Appendix B

Specifications for Data Gathering Instruments

1. User Request Survey

A series of questions to be answered by users who ask to use an Experimental Title in storage. This instrument accompanies all Study Titles or copies of articles from Study Titles requested from Storage Locations.

Data Elements

• Title and issue of Journal
• User Demographics
• Campus Name
• Department
• Undergraduate student
• Graduate student
• Faculty
• Staff
• Other UC
• Not UC
• Department / Discipline
• Type of Use
• Unaware that an online version was available
• Professor insisted I use the print source, not the online version
• Prefer to read the material in the print format
• Prefer to browse or scan the volume/issue in the print format
• User Environment
• Vision problems make use of print preferable
• Journal Content and Presentation
• Online version incomplete, need material only available in print
• Images or photos do not possess adequate resolution in electronic version
• Maps or special features do not work in the online format

Administration/Guidelines

Storage Locations for Experimental Study Titles enclose a User Request Survey in the requested Study Title volume, unbound issue, or photocopy/FAX. Staff at campus pickup points ask the patron to fill out the survey and return it. A follow-up email is used to encourage users to complete the survey. Completed surveys are matched with a copy of the Return Request Form retained by the Storage Location to track return surveys. The survey is also available via email and in the publicity section of CMI Staff web site. The survey includes a place for the requesters to indicate willingness to participate in further interviews. (See complete guidelines.)

2. Return Request Forms

Copies of standard local library forms completed by library staff or users when making a request for returns or copies of experimental Study Titles in storage.

Data Elements

• Title and issue of title
• Recipient Library of loan/copy
• Media loan or copy

Administration/ Guidelines

Return Request Forms are completed either on-line or in print form by the user, often with guidance from library staff. They are not uniform in design but they always accompany a request. During the Experiment, the Storage Location will make a copy of all requests for Study Titles, retaining these to match against Return Request Surveys to ascertain Survey completion rate as well as provide a list of potential participants in the formative interviews.

3. Experimental Use Worksheets

Quarterly activity reports from Storage Facilities summarizing, by Study Title, return requests and fulfillment details.

Data Elements

• ISSN, Title and study coverage dates
• Number of requests by Study Title by study period
• Number of requests filled by loan/copy

Administration/Guidelines

Methods for recording use of experimental titles vary; SRLF is using ORION 2 so that use statistics can be extracted from the local system. The NRLF and other storage facilities will maintain a log and file of requests as the method of tracking usage Study Titles. The campuses of Santa Barbara, Davis and San Diego are using local storage facilities. The counts of each use of a volume or unbound issue will be entered on the Excel Worksheets that contain Study Titles, holdings in study and period being counted and emailed to CMI staff.

4. Control Use Worksheets

Quarterly activity reports from Control Sites summarizing, by Study Title, the number of uses recorded on the Control Use Data Slips.

Data Elements

• ISSN, Title and study coverage dates
• Number of all reshelving instances including in-library use, circulation, and document delivery for each Study Title at a particular Control Site.
• Number of bound volume versus unbound volume uses.

Administration/Guidelines

Campus specific preformatted worksheets containing Study Titles, holdings in study and period being counted are supplied by the CMI Project for completion on a quarterly basis. Local library staff will examine the Use Data Slips in each Study Title. The Control Use Data is summarized on the quarterly Control Use Worksheets and sent to CMI staff by each Control Site for addition to the research database.

5. Control Use Data Slips

Slips, inserted in each piece of a Study Title, for staff at Control Sites to record all reshelving instances by date.

Data Elements

• ISSN, Title and study coverage dates
• Number of unique date stamps/notations during study period

Administration/Guidelines

Each volume of a Study Title is marked with customized CMI labels on front covers and spines for easy recognition. A customized Control Use Data Slips for recording data is attached inside the front cover of marked volumes. Staff record each instance of reshelving with a dated entry on the slip. On a quarterly basis entries on slips are counted and recorded on the Control Use Worksheets. At the end of the experiment the Use Data Slips will be removed from Study Titles, returned to the CMI Project and tabulated to verify the interim quarterly counts.

6. Digital Use Reports

Transaction data from Providers for electronic access to Digital Study Titles from Experimental and Control Sites.

Data Elements

• Provider Name
• ISSN, Study Title and study coverage dates.
• Number of unique views.
• Number of unique downloads.

Administration/Guidelines

On-line examination and download of Provider data provides record of the number of times the Digital Study Title is accessed from the Control Site and from the Experimental Site. HTML, PDF, and proprietary format views and downloads will be counted. This count does not include front matter, table of contents, images or references.

7. Phase I Cost Worksheets

Financial reports from campuses and storage facilities on actual costs and staff effort in establishing the Experimental Condition.

Data Elements

• Management Activities. Includes communication at both the local campus level and at the intercampus level; troubleshooting, problem solving, error checking the titles database, communication to develop local procedures, team-building.
  
  
• Experimental Libraries: Print Journals
  Publicity - fixed. Includes: Build link from local site to CMI website; Provide press release to campus newsletters
  Publicity - variable. Includes: Reproduce information signs from adaptable text for empty shelves; Place information signs at empty shelves; Reproduce information handouts from adaptable text for service desks; Place information handouts at service desks; Produce comment cards
  Library Processing - titles. Includes: Selection of titles; Prepare for record updates, print records; Revise pulled material; place searches and holds; Tally statistics; Re-file forms or documentation
  Library Processing - volumes. Includes: Pull and size volumes; Label spine and cover of volumes for identification; Pack and secure trucks for storage; Transport items to Storage Facility (local or regional)
  Bibliographic Control Includes: Update local bibliographic records; up load records to Melvyl
  Training. Includes: Training for pulling and labeling study titles; Training for recording usage data; Training for service desks; Training for ILL and document delivery staff
  Documenting Costs Includes: Recording and estimating time and rate for applicable tasks
  
  
• Experimental Libraries: Digital Journals
  Library Processing. Includes: Catalog title or revise existing cataloging; Verify that electronic issue is accessible; Update holdings information
  
  
• Control Libraries: Print Journals
  Publicity - fixed. Includes: Build link from local site to CMI website; Provide press release to campus newsletters
  Publicity - variable. Includes: Reproduce information handouts from adaptable text for service desks; Place information handouts at service desks; Produce comment cards from adaptable text (optional); Place comment cards (optional).
  Library Processing - titles. Includes: Selection of titles; Prepare for record updates, print records; Tally statistics; Re-file forms or documentation
  Library Processing - volumes. Includes: Pull titles; Label spine and cover of volumes for identification; Fill in Title on Use Data Slip; Reshelf marked and labeled volumes; Measure shelf space.
  Bibliographic Control Update local bibliographic records Update holdings information
  Training. Includes: Training for pulling and labeling study titles; Training for recording usage data; Training for service desks; Training for ILL and document delivery staff
  Documenting Costs. Includes: Recording and estimating time and rate for applicable tasks
  
  
• Control Libraries: Digital journals
  Library Processing. Includes: catalog title or revise existing cataloging; verify electronic issue is accessible; update holdings information.
  
  
• Storage Facilities: Print Journals
  Processing. Includes: Check-in and shelve items at storage facility; Relocation of titles from with-in storage facility
  Bibliographic Control. Includes: De-accessioning
  Training for pulling and labeling study titles; copying and filing request forms for items; for walk-in requests at facility, document delivery staff to include survey; and staff coordination and supervision
  Documenting Costs - Hours. Includes: Recording and estimating time and rate for applicable tasks.
  Documenting Costs - Volumes. Includes: Measuring shelving used: Cost per volume per year for storage of material
  
  
• Storage Facilities: Digital Journals
  Presently there are no costs associated with storage facilities and digital journals

Administration/Guidelines

Cost taxonomy worksheets are provided to each Campus Liaison by the project for completion based on local cost figures.

8. Phase II Special Cost Studies

A series of campus focused examinations of cost increase or decrease in subscriptions, licensing fees, binding, copying, handling, or other areas that may be impacted by the Experimental Treatment when applied over an extended time.

Planned Special Studies

Potential Savings to UC from Print Subscriptions: Important to answering the research questions is understanding of the true costs and potential savings from alternate serial acquisition scenarios. This requires knowledge of extant digital and print subscriptions, subscription costs and terms and conditions of the relevant licenses agreements that might restrict the ability to cancel print, or restrict savings that can be achieved through print cancellations. This special study will provide the necessary data to assess actual savings through a case-by-case analysis of the relevant license agreements, and provide an accurate picture of the savings that might be realized through print cancellation.

Data Elements

The report will include study title, ISSN, publisher, number of print subscriptions, print subscription cost, digital license terms and conditions, digital license cost and any notes or narrative necessary to understand the data.

Administration/Guidelines

This analysis will be limited to the publishers of these study title except in these cases:

• American Physical Society and SIAM as the digital comes in the "free with print" model will not be included
  
• JSTOR as the license to these title is through the original publisher.
  

The primary source of subscription information will be Melvyl PE.

At this time, there is a need to design additional special studies to further examine costs and savings.

9. Formative Interviews

Objective: interviews with select users and staff to inform the design of the survey on user preferences for digital and print. Specific areas of interest are the identification of questions that will successfully inform on User Demographics, types of use of journals, the users environment, and characteristics of journal typology and content that might be important to predicting digital or print use and preference.

Possible Data Elements

• User Demographics
  • Age (year of birth)
  • Sex
  • Highest level of education completed
  • Year highest degree granted
  • Academic Area:
    • Arts and Humanities
    • Life and Health Sciences
    • Physical Sciences and Engineering
    • Social Sciences
  • Undergraduate student
  • Graduate student
  • Academic Staff
  • Non-academic Staff
• User Environment:
  • Frequency of Library visits
  • Proximity to Library
  • Frequency of print journal use
  • Frequency of digital journal use
  • Campus or home office use
  • Technical capabilities
  • Proximity to computer & printer
  • Habit
  • Convenience of access
  • Success in locating relevant information,
  • Timeliness of delivery
  • Comprehensiveness of print/digital collections
  • Dependability in resolving service problems
  • Ability to browse
  • Security of search information
  • Personal subscriptions
• Types of use:
  • General literature review on topic
  • Browsing for discoveries
  • Personal interest
  • Research project
  • Class preparation
  • Browsing for discoveries
  • Specific search
  • Habit
  • Other

Core interview questions

• What are the reasons that you prefer to use digital journals?
• What are the reasons that you prefer to use print journals?
• What are the barriers to you in using digital journals?
• Considering the content and presentation features of journals, which are most important to you when choosing to use the journal in the digital form?
• When thinking of the following activities what is the likelihood that you would use the digital or print version of a journal?
  • When you review or browse journals to keep current.
  • When you conduct a specific search for the retrieval of relevant journal.
  • When you exchange journal content with others.
  • When you organize journal content into a personal library or database.
  • When you cite others work.
  • When you read journals for personal interest or pleasure.
  • When you compare and contrast several articles.
• Would your decision to use digital change if the print collection was closer at hand?
• Would your decision to use print change if you had to request the print from a storage location?
• When you find a citation but cannot find the digital article what do you do?
• When a print journal is not on the shelf what do you do?

   

(Faculty)

• Do you specifically assign the use of print journals in your courses?
• Do you specifically assign the use of digital journals in your courses?
• What is needed to effectively use digital journals in course assignments?

(Library Staff)

• What does the move to digital media mean to you?
• What is the effect on service to users and in doing the job well?
• How should the impact of removing journals be mitigated?
• Who should be consulted in storing print journals or should this be done by policy?
• What do think is important about the experimental condition?
• What do they think are the questions to ask in the survey?
• What does the library need to know if storing print journals is to be successful?

(Students)

• What is needed to make the digital journal more useful to students?
• What is needed to help you use digital journals more effectively in assignments?
• What are the barriers to students in using digital or paper?

Administration/Guidelines

No less then 30 and no more then 80 individuals will be interviewed. Individuals will be selected from the four major academic areas used in the CMI study. Interviews will be with faculty, staff and students. No subpopulations will be purposefully included or excluded. Two representative campuses, San Diego and Santa Barbara, will be the sites of the Formative Interviews to assure that campuses with different programs of different sizes will be represented and to take advantage of interviewer experience.

Subjects will be contacted through library bibliographers, members of the Senate Committee on Libraries, departmental subject specialists, announcements in selected classes and volunteer forms inserted in returned print items from storage. Individuals will voluntarily answer questions concerning their choices and experiences. The interview will take between half and one full hour.

Completed interviews will be given a numeric code for tracking and storage in the database. This code will only indicate the campus of origin and the sequence of receipt of the instrument to protect the confidentiality of the individuals questioned.

10. Structured Interviews

Interviews with a broad range of users and library staff familiar with the Study Titles to examine preferences and behaviors with in the specific context of a particular Study Title.

Data Elements

Questions to faculty, staff and students through interviews on characteristics of digital versus print that prompted use of digital will be specified after the results of the Formative Interviews have been examined.

Administration/Guidelines

These need to be specified after the experience of the Formative Interviews.

11. User Preference Surveys

A widely administered survey to users of both print and digital forms of research journals incorporating information developed in the Formative Interviews, Study Title Characteristics Analysis, User Request Survey and Comment Card Analysis.

Data Elements

Questions to faculty, staff and students through an online and paper based survey on characteristics of digital versus print that prompted use of digital will be specified after the results of the Formative Interviews have been examined.

Administration/Guidelines

To be devised.

12. Comment Cards

Cards at service locations in Control and Experimental Sites and a web site comment function offering users and staff a vehicle to contribute reactions, suggestions and ideas on the Experimental Treatment.

Data Elements

• Name
• Department
• Contact Information
• Willingness to participate further
• Unstructured comments

Administration/Guidelines

Available at service desks, Project and local web sites and other locations in libraries at the discretion of local staff. Completed Comment Cards and on-line comments are gathered and sent to the CMI Project for analysis.

13. Storage Reports

Reports from storage facilities with measurements of volumes and linear feet used by each Study Title.

Data Elements

• ISSN
• Full text title
• Holdings in experiment
• Provider
• Linear measurement of shelf space used by Study Title

Administration/Guidelines

Staff at Storage Locations make measurements of shelf space and send reports to the CMI project.

14. Study Title Characteristics Worksheet

An examination of each Study Title in both digital and print form against a standard list of typology and content features.

Data Elements

• ISSN
• Full text title
• Holdings in experiment
• Provider
• Features
  • Title reputation
  • Abstract quality
  • Current Issue size
  • Bound volume size
  • Quality of Graphics
  • Article length
  • Citation links
  • Professional announcements
  • Grant and funding opportunities
  • Advertisements
  • Position listings
  • Hyper text linking
  • Full text reference linking
  • Search capabilities
  • Inclusion of data sets
  • Inclusion of simulations
  • Inclusion of multimedia evidence
  • Recorded presentations
  • Compare/contrast
  • Browse/ Ease of navigation
  • Critical mass of title, enough issues and volumes
  • Equivalence of print to digital
  • Timeliness of publication, before or after
  • Quality printing capability
• Discipline
• Agriculture & Natural Resources
• Architecture
• Area Studies
• Biological Sciences
• Business and Management
• Communications
• Dentistry
• Education
• Engineering and Computer Science
• Fine and Applied Arts
• Foreign Languages
• Home Economics
• Interdisciplinary Studies
• Law
• Letters
• Library Science
• Mathematics
• Medicine
• Nursing
• Optometry
• Other Heath Sciences
• Pharmacy
• Physical Sciences
• Psychology
• Public Health
• Social Science
• Social Welfare
• Theology
• Veterinary Medicine

 

Administration/Guidelines

Each Study Titles is examined in both digital and print format by project staff. Findings are entered into the worksheet. Worksheet results are transcribed into the Study Title Database.

15. Consultation Process Survey

Aa survey administered to CMI Campus Liaisons on the effectiveness of the consultation and decision making processes needed to achieve the experimental condition.

Data Elements

• Internal Campus Consultation and Decision Making
• Campus-to-Campus Consultation and Decision Making
• Campus Consultation with CMI Staff

Administration/Guidelines

A written survey to Campus Liaisons returned to CMI Project.

References

William G. Bowen, "The Academic Library in a Digitized, Commercialized Age: Lessons From JSTOR", based on Romanes Lecture, delivered at Oxford University, October 17, 2000. <http://www.jstor.org/about/bowen.html>

Joseph Branin, Frances Groen, Suzanne Thorin, "The Changing Nature of Collection Management in Research Libraries", Association of Research Libraries, Washington, D. C. <http://www.arl.org/collect/changing.html>

Norman Buchwald, "Thinking of Information Through the Humanists Eyes", November 1997 and December, 1999. <http://www.library.Arizona.edu/users/buchwaln/humanities.html>

James Burgett, John Haar, and Linda L. Phillips, "The Persistence of Print in a Digital World: Three ARL Libraries Confront and Enduring Issue", Proceedings ACRL Tenth National Conference, March 15-18, Denver, Colorado: 75-80.

Stephen P. Harter and Hak Joon Kim, "Electronic Journals and Scholarly Communication: A Citation Study", Proceedings of the American Society for Information Science, San Diego, CA, May20-22, 1996:299-315. <http://exinfo.ucs.indiana.edu/~harter/harter-asis96midyear.html>

Julie M. Hurd, "Digital Collections: Acceptance and Use in a Research Community", Proceedings ACRL Tenth National Conference, March 15-18, Denver, Colorado: 312 - 319.

International Coalition of Library Consortia (ICOLC), "Guidelines For Statistical Measures of Usage of Web-based Indexed, Abstracted, and Full Text Resources", November 1998.

Mary E. Jackson, "Measuring the Performance of Interlibrary Loan and Document Delivery Services", ARL Access & Technology Program/ ILL/DD Performance Measures Study, December 1997. <http://www.arl.org/access/illdd/illdd-measperf9712.shtml>

Vernon N. Kisling, Jr., Stephanie C. Haas, Pamela S. Cenzer, "Last Copy Depository: Cooperative Collection Management Centers in the Electronic Age", Proceedings of Creating New Strategies for Cooperative Collection Development Conference, Aberdeen Woods Conference Center, Atlanta, Georgia:12-14 November 1999.

Dru Mogge, "Seven Years of Tracking Electronic Publishing: The ARL Directory of Electronic Journals, Newsletters and Academic Discussion Lists", Library Hi Tech 17 , no.1 (1999): 17-25. <http://dsej.arl.org/dsej/2000/mogge.html>

Sarah Pederson and Rosemary Stockdale, "What do the Readers Think? A Look at how Scientific Journal Users See the Electronic Environment," Journal of Scholarly Publishing. 31, no.1 (Oct.1999):42-52.

George S. Porter and Ed Sponsler, "Online Journals: Utility of ToCs vs. Fulltext", ACRL Tenth National Conference, March 15-18, Denver, Colorado: 110-119.

Alastair G. Smith, "Testing the Surf: Criteria for Evaluating Internet Information Resources." The Public-Access Computer Systems Review 8, no.3 (1997). (Refereed Article) <http://info.lib.uh.edu/pr/search/smit8n3.html>

Carol Tenopir and Donald W. King, "Towards Electronic Journals: Realities for Scientists, Librarians and Publishers", Washington, D. C.: Special Libraries Association, 2000.

Patricia Fravel Vander Meer, Howard Poole, and Thomas Van Valey. "Are Library Users Also Computer Users? A Survey of Faculty and Implications for Services." The Public-Access Computer Systems Review 8, no.1 (1997). (Refereed Article) <http://info.lib.uh.edu/pr/search/vand8n1.html>

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