College and Research Libraries A New Strategic Planning Model for Academic Libraries Douglas G. Birdsall and Oliver D. Hensley Models provide a framework for visualizing effective action. This paper presents the application of a strategic planning model developed by Oliver Hensley and Martin Schoppmeyer for the Society of Research Administrators. It should have applicability for those who are seeking to establish the future purposes of academic libraries. The example of library development and fund-raising activ- ity is used to illustrate the various stages of strategic planning. The Hensley- Schoppmeyer model operates on the assumption that people with similar motivations can agree on mutual goals and form beneficial partnerships that will advance a shared interest. · trategic planning for libraries is no longer a new concept. University libraries first rec- ognized its potential through David Kaser's·landmark work in 1972 at Cornell, and monographs on the subject now include Donald Riggs' Strategic Planning for Library Managers, M. E. · L. Jacob's Strategic Planning: A How-to-Do-It Manual for Librarians, and Strategic Plan- ning in Higher Education: Implementing New Roles for the Academic Library, edited by James F. Williams II. 1 The journal literature discusses such subjects as the appropriateness of strategic planning for libraries, the incorporation of organizational values into the strategic planning process, the entrepreneurial spirit, implementation and first-year ap- praisal, and utilization of strategic plan- ning by new directors at ARL libraries.2 There are also studies of strategic planning in public libraries, state chapters, a school of library and information science, urban libraries, rural libraries, national libraries, and internationallibraries.3 The Association of Research Libraries issued a SPEC Kit on strategic planning as early as 1984, and the Association of College and Research Libraries has offered a continuing education course ("Principles of Strategic Planning in the Library Environmenf') and developed a strategic plan for charting the future direction of the Association.• In addition to publications in the lit- erature of librarianship, libraries have access to the rich corpus of management literature on strategic planning, and are likely to be guided and directed by the broader strategic planning done in their institutional settings. George Keller's Academic Strategy: The Manage- ment Revolution in American Higher Ed- ucation reported on the strategic planning undertaken by colleges and universities, which have traditionally been slow to adopt modern management and planning techniques.5 Ten years after Keller's study, many academic libraries are important participants in the strategic planning implemented by institutions that must adjust to new economic realities. Can the library planner in academe find help from yet another source? A mono- graph published in 1992 by the Society of Douglas G. Birdsall is Associate Director of Libraries for Information Access and Systems and Oliver D. Hensley is Professor of Education at Texas Teclz University, Lubbock, Texas 79409-()002. 149 150 College & Research Libraries Research Administrators, Strategic Planning for University Research, offers a model for strategic planning which may be the best fit yet for academic libraries.6 Strategic plan- ning for university research is a process of establishing the future purposes of a unit by striving for a consensus for developing its research with chief partners and major constituencies. This important collaboration between partners and constituencies has been missing from most libraries' strategic planning. This may be why library strategic plans often gather dust in- stead of momentum. Library adminis- trators who operate in an increasingly complex information environment should consider carefully a planning process which can help to guide and to coordinate a uni- versity's diverse research activity. The purpose of this article is to pre- sent the planning model developed in Strategic Planning for University Research and to illustrate its usefulness for aca- demic libraries. The example of library development and fund-raising activities will be used to show how the model can be adapted by library planners. Fund- raising is increasingly important to aca- demic libraries, and the process is best understood when seen from a planning (development) context/ Modeling the strategic planning process allows all who are involved to share a common frame of reference for their planning activities. It also permits planners to monitor progress toward the development of an agreed-upon series of outcomes. The Hensley-Schoppmeyer model used in Strategic Planning for Uni- versity Research is given in figure 1. POSITIONING THE ARCHITECTS Positioning strategic planning archi- tects for creation of a plan that will en- hance funding at a university library is represented in figure 2. Positioning the architects is seldom discussed by writers on strategic plan- ning, but the thought given to choosing the best people to do planning is vital for the success of the entire process. The library administration conceives the requisite organizational planning struc- ture and then selects the best planners March 1994 available. Authority is given to planners in a specific charge. Authority for the planning design can follow traditional hier- archical lines or functional divisions, depend- ing on the chief administrator's propensity for managing planning activities. The current funding crisis in higher education and alternatives to print me- dium and local ownership are changing the nature of collections and services in research libraries. These issues are of great concern to faculty, campus administrators, students, alumni, and · to others who seek the best libraries possible for the institu- tion. The strategic planning involved with generating new funding sources should include all stakeholders, because mutual understanding about problems and ob- stacles can lead to goals that address the information needs of a diverse university. community. The composition of the plan- ning team should include representa- tives from major impact areas. Strategic planning operates on the as- sumption that people with similar moti- vations can agree on what their mutual purpose should be and can form benefi- cial partnerships that will advance a shared interest. If long-term success is to be realized, it is critical that awareness, advocacy, and acceptance of needed cha~ge involve the library's chief part- ners and major constituencies. Research libraries have shifted from being supply- to demand-driven operations, and this new alignment necessitates broadly based affiliations. Liaison structures in- volve the establishment of contacts with a wide spectrum of supporting partners. This includes the positioning of key li- brary administrators on planning and decision-making teams of on- and off- campus organizations. Library adminis- trators look for opportunities to convey their message and secure commitments. SCANNING THE ENVIRONMENT Environmental scans are a standard feature of strategic planning. They iden- tify impact areas, as well as current condi- tions and future factors that will likely affect the institution or unit. An outline of an environment scan for library develop- ment and fund-raising is given in figure 3. New Strategic Planning Model 151 Positioning the Architects Scanning the Environment Analyzing Strategic Options Strategic Planning Designing Unit Plans Accepting the Agenda Adopting the Strategic Plan FIGURE1 Hensley-Schopprneyer Strategic Planning Model 152 College & Research Libraries March 1994 Planning Hierarohy Designing the · Planning Team Planning Composition Structure Liaison Structure Positioning President the Architects Academic Departments Provost University Faculty Library Vice Provost Committee for Academic Affairs Selecting University Development Office of Leaders Development Provost Council University Office of Research Services Faculty Senate Friends of the University Library Student Senate Alumni FIGURE2 Positioning the Architects The environmental scan should focus on those areas relevant to advancing the mission of the university and the library. The information gathered can help es- tablish a planning framework by identi- fying the key players and bringing into focus their needs, issues, assumptions, and opportunities. Information is obtained from a number of sources, including librar- ians, campus administrators, faculty, and students. They are asked where the li- brary is today, where it should be in five years, and the changes needed to move in the desired direction. ANALYZING STRATEGIC OPTIONS In this phase of planning, the advan- tages and disadvantages of various deci- sion paths are identified and compared. In fund development, scenarios can be New Strategic Planning Model 153 1 Identification of I I Strate~pact J Individual I Giving I Opportunities I Trends in I I State and University Levels of Funding I Federal I I and Foundation Scanning I Trends in I Grantmaldng Scholarly External I Target Areas Publishing I Partnership I and Liaison I Trends in I I Opportunities Library I Technology I I University I Endowment I Demographic J and I Social Trends Scanning the Environment Collection and Services Needs of Faculty University and Library Missions Collection and Services Needs of Students University Priorities Scanning Alternatives Internal to Target Areas Local Ownership \ Library ~ Funding Levels and Sources Library Technology Library Organizational Structures and Staff Library Facilities and Equipment FIGURE3 Scanning the Environment cast in various ways. One method is to direct attention to the consequences of various budgeting levels, such as reduc- tion goals, minimal goals, and maxi- mum goals. Other approaches include a status quo or incremental policy, an "ac- cess over ownership" orientation, an alar- mist option (e.g., buy no books and reduce all building hours), and an analysis and development perspective. Targets exter- nal to the library, such as corporate affil- iations, individual giving, and the uni- versity endowment, need to be ad- dressed (see figure 4). However they are presented, an analysis of strategic options should bring together the best scenarios and allow planners to recommend several courses of action at different levels. The scenarios allow all to see what has been 154 College & Research Libraries Analyzing Strategic Options ~ ~ ~ Partnership within the University ~ ~ .._ ~ - Library Development Initiatives ~ --- FIGURE4 Analyzing Strategic Options March 1994 Creating Campus Awareness of Library Needs President's Advocacy of Library Funding to Regents and Legislature Mflliation with University Development Office Commitment from University Endowment Links to Faculty Research Grants Links to Development Efforts by Colleges and Other Campus Units Creating Programs of Individual Giving Seeking Federal and Foundation Grants Creating Community and Corporate Partnerships Pursuing Consortia and Network Development Opportunities recommended from a particular set of cir- cumstances. Library administrators can then set realistic goals that will guide the library for an extended period of time. DESIGNING THE PLAN At this stage, planners align the goals of the library with the goals of the library's constituencies and the mission of the uni- versity. Library administrators match the Designing Unit Plans New Strategic Planning Model 155 best ideas of planning participants with the library's limited resources in order to achieve a specified outcome. They must de- cide on how development efforts will be funded, focused, organized, and staffed. A program for continuous planning and evaluation is created (see figure 5). A description of design elements in the written plan is beyond the scope of this paper; however, many of the characteris- Library Development Targets Funding, Structures, and Staffing of Development Activity Articulation of Needs Addressed by Enhanced Revenues Library Goals Aligned with those of University and Major Partners Ongoing Planning, Review, and Evaluation FIGURES Designing Unit Plans 156 College & Research Libraries tics of research unit plans are appro- priate for libraries. A planning docu- ment should include concise statements on the following: • Executive summary • Mission statement • Analysis of needs or motivating fac- tors • Value of strategic planning • Uniqueness of libraries' strengths and weaknesses • Identification of goals and objectives to be pursued • Supporting partnerships and affiliations • Supportive campus environment • Development of human resources • Financial planning to achieve objectives • Time-line • Methods of review and evaluation Accepting the Agenda March 1994 The strategic planning document will provide the basis for the case statement used in fund-raising activities. Of par- ticular importance is the articulation of funding goals. Library needs must be easily understood and marketable to donors. At the same time, these pro- grams and projects have to represent accurately the priorities of the library. If funding is achieved for areas not compatible with planning goals, the li- brary becomes reactive and diverges from the purposes that have been .care- fully constructed with the help of constit- uencies and partners. ACCEPTING THE AGENDA The acceptance phase of strategic plan- ning is often neglected by planners. The Library Acceptance University Acceptance Partner and Constituencies Acceptance FIGURE6 Accepting the Agenda differences between strategic planning and other types of planning need to be understood. Operational plans are the means of achieving institutional goals according to the budget presented to the unit. Tactical plans determine the specific objectives for achieving those goals. Unless strategic planning is con- ducted first, both operational and tacti- cal planning are limited to the direction set for the unit by an outside office. The process of strategic planning reverses in the acceptance phase. Plan- ners stop searching for information and begin to affirm goals, prioritize plans, and seek endorsements from their part- ners. It is a mistake to think that plan- New Strategic Planning Model 157 ning is finished after the environment has been scanned carefully, options have been analyzed, and goals have been set. A design that has only unit support may be a long-range plan for the unit, but it falls short of being strategic planning. Strategic planning requires acceptance of the agenda by partners and constituencies. Acceptance depends on informing stake- holders about what is being planned and how their own goals are advanced by it (see figure 6). Designing a library plan, even when it involves representatives from impact areas, concerns the articulation of oper- ating activities at one administrative level. Because collegial power is charac- Impact Areas Stakeholders Influence Paths Adopting the Strategic Plan Adoption Stages FIGURE7 Adopting the Strategic Plan - Key People Architecture Advocacy Awareness Acceptance Adoption 158 College & Research Libraries terized by the sharing of authority and resources, the acceptance phase involves validation from others that the plan is worthwhile and can be promoted as part of the university agenda. Supporting partners, both on and off campus, will have different planning and budgeting mechanisms from those of the soliciting unit, and adjustments will have to be made in order to align the plans, sched- ules, and budgets of all concerned. ADOPTING THE PLAN Adoption of a strategic plan can be thought to have occurred when principals commit their resources to the advance- ment of common goals. More important than the amount of enhanced revenue is the establishment of a joint planning process which will serve the mutual needs of participants far into the future. March 1994 Adoption, shown in figure 7, occurs in the following stages: • Architecture-Carefully chosen plan- ners conceive the ideas for change and project that vision to the unit's many constituents. • Advocacy-Plans are championed that will help to transform the unit's future. • Awareness-All stakeholders know the benefits and consequences of the plan and feel that the goals are attain- able. • Acceptance-Stakeholders give ap- proval of a schedule for implementa- tion of the plan. • Adoption-Principals support and adopt both the plan and the strategic planning process. They implement ob- jectives of the plan and contribute their resources to the achievement of mu- tual goals. Federal Government State Legislature Higher Education Board University Administration Office of Development University Faculty Students Friends of the Library Alumni Philanthropic Foundations Prospective Donors Library Consortia & Networks Professional Associations ARCHITECTURE ADVOCACY AWARENESS ACCEPTANCE ADOPTION Adoption Stages FIGURES Change Cube for Library Development and Fund-raising Using the example of library develop- ment and fund-raising, the change cube model shows the linked facets of agenda, stakeholders, and adoption stages in strategic planning, as shown in figure 8. CONCLUSION Models provide a framework for visu- alizing effective action. The strategic planning model developed by Hensley New Strategic Planning Model 159 andSchoppmeyoris a design for change in a setting increasingly defined by its array of partnerships. Academic librar- ies have had long-standing links to the research environment. Now, as they en- gage in establishing future purposes, librarians may be well served by the planning perspectives being adopted by university research administrators and principal investigators. REFERENCES AND NOTES 1. William E. McGrath, Development of a Long-Range Strategic Plan for a University Library: The Cornell Experience; Chronicle of the First-Year's Effort (Ithaca, N.Y.: Cornell University Libraries, 1973). (ERIC Document ED077511); Donald E. Riggs, Strategic Planning for Library Managers (Phoenix, Ariz.: Oryx, 1984); M. E. L. Jacob, Strategic P{anning: A How-to-Do-It Manual for Librarians (New York: Neal-Schuman, 1990); James F. Williams II, ed., Strategic Planning in Higher Educa tion: Implementing New Roles for the Academic Library (Binghamton, N.Y.: Haworth, 1991). · 2. Ida Vincent, "Strategic Planning and Libraries: Does the Model Fit?" Journal of Library Administration 9 (1988): 35-47; Rick B. Forsman, "Incorporating Organizational Value into the Strategic Planning Process," Journal of Academic Librarianship 16 (July 1990): 150-53; Donald E. Riggs, "Entrepreneurial Spirit in Strategic Planning," Journal of Library Administration 8 (Jan. 1987): 41-52; Bonnie Gratch and E. J. Wood, "Strategic Planning: Implementation and First-Year Appraisal," Journal of Academic Librarianship, 17 (Mar. 1991): 10-15; Meredith Butler and Hiram Davis, "Strategic Planning as a Catalyst for Change in the 1990s," College & J{esearch Libraries 53 (Sept. 1992): 393-403. 3. Brooke E. Sheldon, "Strategic Planning for Public Library Services in the 21st Century," Journal of Library Administration 11,. nos. 1-2, (1989): 199-208; /Kathy A. Parsons, "Strategic Planning f the Iowa Chapter of ACRL," College & R~earch Libraries News 52 (Jan. 1991): 24-28; obert M. Hayes, "Strategic Planning for Information Resources in the Research Uni ersity," RQ 25 (Summer 1986): 427-31( M. E. L. Jacob and D. L. Rings, "Management and Strategic Planning in Urban Libraries," in Trends in Urban Library Management, ed~ohammed M. Aman and Donald J. Sager (Metuchen, N.J.: Scarecrow, 1989): 17-44· J. L. Grieshop and P.R. Fretz, "Strategic P~nning for Rural Libraries: A California ase," Rural Libraries 10, no. 2 (1990): 45-60 Patricia ?,enion, "Strategic Planning in National Libraries," IFLAJournal17, no. 4 (19 1): 395-9o/zheng Ting, "A Strategic Plan for Developing University Libraries in China," International Library Review 21 (Oct. 1989): 509-18. 4. Association of College and Research Libraries, Strategic Planning in ARL Libraries (Washington, D.C.:ARL Office of Management Studies, 1984); Julie A. C. Virgo, Prin- ciples of Strategic Planning in the Library Environment (Chicago: Association of College and Research Libraries, 1984); Association of College and Research Libraries, ACRL's Strategic Plan (Chicago: Association of College and Research Libraries, 1987). 5. George Keller, Academic Strategy: The Management Revolution in American Higher Edu- cation (Baltimore, Md.: Johns Hopkins Univ. Pr., 1983). 6. Oliver D. Hensley, ed., Strategic Planning for University Research, Society of Research Administrators, Monograph no. 4 (Lubbock, Tex.: Texas Tech Univ. Pr., 1992). 7. Mary Bailey Pierce, "Fund-raising/Development Plan," in Raising Money for Academic and Research Libraries, ed. Barbara I. Dewey (New York: Neal-Schuman, 1991), 1. New from Greenwood Press 100 KEY DOCUMENTS IN AMERICAN DEMOCRACY Edited by Peter B. Levy This documentary collection traces the development and meaning of democracy in America from colonial times to the present. Written or spo- ken by presidents and ex-slaves, political theorists and poets, Supreme Court justices and suffragettes, lib- erals and conservatives, these documents reflect the diversity of the American experience and the ongo- ing struggle to achieve the ideals on which the nation was founded. 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