Library

Answers to questions should completely address the questions while remaining as concise as possible. Points are assigned to questions 2-5. Each response should be numbered in the same order as listed below. Answers should be single-spaced in 12 point font on one side of paper. Attach your answers to the questions between pages 1 and 3 of the application form. Do not use special covers or binders.

1. Abstract. Provide a brief abstract of no more than 200 words. It should include purpose, identified target audience, and intended results only. 0 Points

Demands for assessment and accountability are increasing in all public agencies, and libraries are no exception. Libraries must assess and improve services, indicate outcomes, and show value. The purpose of this statewide project is to provide a framework for continuous library assessment and improvement.

A series of linked workshops at three locations across New York State will focus on service assessment and continuous improvement for teams from academic, public, and special libraries. Participants will learn assessment and outcomes-based evaluation tools, and use homework assignments between sessions to try these tools on specific library services. Participants will implement assessment and improvement tools and will provide models of their use in improved processes and services.

Key objectives are:

· Develop the “aim” of the library, including shared mission, vision, and values.

· Identify key success factors, key processes, outcomes, and methods for assessing progress and impact.

· Practice using a variety of simple, engaging new tools for decision-making and assessment, and understand when they are most appropriately used.

· Incorporate the tools into ongoing work processes at participating libraries to improve services.

The South Central Regional Library Council (SCRLC) will coordinate the activities of the project on behalf of, and with the help of, the nine NY3Rs.

2. Need Points

a. Define the need for this project. Explain the needs assessment process. 10

Demands for assessment and accountability are increasing in all libraries. Funding agencies and administrations want to know what they are getting for their money, that a library is meeting the needs of its users, and that funds are used effectively. Return on investment is no longer a term used only in the corporate world – it is increasingly used in the not-for-profit arena, and is becoming a familiar term to library staff.

The following needs will be met by this project:

Academic libraries have requested a follow up to the LibQUAL+™ assessment process carried out in New York in 2002/2003. Now that they have the results, what do they do next?
Libraries need to demonstrate to funding agencies and administrations outcomes and/or the impact of services they provide.

Libraries need models for evaluating plans, services, and projects more effectively.
Libraries need practical training in the tools and the integration of continuous assessment and improvement processes into daily activities.

Libraries need specific information on determining their “value added” to the particular community served.
Libraries need to learn how to identify key success factors in improved customer service.
Libraries need to learn how improved processes can improve outcomes.
Libraries need to learn techniques leading to rapid cycle improvements to establish the culture of continuous improvement within their staffs.

These needs have been identified from a number of sources:

Discussion among the nine NY3Rs directors based on information gathered through their close ties with their member libraries.
In many venues[1], academic libraries have noted their concerns about meeting the requirements of the new Middle States[2] accrediting process, which now incorporates intensive assessment of services. The statewide LSTA project sponsored by the NY3Rs to use the Association of Research Libraries LIBQual+™ service assessment tool[3] came out of these discussions in 2002. As libraries have implemented the survey, and are beginning to receive some of the results, they now indicate a need to develop plans to improve the problematic services identified in the survey.
Libraries have indicated a need to continue assessing needs, but not necessarily through continuation of the LIBQual+™ process which is time consuming, expensive, and not generally appropriate for annual use.[4]
Within SUNY, there is an assessment initiative leading to the development of the General Education Assessment Review Group (GEAR)[5]. This initiative is in response to a need to be accountable to accrediting bodies, students and parents, colleagues, and the public at large.
A number of programs are attempting to address these issues, confirming the existence of the need:

In New York, public libraries are embarking on a series of statewide activities related to the Public Library Association Planning for Results process (Facilitation for Results, Managing for Results, Policies for Results etc.).
ARL is now beginning to plan a set of follow up workshops to the use of the LIBQual+™ instrument[6]
The ALA LAMA division will present a one-day workshop on gathering and using assessment data at the ALA Conference in Toronto, 2003.[7]
At the ALA Conference in Toronto, there will also be a session on building an assessment of culture in libraries.[8]

The many letters of support for the proposed project indicate a need to build on the results and the experiences of the NYS LIBQual [JC1] +™ project by using more detailed methods and targeting specific areas for improvement. See attached letters.

Libraries are looking for more specific and more subtle tools that can be used by all staff on a continuous basis in small but effective assessment and improvement steps. The proposed project

will address this topic in depth, with a range of techniques and tools, and the ability to practice and implement these for immediate feedback.

b. Explain how the project relates to the goals, activities, and intended results of the system

Plan of Service or the central library long-range plan. 5

As the coordinating agent for this project, the SCRLC Plan of Service is referenced below. However, all the NY3Rs have similar goals and activities such as: provision of education and training opportunities, helping libraries add value to their services, cooperative efforts with other organizations, responding to members’ needs, responding in a timely fashion to topics of immediate importance, and helping members improve services to their library users.

A key strategic intention of SCRLC is to Develop well trained, flexible, creative library staff who are able to manage rapid change through Council sponsored education and training opportunities. Activities in this strategy include provision of education in future trends, education in the practical, just-in-time, need-it-now issues, and seeking opportunities to cooperate and collaborate with others. Outcomes from these activities will include high quality, relevant training at times and places that meet library staff needs.

The planned project meets this strategy, activities, and outcomes because it will provide specific training in three issues that have become of immediate concern to all types of libraries – assessment, improvement, and outcomes based evaluation. It will also provide a project that will ultimately benefit library users with improved library services: information access, customer service, collections, facilities, and technologies.

A second key strategic intention is that Members will receive innovative consulting and customer services to meet their individual needs. Activities in this strategy include seeking funding for regional projects, and partnering with other library organizations to meet our mission to improve library service in the region. A key outcome is that libraries will receive relevant and useful advice, referrals, and consulting to meet their needs.

The planned project meets this strategy, activities, and outcomes because it will provide training in a format that will have lasting impact – a series of workshops with homework assignments to ensure that what is learned is implemented. It will also train staff in techniques that can be integrated into the daily work processes.

A third key strategic intention is that Members will receive enhanced recognition and status in their community as a result of regional advocacy. Activities in this strategy include providing leadership in helping regional libraries redefine their roles and services in the new information age. A major outcome is that libraries will get increased funding and publicity.

The planned project meets this strategy, activities, and outcomes because it will provide training in tools that will improve library services and thus benefit the library in improved publicity, funding, and community support.

A fourth key strategy is Cooperative efforts with other library systems. Activities in this strategy include partnering with other professional organizations such as the NY3Rs and cooperating to provide value-added services to regional libraries. Major outcomes will be

that library services will be enhanced and SCRLC (and the NY3Rs) will have a leadership position that enhances services to libraries.

The planned project meets this strategy, activities, and outcomes because it will offer a collaborative activity that makes effective use of limited resources in a statewide project meeting needs of many types of libraries.

3. Project Purpose

a. What is the purpose or goal of the project? 10

The purpose of the project is to provide a framework for assessment and improvement activities, and to introduce and practice a set of tools that enable staff of member libraries to clarify their mission, vision, and values, and to identify outcomes that clearly demonstrate their value.

Key objectives are:

· Develop the “aim” of the library, including shared mission, vision, and values

· Identify key success factors, key processes, outcomes and methods for assessing progress and impact

· Practice using a variety of simple, engaging new tools for decision-making and assessment, and to understand when they are most appropriately used.

· Incorporate the tools into ongoing work processes to improve services at each participating library

· Be able to use Outcomes-Based Evaluation to improve advocacy efforts.

b. Who will benefit from the project services or products? What are the intended outcomes

for users? (Note that the target population must be a subgroup of the total served or chartered service

population within a library system.) 10

Target Audience:

The key target audience for this project will be those libraries (academic and large research public libraries) which participated in the NY3Rs sponsored LibQUAL+™ project in 2002/2003, including the New York State Library. These libraries have already indicated a commitment to assessing their services with a view to improvement. They can be expected to want to expand their knowledge of assessment and improvement techniques, and to continue a culture of assessment begun in 2002.

In addition, other libraries and library systems will be encouraged to participate. These could include additional academic and large research public libraries, public and school library systems and any of their members. Other possible participants might be those with an interest in replicating this model when the project is finished. And, of course, staff of the nine NY3Rs will be encouraged to participate.

A total of 135 participants can be accommodated representing teams of three from 45 libraries with 45 participants at each workshop location.

Participant Requirements:

· The project is based on teams of 2-3 people from a library or library consortium participating in a complete series of workshops. One member of the team should be the Director, and others of the team should be leaders in the library staff with credibility across the whole library, or those with significant ability to implement assessment and improvement tools.

· The library teams will have homework assignments between workshop sessions.

· The project requires attendance at eight workshops to be held in five sessions. There will be two one-day sessions and three two-day sessions held over a period of eight months.

· This significant time requirement indicates an associated significant commitment to the activities and outcomes of the workshops.

· Participants can attend the sessions in one of three locations in the state: Rochester, Albany, and New York City.

Intended Outcomes:

Participants will obtain several valuable results from the workshop series.

They will ensure that their mission, vision, values, and goals are relevant.
They will receive and learn to use a variety of tools that can be used as appropriate in their libraries, to assess user needs, and to help implement service improvements.
Networking with other participants over eight sessions will provide a support group that can be accessed during and after the project. This networking will be enhanced by the use of an ongoing discussion list for participants.
As the assessment and improvement tools are implemented, significant service improvements will result. Users should notice improved service.
Library staff will develop a shared sense of purpose leading to improved teamwork.
There will be noticeable improvements in library processes which save time, reduce errors, and improve customer satisfaction.

4. Project Implementation

a. Describe the project activities including what will be done and by whom (partners,

collaborators) and the evaluation steps during the project. 15

Introduction:

SCRLC will contract with a consultant/presenter to provide the continuous improvement project. The project consists of eight full days of learning at about six-week intervals. Teams of up to three people from at least 45 libraries will attend all eight days; the teams will be made up of significant leaders in each library, with one of the team members being the Director. Libraries must be committed to the process as indicated by the type of participating staff, their time commitment, and their willingness to follow through on the implementation work required between sessions. Each workshop will introduce various parts of the continuous assessment process, and participants will be required to further develop the process, practice techniques, and implement tools as homework between the sessions:

Session 1: (1 day) Overview of systems thinking, change theory

Session 2: (2 days) Mission, vision, values, and measures

Session 3: (2 days) Key success factors, key processes, and process mastering

Session 4: (2 days) Data-driven continuous improvement tools and rapid cycle improvement

Session 5: (1 day) Leadership and staff development for continuous improvement.

The proposed format and content of this project is based on extensive discussions with Sara Laughlin and Associates9.

Partnerships:

This project has been developed on behalf of nine regional library councils in New York (NY3Rs), and with planning input from them. It continues a partnership that has supported other statewide

activities such as the HEA Title II project on Internet access for academic libraries, the IMLS supported project on EmpireCat (planning for a statewide virtual catalog), education and training programs on Z39.50, the ARL Creating a Culture of Assessment workshop, four Biennial Conferences for Academic Library Directors, and the LSTA supported LIBQual+™ service assessment survey. This current proposal is designed in particular to complement the previous efforts on assessment, which began in 2002. See NY3Rs list with the letters of support.

Project Activities:

Activity: LSTA Guidelines necessitate a Request for Proposals (RFP) to identify a consultant/presenter for the series. The project activities proposed in this application are based on initiatives developed by Sara Laughlin & Associates[9] in Indiana, to introduce continuous improvement as developed in the business world and re-engineered for libraries. This initiative offers a proven model for continuous improvement for libraries. Respondents to the RFP will be required to provide workshop content and activities related to the continuous improvement model as outlined in this application and Appendix 1.

Implementation: The RFP will be advertised in the summer of 2003 (noting the project is contingent on funding) by SCRLC. All NY3Rs will publicize the RFP in state and national venues, and SCRLC will select a presenter.

Evaluation: SCRLC will develop criteria for judging the responses to the RFP based on this proposal with an appropriate workshop presenter(s) to be chosen to begin implementing the project in October 2003. The workshops will be held in 2004. A draft RFP and criteria are attached in Appendix 2 and a draft contract with the chosen presenters is found in Appendix 3.

Activity: A series of eight workshops will be repeated in three locations in New York State (New York City, Albany, Rochester). The workshops will be in five sessions: Workshops 1 and 8 will be one day each and 2/3,4/5,6/7 will be paired in three two-day sessions. The presenter will offer a total of 24 workshops over an eight-month period from January – August of 2004. Libraries and library systems will be invited to send teams of 2 to 3 people to participate in the complete series. Each workshop will have a maximum of 45 participants for a total number of 135 being accommodated across the state.

The workshops will be a mix of presentations, engaging activities, time to practice and plan, and coaching. Participants will have homework assignments between sessions, in which each team identifies and works on its own issues and questions. The results become incorporated into the next session. The content of the workshops will be modeled on those of Sara Laughlin and Associates as found in Appendix 1. This content will involve:

Overview of systems thinking: reviewing the vision and mission.
Rubrics for self-assessment and goal-setting
Library measures: useful tools and techniques.
Key success factors and key processes: what we are measuring and how we know we are successful.
Mastering key processes: creating uniform, effective procedures.
Data-driven continuous improvement tools.
Rapid cycle improvement: improvement in many, fast, small steps.
Leading and sustaining continuous improvement: integrating the techniques into daily work processes and staff thinking.

Implementation: SCRLC will plan the workshops in conjunction with the workshop presenters and the NY3RS in each of the three locations. Management of the logistics for each workshop series will be carried out by SCRLC and the local NY3Rs. All NY3Rs will help with publicizing the workshop series and recruiting participants.

Evaluation: A successful outcome will be that each workshop series in each location will be fully subscribed, all registered participants will attend all sessions, and each workshop will be successfully held with no logistical problems. The content and homework assignments will successfully meet the detailed outcomes noted below. If problems occur at any time, the issue will be identified and the solution incorporated into planning for future activities to ensure success. See below for further information on detailed evaluations.

Activity: Additional components of the workshop project will include an online discussion group formed to include all statewide participants. All participants will receive books, information binders, and other media containing the tools.

Implementation: SCRLC will establish an online discussion group improvement-l@lakenet.org and will manage the list. All participants will be encouraged to use this list during and after the workshop series to ask for help, get ideas from the presenters or other participants, to talk about their successes or failures, and/or to network with their colleagues. The NY3Rs will be encouraged to participate in the discussion list. SCRLC and the presenter will develop three-ring binders with handouts and other media for each participant, and SCRLC will purchase the necessary books.[10]

Evaluation: Development and use of the discussion list will be monitored to ensure it has value for the participants. With permission of the participants, selected emails will be used as part of the final evaluations. The various handouts will be reviewed with participants for use and value, and modifications made as necessary.

Activity: Evaluations and other follow-up activities will be carried out between each workshop and at the end of the series. These are detailed below.

Implementation: Workshop participants will complete the evaluations and assignments as requested. SCRLC and the other NY3Rs will collate the evaluations as needed for reports. The presenters will use ongoing evaluations to incorporate modifications and examples in future sessions.

Evaluation: Evaluations will indicate the outcomes of the workshops were successful, and that participants learned, and successfully used, the tools and techniques of continuous assessment and continuous improvement. Service improvements identifiable by library users will be the ultimate successful evaluative outcome. See below for time-line and #5 below for details of the evaluation activities.

Activity: A final report will be submitted incorporating all handouts, evaluations, etc. Implementation: SCRLC will collate all information, with the help of all NY3Rs and the presenters, and write and submit the report.

Evaluation: A complete report, indicating a very successful series of valuable workshops with excellent outcomes, will be submitted on time.

Activity: An additional evaluation will be carried out after the report is submitted. The NY3Rs will contact directors of participating institutions to collect information about changes implemented as a result of this program. This information will be compiled and sent early in 2005.

Implementation: SCRLC and the NY3Rs will collate the information, and write and submit this follow-up report.

Evaluation: A follow-up report will be submitted which demonstrates the impact of this project on ongoing work processes and services at the participating libraries.

Provide a monthly timeline for the activities including evaluation steps and

Identification of those responsible for evaluation 10

Timeline:

*Date*	*Activity*	*Responsibility*
2002-2003	Gathered information about the need continuous assessment and improvement in libraries.	NY3Rs
Summer 2003	Develop RFP and selection criteria.	SCRLC
July, 2003	Announce RFP.	SCRLC, NY3Rs
September, 2003	Finalize letters of agreement. Begin planning workshop details.	SCRLC, NY3Rs, Presenters
October, 2003	Announce workshop series. Substantial publicity via email and print.	NY3Rs
Oct– Dec, 2003	Accept registrations. Participants complete the initial ASK survey. Continue workshop planning including logistics of workshops. Purchase books, develop media, print handouts, develop participant binders. Develop evaluative materials.	SCRLC, NY3Rs, Presenters
January, 2004	Workshop one: System thinking. On-site evaluation at end. Make any modifications needed.	SCRLC, NY3Rs Presenters
March, 2004	Workshops two/three: Mission, vision, values, and measures. On-site evaluation at end. Make any modifications needed.	SCRLC, NY3Rs Presenters
May, 2004

Library Services and Technology Act		For LD Use Only Alpha Code C P R S
		Project # 0070 - 04 -
		Copy #
GRANT APPLICATION - FY 2004
One of the three copies of each application and related forms must contain original signatures. Please check here if this set contains all ORIGINAL SIGNATURES ( )
System/Library Name: South Central Regional Library Council
Project Title: Continuous Improvement for Libraries : A series of workshops on continuous assessment and improvement.
Project Director's Name: Jean Currie	Telephone # (607) 273-9106 Email address: jcurrie@lakenet.org
System/Library Director's Name: Jean Currie	Telephone # ( 607) 273-9106 Email address: jcurrie@lakenet.org
LSTA Funds Requested: $ 75,000	In-Kind Contribution: $150,150 Matching Funds $
Number of *users* you anticipate serving (not a population figure): 135
Please identify ( 3) *all* of the *user groups* you expect to serve through this project: ( )Children ( )Youth (X )Adults ( )Elderly ( )Mixed ( )Other
Congressional District(s) Within Area to be Served by Project: (List by number -- See Congressional Districts List) 20,22,24,29

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