State Library of North Carolina
Updated August 25, 1997

Library Services & Technology Act

Plan for Implementation in North Carolina

August 1997

CONTENTS
Introduction
	The State Library of North Carolina
	LSTA (1997-2002)
	The Planning Process for LSTA in North Carolina
	The LSTA Plan for North Carolina
The Library Service Environment in North Carolina
	Components of the Needs Assessment Process
	Priority Needs
Guiding Principles for LSTA in North Carolina
Goals, Priorities, & Activities
	Goals for LSTA in North Carolina
	Goal #1: Enabling All Libraries to Serve as Gateways to Information
	Goal #2: Equity in Public Library Service
	Goal #3: The State Library as a Leader in Library and Information Services
Implementation Strategies
	Customer & Stakeholder Involvement
	Criteria for Eligibility
	Policies for Grant Awards
Evaluation
	Overview of the Evaluation Approach
	Evaluation Process
Additional Policies and Plans
	Use of LSTA Funds for Administrative Purposes
	Plan Availability to Public
Analysis of Needs, Goals & Objectives

INTRODUCTION

The State Library of North Carolina

The state library administrative agency for North Carolina is the State Library of North Carolina, a division of the Department of Cultural Resources.

The State Library had its beginnings in 1812 as a collection of books in the office of the Secretary of State, and the first full-time State Librarian was appointed in 1843. Another historic milestone was the establishment of the North Carolina Library Commission in 1909. The Commission's primary mission was to provide assistance, advice, and counsel to: all libraries; all communities that proposed to establish libraries; and all persons interested in the best means of establishing and administering libraries. By action of the General Assembly in 1955, the State Library and the Library Commission were merged to form a single State Library.

Today, the State Library is a division of the Department of Cultural Resources. The State Library Commission, a 15-member group of citizens and professional librarians, advises the Secretary of Cultural Resources and the State Librarian on priorities and policy issues.

The mission of the State Library is to provide library and information services and to assist local libraries in the development of programs, services, and facilities. Under the authority of Chapter 125 of the North Carolina General Statutes, the State Library of North Carolina focuses its service to the people of the state in three ways:

• working in partnership with local communities to develop and extend public library services statewide;
• planning and coordinating cooperative programs among the various types of libraries within the State of North Carolina; and
• providing direct library services to a constituency that includes government officials, business people, and the general public, with an emphasis on genealogical researchers and people who cannot use traditional print materials because of blindness or other disabilities.
  

LSTA (1997-2002)

September 30, 1996 saw the enactment of a new, restructured federal program to support library service. The new Library Services and Technology Act (LSTA) replaced the Library Services and Construction Act (LSCA). Congress also approved transition funding for one year (October 1, 1996 to September 30, 1997) to move states from the old to the new. Each state library agency must file a five-year plan for LSTA in their state by August 1, 1997.

The new program-the Library Services and Technology Act (LSTA)-retains the state-based approach of LSCA, but the focus of the Act is sharpened to two key priorities: (1) information access through technology and (2) improving access to library services for those having difficulty using a library or who are underserved. Chapter 2-Library Programs, Section 231-Grants to States provides:

(A)	IN GENERAL -- Of the funds provided to a State library administrative agency under section 214, such agency shall expend, either directly or through subgrants or cooperative agreements, at least 96 percent of such funds for --
	(1)	(A)	establishing or enhancing electronic linkages among or between libraries;
		(B)	electronically linking libraries with educational, social or information services;
		(C)	assisting libraries in accessing information through electronic networks;
		(D)	encouraging libraries in different areas, and different types of libraries to establish consortia and share resources;
		(E)	paying costs for libraries to acquire or share computer systems and telecommunications technologies; and
	(2)	targeting library and information services to persons having difficulty using a library and to underserved urban and rural communities, including children (from birth through age 17) from families with incomes below the poverty line...

The new LSTA provides greater flexibility and reduces the administrative burden on the State library administrative agency. Federal responsibility for the program moves from the U. S. Department of Education to the Institute of Museum and Library Services. There are also strong requirements for increased accountability and evaluation, including an independent evaluation prior to the end of the five-year plan.

Another significant difference in LSTA is that there are no titles (e.g., I, II, III) with separate purposes, and there are no mandated set asides (e.g., institutional library services, library services for the blind and physically handicapped, major urban resource library services, etc.) The language of the Act makes it clear that the allocation of funds among priority programs should be based on state needs:

(B)

SPECIAL RULE -- Each State library administrative agency receiving funds under this chapter may apportion the funds available for the purposes described in subsection (a) between the two purposes described in paragraphs (1) and (2) of such subsection, as appropriate, to meet the needs of the individual State.

The final difference is the broad, multitype focus of LSTA. LSCA, with the exception of Title III (Resources Sharing and Interlibrary Cooperation), provided assistance specifically for public library services. LSTA defines "library" this way:

(2)	LIBRARY.--The term "library" includes--
	(A)	a public library;
	(B)	a public elementary or secondary school library;
	(C)	an academic library;
	(D)	a research library, which for the purposes of this subtitle means a library that
		(i)	makes publicly available library services and materials suitable for scholarly research and not otherwise available to the public; and
		(ii)	is not an integral part of an institution of higher education; and
	(E)	a private library, but only if the State in which such a private library is located determines that the library should be considered a library for the purposes of this subtitle.

The Planning Process for LSTA in North Carolina

The State Library of North Carolina viewed the transition from the Library Services and Construction Act to the new Library Services and Technology Act as an opportunity to review and refocus its approach to administering the federal library program in support of the development of library services statewide. The planning process reflected the overall goals of the State Library. Rather than being a separate set of activities carried out by the State Library, planning, implementation, and evaluation of the LSTA program will be an integral part of the overall program of development of North Carolina library services.

Participants in the planning process included a nine-member Interim LSTA Advisory Committee, a group of visionary leaders from the state's library community; the State Library Commission, the fifteen-member advisory body of North Carolina citizens and professional librarians; and 182 library directors from all types of libraries who participated in a series of regional meetings. The State Library staff and an external Planning Consultant were involved throughout the process, providing both support and leadership.

The key components of the planning process included the following:

• Development of a Discussion Paper (April-May). The paper outlined the proposed approach, principles, and priorities for implementing LSTA in North Carolina. The first draft was prepared by staff, and the iterative drafts of the document were the focus for discussion of the May 12 Interim Advisory Committee meeting and the May 22 State Library Commission meeting. The final document was prepared and distributed to all participants in the June regional meetings.

• Regional Planning Meetings (June 16-20). Invitations were distributed to an estimated 250 library directors representing all types of libraries, and 182 people attended five meetings. The sessions lasted from 10:00 a.m. until 3:00 p.m., and were held in Durham, Washington, Rockingham, Mocksville, and Asheville. They were designed to accomplish three major outcomes: assuring that North Carolina's library leaders had an understanding of LSTA and the preliminary plans for its implementation in North Carolina; gaining feedback on plans for implementing LSTA based on the Discussion Paper; and helping shape a vision for the use of LSTA to promote equity of access to information through cooperation, collaboration, and technology. The sessions provided a facilitated opportunity for broad participation in discussion of plans and priorities for LSTA in North Carolina. A summary report and analysis of the results of the meeting was prepared by the Planning Consultant.

• Development of the Plan (July). The Interim Advisory Committee met on July 7 and 8 to review the results of the regional meetings and to reach consensus on the content of the plan. Following that session, the State Library staff and Planning Consultant compiled the draft planning document. Following a review by the State Library Commission on July 17, the State Library staff prepared the final document for submission to the Institute of Museum and Library Services.

The LSTA Plan for North Carolina

The Museum and Library Services Act requires that each state submit a five-year plan for implementing LSTA no later than August 1, 1997. While certain priorities are clear, additional planning in partnership with the state's library community is required before the plans for the full five-year period can be outlined for North Carolina. This additional time is particularly important for programs for multitype library activities in resource sharing, collaboration, and cooperation.

In response to these findings, this initial plan for the use of LSTA in North Carolina focuses on the first two years of the five-year program. At the end of that time, the State Library can prepare a strategic plan for the final three years of the five-year LSTA time frame. By 1999, the State Library anticipates that it will be in position to outline plans for the final three years based on continuing discussion with the key customers and stakeholders, additional planning and evaluation, and the progress made in achieving the objectives set out for the initial two years.

THE LIBRARY SERVICE ENVIRONMENT IN NORTH CAROLINA

Components of the Needs Assessment Process

During the short time available for planning for the new Library Services and Technology Act (LSTA), the State Library of North Carolina used the following sources and methods to scan the environment for library service and develop an initial assessment of needs:

• The Needs Assessment and Evaluation Project Report prepared for the North Carolina Library Association and the North Carolina State Library Commission by JNR Associates, 1995, which reports on the results of a series of focus groups and review of data to help establish priorities for the State Library's program of public library development and network development;

• other recent documents that assess the status of library service in North Carolina, including The Future: North Carolina Community College Libraries in the 21^st Century (1997) and Library Study Final Report (1997) prepared for the University of North Carolina by Jay Lucker;

• statistical data on library services in the Statistics and Directory of North Carolina Public Libraries - July 1, 1995-June 30, 1996 , national statistics describing library service collected in cooperation with NCES through the Federal-State Cooperative System, and IPEDS data on academic library services;

• recommendations of the LSTA Interim Advisory Committee and the State Library Commission;

• a series of regional meetings held June 16-20, 1997, in which 182 library directors from all types of libraries statewide participated;

• informal discussions and library visits by State Library staff, including work with the library community, government officials, and other North Carolina residents; and

• monitoring of statewide news and state government policies, priorities, and issues.

Priority Needs

The critical library service needs that emerged during the planning discussions include (1) developing the physical infrastructure to support access to networked information; (2) developing the knowledge and skills of library staff members statewide to enable them to cope with the rapid changes demanded by technology; (3) eliminating statewide inequities in public library service; (4) improving evaluation and communication to strengthen understanding of library services; and (5) planning for a comprehensive program of cooperation and collaboration among all types of libraries. The needs assessment also led to in the inclusion of two additional guiding principles for the implementation of LSTA: (1) build stronger cooperation and collaboration and (2) focus federal funding.

• The need to develop an infrastructure that will support access to networked information for North Carolinians statewide.

In both the 1995 Evaluation and Needs Assessment and the June 1997 regional meetings, the consensus recommendation from library representatives is that their highest priority is the development of the physical infrastructure to support access to electronic information resources and effective service to library users. That infrastructure includes connections to the Internet, appropriate telecommunications access, internal wiring, hardware, and software as well as basic library automation.

During the recent regional meetings, library representatives also stated that they wanted to see LSTA funds used to support NC LIVE-the statewide electronic library project that is poised to receive initial funding this year from the General Assembly for statewide licensing of electronic resources. The Georgia experience with GALILEO indicates that having adequate access to the Internet for library users is a critical success factor in statewide electronic library projects. LSTA funds can be used to support increased Internet access through libraries statewide in a way that will support the implementation of NC LIVE.

• The need to plan and deliver comprehensive programs of training, technical assistance, and information sharing to enable staff to integrate technology into library services.

An equally high priority is the development of staff skills and knowledge. Training is seen as a critical component of providing access to networked information. There is a clear message that just having the hardware, software, and wiring is not enough-that staff must be able to cope with their rapidly changing environment. Training and technical assistance is another area in which LSTA funding can be used to support the goals of NC LIVE without committing the federal funds to ongoing operational funding.

• The need to continue efforts to eliminate inequities in the level and quality of public library service available to many North Carolinians in communities statewide.

For the purposes of this plan, the "unserved and underserved" populations are considered to be the vast majority of North Carolinians. An analysis of public library statistics and visits to public libraries statewide show a lack of equity of access to public library service for people in many communities statewide.

The public libraries of North Carolina strive to meet the full range of library and information needs of people of all ages in all parts of the state; however, North Carolinians do not have access to library service that is of uniform quality statewide. Various measures of public library service show wide discrepancies among public libraries in the state, and a comparison of statewide averages to national averages and norms indicate that public libraries in North Carolina do not compare favorably in many categories.

Geographic location, the capacity and willingness of government to support library services, local library leadership, and the history of development of local library services have had an impact on the current levels and quality of library service in the state.

• The need to create a greater appreciation and understanding of the value of libraries through improved evaluation and communication.

In needs assessments in the past and during the June regional meetings, library representatives routinely identified the need for "awareness, PR, and marketing" as a priority. Library leaders from all types of libraries are hungry to be able to communicate effectively about the value of their libraries.

This appears to be a plea for help in: "communicating with the many groups who assess the library and control its resources, or who influence those who do" as noted by Childers and Van House in their book, What's Good: Describing Your Public Library's Effectiveness (ALA, 1993). To do this effectively, library managers have to "identify the stakeholders, determine which indicators and measures will be most useful in communication with them and design a communication strategy." The authors outline a multifaceted set of dimensions and indicators that public libraries can use to assess their effectiveness-and then communicate with key constituencies.

Other factors that indicate the need to be able to evaluate the effectiveness of our library services and communicate our successes include,

• The legal and political demands for evaluation of the impact of LSTA;
• The need to use federal funds to leverage increased state and local support for library services in North Carolina;
• The increased demand for accountability and well-managed public institutions.

All these factors point to the need for (1) more sophisticated and robust tools to assess library effectiveness; (2) the ability to communicate about the library's effectiveness to stakeholders and decision-makers; and (3) the skills to carry out the process.

• The need to plan and implement a comprehensive program to support cooperation and collaboration among libraries of all types to assure access to print and electronic information for library users statewide.

There is no history of an ongoing program of multitype library cooperation and resource sharing in North Carolina based on an infrastructure of cooperative planning, policies, programs, and services. Before the State of North Carolina can implement broad-based collaboration and cooperation, resources must be devoted to developing a plan that has the support and participation of all types of libraries. The process must result in a strong commitment to partnerships and cooperation among librarians in all the state's communities of interest.

• The need for the State Library to provide leadership in development of library services statewide.

Discussions at the June regional meetings indicate that the library community expects the State Library to undertake efforts that strengthen libraries and library networks statewide. The 1995 Needs Assessment and Evaluation Project Report indicated that the library community expected the State Library to provide "leadership, facilitation, and coordination." The report goes on to define these terms in the context of the discussion at the 1995 focus groups. The discussions at the June regional meetings reaffirm the expectation that the State Library will carry out these roles.

GUIDING PRINCIPLES FOR LSTA IN NORTH CAROLINA

A set of principles emerged during the planning process. They reflect a philosophy that will guide the ongoing planning, policy development, and implementation of LSTA in the state by:

• serving as a consistent guide for decision-making;
• helping communicate plans and decisions to customers and stakeholders.

The Discussion Paper outlined four guiding principles that were confirmed by the discussions during May and June. Those meetings with the library community resulted in the addition of two more principles. The first four principles included:

• Vision Driven

The state's LSTA program will be guided by a statewide vision for the future of libraries in North Carolina. Decisions will be based on the desired future of library services in the state, with the federal program focused on achieving that vision.

• A Balance of Priorities

For the implementation of LSTA in North Carolina, the priorities outlined in the federal legislation are interpreted in the following way to respond to North Carolina's needs:

• Providing equal access to library and information resources for North Carolinians through cooperation, collaboration, and technology, and
• Enabling libraries to achieve equity in serving their communities.

North Carolina's LSTA program will balance these two priorities.

• Fostering Innovation and Equity

LSTA funds in North Carolina will have a dual focus. One is an emphasis on enabling innovation and change through the funding of "leading edge" projects, supported through innovation grants and statewide leadership grants. A second overall intent is to fund "trailing edge" projects that improve the overall level of library service statewide by enabling participating libraries to achieve equity. The State Library believes that the LSTA program can result in positive, focused change if the program consciously manages the issues of equity and innovation.

• A Coordinated Approach

Key LSTA program objectives will be coordinated with the State Library of North Carolina's mission and goals to foster positive development of statewide and local library and information services.

The stated goals of the State Library are:

• To develop and extend public library service for North Carolinians in partnership with local communities.
• To coordinate and support statewide library network activities to assure equity of access to library and information resources for all North Carolinians.
• To provide library and information resources for North Carolinians to promote knowledge, education and business.

Discussions during the LSTA planning process indicate the need to add two additional guiding principles:

• Build Cooperation and Collaboration

The priorities and the process for LSTA implementation must build a strong infrastructure of understanding, shared goals, and healthy working relationships among all types of libraries.

The LSTA planning process and earlier efforts to develop plans for NC LIVE have brought home the fact that the various library communities in North Carolina do not have a history of working together to develop resource sharing programs or other library services. The June regional meetings underscored this fact-and the response of the participants indicate that people are eager for the opportunity to interact with colleagues in other types of libraries.

• Focus Federal Funding

Both LSTA requirements and findings during the planning process indicate that federal funds must (1) leverage local dollars and (2) create incentives for the continuous improvement of library services statewide.

LSTA emphasizes accountability. There is a strong requirement in the legislation for evaluation to demonstrate the impact of these federal funds. At the same time, Congressional leaders are demanding that the Institute of Museum and Library Services (IMLS) develop a strategic plan with performance measures. They are asking that IMLS and the 50 state library agencies demonstrate the impact of LSTA funds on library service nationally. Both these factors reflect the increased emphasis on accountability, performance measures, and the capacity of government agencies to demonstrate the impact of money appropriated for library services.

Library representatives at the June regional meetings noted that the annual amount of federal funding for North Carolina will only be an estimated $3 million, approximately the same amount that was available under the old LSCA. At the same time, the legislation expands eligibility for the program to include all types of libraries and is intended to support some of the same types of projects formerly supported by the Higher Education Act (HEA). LSTA funds must be carefully focused to leverage local support and benefit library users statewide in a meaningful way.

GOALS, PRIORITIES, & ACTIVITIES

Goals for LSTA in North Carolina

North Carolina's LSTA program will focus on three goals during the upcoming five years:

• Enabling All Libraries to Serve as Gateways to Information
• Achieving Equity in Public Library Service
• The State Library as a Leader in Library and Information Services.

This section of the plan outlines the priorities for the North Carolina LSTA program for the first phase-October 1, 1997 to September 30, 1999. For each goal, this document describes the vision for success, key customer groups, and priorities and rationale. The activities that will be carried out in response to the needs assessment are reflected in the objectives, outcome measures and key strategies. The numbering in this section does not indicate priority.

Goal #1: Enabling All Libraries to Serve as Gateways to Information

Vision for Success: Every library in North Carolina will provide access for its users to the total electronic and print resources available in North Carolina and beyond.

Key Customers and Stakeholders: users of all types of libraries statewide, North Carolinians with access to information networks, educators and academic administrators, governing officials, staff in all types of libraries statewide.

The needs assessment indicates that the highest priority is assuring that all libraries have an appropriate physical infrastructure (Internet access, wiring, hardware, and software) and trained staff. Participants in the regional meetings emphasized the need to create an attitude and awareness for sharing, stating that LSTA money should be used to create a statewide network of libraries characterized by awareness, cooperation, collaboration, and attention to equity issues.

The 1997-99 priorities for this goal emphasize training and infrastructure development combined with a planning effort to build a shared vision that outlines the priorities for 1999-2002 in creating a statewide network of libraries.

Objective 1.1: By September 30, 1999, all libraries participating in Phase #1 of NC LIVE will have a basic automated system to support access to resources for users and the effective management of the library and its resources.

Outcome Measure 1.1: Number of libraries with automated systems.

Key Strategies for 1997-99:

• By April 1, 1998, complete an assessment of the local automation in libraries serving community colleges and public and private academic institutions.
• Based on the assessment, develop an appropriate program of technical assistance and grants to enable libraries to acquire and install local systems.

Objective 1.2: By September 30, 1999, all libraries participating in Phase #1 of NC LIVE will have the physical infrastructure to enable them to provide access to networked information for their users.

Outcome Measure 1.2: Number of libraries with appropriate physical infrastructure to support access to networked information.

Key Strategies for 1997-99:

• By April 1, 1998, complete an assessment of the environment to support access and current status of the physical infrastructure in libraries serving community colleges and public and private academic institutions.
• Based on the assessment, develop an appropriate program of technical assistance and grants to enable libraries to implement technology assessments and create technology plans.
• Based on the assessment, provide grants to libraries to enable them to provide appropriate physical infrastructure to support access for libraries users.
• By September 30, 1999, develop plans and policies for assuring physical infrastructure to support access to other types of libraries as appropriate.

Objective 1.3: Library staff members in all types of libraries have the needed skills, knowledge, and abilities to integrate the use of technology into the delivery of library services.

Outcome Measure 1.3.1: Number of workshops offered.

Outcome Measure 1.3.2: Number of staff trained.

Outcome Measure 1.3.3: Existence of competency models that describe knowledge, skills, and abilities that library staff members must have to use technology in their library's services and programs.

Outcome Measure 1.3.4: Library staff have skills needed to implement NC LIVE.

Key strategies for 1997-99:

• Begin to expand availability of current training to staff in non-public libraries.
• Use LSTA funds to support training activities needed for the implementation of NC LIVE.
• Identify initial components of competency models for integration of technology into library services.
• Plan expanded continuing education activities based on competency models.

Objective 1.4: Implement an assessment project to identify the key components of effective library services that provide access to networked information in academic institutions.

Outcome Measure 1.4.1: By September 30, 1999, design a process to determine dimensions and indicators of effectiveness in academic library services that provide access to networked information.

Key Strategies for 1997-99:

• Monitor local library activities, library literature, and other sources for information on indicators of effectiveness.
• Coordinate activities for this objectives with those that support other objectives aimed at increasing the ability of libraries to determine the effectiveness of their services and communicate with key customers and stakeholders about the value of those services.
• Develop plans for a process to identify dimensions and indicators to assist in the development of "models for effectiveness" that provide tools to assist local libraries in assessing library effectiveness and using assessment information to assist them in communicating with decision-makers and others.

Objective 1.5: Develop a plan for a statewide network of libraries based on cooperation, collaboration, and technology that supports information access through all types of libraries.

Outcome Measure: 1.5.1: By September 30, 1999, complete a plan for the statewide network.

Key Strategies for 1997-99:

• Use the State Library Commission's Interlibrary Cooperation Committee as an advisory group for the planning effort.
• Develop a "plan to plan" by April 1, 1998.
• Involve stakeholders and customers in the effort.

Goal #2: Equity in Public Library Service

Vision for Success: Every North Carolinian has ready access to public library services that meet a consistent level of quality statewide.

Key Customers and Stakeholders: public library users statewide, local government officials, public library staff members, and library board members and Friends.

Achieving equity in public library services statewide is dependent on increased support for library services at the state and local level. Federal funds alone cannot create that equity. The challenge for the State Library and local library leaders is to find ways to use the benefits of federal funds to leverage state and local funds to support improved services.

For the initial phases of the five-year LSTA cycle, LSTA funds will focus on moving public libraries toward equity in two areas:

1. Integration of technology in public library services;
2. Public libraries as a critical community resource in the education and development of North Carolina's children.
   

For both priority areas, objectives and strategies will be carried out in a multifaceted way that will assist libraries in improving services while at the same time helping them measure the effectiveness of those services and communicating the library's success to its customers and stakeholders.

Objectives 2.1 through 2.4 are focused on enabling all 75 public library systems statewide to achieve equity in the use and application of information technology. These priorities are in response to the expressed needs of libraries identified both in 1995 and 1997.

Objective 2.1: All 75 public library systems will have an automated system to support access to resources for users and the effective management of the library and its resources.

Outcome Measure 2.1: Number of libraries with automated systems.

Key Strategies for 1997-99:

• Provide planning grants to support development of plans and RFPs by local libraries.
• Provide grants to assist local libraries in purchasing automated systems based on their technology plans.

Objective 2.2: Every public library outlet in North Carolina will provide public access to the Internet by September 30, 2002.

Outcome Measure 2.2: Number of outlets with public access.

Key Strategies for 1997-1999:

• Provide grants and technical assistance to enable public libraries to carry out technology assessments and create technology plans.
• Provide assistance to local public libraries to enable them to take advantage of the new discounted rates for telecommunications and connectivity recently enacted by the Federal Communications Commission.
• Use a combination of state and federal funds to support Internet connectivity for public libraries.

Objective 2.3: Public library staff members have the skills, knowledge, and abilities needed to successfully integrate the use of technology into the delivery of library services.

Outcome Measure 2.3.1: Number of workshops offered.

Outcome Measure 2.3.2: Number of staff trained.

Outcome Measure 2.3.3: Development of competency models that describe knowledge, skills and abilities that library staff members must have to successfully integrate technology in their library system's services and programs.

Outcome Measure 2.3.4: Number of public library systems with internal training and development programs.

Key strategies for 1997-99:

• Provide a comprehensive program of training and support to enable local library staffs to develop the needed skills to support the implementation of services supported by technology and Internet connectivity.
• Carry out a statewide demonstration project with a small group of libraries to test the components of a successful internal training and development program in public library systems.
• Identify initial components of competency models for the integration of technology into library services.

Objective 2.4: Implement an assessment project to identify the key components of effective public library services that incorporate Internet access and other technologies into service programs.

Outcome Measure 2.4.1: By September 30, 1999, design a process to determine dimensions and indicators of effectiveness for the use of technology to support public library services.

Key Strategies for 1997-99:

• Monitor local library activities, library literature, and other sources for information on indicators of effectiveness.
• Monitor the success of the implementation of the "models of effectiveness" for library services to children.
• Develop plans for a process to identify dimensions and indicators to assist with the development of "models for effectiveness" for the integration of technology. (See Objective 2.5)

Service to children will be the focus for testing the concept of "models of effectiveness" in the first phase of the LSTA process for the following reasons:

• Children traditionally represent a high percentage of public library users;
• Service to children has been a strength of the State Library's library development program;
• Children-their welfare and education-is an issue of great public concern in the nation as well as in North Carolina;
• State government is focusing attention on children through Smart Start and an emphasis on education;
• The ability to demonstrate the impact of public library services in the education of children has been an issue for a number of public libraries;
• Over the five-year period, services to children offer opportunities for cooperation and collaboration with schools/school library media centers and other community organizations and agencies.

Objective 2.5: Develop a model for public library effectiveness in serving children.

Outcome Measure 2.5.1: By September 30, 1998, complete work on a model that will assist in the planning and assessment of library service to children.

Outcome Measure 2.5.2: By December 31, 1998, complete an action plan for a statewide library development effort to implement the model using a combination of library development strategies: grants, continuing education, technical assistance, and communication.

Key Strategies for 1997-1999:

• Use the State Library Commission's Youth Services Committee as an advisory group for the project.
• Develop a "plan to plan" for a comprehensive project to develop measures of effectiveness for service to children, to assess the current status of library services to children, and to assist in the development of a comprehensive model for library effectiveness in youth services.
• Issue an RFP for consultant assistance in the project.
• Involve stakeholders and customers, including but not limited to children, their parents, caregivers, library directors and children's librarians, school library media specialists and teachers, and representatives of community groups and organizations that work with children in communities statewide.

Goal #3: The State Library as a Leader in Library and Information Services

Vision for Success: The State Library serves as a model and a leader in the development and delivery of library and information services.

Key Customers and Stakeholders: North Carolina library community (staff, board members, and library friends), library users statewide, residents of North Carolina, and government officials.

The needs assessment process indicates that the state's library community expects the State Library of North Carolina to provide leadership-that is defined in the 1995 report of the Evaluation and Needs Assessment Project as comprising three roles: leadership, facilitation, and coordination.

• Leadership includes technical and policy involvement in North Carolina statewide information networking activities as well as advocacy for its extension to all areas of the state. In providing leadership for public libraries, the public library directors included legislative and policy advocacy as well as looking at the "big picture" and being a voice for libraries.
• Facilitation is defined as being in the position to offer technical assistance, training, and information as well as providing "economies of scale" services, such as statewide licensing of content on the network.
• Coordination means developing a coherent structure in both the content on the network as well as supporting cooperation and collaboration.

Objective 3.1: By June 30, 1998, develop a statewide technology plan that includes a plan for a statewide training program for library staff statewide.

Outcome Measure 3.1: Development of plan that contains appropriate components to support development of infrastructure to support access to networked information and cooperation and collaboration among libraries of all types.

Key Strategies for 1997-99:

• Develop a "plan to plan."
• Form an ad hoc advisory group of experts in technology assessment and planning and in training to assist the State Library staff.
• Involve stakeholders as appropriate.
• Prepare plan.

Objective 3.2: On an ongoing basis, the State Library tests and models approaches for integrating technology into library management and services.

Outcome Measure 3.2: North Carolina library community provides customer feedback that indicates that the State Library staff is providing appropriate and needed information and leadership to support local library efforts.

Key Strategies for 1997-99:

• Develop internal technology plan for the State Library.
• Continue to test strategies for developing the staff capacity at all levels to manage and use information technology successfully to support the management of the State Library as well as service to library users.
• Assure staff has appropriate knowledge and skills to support State Library leadership role.
• Assure access to appropriate hardware and software to enable the State Library staff to provide leadership.

Objective 3.3: By September 30, 1998, develop the State Library's capacity to provide leadership in evaluation, assessment, and measures of library effectiveness.

Outcome Measure 3.3.1: Models and approaches developed to support the evaluation of LSTA in North Carolina.

Outcome Measure 3.3.2: Success of State Library staff in implementing the models and approaches.

Outcome Measure 3.3.3: Overall success of evaluation efforts to meet LSTA requirements.

Key Strategies in 1997-99:

• Monitor development of evaluation tools at the national level by the Chief Officers of State Library Agencies.
• Identify appropriate models and approaches for evaluation for North Carolina.
• Develop State Library staff skills in evaluation and assessment.
• Plan and implement a program to develop skills in evaluation and assessment in libraries statewide.

Objective 3.4: Assure statewide access to state government information in both print and electronic formats.

Outcome Measure 3.4.1: By September 30, 1998, complete a planning process for the expansion of current State Library programs that support access to state government information in print format to include access to information and resources in electronic format.

Outcome Measure 3.4.2: Level of access to state government information for users of all types of libraries as well as other North Carolina residents.

Key strategies for 1997-99:

• Use the State Library Commission's State Government Information Services Committee as an advisory group for the planning and implementation of the project.
• Develop a "plan to plan" for the project involving librarians, archivists, representatives of appropriate state agencies, and library users.
• Implement pilot projects to assist with the effort, including but not limited to the NC GILS DCR/Library pilot currently in its initial stages.

Objective 3.5: On an ongoing basis, State Library supports statewide planning and development activities to assure achievement of the LSTA goals, plans and priorities.

Outcome Measure 3.5.1: State Library staff works with stakeholders and customers to develop dimensions and indicators of effectiveness.

Outcome Measure 3.5.2: State Library customers and stakeholders provide feedback on State Library dimensions and indicators that show that the State Library has been effective in its programs to support statewide leadership.

Key Strategies for 1997-99:

• Support development of models of effectiveness for library service to children.
• Support planning for statewide network based on cooperation, collaboration, and technology.
• Continue to monitor library needs statewide and develop programs and services in response to those needs.
  

IMPLEMENTATION STRATEGIES

Customer & Stakeholder Involvement

The State Library is committed to assuring that the planning and implementation of LSTA in North Carolina are based on a cycle of customer and stakeholder involvement and feedback.

There are two primary customer groups that should benefit from the implementation of LSTA in the state:

• The libraries that propose and deliver services on behalf of their defined customer constituency groups,

• All residents of North Carolina who are users or potential users of library services statewide.

Stakeholders will also be involved in an ongoing process of dialogue and feedback throughout the implementation of LSTA. Stakeholders are distinguished from customers as those who have a "stake" or an interest in the development of a quality, effective LSTA program but who are not necessarily customers of the program. Examples of stakeholders include the State Library Commission, the North Carolina Library Association, and the North Carolina Public Library Directors Association.

The State Library will use a variety of approaches to involve representatives of the library community (library staff, governing board members, and Friends) and library users in planning, policy development, and other decisions to implement LSTA in North Carolina. There will be opportunities for participation by a number of people and for identifying and developing potential leaders. The overall goal will be to assure a responsive LSTA program and to give people an opportunity to feel that they have a stake in the program's success.

Here are the ways in which a variety of people will be given a role in the implementation:

• LSTA Advisory Committee

The nine-member LSTA Advisory Committee will provide leadership for the federal library program in North Carolina. The committee will have responsibility for advising the State Librarian on LSTA needs, plans, priorities, and policies; annual plans and funding priorities; and evaluation of the LSTA program. The members will: be leaders in the library community; be broadly representative of all types of libraries and library users; and should reflect the characteristics of North Carolina and its people.

The current committee will form the permanent committee with staggered terms that will expire over the next three years. The State Librarian will appoint new members to three-year terms based on the following three-step process: (1) nominations from the library community including key stakeholder groups, (2) review of nominations by the existing LSTA Advisory Committee based on a series of criteria, and (3) appointment by the State Librarian from the pool of nominees forwarded by the LSTA Advisory Committee following their review.

• State Library Commission

The fifteen-member State Library Commission will be given periodic opportunities to provide feedback to the State Library staff and the LSTA Advisory Committee on the LSTA plans and programs. Their role is two-fold: (1) to assure that LSTA continues to coordinate with the overall program and priorities of the State Library and (2) to provide additional opportunities for library users to comment on the program and its direction.

• State Library Commission Committees and Other Advisory Groups and Task Forces

As appropriate, State Library Commission Committees will be asked to advise the State Library in planning and evaluation activities for the LSTA program. When the State Library Commission committees are not appropriate, other task forces will advise the State Library in planning efforts. Committees will include commission members, representatives of the library community and library users, and experts as appropriate to the assigned tasks.

• Proposal Readers and Reading Teams

The State Library and LSTA Advisory Committee may ask readers and reading teams to review proposals for funding if appropriate.

• Statewide Meetings

At the halfway point in the implementation of the five-year LSTA plan, the State Library will sponsor another series of statewide meetings to update the State's library community on LSTA activities and give them an opportunity to provide feedback.

Criteria for Eligibility

The planning process for LSTA in North Carolina indicates that eligibility to receive LSTA funds under this plan will be determined by the following:

• LSTA Definitions of Eligible Libraries

The LSTA broadens the overall eligibility for grants beyond public libraries to libraries of all types. The Library Services and Technology Act gives the State library administrative agency (i.e., the State Library of North Carolina) the authority to expend funds allotted to the state either directly or through subgrants or cooperative agreements to achieve the purposes of the Act.

The Act defines the term "library" with a list that includes five types of libraries: a public library; a public elementary or secondary school library; an academic library; a research library, a private library (Sec. 213(2)(A-E). A technical amendment to the legislation is expected to add "special library" to this list, but the proposed language does not establish a useful definition to assist the state in determining eligibility.

• Additional State Definitions of Eligible Organizations

The planning process indicates that the State Library and LSTA Advisory Committee must develop additional definitions to guide the implementation of the program in North Carolina.

The State Library will continue to work with the LSTA Advisory Committee to develop final definitions appropriate for North Carolina within this framework:

Public Libraries: eligible public libraries will be defined as those libraries that qualify for grants from the Aid to Public Libraries fund.

Other Types of Libraries: North Carolina does not presently have separate statutory or accepted definitions of types of libraries beyond public libraries. The State Library will work with the LSTA Advisory Committee to develop additional definitions and guidelines for other types of libraries by the end of the 1997 calendar year.

State Library: The State Library will be eligible to receive funds to support the administration of the program, to carry out statewide programs, or to expend them on behalf of customers and stakeholders.

Other Library-Related Organizations: Eligibility guidelines for additional library-related organizations such as library associations, graduate library education programs, and library consortia will be developed prior to the end of the 1997 calendar year.

• Other Eligibility Determinants

Specific eligibility requirements will be driven by the priorities that are set in the strategic plan and the annual plans for targeting the funds to achieve the five-year vision and targets.

Policies for Grant Awards

The new LSTA broadens eligibility for grants while at the same time establishing a results-oriented process that must be carried out in an environment characterized by rapid change. These changes must be accomplished with an estimated $3 million annually-the same amount currently available under LSCA Titles I, II, and III. In response to these factors, the grant program will be significantly different.

The State Library intends to develop additional policies for the federal grant award process to align the new LSTA program and state-based priorities. General directions for the policy decisions include:

• The intention to require some form of matching money for grants to support the guiding principle of using federal funds to leverage increased local funding.

• Making funds available through four categories of grants to achieve the goals of the plan.

• Various strategies that will make the funding accessible and attractive to libraries of all sizes.

• Review of grant applications by the LSTA Advisory Committee and readers or reading teams as appropriate.
  

Grant categories include:

• Statewide Leadership Grants: Funds designed to support programs with broad, statewide impact developed by the State Library in response to emerging or broad-based needs and consistent with the LSTA plan and priorities. Funds in this category should be designed to support change-oriented initiatives and not to support ongoing statewide programs.

• Mini-Grants, called EZ-LSTA Grants: These will be awarded based on annual priorities and allocations of specific amounts of money for specified purposes with simplified grant application forms. EZ-LSTA Grants will not require letters of intent and will be designed to distribute funding quickly through a simplified grant process. State Library staff will review applications, and applicants whose projects are not funded will have the option to appeal the decision to the LSTA Advisory Committee.

• Innovation Grants: Funds allocated to one or more libraries designed as the first step in the change process. Projects would be designed to test a concept or to demonstrate new approaches or new services. Additional grants might enable replication of the projects by other libraries or in a broader statewide context.

• Grants for Local Projects: There will be an annual plan to implement the overall strategic plan. Libraries or groups of libraries will be invited to apply for grants to support projects that will assist in implementing the plan.

The State Library will use a sequential process to award grant funds other than the EZ-LSTA Grants that will include the following steps:

• development of annual priorities based on the LSTA strategic plan, priority needs, and the evaluation of the program outcomes to date;
• invitation to libraries to submit letters of intent briefly outlining the projects they intend to propose for funding;
• evaluation of the letters of intent by the State Library staff and the Advisory Committee using objective "impact criteria" that reflect the state's priorities, the goals of LSTA, and grant guidelines that determine eligibility for funding;
• feedback that advises applicants whether or not to submit a full proposal based on the review of the letters of intent;
• technical assistance from State Library staff to applicants; and
• review of final proposals by State Library staff and the LSTA Advisory Committee to determine the final projects to be funded based on a series of objective criteria.

"Impact criteria" will be used by reviewers to evaluate letters of intent and final proposals. Potential "impact criteria" might include the following:

• enhances equity by increasing an underserved population's access by raising a library's resources and services to a defined level of adequacy;
• can enable a library to meet criteria for success in a defined model of library effectiveness;
• strengthens statewide cooperation and resource sharing;
• increases access to electronic and print information either statewide or to an underserved population;
• is an "innovation" project with the potential to serve as a best practice model;
• develops services that can be sustained after grant funding ends; and
• can help achieve the outcome measures defined in North Carolina's LSTA plan.
  
  

EVALUATION

One of the major changes in the new LSTA is the heightened emphasis on evaluation and accountability. Based on both the legislation and recent actions by the Congress and the President, the State Library intends to develop methods by which to demonstrate the measurable impact of the use of federal funds on the overall improvement of library services statewide.

Overview of the Evaluation Approach

The State Library has identified the need to focus on evaluation in three different areas: to provide a summative evaluation of the 5-year plan; to introduce an evaluation component as part of grant awards; and to develop an approach to evaluation which relates it to the broader, defined mission to increase awareness, communication and evaluation skills of the library community overall as part of the need to convince the larger North Carolina community of the impact of effectiveness of library services.

The values for the evaluation process are:

• Measurable

The overall intent is to focus on developing an understanding of what constitutes measurable outcomes which can in turn be used to measure effectiveness as a result of the expenditure of LSTA funds. Customers receiving funds will be expected to provide evaluation methods which are quantifiable to the extent possible.

• Customer Service Focused

Customer satisfaction, impact, and perceptions will be important measurement elements which will be used as the basis for certain evaluation methods such as customer surveys about services.

• Linked to Statewide Improvement in Evaluation

The evaluation requirements for LSTA will be consistent with training and development of evaluation skills for State Library staff as well as customers. The dual purposes of the focus on evaluation will be to improve evaluation skills overall statewide and to develop an approach to evaluation which leads to the understanding and adoption of consistent statewide indicators.

Evaluation Process

The evaluation process for North Carolina will include these activities:

• Summative evaluation. The State will engage an outside consultant with specialized expertise in the area of program evaluation to collect data and to assess the overall performance of the LSTA program at the end of the five-year period.

• Incorporating evaluation skills in State Library overall program plans. Beginning as soon as possible after filing the LSTA plan, the State Library intends to begin the process of developing its internal evaluation capacity by working with the Library Development consulting staff to incorporate a strong evaluation component in all the projects that they manage. Through training, coaching, and actual experience, the Library Development Consultants will begin the process of developing the State Library's capacity to provide leadership and support in strengthening evaluation of library programs statewide.

• Identification of key evaluation processes and methods. The State Library will investigate key evaluation methods suitable for adoption for training and technical assistance purposes. The three areas of focus will be:
  • assessment methods such as critical success factors, best practices, benchmarking,
  • measurement methods such as surveys, questionnaires,
  • outcomes or effectiveness categories such as output measures, desired outcomes, and customer service measures such as satisfaction.
    
• Develop State Library staff evaluation and measurement skills. Staff of the State Library will be afforded training to improve their knowledge and skills in understanding and using evaluation as a process, in defining measurement activities as they relate to evaluation, in skills related to measurement tools, and in evaluation overall. The overall objective will be to increase State Library staff ability to serve as trainers and to offer technical assistance to libraries who are LSTA applicants.

• Training and technical assistance for grant applicants. Libraries that apply for grants will have access to both technical assistance and training in evaluation to improve their ability to apply and design an effective evaluation process, method and proposed outcome before assembling their final grant application package.

• Evaluation is required component of grant applications and included in impact criteria. The grant award process adopted by the State Library will require that all applicants for grants propose a formal evaluation process as part of the final grant award application submission packet. The grant review process will include the planned evaluation as part of the competitive impact criteria, emphasizing its importance.
  

ADDITIONAL POLICIES AND PLANS

Use of LSTA Funds for Administrative Purposes

Under the terms of the new LSTA, the State Library is authorized to use up to 4% of the state's allotment to support administration of the program. The following expenditures are anticipated to be required to support the program:

• Indirect costs required by the Department of Cultural Resources,

• Costs of convening meetings of the LSTA Advisory Committee and other advisory groups such as reading teams,

• Contractual services to labor consultants to monitor wage and hour rates for all active LSCA Title II construction projects until all projects are completed,

• Costs associated with LSTA program administration such as printing, postage, supplies, etc.,

• Costs associated with training to support implementation of LSTA, including grant writing workshops, evaluation workshops, and training for grant reviewers,

• Costs associated with convening periodic regional meetings associated with LSTA needs assessments and planning,

• State Library staff travel costs associated with various LSTA statewide, regional, and national activities,

• Costs associated with contracted consultant services with an outside evaluator to prepare and conduct a summative evaluation of the 5-years of LSTA programs as required by the LSTA Act, and

• Other consulting costs associated with the administration of the program.
  

Plan Availability to Public

The State Library will make the full contents of its plan available via the Internet by posting it on its Web site. Print copies will be available for review, and summaries will be distributed to the library community.

Analysis of Needs, Goals & Objectives