
define that there is dem and for this or that service for the next events, it
m eans that they were worth the investments. The sponsors also are
interested that their endeavour input is evaluated and weighed in a m ore
proper manner. For them, the Return on Investm ent (ROI) is an important
factor.

Definition of objectives Start:

Responsible person: :
Definition of objectives and methods of success estim ation:
Topic Result Who When
Target group, including: Geography
Activity field (catering, office, m edia,
Num ber of participants, attendance
Commodity turnover
Budget
Incom e/profit /result
Work with m edia
Contentment of participants
Methods of m easuring the objective

Executed: Notes:
Fig 3: Measuring Format for the Event

5. Financing

One of the m ost im portant and difficult tasks, is to manage the financing side
of the organization of an event. It is not possible to hold an event without
financing. If proper funding is not obtained then the quality of the event would
be severely affected. For sourcing the event some im portant s teps are given
in Fig. 4.
 Packaging the
Identification Peparation of
benefits for
of the Source the Proposal
the funders

Interaction and
Submitting the Getting the
Presentation
Report funds
to funders

Fig 4: Funding Process

SECTION A: Target Organisations and Institutions

Bi-lateral and
Fund Support
Multilateral Corporates
from Govt
Organisations

Ministries Embassies Publishers

Information
Govt Cultural
Service
Institutitions Organisations
Providers

International
Autonomous International
Library Service
bodies Institutions
Providers

Fig 5: Target Organisations and Institutions breakup

SECTION B: Categories of Funders based on the benefits offered in the event

Corporate
Co-
Partner Associates Sponsor
organiser Major stake in Organisations category
Equal status with the event and and Institutions Platinum, Gold,
the organiser active eager to support Silver, Bronze
participation the event

Fig 6: Categories of Fund

 Once the budget is finalised and the scope of the event chosen, the next
step is to specify the type of financing needed for the balance of the
budget. In any type of event there are always two types of financing, viz.
internal and external.

Internal financing: This is basically the funds belonging to the

organization itself, resulting from previous events which were profitable
and from the m embership fees and private funds from the organizer.

External financing may c om e from participation fees received from the

participants and attendees in the event. Moreover, it is necessary to know
the contribution from institutions, however rough the estimative m ay be,
before the final fees are set. Fees usually tend to cover 50% of the total cost
of the event.

6. Proposal Format

6.1 Types of event

In order to achieve the purposes of the event, we are to organize, it is a

priority to define the type of event.

What do I want to organize?

The event could be:

• Scientific

o Congresses, conferences, seminars, etc.

• Cultural

o Exhibitions, guided tours, concerts, etc.

• Corporate

o Conventions, Incentive travel, FAM trips, Trade Fairs, etc.

• Institutional

o Flag Day, Historic Commem orations, etc.

• Sport

o Com petitions, Charity m atches, sporting activities, etc.

• Cerem onies

o W eddings, banquets, etc.

 Every event is different and it requires a different structure with different
sources of financing. Their goals are different and while som e events
produce considerable benefits, others will barely cover costs. For exam ple, a
sport event is likely to be financed m ainly through sponsorship from the sport
related organisations and institutions, etc. On the other hand, a scientific
event will m ost probably be financed by the participants’ fees and the
sc ientific institutions or the university behind the organization.

6.2 Size of the event

Another basic question is the size of the event, i.e., the number of participants.
It is important to decide whether it is going to welcom e a vast audience or just
a selected group and, for exam ple, domestic or foreign participants as the final
programme, adm inistrative procedures (like clearances for the VVIPs and VIPs)
and social activities will depend on the size and characteristics of the event.

Moreover, both incom e and expenses will vary according to the dimension,
i.e.,local, national or international of the event, and so will the different sources
of financing. Finally, the character of the event will also influence the possible
econom ic support given by public or private institutions.

6.3 Purpose of the event

What do I want to organize?

A short, descriptive report should be made including the purpose, needs and
characteristics of the event to be held.

When is it due for?

Tim ing is c rucial as it implies not only the event and its organization, but also
the tim e required to obtain funding and the other sim ilar kind of events are
organised.

What character will the event have?

The Budget

Once the type of event has been established, we need to know if it is

possible to carry it out and to do that we need to m ake a budget with the
incom e and the expenses.

6.4 Requirements of the event

A draft budget will be drawn and modifications will be made along the organization
of the event. This takes a long time beforehand and is basically theoretical.
Halfway through the organization, a second budget has to be made. It is usually
closer to reality, with updated rates, although the number of participants m ay still
be unknown, as well as the final sources of financing.

Eventually a final budget has to be made. It will be real and operational and a
logical consequence of the second. We should highlight here the im portance of
the fact that unexpected costs will be appearing along the organization of the
event. These are extraordinary expenses that arise throughout the developm ent of
the event and that m ay take up to 20% of the total costs.

6.5 Feasibility study

An item ized budget should include the technical requirem ents, suppliers and
necessary services for the developm ent of the event. According to the funds
expected for the event, decisions should be made about the logistical,
organizational, staff and form al requirements, as well as the size of the venue to
be held, tim e of the year and length of the event.

Every aspect of the event should be included in this study. It is necessary to know
whether it is possible to organize and hold it, bearing in m ind the m inim um goals
and the percentage of these goals over the total costs, so as to know whether the
final benefits would be obtained. A strategy to obtain funds will be designed so
that the event can be successful. This strategy should attract private or public
sponsors, as well as participants .

We need to check that there is a dem and that will accept our project. We also
need to know how to achieve the necessary funds and whether the event will have
any sort of profit margin.

7. Application of Marketing Mix in Event Management

7.1 Product

The successful event marketer is at first the consummate of his or her product. The
product may be an educational program, a county fair, or a full-fledged convention.
There are essential you must know and questions you must ask of the event.

What Is the History of the Event?

Many veteran marketers will attract participation because they can sell the celebratory
essence of the event. The greatest part of event marketing is the opportunity to create
history, by attracting people into a synergistic activity that can define the organization
and its goals.
 Product

Physical
Price
evidence

Marketing
Mix
Process Place

People Promotion

Fig 7: The Seven Ps of Event Marketing

What Is the Value of the Product?

Marketing an event requires that the message emphasizes the manner in which the
participant will benefit. The promise of increasing productivity, maximizing
profitability, or simply having a great time can be legitimate benefits that can
persuade a person to buy the product or attend the event.

What Makes the Product Unique?

What makes this event different from others? Why should one choose to invest time
and money in this event, as opposed to the competition that surrounds it? Marketers
that can identify the return on investment (ROI) that can be expected by the
participants, the special experience that will be offered, and the added value of
attendance are those who will successfully market the event. This will require
research into the markets and into the objectives of the organization. Only then can
 the uniqueness of the product be identified and described in all of the marketing
media utilized.

7.2 Price

Primary among the responsibilities of the event marketer is an understanding of the

financial goals of the sponsoring organization. Once this is determined, market
research will illustrate the competition’s pricing patterns: Who is offering a similar
product, to whom, and at what price? Price may be secondary to perceived value. It is
in this area that the event marketer can play a major role. Some events are designed
to make money, pure and simple. Others are strategically developed to break-even
financially. What is the Cost of Doing Business? Price must reflect the total costs of
goods and services, including the cost of marketing itself. What are the Financial
Demographics of the target audience? Such as to analyze market’s ability to pay for
the event. This sounds simple, but it is critical to the marketing effort. Market research
will help determine the ability and willingness of attendees to pay ticket prices at
various levels and, therefore, influence the planning of the event itself.

7.3 Place

The location of the event can dictate not just the attendance, but the character and
personality of the event as well. This is a consideration for the earliest part of the
planning stages. The event site may even be the major draw featured in brochures and
advertising. Place should be marketed with a number of important elements in mind as
shown below:

1. Proximity to the potential attendees and ease of travel.

2. Availability of parking for a commuter audience.

3. Ambiance and originality of the site.

4. Logistical practicality of staging a particular event.

5. Surrounding attractions/infrastructure for ancillary activities.

6. Degree to which the location fits the character of the event.

7. Safety, security of event attendees.

8. Availability of public transportation (airport, train and local city commutation).

10. Availability of other spaces (meeting rooms, parallel session rooms, secretariat,
exhibition etc.).
7.4 Promotion

No marketing program can succeed without an effective communication program. This

component plays three vital roles: providing needed information and advice, persuading
target audience of the merits of a specific product, and encouraging them to take action at
specific times. In service marketing, much communication is educational in nature,
especially for new-comers. Communications can be delivered by TV, radio, newspapers,
magazines, billboards, brochures, and Web sites (http://www.teriin.org/events/icdl)

Fig 8: Samples of Brochures (First Announcement and Final Announcement)

Fig 9: Customized Emailer (Both Print and HTML)

Public Relations
 Public relations are a major part of the marketing mix. You can advertise anything you
want—that is, what you say about your organization and your event. Public relations
can determine what others perceive of you and your mission. The essence of a public
relations campaign is that it never stops rather, it is an ongoing effort to establish
positive perceptions of your organization and its products. The first step in establishing
a public relations campaign is to determine what the current perception is. You need
not be a public relations professional to practice effective public relations. A media
release, feature article, or simple phone call to the editor of a trade publication can
result in invaluable publicity for your event. Most publications and newspapers
welcome these materials, which they use as “fillers, ”but which appear as news
articles. That insert will build the credibility of not only your event, but also your
organization.

Some tools of the Trade in Event Public Relations are:

■ Media releases (news oriented)

■ Publicity releases (promotionally oriented)

■ Media kits (including photographs, biographies, press releases,brochures,

organizational fact sheets, schedules, speakers’ backgroundsand topics, mission
statements, ancillary activities)

■ Phone, fax, and e-mail information for contacts

■ Radio and TV spots/releases

■ Copies of speeches

■ Videotapes

■ Audiotapes

ICT and Event Promotion

With the advent of Internet and application of information and communication

technology, application web 2.0, promotion of events has increased by leaps and
bounds. Organisations and institutions devising separate promotional strategies for
using this virtual media platform to promote the respective events. Some of these
common platforms are stated as under:

Table 2: Application of ICT

Internet Separate website or portal is designed to project the objectives, vision and
mission of the event. This website acts as the virtual secretariat for the
 audiences. The audiences are able to get all the relevant information related
to the event. An FAQ section is must to address all queries of the
participants. Separate website or portals are implemented for bigger events,
but for small events an announcement in the organisation website and
related links are provided to it.

Facebook An interactive platform is designed in Facebook to address queries and

popularisation of the event.

Linked-In An interactive platform is designed in LINKED-IN to address queries and

popularisation of the event for the like-minded community participation.

Youtube Previous events videos are uploaded as part of the marketing process.

Online On payment basis, online advertising of conferences gets worldwide

advertising mileage.

List-Serves Continuous marketing and promotion of event can be done using various
List-serves.

Email Creation of database of emails of professionals and regularly sending them

Marketing brochures, events activities and regular updates.

Mobile Creation of database of mobile no of professionals and regularly sending

Marketing them events activities and regular updates through free SMS platforms.
 Fig 10: A sample of the ICDL 2013 website

Facebook Linked-In

Fig 11: Sample showing usage of Social Media to Market ICDL 2013 event

7.5 People
 People refer to all the stakeholders who are responsible for organising the event such
as the audiences/participants, management and everybody else involved in it. It is
essential for everyone to realize that the reputation of the brand that you are involved
with is in the people’s hands. Many services depend on direct, personal interaction
between audience and the organisation and organisation secretary. The nature of
these interactions strongly influences the audience’s perceptions of service quality.
Customers often judge the quality of the event service they receive largely on their
assessment of the people providing the service.

7.6 Process

It refers to the methods and process of providing a service and it is essential to have a
thorough knowledge on whether the services are helpful to the concerned participants,
if they are provided in time, if the customers are informed in advance about the
services and many such things. Creating and delivering product elements to
customers requires the design and implementation of effective processes. Similarly,
poor processes make it difficult for front-line staff to do their jobs well, result in low
productivity, and increase the likelihood of service failures.

7.7 Physical evidence

There is a lot of impact when audience receive the printed documents about the
events from the organisation such as brochures, pamphlets, etc. to serve this purpose.
The appearance of event venue, landscaping, logistics arrangements, team members,
printed materials, and other visible cues all provide tangible evidence of a
organisation's service style and quality.

8. Logistics Manage ment

It is the process of “getting the right things, to the right places, at the right time,
for the right cost”. It places em phasis not on the different logistic processes but
on the connections and relations am ong them . It balances and integrates
num erous activities in time and space in order to achieve high level of
satisfaction from the said event. A com plete list of logistics m anagement has
been defined in the Annexure – 1.

9.1 HEALTH, SAFETY AND RISK ASSESSMENT

Every event has risks and the first step in managing those risks involves examining all
areas of your event to determine where risks can occur. This examination is not limited
to safety issues, but can ensure that the event is conducted in the safest possible
manner and if something unfortunate does occur that the loss does not further impact
 the organisation either financially or through adverse publicity.

9.1 Risk assessment - The 5 steps

• Identify the hazards

• Determ ine who is at risk

• Determ ine if the existing controls arc adequate and am endaccordingly

• Record the findings

• Review the assessment as necessary

9.2 Identify the hazards

A checklist can be a good start to identify the hazards present. Experience,

past adm inistrative records and observation skills are all key points here.

10. Event Ev aluation Process

Event evaluation is necessary to make the organisers more efficient and effective for
organising the event the next time. It is all about finding mistakes and learning from them.

Event evaluation should be done immediately after the event is over or the next day. A
meeting should be conducted with the team members to evaluate the event.

Some steps of event evaluation are:

1. Clearly define the evaluation criteria for the event

2. Design an Evaluation Process
• Inform al and Form al
• Feedback from client
• Feedback from participants/visitors etc
• Feedback from event m anagement team
• Individual
3. Identify appropriate sources of inform ation/data for evaluation
4. Evaluation and Monitoring
• Summ ative - at the end of the event
• Formative - considered throughout the event process
11. Summary

In the module, we have discussed need for event management and manner in which
event planning has to be carried out. Event management is the co-ordination,
running and planning of all the people, teams and features that come together to
create every kind of event. Defining event objectives at the very start of event
planning is very important as it gives the direction in which organisers should
proceed to accomplish the objectives. Organizing an event without clear objectives
is a huge waste of both time and resources. The number of people involved in
organizing an event depends upon the size and scale of the event.

Before organizing an event, we should find out whether there is a market (i.e.,
audience) for our intended event or not. Before organising any event, a
report/checklist has to be prepared. The event report usually contain having
information related to:

• Seating and light arrangements

• Promotional materials used
• Blueprint of the whole venue
• Program and food menu
• Contact details of sponsors, partners, clients (for whom the event is organized)
• Service providers
Lastly, event evaluation should be done immediately after the event is over or the next
day.

12. Refe rences and Sugge ste d Readings

1. Arleene Pérez and others. 2009, Event Planning Guide. Puerto Rico Convention
Center. 84p.
2. Hoyle, Leonard H. 2002. Event Marketing: How to successfully promote events,
Festivals, Conventions and Expositions. John Wiley Sons. 252p.
3. Education Development Centre (EDC) and Youth Employment Summit Secretariat,
2001. Event Planning Handbook. Education Development Centre (EDC). 53p
4. O'Toole, William J.2000. Towards the Integration of Event Management Best
Practice by the Project Management Process. Events beyond 2000: Setting the
Agenda. 12p.
5. Secrets to Successful Event Marketing and Management (White Papers).
www.cvent.com
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 20 Disaster Planning for library and information
centre

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr P Venkata Rao
Content Writer Librarian , Mahatma Gandhi State Institute of Public
Administration

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 20

DISASTER PLANNING FOR LIBRARY AND INFORMATION CENTRES

I. Objectives

The objectives of the module are to:

• Identify causes of disaster in libraries and explain the need for disaster
management in libraries;
• Carry out disaster planning in libraries and other information centres;
• Prepare guidelines for the disaster planning process and devise ways to
prepare libraries for avoiding, tackling and managing disasters.

II. Learning Outcomes

After going through this unit, you would learn to Identify causes of disaster in
libraries, the need for disaster management in libraries, disaster planning in
libraries and other information centres, preparing guidelines for the disaster
planning process, and devise ways to prepare libraries for avoiding, tackling
and managing disasters.

III. Structure
1. Introduction

1.1. Cause of disasters

2. Disaster management

3. Disaster planning

3.1. Libraries and disasters

3.2. History of disasters in libraries

3.3. Possible threats to libraries and their resources

3.4. Risk assessment of libraries

4. Disaster planning in libraries and other information centres

4.1. Objective of disaster planning for libraries

4.2. Benefits of having a plan

4.3. Basic elements of preparing a plan

4.4. Elements in disaster plan

5. Guidelines for the disaster planning process

1
 6. Developing a disaster plan

6.1. Disaster prevention

6.2. Disaster preparedness

6.3. Disaster response

6.4. Disaster recovery and follow-up

7. Summary
8. References
1. Introduction

By simply watching the evening news or reading a newspaper, we quickly find

that disasters of various types happen to individuals, companies, and countries
on virtually a daily basis throughout the world (Schneid and Collins, 2000). And
the libraries are no exception. A disaster is an unplanned interruption of normal
business processes. It is a temporary state resulting in a short-term change in
the environment with damaging consequences.

The word disaster connotes chance or risk, and risk is the probability of harmful
consequences, or expected losses resulting from interactions between natural
or man-made hazards and vulnerable condition. In the library environment, it is
any incidence which threatens human safety and/or injuries, or threatens to
damage a library’s buildings, collections (or items(s) therein), equipment and
systems. It is derived from the Latin word for ‘evil star’, a metaphor for a comet,
once thought to be a harbinger of some impending doom. While the word
embodies a fatalistic view of the unavoidable or inexplicable nature of disaster,
it also communicates a positive corollary: forewarned is forearmed (Toigo,
2003).

“Disaster is any occurrence that causes damage, destruction, ecological

disruption, loss of human life, human suffering, deterioration of health and
health services on a scale sufficient to warrant an extraordinary response from
outside the affected community or area” (World Health Organization, 1998).
Disasters are relative and contextual.

The damage caused by disasters is immeasurable and varies with the

geographical location, climate and the type of the earth surface/degree of
vulnerability. This influences the mental, socio-economic, political and cultural
state of the affected area. A disaster may have the main features, such as
unpredictability, unfamiliarity, speed, urgency, uncertainty, threat, etc.

2
1.1 Cause of disasters

Generally, disasters are of two types – Natural and Manmade. A natural

disaster is a consequence when a natural calamity affects humans and/or the
built environment. Human disasters or manmade disasters are those which
are caused due to human intervene. Some of the disasters are listed below:

Natural Disasters

- Earthquakes
- Fire
- Flooding
- Hurricanes & typhoons
- Snow storms & avalanches
- Tidal waves
- Tornadoes & wind storms
- Volcanic eruptions

Manmade Disasters

- Accidental sprinkler activation

- Biological contamination
- Chemical spill
- Civil disturbance & terrorism
- Communication failure
- Construction failure
- Cooling/heating/ventilation system failure, etc
- Electrical power failure
- Electronic computer failure
- Epidemics & plagues (a flu pandemic?)
- Explosions
- Fire
- Gas leak
- Hacking
- Human error & carelessness
- Nuclear disasters
- Robbery
- Sewage overflow
- Strikes
- Toxic fumes

3
 - Vandalism
- War
- Water overflows
The scope of a disaster may be
- One room
- One floor
- One building
- One organization
- One community
- One region
- One nation
Knowing in advance that a disaster might happen provides one with the ability
to prepare and mitigate its consequences (Muir and Shenton, 2002).
Companies and institutions that plan for the possibility of a disaster – that
implement preventive measures to avoid disaster and formulate strategies for
recovering critical business in the wake of events that can be prevented –
generally do survive disasters.

It is important to note at this point that the world is changing at a very fast rate.
Technology is changing and risks are involving and evolving. Because of these
changes, the information professionals/librarians are facing the task of adapting
to these changes in order to prevent potential disasters from occurring where
possible, and appropriately react to keep damages to a minimum. The
importance of planning before a disaster is very necessary to minimize risks
resulting from damages.

2. Disaster Management

Disaster management is the combination of two major undertakings by an

organization, the development of a disaster recovery plan and the
implementation of those plans should the need arise. Disaster management
also includes broader management issues such as finance, risk assessment
and training and should be considered a key area of library management.

Disaster Management Act 2005 defines disaster management as a continuous

and integrated process of planning, organizing, coordinating and implementing
measures which are necessary or expedient for:

a) Prevention of danger or threat of any disaster

b) Mitigation or reduction of risk of any disaster or its severity or consequences

4
 c) Capacity building

d) Preparedness to deal with any disaster

e) Prompt response to any threatening disaster situation or disaster

f) Assessing severity or magnitude of effects of any disaster

g) Evacuation rescue and relief, and

h) Rehabilitation and reconstruction.

Disaster management has moved to the forefront of library and archives

concerns, due in part to the considerable increase of natural disasters in the past
decade, but also because of the vast and varying collections of information in
both physical and digital manifestations, that are the most valuable assets that
many of these organizations possess. The planning and implementation of a
disaster recovery plan must be understood by the entire organization that it is not
a quick fix, it is not possible to extinguish the fires or contain the floods and
quickly return to normal operations. In the event of a disaster, there is a “ripple
effect” that may require extraordinary efforts, resulting in suspended period
before the status quo can be returned.

A disaster management plan or disaster recovery plan is designed to prevent

catastrophic damage from happening and ease the process of recovering from
any damage that is incurred, enabling people to overcome the confusion and
turmoil created by a disaster and providing pre-planned and rehearsed courses of
action.

3. Disaster Planning

Disaster plans are systematic procedures that clearly detail what needs to be
done, how, when, and by whom before and after the time an
anticipated disastrous event occurs. Whatever one chooses to call it: Disaster
planning or Disaster Management - the goals are ultimately the same, i.e., to
get an organization back up and running in the event of an interruption. The
goal is to have some contingency plans in the event of a problem. A disaster
plan exists to preserve the organization so that it can continue to offer its
services.

A Disaster Plan is a clear concise document which outlines preventive and

preparatory measures intended to reduce potential risks, and which provides
details of reaction and recovery procedures to be undertaken in the event of a

5
 disaster to minimize its effect (Matthew, 2006). The development of a disaster
planning is positive evidence of a duty of care for objects, collections and staff;
it shows disaster control planning forms part of the risk management and
overall operation of the entity' (Mansell, 2003). Therefore, it must not be just
words on paper - it should be a framework on which good disaster
management is practiced.

No matter how many guidelines are consulted or precautions are taken; the
incidence of disasters in libraries can never be totally removed. (Matthews and
Eden, 1996). Any disaster, even a minor one, will cost time and money and
cause other work to be delayed and possibly inconvenience users. Good
disaster management, whilst it can never totally prevent disasters occurring,
will reduce their likelihood and enable the library to deal more efficiently and
effectively with them' (Matthews and Eden, 1996).

Disaster planning and policy making is a senior

management responsibility. However staff can have input, by informing their
supervisors of relevant information, by participating in preventive and
preparedness activities, and by being disaster aware and on the lookout.

3.1 Libraries and disasters

Library and information centres are the repositories for the records of a
culture's existence. These records reflect the scholarly and creative efforts of a
civilization as well as its social and historical interaction. They are a gift from
the past to the future, collected in the hope that what we have thought, created,
and discovered will be a source of pleasure and assistance for generations to
come. The preservation of these fragile and sometimes tenuous links is the
responsibility of those to whom their care has been given.

Importance of Libraries

- Enabling forces for learning

- Libraries provide an environment in which creativity is fostered
- Center for creation and recreation of academic activities
- Promotes dissemination of research
- Enables networking between researchers
- Heart of an academic institution
- Repository of culture and society

6
 One of the greatest tragedies, which can befall a library and information centre
is disaster. When the librarian accepts holdings into his repository, it implies
taking the responsibility for their custody. All this may be jeopardized, if the
library is damaged or lost because of a disaster. Viewed from the point of view
of the library, a disaster can be anything or event, which directly or indirectly
affects the normal administration of the library, i.e., the disruption of, services to
readers for either a short time or a long-time basis.

Natural events like earthquakes, floods, and volcanic eruptions are termed
disaster because of the effects they have on human beings as well as their
normal way of occurrence. In addition, man-made events like fire, acts of war
and terrorism, structural (building) deficiencies and chemical spills are termed
disaster; because of their effects on materials and properties of the library.
However, criminal acts, like book theft and mutilation are also termed as
physical disasters.

3.2 History of disasters in libraries

It is very important to provide an historical perspective on disasters. Among

one of the earliest noted incidents, Xiang Yu, rebelling against Emperor Qin
Er Shi, led his troops into Xianyang in 206 BC. He ordered the destruction of
the Epang Palace (or Xianyang Palace) by fire. (Qin Shi Huang had ordered
the burning of books and burying of scholars earlier.) The great library at
Alexandra established in the third century BC, was destroyed by fire first in 47
BC, during the time of Julius Caesar and then finally in 373 AD.

The Library of Antioch library was burnt by Emperor Jovian in AD 364. It had
been heavily stocked by the aid of his non-Christian predecessor, Emperor
Julian. In AD 651 Books of Library of Ctesiphon were thrown into
the Euphrates on the order of Caliph Umar. In 976 AD, Library of al-Hakam II,
all books consisting of "ancient science" were destroyed in a surge of ultra-
orthodoxy. In 1029, Sultan Mahmud of Ghazni burned the Library of Rayy and
all books deemed as heretical. Nalanda University complex (the most
renowned repository of Buddhist knowledge in the world at the time) was
sacked by Turkic Muslim invaders under Bakhtiyar Khilji in AD 1193, this
event is seen as a milestone in the decline of Buddhism in India.

The Library of Congress was destroyed during the War of 1812 when British
forces set fire to the US Capitol during the Burning of Washington. The 1966
Florence flood destroyed 2 million volumes of cultural objects in the

7
 Bibliotheca Nazionale Centrale. The fire at the library of the Nigeria Institute
of Policy and Strategic Studies, Kuru, Jos in 1988 arson by students
destroyed books in the Nigeria Forestry Research Institute Library. Fire
severally damaged the Cabildo in New Orleans in 1988; the Loma Prieta
earthquake damaged several San-Francisco's area museums and libraries in
1989.

The Public Records Office of Ireland was burnt down during the 1992 civil war
leading to the loss of Irish Cultural Heritage from the Middle Age to 1790. The
devastating fire at Norwich City Library in 1994, showed how vulnerable
collections are the great loss that can result. In November 1998, a tornado
swept through Colombia destroying some records of the University of
Missouri. In 1999, the invading force of Slobodan Milosevic systematically
destroyed records pertaining to land, financial, citizenship and genealogical
entitlements of the Albanian community in Kosovo.

On September 11, 2001, terrorists bombed the World Trade Centre and the
Pentagon libraries in the United States of America, destroying records, books
and other documentary materials. The National Library and Archives, a
priceless treasure of Ottoman historical document including the Royal
Archives of Iraq, were turned to ashes in 3,000 degrees of heat on 14th April,
2003 during the United State's invasion of Iraq. Several libraries of Iraq were
looted, set on fire, damaged, and destroyed in various degrees during
the 2003 Iraq War.

Several libraries, archives, and museums of India, Indonesia, Malaysia,

Maldives, Thailand, Sri Lanka were destroyed because of the 2004 Indian
Ocean earthquake. Library of Egyptian Scientific Institute, Cairo was
destroyed in December 2011 and only 30,000 volumes have been saved of
200,000. Many libraries were destroyed due to Hurricane Sandy in New
York in November 2012 particularly in New York City, its suburbs, and Long
Island.

It can be said that large or small, natural or man-made disaster or

emergencies put an institution's staff and collections in danger.

3.3 Possible threats to libraries and their resources

The greatest threat to the collections are considered to be from fire and water.
Physical damage is considered less likely. However, a worst-case scenario

8
could involve all three hazards occurring simultaneously. The staff should be
mindful of any signs of problems arising in these areas.

Fire: Books burn slowly. Paper chars and crumbles when handled. Smoke
and soot discolour books not otherwise affected. Microforms and audio-visual
materials can be completely destroyed or damaged beyond repair. Fire could
originate from either external or internal sources. External sources include the
risk of bush fire and lightning strikes. Internal risks of fire are ever-present
with our widespread reliance on the use of electrical appliances, such as desk
lamps, heaters, computers, power boards and other equipment within the
collection buildings. Other possible sources of fire could include chemical
spills.

Water: Paper absorbs water at different rates depending on the age,

condition and composition of the material. Generally speaking, books and
manuscripts dated earlier than 1840 absorb water to an average of 80% of
their original weight. Modern books, other than those made of the most brittle
paper, absorb to an average of 60% of their original weight. Leather and
parchments usually warp, wrinkle or shrink. The damage done to book covers
may be irreparable. Water can cause gelatinization on parchment. After
floods, mould rapidly begins to form in damp conditions. Audio-visual
materials, photographs, microforms, magnetic media and other disks, are also
vulnerable to water, and the damage depends on the type of the material, the
length of exposure to water, its temperature, etc.

Physical Damage: Physical damage to the collection could arise from

damage to the building (e.g., structural failure or storm damage) resulting in
damage to the collection, or from unauthorized entry leading to theft or
vandalism of library collection. Maintenance arrangement for all large trees in
proximity to the buildings minimize the chance of damage to the building from
a tree falling on it during a storm. Security arrangements at both sites
minimize the risk of the unauthorized access. However, it should be noted
that security arrangements are not fail-safe. Systems failure is always a
possibility and people should be cautious of unauthorized people. There also
is the potential for the security system to fail if it is impaired in some way
associated with the disaster.

Biological Agents: Materials may be eaten, soiled, stained and shredded.

9
 E-disasters: E-disasters like virus in personal computers, server failure,
network failure and website hacking are the modern disasters which hamper
the normal functioning of the libraries. A disaster plan should include a detail
information about the systems Inventory (hardware, software) and list of cloud
services library is using to store/create data.

3.4 Risk assessment of libraries

Major risks to the building and the collections of the libraries are:

a) External risks

- Consider the library location, identify the potential industrial or natural

hazards.
- How close is the building to a chemical plant, or natural waterways, or
bushland?
- How safe is the building from natural disasters such as
fire, flood, cyclone, and earthquake?
b) Internal risks
- Are collections housed away from plumbing, mechanical and
electric plants?
- Are storage areas safe from leaks and flooding?
- Are collections stored underground?
- Are flammable materials such as solvents and paints appropriately stored
away from collections?
- Is there the backup of system/network settings ready to port to a new
server in case of server/hardware failure?
- Is there a battery backup for all the hardware of the library?

- Is there anti-virus protection in server, PC and laptops?

4. Disaster Planning In Libraries and Other Information Centres

Disaster preparedness and security are vital to the preservation and protection
of records and libraries. Disaster planning facilitates efficient and quick
response to an emergency, and security protects items against theft or
deliberate or unintentionally damage and destruction.

For example, in case of a fire disaster, there should be an abundance of fire

extinguishers at appropriate places in the library and staff should be trained on
how to handle them in putting out the fire. There is no doubt that disaster
planning is complex and that the written plan is the result of a wide range of

10
 preliminary activities. However, the entire process is most efficient if it is
formally assigned to one person, who acts as the disaster planner for the
institution and is perhaps assisted by a planning team/committee.

The planner should establish a timetable for the project and define the scope
and goals of the plan, which will depend largely on the risks faced by the
Institution. When a member of the main library staff encounters an emergency,
the first response should always be to contact the library's security office. When
an emergency occurs, the staff will either contact public safety directly or the
library's security office, depending on the nature of the emergency. When the
libraries are closed, disaster will be detected from the outside; in which case,
public safety will notify appropriate library staff, as it maintains a list of
emergency contact personnel from the libraries.

A decision to undertake disaster planning is one of the most important a

librarian can make to protect collections. Disasters occur much too frequently in
libraries and archives resulting in extensive and costly damage which often
could have been prevented or reduced. The instances of damage to
collections, buildings, and equipment over the past twenty-five years are
serious enough to convince even the most sceptical to initiate disaster planning
as a top priority for sensible collection management. If it cannot be avoided,
then the impact must be reduced by preparedness and informed recovery so
that as much as possible is salvaged and restored.

4.1 Objective of disaster planning for libraries

- To protect library materials to avoid a disaster by being pro-active to
reduce possibility of a disaster and to reduce effects if a disaster happens,
and
- To expedite response and recovery efforts in an organized and systematic
manner.
4.2 Benefits of having a plan
- Fast response, avoids escalation
- Prompt, SOP (Standard Operating Procedure) for pressurised situation
- Resilience for absence of key personnel
- Sound basis for decision-making
- Avoids dithering/knee-jerking
- Potential hurdles circumvented in advance
- to maintain the institution’s ability to continue functioning during and after a
major emergency

11
 - to reduce damage to collections
- to decrease the amount of time it takes to implement disaster recovery
procedures
4.3 Basic Elements of Preparing a Plan

As a disaster plan must apply to the building and all its contents, including
people, collections, records and equipment, it is highly desirable that the plan be
prepared by a team rather than an individual. There are five main steps in
preparing a disaster plan:

1) Conducting a risk analysis.

2) Identification of existing preventive and preparedness procedures.
3) Making recommendations to implement additional preventive and
preparedness procedures.
4) Allocating responsibilities.
5) Devising procedures to respond to and recover from disasters.

Every disaster has three phases, namely, before, during and after. In the 'before
phase', which corresponds to everyday routine operations, two types of plans
should be in operation: preventive and preparedness. Preventive plans
recommend actions that will prevent most disasters. They include
recommendations such as the repair of leaking roofs, the improvement of
maintenance and the upgrading of security. Preparedness plans are designed to
ensure that identified disasters can be managed. They recommend actions such
as the identification of important items in the collection, the purchase of plastic
sheeting, the provision of freezing facilities and the training of staff to enable
them to respond to a variety of disasters.

In the 'during phase' a response to the disaster must be made. The effectiveness
of the response is governed by the thoroughness of the preparedness plan.

In the 'after phase' recovery plans are implemented. Due to the unique nature of
every disaster, recovery plans can never be formulated in detail.

4.4 Elements in disaster plan

- Risk assessment – Identifying the dangers to the building and

the collections.
- Prevention – Implementing measures to remove or reduce danger.

12
 - Preparedness – Being ready by having identified
resources, materials, services and procedures in place to deal with
problems when they occur.
- Response – Knowing how to respond to minimise damage quickly
and efficiently.
- Recovery –Knowing what to do to recover damaged material.

5. Guidelines for the Disaster Planning Process

Formulating a written plan is the most important step to take in preparing for
disasters. The disaster plan should include, but not necessarily be limited to, the
following steps.

a) Assign responsibility. While one staff member may have the main
responsibility for organizing and updating the plan, a disaster team must be
formed. Ideally, it should be composed of participants from a range of library
backgrounds, including special collections and collection development. Other
personnel in the organization—such as building maintenance staff, engineers,
and security experts—should also be members of the team.

b) Do preliminary research. The disaster team can review articles about

disaster planning and recovery, examine disaster plans from similar types of
institutions, and attend pertinent workshops.

c) Set up liaisons with local emergency agencies. The team should contact
community personnel such as local fire marshals. These people can then tour
the library and see its layout and collection firsthand. In addition, state, city,
and municipal emergency service agencies can help a library get a better
idea of the area’s potential hazards, such as floods or earthquakes.

d) Establish goals and tasks for team members. Team members should be
cross-trained to do other tasks in addition to their primary responsibilities.
One person may be designated as the main contact on the team, and a chain
of command determined. A comprehensive phone list is essential, including
the home phone numbers of staff as well as contact information for local
vendors of supplies and equipment, and service providers such as outside
conservators and drying facilities.

e) Conduct a collection survey and determine salvage priorities. Once a

determination is made of the contents of the collection, treatment priorities
must be established based on factors such as the intrinsic and monetary

13
 value of the items, their importance to scholars and researchers, and any
legal obligations of the institution.

f) Locate and assess potential hazards. A vulnerability assessment survey is

essential to identify the types of emergencies that may occur, determine the
probability of their occurrence, and judge how much of a danger each would
pose to the continued operation of the institution.

g) Consider financial implications. The team should have an idea of how

much money would be available in case of a disaster, and how and by whom
it could be accessed. The institution’s insurance policy should be examined to
determine whether the existing levels of coverage are adequate and to
ascertain what procedures the insurer expects the institution to undertake
following a disaster.

h) Implement the plan. It is of utmost importance that the written disaster plan
be easy to implement during a crisis. Instructions must be concise, clear, and
comprehensive. Because no plan, no matter how well written, can anticipate
every detail of every possible emergency, it should be flexible enough to allow
for adjustments and improvisation. Staff must receive adequate training (and
cross training) and should participate in frequent drills to ensure that skills are
kept up-to-date.

i) Test, revise, and maintain the plan. It is imperative that the plan be
updated regularly, whether or not a disaster has occurred. Names and
contact information for pertinent staff, vendors, and suppliers may change
frequently; new collections are acquired; buildings are modified; and new
equipment may be installed. Even the most well written plan, if it is not up-to-
date, will not be effective when a disaster occurs.

6. Developing a Disaster Plan

Where should disaster preparedness activities start? A successful disaster plan

and staff training program not only teaches people what to do, but also how to
remain calm. When people understand their roles and responsibility during an
emergency, things fall into place much faster. Emergency preparedness is not
simply having a disaster plan or manual, but rather it is a combination of written
documents, training, raising awareness, conducting drills, rewriting or clarifying
based on those drills, and ongoing training. This preparation process is
conducted within the library, the larger institution, and within the community or
region.

14
 All preventive activities should be incorporated into the day to day operations of
the institution. Once the disaster plan has been formulated it is important to
decide how much time can be devoted to preparedness. A balance must be
struck: disaster planning may prevent other essential operations, such as
cataloguing, filing and user services, from being carried out. Too much time
ought not to be spent on disaster planning activities, only enough for the
institution to be adequately prepared.

A disaster plan is comprised of an introduction and statement of purpose, a

statement outlining the scope of the plan, specific statements on the personnel
with authority in regards to producing, implementing and activating the plan as
well as coordinating with external entities, documentation of the distribution,
review and updating of the plan. It should also include sections devoted to
actions taken during a disaster, emergency instructions, a contact list,
preparations for disaster, instructions to be used if there is forewarning of
disaster and outlines of disaster response, recovery and rehabilitation actions.

6.1 Disaster prevention

Disaster prevention is the first phase in disaster planning (prevention is better

than cure) and the most important requirement in any planning exercise
designed to counter the disaster threat. It involves identifying and minimizing
risks posed by the building, its equipment and fittings, and the natural hazards
of the area. Although risk can never be completely removed, many disasters
that are likely to happen can be avoided. The term disaster prevention refers
both to measures to prevent an event happening and to protective measures to
prevent or limit exposure of the collection, buildings and equipment to the
effects of an event should it occur. Staff needs to be aware of the risks and
always be on the alert for evidence of water, high humidity, damp musty
smells, mould, fire hazards, and any evidence of insect pests and rodents in
collection areas. A regular building and equipment maintenance program is
critical for disaster prevention. In disaster prevention, the following activities are
important:

a) Survey preservation needs.

b) Identifying emergency funds and insurance coverage.
c) Train staff in proper handling, repair and binding techniques.
d) Improve environmental conditions.

15
 e) Protect computers and data through provision of uninterrupted power
supply. Back up and store all data files off-site.
f) Preparing a first response action list.
g) Compiling up-to-date telephone list of staff and volunteers.
h) Purchasing and distributing in-house supplies.
i) Identifying sources of supplies, services and experts.
j) Have comprehensive insurance for the library or archives, its contents,
the cost of salvage operations, and potential replacement, re-binding and
restoration of damaged materials.
k) Writing an adequately specific Disaster Plan.

6.2 Disaster preparedness

Preparedness to any situation is essential in ensuring that one is able to

respond adequately to it. The purpose of being prepared is to enable an
effective response when a disaster occurs, and this is typically achieved
through a combination of documented plans, emergency supplies and staff
training, supported by internal and external contact arrangements. Information
and planning are the key to preparedness.

Preparedness involves:

- Establishing the value of the collections, and infrastructure of the library for
insurance purposes, and identify the most important material in priority order
for salvage.
- Ensuring that resources to deal with minor disasters are readily at hand. This
need not be expensive, disaster cabinets or waste containers stocked with
essential response materials should be centrally located and
readily accessible. Disaster cabinets or bins should contain practical things
that are needed to respond effectively such as; plastic
sheeting, tape, scissors, mops, buckets, sponges, paper towels, torches and
batteries.
- An emergency cabinet is very useful in case of disaster and it should be kept
fully stocked. Emergency cabinet contents are also desirable, so it should be
kept the cabinets locked with a break glass tube lock for access in an
emergency.
- Additional resources locally and regionally should be
identified. Resources include expert advice and help, access to equipment

16
 and freezer services, transport and workspace facilities, and additional
recovery materials.
- A disaster response structure with identified key personnel and
responsibilities should be developed. Contact numbers should be updated
regularly; all key management staff should have a copy of this information.
- Ensuring that key staff know how to shut off services; electricity, gas, water
alarms and air conditioning systems. A copy of building and disaster plans
and a set of master keys off site should be kept which should be readily
accessible in an emergency.
- Training of staff in appropriate response procedures should be done
regularly, at least once an year. This should include use of the disaster
cabinets and waste containers. A one-page hand out for all staff on what to
do when you discover a threat to collection material is very useful. This
can be kept in a prominent place in the work area.
All of this information constitutes a disaster plan, and can be tailored to meet
individual needs. Disaster planning must be reviewed and updated annually to
remain relevant and workable.
6.3 Disaster response

The preparation process includes the actions taken for when or just in case
disaster strikes. It provides the framework for response. Response is the
implementation of the parts of the plan that are needed to meet the institution’s
needs in the event of a disaster.

Common response to disaster is shock, confusion, and helplessness, however,

it does not have to be like that. If staff is prepared, have taken appropriate
preventive action, and have trained staff and resources, the library will be able
to manage the situation. Disasters can be major or minor and this needs to be
defined in the disaster plan, so that appropriate response action is taken. When
appropriate, libraries security staff should take steps to limit potential damage
while waiting for emergency personnel (public safety or physical plant) to
arrive. Such steps include making sure that patron and staff are not in danger.

Safety of human beings comes before protection of library materials. Libraries'

security staff themselves should not take unwarranted risks to save library
materials. Eliminating the source of the problem is also an important step to
take in an emergency.

The general steps for response include:

17
 - Follow established emergency procedures such as the one page handout
described above. For a major disaster, senior management has to
activate the disaster response structure.
- When the site is safe and permission is given to re-enter, the extent of
damage needs to be assessed and an appropriate course of
action determined. This will be done by collection managers in collaboration
with members of the disaster response team.
- Protect material from further damage using plastic sheeting, contain and mop
up water and divert water to drains or other escape routes, e.g., down the
stair well.
- If necessary, correct environmental conditions to prevent mould growth using
fans and dehumidifiers.
- Make a written and photographic record of events; this will be required for
insurance purposes.
- Seek expert advice on the recovery process for affected materials and
prioritise materials for salvage with regard to the importance, extent
of damage and nature of the materials.
- List the resources needed including; manpower, recovery
materials, expertise, facilities, transport arrangements and a work area and
equipment.

It is always better to be prepared in readiness for disasters that could occur in the
library. Perhaps, the greatest threats to library collections are considered to be
from fire and water, as physical damages such as earthquake, hurricane and
tornado are not as common. However, a worst-case scenario could involve all
three hazards occurring simultaneously. It is, therefore, important that library staff
should be vigilant and mindful of any signs of problems arising in these areas.

6.4 Disaster recovery and follow-Up

The recovery process will depend on the size and nature of the disaster, the
degree of damage and the priority and nature of affected materials. Maintaining
services is also a consideration and recovery is not complete until things are
back to normal. The disaster response team and collection managers are
responsible for planning recovery procedures. For most materials this will
include all aspects of drying, cleaning, sorting,
discarding, rebinding, repairing, relabelling and replacing. During the recovery
process, after the occurrence of a disaster, the salvaging of damaged items
and property as well as the speedy re-establishment of services are the most

18
 important elements of disaster plan implementation. Additionally, at this time, a
review of the disaster plan is recommended.

Recovery is what is done to get back to delivering materials and services.

Follow-through includes distribution of the plan and those parts of the process
that are ongoing to assure that disaster preparedness remains a priority for the
library. These include staff training activities and establishing collaborative
relationships between the institution/state/city and emergency managers and
first responders (e.g., fire, police).

Each disaster is different and something new can be learned each time. It is
always worthwhile having a debriefing meeting with all those involved
to discuss what worked well and what needs to be improved. It is also
important that identified improvements be quickly incorporated in disaster
planning.

7. Summary

From the above, it is clear that no library can free itself from disaster of
whatever form it is, whether natural or man-made. The saying that ‘misfortune
come on wings and departs on foot’ is very valid here. Disaster planning is
becoming an essential component of the overall management plan for a library
or archive. The importance of an effective disaster plan is regularly
demonstrated in institutions which are strongly committed to their plans.

There is ample evidence to indicate that to be effective, a plan must be

incorporated into the day-to-day management of an institution. A well thought
out and presented plan is useless if it exists solely as a document on a shelf. It
is, of course, humanly impossible to be fully prepared at all times for any
danger that could conceivably strike our institutions. Nevertheless, we cannot
abdicate our responsibilities as the guardians of our collections. We must
realistically assess our vulnerabilities and familiarize ourselves with all the
necessary steps to take in response to any emergency scenario we may be
called upon to face.

There is no substitute for proper advance preparation when it comes to disaster

response. Time invested before a disaster may strike in establishing an
appropriate and effective plan will pay big dividends in ensuring the well-being
of the collections entrusted to our care. It is important for all information
professionals to put in place preventive measures. These measures should be
well documented and communicated to all staff members. This will enable staff

19
 to take care of the building and its holdings, or if disaster strikes, the effects will
be minimal. Disasters will then be a thing of the past. Preventive measures
specific to computers should also be put in place. Indeed prevention is better
than cure and, information professional who fails to plan, plans to fail.

8. References and further readings

1. Dinky, S. (2005). Towards disaster preparedness and recovery planning

procedure for libraries. African Journal of Library, Archives and Information
Science. 15 (1): 76.
2. Alegbeleye, B. (1993). Disaster control planning for libraries, archives and
electronic data processing centres in Africa. Ibadan: Option Book and
Information Services.
3. ALIA disaster planning for libraries. Australian Library and Information
Association, May 2010.
4. Anderson, H., & McIntyre, J. E. (1985). Planning manual for disaster control in
Scottish libraries and record offices. Edinburgh: National Library of Scotland.
5. Beth, L. P. (2008). Disaster planning. In Ogden, S. (Ed.) Preservation of
library and archival materials, 3rd ed., rev. and expanded. Andover, MA:
Northeast Document Conservation Center.
6. Bohem, H. (1996). Disaster prevention and disaster preparedness. Berkeley,
Calif.: University of California.
7. Buchanan, S. (2002). Disaster Planning: Preparedness and recovery for
libraries and Archives: A RAMP study with guidelines. Paris: Unesco.
8. Buchanan, S. (2003). Disaster: Prevention, preparedness and action. Library
Trends 30(2): 241 - 252.
9. England, C., & Evans, K. (2007). Disaster planning and preparedness: An
outline disaster control plan. Boston Spa: British Library.
10. Feather, J. (1991). Preservation and management of library collections.
London: The Library Association.
11. Fleischer, S. V., & Heppner, M. J. (2009). Disaster planning for libraries and
archives: What you need to know and how to do it. Library & Archival
Security, 22(2): 125-140. Retrieved
from http://www.informaworld.com/openurl?genre=journal&issn=0196-0075.
12. Hiatt, C. J. (2000). A Primer for disaster recovery planning in an IT
environment. London: IDEA Group Publishing.
13. Jenkin, I. A. (1987). Disaster planning and preparedness: An outline disaster
control plan. British Library Information Guide 5. London: The British Library.

20
14. Karen, L. L. (2009). Management strategies for disaster preparedness. The
ALA Yearbook of Library and Information Science 14 (1). Chicago: ALA: 1-6.
15. Lyall, J. (1993). Staff papers: Disaster planning for libraries and archives;
understanding the essential issues. Proceedings of the Pan-African
Conference on Preservation and Conservation of Library and Archival
Materials, Nairobi, Kenya. IFLA: 103-112
16. Mansell, H. (2003). The Disaster Control Plan. In: Matthews, G. and Feather
J. (eds). Disaster Management for Libraries and Archives. Ashgate: 13-40.
17. Matthews, G. (2005). Disaster management: Sharing experience, working
together across the sector. Journal of Librarianship and Information Science,
37(2): 63-74. Retrieved from
https://sremote.pitt.edu/cgi/reprint/37/2/,DanaInfo=lis.sagepub.com+63.
18. Matthews, G. (2006). Disaster Planning – REDS all over the land? In:
National Preservation Office e-Journal. London: The British Library.
www.bl.uk/services/npo/journal/4/matthews.htm. Retrieved on 20/04/2007.
19. Matthews, G. and Eden, P. (1996). Disaster Management in British Libraries:
Project Report with Guidelines for Library Managers, British Library (Library
and Information Service Report 109).
20. Morgan, C., & Smith, I. T. (1997). Disaster planning and preparedness: An
outline disaster control plan. British Library Information Guide 5. London: The
British Library Board.
21. Morris, J. (1986). The library disaster preparedness handbook. Chicago, Ill.:
American Library Association.
22. Muir, A. and Shenton, S. (2002). If the worst happens: The use and
effectiveness of disaster plans in libraries and archives. Library Management,
23(3):115-123.
23. Newey, A., Lepschi B., & Croft, J. (2008). A disaster recovery plan for the
Australian National Herbarium Canberra. Centre for Plant Biodiversity
Research
24. Ngulube, P. (2005). Disaster and security management in public archival
institution in ESARBIA Region. African Journal of Library, Archives, and
Information Science. 15 (1): 15-20.
25. Pepra, A. P. (1998). Information disaster preparedness planning at Merchant
Bank Ghana Limited: An evaluation. An MA Dissertation. Department of
Library and Archival Studies, University of Ghana, Legon.
26. Schneid, T.D. and Collins, L. (2001). Disaster management and
preparedness. New York: Lewis Publisher.

21
 27. Shankar, K. (2008). Wind, water, and wi-fi: New trends in community
informatics and disaster management. The Information Society, 24(2): 116-
120. Retrieved
from www.emeraldinsight.com/10.1108/01435120210697216.
28. Tennant, R. (2001). Digital libraries: Coping with disasters. Library Journal,
126(19), November 15:26.
29. Toigo, J.W. (2003). Disaster recovery planning: Planning for the unthinkable.
3 ed. New Jersey: Prentice Hall.
30. Wellheiser, J. & Scott, J. (2002). An ounce of prevention: Integrated disaster
planning for archives, libraries, and record centers. Lanham, Maryland: The
Scarecrow Press, Inc.

Web links

• Disaster Information Management Research Centre

www.nlm.nih.gov
• Disaster Planning and Recovery
http://www.sla.org/learn/resource-guides-2/disaster-planning-and-recovery/
• Disaster Plan Handbook
http://libraries.dal.ca/content/dam/dalhousie/pdf/library/Library_Administration/
DisasterPlanHandbook-publicversion.pdf
• Disaster Planning
http://webworld.unesco.org/safeguarding/en/pdf/txt_sini.pdf
• Disaster Management in Libraries
http://morgansuity.wordpress.com/about/hot-topic-white-paper-disaster-
management-in-libraries/
• Disaster Preparedness Clearinghouse
http://www.ala.org/alcts/resources/preserv/disasterclear

• The Online Disaster-Planning Tool

http://www.dplan.org

Appendix

Agencies associated with Disaster Management

• National Disaster Management Authority – http://www.ndma.gov.in

• Center for Disaster Management - http://www.cendim.boun.edu.tr
• Corporate Disaster Resource Network - http://www.cdrn.org.in

22
• Federal Emergency Management Agency -
http://www.fema.gov/hazard/chemical/household.shtm
• India Disaster Resource Network - http://www.idrn.gov.in
• International Strategy for Disaster Reduction -
http://www.unisdr.org/index.php
• National Institute of Disaster Management -
http://www.nidm.net/index.htm
• SAARC Disaster Management Center - http://saarc-sdmc.nic.in/index.asp

• State Disaster Resource Network - http://203.77.202.117/sdrn/index.htm

23
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 21 Human resource planning and development

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Prof H R Chopra
Content Writer Retd Professor and Chaiman, Department of Library
and Information
Science, Panjab UniversityScience, Panjab
UniversityScience, Panjab University
Prof Dinesh K Gupta
Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 21

Human Resource Planning and Development

I. Objectives

The objectives of the unit/module are to:

- Discuss the importance of human resources in libraries and explain the functions
of human resource management;

- Identify the methods and techniques of human resource planning in libraries;

- Elaborate the various aspects related to job and job analysis and describe the
human resources functions in libraries.

II. Learning Outcomes

After going through this unit/module, you would be able to learn the steps involved
in human resource planning and development in the libraries and information
centres include: establishing result oriented recruitment procedure, giving
orientation to the newly recruited staff properly, enhancing the staff skills
through appropriate in-service training, evaluating the results after regular
intervals, estimating the requirements of human resources for the libraries and
information centres for the present as well as the future. Human resources
development activities such as performance appraisal, in-service training and
implementation will also be detailed out.

III. Structure

1. Introduction
2. Concept of human resource planning
3. Concept of human resource development
4. Need and purpose of human resource planning
5. Methods and techniques of human resource planning
5.1 Estimating personnel resources
5.2 Induction and deployment
5.3 Training and development
5.4 Communication
6. Human resource planning for libraries and information centres

1
 6.1 Types of libraries
6.2 Structure of library staff and nomenclature
6.3 Salary structure of the library staff
6.4 Methods of recruitment
7. Job analysis
7.1 Uses of job analysis
8. Job description
8.1 Job identification
8.2 Job summary
8.3 Job activities and procedures
8.4 Relationship of the job to the total institution
8.5 Job requirement
9. Job specification
10. Job rotation
11. Job evaluation
11.1. Procedure of job evaluation
11.2. Advantages of job evaluation
11.3. Disadvantages of job evaluation
12. Role of library authority
13. Role of library committee
13.1. Constitution of library committee
13.2. Need for library committee
13.3. Power and functions of the library committee
13.4. Librarian vis-a-vis library committee
14. Conclusion
15. References

1. Introduction

Library is a combination of three components, viz. Documents, staff and users. Inspite
of availability of best documents in the library, their utilization may not be done properly.
This is due to the fact that library may lack well trained, well qualified, experienced and
willing staff members. The staff is referred to as ‘manpower’ or ‘human resource’.
Manpower is the basic work force within the organisation. When this workforce is used
for performing creative and potential tasks to obtain the basic objectives of the

2
organisation, then it is called ‘human resource’. To obtain and retain the human resource
of an organisation is called ‘Human Resource Management’ (HRM). Earlier, the term
used for the process was ‘Staffing’ or ‘Personnel Management’.

Human resources are the key factor in the effective functioning of any organisation. Of
all the tasks of management, managing the human component is the central and most
important task because all else depends on how well it is done. One of the most
important functions of a manager (e.g., Librarian in case of a library; and else
Information Officer in case of an Information Centre) is to provide and coordinate the
human resources of an organisation. The various jobs associated with the HRM are:
manpower planning, job analysis, job description, recruitment, motivation, training,
etc. Some large libraries have specially trained ‘Personnel Librarians’ or ‘Personnel
Officers’, who are sometimes called ‘Human Resource Managers’. They are responsible
for the staffing function. In smaller libraries, this function is performed by the librarian or
Director of the library. But in all types of libraries, large or small, managers from
Librarian/Director down to the first line supervisors, all are involved in the HRM function.

2. Concept of Human Resource Planning

Process of acquiring, employing, appraising, remunerating and retaining people so that

right type of people are available at right positions and at right time in the
organisation is called human resource planning. It relates to employment of personnel
of all types - managerial as well as operative in the organisation. It also includes a
variety of activities through which the organisation tries to ensure that various positions
remain filled by the most suitable personnel. Human resources of an organisation are
considered the most vital assets because it is the people who make other resources
moving. It is all the more important in the libraries and information centres.

Planning includes determination of desired goals and objectives with in a time frame in a
phased manner, keeping in view the future growth and development of the organisation.
It also includes an assessment of the future in relation to environmental changes,
professional trends, technological advances and their influence on all aspects of
development. Priorities are fixed out of various alternatives. Estimation of financial
aspect is also planned. Then a written plan document is prepared, which is finally
executed. Without proper planning, the staff development would tend to be arbitrary and
ad-hoc which would not be conducive to growth and development of the organisation.

3
3. Concept of Human Resource Development

Human Resource Development (HRD) is a process of helping employees in an

organisation to acquire new skills and competence on a continuing basis. The
organisation should provide facilities to the employees in a planned and systematic way
to acquire and sharpen skills and capabilities to perform various tasks associated with
their present and expected future roles. The organisation is also expected to develop the
general capabilities of the employees and discover and exploit their inner potential for
their own and organisational development purpose. Moreover, it should improve abilities
of the staff by introduction of strategic and operational HRD planning and execution.

Human Resource Development is necessary for survival stability; growth and

development; change and diversity; returning the activities to become more effective;
providing highest quality in products and services; and obtaining goodwill and reputation
through clients satisfaction.

4. Need and Purpose of Human Resource Planning

Human resource planning is essential for more effective and efficient use of human
resources. It is also essential to evolve more satisfied and better developed employees.
Recruitment scheduling, selection of candidates to match the requirements, deployment
and related placement decisions cannot be properly done, if there is no planning of
human resources. A plan serves a guide in all the activities that constitute personnel
management. Planning leads to great satisfaction of the staff, lower absenteeism, fewer
breakdowns and better quality of work.

Despite best planning, sometime unexpected problems creep up at the stage of

implementation. There is always a provision for re-routing and re-structuring the plan
activities when there is an emergent situation to handle. This deliberate provision is
essential to keep target to be achieved on schedule, without abandoning any well
conceived activity of the organisation

5. Methods and Techniques of Human Resource Planning

Human resource planning is a process whereby courses of action are determined in

advance and continually updated with the aim that the “Library is a growing organism”
and it will grow in terms of building, services, equipment and reading material or the
sources of information. New developments, new techniques, new systems, new
generation of information technology and new data bases/data banks will creep in. All

4
this will require additional staff, updating of training and skills of the existing staff and
new positions in the libraries in the near future.

Keeping in view the above mentioned factors, the following methods and techniques of
human resource planning can be undertaking:

5.1 Estimating for human resources

First of all, the staff requirement for the present would be calculated. Therefore,
estimation for the near future, i.e., the next 5 to 10 years would be done, taking into
account the overall objectives of the organisation concerned. Employment planning can
be done using the following techniques:

Expert -Estimate Technique According to this technique, the opinion of the experts is
invited based on their personal experience. This technique can be more effective if
experts use the 'Delphi Technique', which is a set of procedures to obtain the most
reliable consensus of opinion of a group of experts. The questionnaires are sent to the
experts for this purpose and personal contact is avoided for obvious reasons. The
estimates suggested by various experts are tabulated and the average number is then
used for the forecast.

Trend Projection Technique According to this technique, the trend of services and staff
in the past are taken into account. Staff strength can be matched against the staff that is
actually involved in the work. Staff strength can be projected from the past experience.
Thus, appropriate estimates can be prepared with reference to the number of persons
required to perform different functions.

Modeling Technique Staff requirements can also be estimated using most

sophisticated forecasting and modelling techniques. Trend projections are based on
relating a single factor or multiple factors. Mathematical models are designed on these
relationships. Estimates are projected, using methods such as 'Markov Model' and
analytical formulations such as regression analysis.

Unit Demand Forecasting Technique This technique is a bottom-up-approach to

forecasting staff estimates. The top management sums up the units forecast to project
the total employment forecast. By analyzing the present and future requirements of the
job as well as the skills of the incumbents, this method focuses on the quality of staff.

5
After the estimates of the staff are prepared, the next step is to determine the quality
and availability of those staff members who are working presently in the organisation.
Skill inventory is used for analyzing the existing internal staff. Skill inventory is a list of
names, skills and characteristics of the persons already working in the organisation. This
way, additional staff required in the near future is calculated and estimated.

5.2 Induction and deployment

After the staff is recruited in the organisation, the first phase of induction is an
‘Orientation programme’ of the new incumbents. They are oriented with the colleagues,
system, facilities, procedures and rules of the organisation. The questions of the new
incumbents are answered and they are familiarized with the working of the organisation.

The second phase of induction is performed by the immediate in-charge or supervisor,

who explains the environment, work culture, expectations from the new incumbents and
related issues. Acquaintance with other units or sections or departments of the
organisation is also given personally. This way orientation of the entire organisation is
given in detail. This initial induction to the new staff members pays very rich dividends to
the organisation.

5.3 Training and development

This is the most important component of personnel planning and development. The
training can be of many types, such as, general orientation courses, short–term courses,
workshops, in–service training courses, refresher courses, continuing education
programmes, etc. of varying durations. These should be organized from time to time
after regular intervals. New techniques, new methods and new developments should be
taught to the employees.

5.4 Communication

There are many methods of communication to the staff. Oral communication is more
informal, which includes meetings, discussions and suggestions. Written communication
is also significant, which includes house bulletins, reports, e-mails, etc. Effective
communication with the staff leads to cooperation, coordination, cohesiveness,
confidence and understanding. It leads to healthy environment and tangible results.

Thus, the steps involved in human resource planning include: estimating the manpower
needs for the present as well as for the future, using well recognized techniques. New

6
techniques, new developments and new systems should be taken into account while
planning human resources. Induction of new staff is very essential. Staff skills can be
enhanced through in-service training and ensuring quality products and services.
Retuning the organisation at regular intervals is equally important. If these steps are
taken, the organisation will lead to efficiency and satisfaction of the clients.

6. Human Resource Planning for Libraries and Information Centres

6.1 Types of libraries

There are three types of libraries namely, Academic Libraries; Public Libraries; and
Special Libraries. Academic libraries are those which are attached to the academic
institutions such as schools, colleges, universities, etc. Public libraries are those which
are meant for all categories of people in the society, such as children, housewives,
retired persons, professionals, general public, etc. The examples of public libraries are -
village libraries, panchayat libraries, district libraries, state libraries and national libraries.
Special Libraries are those which are attached to the industries, commercial
organisations, research organisations, government departments, societies, associations,
etc. Libraries meant for special group of people such as prisoners, visually impaired,
physically handicapped, deaf and dumb persons also fall in the category of special
libraries. All these libraries have different objectives, different types of users and different
types of services. As such, these have different set of personnel, possessing certain
specialized knowledge and skills, to man these libraries.

6.2 Structure of library staff and nomenclature

The large libraries are headed by the Director/Chief Librarian/Information Officer. Each
large library/units such as (i) Readers/Users services department; (ii) Technical services
department; (iii) Maintenance department; (iv) Administration department, etc. are
headed by the Deputy Directors/Deputy Librarians/Deputy Information Officers. Each
department is further divided into two or three sections namely: acquisition; periodical;
classification; cataloguing; indexing; abstracting; clipping; translation; online searching;
circulation/lending; reference service; binding, etc. These sections are headed by the
Assistant Directors/Assistant Librarians/Assistant Information officers. The staff working
under them are Library Assistants, Semi-Professional Assistants, Clerks Library
Restores, Janitors, Cleaners, Watchmen/ Security staff, etc. This staff structure varies

7
from library to library keeping in view the type of the library, size of the library, objectives
of the parent organisation, availability of funds and other related factors.

6.3 Salary structure of the library staff

The pay-scale/grades /salary of the staff working in the academic libraries are at par
with those of the teaching faculty, i.e., Professors, Associate Professors, Assistant
Professors, and so on, as per University Grants Commission (UGC) norms. The
eligibility criteria and academic/professional qualifications for these positions are also
laid down as per UGC norms. For example, for the post of Assistant Librarian or
equivalent position, in addition to the academic/professional qualifications, having
qualified the National Eligibility Test (NET) conducted by the UGC or State Level
Eligibility Test (SLET) conducted by the state governments concerned is compulsory.
Other criteria and conditions for recruitment, promotions etc are also as per UGC
guidelines.

For public library staff, the pay-scales are as per rules laid down by the state
government concerned. Similarly, the staff of the special libraries is paid the pay-scales
as approved by the parent body of the organisation concerned/ Government of India/
Council of Scientific and Industrial Research (CSIR)/ Indian Council of Agriculture
Research (ICAR), etc. Their promotion criteria are also laid down by their concerned
parent bodies.

6.4 Methods of recruitment

It depends upon the type of library and governing body. Universities and Deemed
Universities recruit the library staff with the help of selection committees after inviting
applications through wide advertisement after inviting application through wide
advertisement at national level. Interviews of the candidates are conducted invariably.
Recommendations of the selection committees are duly approved by the
Syndicate/Executive Committee/ Senate/Competent authorities before the incumbents
are appointed.

For the posts which fall under the Government of India or State Governments, the
recruitment of library staff is done by the Union Public Service Commission (UPSC) or
the State Public Service Commission concerned. The recruitment for junior positions is
done either by the Subordinate Service Commission of the state concerned or through
Employment Exchanges of the region. Private colleges, institutes and small libraries

8
recruit the library staff, after due process, through advertisements. The age of retirement
and other service benefits of the library staff are also determined by the government
concerned or the parent organisation of the library concerned, from time to time.

7. Job Analysis

According to Edwin B. Flippo, “Job analysis is the process of studying and collecting
information relating to the operations and responsibilities for a specific job. The
immediate products of this analysis are job description and job specifications”. Thus, the
job analysis involves the process of identifying the nature of a job (i.e., job description)
and the qualities of the likely job holder (i.e., job specification).

7.1 Uses of job analysis

According to L.M. Prasad, in addition to recruitment, job analysis has many other uses
which are as under:

- Organisational Design: Job analysis provides the relevant information for

completing the total steps of organisational design. It provides the base for
identifying the contents of different jobs, their inter relationship and inter–
dependence; responsibilities involved in a job; and the authority that may be
required to perform the job.

- Acquisition of personnel: Job analysis helps in human resource planning; their

recruitment & selection; and their orientation & placement. The placement of the
staff in specific jobs is determined by their match with job requirements. Job
analysis helps in providing information about such job requirements.

- Human Resource Development: The human resource development (HRD) is

undertaken as a continuous process to match individuals and job requirements is
indicated by job analysis. Thus it helps in career planning, training and
development of the employees in the organisation concerned.

- Job Evaluation and Compensation: The worth of a job is determined on the

basis of ‘Job Characteristics’ and ‘Job Holder Characteristics’. Job analysis
provides both in the form of job description and job specification.

- Performance Appraisal: It involves assessment of actual job performance by an

employee in the light of what is expected of him. Such an assessment is used for

9
 promotion, training needs, etc. Thus job analysis helps in determining
performance standards.

- Safety and Health: The operational condition of various jobs such as noise,
heat, fumes, etc. which are unhealthy and hazardous, are also brought out by job
analysis. Hence, steps can be taken for necessary safety from such
environments.

- Employees Counseling: Employees who are unable to bear the stress of a

particular job, may be advised to opt for other sections of the library.

The information for job analysis is collected from various sources and in various
forms. Necessary information is collected through interviews, questionnaires,
personal observations, etc. The information thus collected is processed, which
involves editing, grouping or classification under different relevant categories. This
helps in job description and job satisfaction. Thus job analysis is a very useful
exercise for all types of organisations, including different types of libraries and
information centres.

8. Job Description

After the job is created or established or sanctioned, the next step is to describe the job
with regard to the educational and professional qualifications, skills, experience and
personal characteristics required to perform the job. Job description may vary from
organisation to organisation. According to Stueart and Moran, job description generally
contains the following elements.

8.1 Job identification

It includes the job title, i.e., nomenclature, department, pay scale, etc.

8.2 Job summary

It provides the details of the job’s major responsibilities and justification for its
existence.

8.3 Job activities and procedures

It includes the tasks to be performed by the incumbent. The duties and responsibilities
of the job are laid down very clearly and without any ambiguity. The enumeration of the
job’s activities and procedures is the most important part of the job description, which
identifies the exact job to be performed by the employee. The training required,
10
supervision and task evaluation is also mentioned. This helps the employee as well as
the supervisor as to what is to be done, what is to be supervised and what is expected
from the employee concerned.

8.4 Relationship of the job to the total institution

It explains the internal as well as external relationship of the employee with various units
of the organisation. It also indicates the title of the person to whom the incumbent
reports.

8.5 Job requirement

It includes the requirement of minimum acceptable qualifications, skills, experience,

knowledge and abilities for the successful performance of the job. These details should
not be un-realistic.

Job description should always be made available to the applicants for their study and
review. After an individual has been recruited, job description becomes the basis for
determining the training needs and for identifying tasks that require special efforts before
the employee can perform them fairly well. It also becomes the basis for employee’s job
appraisal at a later stage.

9. Job Specification

Also called ‘Employee Specification’, it is a statement of minimum acceptable

qualifications/qualities required in the employee for effective performance of the job.
According to Edwin B. Flippo, “Job specification is a statement of the minimum
acceptable human qualities necessary to perform a job properly…. It is a standard of
personnel and designates the qualities required for acceptable performance”.

Job specification is prepared on the basis of job description. It includes personal

characteristics of the employee, such as: age, sex, education, job experience, extra-
curricular activities, etc. It also includes the physical characteristics of the employee,
such as: height, weight, chest, vision, hearing, health, voice, any physical deformity, etc.
Job Specification also includes mental characteristics of the employee, such as:
intelligence, I.Q., memory, judgment, foresightedness, ability to concentrate, etc. Finally,
it includes the social and psychological characteristics also, such as: flexibility,

11
emotional stability, drive, initiative, creativity, conversational ability, cooperative nature,
temperament, etc.

These characteristics help in deciding the allocation of job in the library-whether it

should be public dealing (reference service, circulation section, etc.) or behind the
screen work, (classification, cataloguing , indexing, abstracting, clipping service, etc.), or
field work, or work involving high stacks area, and so on. The employee can be
assigned the job within the library or information centre which is best suitable to him/her
keeping in view his personal characteristics listed above. Thus, job specification is also
important for human resource planning and development.

10. Job Rotation

Movement of the employees from one job to another job is called job rotation. It is also
called channel method of development. Such movement may be for a period of 6
months to 2 years. The movement should not be for transfer, but it should be meant
for learning the interdependence of various jobs so that the employee can look at his
job in broader perspective.

According to L.M. Prasad, job rotation may be restricted to different jobs falling within in
a broad functional area. Normally, job-rotation is useful when it is undertaken in inter-
dependent jobs or functions. Job rotation as a means for management development
provides certain positive contributions. It allows the employees to appreciate the
intricacies involved in different jobs and how their own jobs are affected by such
intricacies. This way, they can develop more cooperative approach to different functions
in the organisation. Moreover, the employees may develop broader horizon and
perspective of a generalist rather than the narrower horizon of a specialist.

However, job rotation may have certain drawbacks which must be taken care of while
designing such a policy. It may create confusion in the mind of an employee and he/she
may not be able to understand the rationale of job rotation, if not properly counselled.
This may affect the performance of the employee. Therefore, the employees must
understand the rationale behind job rotation. Those moved to different jobs should be
helped to learn thoroughly. Moreover, they should view the change as an opportunity for
a genuine learning experience.

11. Job Evaluation

12
Job evaluation is a systematic procedure which measures the relative importance and
values of each job on the basis of skills, duties, responsibilities and the like. In other
words, job evaluation is the expression of each job in terms of money. The very purpose
of job evaluation is to fix wages according to the job done by a person. It means fixing of
higher wages for highly risky jobs and vice versa. It is also called job rating.

11.1 Procedure of job evaluation

First of all, a detailed study of the requirements for a job such as educational
qualifications, skills, training, experience, intelligence etc. is done. Thereafter, the
physical and mental efforts necessary for the job and degree of responsibility to
accomplish the same is identified. After that job analysis and job description is carried
out. Further, comparison of one job with another job is done and number of points to be
given for each characteristic of a job are determined. Thus, the points for each job are
added. In this way, rank of the job is determined on the basis of its points. Finally,
expression of the value of job in terms of money according to the points obtained is
decided. In this way, job evolution is done very conveniently.

11.2 Advantages of job evaluation

The major advantages of job evaluation can be enumerated as under:

(i) Ranking of jobs is very easy.

(ii) Management can control the labour cost because the wages are fixed on
the basis of nature of job.

(iii) Management can fix same wages for similar jobs. Thus equal wages for
equal job principle can be applied easily.

(iv) Adequate promotion policy can be adopted by the management.

(v) Improvement of morale among the employees is possible.

(vi) Job evaluation helps the management in the selection, placement and
training of employees.

(vii) It provides basis for justifying different wages for different jobs.

(viii) It helps to improve the relations between the employer and the
employees.

(ix) Job evaluation minimizes the labour turn over.

13
 (x) Wages for the new jobs can be fixed by the management without much
difficulty.

(xi) Management can prepare appropriate incentive schemes for the

employees.

11.3 Disadvantages of job evaluation

Job evaluation has few disadvantages also, which are as below:

(i) Job evaluation studies the job but not the individual doing the job.

(ii) Uniformity of wages adversely affects the workers who are above average
or more efficient.

(iii) Job evaluation is just one of the factors for fixing the wages, just like
other factors.

(iv) It is very difficult to convert all the factors in terms of money for job
evaluation.

(v) Points awarded for each characteristic of a job are purely subjective.

(vi) It ignores the labour market conditions which are also responsible for
fixation of wages otherwise.

(vii) The employees may suspect the intention of management if the job
evolution is not understood properly by the employees.

But in spite of the above mentioned disadvantages, job evolution is in vogue in

many organisations due to its numerous advantages discussed earlier.

12. Role of Library Authority

The term ‘Authority’ implies power derived from an organization. The purpose of
authority is to perform some kind of service by means of administration process. The
person/s having power is/are authorized by a competent agency to carry out certain job.
The authority may be ‘Local or State Library Authority’, ‘Board of management’, ‘Board
of Trustees’, ‘Executive Council’, ‘Syndicate’ or ‘Senate’ (in the case of University
Libraries), etc.

Library authority has the powers to provide land/ building for the library; sanction new
posts; make available funds for the library building, library equipment, infrastructure,
salary of the staff, reading materials, etc. It has the powers to levy cess (in case of
14
public libraries); participate in cooperation with other agencies; decide matters
pertaining to status, pay–scale, service conditions, etc. of the staff; approval of
appointments, suspension, dismissal punishment, rewards, etc. to the library staff.

In fact, it is the governing body of the library that has overall control over the library
affairs. It has the authority to sanction expansion of the library, establish branch or
extension libraries and even to close the library. It has the power to approve the
recommendations of the library committee and other library related committees.

13. Role of Library Committee

All types of libraries have library committees, which look after the problems of the
concerned libraries. The library committee is also known as ‘Library Advisory
Committee’, ‘Library Management Committee’ etc. It is an executive type of committee.

13.1 Constitution of library committee

Library committee has generally five to twelve members, depending upon the size and
type of library. These members comprise of faculty, local legislators, specialists and
representatives of library authority. In certain cases, the representatives of local bodies,
library users and government bodies are also associated with the library committee. The
chairperson of the library committee is either nominated by the library authority, or the
senior most member of the library committee. In case of college libraries, it could be the
Principal or Director of the college. Similarly, in case of university library, it could be the
Dean or the Vice Chancellor or Pro-vice Chancellor. The librarian of the concerned
library, invariably, serves as the member-secretary of the library committee. The tenure
of the library committee is generally one to three years. The members can be nominated
or elected. Moreover, it could be self- perpetuating committee, recommending
committee, reporting committee or executive committee.

13.2 Need for library committee

Almost all libraries have library committees because they have many advantages to the
librarian, library users and library authority. The following reasons would confirm the
need of the library committee:

(i) The librarian requires the committee to serve as a buffer agency and
an interpreter of the need of the library to the community/society;

15
 (ii) It is generally felt that the librarian alone should not carry the whole
burden of the library.

(iii) In the absence of a library committee, the librarian would find himself
defenseless and unprotected;

(iv) If there is no library committee, some financial troubles may arise.

Librarian is not an elected representative of the society, so he/she
cannot successfully appeal to the electorate for funds, whereas the
committee, being a representative body of the people, can successfully
and convincingly appeal for more funds;

(v) The committee can also be made an instrument of politics. In other

words, by putting his ideas into the mind of the committee members,
can achieve a lot politically;

(vi) The committee members being layman, keep the librarian at his guard at
all times. Thus the librarian develops his personality as an administrator;

(vii) As the profession of librarianship has gained its status very recently, it
requires some support, which would be coming from the library
committee ;

(viii) The committee can assess the financial needs of the library as per
national library standards. Consequently, the librarian and other library
staff would be recruited as per norms. Moreover, the funds would also be
sanctioned more conveniently;

(ix) The library committee ensures a better understanding between the

library users and the library policies; and

(x) The committee, having strong public voice, can easily convince the
authorities and the public about the policies and needs of the library.

13.3 Power and functions of the library committee

In case the library committee is an executive committee, it would have enormous

powers. But if it is a recommending committee, then it would have lesser powers. In any
case, the library committee, generally, has the following functions to perform:

(i) It ensures that the library building is functional and sufficient. If necessary
the committee can recommend its expansion or modifications. Lighting,
16
 heating, ventilation, maintenance, etc. of the library building is also taken
care of by the library committee.

(ii) Library furniture, fitting, stacks and necessary machines in adequate

quantity are also ensured by the library committee.

(iii) Library staff is also very significant for the smooth and efficient library
services. The library committee plays a very vital role in the sanction and
recruitment of all categories of library staff, as per actual requirements of
the library.

(iv) Library finances are required regularly for books, journals and other
reading material. Recurring as well as non-recurring funds are made
available by the library committee.

(v) A library committee should frame a set of library rules, which are
neither flexible nor rigid, so that these suit the library staff as well as
the library users.

(vi) Proper machinery should be provided by the library committee for

maintaining the library accounts and auditing thereof. If necessary, a sub-
committee can be appointed for this purpose.

(vii) Library Acts and rules should be kept up-to-date. Redundant provisions
should be deleted, while new provisions should be incorporated, as per
need of the time. This is also the function of the library committee.

(viii) Standard library services to the library users should be provided by the
library, which is also the responsibility of the library committee.

(ix) A library committee should find out ways and means of securing
cooperation between various braches within a locality ; and also
between other educational institutions and authorities for the benefit of
the library and its users in the long run.

(x) The Library committee is also responsible to lay down a policy for the
guidance of the librarian for day-to-day administration of the library.

13.4 Librarian vis-a-vis library committee

The library committee makes policies and rules, while the librarian implements the
same. Thus, there should be proper coordination and cooperation between the two.
17
There should be compliance and quibbling in implementing the decisions of the library
committee. The librarian should prove himself as a reliable guide to the committee for
transacting the business of the library committee meetings.

It is equally important that the library committee should not interfere in the day-to-
day working of the librarian who is the executive of the library and he has to get the
work done from his staff. The librarian should work sincerely to safeguard the interests
of the library staff as well as the library users. He should also ensure the safety of the
library materials and equipments. In case anything goes wrong, he should immediately
report the same to the library committee. The librarian should keep the committee well
informed about the day-to-day happenings in the library, in the form of periodical reports.
The meetings of the committee should be convened frequently and very regularly.

The members of the library committee should visit the library from to time in order
to have first hand information about all aspects of the library. The librarian should
tender advice to the committee on various matters relating to the library. These include
the repair of the library building, fittings, furniture and equipments. He should also work
out the financial implications, prepare annual budget estimates and annual report of the
library.

For smooth functioning of the library, the committee should delegate certain powers to
the librarian. Authority and responsibility should commensurate with each others.
Effective communication is also essential. In view of the above, it is evident that there is
a dire need of proper cooperation and coordination between the librarian and the library
committee for success and efficient functioning of library.

14. Summary

With the growing and changing patterns of information institutions, management plans
and formulation of policies exclusively for libraries and information centres relevant to
the new conditions seems to be necessary. Besides various compulsions like I.T.
applications, funds crunch, volume and variety of information, increasing demand for
information and emphasis on quality, etc. are driving libraries and information centres to
re-structure their management strategies for human resource planning and
development. A designed methodology for human resource planning in the changing
context would have to be based on broad goals that would keep the library users and

18
their information needs at the centre, building up library collections and stocks relevant
and appropriate to users needs.

The steps involved in human resource planning and development in the libraries and
information centres include: establishing result oriented recruitment procedure; giving
orientation to the newly recruited staff properly; enhancing the staff skills through
appropriate in-service training; evaluating the results after regular intervals; estimating
the requirements of human resources for the libraries and information centres for the
present as well as the future.

Human resource development process translates the plans and progrmmes into action
and it is the means of applying different techniques and strategies. Performance
appraisal, in-service training and implementation of new technologies in the libraries and
information centres would help to achieve quality of products and services as well as the
users’ satisfaction. The stress should be on quality of library and information services,
aiming at excellence. Human resource development is an important strategy that might
help building up a cadre of highly competent professional staff.

15. References

1. Anthony, Willam P et al. Strategic human resource management. Hinsdale, I II:

Dryden Press, 1993. pp. 179.
2. Beach, Dale S. The management of people at work. New York: Macmillan, 1980.
pp. 290
3. Bryson, Jo. Effective library and information centre management. Aldershot:
Gower Pub., 1990
4. Cascio, Wayne F. Managing human resources. New York: McGraw Hill, 1995.
pp. 142
5. Evans, G. Edward. Management techniques for libraries. New York: Academic
Press, 1976. Pp. 187-213
6. Flippo, Edwin B. Personnel management. New York: Mc Graw Hill, 1984. pp.
114 and 131.
7. Leap, Terry L and Crino, Michael D. Personnel /Human resource management.
New York: Macmillan 1995. pp. 157
8. Lee, R. and Lee, C. S. Personnel planning for a library manpower system”.
Library Trends . Vol. 20, July 1970. pp. 19-38.

19
9. Prasad, L.M. Human resource management. New Delhi Sultan Chand & Sons,
2001. pp. 10
10. Prasad, L.M. Principles and practice of management. 6th Ed. New Delhi: Sultan
Chand & Sons, 2006. pp. 458-522.
11. Rubin, Richard E. Human resource management in Libraries: theory and
practice. New York: Neal-Shuman, 1991. pp. 157-158.
12. Stueart, Robert D, and Moran, Barbara B. Library and information centre
management. 7th ed. Westport : Libraries Unlimited, 2007. Pp- 207-293
13 Thomas, George F. Textbook of human resource management. London: Institute
of Personnel Management. 1988.
14. Werther, William B. and Davis, Keith. Human resource and personnel
management. New York: McGraw Hill, 1996. pp. 176.

Additional Readings

1. American Library Association, Personnel Administration Section. “Guidelines to

the Development of human resource” Library Trends. Vol. 20, July 1970. pp.
97-117.

2. Benison, M. and Casson, J. The manpower planning handbook. New York:

McGraw Hill, 1984.

3. Burack, Elmer H., and Smith, Robert D. Personnel management: A human

resource system approach. New York: John Wiley, 1989. pp.409.

4. Campbell, John P. “Personnel training and development.” Annual Review of

Psychology. 1971.

5. Corey, Constance H. “Those precious human resources: Investments that show

you care enough to keep the best”. Library Administration and
Management. Vol. 2, June 1988. pp.128.

20
6. Geisler, Edwin B. “Manpower planning: An emerging staff function”. Management
Bulletin, No. 101. New York: American Management Association, 1967.

7. Hovekamp, Tina Maragou. “Unionization and job satisfaction among professional

library employees in academic research institutions”. College and Research
Libraries. Vol. 56, July 1995. pp. 341-350.

8. Ivancevich, John M. and Glueck, William F. Foundations of personnel: Human

resource management. 4th ed. Boston: Richard D. Irwin, 1989.

9. Monappa, Arun and Saiyadain, Mirza. Personnel management. New Delhi: Tata
McGraw Hill, 1996. pp. 14

10 Rudravasavaraj, M. N. Personnel administration in India. Pune: V.M. National

Institute of Cooperative Management, 1969

11. Sinha, A.D. “Whither management development.” ISTD Review. 1974.

12 Stone, Thomas H. Understanding personnel management. New York: CBS

Publishing, 1989. pp. 173.

21
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 22 Library Managers and their Roles

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Kshema Prakash
Content Writer Deputy Librarian, IIT Jodhpur

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 22
LIBRARY MANAGERS AND THEIR ROLES

I. Objectives
The objectives of the unit/ module are to:
- Clarify the concept and definition of a manager;
- Describe the role and responsibilities of a library manager;
- List out the required skills of library managers; and
- Analyse the role of a library manager is changing continuously with changing
environment.
II. Learning Outcomes

After going through this unit/module, you would be able to learn the concept and
definition of a manager; role and responsibilities of a library manager; skills required
for library managers; and how the role of a library manager is changing with changing
environment.

III. Structure
1. Introduction
2. Manager – definition and meaning
3. Role of a manager and managerial responsibilities
4. Changing role of library professionals
4.1. Traditional roles and responsibilities
4.2. New roles and responsibilities
5. Library managers and their roles
5.1. Technical skills
5.2. Human skills
5.3. Conceptual skills
5.4. Presentation skills
5.5. Communication skills
5.6. Time management skills
5.7. Leading skills
5.8. Planning skills
5.9. Controlling skills
5.10. Decision-making skills
5.11. Other skills
6. Knowledge management and role of library managers
7. Summary

Page 1 of 19
 8. References

1. Introduction

The library and information professionals (LIS) have been creatively managing the
information and research resources of various types of information organizations.
There are numerous skills that are practiced by all managers. These include the
technical, the human and the conceptual skills. The use of these skills differs for
various levels of managers. A manager’s aim, in a profit-oriented organization, is
marketing and promotion of the organizational products but the LIS professionals
aim towards marketing and promotion of library products and services. Thus we can
say that the LIS professional is playing the role just as the manager.

In view of the above, changing role of library and information professionals has to be
examined. In this module, the skills of LIS professionals will be first understood and
then seen how much of each skill is used at various levels of managerial hierarchy and
what importance each one has in the career growth of a manager.

2. Manager – Definition And Meaning

We can define a ‘manager’ as a person who is responsible for planning and directing
the work of a group of individuals, monitoring their work, and taking corrective
measures wherever necessary.

The shortest definition of management is one attributed to Mary Parker Follett (1941):
“management is the art of getting things done through people”. There are literally
hundreds of other definitions of this term. Almost every one contains two elements,
i.e., a mention of people and activities, and a reference to formal organizations.

Organizations are collections of people who work together and coordinate their actions
to achieve a wide variety of goals, or desired future outcomes. Managers are the
people responsible for supervising and making the most of an organisation’s human
and other resources to achieve its goals. One of the most important goals that
organizations and their members try to achieve are to provide some kind of goods or
services that customers value or desire.

So, what do manager do? Managers direct and facilitate the work of others. There is
generally something of a pyramid shape to any organization, with three generic levels
viz., the top, the middle and the bottom. In recent years, organizations have flattened
their structures, and so the ratios at different levels have changed and will continue to
do so; however, almost all organizations still have some form of these three levels,
which may appear to be much of a hierarchy. The question “what do managers do”
 has many answers but it actually contains two issues; management function and
behaviour. Some managerial functions are planning, directing, or budgeting, while
behavioural aspects involve around the roles filled such as negotiator or group
spokesperson.

Managers may direct workers directly or they may direct several supervisors who
direct the workers. The manager must be conversant with the work of all the groups
he/she supervises, but does not necessarily be the best in any or all of the areas. It is
essential for the manager to know how to manage the employees than to know how to
do their work well.

3. Role of A Manager and Managerial Responsibilities

Any managerial role and activity typically starts with the good old POSDCoRB
acronym coined by Gullick and Urwick (1937): Planning, Organizing, Staffing,
Direction, Coordination, Reporting & Budgeting. These functions underlie in one form
or another, all management behaviour, however, they do not describe the work of a
manager completely. They merely identify the objectives of a manager’s work. The
author who had the greatest general influence in the area of managerial
behaviour/work was Henry Mintzberg (1971, 1973, 1975). He criticizes the “functions”
approach to management as not being reflective of what managers do on a day-to-day
basis. Rather he suggests looking at the roles played. His concept employs ten roles
divided among three categories as:

i. Interpersonal roles: figurehead, leader, and liaison;

ii. Informational roles: nerve centre, disseminator, and spokesperson; and

iii. Decisional roles: entrepreneur, disturbance handler, resource allocator, and

negotiator.

Evans and Ward (2007) suggest addition of the role of a politician to the informational
role.

Usually, the four managerial tasks—planning, organizing, leading, and controlling—

are essential parts of a manager’s job. At all levels in the managerial hierarchy and
across all jobs and departments in an organization, effective management means
performing these four activities successfully—in ways that increase efficiency and
effectiveness. To perform the four managerial tasks efficiently and effectively,
organizations group or differentiate their managers in two main ways—by level in
hierarchy and by type of skill. Firstly, they differentiate managers according to their
level or rank in the organization’s hierarchy of authority. The three levels of managers
are first-line managers, middle managers, and top managers—arranged in a
hierarchy. Typically, first-line managers report to middle level managers, and middle
level managers report to top managers.

Secondly, organizations group managers into different departments according to their

specific job-related skills, expertise, and experiences, such as a manager’s
engineering skills, marketing expertise, or sales experience. A department, such as
the manufacturing, accounting, engineering, or sales department, is a group of
managers and employees who work together because they possess similar skills and
experience or use the same kind of knowledge, tools, or techniques to perform their
jobs. Within each department are all three levels of management.

Managers at each level have different but related responsibilities for using
organizational resources to increase efficiency and effectiveness. To perform the
planning task, managers identify and select appropriate organizational goals and
courses of action; they develop strategies for achieving high performance. The
three steps involved in planning are: (1) deciding which goals the organization will
pursue, (2) deciding what strategies to adopt to attain those goals, and (3) deciding
how to allocate organizational resources to pursue the strategies that attain those
goals. How well managers plan and develop strategies determines how effective and
efficient the organization is—its performance level.

Organizing is structuring working relationships so organizational members interact

and cooperate to achieve organizational goals. Organizing people into departments
according to the kind of job-specific tasks they perform, lay the lines of authority and
responsibility between different individuals and groups. Managers must decide how
best to organize resources, particularly human resources.

In leading, managers articulate a clear organizational vision for the organization’s

members to accomplish, and they energize and enable employees so that everyone
understands the part he or she plays in achieving organizational goals. Leadership
involves managers using their power, personality, influence, persuasion, and
communication skills to coordinate people and groups so their activities and efforts
are in harmony.

In controlling, the task of managers is to evaluate how well an organization has

achieved its goals and to take any corrective actions needed to maintain or improve
performance. To exercise control, managers must decide which goals to measure—
perhaps goals pertaining to productivity, quality, or responsiveness to customers—
and then they must design control systems that will provide the information
necessary to assess performance—that is, determine to what degree the goals have
 been met. The controlling task also helps managers evaluate how well they
themselves are performing the other three tasks of management—planning,
organizing, and leading—and take corrective action.

Effective managers need to have three kinds of skills—conceptual, human, and

technical— to help their organizations perform more efficiently and effectively. The
absence of even one type of managerial skill can lead to failure. Developing new and
improved skills through education and training has become a priority for both aspiring
managers and the organizations they work for. The tasks and responsibilities of
managers have been changing dramatically in recent years. Two major factors that
have led to these changes are global competition and advances in information
technology (IT). Stiff competition for resources from organizations both at home and
abroad has put increased pressure on all managers to improve efficiency and
effectiveness. Increasingly, top managers are encouraging lower-level managers to
look beyond the goals of their own departments and take a cross-departmental view
to find new opportunities to improve organizational performance.

Today the managers who make no attempt to learn from and adapt to changes in the
global environment find themselves reacting rather than innovating, and their
organizations often become uncompetitive and fail. Five major challenges stand out
for managers in today’s world: building a competitive advantage, maintaining ethical
standards, managing a diverse workforce, utilizing new information systems and
technologies, and practicing global crisis management. Achieving a competitive
advantage requires that managers use all their skills and expertise, as well as their
organisation’s other resources, to find new and improved ways to improve efficiency,
quality, innovation, and responsiveness to users.

4. Changing Role of Library Professionals

Libraries are facing the major transformational changes due to the advancements of
information and communication technologies. The technological changes have
challenged and rendered many current practices of providing library services obsolete.
The role of the library has always been to provide the best of possible services to all
patrons possibly at all times. With competition from the World Wide Web, there is a
sheer need for the librarians to provide a facelift to their current outlook and services.
The changing role of library professionals can be viewed by examining their
responsibilities in their traditional role and new role as explained below.

4.1 Traditional roles and responsibilities

 The library and information professionals assist people in finding information and using
it effectively for personal and professional purposes with their knowledge of a wide
variety of scholarly and public information sources and follow trends related to
publishing, computers, and the media in order to oversee the selection and
organization of the library materials. They also manage staff, develop and direct
information programs and systems for the public, to ensure that the information is
organized in a manner that meet users’ needs.

Most positions of library and information professionals incorporate three aspects of

library work viz., user services, technical services, and administrative services.
Librarians specializing in one of these areas usually share responsibilities of the other
two areas also.

Professionals engaged in user services, such as reference and referral sections work
with patrons to help them find the information they need. The job involves analyzing
users’ needs to determine what information is appropriate, as well as searching for,
acquiring, and providing the information. The job also includes instructional role such
as showing users how to access information like navigating through the Internet and
searching in e-journals, etc. The professionals engaged in technical services such as
acquisitions and cataloguing acquire and prepare materials for use and do not deal
directly with the public. Those professionals that are engaged in administrative
services oversee the management and planning of libraries, negotiate contracts for
services, materials, and equipment; supervise library employees; perform public-
relations and fundraising duties; prepare budgets; and direct activities to ensure that
everything functions properly.

Some of the traditional roles of library and information professionals can be enumerated
as:

- Custodian, who selects, organizes, and services print and other media.

- Guide, who assists users in searching and critically evaluating relevant information
sources.

- Public relations officer, who maintains good relationships with management, clients,
other libraries, and outside organizations.

Other typical duties include working on bibliographies, coordinating library and

bibliographic instruction, working on inter-library loans, maintaining vertical files, etc.

The information that users require may be accessed differently but the skills
information professionals need to manage this information can be adopted from the
above stated established practices. The core skills traditionally associated with
 information professionals include information handling skills, training and facilitating
skills, evaluation skills and concern for the users are all still relevant. These skills
cover cataloguing, classification, indexing, enquiry work and user education, all
functions which if managed by librarians will help to make the Internet an easier
place to navigate. Librarians in all sectors have built up roles and library services
based on collection, users’ needs and values that are the foundation of the library
profession, mainly values of service, quality, universal access and cooperation.

The library must continue to perform one of the most important traditional functions is
to organize the universe of resources in such a way that those most likely to be of
value to the user community are made most accessible to this community, physically
and intellectually. The traditional library skills mentioned above should be reassessed
and their value to information services in the electronic environment applied. For
example, the creation of meaningful metadata files based on cataloguing principles
can help users find needles in the Internet haystack. The creation of catalogues
including electronic resources can ensure access, authenticity, reliability and validity of
network resources. The foundations of librarianship, which include skills such as
cataloguing and user education, as explained above, are as relevant in an electronic
age as they are in a print based one and will continue to provide a solid base of skills.

4.2 New roles and responsibilities

Librarians, like other modern professionals, are forced to adapt to changes with the
fast growing technology. We have witnessed the tremendous changes that have taken
place in the library services such as infrastructure, content creation, collection
development, user interface, information and knowledge management strategies, etc.
Digital libraries are the libraries without physical boundaries. Patrons can access
information from any place, anytime, anywhere and in any format. The expectations
from the users have gone up to a high level that the librarians are trying to meet with
continuous learning.
 Multifaceted LIS Professional
(adopted from Soudarar ajan, E. and Oth. 2007.)

The librarian of the future must be equipped with a wide range of personal and
transferable skills in order to manage the changing environment. Management and
interpersonal skills will make librarians more effective managers of networked
resources and services. The information professional must change and adapt to the
new electronic information environment, he/she must learn about the new
technologies and be aware of the strengths and weaknesses of them. Information
professionals within libraries are playing an increasing role in dealing with information
in electronic formats by creating web pages to promote their services to their external
customers and choosing automated library management systems. Skills in handling
information in organizations are more necessary in this age of information explosion.
Library and information professionals have a key role to play in this era. The role of
the librarian in this context is to help users find the information they require, provide
them with the tools to assess and use the resources of their individual needs. (Sharp,
K., 2000).

In addition to the previously discussed traditional roles, the following new roles can be
identified for the twenty-first century library and information professionals as below:

- Information Broker - for both print and electronic media, who identifies, retrieves,
organizes, repackages and provides electronic access to digital information sources.

- Change Agent or Technology application leader – one who collaborates with IT

services to design and evaluate systems that would facilitate e-access.
- Facilitator – who makes access easier by providing access, purchasing software and
e-journal licenses.
- Educator – who trains on Internet use, tools, search engines, online databases and
catalogues, electronic journals; use of web-based instruction and online tutorials etc.
- Innovator/Web Site Designer/Builder/Manager – who designs the library’s web pages
and searches and evaluates information resources to be linked to the site; creates an
awareness of library services on the web; and in some instances manages the
organizational website.
- Database Manager –As print bibliographies are no longer in use, searching via online
databases is faster and more efficient.
- Collaborator – Expanded area of collaboration, not just with fellow librarians but also
with IT people, the community, etc.
- Policy Maker – who develops or participates in the development of an information
policy for an organization, ensuring total or selective access to all information
resources.
- Business Manager – one who negotiates with publishers and aggregators for the
most advantageous license agreements for e-journals and databases.
- Image Maker – One who adds value to the library to gain management support and
project a positive image to the outside world.
Apart from the ones mentioned above, a plethora of new roles can be added to the
profile of library and information professionals today like the knowledge manager,
navigator, knowledge worker, network educator, trainer, and facilitator so on and so
forth.

The issue of the changing role of the traditional library as well as its impact on the role of
professionals has been a major concern to the library and cultural world. An extensive
amount of literature has been reviewed with respect to how the role of professionals
should change to meet the changing demands. Most studies were concerned with the
introduction of the internet and its influence on professionals. Therefore, most of the
literature has been steered towards the force of the Internet in the information era as well
as its impact on traditional library.

Firstly, the changing role of a library manager to an Internet literate user or IT expert is
eminent. For most libraries in the world, this has already been happening, with librarians
eagerly moving forward to run information literacy programmes and impart their Internet
search skills to the general public. As communication and the transfer of information in
the twenty first century will be via cyber space, modern information professionals will be
future cybrarians or digital librarians. Network literacy and web-weaving have been
identified as a supplement to the competencies required by the modern information
professionals. Possessing a combination of skills other than those traditionally
associated with libraries, including integrated IT infrastructure knowledge is important in
these changing times.
 Secondly, the library manager will have to play the role of an information manager in
managing information content, an information consultant as well as a knowledge analyst
in evaluating and analyzing information. A more likely trend is a gradual transformation of
the information professional form a searcher to coach/trainer/counsellor/mentor. The
specialist skills such as information management, organization and dissemination will be
vital to the future success. The future role of information professionals is evolving into
two groups: one group would act as the organization’s consultants, advising on
knowledge structures and other technical aspects of information management; and the
another group would be integrated members of teams of the new ‘knowledge
professionals’. Finally, the future information professional has to assume heavy
responsibilities in overseeing the overall functionality and effective management of the
library.

5. Library Managers and Their Roles

Considering managerial aspect of a library manager, the role provides a career track
for managers responsible for leadership and creativity in two or more primary
programs including archival, historical, library, records analyst, support services,
functions and library services. Considerably difficult duties may include establishing
and monitoring guidelines, policies and procedures, production schedules, and
overseeing specific technical and administrative program functions.

The occupation of library manager has artistic, conventional and investigative

characteristics as explained below:

Artistic — Artistic occupations frequently involve working with forms, designs and
patterns. They often require self-expression and the work can be done without
following a clear set of rules.

Conventional — Conventional occupations involve following set procedures and

routines. These occupations can include working with data and details more than with
ideas. In this case, there is usually a clear line of authority to follow.

Investigative — Investigative occupations frequently involve working with ideas, and

require an extensive amount of thinking. These occupations can involve searching for
facts and figuring out problems mentally.

The following are some of the duties/skills of a Library Manager:

- Administer, direct, and review library programs.

- Provide guidance and advice to management on developing, implementing and
revising library programs and policies and resolving issues regarding library
operations and staff.

- Develop and implement strategies for collecting information from customers and
employees (surveys and audits) to identify library issues and needs.

- Supervise staff responsible for carrying out the functions of a library.

- Plans for responding to needs of a library by participating in the strategic planning

process.

- Develop library policies and procedures.

- Direct preparation and distribution of written and verbal information to inform

managers and employees of library policies, procedures and practices.

- Direct and supervise the training of library staff in duties such as receiving,
shelving, researching, cataloguing, preservation, and equipment.

- Motivating, developing, and directing people as they work, identifying the best
people for the job.

- Understanding written sentences and paragraphs in work related documents.

- Talking to others to convey information effectively.

- Giving full attention to what other people are saying, taking time to understand
the points being made, asking questions as appropriate, and not interrupting at
inappropriate times.

- Communicating effectively in writing as appropriate for the needs of the audience.

- Being aware of others' reactions and understanding why they react as they do.

- Identifying complex problems and reviewing related information to develop and

evaluate options and implement solutions.

- Using logic and reasoning to identify the strengths and weaknesses of alternative
solutions, conclusions or approaches to problems.

- Adjusting actions in relation to others' actions.

- Technical skills required to perform the job.

- Desire to meet and serve the library's user community.

- Ability to think analytically and to develop new or revised systems, procedures,

and work flow.
 - Ability to exercise initiative and independent judgment.

- Knowledge of computers, the internet, and commercially available library

software.

- Ability to prepare comprehensive reports and present ideas clearly and concisely
in written and oral form.

- Ability to make administrative decisions, interpret policies, and supervise staff.

- Ability to motivate, establish and maintain effective working relationships with

associates, supervisors, volunteers, other community agencies and the public.

- Knowledge of the philosophy and techniques of library service.

- Ability to organize job duties and work independently.

- Demonstrated knowledge of library materials and resources.

- Creativity to develop and implement library programs and services.

- Employs management techniques effectively in directing, planning, organizing,

staffing, coordinating, budgeting, and evaluating the library's operation.

A library manager must exercise a unique set of skills. Similarly at various levels
he/she requires different types of skills. For example, a library manager needs to
have the technical skills, human skills, conceptual skills, leading skills, planning skills,
organizing skills, controlling skills and decision-making skills. These skills refer to the
personal ability put to use by the library manager in specific position that he or she
holds in the organizational hierarchy.

As one moves up in the hierarchy of the managerial positions, the responsibility

increases. The fundamental duties of library manager such as planning, organizing,
leading, controlling and decision-making are the skills required to be mastered. In
order to exercise these functions, one has also to keep in mind, the type of job, the
size of organization, the skills and experiences of the people one works with and the
time available at his or her disposal to do these management functions. Let us look at
these essential skills in detail:

5.1 Technical skills

It is the ability to work with resources in a library. In an age of specialization, technical

skill is perhaps the most familiar one required from most of the people. To become an
efficient administrator, particularly at the first level, this skill becomes indispensable to
efficient operation. As a supervisor of a set of employees, library manager has to
ensure that employees have sound grounding in the principle, structure and processes
 of their individual specialty along with actual practice and experience. This appears to
be the best way to develop the technical skills. As one moves up in the managerial
hierarchy, perhaps this skill becomes relatively less important than the human and
conceptual skills. In a relatively small organization, the library manager needs a lot of
technical skill himself.

5.2 Human skills

Human skill is library manager’s ability to work effectively as group members and to
build cooperative efforts within the team he or she leads. Every managerial level
requires interaction with other people, whereas technical skill is primarily concerned
with working with things. The first level manager is involved on a regular basis with the
personal problems and life events of many non-managers. It is, therefore, natural that
he or she must be able to work through these personal situations and effectively lead
subordinate employees. He or she has to perceive and reorganize the perception of
his or her superiors, equals and subordinates and his or her own behaviour
subsequently.

If you have highly developed human skills and if you are aware of your own attitudes,
assumptions, and beliefs about other individuals and groups, you are able to see their
usefulness and limitations. Human skills can be developed without any formalized
training. Many others are to be individually aided by their immediate superiors who
themselves should possess the human skill in order to be able to impart that. An
important part of the procedure is the self-examination of the individual’s own concepts
and values which may enable him or her to develop more useful attitudes about self
and about others. With this change in attitude, there may also develop some active
skill in dealing with human problems. You as a library manager may like to observe
your subordinate’s ability to work effectively with others. You may probably improve
your own human skill of rating people for their effectiveness as you become more
experienced in this art.

5.3 Conceptual skills

Conceptual skill means the ability to see the organization as a whole and it includes
recognizing how the various activities of the organization depend on one another. It
also makes the individual aware of changes in any one part of the organization that
affect others. Thus the library manager gains insight into improving the overall welfare
of the total organization.

As a manager you should have the ability to coordinate and integrate a variety of
factors. You need to view situations and determine the inter-relatedness of various
 factors. The success of any decision depends on the conceptual skill of the people
who take decisions and those who put them into action. At every level of the
management, no matter which level you belong to, you have to recognize the overall
relationships and importance of the change in order to be an effective library
manager. With this, the chances of your success as a manager are greatly increased.

5.4 Presentation skills

Management is the art of getting things done. A presentation is a potentially effective

method of getting things done through other people. Presentations are used as a
formal method for bringing people together to plan, monitor and review progress of an
organisation. Firstly, it puts you on display. Your employees need to see evidence of
decisive planning and leadership so that they are confident in your position as their
library manager. They need to be motivated and inspired to undertaking the tasks
which you are presenting. Senior management shall be impressed by your skill and
ability so that they provide the resources so that you and your team can achieve goals.
Secondly, it allows one to introspect and retrospect. It may not be suitable within the
presentation formats of the organization to hold a discussion during the presentation
itself but it does allow you to raise the issues, present the problems and provide
valuable input to decision making. Presentation provides a chance to speak your mind
with the team members.

5.5 Communication skills

As a library manager, while putting forward your views in relation to the job, words
should be pragmatic rather than philosophical. The greatest source of difficulty is that
words often have different meanings depending upon context and/or culture. If you
recognize that there is a potential misunderstanding, you must stop the conversation
and ask for the valid interpretation. As with all effective communication, you should
decide well in advance the purpose of the conversation and the plans for achieving it.

5.7 Time management skills

Time management is one of the skills not taught by anyone but one has to learn by
oneself. It does not matter how smart you are if you cannot organize information well
enough to take it in. And it does not matter how skilled you are if procrastination keeps
you from getting your work done. The time management is very effective for
supervisory positions. Supervisory positions can be very stressful and overwhelming
when specific deadlines need to be met. Library managers need to handle tasks and
assignments in a timely manner. Time is similar to finances and both need to be
budgeted wisely.
5.7 Leading skills

Leading people requires that the leader must understand the values, personality,
perception and attitudes of the people. As a library manager you have to act differently
from another individuals because of your values, personality, perception and attitude.
This is a very important factor to be understood in relation to the other person(s) who
may be your superior or subordinate. Value is a conviction that a person holds about a
specific mode of conduct and the importance of that conviction to the person. The
effective aspect of the attitude refers to the feelings and emotions about your attitude
towards a person, object or situation.

5.8 Planning skills

As part of the management process, attempt should be made to define the future state of
your organization. Hence, planning skills will include:

- Being able to think ahead,

- Ability to forecast future environmental trends affecting the organization,

- Ability to state organizational objectives, and

- Ability to choose strategies that will help in attaining these objectives with respect to
future trends, and library managers are expected to acquire skills to interact with
intermediate planning systems such as using a computer.

5.9 Controlling skills

The skill of controlling consists of actions and decisions which managers undertake to
ensure that the actual results are consistent with desired results. In planning for the
organization, the management sets the objectives, which are the desired results for the
organization to attain. Any deviation between the actual and the planned results must
be corrected by the management by taking appropriate actions and decisions. In this
skill, therefore, management has a predetermined standard, the information about the
performance of the organization and a corrective action in case the standard set by the
organization is not fulfilled.

5.10 Decision-making skills

Decision-making skills are present in the planning process. Management skill of

decision-making for routine or non-routine problems is a time consuming activity and
certainly poses a challenge to the manager for making a number of important
decisions, good in quality and satisfactory in producing solutions to a problem. A
 library manager’s effectiveness lies in making good and timely decision. Again,
remember that, in the decision-making process, you may like to decide on repetitive or
routine problems. Processing library applications in a college or a university are
examples of routine problems. Such routine problems are different from complex and
novel problems.

5.11 Other skills

Apart from the ones discussed above, a library manager must also possess customer
orientation and services skills; evaluation and assessment skills; managerial skills;
knowledge of policies, procedures, issues and standards, and knowledge of legal
issues pertaining to information resources and access; knowledge of various
information sources and services; commitment to life-long learning; marketing,
promotional and branding skills; project management skills; and knowledge
management skills.

In the next section, we will discuss knowledge management in some detail.

6. Knowledge Management and Role of Library Managers

The development of knowledge management in recent years has become the key
concern for librarians and libraries. The library managers in the digital and knowledge
age should be in charge of knowledge management in their respective organizations in
order to leverage the intellectual assets and to facilitate knowledge creation.

The management of information has long been regarded as the domain of librarians
and libraries. Librarians and information professionals are trained to be experts in
information searching, selecting, acquiring, organizing, preserving, repackaging and
disseminating. However, professionals in information technology and systems have
also regarded information management as their domain because of the recent
advances in information technology and systems which drive and underpin information
management. With the growing interest in knowledge management, many questions
have been raised in the minds of librarians regarding: the difference between
information and knowledge; between information management and knowledge
management; who should be in charge of information and knowledge management;
would librarians and information professionals with appropriate education and training
in library and information science be most suitable for the position of “Chief Knowledge
Officer” (CKO) in their organizations; and what libraries can do in implementing
knowledge management.

In his latest book, Building Organizational Intelligence: a Knowledge Management

Primer, Jay Liebowitz stated: “In today’s movement towards knowledge management,
organizations are trying to best leverage their knowledge internally in the organization
and externally to their customers and stakeholders. They are trying to capitalize on
their organizational intelligence to maintain their competitive edge.”

“The thrust of knowledge management is to create a process of valuing the

organization’s intangible assets in order to best leverage knowledge internally and
externally. Knowledge management, therefore, deals with creating, securing,
capturing, coordinating, combining, retrieving, and distributing knowledge. The idea is
to create a knowledge sharing environment whereby sharing knowledge is power as
opposed to the old adage that, simply, knowledge is power.”

Knowledge management is concerned with the exploitation and development of the

knowledge assets of an organization with a view to furthering the organization’s
objectives. The knowledge to be managed includes both explicit, documented
knowledge, and tacit, subjective knowledge. Management entails all of those
processes associated with the identification, sharing and creation of knowledge. This
requires systems for the creation and maintenance of knowledge repositories, and to
cultivate and facilitate the sharing of knowledge and organizational learning.
Organizations that succeed in knowledge management are likely to view knowledge as
an asset and to develop organizational norms and values, which support the creation
and sharing of knowledge.

As a learning organization, libraries should provide a strong leadership in knowledge

management. Because of the exponential growth in human knowledge in a variety of
formats, libraries need to develop their resources access and sharing strategies from
printed to electronic and digital resources. Going beyond explicit knowledge, libraries
should also develop means to capture all that tacit knowledge that is of importance to
their users, their organizations, and to the internal operation of libraries. The web site
of each library should serve as a portal for all sources of selective and relevant
knowledge and information whether explicit or tacit, whether on site or remote, and in
all formats.

Libraries have had a long tradition of resources sharing and networking. These have
been greatly expanded by the rapid development of computer, telecommunication,
networking, and digital technologies since the 1990s. To facilitate the implementation
of knowledge management, a well-designed and operational knowledge management
system should be in place. Latest information technology should be used. The librarian
should consider him/her self as the chief knowledge officer of the entire organization
and should work together with heads of the planning department, the computer and
information technology centre, the human resources management department, the
finance department, etc. to design and develop such a system. Such a knowledge
management system should be built on existing computer and information technology
infrastructures, including upgraded intranet, extranet, and Internet, and available
software programs to facilitate the capture, analysis, organization, storage, and
sharing of internal and external information resources for effective knowledge
exchange among users, resource persons (faculty, researchers, and subjects
specialists, etc.), publishers, government agencies, businesses and industries, and
other organizations via multiple channels and layers.

The utmost goal of knowledge management is to provide users with a variety of quality
services in order to improve the communication, use and creation of knowledge. As
much as possible these services should be tailored to the interest and needs of each
user. Information about each user can be obtained by analyzing the records of user
registration, surveys, circulation and interlibrary loans, frequently asked reference
questions, and the use of e-journal and digital resources, etc. User satisfaction and
needs should be collected through periodic users’ surveys. The findings should be
used for the planning and redesign of library services.

A great amount of expert knowledge is possessed by library staff and users, both in
and outside the libraries. In university and research communities such expertise is
abundant and should be inventoried, indexed, and updated regularly and be made
searchable and accessible through electronic databases created and maintained by
libraries. The knowledge and accumulated experiences of library staff members form
the intellectual assets of any library and should be valued and shared. An
organizational culture for sharing of knowledge and expertise should be established
with appropriate rewards and incentives. Those staff members who share their tacit
knowledge and experiences through writing, publishing, lecturing, tutoring, or
mentoring should be appropriately recognized and rewarded. An organizational culture
which emphasizes cooperation, sharing, and innovation can only be established by
strong leadership and commitment from the library director and a shared vision by the
library staff.

Libraries should also encourage the transfer of knowledge and experience from
experienced staff to new staff members. A mentoring system should be in place to
help newcomers to learn from experienced library staff. Informal seminars where staff
can interact and exchange “lessons learned”, “best practices” and other specific
experience and knowledge should be scheduled at regular intervals and at convenient
times. Special interest groups and chat rooms can be created through intranet. Since
many valuable experiences have been accumulated over time, libraries should pay
 attention to favourable working conditions and environment, which will contribute to
better staff retention.

7. Summary

It is essential for the manager to know how to manage the employees responsible for
planning and directing the work of a group of individuals, monitoring their work, and
taking corrective measures wherever it is necessary. The four managerial tasks, i.e.,
planning, organizing, leading, and controlling are essential parts of a manager’s job.
The library manager’s role provides a career track for managers responsible for
leadership and creativity in two or more primary programs including archival, historical,
library, records analyst, or support services functions and serves. Library manager has
to provide guidance and advice to management on developing, implementing and
revising library programs and policies and resolving issues regarding library operations
and staff. He needs to have the technical skill, human skill, conceptual skill, leading
skills, planning skills, organizing skills, controlling skills and decision-making skills.

Librarians and information professionals are trained to be experts in information

searching, selecting, acquiring, organizing, preserving, repackaging and
disseminating. Knowledge management is concerned with the exploitation and
development of the knowledge assets of an organization with a view to furthering the
organization’s objectives. The knowledge to be managed includes both explicit,
documented knowledge, and tacit, subjective knowledge. To facilitate the
implementation of knowledge management, a well-designed and operational
knowledge management system should be in place. The utmost goal of knowledge
management is to provide users with a variety of quality services in order to improve
the communication, use and creation of knowledge.

8. References

1. Evans, G.E. and Ward, P.L. (2007). Management Basics for Information Professionals,
2nd Ed. New York, Neal-Schuman Publishers.
2. Harvard Business Review. www.hbr.org.

3. Robbins, S. et al. (2009). Organizational Behavior, 13th Ed. New Delhi, Dorling
Kindersley (India) Pvt. Ltd.
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 23 Team Management in library and information
centre

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Kshema Prakash
Content Writer Deputy Librarian, IIT Jodhpur

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 23
TEAM MANAGEMENT IN LIBRARY & INFORMATION CENTRES

I. Objectives

The objectives of the unit/module are to:

- Elaborate the concept of a team;

- Describe the procedure of what and how to build a team;

- Discuss the concept of team management in general and role of a leader in team
management;
- Explain about the teams and their management in libraries; and utilization, merits
and demerits of teams
II. Learning Outcomes

After going through this unit/module, you will learn the concept and importance of a
team, team building process, team management in general and role of a leader in
team management, teams and team management in libraries; and advantages and
disadvantages of team and team management.

III. Structure
1. Introduction

2. Team and team management

2.1. Definition of “team”

2.2. Features of “team”

2.3. Team management

3. Team building and management

3.1. Important points to be considered while building a team

3.2. Types of team players

3.3. Types of teams

3.4. The essentials of team building and team management

4. Role of a team leader

5. Application of team management in library & information centres

6. Advantages and disadvantages of teams

7. Summary

8. References
1. Introduction

Managers are required in all the activities of organizations: budgeting, designing, selling,
creating, financing, accounting, and artistic presentation. Larger the size of an
organization, more the number of managers needed. Everyone employed in an
organization is affected by management principles, processes, policies, and practices as
they are either a manager or a subordinate to a manager, and usually they are both.
Teams refer to the administration of a group of people assembled to work on a particular
project or to perform a particular function within an organization. Team management
typically involves setting team priorities and performance objectives, reviewing
performance and methods employed, and spearheading the team's decision making
process.

We all have to work with people. These may be loosely known as a team, department,
squad, crew—even a posse. The mistake a lot of managers make is to think they are
managing people. They think that people are their tools. Make the people successful and
you have the successful manager—or so the theory goes. So what is a team and how
does it operate? If we are going to be successful managers, we have to know the
answers to these questions.

In view of the above, in this module, we will introduce you to the concept of team
management, need for team management in libraries and information organizations and
benefits of team management.

2. Team and Team Management

There are some tasks which cannot be done alone. Individuals need to come together
to discuss work related activities and other things among themselves and work
together towards the realization of common goals. The individuals forming a team
should ideally think more or less on the same lines and should have similar interests
and objective. People with absolutely different tastes cannot form a team. Their goals
have to be the same. Every team is formed to achieve a predefined goal and it is the
responsibility of each and every member to contribute his/her level best and
accomplish the assigned task within the stipulated time frame. The team members
must complement each other and come to each other’s help whenever required.
Individual performances do not matter much in a team and every individual should
strive hard and work in unison.

2.1 Definition of “Team”

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 According to Susan M. Heathfield “a team is any group of people organized to work
together interdependently and cooperatively to meet the needs of their customers by
accomplishing a purpose and goals”.

A team can also be defined as “a small number of people with complementary skills
who are committed to a common purpose, set of performance goals, and approach for
which they hold themselves mutually accountable” – Katzenback & Smith.

2.2 Features of “Team”

- A team is a permanent task force or committee,

- Teams are meant especially for conducting tasks that are high in complexity, and

- Teams normally have members with complementary skills and generate synergy
through a coordinated effort.

2.3 Team Management

Team management refers to the techniques, processes and tools for organizing and
coordinating a group of individuals working towards a common objective. Team
members need to learn how to help one another; help other team members realize
their true potential and create an environment that allows everyone to go beyond their
limitations. Team management typically involves setting team priorities and
performance objectives, reviewing performance and methods employed and
spearheading the teams’ decision making process.

A team thus is not just a collection of people but is an organization with its own
dynamics, qualities, and conventions. And team management refers to techniques,
processes and tools for organizing and coordinating a group of individuals working
towards a common goal, i.e., team.

3. Team Building and Management

As aforesaid, a team is a group of people working towards a common goal. Team

Building is the process of enabling that group of people to reach their goal. Decision to
build a team requires cautious analysis to study the level of complexity,
interdependence and objectives of the tasks. Team Building is an ongoing process.

Apart from identifying and roping in the potential team members, the stages involved in
team building also include classifying the goal, identifying the inhibiters and removing
them. Team building will lead to good communication with participants as team
members and individuals. A team relies heavily on collective work products, while
single leader units depend heavily on individual work products.

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3.1 Important points to be considered while building a team

- The team has to set goals and objectives as to why it has been set up;
- Define roles and identify right team members;
- Once an idea is finalised what to achieve with team, identify the roles need to fill
and types of people for those roles;
- Ensure space for functioning, budget, hardware and software needs and other
resources needed;
- Formulate guidelines to work smoothly; and
- Define the method of members working in a team.
The value base of a team lies in interpersonal trust, concern for addressing issues
and problems. The team members not only share expectations for accomplishing
group tasks, but trust and support one another. Teams require various resources and
supporting conditions in order to be effective. Unless and until the top management is
committed to making teams effective, these resources may not be forthcoming when
needed. A team is motivated primarily by its purpose for performance and depends
heavily on collective work products.

There are many stages to build a team. In each of these stages, basic orientations
are to be induced to members. They are: a) Orientation to goal and tasks, and b)
orientation to people and relationships.

The first stage is building awareness and forming the group. The members are
appraised of the desired goals, tasks to be performed by individual member, the
interconnectedness of tasks to the achievement of the goals. The desired
relationship-orientation lies in one’s preference to be a member of the team,
acceptance of the team members, the resolving of dependencies, and creating
cohesiveness to achieving goals.

The second stage is one of facing problems, conflicts and facing the realities.
Intrapersonal task conflicts may be resolved by task and role clarification and by
building confidence in one’s abilities through the necessary socio-emotional support
viz., training, counselling, etc. Interpersonal conflicts can be resolved by streamlining
and focussing on the positive side of the conflicts. Openness, sharing of each other’s
concerns, improving one’s listening and communication skills will enhance the
relationship-orientation. At this stage dealing with the feelings of people effectively
becomes important to achieve clarity of purpose and overcoming other problems.

The third stage is cooperation. Cooperation can be made possible when individuals
are clearer about their respective roles and understand different ways of achieving

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 the group goal. Relationships are managed by mutual trust, openness in
communication and cooperative behaviour. The relationship-orientation is
interpersonal trust, a feeling of belongingness and collaboration to the group.

The fourth and the last stage is concentrated on goal achievement. This stage is
related with generation of ideas, decision making and problem solving. Short-term
and long-term goals are to be earmarked. The task-orientation is decision making,
goal attainment and change implementation. The relationship orientation is focussed
in the direction of having a high morale. Reaching short-term goals adds to the
individual and the group’s trust in the commitment to further accomplishments and
sense of pride and responsibility. This stage is related to performance and result
orientation.

After the successful implementation of goals, the group may review its performance
which could be a good feedback for future. In team building a leader needs to exhibit
greater transactional skills in the initial stages till the team-building outcomes such as
awareness, clarification, belongingness and acceptance. Later, as the team matures,
the leader needs to exhibit greater transformational skills to bring about team-building
outcomes such as achievement of set goals and objectives, pride and satisfaction.

3.2 Types of team players

Successful teams are made up of a collection of effective individuals. These are

people who are experienced, have problem solving ability, openness to addressing the
problem, and are action-oriented. In order to make a positive difference, teams should
be constituted with individuals who are good team players to ensure the success of
achieving set goals and objectives. In addition, the composition of a team shall provide
for flexibility of opinions and roles to include a facilitator in the role of a process
consultant, a practical down to earth person, an innovative and a strategic thinker.

However, for all practical purposes, a team should comprise of a healthy mix of
individuals with different capabilities and capacities. Let us term them as A, B and C
types of players. Human Resource department plays a major role in identifying
employee groups as the categorisation will be based on the individual’s performance.
If they exceed the set goals, then they will be ‘A players’; if expectations are met, then
‘B’ and if unmet, then ‘C players’. Most leaders are highly motivated ‘A players’; they
tend to undervalue ‘B’ players who have a different world view. The ‘A players’ are
star-performers. They are the employees who put their professional lives ahead of
their personal ones because they are striving to accomplish more or move upward in
the organisation. The ‘B players’ are competent, steady performers who balance their

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 work and personal lives while still doing the bulk of the work of the organisation. While,
the “C players are the underperformers who are not achieving enough to satisfy. As an
organization cannot have a majority of A and B types of players and opt to totally do
away with C type of players, the organization should bear in mind that whatever teams
are created for various tasks from time to time, a healthy mix of all these three types of
players are required and are to be balanced. It not only provides for good leader-
follower hierarchy in the team but may also motivate the underperformers to do well.
Hence, to realise the highest returns on human capital, an organization must recognise
who their A, B and C players are.

Teams involve a high degree of interdependence among members. Therefore, the

members must be highly skilled and experienced in their respective area of
specialisation. The utilization of unique expertise of the members must be explored in
a team.

The interdependence of members is much greater in teams than in groups and the
members of teams must feel empowered to share role in their own areas of expertise.
Teams can be called effective when they meet three types of performance criteria viz.,
a) how well does their output meet the user needs, b) whether the team members
increase their capacity to work effectively with one another, and c) whether the
working team creates member satisfaction.

A perfect team member is one, who:

- Is committed to group goals or tasks and feels his or her team membership;
- Is cooperative, friendly and concerned about others;
- Is involved in patient hearing of others, displays empathy, is understanding, and
values the ideas of others;
- Identifies and respects individual differences;
- Includes others in the decision-making process; and
- Deals positively during interpersonal conflicts and acknowledges them.
3.3 Types of teams

We can broadly classify the types of teams into three categories. These can be:

- Functional or Vertical;
- Cross-functional or Horizontal; and
- Self-managed or Self-directed.
They can be used for different purposes viz., to create new products, complete specific
projects, ensure quality, or replace operating departments.

Functional or Vertical team

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It is a team in which work is carried out within a functionally organised group, in which
people work together to carry out the same or similar functions. Functional teams
perform specific organizational functions and include members from several vertical
levels of the hierarchy. In other words, a functional team is composed of a manager and
his or her subordinates for a particular functional area. Accounting, personnel, and
purchasing departments are examples of functional teams. Groups of people from the
same work area or department meet on a regular basis to analyze customer needs,
solve problems, provide members with support, promote continuous improvement, and
share information.

Functional teams are traditional corporate teams often coinciding with a whole
department or part of it. Functional teams are needed because a lot of developmental
work does not fit the normal working practices of project teams. Generally, these groups
are collection of individuals who work individually or in groups of two or three to do small
and relatively independent jobs.

Cross-functional or Horizontal teams

These teams are made up of experts in various specialties (or functions) working
together on various organizational tasks. Team members come from such departments
as research and development, design, engineering, marketing, and distribution. This is
another example of self-managed teams. These teams are often empowered to take
decisions without the approval of management.

These have become popular due to the increasing need for coordination of various
functions within an organization and to promote the exchange of knowledge and practice
across disciplines and functions. A cross-functional team is a collection of individuals
who are interdependent in their tasks, who share responsibility. A more specific definition
by Holland (2000) views a cross-functional team as ‘a group of people who apply
different skills, with a high degree of interdependence to ensure the effective delivery of
a common organisational objective’.

Cross-functional teams are particularly suitable for creative activities such as creating
new product. The main advantage of cross-functional teams is their heterogeneity in
technical background, age and values. These teams tend to have lower group
cohesiveness and job satisfaction and higher turnover. The success of cross-functional
teams depends upon setting reachable goals, taking commitment from team members,
framing rules for team activities, effective management of relationships among people,
and ensuring success and confidence in team effort. Cross-functional teams assist in the
planning and implementation of activities and projects.

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 Self-managed or Self-directed Work Teams

These are one of the forms of team building. In a self-managed team, a group of
employees are made into a team responsible for a set of total task functions. They take
decisions concerning a varied range of issues that govern the task, viz., team morale,
division of roles, quality issues, managing conflicts, planning for resources, etc.
Employees have utmost degree of autonomy and control over their immediate behaviour.
Self-directed work teams, or self-managed teams usually operate without managers and
are responsible for complete work processes or segments that deliver products or
services to external or internal customers. Self-directed work teams (SDWTs) are
designed to give employees a feeling of “ownership” of the whole
job/activity/product/project.

No matter what type of team is formed, the benefits of teamwork are many, including
synergy and increased skills, knowledge, productivity, flexibility, and commitment.
Among the other benefits are increased job satisfaction, employee empowerment, and
improved quality and organizational effectiveness.

Self-managed work teams are known or meant for goal setting, shared leadership for
team meetings, trust among members, individual and mutual accountability, result
oriented performance and proactive nature in problem solving. They have the advantage
of promoting collaborative work relationships among employees. These teams have the
capability to think, innovation and pushing responsibility down to the lowest level.

The self-managed teams also contribute to informal learning and teaching among their
own members. It is more conducive to applied learning than a simulated classroom
environment. Self-management in a team needs knowledge of each other’s abilities and
complex learning, personalities, attitudes and work behaviour. Therefore, prior to the
formation of any team, individual member is required to be appraised of the knowledge
and skills of other members. Self-managed teams solve problems at lowest level and
complete tasks with little supervision.

3.4 The essentials of team building and team management

A team’s behaviour is characterized by the following elements:

- A goal which is commonly decided by its members;

- Interdependence, where team members accept to work together and support each
other;

- Commitment, to reach the set goals through group effort; and

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- Accountability, where individual member is accountable to top management for
achieving or reaching the goal.

According to Frank LaFasto, when building a team, the following dynamics are
fundamental to the team’s success.

- Team relationships: For a team to be successful the members of the team must be
able to give and receive feedback.

- Team problem solving: An effective team depends on how focused and clear the
goal of the team is. A relaxed, comfortable and accepting environment and finally,
open and honest communication.

- Team leadership: Effective team leadership depends on leadership competencies. A

competent leader is: focused on the goal, ensures a collaborative climate, builds
confidence of team members, sets priorities, demonstrates sufficient “know-how” and
manages performance through feedback.

- Organizational environment: The climate and culture of the organization must be

conductive to team behaviour.

For an organization to have a successful team and manage it to achieve its specific
goals, the following essential components have to be set in place:

- A clear vision and mission;

- Efficient leadership;

- Right mix of team members;

- Training; and

- Motivation and appreciation.

Let us look at each one of them in detail.

Vision: An inspiring vision motivates the team members to achieve the goal. It need not
be grand or necessarily innovative always, but it has to be sensible and clear. The team
has to be made clear about the vision, the mission, the goal and its outcome. The team
has to be assured that it has been built for a common purpose and each team member is
supposed to work towards a common goal, so that the team members do not ward off in
different directions. The team also has to be notified ahead and addressed for the
possible hindrances, obstacles and trade-offs. Encouraging autonomy within the team
members will guide them to make the right decision for themselves instead of waiting
and depending on others for support.

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 Efficient leadership: When managing a team of people, the right leadership style has to
be adapted so that it meets each person’s needs. In general, there are four types of
approaches: directing, coaching, supporting, and delegating. Depending on the level of
the employee’s competence and commitment, the right style or a mix of these styles has
to be opted.

Right team: As discussed above in the “Types of team players”, choosing a right mix for
a team is very essential. It is not good for the team to have everyone with the same skills
and perspective. A good team comprises of people with varying technical and functional
expertise who bring different approaches to problem-solving and decision-making tasks.

Training: Training plays a crucial role in the success of a team. Both on-job and off-site
trainings are essential for a team to achieve desired goals, as the team members may
always not be armed with requisite skills for the team’s mission. Lack of training will
entail the team members to de-motivation and underperformance. The employees
should always be trained for right skills.

Motivation and appreciation: One of the key responsibilities of a manager as an

effective leader is to inspire the team, to motivate them to give their best on the job,
make difficult changes, and overcome major obstacles. Employees desire and deserve
to be motivated in different ways. While achievers are motivated by their own
accomplishments, the steady players are often motivated by timely appreciation and
recognition. The underperformers may require different kind of motivation like rewards.
Employees who are slow to react can be frustrating, especially in environments where it
is imperative to respond and adapt to change quickly. While they need support and
coercion to move ahead, rewards for their small achievements often prove to be great
propellers.

4. Role of a Team Leader

A team leader is one who plays an important role in guiding the team members and
motivating them to stay focussed. He also sets a goal and objective for the team. The
team leader invites suggestions from one and all and discusses the issues in an open
forum for setting the goal. He will make his team members well aware of their roles
and responsibilities. He shall assign duties and responsibilities as per their interest and
specialisation for them to accept the challenges willingly.

The first principle of team building is to lead a team effectively; a leader must establish
leadership with each member. Most effective team leaders build their relationships of
trust and loyalty. Team leader will be impartial and support one and all equally. As a

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team leader constant motivation for his team members extended so that they perform
even better the next time.

A team leader is someone who provides guidance, direction and leadership to a group
of other individuals for the purpose of achieving a key result. The team leader monitors
the quantitative and qualitative result that is to be achieved. You have to be able to
work with other executives, to mobilize their cooperation and to leverage the
capabilities of their organizations and their people in the pursuit of the objectives and
fulfilment of responsibilities.

As a team leader, building an effective team is important. Discussing team values and
goals; considering each employee’s ideas as valuable, to be clear in communication;
encouraging team members to share information helps as a leader to be a successful
in building team.

Team leaders are also responsible for facilitating the information processing activities
engaged by the team as it accomplishes its task. The most potent leadership
processes that foster collective information processes include encouraging and
coaching team members to engage in problem identification, diagnosis, solution
generation, and solution selection activities (Kozlowski et al., 1996).

What specific leader behaviours facilitate this team learning process? Tannenbaum et
al. (1998) offer the following prescriptive leadership activities (pp. 253–259):

- Provide a self-critique early in the post action review.

- Accept feedback and ideas from others.

- Avoid person-oriented feedback; focus on task-focused feedback.

- Provide specific, constructive suggestions when providing feedback.

- Encourage active team member participation during briefings and reviews and
not simply state one’s own observations and interpretations of the team’s
performance.

- Guide briefings to include discussions of ‘‘teamwork’’ processes, as well as ‘‘task

work.’’

- Refer to prior pre-briefs and team performance when conducting subsequent

debriefs.

- Vocalize satisfaction when individual team members or the team as a whole

demonstrate improvements.

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 A team leader creates a positive ambience at the work place. In case of conflict, he
tries to resolve the fight immediately. As a leader, he owns mistakes of his team
members and plays the role of a mentor to extend his talent and share experience.
The team leader is the face of every team as well as the organization. He shall set an
example to others.

Contrary to the popular belief, teams are not always the best way to get work done.
Problems with coordination, competition, and motivation can undermine even the
most well designated and expertly managed teams. The success of a team depends
on the leader’s efficiency to overcome barriers to effective team functioning. The
following points have to be kept in mind by every leader for effective team
management:

Designate a naysayer: Usually when a team is formed, the group members are
herded to think in the similar direction and perspective. Though this is good for the
team’s goal, it is desirable that one of the team members plays the role of a devil’s
advocate, who can challenge the ideas of the group. It will avoid any possible pitfalls
in the project.

Keep the team small: Research shows that people's efforts quickly diminish as
team size increases. This is because team members reduce their input when they
feel less responsible for the output. Hence, teams should always be as small as
possible. This may mean including slightly fewer members than the task at hand
requires. If reducing the size of a current team is not an option, dividing up a complex
task into manageable bits, where every member of the team is accountable for one
part of it, can be considered.

Keep the team together: Established teams work better than those whose
composition frequently changes. Though the idea of swapping team members out is
a good from the point of view that every employee will get to learn new skills,
frequent changes or swapping out will diminish the effectiveness of teams.

Model collaborative behaviour: As children ape the elders’ behaviour, so

employees also emulate what they see at the top. Leaders should visibly work
together and even fill in for each other on occasions that demand such collaboration
and cooperation.

Conflict management: Conflict is a ubiquitous element of an organization that runs

across the teams as well. Conflict is not always necessarily bad. It can be constructive
as well as destructive. It is imperative for a manager and a leader to identify the nature
of conflict and understand its magnitude and gravity to address it effectively.

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5. Application of Team Management in Library & Information Centres

Management is related to make things happen, organizing people, meeting

competition, finishing tasks and leading people. This is also a fact as far as library
management is concerned. Management is different from administration. Management
makes the polices and plans implemented which is laid down by the administration.

Being a successful library team leader means identifying, allowing for and managing
personalities, differing working styles, organizational procedures and management
factors. Through effective planning and developing key competencies, a library
manager or leader can transform a team striving for success into a performance driven
team that achieves excellence. It also helps sharing information from within and
outside the library to ensure that effects and interrelationships are identified and
addressed.

The library functions include acquisitions, resource building, managing physical and
virtual collection and ensure smooth accessibility, provide on demand services,
retrieval and dissemination of information. The library management comprises of top,
middle and first line managers. Librarian is a top-level person; deputy librarian is in
middle and assistant librarian in the first line of management. Commitment, culture and
environment are being maintained by a librarian. Coordination among the
departments, its planning and strategy implementation are handled by middle level
management.

Formulating objectives and strategy, motivating and encouraging team member to

accomplish the set objectives is the job of a librarian who is the leader in library team
management. There are liaison roles for instance; deals with booksellers, database
vendors, library professional bodies, system specialists and in-house committees are
also taken care by the librarian. At middle level, library managers provide information
related to new information products, new policies, new technology, new development,
etc. to its users.

According to Henry Mint berg, managers engage in four decision sub-roles: as an

entrepreneur, disturbance handler, resource allocator and negotiator. Librarian acts as
an entrepreneur when he focuses on a new service, extends a service and funding for
projects. He functions as a disturbance handler when implements change, reducing
costs, and cutting workforce and as a trouble shooter in solving problems from time to
time. He allocates resources when budgets are prepared and deploys staff for different
tasks. As a team leader, librarian negotiates projects, schedules, goals, outcomes and
promotes services as a part of routine activity of the library.

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Technical skills are being displayed by librarian when taking vital decisions, viz.
identification and selection of appropriate sources for resources development,
databases, identifying of useful books, serials and selective multimedia resources or
materials and choice of appropriate library automation software. Managing human
skills to function effectively with colleagues, peers, users and management within the
organization also forms a part of the leader. The librarian as a chief executive at the
helm of affairs clearly visualizes the role of the library, value the library can provide in
meeting the objectives and also be able to communicate his vision of the library to his
own colleagues as well as to the team members. He has to identify or recognize,
understand complex problems and perspectives. The ability to motivate team
members to deliver results is an essential prerequisite for librarians. The capability to
discuss meaningfully in professional and organizational environments, and able to face
the competition are needed. Skills to deal effectively, frame rules and standards via
suitable mechanisms of counselling and punishment are essential for effective
management. Librarian should be aware of and be sensitive to the general and the
specific environment of the organization of which the library is a part. He should also
understand the needs of customers, their information needs, suppliers, local internet
connectivity to constitute some of the specific environments.

Team Management can be implemented to maximise the use of resources in libraries

and their value to learning, teaching and research and to ensure they are accessible
and searchable. All organisations are complex systems. Depending upon factors such
as the size, availability of other resources like technology and manpower the team
activity can be taken up. Various managerial systems and processes need to be
designed in order to have effective team management and perform managerial
functions like problem solving, decision-making, communicating and leadership in the
face of this complexity. Formal rules, policies, etc. are created for governing the
managerial functions, process and organisational systems.

The library management leader has to plan, decide, control, lead, devise strategy and
also manage change, when needed. Planning involves defining the goals and creating
methods to achieve them. In team management, members have to put forth greater
effort for a well thought out plan, because plans come out with specific courses of
action and feedback mechanisms. It encourages persistence in the pursuit of longer
term objectives of the organization. Planning also helps to accomplish goals and
encourage activities to be directed and cautions when there is distraction from goals.
With the help of task strategies, milestones and benchmarks could be worked out in
achieving set goals. Librarians can make greater impact when plans have been

Page 14 of 18
 devised carefully. Planning helps in developing commitment, formulate action plans,
track progress and maintain smooth functioning.

For application of team management, the organisational processes and controls, their
features such as depth, flexibility and complexity need to be explored. Various
activities and processes are subject to ambiguity, uncertainty and the possibility of
unfavourable outcomes. Assignment of work to people, allotment place for specific
activities and determining procedures will help team members. A strategic
management approach to effectiveness provides guidelines to achieve team goals.
Financial management and quantitative techniques such as statistical data, project
management techniques and operations research help team management in achieving
high levels of efficiency in their performance. Contingency management which focuses
on a range of alternative styles, preferences and choices are also available for the
team. In a team everyone has a potential for development, learning and choice, then
collective human effort is organised in a democratic manner and fairness, so as to
support and facilitate the effort to realise the team member potential. This would lead
to satisfaction and a feeling of effectiveness for the team.

Team members have to adjust to changing environments and the corresponding

changes and have to decide how to respond to anything, for example, a situation, a
person or a proposition, based on their perception of what is happening around them,
what it means for them and how it is going to affect them.

In a typical academic setting, the Library Management Team (LMT) constitutes an

administrative advisory group to the University Librarian. Its functions include:

- Structuring a process for long-range strategic planning for the library in the context of
university-wide planning processes.

- Coordinating the identification of funding needs and preparation of budget requests

within the context of the university's budget process, and other funding opportunities.

- Participating in internal resource allocation decisions.

- Sharing information from within and outside the library to ensure that effects and
interrelationships are identified and addressed.

- Establishing task forces and working groups of library faculty and staff to address
specific projects and needs.

The time commitment to serve in this role typically involves:

- Attending the LMT meetings.

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 - Reviewing the LMT agenda and materials distributed in advance in preparation for
the meetings.

- Completing any special tasks as assigned by LMT.

- Serving on the Staff Training and Development Committee.

- Convening library-wide staff meetings including establishing meeting time, setting

agendas and coordinating follow up activities (typically once per semester or more
often, if necessary.)

- Consulting with staff to identify staff concerns for presentation at LMT.

The Senior Management Team takes the lead in setting strategic directions for all
aspects of the library's services and operations. It meets regularly to discuss the
business of the library and agree priorities in achieving its overall goals. The librarian is
responsible for developing strategic plans. The plan will emphasize on clarity, how library
will serve the customers, what relative position it will have in the organization. Vision is
one or more short and inspiring statements of what library wants to achieve at some
point in the future.

Middle management develops and carries on with tactical plans to achieve the library’s
mission. These plans specify how a library utilizes resources, budges and manpower to
achieve specific goals within its own mission.

The development of teams and teamwork has grown dramatically in all types of
organizations for one simple reason. No one person has the ability to deliver the kinds of
products and services required in today's highly competitive marketplace. Organizations
must depend on the cooperative nature of many teams to create successful ventures
and outcomes. Mostly libraries have an acquisition, circulation and resource sharing
policies. A well documented policy reveals why it exists and the outcomes that is
intended to be achieved.

Decision making is important and fundamentally involves the choice of available solution.
It is an area of study consisting of many disciplines. Considerable theoretical and
empirical research provides a better understanding of the dynamics of decision making.
Intuition will help in decision making which depends on past experiences and works well
in routine decisions.

6. Advantages and Disadvantages of Teams

In view of the above discussion, the advantages of disadvantages of teams in libraries

and information organisations are:

Page 16 of 18
 Advantages Disadvantages

Team-based organizations filter decision Team-based organizations value team

making down to all levels of management, performance over individual performance.
while traditionally structured organizations
rely on top management to make decisions.

It requires that all employees participate in Lack of individual focus can be a

the decision making process. disadvantage of team-based organization.

Employees feel they are part of the total Motivating individuals in a team-based
organization rather than members of an organization can be more challenging as
individual department. participants seek recognition for their
individual contributions.

They run more efficiently and effectively. They are decentralised rather than
hierarchical.

Teams create an environment of support Lack of centralisation is a disadvantage of

and propel people towards implementation team-based organization.

A team environment can boost the Decentralisation can lead to coordination and
confidence of individual talent allowing them control problems for management.
to do their best work.

Team membership can provide social Conflict may develop between team
facilitation and support for difficult tasks and members or other teams.
situations.

Greater autonomy, variety, identity, Less flexibility may be experienced in

significance, and feedback for employees personnel replacement or transfer.
can occur.

Teams can foster greater cooperation Teams may be time-consuming due to need
among team members for coordination and consensus.

7. Summary

A team is a permanent task force or committee. Teams are meant for working towards
a common goal. Team management refers to techniques, processes and tools for
organizing and coordinating a group of individuals working towards a common

Page 17 of 18
 objective. Team building will lead to good communication with participants as team
members and individuals. Successful teams are made up of a collection of effective
individuals.

There are four stages in team building: 1) building awareness and forming the group,
2) facing problems, conflicts and facing the realities, 3) cooperation, and 4) goal
achievement. In team building, a leader needs to exhibit greater transactional skills in
the initial stages. The team-building outcomes such as awareness, clarification,
belongingness and acceptance. There are different types of teams, viz. functional
team, cross-functional team and self-directed or self-managed work teams. The
benefits of teamwork are: increase in individual skills, knowledge, productivity,
flexibility and commitment.

A team leader is a person who plays a vital role in guiding the team members and
motivating them to stay focussed. Leadership is the process of influencing others to
achieve set goals. Leaders take risks, long term decisions and convince team
members of the correctness of those decisions. The success of a team depends on
the leader’s efficiency to overcome barriers to effective team functioning. Team
leaders are also responsible for facilitating the information processing activities
engaged by the team as it accomplishes its task. Being a successful library team
leader means identifying, allowing for and managing personalities, differing working
styles, organization procedures and management factors. Team management can be
implemented to maximise the use of resources in library and their value to learning,
teaching and research. Team management has its own advantages and
disadvantages too.

8. References

1. Adair, J. (2011). Leadership and Motivation. New Delhi, Kogan Page.

2. Evans, G.E. and Ward, P.L. (2007). Management Basics for Information
Professionals, 2nd Ed. New York, Neal-Schuman Publishers.

3. Harvard Business Review. www.hbr.org.

4. Robbins, S. et al. (2009). Organizational Behavior, 13th Ed. New Delhi, Dorling
Kindersley (India) Pvt. Ltd.

Page 18 of 18
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 24 Analysing performances of staff

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Mr P K Bhattacharya
Content Writer Fellow, TERI

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 24

ANALYZING PERFORMANCE OF THE STAFF

I. Objectives

The objectives of the module are to:

- Analyze PMS (Performance Management System) amongst Library department.

- Clarity on performance counseling on the basis of past performance;
- Assess training needs on the basis of your performance productivity;
- Help develop individuals and audit the skills within an organization and set
targets for future performance;
- Identify potential for promotion; and
- Identify “Capability gaps" in the organization and the individual and clarity on
performance management and performance appraisal
II. Learning Outcomes
After going through this unit, you would learn about need and analysis of performances,
performance counselling, reviewing past performance. You would also learn to assess
the training needs on the basis of your performance productivity, help in developing
individuals, audit the skills within an organization, set targets for future performance,
identify potential for promotion, and identify “capability gaps" in the organization and the
individual.
III Structure
1. Introduction
1.1. What is performance appraisal in professional organizations?
1.2. Performance “rating”
2. Dimensions of performance management
3. Avenues of library professional’s performance management
4. Planning performance for role clarity, leadership development and setting goals
4.1. Why performance needs to be planned for a proper library to function properly?
4.2. KRA’s and performance appraisal and competency modules
4.3. Need for clarity of roles in library
4.4. KRA’s as mechanisms of role clarity and development
5. Types of performance management
6. Performance appraisal process

1
7. Methods of performance management - corporate library management
8. Planning for success- academic library management
8.1. Example: self evaluation questionnaire
9. A reference example of an annual employee performance management form
10. Difference between performance management and performance appraisal
11. Key benefits of performance management systems
12. Problems in performance appraisal
13. Performance counseling
14. Summary
15. References
1. Introduction

Performance management of staff is an efficient systematic evaluation and assessment

of employees by supervisors. It is a comprehensive guideline which helps in developing
the job potential, proving technical expertise of an employee and making the
assessment of holistic performance of an employee, in the organization for a certain
period of time. It initiates to pluck out all the negative aspects within him/her and curve
out his own positive dimensions, positive energy and potential, to shine in his/her career
span. A good employee is one who not only performs well in his work domain but tries
to outshine amongst all employees with reference to his work parameters and
dimensions.

Having trustworthy and reliable employees is the key to any successful establishment or
organization. Performance Management System (PMS) not only “paves” the path for
more “self-improvement”, but also gives the employee the opportunity to make his own
self assessment, shape his technical expertise, give a productive qualitative assessment
on himself annually.

1.1 What is performance appraisal in professional organizations?

Performance Appraisal is a systematic evaluation, judgments of the characteristics, traits

and performance of employees by supervisors.. On the basis of these judgments,
employee assessment is recorded and then salary and all other benefits are appraised(
evaluated).

1.2 Performance “Rating”

2
 Usually, the “Appraisal” evaluation in all departments is done on ratings within 1-5 scale
(where, 5=outstanding, 4=excellent, 3=good, 2 =average and 1=needs improvement) .

(“Low” rating is an indicator of “poor performance”, leading to “low motivation”, or “low

capability”). It is therefore very necessary to ascertain the reason of “Poor” performance.

Appraisals happen annually, are essential for promotional decisions, employee transfer,
trust and retention, and overall holistic Organisation and employee development.

2. Dimensions of Performance Management

The various dimensions of performance management as discussed as below:

a) Motivation & Interest

An employee's motivation and interest in his/her everyday responsibilities is important

when evaluating his/her performance. Motivated employees often have sound
attendance records, are rarely late and only infrequently ask for time off. Employees who
repeatedly complain about routine tasks or appear unbiased in their work could be
detrimental to the entire organization.
b) Job Rotation

To effectively maximize and develop Library staff’s performance, job rotation within the
department is an effective way of developing his/her potential and improve technical
expertise. Library professionals can use this mechanism for identifying employee
capabilities. After working with various line managers, in different situations while on the
job rotations, the staff is better equipped with the entire department. This results in
better overall annual performance which will be better portrayed and analyzed.

c) Weaknesses/Considerations

When evaluating employees' performances, we should take note of any specific

weakness either in their specific role or in cooperating with other staff members.

d) Adaptability

Having a staff of multi-talented Library professionals is advantageous in filling in for

absent employees, cross-training and dealing with high volumes of work. Manager's
evaluation of an employee's performance should consider that individual's willingness to
learn new skills, take on problems outside his/her realm of jurisdiction and depend on
the response to requests. Employees who stay grounded within their own sphere of
production can often be detrimental to group production.

3
3. Avenues of Library Professional’s Performance Management

Fig. 1: Various Avenues of Performance Management

Fig. 1 shows the avenues of Performance Management. Performance management should

serve as a vital module, a competency model one, that is of interest to both the
organization and the employee.

The procedure at any organization starts with “Setting of performance goals along with
organizational plans, delegating responsibilities to team followed by coaching, motivating,
recognizing efficiency, effectiveness and evaluating performance and career development
planning” . It is all a strategic performance circle and all the avenues are interlinked.

In a Holistic PMS in a Library, Supervisors need to develop a strategic PMS where

:-

a) Employees should be actively involved in the evaluation and development process.

b) Realistic, strategic goals and Key Result Areas (KRAs) must be mutually set and
clarified.

d) Supervisors must be aware, and have knowledge of the employee’s job categories.

e) Employees should feel the motivating and recognition prevalent factor present in all
departments.

f) A good PMS demarcates a sound career development planning.

4. Planning Performance for Role Clarity, Leadership Development and Setting

Goals

4
 Fig. 2: Planning, Competency models, Good Leadership and Performance Appraisal
=sound PMS

Fig.2 : depicts how an efficient PMS structure is progressed through performance planning and
goal setting, an efficient competency model along with a sound good leadership
structure and a sound performance appraisal or reward system – all these together
makes a very superior performance management system.

4.1 Why Performance needs to be planned for a proper library to function properly?

Planning for performance and setting your organisational goals is the first step in
ensuring that the employees give quality inputs that will ensure the output expected from
him.

Planning gives a sense of direction and ensures job satisfaction as an ultimate goal in
the library. The library staff gets motivated to outcast his/her technical expertise more
when he/she judges that a proper performance planning is being done for him/her.

A competency model organizes the competencies needed to perform successfully in a

particular work setting, such as in the library setup. Competency models can be used as
a resource for evaluating employee performance.

Performance planning also signifies a systematic outlining of the activities that the library
employees are expected to undertake during a specified period (for e.g., Six-monthly,
Annually) so that he is able to make his best contribution to developmental and

5
 organizational outcomes. The activities thus outlined are indicative of the nature of
contributions the staff is expected to make to the departmental goals .

A good performance management system indicates the quality, magnitude and technical
contributions the staff is expected to make at certain stipulated time dimensions and the
relative emphasis to be placed on different activities annually.

4.2 KRAs and performance appraisal and competency modules

Annual Performance Appraisal exercises or Competency Modules provide good

opportunities for overall quality team work. The modules reflect on the following:

- Task analysis
- Key performance areas (KPAs)
- Key Result Areas (KRAs)
- Performance Target Identification
- Team plans
- Goal setting exercise
- Time-management exercises
- Meeting deadlines
- Out of the box activities
- Team leadership
4.3 Need for clarity of roles in Library

Any organization interested in its growth has to be dynamic, creating challenges for
themselves and making an impact for their environment. Thus if an organization or a
department in the organization says that the library is dynamic, it is in a process of
constant change either in response to its own needs and growth plans or in response to
the environmental changes. A clear understanding of the roles, objectives and
responsibilities of the staff with subject to various KRAs is highly suggested.
4.4 KPA’s as mechanisms of role clarity and development

Key Performance Areas (KPA) may be defined as the important or critical categories of
functions to be performed by any role incumbent, over a given period of time. These
categories of functions should be so defined that the performance of any employee can
be assessed meaningfully for any given period of time. In addition, these functions
should specify what the employee would be doing rather than what results are expected
from him.

6
 An example of KPAs is:

Determining KPAs for a Library professional

• Identify knowledge resources to be procured on priority for library collection

modifications
• Identifying service to offer for users
• Developing new service for users
• Measuring effectiveness of library services

5. Types of Performance Management

Performance Management enlists few methods as follows:

i. Critical incident method

This format of performance appraisal is a method which is involved identifying and

describing a specific incident or a critical incident where employees performed well
or that needs improvement during their performance period.

ii. Weighted checklist method

In this style, performance appraisal is made under a method where the jobs being
evaluated are based on descriptive statements about effective and ineffective
behavior on jobs.

iii. Paired comparison analysis

This form of performance appraisal is a good way to make full use of the method of
options. There will be a list of relevant options. Each option is in comparison with
the others in the list. The results will be calculated and then such option with
highest score will be mostly chosen.

iv. Graphic rating scales

This Graph format is considered the oldest and most popular method to assess the
employee’s performance. In this style of performance appraisal, the management
just simply does checks on the performance levels of their staff graphically and
sometimes holistically.

7
 v. Performance ranking method

The performance appraisal of ranking is used to assess the working performance

of employees from the highest to lowest levels. Managers will make comparisons
of an employee with the others, instead of making comparison of each employee
with some certain standards.

vi. Management By Objectives (MBO) method

MBO is a method of performance appraisal in which managers or employers set a

list of work objectives and finally make rewards based on the results achieved in
these categories only. This method mostly cares about the results achieved (goals
based on the particular objectives) and appraisals are done annually, but
performance assessment, gap analysis, training needs, succession planning, team
building approach of employees…. are not taken care of. Hence it is not a highly
recommended PMS in modern scenario.

vii. Forced ranking (forced distribution)

In this style of performance appraisal, employees are ranked in terms of forced

allocations. For instance, it is vital that the proportions be shared in the way that 10
or 20 % will be the highest levels of performances, while 70 or 80% will be in the
middle level and the rest will be in the lowest one.

viii. Behaviorally Anchored Rating Scales (BARS)

These scales combine major elements from the critical incident and graphic rating
scale approaches. The employer-appraiser rates the employees-appraise based
on parameters on the scales, but the points are examples of actual behavior on the
given job rather than general descriptions or traits. Behaviorally anchored rating
scales specify definite, observable, and measurable job behavior.

Examples of job-related behavior and performance dimensions are generated by

asking participants to give specific illustrations on effective and ineffective behavior
regarding each performance dimension. These behavioral examples are then
retranslated into appropriate performance dimensions.

Those that are sorted into the dimension for which they were generated are
retained. The final group of behavior incidents are then numerically scaled to a
level of performance that each is perceived to represent. The incidents that are

8
 retranslated and have high rater agreement on performance effectiveness are
retained for use as anchors on the performance dimension. The results of the
above processes are behavioral description, such as anticipate, plan, execute,
solve immediate problems, carries out orders, and handle emergency situations.

This method has following advantages:

- It does tend to reduce rating errors.

- It assesses behavior over traits.
- It clarifies to both the employee and rater which behaviors connote good
performance and which connote bad.

ix. 360 degree Feedback system in HR Management

The 360 degree performance appraisal method involves performance assessment

feedback and report from both the supervisor and the supervisee and fellow peers
and colleagues. This is the most prevalent PMS feedback method applicable in
today’s world for a good structured functioning of an organization. Other names for
360 degree feedback are multi-rater feedback, multisource feedback, full-circle
appraisal, and group performance review appraisal.

The feedback provides insight about the skills and behaviours desired in the
organization to accomplish the mission, vision, goals and values of the
organization.

The purpose and benefits of 360 degree method are:

a) Team Development: Helps team members learn to work more effectively

together. It generates higher levels of trust and better team cohesiveness and
communication.

b) The judgmental errors of the supervisors are eliminated as the feedback comes
from various sources.

c) Holistic Clarity to understand each employees' strengths and weaknesses.

d) Holistic feedback from peers, reporting staff, co-workers, and management

supervisor

e) Participation: More people participate in the process, hence it is time saving

process.

9
 f) People get more judgmental feedback, try to improve on work quality and work
flow.

g) 360 degree feedback makes team members more accountable to each other as
they share the knowledge that they will provide.

h) Training Needs Assessment: Multirater feedback provides comprehensive

information about organization training needs

i) Professional growth & career evaluation and development: Individuals can better
manage their own performance and.

j) Responsibility for Career Development: Multirater feedback can provide excellent

information to individuals about what they need to do to enhance their career.

Example:

In a library environment, 360 degree feedback is now-a-days taken as the most

comprehensive module for performance assessment. Organization’s management
usually wishes to take feedback from both the departmental head as well as staff
members. This approach provides a tool to the management to assess individual’s ability
and directional measure towards future growth. In this approach, the HR department
develops two separate forms with different questions for library staff and librarians.
While librarian assesses the quality of each of the library staff highlighting their
strengths and weaknesses, e.g., user handling, reference services, e-resource
collection, circulation desk management, document processing, etc., the library staff
also assess librarian in terms of leadership quality, decision making powers, conflicts
resolution ability, etc. In this method, each of the staff members including librarian gets
adequate and proper feedback about their ability and lacune which helps them to grow
faster professionally.

6. Performance Appraisal Process

a) Performance Appraisal planning: Job description and KRAS (Key Result Areas):-
These should evolve out of job description and KRAS (Key Result Areas).The
performance planning should be clear, strategic and objective enough to be
understood and measured.

b) Performance reviewing or Progress review: Organizations usually have a six-

monthly and annual reviews in which the employees’ performance is reviewed;

10
 based on achievements and fulfillment of his “targets” as well as for overall
performance, he/she is appraised. The process combines both self-review as well as
a review by the reporting officer. Measurable achievements are rated and causes for
mistakes are detected and analyzed. The attempt in this step is to note deviations
between standard performance and actual performance. One of the most challenging
tasks managers face is, to present an accurate appraisal to the subordinate and
then have the subordinate accept the appraisal in a constructive manner, which
reflects on their futuristic work flow and, subsequent performance.

c) Performance feedback and Evaluation: This is a very important step in which the
appraiser and employee sit in discussion about areas of improvement and about his
levels of contribution, expected performance achievement, etc. in the organisation in
a 360 scale. Along with transparent discussions, the need for training and
development is also identified and categorized along with all relevant measures of
overall performance.
d) Compensation and Rewarding good performance: When an organization
recognizes an employee’s contribution and rewards him for it, the employee strives
to do better because of this motivation and “Employee recognition” scheme.The
motivation of an employee is determined when his good performance is recognized
and rewarded. It could directly influence the self-esteem of a person. It is very
sensitive in enhancing his achievement orientation too.

e) Potential Appraisal: The employee’s lateral and vertical movement is influenced by

this factor. “Competency mapping” and Employee assessment techniques need to
be carried out for successful appraisal. This needs to include crucial points such as
“Job rotation” and “Succession planning”.

f) Performance improvement planning: This calls for setting of new goals and
deadlines for employees for the next year. Key areas of improvement are made
visible to the employee and he is also assigned a stipulated deadline for the same.
He must show improvement within the jointly finalized and mutually accepted time-
frame.

g) Corrective Strategy: (The misses) =The final step in the appraisal process is the
initiation of “corrective action or strategy,” if necessary. We need to take proactive
steps for corrective strategy and immediately initiate action.

11
7. Methods of Performance Management - Corporate Library Management

The following actions are included in corporate performance management systems:

a) Development of precise job descriptions and creating detailed employee

performance plans inclusive of their performance indicators and key result areas
(KRA).

b) Setting up a strong selection process in lines with the company policies so that the
right candidates are selected for the job.

c) Discussing and setting performance standards to measure productivity and output

set against benchmarks that have been predefined.

d) Giving the employee feedback and coaching on a continuous basis right through his
performance delivery period.

e) Catering to development and training needs by measuring productivity and

performance quality.

f) Having discussions on the employees’ quarterly performance and evaluating them

based on the performance plan.

g) Developing and implementing a set rewarding and compensation system for

employees who excel in performance benchmarks.

h) Facilitating guidance sessions, career development support and promotional

discussions for employees on a regular basis.

i) Holding comprehensive “Exit interviews” to find out the reasons for an employee’s
discontentment with the company and the reason for his or her departure.

8. Planning for Success- Academic Library Management

12
 Fig. 3: Planning for success

Source: Compiled in blog by Stage 1 – Planning for Success ( Part 6 of 10 of HRSG’s

Guide to Performance Management through Competencies )… Monday, 10 September
2012

Whether you are a Library Manager or any Evaluator, Planning performance

evaluations, or measuring 1 to 1 annual performance reviews, there are several key
factors your “Employee evaluation” should focus on.

Fig 3. shows us the basic 3 steps of PLANNING related to PROGRESS REVIEW and
related to FINAL EVALUATION of employee and the small queries we need to follow
and be aware of.

- Planning: What must be achieved? To what standard? What competencies are

needed? What development is required?
- Progress Review: How am I doing? Can I do better? Does anything need to
change?
- Evaluation: How did I do? How can I do better? What have I learned?
8.1 Example: self evaluation questionnaire

Write down the Questions in Fig. 3 and answer them with respect to your department.

A. Planning

13
 B. Progress Review

C. Evaluation

The following milestones are to be followed:

a) Non-performance will not be tolerated and will be measured every 3 months.

b) Every action/movement is subjected to a measurable deliverable.

c) Salary and increment are performance linked; higher the responsibility and
performance, greater shall be the reward.

d) It should be the Endeavour of every such Supervisor to present the truest possible
picture of the appraised staff regarding his/her performance, conduct and potential.

e) Every staff on pay-roll shall undertake this exercise of completing PMS with a strong
sense of responsibility.

f) For better positive energy flow and internal team bondage development, after a
staff joins the Company, the Performance Assessment programme will be followed
as below:-

- Monthly Self-Appraisal (Monthly reporting to Supervisors only)

- 6 months (half-yearly PMS ) for all staff

- 12 months (annually Performance Appraisal) for all staff along with final HR
rating and percentage increment.

9. A Reference Example of an Annual Employee Performance Management Form

Employee Performance Evaluation (Circle the appropriate response)

Employee Name:_____________________ Evaluation

Date:____/____/____
Date of Joining:----------------------------
Reporting to: ___________________
Department:_____________________

Organization portfolio :-

14
Please write the specific KRAs (Key Result Areas) you have in your JD(Job Description)
before you start the process in the following points .
1.__
2.__
3.__

The Performance Management objective parameters :-

A. Cooperation
1. Willingness to assist co-workers ____
2. Attitude when work needs to be repeated ____
3. Adaptability when schedule suddenly is changed ____
4. Willingness to work extra hours ____
Comments:
B. Interpersonal Relationships
1. Maintains a positive relationship with the management team ____
2. Maintains a positive relationship with other workers ____
3. Listens effectively ____
4. Is a team player and participates with others to accomplish the task at hand ____
Comments:
C. Initiative
1. Sees when something needs to be done and does it ____
2. Seeks help when needed ____
3. Demonstrates a "self-starter" attitude ____
4. Helps out to achieve the overall goals of the farm ____
5. Makes practical, workable suggestions for improvements ____
6. Commitment to self-improvement ____ Comments:

D. Dependability
1. Can be counted on to carry out assignments with careful follow-through and follow-up
____
2. Meets predetermined targets or deadlines ____
3. Can be counted on to overcome obstacles to meet goals ____
4. Can be counted on to adapt to changes as necessary ____
5. Can be counted on for consistent performance ____
Comments:

15
 E. Attitude
1. Offers assistance willingly ____
2. Makes a positive contribution to morale ____
3. Shows sensitivity to and consideration for others' feelings ____
4. Accepts constructive criticism positively ____

Comments:
F. Judgment
1. Demonstrates good judgment in handling routine problems ____
2. Analyzes decisions before implementing them ____
3. Has the ability to work under pressure ____
Comments:

G. Specific Job Skills

1. Has appropriate knowledge of “domain” it relates to his/her specific jobs ____
2. Has appropriate skills in Computers /Software ____
4. As new ideas or technologies are introduced, is able to learn and use them
appropriately ____

5. Other (specify):

H. Communications (Written or Oral)

1. Reports necessary information to coworkers ____
2. Maintains effective communication with co-workers.__________
3. Keeps and maintains all necessary written information that might be required by a
specific assignment ____
4. Work station Language fluency :-
Comments:
I. Productivity
1. Work completion is consistently high ____
2. Can be counted on for overtime or extra ____ effort as needed to meet the Company
goals ____
3. Makes effective use of resources available to accomplish all assignments, avoiding
waste ____
Comments:
J. Attendance and Punctuality

16
 1. Promptness at the start of the work day ____
2. Attendance record ____
3. Stays as late as necessary (within reason) to complete assignment and/or current
activity (not a clock watcher)
4. No of Days Sick:______
Comments:
K. Organizational Skills
1. Performs tasks in an organized and efficient manner ____
2. Handles multiple activities simultaneously ____
3. Makes effective use of time (not merely busy) ____
Comments:

10. Difference between Performance Management and Performance Appraisal

The difference between performance management and performance appraisal is given

below:

Performance Appraisal System Performance Management System

1. Emphasis is on relative 1. Emphasis is on holistic performance

evaluation of individuals
2. Emphasis is on ratings and
evaluation.
3. Performance rewarding and
recognition is a critical
component.
4. Designed and monitored by HR
department.
5. Ownership is mostly with HR
dept.
6. Focus on identifying
development needs at the end
of the appraisal year.
7. Linked to promotions, salary
increments, transfer, training
improvement of individuals, teams, department
and the organization.
2. Emphasis is on performance planning,
analysis, appraisal and development.
3. Performance rewarding and recognition may or
may not be an integral part. Defining and
setting performance standards is an integral
part.
4. Designed by HR department but could be
monitored by the line departments.
5. Ownership is with line and HR department.
6. Focus on identifying development needs at the
beginning of the appraisal year.
7. Linked to performance improvement and
through them to other HR decisions as and

17
 and development interventions. when necessary.

11. Key Benefits of Performance Management Systems

In short, successful implementation of performance management systems can result in

overall benefit of the organization, the manager and the employee.
a) It improves overall performance of the organization and increases employee loyalty
and retention.
b) It directly contributes to enhanced performance and better productivity levels.
c) Career paths are defined and it promotes job satisfaction and a positive mindset.
d) It improves productivity of the company, also delivers cost advantages, clear
accountabilities and overcomes communication barriers in the organization.
e) It saves on a lot of precious time and reduces conflicts within the Library team or
department
f) It increases efficiency levels of Library team members and motivates better,
consistent high performance.
g) It clarifies all the expectations of an employee including his exact role and KRA, and
provides an opportunity for self review, assessment and introspection.

12. PROBLEMS IN PERFORMANCE APPRAISAL

It many organisations, senior managers impartially standardize the PMS criteria upon
which their subordinates will be appraised. In spite of our recognition that a completely
error-free performance appraisal should be there, still a number of errors significantly
follow :
i. Leniency Error :
Every Supervising Evaluator has his/her own rating standard against which
appraisals are made. When evaluators are positively lenient in their appraisal, an
individual’s performance is rated higher than it actually should be. Similarly, a
negative leniency error evaluates low performance, giving the individuals a lower
appraisal.
ii. Low Appraiser Motivation:
Certain Supervising evaluators are reluctant to enhance an employee promotion and
future succession planning opportunities and hence he might be reluctant to give a

18
 realistic appraisal. There is structural corporate evidence that it is more difficult to
obtain accurate appraisals when important rewards and overseas promotions
depend on the performance results.
iii. Halo Effect :
The halo effect or error is a tendency to rate high or low on all factors due to the
impression of a high or low rating on some specific factor. For example, if an
employee tends to be conscientious and dependable, the supervisor might become
biased toward that individual to the extent that he will rate him/her high on many
desirable attributes.
iv. Similarity Error:
Many Supervising evaluators rate their team members in the same ways to keep the
team members happy. Again based on the perceptions that evaluators have of
themselves, they project those perceptions onto others. For example, some
Supervising evaluators who perceives themselves as aggressive may evaluate
others by looking for aggressiveness. Those who demonstrate this characteristic
tend to benefit, while others are penalized.
v. Central Tendency:
Central tendency is the reluctance to make extreme ratings (in either directions); the
inability to distinguish between and among ratees; a form of range restriction. In this
case, the appraise evaluation are down rated.

13. Performance Counseling

“Counseling” provides an indispensible and obligatory opportunity to the supervisor to

give feedback to the subordinate on the performance and performance related behavior.
The main objective of “Performance Counselling” is to help the employee to conquer
his/her weaknesses and to strategies and innovate his strengths.
In this sense, it is a developmental process where the employer or supervisor and the
employee or subordinate discuss the past performance with a view of improvement and
become more effective in future.
Performance Appraisal reports serve as a “Guideline” for discussion. One of the specific
effects of this dynamic interaction is the identification of “Training needs and
Assessment”.
The process of Counseling:-

a) The counselor should be diplomatic and helpful rather than be critical and accuser.

19
 b) The subordinate should feel comfortable to participate without any hesitation. Both
negative and positive feedbacks should be clarified and communicated in closed-
door conversation.
c) It should focus on intricacies of official reports and be time bound. Delayed
feedback is neither helpful nor effective.
d) A climate of openness and trust is extremely necessary.
e) The focus should be on the work-related problems and KRAs, rather than
personality or individuals likes or dislikes.
f) It should be devoid of all discussions on salary, reward and punishment. Any
discussion on compensation changes the focus from performance improvement to
the relationship between performance and reward.
g) “Counselling Technique” and “Corrective Strategy”- Many supervisors are hesitant to
initiate performance counseling sessions because the subordinates may raise
uneasy questions for which they may not have answers. Or they may question their
judgments and decisions which may lead to argument, debate and
misunderstanding. That is why there is a need to train supervisors in the “Techniques
of Counseling sessions” . A “Councelling Technique” could be to start the interaction
by asking “Tell me how you think you are doing in your job and share your overall
experiences”.
h) Hit and Misses of the job: - This provides an environment for the subordinate to
share about his part of performance he wishes to share first. The indispensable and
obligatory feature is to provide an employee an opportunity to open up and share his
experiences, his hits, his misses in the job, which the supervisor should be able to
listen and then process and provide elementary feedback (Corrective Strategies) to
him and slowly step down his KRAs where he might have rated a bad score in his
Performance Appraisal.

14. Summary

Analyzing performance is concerned with setting objectives for individuals, monitoring

progress towards these objectives on a regular basis in an atmosphere of trust and
cooperation between the appraiser and the appraisee. Well designed appraisal systems
benefit the organisation, managers and individuals in different ways and need to fulfill
certain key objectives if they are to be successful.

20
 PMS should be well designed and planned to focus employees on both their short and
long-term objectives, KRAs and career goals and also pave the path for probable
succession planning. It is also important for library managers to be aware of the
performance problems associated with performance management systems of their staff.
One major outcome of performance management of a Library department is
identification of the potential of the employee’s skills and abilities not known and utilized
by the organization.
The distinct advantage of a thoroughly carried out PMS is that the organization is able to
identify individuals who can take higher responsibilities and initiate duties without
obstructive gaps and loopholes.

15. References

1. Comments: ( contributions from Formal Performance Appraisal Evaluation

Form,HRM-7-97,Kenneth D. Simeral, Ohio State University)
2. Compiled in blog by Stage 1 – Planning for Success (Part 6 of 10 of HRSG’s Guide
to Performance Management through Competencies)… Monday, 10 September
2012.
3. Contributions from Formal Performance Appraisal Evaluation Form, HRM-7-
97,Kenneth D. Simeral, Ohio State University)
4. Contributions from http://www.sibson.com/uploads/2010-Study-of-Performance-
Mangement.pdf, accessed on 20 April 2013
5. Formal Performance Appraisal Evaluation Form,HRM-7-97,Kenneth D. Simeral.
6. HR MANUAL by HRD Consultant, Mrs. Pritha Bhattacharya, MAMTA HEALTH
INSTITUTE FOR MOTHER AND CHILD, NEW DELHI, OCTOBER 2009.
7. http://www.sibson.com/uploads/2010-Study-of-Performance-Mangement.pdf,
accessed on 2 July 2013
8. Ohio State University Fact Sheet,Agricultural Economics,2120 Fyffe Road,
Columbus, OH 43201-1066
9. Rao, T.V., (2004) Performance Management and Appraisal Systems, HR Tools for
global competitiveness New Delhi, Response Books.p. 330
10. References from http://www.kraniumhr.com/, accessed on 23 February 2013
11. The Successful Manager's Handbook; Personnel Decisions Inc., 1996.

21
Paper No : 06 Management of Libraries and Information
Principal Investigator
&
Dr. Jagdish Arora, Director
Centres and Knowledge
Subject Coordinator Centres INFLIBNET Centre, Gandhinagar
Module : 25 Motivating employees and users

Development Team
Paper Coordinator

Principal Investigator
Dr. Jagdish Arora, Director
&
Content Writer INFLIBNET Centre, Gandhinagar
Subject Coordinator

Content Reviewer Prof Dinesh K Gupta

Paper Coordinator Professor, V M Open University

Dr Kshema Prakash
Content Writer Deputy Librarian, IIT Jodhpur

Prof Dinesh K Gupta

Content Reviewer
Associate Professor, V M Open University, Kota

Content Reviewer
 MODULE 25

MOTIVATING EMPLOYEES & USERS

I. Objectives

The Objectives of the unit/module are to:

- Introduce the concept and meaning of motivation;

- Describe different theories of motivation in management literature;
- Bring out practical application of motivational theories in libraries;
- Discuss ways to motivate library employees; and need to motivate users of
libraries.
II. Learning Outcomes
After going through this unit, you would learn the concept and meaning of motivation,
different theories of motivation (content theories, process theories, job characteristics
theories, and environmentally-based reinforcement theories), application of
motivational theories in libraries, ways to motivate library employees, and need to
motivate users of libraries.
III. Structure
1. Introduction
2. Motivation – concept, definition and meaning
3. Theories of motivation
3.1 Content theories: what motivates people?
3.2 Process theories: how does motivation operate?
3.3 Job characteristics theory: how can we make jobs interesting?
3.4 Environmentally-based reinforcement theories: how can we reinforce and
maintain motivation?
4. Leadership and motivation
5. Application of motivational theories in libraries and motivating library employees
6. Motivating library users
7. Summary
8. References
1. Introduction

Organizational effectiveness is largely determined by the quality of the employees and

how the organization develops them. Therefore, it is natural that high performing
organizations try to recruit and retain the right people and provide them with training
and professional development opportunities. However, abilities, skills, personality, and
organizational support alone might not lead to individual’s job performance that
 contributes to overall organizational effectiveness if people are not motivated. It is
possible that some employees choose not to perform even if they have the right
qualifications.

Managers face tough motivational challenges especially in economic downturns and it

seems helpful to know key organizational behavior studies’ findings related to human
motivation. However, the goal is not manipulating and making people do what
managers want them to do, but making people reach their highest job performance
potential and getting them excited to do so.

Employee and user motivation is important in libraries, as in any other organization. In

this module, we will discuss need for motivation in libraries, theories of motivation,
leadership and motivation, application of motivation theories in LIS and motivation of
library employees and users.

2. Motivation – Concept, Definition and Meaning

A individual is motivated when he or she wants to do something. Essentially, a want,

need or requirement can become a motive for a person to perform an action, motivate
him/her to do a job or achieve something. A motive is not quite the same as an
incentive, whereas a person may be inspired or made enthusiastic by an incentive, his
or her main motive for wanting to do something may be fear of punishment. Motivation
covers all the reasons which underlie the way in which a person acts. It is the result of
interaction between an individual and within individuals at different times.

Motivation has been defined as:

- The process used to allocate energy to maximize the satisfaction of needs

(Pritchard and Ashwood).
- A psychological process that gives behavior the purpose and direction
(Kreitner, 1995).
- A predisposition to behave in a purposive manner to achieve specific unmet
needs (Buford, Bedeian, and Linder, 1995).
- An internal drive to satisfy an unsatisfied need (Higgins, 1994).
- The will to achieve (Bedeian, 1993).
- All those inner-striving conditions described as wishes, desires, drives, etc.
(Donnelly, Gibson, and Ivancevich 1995).
- The way urges, aspirations, drives and needs of human beings direct or control
or explain their behavior (Appleby 1994).
- Some driving force within an individual by which they attempts to achieve some
goal in order to fulfil some needs or expectations (Mullins, 1996).
From above, it can be concluded that, motivation is a process that accounts for an
individual’s intensity, direction, and persistence of effort towards attaining a goal. It is a
human psychological characteristic that contributes to a person’s degree of
commitment. It includes the factors that cause, channel, and sustain human behaviour
in a particular committed direction. Motivation and leadership are concurrent and are
inseparable.

From an organizational perspective, motivation is a management process of

influencing people’s behaviour based on this knowledge of “what makes people tick”.
Motivation and motivating both deal with the range of conscious human behaviour
somewhere between two extremes of their reflex actions, and the learned habits. The
following are some basic assumptions about motivation:

- Motivation is commonly assumed to be a good thing.

- Motivation is one of the several factors that go into a person’s performance.
- Motivation is in short supply and in need of periodic replenishment.
- Motivation is a tool with which managers can arrange job relationships in
organizations.

Motivation is the psychological feature that arouses an organism to act towards a

derived goal and elicits, controls, and sustains certain goal directed behaviours. There
are many approaches to motivation, viz. physiological, behavioural, cognitive and
social, etc.

Broadly, motivation can be classified into two types as:

i. Intrinsic/Internal Motivation: Intrinsic motivation is related to motivation that is

driven by an interest in the task itself, and present within the individual rather
than depending upon external pressure. Intrinsic motivation is based on taking
pleasure in an activity rather than doing for a reward. Intrinsic motivation is
defined as the doing of an activity for its inherent satisfactions rather than for
some separable consequence. When intrinsically motivated, a person is moved
to act for the fun or challenge entailed rather than because of external force,
pressures, or rewards.

Although, in one sense, intrinsic motivation exists within individuals, in another

sense intrinsic motivation exists in the relation between individuals and activities.
People are intrinsically motivated for some activities and not all, and not
everyone is intrinsically motivated for any particular task.
 ii. Extrinsic/External Motivation: Extrinsic motivation refers to motivation that
comes from outside an individual. The motivating factors are external, or outside,
rewards such as money or grades, and threat of punishment. These rewards
provide satisfaction and pleasure that the task itself may not provide. Extrinsic
motivation refers to the performance of an activity in order to attain an outcome,
which then contradicts intrinsic motivation.
iii. It is widely believed that motivation performs two functions. The first is often
referred as to the energetic activation component of the motivation construct.
The second is directed at a specific behaviour and makes reference to the
orientation directional component. Competition is in general extrinsic because it
encourages the performer to win and beat others, not simply to enjoy the intrinsic
rewards of the activity. A crowd cheering the individual and trophies are also
extrinsic incentives.
3. Theories of Motivation

There are many motivational theories in management literature. In general, these

theories are divided into the following categories as:

- Content Theories: These theories will have methods for analyzing staff in terms
of ‘needs’.
- Process Theories: They provide insights into what and how people think about
and give meaning to organizational ‘rewards’.
- Job Characteristics Theories: These work around the concept of making the job
interesting to an employee by way of job enrichment, role enlargement, etc.
- Environmentally-based Reinforcement Theories: They deal with guidance about
the way that people learn patterns of behaviour that finally leads to
environmental reinforcements.

Let us look into the details of the above categories.

3.1 Content theories: what motivates people?

The motivation theories that deal with the content of what motivates people are
referred to as content theories or static-content theories as they look at only one point
in time and do not predict behavior. The most well-known theories in this area include
Maslow’s hierarchy of needs, Alderfer’s ERG theory, McClelland’s theory of socially
acquired needs, and Herzberg’s motivator-hygiene theory.

Let us look at Maslow’s and Herzberg’s theories in a little detail.

Maslow’s ‘Hierarchy of Needs’

American motivational psychologist Abraham Maslow’s hierarchy of needs was a
ground breaking motivational theory and is also the most popular and referred
motivational theories in management literature. His article “Theory of Human
Motivation” (1943) became an important source in the field of employee motivation. In
‘A Theory of Motivation’, Maslow tried to establish some sort of hierarchy of pre-
potency in the realm of basic human needs. He classified needs into five categories or
levels, as:

i. Physiological
ii. Safety
iii. Social
iv. Esteem
v. Self-actualization

These needs are incremental in nature from bottom to the top of the pyramid, as
depicted in the figure. This theory helps to understand human nature.

Self
Actualization
(personal growth and
fulfilment)

Esteem
(achievement, status,
responsibility, reputation, etc.)

Social Needs
(family, affection, relationships, work
group, etc.)

Safety Needs
(protection, security, law and order, stability etc.)

Physiological Needs
(basic life needs)

Maslow’s Hierarchy of Needs

Physiological needs: In the physiological needs, Maslow advocated the use of the
word need, basing his case on the notion of physical homeostasis, the body’s natural
effort to sustain a uniform normal state of the blood stream. Not all physiological needs
were homeostatic. Maslow considered physical needs for two reasons as unique
rather than typical of the basic human needs. Firstly they could be considered as
relatively independent of one another and other orders of need. Secondly, in the case
of hunger, thirst and sex, there was a localized physical base for the need.
Physiological needs are the most pre-potent of all needs. Pre-potent means that the
human being who is missing everything in life in an extreme fashion will still tend to
seek satisfaction for his/her physiological needs. At the most basic level, an employee
is motivated to work in order to satisfy basic physiological needs for survival, such as,
having enough money to purchase food.

Safety needs: After the physiological needs are properly satisfied, a new set of needs
emerges for safety of the organisms. So, the next level of need in the hierarchy is
safety, which could be interpreted to mean adequate housing or living in a safe
neighbourhood. It can also relate to physical security. For instance, one can find
sudden reaction in children when there is sudden disturbance, loud noise, flashing
lights, etc. Injustice, unfairness or lack of consistency in the parents’ attitude and
behaviour make a child feel anxious and unsafe. Adults express their safety needs in
employment with security of tenure, pension and insurance schemes, etc. Maslow also
says that the appeal of religions and philosophies, which conduct the universe and the
people in it into some sort of coherent whole, may in part stem from this universal
human need for safety and security.

The next three levels in Maslow's theory relate to intellectual and psycho-emotional
needs such as love and belonging in a social setting, followed by esteem (which refers
to competence and mastery), and finally the highest order need, self-actualization.

Social needs: If the physiological and safety needs are fulfilled, the social needs viz.
the need for love; affection and belongingness emerge as the dominant centre of
motivation. According to Maslow, the awareness that love needs to involve both giving
and receiving love for close personal relationships is essential.

Maslow believed that people will not seek to satisfy a higher level need until their lower
level needs are met. However, there has been little empirical support for the idea that
employees in the workplace strive to meet their needs only in the hierarchical order
propounded by Maslow.

Esteem needs: Maslow divided esteem needs into two subsidiary sets: a) the desire
for strength, achievement, adequacy, mastery, competence, confidence in the face of
 the world, independence and freedom; and b) the desire for reputation, prestige,
status, dominance, recognition, attention, importance and appreciation.

Self-actualization: It can be fulfilled when the individual does what he is fit for. A
musician must make music, a professor must teach, a doctor must treat patients if he
is to be finally at peace with himself. This need we can called as self-actualization. Not
only this, but seeking personal and professional growth in their respective fields, and
deriving a sense of fulfilment in their careers or domains of work are also self-
actualization.

Frederick Herzberg's Two-Factor Theory/Motivator-Hygiene Theory

This theory is also known as intrinsic/extrinsic motivation, concludes that certain

factors in the workplace result in job satisfaction, but if absent, they do not lead to
dissatisfaction but no satisfaction. The factors that motivate people can change over
their lifetime, but "respect for me as a person" is one of the top motivating factors at
any stage of life. He distinguished between ‘Motivators’ and ‘Hygiene Factors’ in the
following manner:

- Motivators give positive satisfaction, for example, challenging work, recognition,

responsibility, etc.; and
- Hygiene factors do not motivate if present, but, if absent, result in demotivation,
for example, status, job security, salary, fringe benefits, etc.

Herzberg’s motivator-hygiene theory is different from other content theories as it

suggested that motivation is composed of two dimensions: 1) hygiene factors or the
conditions surrounding the job and can prevent dissatisfaction; and 2) motivators, or
the factors associated with the work itself and influence employees to grow and
develop. The hygiene factors include such things as salary, supervision, policies,
working conditions, relationship, and job securities. The motivators include promotion,
growth opportunities, responsibility, recognition, and achievement. The main
implication of this theory is that for employees to be truly satisfied and perform above
minimum standards, motivators had to be built into the job.

3.2 Process theories: how does motivation operate?

Although the static-content theories can provide a basic understanding of what

energizes people, they are not sufficient to explain the complex nature of human
motivation as people respond differently to their needs. Factors other than unfulfilled
needs also influence motivation, and various process theories were developed to
explain how motivation operates.
Expectancy Theory: Also known as VIE theory, for an individual to be motivated, it
assumes that motivation is a function of three components:

i. The reward must be valued by the person (valence);

ii. The person must believe that higher performance will result in greater rewards
(instrumentality); and

iii. That additional effort will lead to higher performance (expectancy).

For example, if an employee perceives that high performance might not be achieved
even after hours of effort due to lack of skills or self- efficacy, even if he or she desires
promotion, the person might not feel motivated enough to achieve the goal. Therefore,
providing appropriate training, clarifying expectations, and providing guidance are
important to strengthen this effort-performance link. Another example might be that, if
an individual believes that rewards might be given to people with higher seniority
regardless of their performance, getting the reward might be perceived as unlikely for
junior staff, thus undermining the person’s motivation to perform. Finally, if an
employee can perform well but does not value the reward provided, e.g., a gift
certificate to a restaurant that the person does not care for, the person is likely to be
less motivated.

Goal-setting theory: This is another process theory and suggests the idea that setting
goals can be a cause of high performance. Locke argued that a person’s conscious
intentions (goals) are the primary determinants of task-related motivation. Therefore,
managers should:

i. Set specific goals;

ii. Make goals sufficiently difficult (but not too difficult);

iii. Involve employees in goal setting to ensure commitment;

iv. Provide feedback; and

v. Link goal accomplishment with rewards that are valued by the employee.

This theory can be applied in various library tasks. For example, instead of asking
employees to do their best in enhancing information fluency, the goal might be
“implementing information fluency programs in at least 10 courses next semester.” To
gain goal commitment, it will be important for managers to provide clear direction and
guidance to employees in addition to building their self-efficacy.

Organizational Justice Theories: They suggest that people’s perception of fairness

within the organization regarding how and what decisions are made about the
 distribution of outcomes affects motivation. Justice theories are important given the
current economy where many organizations have been forced to lay off people.
Questions such as “Are we restructuring our organization in a fair manner?” and “Were
the layoffs perceived as fair by employees ?” are important for managers. The
outcomes of justice perceptions can have an economic impact on the organization
such as absenteeism, withdrawal, theft, sabotage, or even lawsuits against employers.

Justice theories consider both procedural justice and distributive justice. Distributive
justice theory is also referred to as equity theory and suggests that people compare
the ratio of their inputs (effort) and outcomes (rewards) to the input-outcome ratios of
other comparable individuals.

Equity Theory: The research on equity theory is also more definitive on the reactions of
people who perceive that they are under-rewarded. If an individual views a relationship
as unequal, an attempt will be made to restore equality either by trying to gain greater
rewards or by putting forth less effort. For example, if an employee feels that everyone
gets promoted at the same rate regardless of their amount of inputs, he or she who
feels under-rewarded might reduce the amount of the effort. At the same time, the
employee will not think it is unfair if another employee who contributes more to the
organization receives more reward.

Process Theories verify the way people think about work and goals which motivate
them to work to their maximum potential. Needs are one of those factors that come
close to develop certain types of work behaviour. One important aspect of process
theory is expectancy which relates to in a particular behaviour pattern. Another factor
in process theory is valence. Valence is the strength of an employee’s desire for a
particular outcome.

3.3 Job characteristics theory: How can we make jobs interesting?

Job design and job enrichment also affect human motivation and it will be helpful to
know the characteristics that make jobs interesting. The job characteristics model
developed by Hackman and Oldham identified five core job dimensions that should be
enriched when jobs are re-designed:

i. Skill variety - the degree to which a job requires a variety of activities that
draw on different skills and talents of the employee.

ii. Task identity - the degree to which the job requires completion of a task, from
beginning to end.

iii. Task significance - the degree to which the job has a significant impact on the
 lives of other people.

iv. Autonomy - the degree to which the job provides substantial freedom,
independence, and discretion to the individual in scheduling work and
determining the procedures to be used.

v. Feedback - the degree to which workers are provided with direct and clear
information about their performance.

As the core dimensions are enhanced, the job characteristics model posits that they
influence three critical psychological states:

a) experienced meaningfulness of work, which is increased by skill variety, task

identity, and task significance;

b) experienced responsibility for work outcomes, which is enhanced by

autonomy; and

c) knowledge of results, which is provided by effective feedback mechanisms.

Hackman and Oldham through their extensive research, tested the job characteristics
model and developed the Motivating Potential Score (MPS), a measure of the degree
to which the above conditions are met. They found out that the jobs that are high in the
five core dimensions lead to critical psychological states as hypothesized, and resulted
in high motivation, high performance, high job satisfaction, low absenteeism, and low
turnover.

Motivating Potential Score:

)
MPS = Skill Variety + Task Identity + Task x Autonomy x
( Significance Feed
back
3

From the above formula, it is clear that a near-zero score of a job on either autonomy
or feedback will result in the overall MPS to the near-zero. It implies that if an
employee does not have much autonomy or feedback, the person’s motivation will be
very low. Therefore, it is important to provide employees with sufficient freedom and
independence and establish appropriate feedback channels so that the employee will
hear directly from the users of his or her service. For example, providing credits to
individuals rather than to the department when preparing pathfinders, instruction
handouts, or other documents will provide opportunities for those employees involved
to receive direct feedback from library users and establish client relationships with
 them. In addition, open lines of communication between employees and managers
need to be incorporated into the workplace culture. The more people know how well
they are doing, the better equipped they are to take appropriate corrective action.

In terms of increasing autonomy, the first step will be to hire people who can do their
jobs properly without close supervision. Secondly, the individuals will need to be
trained to do their jobs effectively. Finally, it should be clear that high-quality
performance is expected. Loading jobs vertically by giving employees greater
responsibility for their jobs and allowing them to make their own decisions, instead of
micro-managing, increase the level of autonomy and sense of accountability that
results in higher motivation. At the same time, employees should not be given a great
deal of autonomy in any organization where marginal work tends to be accepted
without question. Autonomy will work only when everyone involved buys into the
importance of performing at a high level. One approach in increasing autonomy might
be to ask employees what goals they want to accomplish and what resources or
support is needed as self-setting goals are naturally self-committed.

It is important to note that the job characteristics model recognizes the limitation that
not everyone wants and benefits from enriched jobs and that people with a high need
for personal growth benefit the most. In that sense, it will be essential for managers to
hire people who are interested in growing professionally in the work instead of people
who are attracted to the work because of work conditions or benefits.

3.4 Environmentally-based reinforcement theories: how can we reinforce and

maintain motivation?

Let us now examine some of the ways in which motivation can be sustained. If we are
rewarded for behaving in a certain way, we begin to make the connection between the
behavior and the reward and continue to engage in the behavior. As B.F. Skinner’s
Operant Conditioning Theory explains, behaviors with positive consequences are
strengthened and acquired, and behaviors with negative consequences are eliminated.
The positive consequences, such as recognition and reward, need to be tied directly to
desired behaviors and be given immediately and continuously so that the connection
between behavior and the reinforcer is established. For example, staff recognition
needs to be provided with an explanation of desirable behavior. It should also be
repeated if the staff continues to improve the work instead of choosing different
employees to be rewarded when in fact the same employee performed the best.
Additionally, rewards need to be distributed consistently so that recognition of good
work will become part of the organizational culture.
 It is also important to know what you are rewarding. For example, if you reward
someone because she or he answered the largest number of reference questions, the
employee and possibly others might try to enhance the number of reference questions
instead of focusing on the quality of the service and other ways that reference service
can be improved. As social learning theory suggests, people acquire new behaviors by
observing the rewards and punishments given to others. If you want to increase
teamwork but continue distributing rewards according to individual performance only,
your desired outcome, i.e., teamwork will not be reinforced. In addition, if an individual
performs fine in one area but not so in another, the explanation for the reward needs to
be very clear so that the desirable behavior is strengthened while the undesirable
behavior is not.

When providing rewards, it will be helpful to know the difference between extrinsic and
intrinsic rewards. Extrinsic rewards are contrived and some of them incur direct cost.
They include such things as promotion, monetary reward, gifts, and bonuses. Intrinsic
rewards involve no direct cost, and the examples include compliments, public
recognition, opportunities, and a smile. Thus, intrinsic rewards are closely related to
the work itself and are motivators in the context of Herzberg’s motivator. Therefore,
intrinsic motivation is synonymous with a desire to work hard solely for the pleasure of
task accomplishment. On the other hand, extrinsic motivation encourages us to
complete the task to receive the reward. In other words, rewards motivate people to
get rewards. Luthans and Stajkovic’s research implies that the feedback and social
reinforcers, such as recognition and attention, may have as strong an impact on
performance as pay. Their research also indicates that extrinsic rewards can
undermine an individual’s intrinsic motivation. However, this is not to suggest that
extrinsic incentives are unimportant. Good pay, benefits, and good working conditions
are often significant factors to attract and retain best people and cannot be ignored.

4. Leadership and Motivation

“Leadership and motivation are like brother and sister”, says John Adair. It is difficult to
think of a leader who does not motivate others. When managing a team of people, the
adopted leadership style should meet each person's needs. In general, there are four
types of approaches:

- Directing
- Coaching
- Supporting
- Delegating
Depending on the level of employee's competence and commitment, the right choice
has to be made. When a directly reporting subordinate is learning new skills, be
directive. Define tasks clearly and check progress to make sure he is not faltering.
Periodic coaching can be used when an employee is learning new skills but needs the
freedom to make mistakes and learn from them. Supporting and encouraging highly
competent employees who lack confidence, is also one of the leadership desirables.
Tasks should be delegated to employees who are both highly motivated and
experienced.

In all cases, a good leader’s responsibility is to strike a perfect balance between hand-
holding and empowering. However, as John Adair writes, from the Fifty-Fifty Rule it
follows that the extent to which anyone else can be motivated is limited, for 50 percent
of the cards are, so to speak, in their hands. A leader is a key factor in the environment
but his power is limited. Adair sums up the principles or rules of motivation under eight
headings, what a manager/leader can do to motivate his team. How a leader applies
them will clearly depend upon the situation. But they stand as pillars of
encouragement, both inviting the manager to take up the responsibility as a leader for
inspiring others and pointing the manager/leader in the right direction. These are:

1. Be motivated yourself;
2. Select people who are highly motivated;
3. Treat each person as an individual;
4. Set realistic and challenging targets;
5. Remember that progress motivates;
6. Create a motivating environment;
7. Provide fair rewards; and
8. Give recognition.

Sometimes the leader also has to assess if it is worthwhile to practise participative

management style and keep the working teams small in order to have accountability
for the responsibility and job allocated to the team members.

Also, the leader has to keep in mind that people’s behaviour changes if they are
stressed. Personal problems are sometimes hard to leave at home; a person may be
ill; or the service may be going through a period of change. This is likely to be
witnessed by immediate work colleagues and then seniors, but it is a managerial
responsibility to enquire into unusual behaviour patterns. Among the signs are:
volatility, defensiveness, withdrawing, impulsiveness, approval dependence, and
eccentricity.
 Flexibility is the key word in a good motivation system. No two people are alike, and
human behaviour is too complex for anyone to achieve long-term success as a team
manager if he relies on rules, formulas or a single system for handling every person
and problem. In essence, good supervision requires situational thinking. If managers
treat staff members as they wish to be treated, there will be very few motivational
problems in the team. A highly motivated staff member provides quality service, makes
positive contributions to planning and decision making and accepts change and
delegation more readily. The ability to motivate colleagues is an attribute required as a
team manager.

5. Application of Motivational Theories in Libraries and Motivating Library

Employees

Need theories can be used to satisfy employees’ physical and psychological needs
and hopefully to motivate them by enhancing their sense of self-esteem and self-
actualization. Various practical aspects and application of Maslow’s Hierarchy of
Needs in libraries is indicated in Table 1.

Table 1: Maslow’s Hierarchy of Needs and Application in Libraries

Level Needs Examples in the Academic Library Workplace
1 Physiological • Clean Air
• Enough work space
• Ergonomically-designed workstations
• Appropriate lighting
• Appropriate temperature
• Convenient and reasonable foodservice and
essential facilities
• Ambient workplace settings
2 Security • Safe workplace
• Stable wages and salaries
• Job security
• Health insurance
• Retirement benefits
3 Social Affiliation • Employee social activities
• Teamwork
• Friendship
• Sense of belonging
• Affection
4 Self-esteem • Recognition
• Awards
• Prestige
• Career advancement
• Autonomy
 5 Self- • Well-being of others
actualization • Accepting self
• Meaningful work
• Sense of job fulfillment
Hygiene-Motivator Theory makes us realize that job conditions such as pay and
benefits alone might not motivate people. Therefore, it will be important for managers
to provide motivators such as growth opportunities, sense of responsibility and
accomplishment, and recognition as well as providing good working conditions.

Expectancy Theory suggests that managers need to provide rewards that are valued
by their employees and that the employees need to feel they can achieve their goals
and high-performance will result in the reward. Goals need to be specific, sufficiently
difficult, accepted by the employee, and self-set if possible so that the employee
becomes naturally committed. In addition, process and reward distribution needs to be
fair to enhance trust, job performance, and motivation.

It has been seen in previous sections above that characteristics of jobs affect human
motivation. Jobs with a variety of activities, task identity, task significance, autonomy,
and feedback mechanisms tend to increase motivation. Autonomy does not mean that
employees can do whatever they want; instead, it involves hiring the right people, pro-
viding training, explaining that high-performance is expected, enriching jobs, providing
respect and independence, and rewarding appropriately. Direct feedback channels
should be established between service users and the employees who contributed to
the work as well as between the employees and their supervisors. Providing
appropriate credits to work is important so that “thank you” notes and other feedback
arrive to the people who were involved.

Rewarding excellent work is essential to reinforce and maintain employee motivation.

Intrinsic rewards such as compliments, public recognition, professional and
opportunities are motivators according to the content theory and can be as effective
as extrinsic rewards such as monetary reward and gifts, which might motivate
employees to win the reward rather than to focus on the work itself. Nevertheless,
extrinsic rewards encourage risk taking and for people to do extraordinary things and
cannot be ignored. At the same time, it will be important for managers to be mindful of
those employees who get disappointed when their effort does not lead to rewards.
Distributing rewards consistently instead of providing them only when accomplishment
is visible will help strengthen trust within the organization.

Although most theories were tested in corporate settings, it appears they are also
applicable in academic or non-profit making workplaces. Peter Drucker wrote that
 “Non-profits need management precisely because they don’t have a bottom line” and
argued that non-profit organizations often end up becoming pioneers in the most
crucial area—the motivation and productivity of knowledge workers—as non-profits
start with the mission, which business will have to learn from them. It seems that the
key for the successful management is to clarify the mission of the organization, hire
people who have the right skills and agree with the mission, set goals, provide
development opportunities, explain accountability, build trust through fair process, give
autonomy and feedback, and provide appropriate rewards. Service excellence can be
achieved even in times of budget constraints.

Libraries are non-profitable, labour intensive service organizations where people are
served by the people. One of the prevalent challenges that libraries are facing is how
to motivate library staff to get competitive advantage. The paraprofessional staff are
the chief agents in customer service and frequently act as the interface with the
customer. Consequently, their motivation is crucial in determining the quality of this
interface. The performance of paraprofessional staff determines to a large extent the
quality of the customer satisfaction and has a significant impact on the contribution that
libraries can make to their communities.

Finally, based on extensive research as in literature contributed by many researchers

in the field of library and information services, the chief motivators in a service oriented
set up like libraries have emerged as the following:

- Opportunity to learn new skills and groom;

- Opportunity for career development; and
- Having authority and responsibility in the positions they hold.

By implementing the above, library leaders can have a motivated work force who can
contribute a lot to their libraries and their organizations.

6. Motivating Library Users

Much has been discussed about motivating the library employees. Not much is
covered in the library literature about motivating the users in this overtly digital
dominated era. What could motivate the users to visit the libraries for fulfilling their
information needs has become an insurmountable challenge.

Customer Service: As non-profit making and customer-serving units, the first and
foremost factor that comes into account is the quality of customer services provided by
the libraries to their patrons. Evolving technology and trends toward user self-service
activities have changed the library patron’s experience. But most librarians are quick to
point out that, despite these changes, libraries (and their users) still require front-line
human interaction provided by circulation or access services employees. Front-line
employees are the library’s foremost representatives. Whether librarians,
paraprofessionals, temporary employees or security guards, these workers are usually
the first faces patrons see on entering the library and the last they see on leaving.
Because of the visibility of these front line employees, it is crucial that these public
ambassadors are motivated. Their treatment of users determines whether the
atmosphere of the library is warm and friendly, or distant and aloof. Moreover, access
services employees, e.g., user services librarian, technical services librarian or
reference services librarian, provide services daily to users of varying ages, intellectual
abilities, cultural backgrounds, ethnicities and economic status. Thus, every effort
should be made to ensure that staff remains motivated in order to handle the
challenges of such a dynamic and at oftentimes stressful environment.

Latest Technology: Users are attracted to libraries when the libraries are armed with
the most update technological services. It becomes imperative for libraries to provide
access to digital technologies, gadgets, and collections with relevant tools at their
disposal.

Facilities and Ambience: Provision of essential facilities and ambient atmosphere to

read in solitude as well as to conduct group study or discussion will add value to library
from a user’s point of view. Library directors or leaders can take care of such factors
by involving themselves with builders and interior designers in their building related
work.

Collection relevancy and currency: It is a fundamental duty of a librarian to have a

properly framed collection development policy in implementation in order to ensure
that the collection of library remains relevant and current to the areas of interest to the
users and the organization at large. The librarian can develop and implement a policy
and update the same from time to time depending upon the changes in the
organizational mission and user requirements.

Balanced approach: Today’s users are tech-savvy and smart. They require peaceful
reading spaces as well as group work spaces in library. They are trained for self-
service activities and also expect warm and receptive human-mediated front-line
assistance from library. Libraries, be it academic, research or public, in general
witness a wide variety of visitors including the students, working class like faculties,
researchers, and much learned folk too. Each one’s requirement and information
seeking behaviour is different than the other. Hence, it becomes all the more important
 for a librarian to strike a proper balance between imposing library rules and
regulations, and allowing flexibility in services.

7. Summary

Motivation is the psychological feature that arouses an individual to action toward a

derived goal and elicits, controls, and sustains certain goal directed behaviours.
Motivation is a tool with which managers can arrange job relationships in
organizations. While all employees require being motivated at some point of time,
though at variable degrees, we should remember that a leader is also an employee.
The difference between them, i.e., employees and leader/rather the characteristic that
differentiates a leader from employees is the degree of/level of self-
motivation/motivatedness they display.

Motivating teams give optimum performance which requires that they share
enthusiasm, values and commitment with seniors. The manager of a team shall make
a regular assessment of their output and in this working environment, the team can be
empowered to take decisions to a prescribed level, having received initial training and
continuing coaching to meet the set goals.

8. References
1. Adair, J. (2011). Leadership and Motivation. New Delhi, Kogan Page.
2. Evans, G.E. and Ward, P.L. (2007). Management Basics for Information
Professionals, 2nd Ed. New York, Neal-Schuman Publishers.
3. Harvard Business Review. www.hbr.org.
4. Robbins, S. et al. (2009). Organizational Behavior, 13th Ed. New Delhi, Dorling
Kindersley (India) Pvt. Ltd.