A Time For Something New: One Library’s Experience in Consortia Involvement

by

Joyce Van Scheik, Librarian
Canadian University College

All, all of a piece throughout:
Thy chase had a beast in view;
Thy wars brought nothing about;
Thy lovers were all untrue.
‘Tis well an old age is out,
And time to begin a new.

The events that propelled 17th century poet John Dryden toward new beginnings may have been of a different sort, but in some ways were not unlike those we faced five years ago in 1996:

1. Government accreditation was under review; our collections in several areas needed strengthening.
2. As our current system MultiILIS was no longer being supported by its parent company DRA, a new integrated library system was needed.
3. The nearest high-speed communication line was 20 miles away; connectivity had to be addressed. (This was not just a library problem, but a problem for the whole campus.)
4. The workstations were a motley collection of 386s and 486s; the hardware needed upgrading.

Four “wars” (like John Dryden’s) that at that time had “brought nothing about.”

Each of these issues presented a major hurdle on the financial front, even at the best of times. But 1996 was not the best of times. A “lover had proved untrue”–in this case a dishonest computer consultant. The college, reeling from a financial fiasco that threatened its very existence, was in crisis. With current operating budgets in jeopardy, any increase in library funding was out of the question.

It was time to look at new, innovative ways to meet the growing demands of students, faculty, and accreditation bodies. Continuing as before was not an option. It was “time to begin a new.” And we like John Dryden “had a beast in view”! The beast was NEOS (the word NEOS means “new”).

This paper will outline the background, mission, funding, and structure of the central Alberta library consortium NEOS, and document the library’s transition into full partnership. It will explore the costs, commitments and benefits of membership, and conclude with information on NEOS’ affiliation with the province-wide consortium, The Alberta Library.

BACKGROUND

The history of NEOS began in 1991 when the University of Alberta invited members of Edmonton’s information community to join in planning an urban information consortium. Planning sessions soon expanded geographically to include other areas in central Alberta. Thus spearheaded by the University of Alberta, the consortium officially began in 1994 by the signing of a Memorandum of Understanding by 19 libraries. The university’s newly-acquired Data Research Associates (DRA) library system provided an automation platform for the newly-formed consortium, a system the university continues to manage.

Since the catalyst for NEOS was the shared system, and at that time we already had an integrated PC-based system, CUC did not join NEOS initially. But we followed the developments in the consortium and monitored the experiences of other libraries with focused interest, especially those of the other private colleges.

NEOS has now grown to include 26 Member Libraries. In addition to the University of Alberta, these include 14 special libraries (government and hospital), six private college libraries, and five public college libraries, located all the way from Olds College (near Calgary) in the south to Fairview College in the north. Of these, Grant MacEwan College in Edmonton is the only Member Library that does not participate in the shared system. (Taking this large college into NEOS while they continue to run a separate system was an experiment that has proved less than satisfactory.) The combined collections of NEOS libraries total close to five million items, and approximately 55,000 borrowers are registered in the shared patron database.

REALITIES AND MISSION

NEOS is driven by the realities of the information explosion and the need to expand beyond traditional library walls. For Member Libraries, it seeks to address the increasing costs of maintaining automation platforms and resource materials. For information consumers, it seeks to provide a single, highly accessible “information window” to a wide range of libraries and information agencies. NEOS does this through a shared online catalog, a shared patron database, onsite access to all collections, a patron request function supported by a consortium-wide document delivery service, and reciprocal reference service.

Now in 2001, NEOS is still a pioneer as a multi-sector library consortium. While most library consortia are partnerships among institutions of similar size and purpose, NEOS seeks to place its member institutions on a level playing field despite disparities of size and internal resources.

FUNDING

Membership fees are the only source of revenue for NEOS. In the current fiscal year these totaled just over $184,000. At the same time operating expenses totaled $206,000. Of this, over half went for technical costs for DRA. Other operating expenses are the manager’s salary, NEOS Connect (van service), professional fees, newsletter, supplies and printing, continuing education, and Working Group budgets.

The deficit of $22,000 is assumed by the university in order to allow NEOS to operate in a sound fiscal manner. The NEOS budget plan eliminates the need for financial subsidy by the fiscal year 2004/2005.

Membership fees are assessed according to a funding formula with the following elements: user population, library operating budget, number of records in the collection, and the number of transacting borrowers. When applied to CUC, this year’s assessment came in at just under $5,000.

STRUCTURE

Member Libraries. At semiannual meetings the directors of Member Libraries set direction for the operation of the consortium by establishing policies, electing Executive Committee members, and assigning duties to the Executive as are necessary to conduct the business of the consortium.

Executive Committee. Responsible to the Member Libraries, the Executive formulates policies, recommends policies to the library directors, and ensures their implementation. It develops the budget, arranges for audits, accepts new members, and gives direction to Working Groups.

NEOS Manager. The Manager, who is employed by the University of Alberta and paid for by NEOS, facilitates the work of the Executive by administering the day-to-day operations of NEOS. Specifically, the Manager administers the budget, coordinates the integration of new members, serves as a resource person to Member Libraries and Working Groups, collects statistics, and represents NEOS to external groups, such as The Alberta Library Board.

Working Groups. Composed of staff from Member Libraries, standing committees are: Acquisitions Standards, Catalogue Standards, Circulation Standards, Document Delivery, and Communications. Sub groups may be formed within the committees to perform specific tasks. Finance, governance, and technology advisory groups meet as needed and make proposals to the Executive.

RESOURCE SHARING

Patrons from any NEOS library may borrow onsite at any other NEOS library. This means that our CUC I.D. card with the NEOS logo is honored at the university and other NEOS libraries.

Patrons in any NEOS library may also place requests on available items held by any other NEOS library. This can be done by the patron at the PAC station or at the circulation desk (or remotely). The system generates a daily “send item report” for each library that lists requested items. After being routed out on the system, requested items receive a flag indicating where the item is being routed to.

Items travel in bins via commercial courier from locations outside of Edmonton to the central NEOS clearing house in Edmonton. We are located 80 miles south of Edmonton, so from the time an item is requested to the time it is delivered normally takes two to three days. Within Edmonton, items circulate via a van service (NEOS Connect) and requested items arrive same day or next day. Articles circulate within 24 hours among libraries with ARIEL scanning/sending/receiving workstations.

When incoming items are routed in, the requester’s name and phone number comes up on the screen. The person is then called.

Services and policies vary from library to library. However, standard policies apply to all requested items regardless of the local library’s internal policy. For example, the loan period is two weeks and two renewals are allowed, and overdue fines for items belonging to a different library are always $1.00 per day. Books may be charged in at any NEOS library and overdue fines may be paid to any NEOS library. All fines are considered income by the receiving library. However, lost book charges must be paid to the owning library.

TRANSITION INTO NEOS

Moving to the NEOS consortium was a bit like a roller coaster ride–rising anticipation, followed by sensations of speed and motion, with not a little anxiety. There were technological issues and hardware concerns to work through, policy files to figure out, and a completely new system to decode. But hardest of all was the gut-wrenching fear of “letting go”–not grown children in this case–but our precious records!

After being officially accepted into the consortium early in 1997, several technical experts from the University of Alberta visited to look at our setup. Sufficient bandwidth for Internet access had been addressed by the college, so communications were deemed adequate. Thanks to Keith Clouten’s vision back in the early 1980s, our records were all in MARC format, so no problem in that department. We still needed 15 new workstations. But this problem, too, would soon be resolved through a grant from The Alberta Library (more about The Alberta Library in a minute).

Over the next couple of months, we worked hard cleaning up a cataloging backlog in preparation for the transfer of our records from MultiLIS, our in-house system, into DRA, the NEOS system. The DRA policy files were set up in record time with the expert help and advice of the NEOS liaison person from the University of Alberta. The folks in technology and technical services at the university couldn’t have been more helpful in guiding us through every aspect of the transition process.

After our records were loaded into DRA, we participated in several day-long training sessions: acquisitions and cataloging in May and circulation in July. By the end of August 1997, we were feeling quite confident with the system, and ready for the students.

IMPLEMENTATION

The scene: First day of fall term, students hunched over new PAC stations.

“Where’s this book at?”

“Cool!”

“How long will it take to get here?”

“Why can’t I just download it?”

“How do I find stuff in THIS library?”

Students were surprised and confused by the large number of hits resulting from catalog searches. And “library challenged” applied to everyone, including a couple of frazzled librarians. Back to square one it was, even for those students we had patiently guided through orientation exercises the year before. We scurried back and forth, helping students, answering staff questions, not quite sure what the answers were ourselves. When we did get a moment of reflection, we’d sigh with fond nostalgia, remembering the dignified rows of card catalogs in the quiet, manageable library of pre-computer days.

But, we bargained for something new. This was it. And we better like it! We counted on students to like it to. And they do. Once people are used to the system, reactions are very positive. And now that the Telnet version of the catalog has been replaced by the Web version, most people don’t require assistance and the catalog can be accessed on the Web. Records held at our library are easily identified in the search results (bold red) and students soon learn how to request the others that interest them. And when requested items actually arrive in a couple of days, the word does get out!

Adding to the stress of that first September was the influx of interlibrary loan requests that began immediately. Even though we knew all along that resource sharing was central to NEOS, we had been focused on the “getting” part instead of the “giving.” It was a rude awakening to discover that in the first year we loaned double the number that we borrowed (748 loaned, 365 borrowed). Over time as activity increased, so did the borrowing ratio, although we continue to be a net lender (recent statistics show 1,379 loaned and 1,260 borrowed). And, as activity increases, so do courier costs. This year’s costs to and from the clearing house were in the neighborhood of $3,000.

But the most time-consuming task associated with implementation was the record load log, a six-foot high printout, each sheet representing a duplicate record or other problem caused by a minor glitch of some sort. Initially, the cleanup task looked formidable. But Carol, along with several part-time helpers, systematically slogged away, completing record cleanup just under the two-year time limit spelled out under NEOS obligations for Member Libraries.

On the upside, one immediate benefit was the streamlined acquisitions and cataloging procedures for new materials. DRA gave us free access to DRANET (LC MARC, LC authorities, and the National Library of Canada databases). We threw out the BiblioFile CD-ROM.

THE ALBERTA LIBRARY (TAL)

As a smaller circle within a much wider circle, NEOS has been an integral part of The Alberta Library since its inception. TAL, as it is known, is a province-wide consortium of all types of libraries and has become the major player in the delivery of library services in the province. TAL’s vision is to provide barrier-free access to information for all Albertans through resource sharing, continuing education, and advocacy.

Funding for The Alberta Library’s collaborative efforts comes in a small part through membership fees and in a large part through generous grants from the Government of Alberta. Out of the Knowledge Network grant ($20 million), TAL initially provided ARIEL stations to all Member Libraries that didn’t already have send/receive technology. From grant monies, TAL negotiates and coordinates province-wide licenses for a number of databases and subsidizes the cost of these to Member Libraries. Some Canadian databases are 100 percent subsidized, others 75 percent. As a result, we’ve had access to a whole range of databases that would otherwise be out of our reach. These are mostly Canadian databases and others not available through ALICE (yes, we still need ALICE!).

TAL also awards grants directly to Member Libraries for specific collaborative projects. For example, under the Knowledge Network Grant, CUC qualified to receive $68,000. With this we were able to purchase 20 workstations, an I.D. card system, as well as other needed items.

TAL is currently in the implementation phase of a common interface that will eventually enable library catalogues and other Web resources to be searched collectively and seamlessly. Known as TAL Online, this interface features real time status information, a common request capability, as well as providing links between resources. TAL Online in conjunction with the TAL Library Card Program makes it possible for our students and faculty to access any library in the province.

Even as The Alberta Library moves forward with the development of TAL Online, the University of Alberta (along with NEOS) migrates into TAOS, the totally new Web-based version of DRA. Incidentally, on May 17 SIRSI acquired all DRA assets. According to the merger statement, the combined SIRSI-DRA organization remains committed to TAOS development schedules. DRA will continue to serve as the primary catalog interface for NEOS, at least until the functionality of TAL Online is improved by advances in Z39.50 technology.

Besides TAL Online, The Alberta Library is working towards standardized interlibrary loan management software for all libraries, as well as a physical delivery service for the sharing of traditional materials. Other TAL initiatives include the creation of digitized content that is unique to Alberta and Alberta libraries, applying smart card technology to the TAL card, and implementing virtual reference service across the province.

TAL continues to come up with innovative government funding proposals to develop new models of library service and collaboration. Through NEOS, we look forward to continued participation in TAL initiatives. As a small private college, we feel very fortunate to be “in the loop.”

FUTURE PLANS

NEOS has committed to a five-year plan with service enhancement the number one priority. Improvements to the various aspects of document delivery are listed as strategies. Goals also include providing more continuing education and training opportunities, strengthening external alliances, developing a marketing plan, and moving toward self-sustainability by exploring fund raising opportunities. Implications of achieving self-sustainability may include NEOS establishing its own legal identity by incorporation.

Currently, the NEOS Executive is surveying libraries to determine collection strengths and whether or not there is potential for and interest in any form of cooperative collection development. Cooperative collection development could happen on several levels or take various forms. Options include simple avoidance of duplicate purchases (we are already doing this), formal subject specialization among libraries, joint purchases of expensive items, or even the allocation of a portion of library budget to a central fund for shared purchases. ARIEL capabilities makes subject specialization look especially attractive when applied to periodicals.

CONCLUSION

Since our decision to join the NEOS Consortium five years ago, our involvement in the consortium has continued to grow. We constantly grapple with the pressure of maintaining the commitments to NEOS on top of our in-house services. Collaboration takes time! Committees take time! Travel to and from Edmonton takes time! However, we realize that the alternative–taking a chance on long-term survival independently–is much less palatable. For this small college library, located a tad north of nowhere, NEOS provides a bridge into the world beyond.

The four walls holding together our small collection of 65,000 items no longer define who we are. NEOS membership has not only brought the resources of many larger libraries within our reach, but also the special collections of the small government and hospital libraries as well. At the same time, we are proud to know that our small collection complements those held by the larger institutions as more than half of our items are unique to the catalog. We notice that SDA publications are requested frequently, as are newly cataloged items in all subject areas.

Reactions to the service from students and faculty continue to be positive. No longer do students have to travel long distances to access larger libraries. Having one place to look for “stuff” has even been known to capture the attention of the hard core, Internet-addicted student! At the same time, consortium identity has heightened our political and fiscal credibility, both on and off campus. Our administration is very supportive. Accreditation review teams are impressed.

NEOS participation has also proved beneficial to us professionally. Carol is a member of the Cataloging Committee and is chair of the Acquisitions Standards Committee, and I serve on the Circulation Committee and recently became a member of the Executive Committee. Collaborating with people from a variety of libraries on a regular basis gives us fresh viewpoints on customer service, technology, procedures, collection development and every other aspect of library service. The contacts made and technological expertise willingly shared by the people at the university and other larger libraries has proved to be especially valuable.

Probably the most significant benefit has been sharing in a library automation platform, obviating the need for those of us who are system challenged to select, mount, manage, and constantly upgrade our own in-house system. And I doubt we could do it with $5,000 a year, even if we could come up with the startup costs. Now in NEOS, upgrades happen “miraculously” by a team of experts. And when we do have trouble of some sort, such as printing spine labels, they’re there to offer advice.

Through involvement in NEOS, we have surmounted the challenges we faced in 1996. And now that we are part of a whole army, ongoing “wars” somehow seem less daunting. There’s truth in the saying “The whole exceeds the sum of its parts.” We feel honored to share in the wealth of collections and camaraderie that comes with team work. Joining NEOS has proved to be not only new and timely, but also a good move for the CUC Library.