Volume 39
CURRENT ISSUES IN LIBRARIES,
INFORMATION SCIENCE AND RELATED
FIELDS
Advances in
Librarianship
Editorial Advisory Board
Kenneth Haycock, University of Southern California
Maureen L. Mackenzie, Molloy College
Pat Levine (formerly Molholt), Words & Ideas
Marie L. Radford, Rutgers University
Louise Schaper, Schaper Consulting, Inc.
Robert A. Seal, Loyola University Chicago
Barbara K. Stripling, Syracuse University
Catherine C. Wilt, PALCI–Pennsylvania Academic Library
Consortium, Inc.
Volume 39
CURRENT ISSUES IN LIBRARIES,
INFORMATION SCIENCE AND
RELATED FIELDS
Advances in
Librarianship
Edited by
Anne Woodsworth
Glen Cove, New York, USA
W. David Penniman
Columbus, Ohio, USA
United Kingdom • North America • Japan
India • Malaysia • China
Emerald Group Publishing Limited
Howard House, Wagon Lane, Bingley BD16 1WA, UK
First edition 2015
Copyright r 2015 Emerald Group Publishing Limited
Reprints and permissions service
Contact: permissions@emeraldinsight.com
No part of this book may be reproduced, stored in a retrieval system, transmitted in any
form or by any means electronic, mechanical, photocopying, recording or otherwise without
either the prior written permission of the publisher or a licence permitting restricted copying
issued in the UK by The Copyright Licensing Agency and in the USA by The Copyright
Clearance Center. Any opinions expressed in the chapters are those of the authors. Whilst
Emerald makes every effort to ensure the quality and accuracy of its content, Emerald makes
no representation implied or otherwise, as to the chapters’ suitability and application and
disclaims any warranties, express or implied, to their use.
British Library Cataloguing in Publication Data
A catalogue record for this book is available from the British Library
ISBN: 978-1-78441-638-6
ISSN: 0065-2830 (Series)
ISOQAR certified 
Management System,
awarded to Emerald 
for adherence to 
Environmental 
standard 
ISO 14001:2004.
Certificate Number 1985
ISO 14001
Contents
Contributors ix
Preface xi
Professional Issues
Librarians in a Litigious Age and the Attack on Academic
Freedom 3
Mary Kandiuk and Harriet M. Sonne de Torrens
I. Introduction 3
II. Defining Academic Freedom for Librarians 6
III. Canadian Legislation and Academic Rights 8
IV. History of Academic Librarianship and Academic Freedom 9
V. Intellectual Freedom without Academic Freedom 11
VI. Librarians, Collective Agreements, and Faculty Associations 14
VII. Survey on Academic Freedom 17
VIII. Freedom of Speech and New Communication Technologies 19
IX. Professional Concerns in Canadian Universities 27
X. Conclusion 31
References 32
Appendix A 39
Appendix B 42
Educating Ethical Leaders for the Information Society:
Adopting Babies from Business 47
Maureen L. Mackenzie
I. Introduction 47
II. Literature Review 50
III. What Are Management Programs Seeking to Achieve? 54
IV. The Research Project 57
V. Results 60
v
vi Contents
VI. Discussion 72
VII. Conclusion 75
Acknowledgments 76
References 76
Appendix 79
The Role of Librarians in a Knowledge Society: Valuing
Our Intellectual Capital Assets 81
Denise A. D. Bedford, Jennifer K. Donley and
Nancy Lensenmayer
I. Introduction 81
II. Transition from an Industrial to a Knowledge Economy and
Society 82
III. Transformation to a Knowledge Society 87
IV. A Holistic Vision of Knowledge Cities 90
V. Observations 105
VI. Conclusions 108
References 108
Open Peer Review: Fast Forward for a
New Science 115
Samir Hachani
I. Introduction 115
II. Peer Review: A Brief History 116
III. Information Overload: A Prerequisite of Modern Peer Review 119
IV. Modern Peer Review 120
V. Open Processes 123
VI. Internet Era’s Two Pioneering Experiences 125
VII. Three Examples of Open Peer Review 126
VIII. Conclusion 136
References 139
Transforming Services
Effects of Terminology on Health Queries: An Analysis
by User’s Health Literacy and Topic Familiarity 145
Carla Teixeira Lopes and Cristina Ribeiro
I. Introduction 146
II. Related Work 147
Contents vii
III. Methodology 152
IV. Data Analysis 160
V. Discussion and Implications 177
VI. Conclusions and Future Work 179
Acknowledgments 180
References 180
Academic Social Networking: A Case Study on Users’
Information Behavior 185
Anamika Megwalu
I. Introduction 185
II. Changing Nature of Scholarly Communication 188
III. Academia.edu: An ASN Site 189
IV. Challenges in Studying ASN Sites 190
V. Case Study 193
VI. Conclusion 208
Acknowledgments 210
References 210
Appendix A 212
Appendix B 213
The Scholars’ Commons: Redefining Services and Spaces
for Graduate Student Success 215
Michael Perini and Beth Roszkowski
I. Introduction 216
II. Literature Review 217
III. Benefits of a Scholars’ Commons 220
IV. Selection of Current Models 221
V. Findings 222
VI. Discussion 228
VII. Future Research 233
VIII. Conclusion 235
References 236
The Social Library in the Virtual Branch: Serving Adults
and Teens in Social Spaces 241
Lorri Mon and Abigail Phillips
I. Introduction 241
II. Promoting Information Resources and Services 243
viii Contents
III. Participation and Engagement 247
IV. Social Care 249
V. Pastoral Care 250
VI. Outreach, Cocreation, and Motivation 252
VII. Measuring and Assessing the Results of Social Media
Activities 256
VIII. Policy and Privacy 259
IX. Conclusions and Implications 260
References 263
Index 269
Contributors
Numbers in parentheses indicate the pages on which an author’s
contribution begin.
Denise A. D. Bedford (81) School of Library and Information
Science, Kent State University, Kent, OH, USA
Jennifer K. Donley (81) Heterick Memorial Library, Ohio Northern
University, Ada, OH, USA
Samir Hachani (115) School of Library Science, University of
Algiers 2, Algiers, Algeria
Mary Kandiuk (3) Scott Library, York University, Toronto, ON,
Canada
Nancy Lensenmayer (81) School of Library and Information
Science, Kent State University, Kent, OH, USA
Carla Teixeira Lopes (145) Faculty of Engineering, University of
Porto, and Centre for Information Systems and Computer
Graphics, INESC TEC Porto, Portugal
Maureen L. Mackenzie (47) Division of Business, Molloy College,
Rockville Centre, NY, USA
Anamika Megwalu (185) Library, York College/City University of
New York, Jamaica, NY, USA
Lorri Mon (241) College of Communication & Information,
Florida State University, Tallahassee, FL, USA
Michael Perini (215) Fenwick Library, George Mason University,
Fairfax, VA, USA
Abigail Phillips (241) College of Communication & Information,
Florida State University, Tallahassee, FL, USA
Cristina Ribeiro (145) Centre for Information Systems and
Computer Graphics, Institute for Systems and Computer
Engineering of Porto, INESC TEC Porto, Portugal
Beth Roszkowski (215) Arlington Campus Library, George Mason
University, Arlington, VA, USA
Harriet M. Sonne de Torrens (3) Department of Visual Studies and
Library, University of Toronto at Mississauga, ON, Canada
ix
This page intentionally left blank
Preface
This volume is unusual in three ways. First, the theme is quite broad in
scope and may even seem to be a “catch all.” But it is in fact focused on a
specific topic—that is to say innovations and boundary-pushing studies in
areas not usually found in library literature. The second unusual feature is
that this volume is our final work as editors of the Advances in Librarianship
series. As we step down from this role, we want to thank all those who con-
tributed to the success of the series and wish them all well. First among
these is our steadfast Editorial Advisory Board members, without whom
our past seven volumes would not have been successful. Similarly, there
would have been no scholarly and research contributions to the field with-
out our contributing authors, individual topical reviewers. Finally, our
volumes, including this one, have been unusual in that we did not use guest
editors to solicit and complete volumes in conjunction with us as series edi-
tors. Those roles were combined throughout our tenure, and yet, while that
approach increased our individual workloads, we were pleased to have
played this encompassing role. Again, we wish future guest and series edi-
tors all the best with ensuring the continued success of this book series in
the future.
With respect to the content of this volume, the range of topics and the
innovations which are described is impressive.
The authors herein present a look at the periphery of the field surveyed
in previous volumes and provided chapters grouped into two categories 

professional issues and transforming services. Chapters in the section on
professional issues include the challenges facing librarians in an age of liti-
giousness and threats to academic freedom, education of ethical leaders for
the information society by adopting practices from business, evaluation of
intellectual capital assets by looking at the role of librarians in a knowledge
society, and last but not least, exploration of emerging practices of open
peer review as a means of achieving a “new science.” In the section on trans-
forming services chapters include research on the effects of terminology on
health queries by analyzing user’s health literacy and topic familiarity, an
analysis of academic social networking via a case study of users’ information
behavior, a study on redefining services and spaces for graduate student
xi
xii Preface
success by creating a “scholars’ commons,” and a final chapter on serving
adults and teens in social spaces within a “virtual branch.”
As noted above, we could not have succeeded with this final volume
without the help of our Editorial Advisory Board. While we acknowledged
in general terms the help we received from these talented individuals, we
wish to name them specifically as they have been instrumental in making
this series so successful, despite the juggling they did to fit us into their
careers and private lives. They deserve special thanks for advice regarding
themes for these volumes, including this final one in which we cast a wider
net in search of innovations in our field. Members of this exceptional group
are: Kenneth Haycock, Professor Emeritus at San Jose’s School of Library and
Information Science and more recently, Research Professor of Management
and Organization at the University of Southern California in Los Angeles;
Maureen Mackenzie, Business Professor at Molloy College, Rockville Centre,
NY; Pat Levine (formerly Moholt), currently a consultant, grant writer and
editor in Ashley Falls, MA, and retired Associate Vice President at Columbia
University’s Medical Center, New York, NY; Marie Radford, Chair and
Professor of the Department of Library and Information Science at Rutgers
University’s School of Communication and Information, Newark, NJ; Robert
A. Seal, Dean of Libraries at Loyola University, Chicago, IL, who also served
on the Board for our predecessors; Louise Schaper, who after various manage-
ment positions at AT&T Bell Laboratories, became an award-winning
Executive Director of the Fayetteville Public Library, KS and is currently
Vice President of Schaper Consulting Inc., Naples, FL; Barbara A. Stripling,
Assistant Professor of Practice at Syracuse University’s School of Information
Studies in Syracuse, NY, and a past President of the American Library
Association; and Cathy Wilt, Executive Director for the Pennsylvania
Academic Library Consortium, Inc. (PALCI) in Philadelphia, PA.
We thank also members of the Emerald teams with whom we have
worked over these past many volumes. Members of those teams have come
and gone over the years, as change is inevitable in any organization, but we
have appreciated the enthusiasm and helpfulness of all of the staff members
who have been part of the process that has made this one of their most suc-
cessful book series. To Emerald and its staff and the new editors, we wish
all the best with sustaining and building on the past successes of Advances
in Librarianship.
Anne Woodsworth
W. David Penniman
Editors
Professional Issues
This page intentionally left blank
Librarians in a Litigious Age and the
Attack on Academic Freedom
Mary Kandiuka and Harriet M. Sonne de Torrensb
aYork University Libraries, Toronto, ON, Canada
bUniversity of Toronto Libraries, University of Toronto,
Mississauga, ON, Canada
Abstract
With a focus on Canada, but framed by similar and shared concerns emerging in the United
States, this chapter examines the current status of what constitutes and defines academic free-
dom for academic librarians and the rights and the protections individual, professional aca-
demic librarians have with respect to the freedom of speech and expression of their views in
speech and writing within and outside of their institutions. It reviews the historical back-
ground of academic freedom and librarianship in Canada, academic freedom language in col-
lective agreements, rights legislation in Canada versus the United States as it pertains to
academic librarianship, and rights statements supported by Canadian associations in the
library field and associations representing members in postsecondary institutions. The impli-
cations of academic librarians using the new communication technologies and social media
platforms, such as blogs and networking sites, with respect to academic freedom are exam-
ined, as well as, an overview of recent attacks on the academic freedom of academic librarians
in the United States and Canada. Included in this analysis are the results of a survey of
Canadian academic librarians, which examined attitudes about academic freedom, the exter-
nal and internal factors which have an impact on academic freedom, and the professional use
of new communication technologies and social media platforms.
Keywords: Academic freedom; freedom of expression; academic librarians; social media;
defamation; Canada
I. Introduction
On June 7, 2012, notice of action was filed in the Ontario Superior Court
of Justice against McMaster University and Dale Askey, Associate
University Librarian at McMaster University, by Edwin Mellen Press. The
notice read that “The plaintiff claims $3.0 million dollars as damages
arising from continuous publication on the world wide web by the
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 3
DOI: 10.1108/S0065-283020150000039009
4 Mary Kandiuk and Harriet M. Sonne de Torrens
defendant Askey. McMaster University is vicariously liable for the state-
ments published by defendant Askey” (Edwin Mellen Press, 2012, para. 3).
At issue was a blog post (between September 2010 and March 2012), called
“The Curious Case of Edwin Mellen Press,” which was written by Askey an
American citizen, when he was employed as a librarian at Kansas State
University. Askey’s current employer, McMaster University, was accused of
“[adopting] the defamatory statements as their own by permitting Askey to
continue the publications and refusing to intervene to require Askey to
remove the comments from the world wide web” (Edwin Mellen Press,
2012, para. 4). After a massive outcry and campaign from the academic,
library, and publishing communities,1 the lawsuit was withdrawn by Edwin
Mellen Press, citing that “[F]inancial pressure of the social media campaign
and press on authors is severe. EMP is a small company. Therefore [it] must
choose to focus its resources on its business and serving its authors” (Ruf,
2013, para. 10). However, there is a second suit in the name of the owner of
the company, Herbert Richardson, against Askey, as the sole defendant,
which remains in force at the time of writing. Not long after the Askey case
surfaced it was reported that Jeffrey Beall, associate professor and scholarly
initiatives librarian at the University of Colorado, Denver, had also been
threatened with not one, but two, lawsuits for a list of open-access journals
and publishers he deemed questionable or predatory, posted on his blog. As
reported by New (2013):
The blog and the list, which is known to librarians and professors simply as Beall’s List,
has led to Beall being featured in The New York Times, Nature, and The Chronicle. The
list now includes more than 250 publishers which he considers to be “potential, possi-
ble, or probable predatory” (para. 5) companies which take advantage of academics des-
perate to get their work published. In separate blog posts, Beall details why he believes
the companies are misleading. (para. 5)
These types of lawsuits are commonly referred to as SLAPP (strategic
litigation against public participation) and are designed to silence critics, in
these instances academic librarians whose responsibilities include the critical
evaluation of library materials. As cited in the Canadian Association of
University Teachers (CAUT), Askey is quoted as saying:
At the time I wrote the post, the work I was doing in libraries was directly related to
assessing materials for potential inclusion in the library collection. It was, as such, my
job to assess the quality of books … . As budgets decrease, the necessity to be more
1For more information on the issues involved concerning academic freedom and librar-
ianship, see Dudley (2013).
Librarians in a Litigious Age and the Attack on Academic Freedom 5
discerning increases, yet libraries have reduced their qualified staff numbers over the
years. As a qualified and experienced librarian, I was sharing a professional opinion for
consumption by peers. (para. 6)
While most SLAPP lawsuits are legally unsuccessful, according to the First
Amendment Project (FAP) (n.d.) they succeed in the public arena. FAP
states, “This is because defending a SLAPP, even when the legal defense is
strong, requires a substantial investment of money, time, and resources. The
resulting effect is a ‘chill’ on public participation in, and open debate on,
important public issues. This ‘chilling’ effect is not limited to the SLAPP
target(s): fearful of being the target of future litigation, others refrain from
speaking on or participating in issues of public concern” (para. 2). As cited
in New (2013), Beall says, “But even if you come out on top in the end,
being forced to litigate is a problematic thing,” he said. “It’s costly and can
still damage your reputation” (para. 16). The ripple effect has in fact cast a
chill on the professional academic librarian community. As pointed out by
Bivens-Tatum (2013) in his blog post, “Regardless of the outcome of the
case, academic librarians should consider the implications of this lawsuit
and its potential attack on academic freedom and the public expression of
professional opinions on relevant subjects”2 (para. 1).
These events present serious threats to the academic freedom of librar-
ians who have fully embraced all aspects of communication technologies as
part of their professional roles. Yet, the extent to which academic freedom is
compromised by the increased use of new communication technologies is
not fully understood. Nor have these developments been seriously consid-
ered with respect to professional rights. What rights and protections do
individual professional academic librarians have with respect to the expres-
sion of views in speech and writing, including when using electronic com-
munication, within and outside of their institutions? Librarians in Canada
work closely with colleagues in the United States on many different levels
and in various sectors of the profession, often criss-crossing the border for
employment opportunities. But do librarians in Canada have the same
rights and protection as librarians do in the United States?
This chapter, with a focus on Canada, analyzes what constitutes aca-
demic freedom and the freedom of speech for librarians in comparison with
the academic rights of librarians in the United States. The analysis reviews
2Lawsuits regarding Edwin Mellen Press and Askey resulted in faculty associations
across Canada demanding that they be withdrawn, and support given to Askey. For a full
history and copies of these numerous letters see http://freedaleaskey.plggta.org/. Accessed on
April 23, 2014.
6 Mary Kandiuk and Harriet M. Sonne de Torrens
current legislation in both Canada and the United States concerning aca-
demic freedom, examining the main differences and presents a brief over-
view of the history of academic freedom for librarians in Canada as it
pertains to the development of the profession and the simultaneous unioni-
zation of faculty associations in Canada’s public postsecondary institutions.
Primary evidence for this study has been assembled from an analysis of 50
collective agreements from the major postsecondary institutions in Canada
(Appendix A) and the findings of a survey undertaken to gather information
from librarians across Canada about what protections Canadian academic
librarians currently believe they have in the performance of academic activ-
ities and the use of social media platforms for personal and professional pur-
poses (Appendix B).
II. Defining Academic Freedom for Librarians
The principles of academic freedom, intellectual freedom, and freedom of
speech are neither a given nor necessarily a constitutional right for academic
librarians in Canada. Nor do these core principles of postsecondary educa-
tion have the same meaning from one academic institution to the next.
Different stakeholders describe these freedoms from different perspectives.
A faculty member’s viewpoint of academic freedom is neither the same as
that of an administrator nor that of a professional librarian nor that of a stu-
dent (Jones, 2009). In some cases, intellectual freedom is all inclusive and
includes academic freedom and freedom of speech, while in other instances,
contractual, legal, religious, or political restrictions may be imposed
restricting its meaning and scope. Intellectual freedom may be understood
to include academic freedom for faculty members but this is not the case for
academic librarians. Librarians need to be aware of what constitutes their
rights and how they are defined at their institution (Trosow, 2011).
CAUT defines academic freedom for academic staff (faculty, librarians,
archivists, and other recognized academics) as “the right to teach, learn,
study and publish free of orthodoxy or threat of reprisal and discrimination.
Academic freedom includes the right to criticize the university and the
right to participate in its governance. Tenure provides a foundation for aca-
demic freedom by ensuring that academic staff cannot be dismissed without
just cause and rigorous due process” (2011, Article 2).
CAUT’s statement is all inclusive, without legal, political, or religious
constraints. It includes many of the traditional principles and values as
defined by the precedent-setting example of the American Association of
University Professors (AAUP) 1940 Statement of Principles on Academic
Librarians in a Litigious Age and the Attack on Academic Freedom 7
Freedom and Tenure with 1970 Interpretive Comments (AAUP, 1940
1970).
By the late 1960s academic freedom had become the accepted rationale for
why tenure should be granted to faculty. Tenure or what is known as perma-
nent or continuing status/appointment has since become an essential
requirement for securing academic freedom protection for librarians in
Canada (Horn, 1999). The symbiotic relationship of tenure and academic
freedom has long been recognized as beneficial to postsecondary institutions
and their communities (Bryan, 2007; Gillum, 2010). As times change, so
do the issues concerning academic freedom, and hence, institutional state-
ments are modified, which may or may not be to the benefit of librarianship
(SAFS, 1992
2014). The CAUT statement has added rights pertaining to
the right to participate in the governance of the institution due to what is
perceived by some as the changing, increasingly hierarchical, and corporate
structure of Canadian universities (Turk, 2000).
In reality, what constitutes and legitimizes academic freedom for
librarians in Canada, differs substantially from the constitutional rights of
American colleagues, which accounts for one reason why the Edwin
Mellen Press may have considered a libel suit a viable option in Canada
but not in the United States. The First Amendment to the United States
Constitution which constitutes the Bill of Rights (adopted on December 15,
1791) prohibits infringing on the freedom of the press and abridging the
freedom of speech. It states: “Congress shall make no law respecting an
establishment of religion, or prohibiting the free exercise thereof; or abrid-
ging the freedom of speech, or of the press; or the right of the people
peaceably to assemble, and to petition the Government for a redress of
grievances” (United States Constitution Amend. I, 1791). Especially
important for academics was the US Supreme Court’s decision to recognize
academic freedom as a protected right by the First Amendment in the
United States Constitution, first in the 1957 decision concerning Sweezy v.
New Hampshire and then later in the 1967 case of Keyishian v. Board of
Regents-385 U.S. 589 (Chang, 2001). These decisions reinforced academic
freedom as a legal, constitutional right outside institutional autonomy.
The debate continues, however, and today the question is whether the
First Amendment protects the academic freedom of the individual or insti-
tutional autonomy, a question which some consider a threat to academic
freedom (Rabban, 2014). In 2010, David Naylor, President of the
University of Toronto distanced himself from the newly released statement
on academic freedom by the Association of Universities and Colleges of
Canada (AUCC), which stipulated that “academic freedom must be based
on institutional integrity … and institutional autonomy” (Thompson, 2014,
p. 9). As times change, new issues emerge imposing restrictions or threats
8 Mary Kandiuk and Harriet M. Sonne de Torrens
to academic freedom. For example, the curtailment of privacy as regards
intellectual freedom due to the Homelands Securities Act, places librarians in
the United States at odds with the very principle they uphold (Jones,
2009). More recently, the Academic Bill of Rights (ABOR) is threatening to
undermine the academic rights of students and faculty (American Library
Association, 2014; Danner & Bintliff, 2006; Kaplin & Lee, 2013).
III. Canadian Legislation and Academic Rights
Since 1982 Canadians have had the protection of the Canadian Charter of
Rights and Freedoms (1982), which forms the first part of the Canadian
Constitution Act3 and on provincial levels. In article 2(a)-(d) of Part I in the
Canadian Charter of Rights and Freedoms, freedoms are outlined as “… free-
dom of conscience, freedom of religion, freedom of thought, freedom of
belief, freedom of expression, freedom of the press and of other media of
communication, freedom of peaceful assembly, and freedom of association.”
(Canadian Charter of Rights and Freedoms, Part I.2(a)-(d)). However, these
freedoms are frequently prohibited or restricted by other Canadian bodies,
for example, the freedom of the press may be restricted by bans from the
courts, bureaucrats, politicians, and the government (English, 2012).
In theory, the Canadian Charter of Rights and Freedoms reference to “free-
dom of expression” should guarantee academic freedom, yet, for librarians
in Canada this remains tenuous and untested terrain, compared to the legal
constitutional right granted in the United States under the First
Amendment (Chang, 2001). Furthermore, there is a separate section in the
Canadian Charter of Rights and Freedoms specifying that the rights covered
shall be protected “subject only to such reasonable limits prescribed by law
as can be demonstrably justified in a free and democratic society” (Canadian
Charter of Rights and Freedoms, Part I.1). Since 1982 there have been numer-
ous court cases, which have tested the academic rights and freedoms of
faculty and librarians in the Canadian Charter of Rights and Freedoms, from
different perspectives: the mandatory retirement issues in Mckinney v.
University of Guelph (1990), and the issue of apartheid and freedom of
speech in Bancroft et al. v. Governing Council of the University of Toronto
(1986). However, as far as the authors are aware, there have been no cases
which have specifically tested the right to freedom of speech, inside and
3Prior to 1982, the Charter was preceded by the Canadian Bill of Rights (1960), which
was a federal statute not a constitutional document.
Librarians in a Litigious Age and the Attack on Academic Freedom 9
outside an academic institution for academic librarians in a nonunionized
environment.
Canada is also a signatory of the United Nations Universal Declaration of
Human Rights (1949), the forerunner of Canada’s subsequent Charter of Rights
and Freedoms, and model for the Quebec Charter of Human Rights and Freedoms
(Schabas, 1998) which states in article 19 of the United Nations’ declaration
that “Everyone has the right to freedom of opinion and expression; this right
includes freedom to hold opinions without interference and to seek, receive
and impart information and ideas through any media and regardless of fron-
tiers” (para. 1). These are the general rights accorded to every Canadian but
have not, to the best of our knowledge, as in the case of the United States,
been tested in Canadian courts to determine if they specifically protect a
librarian’s right to academic freedom. From the 1970s faculty and librarians
have sought the additional protection for academic freedom in collective
agreements negotiated by institutional faculty and librarian associations.
IV. History of Academic Librarianship and Academic
Freedom
The quest for academic rights by academic librarians in Canada has taken a
different path than that of our colleagues in the United States. There have
been, however, pivotal points in our shared history where the two different
but similar tracks have interconnected and where the achievements of one
group have influenced the other. This is especially true concerning the influ-
ence of the American Library Association (ALA) and the AAUP. Their early
recognition that academic librarians required academic status and corre-
sponding rights had a major impact on the development of academic librar-
ianship in Canada in the 1960s and 1970s.
In 1946 ALA endorsed the 1940 AAUP Statement of Principles on
Academic Freedom and Tenure and adopted a version for librarians (McAnally,
1975; Rubin, 2000). In 1956 the AAUP welcomed librarians as members
(Highby, 2004). Several decades later in 1971 the Association of College
and Research Libraries (ACRL), the Association of American Colleges (now
the Association of American Colleges and Universities (AAC&U)), and the
AAUP formed the national Joint Committee on College Library Problems,
which resulted in the Joint Statement on Faculty Status of College and
University Librarians (ACRL, 2012) which affirmed that academic librarians
needed tenure, academic freedom, and intellectual freedom. It was adopted
by the Council of the AAUP in April 1973 (ACRL, 1973) and reaffirmed
by the ACRL board in 2001 and again in 2007. It is premised on the idea
10 Mary Kandiuk and Harriet M. Sonne de Torrens
that “… the character and quality of an institution of higher learning are
shaped in large measure by the nature and accessibility of its library
resources as well as the expertise and availability of its librarians” (AAUP,
2012, para. 3; ACRL, 2012, para. 1). These statements have served as key
models for institutions formulating policies for academic librarians in the
United States and for librarians in Canada for several decades.
In Canada, national support for academic librarianship by associations
and postsecondary institutions was slow to develop and librarians had to
struggle to gain recognition for their profession (Sonne de Torrens, 2014).
To a great extent, the differences have shaped the attitudes of librarians today.
If one examines the literature on academic freedom and postsecondary educa-
tion in Canada, it soon becomes evident that librarians were not part of that
discourse until the 1970s. This is not to say that academic freedom has not
been a vital component of postsecondary education in Canada, for it has, and
certainly, discussion over academic freedom issues has a long history which
can be traced back to the formation of Canada’s oldest institutions University
of Toronto (founded 1827), McGill University (founded 1821), Queen’s
University (founded 1841), Laval University (founded 1663), Dalhousie
University (founded 1818), and others (Horn, 1999). However, the topics
discussed have always focused on matters concerning the faculty or students.
Academic librarians were not part of that discourse (Sonne de Torrens, 2014).
Today, no less than in the past, this topic remains at the forefront of academic
communities (SAFS, 1992
2014) but still with little reflection or under-
standing on the role of libraries or professional responsibilities of academic
librarians in relation to this core academic principle.
The changes to academic librarianship in the 1970s were closely aligned
to developments in postsecondary education in Canada. The shift from federal
to provincial funding of postsecondary education and financial support for
graduate programs in the 1960s gave rise to a proliferation of new universities
and colleges, as well as, a wide range of new graduate programs. The time
constraints of faculty due to the increased demands in teaching and the devel-
opment of graduate programs had, for the most part, gradually shifted the
management of libraries from faculty to librarians. During this period, the
profession of academic librarianship underwent an intense review, resulting in
the establishment of new graduate programs in library science and recognition
that academic librarians were needed to build the necessary resources and
libraries for the growing areas of specialized research and teaching (Sonne de
Torrens, 2014). With that came academic expectations, recognition for the
profession’s role in postsecondary education, and a call for securing academic
rights. Models were sought from the United States. It is known from the
literature that ACRL’s push for new policies concerning appointments,
Librarians in a Litigious Age and the Attack on Academic Freedom 11
promotion, and tenure for academic librarians in 1973
1974, and its “Model
Statement of Criteria and Procedures for Appointment, Promotion in
Academic Rank and Tenure for College and University Librarians” had a tre-
mendous impact on colleagues seeking academic status in Canada (Sonne de
Torrens, 2014). Furthermore, there was a shared exchange of values, ideas, and
goals with American colleagues over many decades that encouraged librarians
in Canada to seek similar status and rights (Ford, 1984).
The rapid growth of postsecondary institutions and the recognition of
academic librarianship as an important contribution to academic commu-
nities fuelled the urgency of securing academic rights and protection. Two
more factors were to have a lasting impact on how the profession evolved as
we know it in Canada. First, the rise of employment equity issues in the
1970s contributed to better employment terms and second, the certification
of faculty associations in Canada, which began to include academic librar-
ians as members of the faculty associations. These developments would rede-
fine the rights and status of academic librarians.
V. Intellectual Freedom without Academic Freedom
One important difference between faculty and librarians’ statements on aca-
demic rights is the way in which the concept of intellectual freedom has
been gradually redefined in the profession of librarianship. Traditionally,
intellectual freedom and academic freedom have been understood as linked,
but they are no longer considered identical (Danner & Bintliff, 2006). For
faculty, intellectual freedom is normally interpreted in the broadest sense,
which includes academic freedom for individuals (Bromwich, 2012). Byrne
(1999), in his assessment of the UN Universal Declaration of Human Rights
offers an excellent interpretation of how libraries have come to view intel-
lectual freedom: “… Intellectual Freedom provides a principled basis for
our professional practice as librarians, as we develop collections (physical or
digital), provide access and delivery services, and offer support and informa-
tion. It is no less important in guiding the administration of our
libraries …” (p. 108). Unfortunately, this definition excludes the rights of
individual librarians. This is essentially how intellectual freedom has come
to be defined in the library profession (Granfield & Barakett, 1990). Why is
this distinction important to academic librarians? Because often it is falsely
assumed that this definition includes academic freedom protection for the
individual librarians who work to ensure a library adheres to intellectual
freedom principles. If there is no mention of the academic freedom or the
rights of the individual when discussing intellectual freedom, then there is
12 Mary Kandiuk and Harriet M. Sonne de Torrens
no guarantee that individuals have the protection of academic freedom. In
addition, librarians must learn to differentiate between what rights an insti-
tution may have as opposed to what rights the individual may have when
stipulating these rights.
In the last few decades in Canada, the concept of intellectual freedom
has acquired a narrow, profession-centric definition that excludes academic
freedom and has gradually imposed restrictions not found in Canada’s
Charter of Rights and Freedoms and the United Nations Universal Declaration of
Human Rights to which Canada is a signatory (Bromwich, 2012). As Danner
and Bintliff have pointed out “in librarianship, statements on intellectual
freedom often focus more exclusively on rights of access to information than
on freedom of expression” (2006, p. 20). In the profession of academic librar-
ianship intellectual freedom is usually understood as a principle or value to
be upheld in the administration of libraries and in the context of librarians’
responsibilities. It is not discussed as a right that they have as professionals.
This is why in the Simon Fraser University Faculty Association (SFUFA)
Framework Agreement (2007) statement on academic freedom for the librar-
ians at Simon Fraser University, the reference to intellectual freedom specifi-
cally includes references to the rights of the individual librarian:
Librarians have a duty to promote and maintain intellectual freedom. They have a
responsibility to protect academic freedom and are entitled to full protection of their
own academic freedom. This includes the right to express their academic judgment in
the development of the Library collection within the context of Article 1.3.2 and to
make the collection accessible to all users in accordance with the University Library
policies, even if the materials concerned are considered controversial. (Section 1.2.c.,
paragraph 3)
This shift in emphasis has been influenced by a number of developments.
First, the influence of corporate models in the management of Canadian uni-
versities and colleges has contributed to the demise of academic libraries as
being viewed as centers of learning, knowledge, and research, subtly shift-
ing the traditional meaning of what constitutes an academic library to asset
management, service points, or service centers. Albeit subtle, this has raised
questions about the academic rights and status of academic librarians and
those who manage the libraries (Smallman, 2006; Stone, 2012). The second
major influence has been the trend of library associations to embrace a nar-
row, profession-centered definition of intellectual freedom. By adopting a
profession-centric meaning, codes of ethics and intellectual freedom can
apply across the board to all members but, when applied to an academic
community, no longer offers the protection needed by academic librarians.
This has been the case with the mission and intellectual freedom statements
Librarians in a Litigious Age and the Attack on Academic Freedom 13
written by library associations over the past decade. This shift in emphasis
has marginalized academic librarians and introduced ambiguity, which
needs to be clarified in collective agreements and policies. For example, the
ALA Intellectual Freedom Principles for Academic Libraries, approved by ACRL
Board of Directors on June 29, 1999 and adopted by ALA’s Council on July
12, 2000, emphasizes access and accessibility (ACRL, 1999; ALA, 2000).
As stated on the ALA web site, the manual is intended to “to answer practi-
cal questions that confront librarians in applying the principles of intellec-
tual freedom to library service” (ALA, 2014, para. 1). The Canadian Library
Association’s (CLA) mission statement refers to intellectual freedom as one
of the values that they champion as a national voice for Canada’s library
communities (CLA, 1985b), and the British Columbia Library Association
Statement on Intellectual Freedom has a similar emphasis on access and admin-
istration of libraries (BCLA, 2014, n.d.). There is no mention of what
constitutes individual librarians’ rights or academic freedom by neither of
the aforementioned associations. The statement of values by CLA and the
section entitled, Canadian Association of College and University Libraries
(CACUL), which is now disbanded, states “intellectual freedom, diversity,
transparency and open communication, accountability, universal access to
library service, member voices and contributions, collaboration” and also
effectively states that CLA’s operating principles are to “facilitate the many
diverse opinions and ideas about libraries and library issues” (CLA, 2011,
para. 3). It should also be noted that CLA’s Position Statement on Intellectual
Freedom stipulates that:
All persons in Canada have the fundamental right, as embodied in the nation’s Bill of
Rights and the Canadian Charter of Rights and Freedoms, to have access to all expres-
sions of knowledge, creativity and intellectual activity, and to express their thoughts
publicly. This right to intellectual freedom, under the law, is essential to the health and
development of Canadian society. (CLA, 1985a, para. 1)
There is no reference to academic freedom. The Canadian Association of
Research Libraries (CARL) has a statement on Freedom of Expression and
refers to the rights granted to Canadians under the Canadian Human
Rights Code (adopted by the CARL membership, ca. 1987). The statement
refers to “all expressions of knowledge, creativity and intellectual activity”
(para. 1) but not to academic freedom or intellectual freedom. The word
activity does not denote freedom nor does it mean knowledge or academic
freedom. Nowhere in the CARL statement is the word freedom noted:
All persons in Canada have a fundamental right, as embodied in the Charter of Rights
and Freedoms and the Bill of Rights, to have access to all expressions of knowledge,
14 Mary Kandiuk and Harriet M. Sonne de Torrens
creativity and intellectual activity. It is the responsibility of research libraries to facili-
tate access to all expressions of knowledge, opinion, intellectual activity and creativity
from all periods of history to the current era including those which some may consider
unconventional, unpopular, unorthodox or unacceptable. To this end research libraries
shall acquire and make available, through purchase or resource sharing, the widest vari-
ety of materials that support the scholarly pursuits of their communities. (CARL,
Freedom of Expression, 1987, para. 1)
In these cases intellectual freedom with respect to professional responsibil-
ities is emphasized not the rights of the individual librarian. This is a key
difference in the statements issued by the American versus the Canadian
library associations. This gap has resulted in CAUT addressing these issues
from a number of perspectives and recently, the formation of a new, national
association dedicated to academic librarianship, the Canadian Association of
Professional Academic Librarians (Canadian Association of Professional
Academic Librarians (CAPAL) Steering Committee, 2013b; Granfield,
Kandiuk, & Sonne de Torrens, 2011). In 1986 CAUT/CACUL issued
Guidelines on the Terms and Conditions of Employment for University Librarians
which explicitly stated support for tenure, academic freedom, and the rights
of the individual academic librarian and were subsequently reproduced in
CAUT’s Librarians’ Committee, Policies Concerning Librarians:
… the professional staff of university libraries are partners with faculty members in
contributing to the scholarly and intellectual functions of the university and should be
accorded academic status, and the rights and responsibilities of that status … It has
long been established that librarians have a duty to maintain intellectual freedom in
the community. In the discharge of that duty in the narrower context of the university,
librarians have a responsibility to protect academic freedom and are entitled to full pro-
tection of their own academic freedom. (CAUT Librarians’ Committee, 1989, p. 5-1)
VI. Librarians, Collective Agreements, and Faculty
Associations
Unlike postsecondary institutions in the United States where a large num-
ber are private and often governed by a different set of laws (Wickens,
2008), the majority of Canadian universities and colleges are publically
funded institutions. Today, more than 90% of faculty associations in Canada
are certified trade unions with negotiated collective agreements which
include librarians and faculty, and often other academic professions, such as
archivists and curators. Statements on what constitutes academic freedom
and freedom of speech are pivotal clauses in collective agreements nego-
tiated by certified faculty associations or in memorandum of agreements
Librarians in a Litigious Age and the Attack on Academic Freedom 15
negotiated by noncertified faculty associations, ensuring the protection of
faculty and librarians. Such statements enshrine the right to exercise profes-
sional responsibilities and participate in academic activities without fear of
sanction and ensure maximum protection for librarians that can be grieved
if abused. But, it should be noted that these statements do vary and do not
always cover the same scope or issues. Nevertheless, collective agreements
play an important role in defining academic freedom for faculty and librar-
ians in Canada. In fact, the protection of academic freedom has often been
given as one of the primary reasons for why faculty associations have histori-
cally certified (DeCew, 2003).
For this study 50 collective agreements representing the largest, provin-
cial degree-granting universities and colleges were selected. Other criteria
required that these institutions employ academic librarians and that the
terms of employment include the three primary areas of responsibilities
(professional practice, scholarship, and service). An advanced search of
the CAUT Collective Agreement database was conducted to determine the
following: (1) were librarians included in the same collective agreement
as faculty; (2) or was there a separate policy for librarians; (3) is there an
academic freedom statement; (4) and if yes, were librarians covered under
the same academic freedom statement as faculty or was their academic
freedom clause different (Appendix A).
In most cases the existence of a collective agreement or memorandum
of agreement with administration will ensure there is a statement on aca-
demic freedom for faculty and librarians. However, there are a few excep-
tions. Under the leadership of University Librarian Jeff Trzeciak, librarians
at McMaster University unionized and certified separately from faculty.
However, their current collective agreement contains no reference to aca-
demic freedom nor the right to pursue scholarship as part of their profes-
sional activities. As far as we know, this is the only certified association for
academic librarians at a postsecondary institution with a collective agree-
ment in Canada that does not include a statement on academic freedom.
What academic freedom protection do librarians at noncertified academic
institutions have? At press time, 3 of the 50 university faculty associations
reviewed in this study were not certified as trade unions (McGill University,
University of Toronto, University of Waterloo) and 2 were in the process of
negotiating their first collective agreements as newly certified faculty
associations: Simon Fraser University and University of Northern
British Columbia (University of Northern British Columbia, 2014). The
University of Toronto Faculty Association has a Memorandum of Agreement
with the University of Toronto administration which stipulates academic
freedom protection for faculty and librarians. As far as we have been able to
determine, neither McGill University nor the McGill University Faculty
16 Mary Kandiuk and Harriet M. Sonne de Torrens
Association currently have a statement on the protection of academic free-
dom for librarians or faculty (McGill, 2014). Librarians at the University of
Waterloo are not members of the University of Waterloo Faculty
Association, which is not certified, nor do they have an academic freedom
statement as part of its Librarians’ Employment Handbook (2010). The
Memorandum of Agreement’s (2013) clause on academic freedom protects only
full-time faculty, lecturers, and clinical faculty; librarians are excluded.
Of the 50 Canadian colleges and universities examined in this study
(Appendix A), only 7 institutions (Athabasca University, Bishop’s
University, McGill University, McMaster University, University of Alberta,
University of Waterloo, University of Western Ontario) have separate poli-
cies and/or collective agreements for librarians (see, e.g., University of
Western Ontario, 2010
2014, 2011
2015). In some of these cases, differ-
ences are evident between the academic rights of faculty versus librarians.
Ensuring that there is one policy on academic freedom for both faculty and
librarians is the first, essential step in providing Canadian academic librar-
ians with the protection of academic freedom. On its own, institutional sup-
port for the principles of academic freedom will not ensure that librarians
are protected.
There is a growing sector that argues that academic freedom is a privi-
lege that is “given” by the institution, and, hence, institutions have the
right to impose constraints on freedoms already granted under current
Canadian legislation. This is based on the idea that institutions, not indivi-
duals, have the right of academic freedom as discussed earlier in this chapter
(Thompson, 2014). This may result in restrictions pertaining to religious or
legal concerns being imposed on academic freedom provisions (Bruneau,
2014). Typical of religious postsecondary institutions, is the language used
in the collective agreement for St. Michael’s University, a Catholic univer-
sity, at the University of Toronto; academic freedom is deemed “subject to
the provisions of Ex Corde and Ordinances set out in the Preamble to this
Agreement” (St. Michael’s College, 2012
2014, Article 5.1B). In the
Queen’s University Collective Agreement for faculty and librarians, it states
that “Academic freedom does not confer legal immunity” (Queen’s
University, 2011
2015, Article 14.4). A more frequent restriction is the
disclaimer that personal, individual viewpoints do not reflect the views of
their institution. For example, in the York University Collective Agreement
for faculty and librarians, it states: “When exercising their rights of action
and expression as citizens, employees shall endeavour to ensure that their
private actions or expressions are not interpreted as representing positions
of York University” (York University, 2012
2015, Article 10.02). This dis-
tinction between individual views and those of the institution are frequently
Librarians in a Litigious Age and the Attack on Academic Freedom 17
encountered in collective agreements and other institutional guidelines,
such as the University of Western Ontario’s Statement of Academic Freedom in
Article 7 which states: “Members shall not purport to speak on behalf of
the Employer or the Association unless specifically authorized to do so”
(SAFS, 2004, p. 4). This raises the question, who is authorized or not to
express a professional view, and under what circumstances? Clearly, these
examples of different types of restrictions serve to silence rather than encou-
rage open discourse in academic environments.
VII. Survey on Academic Freedom
How aware are academic librarians of their rights and protections with respect
to academic freedom and what are their experiences exercising academic free-
dom? To address these questions, a web-based survey entitled “Canadian
Academic Librarians Academic Freedom Survey” was developed using
SurveyMonkey that included both closed and open-ended questions. This was
an anonymous and voluntary survey approved by the Ethics Review
Committees at the University of Toronto and York University. The survey was
divided into two parts. The first part was comprised of 29 questions which
related to academic freedom protections with respect to the performance of
academic activities, experiences in the exercise of academic freedom during the
performance of academic activities, attitudes toward and understanding of aca-
demic freedom, and external factors and internal factors which have an impact
on academic freedom. The second part was comprised of nine questions relat-
ing to academic freedom and its relation to the use of social media and net-
working tools. The survey was pretested using a small sample (n= 2) of
academic librarians, including one librarian who had experience with defama-
tion. Efforts were made to distribute the survey to all academic librarians
employed at a Canadian university or college. The survey was distributed via
multiple national, provincial, and specialized librarians’ lists from March 21
to April 11, 2014. Three hundred forty-eight responses were received;
86.59% (n= 284) of respondents identified as being employed at a university,
while 13.41% (n= 44) identified as being employed at a college. For the
purposes of this chapter the responses from 284 academic librarians employed
at Canadian universities on the subject of academic freedom as relates to
freedom of expression both within and outside respondents’ institution and
as relates to the use of social media tools and networking platforms have
been integrated into this analysis (see Appendix B for the survey questions).
Of the 284 respondents to the survey, 32.41% (n= 84) of academic
librarians employed at a Canadian university did not know if their institution
18 Mary Kandiuk and Harriet M. Sonne de Torrens
had a formal statement regarding academic freedom, regardless if they
belonged to a certified or noncertified faculty association. As is illustrated in
Table 1 the majority of respondents (67.44%; n= 174) reported that they
belonged to a certified faculty association that included faculty and librarians.
Of those who were aware of a formal statement on academic freedom, a
majority of respondents, 70.13% (n= 108), indicated it was made available
in their collective agreement, 42.21% (n= 55) responded it was available
on the institution’s web site, 8.44% (n= 13) did not know where it was
located, and 7.14% (n= 11) indicated it was available in the Memorandum of
Agreement. Several respondents stated that the statement was available in
a policy document raising the question of the force of a policy that exists
outside of a collective agreement. For those respondents who indicated that
their institution had a formal statement regarding academic freedom
the majority of respondents, 86% (n= 129), indicated that this statement
covered and protected librarians, while 12% (n= 18) did not know, and
25% (n= 3) said it did not.
How secure do librarians in Canada feel about openly criticizing the
policies of their library, institution, or administration? Statements of
academic freedom for faculty and librarians typically include the right to
question and criticize the institution. However, in the survey, whether certi-
fied or not, only 39.90% (n= 83) of the librarians felt free to voice criti-
cism, while 32.12% (n= 67) reported only sometimes, and 24.04% (n= 50)
indicated they did not. What were the reasons given for this? When asked
to elaborate, the numerous comments (n= 77) provided by respondents
revealed that in many cases the freedom to openly criticize was neither
Table 1
Union/Association Membership
Affiliation n Percentage of total
responses
Certified trade union/certified faculty association which 174 67.44
includes faculty and librarians
Certified trade union/certified association that includes 12 4.65
only librarians
Noncertified faculty association that includes faculty and 51 19.77
librarians
Noncertified association that includes only librarians 3 1.16
Not member of any kind of union, association, etc. 7 2.71
Don’t know 11 4.26
N= 297.
Librarians in a Litigious Age and the Attack on Academic Freedom 19
supported nor encouraged. Moreover, a fear of repercussion, whether regard-
ing promotion, work-related assignments, or discretionary funding, was
expressed by many of the respondents who provided comments. In addition,
several respondents who identified as working in administration (n= 56)
expressed the “inappropriateness” of criticizing their institution and felt
expressions of dissent were frowned upon. The comments reveal an inconsis-
tency with respect to what is considered appropriate and politically
astute—concerns expressed by a number of respondents. Negative criticism
was in some cases defined as “unprofessional” while others felt it must be
constructive. Generally, there was considerable uncertainty regarding
what the value of risking negative criticism might be and most librarians
practiced self-censorship in the face-to-face workplace, especially those who
did not have permanent status or tenure.
When respondents were asked whether they felt free to express their
views within the institution in speech, writing, and through electronic
communication without sanction less than half, 48.56% (n= 101), indi-
cated yes, while 25.58% (n= 53) indicated only sometimes, and 22.12%
(n= 46) answered no. For those 65 respondents who provided comments the
reasons preventing freedom of expression were similar to those provided in
response to the previous question. Concerns were expressed about impact on
promotion, backlash from both peers and supervisors, and more subtle
repercussions, that is, selection for committees. Even those who felt pro-
tected felt inhibited such as the following respondent:
Even though there are protections and one is not likely to lose their job, some views
can put one at risk to fall out of favour with superiors, which can negatively impact
one’s potential for success (not being chosen for projects, ideas rejected, etc.).
With respect to expressing one’s views outside the institution, 52.17%
(n= 108) of librarians felt they could express their views freely, 27.54%
(n= 57) answered sometimes, and 14.98% (n= 31) felt they could not.
Respondents indicated they felt at risk and were reluctant to express negative
views even outside the institution for fear of repercussion. Those that did
openly speak their views noted that they made a distinction between giving
a personal viewpoint rather than speaking on behalf of the university.
VIII. Freedom of Speech and New Communication
Technologies
In Canada, freedom of speech is understood as a “fundamental freedom” in
the Canadian Charter of Rights and Freedoms (1982, Part I.2) and for
Americans is historically understood to be protected in the First
20 Mary Kandiuk and Harriet M. Sonne de Torrens
Amendment to the United States Constitution which constitutes the Bill of
Rights in the United States Constitution. The International Federation of
Library Associations’ (IFLA) Statement on Libraries and Intellectual Freedom
(1999) does not employ the phrase, freedom of speech, but instead, employs
a more inclusive phrase, the “freedom of expression”:
… the right to know and freedom of expression are two aspects of the same principle.
The right to know is a requirement for freedom of thought and conscience; freedom of
thought and freedom of expression are necessary conditions for freedom of access to
information. (para. 4)
IFLA’s reference is based on article 19 in the Universal Declaration of Human
Rights, to which Canada is also a signatory:
Everyone has the right to freedom of opinion and expression; this right includes free-
dom to hold opinions without interference and to seek, receive and impart information
and ideas through any media and regardless of frontiers. (United Nations, Article 19,
1949, para. 1)
These are the guiding tenets of freedom of speech and freedom of expression
under which, theoretically, Canadian librarians should be protected, that is
if their collective agreements do not impose restrictions (de la Peña
McCook, 2008; Samek, 2008).4 Given that communication and media have
radically changed in the last decade, new questions have surfaced and
remain unanswered. For example, to what extent are electronic forms of
communication protected under the current legislation compared to tradi-
tional forms of communication (O’Neil, 2008a)? Is there really any differ-
ence or is it the way in which these new media are being used? The advent
of new communication technologies and social media platforms poses
opportunities, as well as potential risks for academic librarians, many of
whom have embraced tools and platforms such as blogs (weblogs), micro-
blogs (Twitter), Facebook, among many others. As pointed out by Rowe
and Brass (2011), “It is accepted practice across the higher education sector
for academic staff to engage in public comment on the basis of their area of
scholarly expertise” (p. 7). This includes academic librarians.
Public comment that once took place in the realm of traditional main-
stream media—print, television, radio—in the present day has transcended
4For discussion regarding American librarians who are reviewing the ramifications of
this UN document in terms of their own workplace, primarily those in public libraries who
do not usually have the protection of academic freedom in their collective agreements, see
the special issue and articles by Toni Samek and Kathleen de la Peña McCook.
Librarians in a Litigious Age and the Attack on Academic Freedom 21
to a wide range of social media platforms which serve as an informal venue
for scholarly communication and citizen journalism. To a large degree this
reflects the parallel, global complexity of how academic libraries operate
today and, hence, the boundaries are often blurred and difficult to distin-
guish. Many academic librarians use a range of social media platforms—the
most common being blogs and micro-blogs—as a vehicle for sharing
personal and professional views, including matters relating to their work as
professional librarians. In a 2009 study, Aharony found “the majority of LIS
blogs can be classified as ‘mixed,’ as they contained both personal and
professional postings. Thus, most topic-oriented blogs in both periods con-
vey professional information presented with a personal touch” (2009a,
p. 595). Furthermore, “the special nature of the blogs can function as a
medium for dissemination of professional information as well as a platform
for free expression” (p. 595). Blogging has been described as a form of
“conversational scholarship” and “extra-curricular engagement” and provid-
ing access to “non-filtered sources of information” which are not accessible
via the traditional media sources (Gregg, 2006; Turgeon, 2004). “LIS
professionals also acknowledge the fact that blogs can serve as a source of
competitive intelligence and that they can play a role in monitoring pro-
ducts and services,” writes Aharony (2009b, p. 175). Librarians are using
the increasingly popular micro-blogging tool Twitter to network and share
information in real time, whether it is to post updates from conferences or
requests for help and Twitter has emerged as the source for the most up-to-
date information and news. In a recent study analyzing blogs, Jackson-
Brown found that the “political genre” comprised a considerable amount of
the content in librarian blogs. “Blog topics involving customer or user
advocacy, pro or con, around companies’ or vendors’ products and services
were frequent ‘political’ content that appears across the 12 blogs” examined
by Jackson-Brown (2013, para. 4). As a result blogs also appear to be one of
the most potentially perilous social media platforms as it is librarian blogs
that are at the center of recent defamation lawsuits. Hurt and Yin (2006)
write, “In fact, conventional wisdom seems to warn that blogging may be a
risky venture for those academic bloggers who have not been awarded
tenure and the liberating academic freedom that comes with that status”
(p. 1236). Yet how far do the protections of tenure and academic freedom
extend when it comes to posting statements on a personal blog, via Twitter,
or using any other social media platform for that matter?
An important court case involving the University of Calgary was
recently reported in the Canadian press concerning students’ rights in an
academic community versus institutional guidelines for appropriate conduct
and use of social media (Carpay, 2014). Three times in the past 4 years,
22 Mary Kandiuk and Harriet M. Sonne de Torrens
the Canadian court has deemed that the University of Calgary violated the
freedom of speech rights of students on their campus, according to the
Canadian Charter of Rights and Freedoms. In reference to the institution’s
internal restrictions imposed on conduct, speech, and behavior, the court
explicitly stated in the legal case of Pridgen v. University of Calgary in 2010
(Hansen, 2012; MLB-Slaw, 2010), that “the university is not a Charter-free
zone” (Carpay, 2014, para. 2) when students posted on Facebook comments
about a professor.5 The court’s decision that universities must comply with
the Canadian Charter of Rights and Freedoms overrides institutional authority,
and hence, asserts the rights of individuals within institutional environ-
ments. The Board of Governors at the University of Calgary had failed to
take into account “the nature and purpose of a university as a forum for the
expression of differing views” (Justice Centre for Constitutional Freedoms,
2014, para. 3) when a pro-life display was set up by a group of students in
the Wilson v. University of Calgary case. These cases illustrate an uncomfor-
table disconnect between the institutional, public statements of support for
academic freedom and actual institutional agendas and actions. Moreover,
they serve as appropriate examples of how internal institutional restrictions,
which are sometimes understood as forfeiting, higher, overarching rights,
do not hold up when pursued in a court of law.
In response to the increased use of new communication technologies
academic institutions have moved to develop social media policies and
guidelines. However, an advanced search of the CAUT Collective
Agreement database did not reveal any language relating to the use of social
media and new communication technologies in collective agreements for
unionized faculty and librarians at Canadian universities. Does this mean
the statements affirming academic freedom are understood as including
protection for freedom of speech? Currently the practice is for social media
policies and guidelines for academic staff to be produced by
Communications or Media Departments and Offices, who “have emerged as
important organizational gatekeepers, intermediaries and managers in the
‘zone’ of university-public exchange” (Rowe & Brass, 2011, p. 3). This
raises the question of the force of these policies and what protection, if any,
academic staff have with respect to freedom of expression when using social
media beyond the parameters of their institutions.
5Canada has legislation concerning hate speech laws in the Criminal Code of Canada
which are considered by some to be a threat to freedom rights in Canada, see Greenspan
(2004) and for a discussion of hate laws and academe, see Moon (2014).
Librarians in a Litigious Age and the Attack on Academic Freedom 23
As pointed out by Rowe and Brass, “Universities, as part of their remit
as public organizations, encourage academics to disseminate their research,
engage with communities and contribute to public policy formulation
and debates” (2011, p. 3). However, “Speaking beyond academe though,
especially when using the media technologies that are now readily available
for instant, widely dispersed communication has its perils for academic
staff and employers alike” (p. 4). A review of social media policies and/or
guidelines for 29 universities across Canada revealed several commonalities.
Paramount is the desire to promote the institution via social media.
A representative example from the University of Guelph (2014):
Social media continues to change the way we communicate—both as an institution and
as individuals. Twitter, Facebook, LinkedIn, YouTube, Flickr and other social media
sites allow us to create a dynamic Web presence for the University of Guelph and build
valuable relationships with people around the world. The University of Guelph
supports the use of social media by employees to achieve the benefits of global
information-sharing and immediate feedback. Social media sites allow us to engage in
ongoing “conversations” with our students, faculty, staff, alumni, parents, donors,
colleagues, friends, fans and others about what is important to them. (para. 1)
These policies invariably provide guidelines for staff with respect to the use
of social media, all of which are remarkably similar. The guidelines include
language with respect to:
• Confidentiality, that is, the need to protect confidential information relating to the individual
or institution, including employees and students;
• Transparency (or “authenticity”), that is, the need to disclose your institutional affiliation if
posting or responding as an employee;
• Accuracy, that is, the need to verify information and sources;
• Respect, that is, the need to be respectful when posting and engaging with others;
• Copyright or confidential material, that is, the need to acknowledge and respect copyright and
privacy laws;
• Privacy, that is, the need to protect personal information.
There is also recognition in a number of the guidelines examined that
employees will use social media as individuals, in addition to or as opposed
to on behalf of the institution. To that end some guidelines, such as
those posted by Simon Fraser University (2012), advises employees to post
a disclaimer such as the following:
A common practice among individuals who write about the field in which they work is
to include a disclaimer on their site, usually on their “About Me” page. If you discuss
higher education on your own social media site, we suggest you include a sentence
similar to this:
24 Mary Kandiuk and Harriet M. Sonne de Torrens
The views expressed on this [blog, website, forum] are mine alone and do not necessa-
rily reflect the views of Simon Fraser University. (para. 2)
However as pointed out by O’Neil (2008b), distinctions between “appearing
to speak for or represent the institution on the one hand and, on the other,
speaking only as an individual” become “blurred in cyberspace” (p. 181). The
Simon Fraser University guidelines acknowledge this, stating “Be aware that
if you identify your affiliation with SFU, readers will associate you with the
university, even with a disclaimer that your views are your own” (Simon
Fraser University, 2012, para. 3). They also warn about legal liability:
You can be held legally liable for what you post on your site and on the sites of others.
Individual bloggers have been held liable for commentary deemed to be copyrighted,
defamatory, libelous or obscene (as defined by the courts). Employers are increasingly
conducting web searches on job candidates before extending offers. Be sure that what
you post today will not come back to haunt you. (Simon Fraser University, 2012,
para. 1)
Several institutional guidelines examined expressly mention academic freedom.
At the University of British Columbia (2014a), for example, the guidelines
state:
These guidelines are intended to encourage faculty to engage in social media, not to
interfere with or restrict academic freedom in any way. As with all communications at
UBC, your right to academic freedom is limited only by the university’s respectful
environment and harassment and discrimination policies. (University of British
Columbia, 2014b, para. 1)
Similarly the guidelines at Carleton University (2014) state:
Carleton University is committed to academic freedom of speech. These guidelines are
intended to assist you in your professional use of social media and to remind you to
consider your reputations and Carleton’s when sharing information. (para. 7)
Perhaps the guidelines which are most reflective of the potential risks and
ambiguities posed by the use of social media by academic staff are those
posted by Ryerson University (2014) under the heading “Social Media
Use—the Employee Dilemma”:
For most employees, there has been a fairly clear understanding that what you do on
your own time is pretty much your own business. Employers may have some leeway to
tell you how to dress or act at work in order to promote the culture and image of the
organization, but when you are not working you are free to do and say whatever you
like, right? Well, it may no longer be that clear cut. Facebook, YouTube, Twitter, cell
Librarians in a Litigious Age and the Attack on Academic Freedom 25
phones with video capability, and other new media are changing the impact of what an
employee says or does on their employer. With the advent of social media, employees’
private lives are now exposed. And their employers may also be “exposed” by their
employees on social media. Can an employee’s posting on their Facebook page have an
adverse effect on their employer? Recent examples indicate it can. (paras. 1 and 2)
These guidelines continue, “Since the law in this area is evolving, it is impor-
tant for organizations to establish guidelines so that employees are aware of
the potential impact of their social media behaviour,” and conclude:
Ryerson employees all have a role to play in the success of the University, and should
understand the adverse effect that negative public actions and comments can have on
our reputation. Prospective students and employees may be influenced by what they
hear about the University on social media. At the same time, Ryerson is mindful of per-
sonal freedom and privacy rights and, for faculty, academic freedom. These issues will
be considered starting this fall, so that the University can provide appropriate guidance
to employees to prevent these kind of problematic situations. (para. 6)
The Ryerson University guidelines encapsulate the dilemma posed by social
media. As Guistini (2013) writes:
Since the 1990s, the emergence of blogs has brought with them all sorts of legal con-
cerns around copyright, libel, slander, invasion of privacy, media ownership, election
laws, licensing and vicarious liability (when employers are held liable for actions of
their employees). Defamation is especially worrying … . Many organizations are devel-
oping social media policies to provide a framework for their employees who engage in
social media. That said, it is advisable for all users of Facebook, Twitter and, more
recently, Pinterest to read up on what the law says vis à vis the use of social media.
Every profession should also provide some clear advice to their members about how to
use social media responsibly and ethically, and outline the limits of free speech in the
United States, Canada and elsewhere in the world. (p. 2)
Librarians in Canada would appear to have less protection against these
kinds of actions than their counterparts in the United States. As cited by
Siddiqui (2013) Franklin Carter, editor and researcher for the Book and
Periodical Council’s Freedom of Expression Committee says “It’s possible to
defame someone in the United States as well as in Canada, but the require-
ments for proving defamation in court differ in both countries” (paras. 3
and 4). Carter continues saying:
In the United States, the burden of proof is on the plaintiff. You—the plaintiff—must
prove that the defendant published a false and injurious statement about you. If you’re
a public official or a well-known figure, you must also show that the defendant acted
with malice when he or she published the defamatory statement. In Canada, the burden
of proof is on the defendant. You—the defendant—must prove that you did not publish
false and damaging remarks about someone’s reputation. You must prove that your facts
26 Mary Kandiuk and Harriet M. Sonne de Torrens
are true and that your opinion could be held by anyone. You have a few other defences
as well. In a U.S. court, it’s hard to prove defamation. In a Canadian court, it’s hard to
defend against a defamation lawsuit. So, if a plaintiff has a choice of jurisdiction, he or
she will probably sue in Canada. (Siddiqui, 2013, paras. 3 and 4)
This is supported by Brian MacLeod Rogers, lawyer for Askey, who told
Library Journal in an interview:
In Canada, even in libel cases involving public figures and matters of public interest,
the onus remains on defendants to prove a defense for any defamatory statement they
have published; its falsity and damage are presumed. While defamation defenses have
greatly improved in Canada over the past five years—thanks to our constitutional
equivalent of the First Amendment for protecting free expression—it is up to defen-
dants to show that: contentious facts are true; any defamatory opinions are ones a person
could honestly hold; or they were “responsible” in publishing what they did. (Schwartz,
2013, para. 7)
Per Schwartz, Rogers continues, “In the United States, section 230 of the
Communications Decency Act essentially provides immunity from defama-
tion claims for publishing someone else’s posts online—not so in Canada
where there remain many murky areas in determining liability for Internet
postings and applying traditional common law concepts” (para. 8).
A recent and troubling development that should be noted are the social
media guidelines issued by the University of Kansas which have serious rami-
fications for academic freedom. As reported by the AAUP (2013a), “On
December 18 the Kansas Board of Regents adopted new rules under which
faculty and other employees may be suspended, dismissed or terminated from
employment for ‘improper use of social media’” (para. 1). As pointed out by
this policy AAUP does not distinguish between professional communications
and personal communications and they have condemned the policy “as a gross
violation of the fundamental principles of academic freedom that have been a
cornerstone of American higher education for nearly a century” (para. 2).
It unclear what the import or force of a disclaimer is and whether it
serves to indemnify the institution and/or the individual. In the Askey case
McMaster University in Ontario, Canada was held responsible for the com-
ments posted by Askey on his blog while he was employed at Kansas State
University in the United States. Guistini (2013) writes,
Even if you go to the effort of crafting a disclaimer, you are not indemnified from some-
one taking legal action against you for making statements on your blog. By using such
phrases as “it is my opinion that” or “I believe (though I can’t be sure)” won’t protect
you either if what you say is libelous and can be proven as harmful to another person’s
reputation or business. (para. 2)
Librarians in a Litigious Age and the Attack on Academic Freedom 27
The effect that these kinds of lawsuits have on a personal and professional
level cannot be underestimated. “It feels like a violation of my freedom of
expression, as well as an infringement upon academic freedom, which has a
slightly different nature,” Askey said of the lawsuits:
Were he to prevail with his lawsuit against me, it would set a negative precedent
for anyone upset with a librarian who expresses a grounded professional opinion. Libel
litigation is not a useful forum for academic or professional disagreements. The costs
involved create an unbalanced playing field and those without extensive means are, by
default, at a major disadvantage. (Marchildon, 2014, para. 7)
In 2013, AAUP produced a revised version of the Association’s 2004 report
Academic Freedom and Electronic Communications, reaffirming “that report’s
‘overriding principle: Academic freedom, free inquiry, and freedom of
expression within the academic community may be limited to no greater
extent in electronic format than they are in print, save for the most unusual
situation where the very nature of the medium itself might warrant unusual
restrictions’” (AAUP, 2013b, para. 2). The question remains, when it comes
to defamation or libel, will the institution come to the defense of academic
staff? Even before the advent of the use of social media platforms, there have
been cases in Canada, such as that at York University, where the university
initially refused to come to the assistance of an academic staff member being
served with libel notices citing that the University’s insurance did not
“indemnify faculty members who spoke to the media on matters relating to
their research, teaching and professional activities” and that these activities
were “voluntary” and existed outside the scope of professional responsibilities
(Dimock, 2004, para. 2). When the lawsuit against Askey first became pub-
lic McMaster University “affirmed ‘the right of the academic community to
engage in full and unrestricted consideration of any opinion,’ and stated it
will defend itself, but said nothing about defending Askey” (CAUT, 2013,
para. 8). It was only after considerable pressure from CAUT and outcry from
the professional and academic community that McMaster University agreed
to ensure that Associate University Librarian Dale Askey could cover “his
anticipated legal costs in defending himself against the defamation suits filed
against him by Edwin Mellen Press and its owner” (CAPAL, 2013a).
IX. Professional Concerns in Canadian Universities
Despite the growing use of social media and networking platforms by insti-
tutions in higher education and their staff, 36.10% (n= 74) of respondents
in the survey undertaken for this analysis did not know if their institution
28 Mary Kandiuk and Harriet M. Sonne de Torrens
Table 2
Use of Social Media and Networking Tools
Social media/networking tool n Percentage of total
responses
Blogs 53 23.56
Facebook 127 56.44
Twitter/micro-blogging tools 111 49.33
Networking sites (i.e., Academia.edu, LinkedIn) 81 36.00
YouTube 30 13.33
Do not use social media 54 24.00
N= 225.
had any guidelines for academic staff with respect to the use of social
media/networking tools and/or sites. Meanwhile 48.29% (n= 99) of respon-
dents indicated that their institution did not have any guidelines. Only
15.61% (n= 32) were aware that their institution had social media guide-
lines. What does this tell us? It suggests that neither Canadian universities
nor academic librarians have seriously considered the ramifications of the
use of new technologies for academic staff. Several respondents noted “best
practices” were in place “but not a uniform approach,” that the institution
had “been slow to develop policies in this area,” and another stated “in
development but not targeted at one staff group.”
As is illustrated in Table 2 when participants in the survey were asked
which social media tools and networking sites they used, the most common
and popular was Facebook followed by Twitter. It has been suggested that
the “phenomenon of mini-blogs” (i.e., Twitter) has replaced “essay-type”
blog posts (Aharony, 2009a).
When respondents were asked if they identify themselves on social
media, 53.21% (n= 83) indicated they did, although the comments
revealed that not all identified their affiliated institutions. A personal pride
in professional identity in these forms of communications outweighed the
need to state their institutional affiliations. It was more important to be
part of a larger professional network that extended beyond their institu-
tions. Respondents were more likely to identify themselves on Facebook,
usually because of the privacy settings, and on networking sites such as
LinkedIn and Academia.edu given the nature and purpose of these sites.
Meanwhile 28.85% (n= 45) of respondents indicated they sometimes iden-
tified themselves, while 16.03% (n= 25) indicated that they did not.
One of the ways to distance personal viewpoints from being interpreted
as your institution’s perspective, as recommended by many institutional
Librarians in a Litigious Age and the Attack on Academic Freedom 29
social media guidelines, is to use disclaimers. The survey indicates that
79.49% (n= 124) of respondents did not use disclaimers. Only 10.9%
(n= 17) of respondents stated they used a disclaimer, and 7.05% (n= 11)
indicated they did sometimes. This suggests an area which needs to be
examined, not only in terms of best practices but also to what extent disclai-
mers offer legitimate protection for individuals. It may be that academic
freedom protection offers provides librarians a false sense of security in these
circumstances. Some felt that when postings originated from a personal
Facebook account, they would only be interpreted as personal and hence not
viewed as conflicting with their employer’s views. Others believed that this
should be completely obvious, that “anyone’s opinion on their personal social
networking site is indicative of their own views and not their institution.”
But is this really the case? Those who were aware of a need for a disclaimer
included them on their blogs and even in the signature of their e-mails.
Several respondents indicated in the comments that they had never even con-
sidered posting a disclaimer. Generally, however, only 35.05% (n= 54) felt
free to express critical viewpoints relating to their work and role as a librar-
ian on personal social media sites. Meanwhile 32.47% (n= 50) did not feel
free to openly express these viewpoints on social media and 25.32% (n= 39)
indicated sometimes. When asked to elaborate on their response to the ques-
tion about expression of critical viewpoints using social media, many respon-
dents indicated fear of repercussion not only from within the institution but
also concern about professional reputation, comments being taken out of
context as well as fear of libel. Meanwhile several respondents said that they
felt free to criticize external professional issues, that is, government policies,
and another stressed that the public’s “right to know” as most important.
As is illustrated in Table 3 when Canadian academic librarians were
asked to rank and prioritize considerations when expressing critical views
relating to their role and work as a librarian using social media/networking
tools and/or sites freedom of expression ranked highest followed by privacy.
When asked if the possibility of being sued for defamation or libel
impacted how they use social media and networking tools, 57.24% (n= 87)
said no, 26.97% (n= 41) indicated yes, and 13.16% (n= 20) responded
sometimes. When asked to elaborate on their response several respondents
expressed an “awareness and understanding of libel,” and the need to avoid
expressing opinions that might be “construed as defamation/libel.” One
respondent indicated:
Part of my research is threatening to a large Canadian organization that is very liti-
gious. Twice I have been named in demand letters by them. The 2nd time, my univer-
sity asked me not to speak in public about this organization for a while.
30 Mary Kandiuk and Harriet M. Sonne de Torrens
Table 3
Considerations When Expressing Critical Views Using Social Media and
Networking Tools and/or Sites
Considerations when expressing critical views Percentage of total responses (n)
Very Somewhat Not at all
Freedom of expression 55.2 36.09 8.28
(94) (61) (14)
Fear of defamation/libel 32.94 38.82 28.2
(56) (66) (48)
Privacy 52.07 39.05 8.88
(88) (66) (15)
N= 170.
Again several respondents stressed the importance of the “public good” as
illustrated by the following comment:
I choose to be responsible in what I say and will be critical but back up criticisms with
arguments, other publications, data, etc. I am unafraid of defamation for these reasons
and although I am aware of defamation suits, I feel knowledge and information is criti-
cal to a functioning democracy.
Only 3.33% (n= 5) of respondents indicated that they had removed content
from social media/networking sites because of fear of legal action, and
2.65% (n= 4) reported that they had been asked to remove comments.
However, self-censorship has clearly resulted since the Beall case came to
light. For example, the following comment by a survey respondent confirms
that this has had an impact on freedom of expression among librarians:
… there was a time when we were going to publish information online about predatory
journals and just before we did a librarian who was already doing it got sued. This
stopped us in our tracks and we have actually submerged the information.
Lastly, respondents in the survey were asked who at their institution “is
responsible for defending and covering the legal costs of academic staff
accused of defamation that arises from the performance of academic activ-
ities.” The survey responses indicate that 70.59% (n= 44) did not know,
18.63% (n= 38) believed it would be the faculty/academic staff association,
and 8.33% (n= 17) thought it would be the institution. Several respondents
displayed an astute understanding of the lack of clarity around this and the
accompanying risk. One respondent wrote:
Librarians in a Litigious Age and the Attack on Academic Freedom 31
There is no one body responsible; it is does on a case by case basis. We have had many
cases recently. One the union paid for. One the institution paid for. One CAUT paid
for. It depends on how important the case is to each group.
And another eloquently summarized the dilemma as follows:
The current Executive of our Association (academic staff) has stated many times that it
will defend our academic freedom. The resolve to do so sometimes falters depending on
the case and who is staffing the Executive at the time. And it is unknown if that resolve
extends to legal costs although the Association is a contributor to the CAUT Academic
Freedom Defense Fund. That said, in one case I know about, I believe the individual
was left on their own to fight a libel suit.
X. Conclusion
The intent of this enquiry was to assess the current status of academic and
intellectual freedoms as they are understood by academic librarians in
Canada and enshrined in legislation and institutional collective agreements.
This analysis revealed a number of concerns which need to be collectively
shared and addressed within the profession of academic librarianship.
Technology has redefined the landscape professionally. We have a responsi-
bility to understand the contexts in which we work within our commu-
nities. As discussed, legislation does exist in the Canadian Constitution
which offers the protection of fundamental freedoms. However, the issue of
how comprehensive or far reaching these rights are within academic com-
munities, given our new technologies, has not been fully tested, especially
with respect to the rights and freedoms of professional academic librarians
and the use of the new social media platforms. This accounts for a great
deal of the uncertainty today. Our study revealed a lack of awareness and
understanding on the part of Canadian academic librarians regarding their
rights and protections with respect to academic freedom. The use of new
communication technologies by Canadian academic librarians poses new
challenges and risks which appear to be not fully understood. Areas that
would benefit from further investigation and not explored in this study
include how social media tools and/or networking platforms are used by
academic librarians to express critical viewpoints and to what extent this
use is protected by individual institutions and/or unions or associations.
The blurred lines between personal and professional blogs and other social
media platforms is an area that has not yet been fully examined. While the
status of academic librarians will vary by institution and the protections
provided for academic librarians with respect to academic and intellectual
32 Mary Kandiuk and Harriet M. Sonne de Torrens
freedom will vary by jurisdiction the issues raised by this chapter transcend
boundaries. The authors of this chapter believe it is in the interest of profes-
sional academic librarians everywhere to ensure that they acquire and/or
become knowledgeable about their academic rights and freedoms, from the
perspective of their own workplace, as well as, be informed of fundamental,
given rights wherever they may reside. For knowledge of these rights
empowers, just as it facilitates discretion and protection when expressing
viewpoints, no matter the medium. It enables strategic choices when facing
challenges and assures that the fundamental rights are not forfeited when
negotiating terms of employment.
Unlike many of their American colleagues, most academic librarians in
Canada are members of the faculty associations which are also certified
unions. The national survey undertaken for this study demonstrates that
academic librarians, when covered by the same academic freedom statements
as their faculty colleagues, whether stated in combined or separate collective
agreement documents, are assured of better protection than librarians who
are not included in faculty policies who would appear to be more vulner-
able. This is professionally significant. Academic freedom is a given, a core
requirement for academic librarians everywhere, as is tenure which, in turn,
secures this right. Academic librarians must have the freedom to function as
full members of their academic communities which includes the right to
criticize, disseminate and share views and professional expertise within and
outside their academic institutions. What is at stake is the ability of librar-
ians to enact the core professional values of librarianship and the freedom to
fulfill their professional obligations in support of the public good in a
democratic society without fear or repercussions.
References
Aharony, N. (2009a). An exploratory analysis of librarians’ blogs: Their develop-
ment, nature and changes. Aslib Proceedings, 61(6), 587
604. doi:10.1108/
00012530911005535
Aharony, N. (2009b). Librarian and information scientists in the blogosphere. Library &
Information Science Research, 31(3), 174
181. doi:10.1016/j.lisr.2009.02.001
American Association of University Professors (AAUP). (1940, 1970). 1940 state-
ment of principles on academic freedom and tenure with 1970 interpretive comments.
Retrieved from http://www.aaup.org/report/1940-statement-principles-academic-
freedom-and-tenure
American Association of University Professors (AAUP). (2012). Joint statement on
faculty status of college and university librarians. Retrieved from http://www.aaup.
org/report/joint-statement-faculty-status-college-and-university-librarians
Librarians in a Litigious Age and the Attack on Academic Freedom 33
American Association of University Professors (AAUP). (2013a). AAUP statement
on the Kansas board of regents social media policy. Retrieved from http://www.aaup.
org/file/KansasStatement.pdf
American Association of University Professors (AAUP). (2013b). Academic freedom
and electronic communications. Retrieved from http://www.aaup.org/report/academic-
freedom-and-electronic-communications-2014
American Library Association. (2000). Intellectual freedom principles for academic
libraries. Retrieved from http://www.ala.org/acrl/publications/whitepapers/
intellectual
American Library Association. (2014). Academic Bill of Rights (ARBOR).
Retrieved from https://www.ala.org/Template.cfm?Section=ifissues&Template=/
ContentManagement/ContentDisplay.cfm&ContentID=112328#academicbillo
frights
American Library Association, Office for Intellectual Freedom. (2014). Intellectual
freedom manual. Retrieved from http://www.ala.org/advocacy/intfreedom/iftoolk-
its/ifmanual/intellectual
Association of College and Research Libraries (ACRL). (1973, September). Model
statement of criteria and procedures for appointment, promotion in academic
rank, and tenure for college and university librarians. Association of Research
Libraries. SPEC Flyer, No. 9, 1974. Retrieved from http://babel.hathitrust.org/
cgi/pt?id=mdp.39015011260547;view
Association of College and Research Libraries (ACRL). (1999). Intellectual freedom
principles for academic libraries. Retrieved from http://www.ala.org/acrl/publica
tions/whitepapers/intellectual
Association of College and Research Libraries (ACRL). (2012). Joint statement on
faculty status of college and university librarians. Retrieved from http://www.ala.org/
acrl/standards/jointstatementfaculty
Bancroft et al. v. Governing Council of the University of Toronto. (1986). ON SC,
1986-01-30. Retrieved from http://www.canlii.org/en/on/onsc/doc/1986/1986
canlii2543/1986canlii2543.html?searchUrlHash=AAAAAQBRImNoYXJ0ZXI
gb2YgcmlnaHRzIiBhbmQgdW5pdmVyc2l0eSBvZiB0b3JvbnRvIGFuZCBnb3Zl
cm5pbmcgY291bmNpbCBhbmQgYXBhcnRoZWlkAAAAAAE
Bivens-Tatum, W. (2013). Edwin Mellen press suing a librarian? Retrieved from
http://blogs.princeton.edu/librarian/2013/02/edwin-mellen-press-suing-a-librarian/
British Columbia Library Association (BCLA). (2014). About BCLA. Retrieved
from https://bclaconnect.ca/?page_id=782
British Columbia Library Association (BCLA). (n.d.). Statement on intellectual free-
dom. Retrieved from http://www.bcla.bc.ca/page/intellectual%20freedom.aspx#.
U6nlzLHyQRU
Bromwich, D. (2012). Academic freedom and its opponents. Raritan, 31(3),
19
33. Retrieved from http://raritanquarterly.rutgers.edu/files/article-pdfs/
bromwich_rqxxxi3_web.pdf
Bruneau, W. (2014). Academic freedom and religious conviction at Canada’s faith-
based universities and colleges. In J. L. Turk (Ed.), Academic freedom in conflict:
The struggle over free speech rights in the university (pp. 145
171). Toronto, Canada:
James Lorimer & Company.
Bryan, J. E. (2007). The question of faculty status for academic librarians. Library
Review (Special Issue), 56(9), 781
787. doi:10.1108/00242530710831220
34 Mary Kandiuk and Harriet M. Sonne de Torrens
Byrne, A. (1999). ‘See librarian’: University librarians and intellectual freedom.
AARL: Australian Academic Research Libraries, 30(2), 107
118. doi:10.1080/
00048623.1999.10755084
Canadian Association of Professional Academic Librarians (CAPAL). (2013a, March
1). CAUT releases statement: McMaster University to pay for Dale Askey’s legal costs
[Web log post]. Retrieved from http://capalibrarians.org/2013/03/caut-releases-
statement-mcmaster-university-to-pay-for-dale-askeys-legal-costs/
Canadian Association of Professional Academic Librarians, Steering Committee.
(2013b). CAPAL: The formation of a professional organization for Canadian aca-
demic librarians. Partnership: The Canadian Journal of Library and Information
Practice and Research, 8(2), 1
3. Retrieved from https://journal.lib.uoguelph.ca/
index.php/perj/article/view/2800/3070#.VE1G87AtCAY
Canadian Association of Research Libraries (CARL). (1987). Freedom of expression.
Retrieved from http://www.carl-abrc.ca/en/about-carl/principles.html
Canadian Association of University Teachers (CAUT). (2011). Academic freedom
statement. Retrieved from http://www.caut.ca/about-us/caut-policy/lists/caut-
policy-statements/policy-statement-on-academic-freedom
Canadian Association of University Teachers (CAUT). (2013). Mellen Press hits
McMaster librarian with lawsuit alleging defamation. CAUT Bulletin, February.
Retrieved from https://www.cautbulletin.ca/en_article.asp?ArticleID=3589
Canadian Association of University Teachers (CAUT) Librarians’ Committee.
(1989, March). CAUT/CACUL guidelines on terms and conditions of employment for
university librarians, 1986. Assembled in CAUT Policies Concerning Librarians.
Canadian Charter of Rights and Freedoms. (1982). Part I of the Constitution Act.
Retrieved from http://laws-lois.justice.gc.ca/eng/const/page-15.html
Canadian Library Association (CLA). (1985a). Position statement on intellectual free-
dom. Retrieved from http://www.cla.ca/Content/NavigationMenu/Resources/
PositionStatements/Statement_on_Intell.htm
Canadian Library Association (CLA). (1985b). Mission statement. Retrieved from
http://www.cla.ca/AM/Template.cfm?Section=Mission_Values_andamp_Operat
ing_Principles&Template=/CM/HTMLDisplay.cfm&ContentID=13985
Canadian Library Association (CLA). (2011). Missions, values & operating principles.
Retrieved from http://www.cla.ca/AM/Template.cfm?Section=Mission_Values_
andamp_Operating_Principles&Template=/CM/HTMLDisplay.cfm&Content
ID=13985
Carleton University. (2014). Social media guidelines. Retrieved from http://carleton.
ca/socialmedia/social-media-guidelines/
Carpay, J. (2014). University of Calgary’s war on free speech. National Post, April
22. Retrieved from http://fullcomment.nationalpost.com/2014/04/22/john-carpay-
university-of-calgarys-war-on-free-speech/
Chang, A. W. (2001). Resuscitating the constitutional “theory” of academic free-
dom: A search for a standard beyond Pickering and Connick. Stanford Law
Review, 53(4), 915
966.
Danner, R. A., & Bintliff, B. (2006). Academic freedom issues for academic
librarians. Legal Reference Services Quarterly, 25(4), 13
35. doi:10.1300/J113v
25n04_03
de la Peña McCook, K. (2008). Workplace speech in libraries. Progressive Librarian:
A Journal for Critical Studies & Progressive Politics in Librarianship, 31, 7
17.
Librarians in a Litigious Age and the Attack on Academic Freedom 35
Retrieved from http://www.progressivelibrariansguild.org/PL_Jnl/pdf/PL31_
summer2008.pdf
DeCew, J. W. (2003). Unionization in the academy: Visions and realities. Lanham, MD:
Rowman & Littlefield.
Dimock, S. (2004, March 18). Academics speak out, but at their own peril! Retrieved
from http://www.yufa.org/Grievances/libel/speakout.html
Dudley, M. (2013). The curious case of academic publishing. Partnership: The
Canadian Journal of Library and Information Practice and Research, 8(1), 1
4.
Edwin Mellen Press Limited and Dale Askey and McMaster University. (2012).
OSCJ, CV-12-45557S. Retrieved from https://docs.google.com/file/d/0Bz0QkOJ
bKc0mbVlBZmd3dUtDMmM/edit?pli=1
English, K. (2012). Canadian charter of rights: What is the status of press freedom
in Canada? The Star, March 9. Retrieved from http://www.thestar.com/opinion/
public_editor/2012/03/09/canadian_charter_of_rights_what_is_the_status_of_
press_freedom_in_canada.html
First Amendment Project. The anti-SLAPP resource center. (n.d.). What are
SLAPPs. Retrieved from http://www.thefirstamendment.org/slapp.html#1
Ford, K. E. (1984). A review of state and regional library association periodicals.
Serials Review, 10(2), 5
16. doi:10.1080/00987913.1984.10763523
Gillum, S. (2010). The true benefit of faculty status for reference librarians. The
Reference Librarian, 51(4), 321
328. doi:10.1080/02763877.2010.501419
Government of the United States. (1791). Bill of rights. Retrieved from http://
www.archives.gov/exhibits/charters/bill_of_rights_transcript.html
Granfield, D., & Barakett, N. (1990). Intellectual freedom handbook. Toronto, Canada:
Ontario Library Association.
Granfield, D., Kandiuk, M., & Sonne de Torrens, H. (2011). Academic librarian-
ship: A crisis or an opportunity? Partnership: The Canadian Journal of Library and
Information Practice and Research, 6(2), 1
6. Retrieved from https://journal.lib.
uoguelph.ca/index.php/perj/article/view/1678/2239#.VE5H2LAtCAY
Greenspan, E. (2004). Should hate speech be a crime? (Audio recording). Queen’s
Quarterly, 111(1), 73
85. Retrieved from http://www.queensu.ca/jewishstudies/
events/rosenlectures.html
Gregg, M. (2006). Feeling ordinary: Blogging as conversational scholarship.
Continuum: Journal of Media and Cultural Studies, 20(2), 147
160. doi:10.1080/
10304310600641570
Guistini, D. (2013). Blogging and the law. Retrieved from http://hlwiki.slais.ubc.ca/
index.php/Blogging_and_the_law
Highby, W. (2004). The ethics of academic college development in a politically
contentious era. Library Collections, Acquisitions & Technical Services, 284(4),
465
472. doi:10.1016/j.lcats.2004.09.003
Horn, M. (1999). Academic freedom in Canada: A history. Toronto, Canada:
University of Toronto Press.
Hurt, C., & Yin, T. (2006). Blogging while untenured and other extreme sports.
Washington University Law Review, 84(5), 1235
1255. Retrieved from http://
openscholarship.wustl.edu/law_lawreview/vol84/iss5/20
International Federation of Library Associations (IFLA). (1999). Statement on libraries and
intellectual freedom. Retrieved from http://www.ifla.org/faife/policy/iflastat/iflastat.htm
Jackson-Brown, G. M. (2013). Content analysis study of librarian blogs:
Professional development and other uses. First Monday: Peer Reviewed Journal on
36 Mary Kandiuk and Harriet M. Sonne de Torrens
the Internet, 18(2
4). Retrieved from http://firstmonday.org/ojs/index.php/fm/
article/view/4343/3415
Jones, B. M. (2009). Protecting intellectual freedom in your academic library. Chicago,
IL: American Library Association.
Justice Centre for Constitutional Freedoms. (2014, June 18). University of Calgary
reverses its verdict in free expression case: Pro-life students not guilty of non-academic
misconduct. Retrieved from http://www.jccf.ca/university-of-calgary-reverses-
its-verdict-in-free-expression-case-pro-life-students-not-guilty-of-non-academic-
misconduct/
Kaplin, W. A., & Lee, B. A. (2013). The law of higher education. New York, NY: Wiley.
Marchildon, J. (2014, February 28). Freedom to read week. Retrieved from http://cjfe.
org/resources/features/intellectual-freedom-canada-freedom-read-week-2014
McAnally, A. (1975). The status of the university librarian. In Association of
College and Research Libraries, Committee of Academic Status (Ed.), Faculty sta-
tus for academic librarians: A history and policy statements (pp. 1
30). Chicago, IL:
American Library Association.
McGill University Faculty Association. (2014, April 23). Statement of academic free-
dom. Retrieved from http://www.mcgill.ca/maut/current-issues
Mckinney v. University of Guelph. (1990). SCR 229, 1990-12-06. Retrieved
from http://www.canlii.org/en/ca/scc/doc/1990/1990canlii60/1990canlii60.html?
searchUrlHash=AAAAAQBdImNoYXJ0ZXIgb2YgcmlnaHRzIiBhbmQgbWNra
W5uZXkgYW5kIGd1ZWxwaCBhbmQgcmV0aXJlbWVudCBhbmQgYWNh
ZGVtaWMgZnJlZWRvbSBhbmQgbGlicmFyaWFuAAAAAAE
MLB-Slaw. (2010, June 14). Maritime law book’s national reporter system. Pridgen v.
University of Calgary 2010 ABQB 644. Retrieved from http://cases.slaw.ca/post/
6543174331/pridgen-v-university-of-calgary-2010-abqb-644
Moon, R. (2014). Demonstrations on campus and the case of Israeli apartheid week.
In J. L. Turk (Ed.), Academic freedom in conflict: The struggle over free speech rights in the
university (pp. 185
204). Toronto, Canada: James Lorimer & Company.
New, J. (2013, May 15). Publisher threatens to sue blogger for $1-billion. Chronicle
of Higher Education. Retrieved from https://chronicle.com/article/Publisher-
Threatens-to-Sue/139243/
O’Neil, R. M. (2008a, February 8). Colleges face ominous new pressures on aca-
demic freedom. Chronicle of Higher Education. Retrieved from http://chronicle.
com/article/Colleges-Face-Ominous-New/14752
O’Neil, R. M. (2008b). Academic freedom in the wired world: Political extremism, corpo-
rate power, and the university. Cambridge, MA: Harvard University Press.
Queen’s University. (2011
2015). Collective agreement between Queen’s university
faculty association and Queen’s university. Retrieved from http://www.queensu.
ca/provost/faculty/facultyrelations/qufa/collectiveagreement/WEBSITECAWITH
LINKSSept252012.pdf
Rabban, D. M. (2014). Professors beware: The evolving threat of ‘institutional’ aca-
demic freedom. In J. L. Turk (Ed.), Academic freedom in conflict: The struggle over
free speech rights in the university (pp. 23
48). Toronto, Canada: James Lorimer &
Company.
Rowe, D., & Brass, K. (2011). We take academic freedom quite seriously: How
university media offices manage academic public communication. International
Journal of Media & Cultural Politics, 7(1), 3
20. doi:10.1386/mcp.7.1.3_1
Librarians in a Litigious Age and the Attack on Academic Freedom 37
Rubin, R. (2000). Foundations of library and information science. New York, NY:
Neal-Schuman.
Ruf, C. (2013, March 4). Book publisher to drop lawsuit against McMaster librarian.
Retrieved from http://www.cbc.ca/news/canada/hamilton/news/book-publisher-
to-drop-lawsuit-against-mcmaster-librarian-1.1301199
Ryerson University. (2014). Social media use—The employee dilemma. Retrieved from
http://www.ryerson.ca/hr/yourworklife/legal-policy-issues/social-media-use.html
Samek, T. (2008). Cultivating a culture of freedom of expression in the library
workplace. Progressive Librarian: A Journal for Critical Studies & Progressive Politics
in Librarianship, 31, 3
5.
Schabas, W. A. (1998). Canada and the adoption of the universal declaration of
rights. McGill Law Journal, 43, 403
441. Retrieved from http://lawjournal.
mcgill.ca/userfiles/other/5890478-43.Schabas.pdf
Schwartz, M. (2013, February 11). Press sues librarian over negative evaluation.
Library Journal. Retrieved from http://lj.libraryjournal.com/2013/02/litigation/
press-sues-librarian-over-negative-evaluation/#_
Siddiqui, S. (2013, March 28). Franklin Carter on libel chill. Retrieved from http://
pencanada.ca/blog/franklin-carter-on-libel-chill/
Simon Fraser University. (2012). Social media protocols. Retrieved from https://www.
sfu.ca/clf/social_media.html
Simon Fraser University Faculty Association. (2007). Simon Fraser University frame-
work agreement between Simon Fraser University and the Simon Fraser Faculty
Association. Retrieved from http://www.sfufa.ca/agreements-and-policies/frame-
work-agreement/
Smallman, V. (2006). Academic labor: The Canadian context. Cinema Journal,
45(4), 108
112.
Society of Academic Freedom and Scholarship (SAFS). (1992, May
present).
Newsletters. Retrieved from http://www.safs.ca/newsletter.html
Society of Academic Freedom and Scholarship (SAFS). (2004). Collective agreement
between university administration and University of Western Ontario Faculty
Association. SAFS Newsletter, 36(4), 4.
Sonne de Torrens, H. (2014). Academic librarianship: The quest for rights and
recognition at the University of Toronto. In J. Dekker & M. Kandiuk (Eds.), In
solidarity: Academic librarian labour activism and union participation in Canada (pp.
81
106). Sacramento, CA: Library Juice Press.
St. Michael’s College. (2012
2014). Collective agreement between Collegium of the
University of St. Michael’s College and the University of Toronto Faculty Association.
Retrieved from http://stmikes.utoronto.ca/hr/docs/2013-Proxy-Agenda.pdf
Stone, M. (2012). The corporate university in Canada and the U.S.: History, mani-
festations, and oppositional strategies. English Studies in Canada, 38(1), 71
88.
Retrieved from http://ejournals.library.ualberta.ca/index.php/ESC/article/view/
20873/15893
Thompson, J. (2014). Preface. In J. L. Turk (Ed.), Academic freedom in conflict: The
struggle over free speech rights in the university (p. 9). Toronto, Canada: James
Lorimer & Company.
Trosow, S. (2011). Intellectual freedom concerns cannot stop at the library door.
Feliciter, 57(1), 11.
Turgeon, M. C. (2004). 10 reasons to blog. Retrieved from http://mcturgeon.com/
blog/2004/11/24/10-reasons-to-blog/
38 Mary Kandiuk and Harriet M. Sonne de Torrens
Turk, J. (2000). The corporate campus: Commercialization and the dangers to Canada’s
colleges and universities. Toronto, Canada: James Lorimer & Company.
United Nations. (1949). Article 19. The Universal Declaration of Human Rights.
Retrieved from http://www.un.org/en/documents/udhr/index.shtml#a2
United States Constitution Amend. I. (1791). Retrieved from http://www.archives.
gov/exhibits/charters/print_friendly.html?page=constitution_transcript_content.
html&title=The%20Constitution%20of%20the%20United%20States%3A%20
A%20Transcription
University of British Columbia. (2014a). Working with our brand/social media guide-
lines/faculty use. Retrieved from http://brand.ubc.ca/working-with-our-brand/
social-media/before-you-start/faculty-use/
University of British Columbia. (2014b). Academic freedom in working with our brand.
Retrieved from http://brand.ubc.ca/working-with-our-brand/social-media/before-
you-start/faculty-use/
University of Guelph. (2014). Social media guidelines. Retrieved from http://www.
uoguelph.ca/web/socialmedia
University of Northern British Columbia. (2014). Bargaining Bulletin 2014-05.
Retrieved from http://unbcfa.ca/category/certification-updates/
University of Victoria Faculty Association. (2014, April 23). Faculty association to
pursue union certification. Retrieved from http://www.uvicfa.ca/1/faculty-associa
tion-to-pursue-union-certification/
University of Waterloo. (2013). Memorandum of Agreement between the Faculty
Association of the University of Waterloo and the University of Waterloo. Retrieved
from https://uwaterloo.ca/secretariat-general-counsel/documents-potential-inter
est/memorandum-agreement-uw-fauw#academic
University of Waterloo Library. (2010). Librarians’ Employment Handbook.
University of Western Ontario. (2010
2014). Faculty collective agreement between The
University of Western Ontario and The University of Western Ontario faculty association.
Retrieved from https://uwofa.ca/@storage/files/documents/377/faca20102014.pdf
University of Western Ontario. (2011
2015). Collective Agreement between The
University of Western Ontario and The University of Western Ontario faculty
association—Librarians & archivists. Retrieved from https://uwofa.ca/@storage/
files/documents/430/laca20112015.pdf
Wickens, C. (2008). The organizational impact of university labor unions. Higher
Education, 56(5), 545
565. doi:10.1007/s10734-008-9110-z
York University. (2012
2015). Collective agreement: York University faculty association
and York University board of governors. Retrieved from http://www.yufa.ca/wp-con
tent/uploads/2012/12/CA2012-2015.pdf
Librarians in a Litigious Age and the Attack on Academic Freedom 39
Appendix A
Table A1
Collective Agreement/Memorandum of Agreement for Librarians
Name of institution Collective Agreement (CA)/ CA or policies CA or MOA Academic
Memorandum of Agreement (MOA) for librarians for librarians freedom
year only and faculty statement
(yes or no) (yes or no) (yes or no)
Acadia University July 1, 2010
June 30, 2014 No Yes Yes
Athabasca University Terms and Conditions: July 1, Unclear Unclear Unclear
2011
June 30, 2013
Salaries and Benefits: July 1,
2010
June 30, 2012
Atlantic School of Theology April 1, 2010
March 31, 2013 No Yes Yes
Bishop’s University July 2012
July 2015 Yes No No
Brandon University April 1, 2011
31 March 31, 2015 No Yes Yes
Brock University July 1, 2011
June 30, 2014 No Yes Yes
Cape Breton University July 1, 2009
June 30, 2013 No Yes Yes
Carleton University May 1, 2012
April 30, 2014 No Yes Yes
Concordia University 2012
2015 No Yes Yes
Dalhousie University 2011
2014 No Yes Yes
Guelph University Expires June 30, 2014 No Yes Yes
Lakehead University September 1, 2011
August 31, 2015 No Yes Yes
Laurentian University July 1, 2011
June 30, 2014 No Yes Yes
McGill University, Faculty Associationa — Unknown Unknown Yes (?)
McMaster University, Librarians 2011
July 31, 2015 Yes No No
Associationb
40 Mary Kandiuk and Harriet M. Sonne de Torrens
Table A1 (Continued )
Name of institution Collective Agreement (CA)/ CA or policies CA or MOA Academic
Memorandum of Agreement (MOA) for librarians for librarians freedom
year only and faculty statement
(yes or no) (yes or no) (yes or no)
Memorial University of Newfoundland February 26, 2010
August 31, 2013 No Yes Yes
Mount Allison September 2012
August 2015 No Yes Yes
Mount Saint Vincent University July 1, 2012
June 30, 2015 No Yes Yes
Nipissing University May 1, 2012
April 30, 2015 No Yes Yes
Northern Ontario School of Medicine July 1, 2011
June 30, 2015 No Yes Yes
Faculty and Staff Association
Nova Scotia College of Art and Design July 1, 2012
June 30, 2015 No Yes Yes
Queen’s University August 29, 2011
April 30, 2015 No Yes Yes
Royal Roads University April 1, 2012
March 31, 2014 No Yes Yes
Ryerson University Expires June 30, 2015 No Yes Yes
Simon Fraser Universityc See note below No Yes Yes
St. Francis Xavier University Expires June 30, 2016 No Yes Yes
St. Mary’s University (Nova Scotia) September 1, 2012
August 31, 2015 No Yes Yes
St. Mary’s University College (Alberta) July 1, 2013
June 30, 2015 No Yes Yes
St. Thomas More College 2010
2013 No Yes Yes
Trent University July 1, 2012
June 30, 2013 No Yes Yes
University of Alberta 2010
2013 Yes No Yes
University of British Columbia July 1, 2012
June 30, 2014 No Yes No
University of Calgary July 1, 2013
June 30, 2015 No Yes Yes
University of Lethbridge Effective July 1, 2013 (no end date is No Yes Yes
listed)
University of Manitoba April 1, 2010
March 31, 2013 No Yes Yes
University of New Brunswick 2009
2013 No Yes Yes
University of Northern British Columbiac July 1, 2010
June 30, 2012 No Yes Yes
Librarians in a Litigious Age and the Attack on Academic Freedom 41
University of Ontario Institute of Expires June 30, 2015 No Yes Yes
Technology
University of Ottawa May 1, 2012
April 30, 2016 No Yes Yes
University of Prince Edward Island Expires June 30, 2016 No Yes Yes
University of Regina 2011
2014 No Yes Yes
University of Saskatchewan 2010
2013 No Yes Yes
University of Torontoa (U of T has a 1978 No Yes Yes
Memorandum of Agreement with
Administration which has a clause on
academic freedom)
University of Victoriad July 1, 2010
June 30, 2012 No Yes Yes
University of Waterlooa 2010 Yes No No
University of Winnipeg April 1, 2010
March 31, 2013 No Yes Yes
Western University July 1, 2011
June 30, 2015 Yes No Yes
Wilfrid Laurier University July 1, 2011
June 30, 2104 No Yes Yes
Windsor University July 1, 2011
June 30, 2014 No Yes Yes
York University May 1, 2012
April 30, 2015 No Yes Yes
aUniversities with Faculty Associations that are not certified as unions.
bMcMaster University Librarians’ Association is certified. The Faculty Association at McMaster University is not certified.
cRecently certified their faculty association.
dUniversity of Victoria Faculty Association Council voted to pursue certification on April 23, 2014.
42 Mary Kandiuk and Harriet M. Sonne de Torrens
Appendix B: Canadian Academic Librarians Academic
Freedom Survey
Questions Used from the Survey
1. Which of the following best describes your status?
• Contractually limited
• Probationary/Pre-tenured/Pre-continuing appointment
• Tenured/Continuing Appointment
• Permanent staff without tenure or continuing appointment
• Other (Please specify)
2. Which of the following best describes the status held by librarians at your institution?
• Academic status (analogous terms and conditions of employment as teaching faculty)
• Faculty status (same rights and privileges as teaching faculty)
• Academic staff (no academic or faculty status)
• Don’t know
• Other (Please specify)
3. Which of the following best describes the situation of librarians at your institution?
• Members of a certified trade union/certified faculty association that includes faculty and
librarians
• Members of a certified trade union/certified librarians association that includes only
librarians
• Members of a noncertified faculty association that includes faculty and librarians
• Members of a noncertified association that includes only librarians
• Are not members of any kind of union, association, etc.
• Don’t know
• Other (Please specify)
4. Does your institution have a formal statement regarding academic freedom?
• Yes
• No
• Don’t know
• Other (Please specify)
5. If yes, where is this statement made available? Please check all that are applicable.
• Institution web site
• Collective agreement
• Memorandum of agreement
• Don’t know
• Other (Please specify)
6. If yes, does this statement cover and protect librarians?
• Yes
• No
• Don’t know
• Other (Please specify)
Librarians in a Litigious Age and the Attack on Academic Freedom 43
7. I feel free to openly criticize the policies of the library, institution, and administration
• Yes
• No
• Sometimes
• Not applicable
If you responded No or Sometimes, please elaborate.
8. I feel free to express my views within the institution in speech, writing, and through electro-
nic communication without fear of sanction.
• Yes
• No
• Sometimes
If you responded No or Sometimes, please elaborate.
9. I feel free to express my views outside the institution in speech, writing, and through elec-
tronic communication without fear of sanction.
• Yes
• No
• Sometimes
If you responded No or Sometimes, please elaborate.
10. Does your institution provide guidelines for academic staff with respect to the use of social
media/networking tools and/or sites?
• Yes
• No
• Don’t know
• Other (Please specify)
11. Please describe these guidelines and indicate where they are made available.
12. Do you use any of the following social media/networking tools as an individual (as opposed
to on behalf of the institution) to post/share comments and/or opinions relating to your
work as a librarian? Please select all that are applicable.
• Blogs
• Facebook
• Twitter/Micro-blogging tools
• Networking sites (i.e., Academia.edu, LinkedIn)
• YouTube
• Do not use social media
• Other (Please specify)
13. Do you openly identify yourself as a librarian and include your institutional affiliation on
the social media/networking sites indicated in the previous question?
• Yes
• No
• Sometimes
• Other
Please elaborate on your response above. If Yes, why? If No, why not? If Sometimes,
when and why/why not? If Other, please specify.
44 Mary Kandiuk and Harriet M. Sonne de Torrens
14. Do you post a disclaimer on these social media/networking sites which makes it clear that
the views are your own and not that of your institution?
• Yes
• No
• Sometimes
• Other
Please elaborate on your response above. If Yes, why? If No, why not? If Sometimes,
when and why/why not? If Other, please specify.
15. Do you feel free to openly express critical views relating to your work and role as a librarian
on social media/networking sites?
• Yes
• No
• Sometimes
• Other
Please elaborate on your response above. If Yes, why? If No, why not? If Sometimes,
when and why/why not? If Other, please specify.
16. How important are the following considerations when you express critical views relating
to your work and role as a librarian when using social media/networking tools and/or
sites?
Very Somewhat Not at all
Freedom of expression
Fear of defamation/libel
Privacy
Other (Please specify)
17. Does the possibility of being sued for defamation/libel impact how you use social media/net-
working tools and/or sites?
• Yes
• No
• Sometimes
• Other (Please specify)
If Yes or Sometimes, please describe how this impacts your use of social media. If Other,
please specify.
18. Have you ever removed comments you posted on social media/networking sites in relation to
academic activities because of fear of legal action?
• Yes
• No
• Sometimes
• Other (Please specify)
If Yes or Other, please elaborate.
Librarians in a Litigious Age and the Attack on Academic Freedom 45
19. Has anyone ever recommended that you remove comments posted on social media/
networking sites in relation to academic activities because of fear of legal action?
• Yes
• No
• Other
If Yes, please elaborate and indicate who recommended that you remove the comments. If
Other, please specify.
20. Who at your institution is responsible for defending and covering the legal costs of academic
staff accused of defamation that arises from the performance of academic activities?
• Institution
• Academic staff association/union
• No one is responsible
• Don’t know
• Other (Please specify)
21. Please feel free to provide any additional comments.
This page intentionally left blank
Educating Ethical Leaders for the
Information Society: Adopting
Babies from Business
Maureen L. Mackenzie
Division of Business, Molloy College, Rockville Centre, New York,
NY, USA
Abstract
The boundaries between the for-profit sector and traditional nonprofit library focused informa-
tion professions are blurring. As these information professions grow, more of their future leaders
will be graduates from business management programs as opposed to library and information
programs. There is a general perception that for-profit employers demand leaders who are analy-
tical and achievement oriented. As a result, business schools have been criticized for focusing
their curricula on transaction-based economics with less focus on preparing leaders to do what
is right. So, how do we better prepare business graduates to face ethical dilemmas as they move
forward to build and support information organizations of the future? This chapter reports the
results of a study which explored the viewpoints of American thought leaders about ethics in
the context of business programs. A total of 32 subjects from the corporate and higher educa-
tion settings were interviewed. Results of the study revealed five major themes related to how
educators can better prepare our next generation of leaders. Those themes were: (1) insights
related to the student; (2) insights pertaining to the goal of business ethics education and curri-
cula; (3) specific cases and experiences to include in ethics course(s); (4) explicit student learning
outcomes; and (5) the specific role, skill, and ability of professors teaching ethics courses. While
this chapter deals primarily with the academic scope of ethics, the study also explored personal
views about ethics by the interviewees. Understanding how foundational ethical beliefs and
awareness develop then informs the broader discussion of ethics.
Keywords: Business ethics; ethics; leadership preparation; organizational culture; informa-
tion culture; business education
I. Introduction
Volume 39 of Advances in Librarianship illuminates hot issues in the broad
field of information. Ethics, education, and leadership are among those
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 47
DOI: 10.1108/S0065-283020150000039010
48 Maureen L. Mackenzie
issues. The American Library Association (ALA), within its code of ethics,
addresses the “importance of codifying and making known to the profession
and to the general public the ethical principles that guide the work of
librarians, other professionals providing information services, library trus-
tees and library staffs” (1996
2014). ALA’s code of ethics speaks directly to
ethical decision making and its back story reflects the shift in a librarian’s
expected behavior from “should” to “must” (Sturgeon, 2007, p. 56). Its lan-
guage reflects a fabric of ethical thinking that defines ALA and its members.
Though the code has been revised over time, it has been suggested that
its foundation and fabric is solid (Buschman, 2006). It is understood that
ethical behavior and ethical decision making is present at all times.
Many professions have enforceable codes of ethics, such as doctors and
lawyers. In these fields, individuals who violate their codes of ethics can lose
their license to practice. It is generally acknowledged that a profession is
partially defined by its ability to self-govern. An ethics code makes known a
profession’s stance and commitment to society. The ethics code can “include
a means by which the members of the profession ensure compliance with
the responsibilities they profess.” According to Stichler (1992), “… if
occupational groups lack effective means of self-governance, they are not
qualified to call themselves professions” (pp. 41
42).
Sturgeon (2007) pointed out that the ALA lacks any such mechanism
to enforce its code of ethics. He cited a survey of Illinois public library
directors and found that only little more than half of the respondents (56%)
even knew that the code of ethics existed. A related debate is the effective-
ness of a code in influencing behavior. Some feel that codifying ethics helps
to raise awareness and reduces opportunities for individuals to claim that
they didn’t know of a code’s existence. Others think that codes make little
or no difference (Brinkmann & Peattie, 2005). Lere and Gaumnitz’s study
(2003) found that the presence of a code is more influential on behavior
when there is an enforcement provision.
A. The Information Field
Disciplines such as knowledge management, information policy, informa-
tion storage and retrieval, knowledge archiving, searching and indexing,
and web development, all live within the purview of both for-profit and
not-for-profit organizations. The ALA accreditation standards defines the
phrase “library and information studies” so that it is clearly
understood to be concerned with recordable information and knowledge and the services
and technologies to facilitate their management and use. Library and information studies
Educating Ethical Leaders 49
encompasses information and knowledge creation, communication, identification, selec-
tion, acquisition, organization and description, storage and retrieval, preservation, analy-
sis, interpretation, evaluation, synthesis, dissemination, and management. (ALA, 2008.
Standards for Accreditation of Master’s Programs in Library and Information Studies, p. 3)
In reflecting on this definition, we know that many industries emerge
from, or heavily rely upon, the information professions. Therefore its integ-
rity must be solid. Information is pervasive and the processes that exist in
this country connect us all and that the boundaries between the for-profit
sector and the information professions are blurring.
So, how do we ensure that future leaders are able to face the ethical
dilemmas that they will face as they move forward to build and support
information organizations of the future? This is especially true when the lea-
dership of our information infrastructure is not emerging solely from ALA
accredited institutions nor is it within traditional library environments. It is
difficult to argue that the world of business and the world of information are
separable. Future information leaders will emerge in increasing numbers from
graduate and undergraduate business schools rather than traditional, library
and information science programs, or even from I-schools. It is from the
viewpoint that business management schools will have a growing influence
over the information professions, that the overall purpose of this study
emerged. Another premise is that organizational cultures are pervasive and
are influential in shaping employees’ behaviors and can empower employees
to make reasoned and ethical decisions that benefit stakeholders. Yet, it is
also understood that an ethical culture emanates from its leaders. It starts at
the top; or does it? Or does it start in the home or during the formative
years of professional development. Or does it start while the leader is still a
student—at college?
This chapter offers readers a glimpse into the minds of those who are
already embedded in senior leadership levels at a range of organizations.
The glimpse speaks to how they perceive the development of ethical decision
making within organizations and their views of factors influencing those
cultures. The outcome is knowledge about how future leaders can be best, or
better, prepared to face the dilemmas that organizational life present. Prior to
seeking the empirical data, knowledge of the major concepts surrounding this
topic must be considered. Therefore, this chapter describes both published
views and research results relating to the five following areas:
1. The influence of workplace ethics and business practices;
2. Ethical information culture;
3. How students learn ethics;
4. What employers expect from graduates; and
5. What business management programs seek to teach and to achieve.
50 Maureen L. Mackenzie
These knowledge areas provide the context for the empirical study reported
in this chapter. In short this chapter explores the question of how colleges
and universities can prepare future leaders to face ethical dilemmas effec-
tively. The knowledge and experiences captured from experienced leaders
and corporate designers of ethics’ programs, offers direction to everyone
responsible for the development of coursework within the management and
leadership curriculum.
II. Literature Review
A. The Influence of Workplace on Ethics and Business Practices
There is a social contract between a business and the consumer. There are
also societal expectations that as an organization grows, it will assume
greater social responsibility for the society from which it profits. Society
allows organizations to exist if the quality of their products are valued by
consumers. This good will must be earned. It is also expected that an
employee whose personal life and work life finds balance within an ethical
culture, will in turn provide fair and honest quality of service to customers
(Goveas, 2011). A leader’s actions and values also impact the employee’s
ethical choices (Soutar, McNeil, & Molster, 1994). The larger the organiza-
tion is in size and structure, the more rigid its mechanistic structure may
be. As a result, there are higher levels of ethical formalization and utilitar-
ianism (Schminke, 2001). One truism is that the work environment in
which an employee works has an influence over his or her behavior. Lere and
Gaumnitz’s study (2003) found that the presence of an ethics code that indi-
cates ethical/unethical behavior does not impact the choice made by the
individual, unless the code’s presence changes the person’s beliefs, which
will then change the ultimate action. For example, if an employee has no
opinion about the ethics of a situation, then a code will be more influential.
An important insight from this research described in this chapter is that an
enforcement position tied to the code, can discourage unethical behavior
because of a penalty. The penalty may be embarrassment or the loss of his
or her ability to work in a profession. Research suggests that organizational
culture is influential and a “sense of common purpose among members of
the organization” is effective. So are promoting values such as reporting
unethical behavior, enhancing the reputation of the profession and its
importance within society; and explaining why certain behaviors are wrong.
Employees should also have a workplace or outlet to gain support when
pressured to behavior unethically (Lere & Gaumnitz, 2003).
Educating Ethical Leaders 51
True familiarity with a code of ethics has been shown to influence man-
agement behavior. A study of 286 executives by Wotruba, Chonko, and Loe
(2001) revealed that if a positive perception of the usefulness of the ethics
code existed, a manager would more fully understand the content and inten-
tion of the ethics policies and codes. With understanding, comes the ability
for the code to influence the person’s belief, thereby influencing the person’s
behavior.
B. The Ethical Information Culture
A society must have confidence in the information upon which it builds its
systems and decisions. Information ethics is an essential component of our
society which includes: the ethical use for information; confidence in the
processes and technologies that both gather and disseminate that informa-
tion; as well as how it is analyzed and stored. Yet defamation, identity theft,
piracy, fraud, and corporate sabotage, are often in our news and their losses
are substantial. Also, although organizations continue to build stronger
security systems, unethical actions targeting our information system, still
remain (Chieh-Peng & Cherng, 2003).
A study of 500 undergraduate students in an information systems
department at a Taiwanese college explored the influence on personality
(locus of control) in an institutional setting. Briefly Chieh-Peng and Cherng
found that ethical intentions are influenced by both personal values and
ethical attitudes. They suggested that ethics codes would provide clear
guidance, as well as clarity about penalties for its violation. Relating to
the organizational culture, their results found that individuals must be
encouraged to report any unethical incident. Pre- and post-testing found
that ethics training can improve behavior. Most important, they found that
employee selection is the most important factor and that by selecting
individuals with strong ethical intentions unethical behavior will be
reduced.
Cleek and Leonard (1998) challenged the accepted assumption on the
influence of a code of ethics upon behavior. Their research revealed that
“codes of ethics are not powerful enough tools to affect ethical decision-
making behavior” (p. 627). Why?
They argued that a code is meaningless unless the organizational culture communicates,
values, and reinforces the spirit of the code. The code is used to strengthen the culture
and therefore it is not the codes themselves that are important, but how the manage-
ment of the business reacts to ethical decisions as a whole. Thus, codes are just one way
of communicating an ethical culture to employees. (p. 627)
52 Maureen L. Mackenzie
C. How Students Learn Ethics
1. Working Experience
Meaningful work influences “excellence pursued within social practices,”
because it helps the individual find fulfillment and completion (Beadle &
Knight, 2012, p. 434). More relevant is the positive relationship found with
work experience and ethical judgment (Gupta, Walker, & Swanson, 2011).
Ausmus (2006) asserted that a young person’s (16
17 years of age) first
job had traditionally provided a rite of passage that included expectations
related to honesty, dependability, and an eager commitment to work. For
teenagers there often was a related perception of increased freedom and
a social transition toward adulthood. But the well-meaning intentions of
parents to provide their teenagers with an enriched school experience that
includes travel and in-school activities, engendered an expectation that the
need to work was unnecessary, or even a barrier to a more fulfilled child-
hood. Ausmus suggested that the impact of this shift caused more affluent
and gifted youth to avoid traditional teenage experiences of any kind of
labor. A potential entitlement attitude may lead young adults to lack the
traditional development wherein their self-interest was aligned with the
interests of employers. This parenting intervention suggests an attitude of,
“my child’s self-interest trumps every other consideration here” (p. 2C).
Ausmus questions how these individuals will respond when faced with a
collision of their own interests against those of stockholders, investors, and
the greater social good. He concluded by saying “some other folks with
incredibly high self-esteem faced those critical junctures—and they’re cur-
rently serving time for massive fraud schemes that bilked millions of
employees and investors out of their life’s savings” (p. 2C).
2. College Experience
Stewart, Felicetti, and Kuehn’s (1996) research found that business majors
valued the presence of ethics within their programs. Blending ethics into a
number of courses across the curriculum appeared to be more attractive
than separate stand-alone courses. Duarte (2008) found similar results with
95% of the 119 business management students surveyed saying that they
“believed that the study of ethics in management is important, and that
they had personally benefited from studying ethics in the subject surveyed
(84 percent)” (p. 120). The hard push for business ethics coursework is
considered to be the direct result of abuses in industry. A 1988 AACSB
survey had indicated that 91% of responding institutions had at least one
course with at least 10% of its class time devoted to ethics. The study
Educating Ethical Leaders 53
further reported however that at the undergraduate level, 56% of the offered
ethics courses offered were solely elective (Stewart et al., 1996). The shift to
increase ethics coursework was embraced by student business majors who
thought “it was important to teach business ethics, that ethical practices
improve profit, return on investment and the corporate culture and public
perception of the organization” (Stewart et al., 1996, p. 916). Duarte
(2008) reported that student insights related to whether or not economic
performance should come before ethical behavior. The results suggested that
there is a gap “between the ideal of ethics and the perceived difficulty—for
some the impossibility—of achieving it in professional practice” (p. 125).
Thus conflict between individual professional versus personal responsi-
bility emerged. Duarte (2008) wondered how students can be trapped in
this dilemma so early in their professional journey. Her review of the data
suggested that students did not condone economic choice over ethical
choice, but “were merely expressing their (somewhat cynical) perceptions of
the ‘business world,’ and hoping that ‘society’ would intervene to force busi-
ness to behave more ethically” (p. 126). She concluded that “ethics teachers
have a crucially important role to play in order to persuade students that
their individual voices do count in the shaping of more humane and
equitable managerial practices—in the creation of a better society” (p. 127).
Capturing the views of students further down the path, Verschoor (2003)
reported on a study of 1700 master of business management students from
12 prominent business schools. The outcome reflected concern by students
that their business education did not prepare them for the conflicts they
were facing in the workplace. Though blame was placed on personality and
character of the leaders involved in corporate scandals, Verschoor concluded
that the business priorities communicated in their colleges and universities
were among the factors leading to the occurrence of scandals per se.
D. What Employers Expect from Graduates
As previously noted general perception is that employers demand leaders
from business schools who are analytical and achievement oriented, with
focus on the bottom-line. As a result, schools have been criticized as focus-
ing their curricula on “transaction-based economics, economic liberalism, or
agency theory,” with less focus on preparing leaders for doing what is right
and instilling “norms of ethical behavior that would have prevented major
corporate debacles” (Cavico & Mujtaba, 2009, p. 2).
When senior leaders were asked what skills they most desire in young
leaders joining their firms, they included such expectations as social graces,
getting along with coworkers, the ability to blend-in seamlessly, the ability
54 Maureen L. Mackenzie
to speak with ease and to maintain a good attitude (Gottlieb, 2004). Self-
reliance skills are also highly valued. Employers expect that newly graduated
hires can hit the ground running. The skill of self-promotion can be tied to
the ability to blend-in seamlessly. Consistently, employers desire communi-
cation and interpersonal skills, which support the ability to “approach
stressful situations such as giving presentation, handling negotiations,
leading a team or social networking events” (What do bosses expect, 2008).
Perhaps business schools have misunderstood employers’ desires,
focusing too heavily on the analytics and less on leadership and ethics.
Employers have articulated an expectation and desire for graduates who
embrace an ethical focus within the workplace (Gottlieb, 2004). The
purpose of the business school is to create value for its stakeholders, which
include both students and employers (Cavico & Mujtaba, 2009).
Organizations are expected by society to behave responsibly. Therefore
employers “expect and demand that business schools facilitate the training
of students in ethics and social responsibility” (Nicholson & DeMoss,
2009, p. 213).
Studies that cite ethics education have often drawn conclusions from
master’s program data. Much less is known about undergraduate education.
Also, research results have revealed that a significant percentage of students
have self-reported on having cheated in school. This can create concern
among employers in that business students “take what they learn in col-
lege—both good and bad—to the workplace” (Nicholson & DeMoss, 2009,
p. 214). Therefore the need to embody ethics education into the preparation
of leadership is a priority.
III. What Are Management Programs Seeking to Achieve?
A report of the Association to Advance Collegiate Schools of Business
International (AACSB) stated that “business schools are vital societal insti-
tutions that create value in a myriad of ways. Ample evidence is presented
that dismiss the sometimes cited critical perception that business schools
exist exclusively to serve profit-seeking businesses or salary-minded
students” (AACSB International, 2010, p. 3). Embracing the perception
that program graduates are not to be solely focused on profit seeking,
but rather serving a broader societal purpose, makes it intuitively easy for
curriculum gatekeepers to establish ethics as an essential building block for
student learning. It also recognizes that individuals emerging from these
programs will actively engage in the many information professions that fuel
our nation’s economy. As influential as AACSB is upon management and
Educating Ethical Leaders 55
business education, there are no explicit standards for the student learning
outcomes related to ethics. The AACSB has supported the inclusion of
ethics courses since the early 1980s, but it has been noted that many schools
did only the minimum to satisfy this expectation (Luthar & Karri, 2005,
p. 357). Jennings (2004) stated that there had been “very little in textbooks
and mandates from the AACSB focusing on moral absolutes or ‘bright line’
virtue ethics such as honesty, fairness or even false impressions in financial
disclosures” but rather that the curriculum “trained students in the impor-
tance of smoothing out earnings so as to maximize shareholder value, the
often-stated role of business” (p. 13).
Nicholson and DeMoss (2009) surveyed Deans of AACSB schools
in North America. Their results revealed a difference in the perceived
importance of ethics and social responsibility education between business
disciplines. Management and marketing faculty rated social responsibility
and ethics significantly higher than did accounting and finance faculty.
Also, when faculty who have not been traditionally prepared are pressed to
include ethics content in their coursework, only minor inclusions take place
with no real structure to focus on ethics content.
Regional accrediting authorities, such as the Middle States Commission on
Higher Education (MSCHE), expect academic institutions to establish
evidence of student learning related to institutional stated program goals
and expected learning outcomes. It appears to lack consensus as to the role
that ethics education plays according to Nicholson and DeMoss (2009).
Does it “make the workforce more honest?” or “teach people to think for
themselves?” Shaw and Fisher (2012) questioned whether teachers are to
focus on the discipline using theory and then expect students to apply the
theory, or is the use of case-study review a better strategy?
Some authors have suggested that business schools have served as a nega-
tive influence on business leaders with too much focus on analytical skills,
teaching the brightest minds how to cut corners to manipulate the bottom
line and gain a competitive advantage, and that this contributed to the
downward spiral of corporate leaders’ unethical behaviors (Cavico & Mujtaba,
2009; Heller & Heller, 2011; Mitroff, 2004; Zingales, 2012). Brinkmann
and Peattie (2005) said that business schools are simply reflecting the busi-
ness world. They debated “whether the pervasively amoral stance encountered
in business drives or reflects the tendency to teach business from an amoral
perspective” and that “business school teaching tends to be amoral to the
point of brutishness” (p. 152). Even education on economic theory may
distance an individual from acknowledging the influence of his or her ethical
choices (Zingales, 2012). Brinkmann and Peattie (2005) point to the
economically rational decision-making techniques taught in business schools
56 Maureen L. Mackenzie
as being applied to such events as the Ford Pinto fire deaths, and that cost
benefit analysis led the company to “put corporate profit before customer
safety” (p. 154). Heller and Heller (2011) on the other hand, thought that
business schools are not to be held accountable for the ethical, financial, and
economic crisis but that lack of individual character is the cause. Milner,
Mahaffey, MacCaulay, and Hynes (1999) found that business students scored
lower on ethical scales coming into school than did nonbusiness majors,
suggesting a bias in who chooses to pursue a business degree, rather than a
negative influence emerging from the business curriculum. Regardless of
cause, corporate scandals, disappointment in board oversight, the increase in
regulatory oversight, reach of the global market, criticism of scholars, and
the increased focus on corporate social responsibility have collectively placed
renewed focus on business ethics (Jackson, 2006).
A review of 50 ethics courses by Heller and Heller (2011) at AACSB
accredited undergraduate programs revealed that course content does
include, though inconsistently, four needed areas: (1) the responsibility of
business in society, (2) ethical decision making, (3) ethical leadership, and
(4) corporate governance. But they suggest that “added emphases is needed
in the classroom to raise students’ awareness of the importance of a broader
horizon of ethical issues confronting the workplace and society” (p. 34). Other
authors mentioned the need for foundational ethics training such as ethical
egoism, utilitarianism, morality, and philosophy that would lead individuals
to greater self-reflection (Cavico & Mujtaba, 2009; Jennings, 2004). Advocates
argue that business schools should build upon these foundational philosophies
with the goals of instilling moral conflict (disagreements related to questions
of right and wrong), moral role playing (to influence moral view), moral
climate (shared perceptions of the ethics policies in an organization), and,
reflection and self-criticism (awareness, sensitivity, and courage). Such educa-
tion would provide future leaders with a “mature and comprehensive
toolbox of practical ideas to promote moral development, ethical behavior,
and moral conflict management within business organizations.” It would
invite the future leader to “slow down and disconnect from the busy-ness
of commercial life, and to spend some time reflecting about the condi-
tions and consequences of one’s life” (Brinkmann & Peattie, 2005,
pp. 151
152). Whether educational scholars agree or not, employment
in either the for-profit or nonprofit sector is among the desired outcomes
of a business student’s education. An ethical perspective in business is
essential because of its overwhelming influence over wealth allocation in
our society and the livelihood of our citizens (Brinkmann & Peattie,
2005, p. 154). Therefore the views and expectations of employers are
valuable inputs as faculty builds program curricula.
Educating Ethical Leaders 57
IV. The Research Project
The review of the literature reflects upon what employers expect and need
from their newly graduated future leaders, coupled with how and what stu-
dents learn within their college experience. There does not appear to be
strong alignment, perhaps because the long view of what is taught today and
how it will influence our society in the future is unclear. Therefore the
purpose of this research is to create a stronger congruence starting with the
student’s college experience and leading to a clear preparation to enter into
industry with the tools, knowledge, and disposition needed for ethical deci-
sion making. For the college experience to properly prepare the student, the
curricula designers need to more fully understand what future employers will
expect. Thus the data gathered comes directly from those who manage ethics
programs at the organizational level coupled with the most senior of leaders
who have personally walked this path. Also, insight is drawn from those who
study ethics as a scholarly profession. By triangulating the viewpoints of
three different groups of subjects, stronger insights can be drawn as to how
educational institutions can best prepare the next generation of leaders. In
summary, the purpose of the study is to gain insight from experienced and
practicing industry leaders, experts in the field of corporate ethics, and philo-
sophy/ethics scholars, as to the value and purpose of ethics education.
A. Methodology
A qualitative paradigm provides an effective approach to drawing out the
knowledge and insight, which is bound within the content of the captured
data. The qualitative research approach seeks rich data rather than consensus.
The use of unstructured interviews allows the researcher to participate in the
research (Lincoln & Guba, 1985). Qualitative researchers are “interested
in meaning—how people make sense of their lives, experiences, and their
structures of the world” (Creswell, 1994, p. 145). Outlying subject comments
provide insights that lead to clearer understanding of the topic. To reduce
research bias, triangulation included subjects with varying professional
positions as related to this topic. Therefore, this study uses qualitative meth-
ods to capture and analyze the data. An interview schedule, given in the
appendix, guided the interviews with the subjects.
B. Subjects
The subjects were selected based on their knowledge and ability to
thoroughly inform the purpose of this study. The population from which
58 Maureen L. Mackenzie
the subjects were selected included individuals who were senior corporate
leaders, ethics scholars, and leaders of corporate ethics program. A purposive
subject selection was partially accomplished using a sample of convenience
coupled with a snowball method, which allowed one subject to recommend
another subject. The Molloy College Institutional Review Board has
approved the method underlying this study and the researcher’s interaction
with the Human Subjects.
A total of 32 subjects were interviewed from five US states (IL, NY,
NJ, FL, HI). The subjects lived primarily in NY and IL (43.8% from NY;
40.3% from IL). Thirty-four percent (34.4%) of the subjects were women.
90.6% of the subjects are currently married with children. The subject
groups were comprised of 22 senior line leaders, 5 ethics scholars/philoso-
phers, and 5 corporate ethics program directors/leaders. The line leaders
were very senior in rank. 68.2% of the line leaders held officer level posi-
tions, defined as a Vice President, Sr. Vice President, President or C-level
officer. Four of the subjects held positions as President or CEO. The subject
group was mature with an overall average age of 51 years. The average age
of 51 was consistent across the subject groups except for the ethics’ scholars,
whose average age was 54 years. A more descriptive breakdown of the sub-
ject demographics is reported in Table 1.
C. Data Collection
The data were collected using one-on-one in-depth interviews. The inter-
views were conducted face-to-face except when a subject was unable to
meet. Four interviews were therefore conducted by phone. The goal was to
Table 1
Subject Characteristics
Senior line Corp. ethics Ethics Total
leader director/leader scholar
Number of subjects 22 5 5 32
Age range (years) 32
57 47
62 41
65 32
65
Average age (year) 51 54 51 51
% of subjects with an earned 68.20 100 100 78.1
MBA or doctorate
% of subjects married with 95.4 100 60 90.6
children
% of female subjects 31.8 60 20 34.4
Educating Ethical Leaders 59
research a level of saturation to the point of discovery of repetitive themes.
Once themes became repetitive, a level of confidence was derived with both
breadth and depth. Thirty-two in-depth interviews were conducted,
recorded using a digital recorder, and subsequently transcribed. Open-ended
questions allowed each subject to express his or her views, experiences, and
opinions related to the topic.
A schedule with 10 interview questions, and an 11th catch-all opportu-
nity question, was created (see the appendix) to explore how future leaders
could best be prepared to face the dilemmas that employment in organiza-
tional life will present to them. The questions also addressed what employers
expect from graduates, and ultimately, what should business management
graduate and undergraduate programs teach and design, if the views of future
employers are important variables.
The study design was intended to draw insights from those at the
senior leadership level in organizations. Capturing the knowledge and
experiences of in-force leaders, supplemented with the views of the
corporate designers of ethics’ programs, offered direction to management
curriculum designers. To gain a balanced view of this topic, insight was also
drawn from those who study and teach ethics as a scholarly profession at the
college level.
The interview questions fell into two categories—primary or academic
and secondary or personal. Within the academic scope were included ques-
tions directly related to the college processes by which students are prepared
for job placement. As seen in the appendix, the questions included ones
which probed—such as whether colleges are doing a satisfactory job in
preparing graduates to face ethical dilemmas, and what are the expected
learning outcomes of an ethics course?
Questions in the personal category explored the subjects’ personal views
of various facets of business ethics. These insights will inform the academic
scope as it illuminates the corporate culture. The interviewees were asked to
share their own journey in gaining an education in ethical decision making.
Also, the subjects’ opinions were captured related to whether people have
an ethical nature, or whether their ethical viewpoint is created from
experiences.
D. Data Analysis
Content analysis was the method used to systematically reduce the data.
The researcher, as observer and co-participant, became immersed in the
data, which is a feature of qualitative research. Themes were built through a
repetitive process of identifying the smallest groupings of data (e.g., words
60 Maureen L. Mackenzie
and sentences) and then through constant comparison revising the concep-
tualized categories, which then served as the research outcomes for the study
(Lincoln & Guba, 1985). NVivo content analysis software was used to orga-
nize the coding of the data elements, which allowed themes to be drawn
out more effectively.
V. Results
Though the actual intention was to ask questions sequentially, the open-
ended nature of the questions encouraged subjects to elaborate on points,
thus, in many instances particular questions were answered in the context of
others. Nonetheless, the protocol ensured that all the questions were
addressed. Therefore the themes drawn from the interviews were studied
aggregately within the scope of two categories described above—the
academic and the personal. Data analysis followed these steps:
1. Verbatim comments from the one-on-one interviews were transcribed.
2. Paragraphs and sentences were used as the units of analysis. For the academic scope, this first level
of compression answered, “What is the subject expressing related to the academic scope of busi-
ness education related to ethics?” For the personal scope, this first level of compression answered,
“What are the personal insights that these individuals are willing to share related to their real-
world exposure to ethical and/or unethical corporate experiences?” (See the appendix for sche-
dule of interview questions.)
3. The second level of compression articulated the themes emerging from the different sets of
questions, that is, academic and personal scopes. The outcome of this created a consolidated view
of the themes that offered direction to the creators of management curricula on how educational
institutions can best prepare the next generation of leaders.
A. Results for the Academic Scope
The major and minor themes drawn from the interviews related to academic
scope are summarized in Table 2. The themes were organized into five major
categories:
1. Student-related insights;
2. Insights related to the goal of the business ethics education curricula;
3. Specific cases and experiences to be included in ethics course(s);
4. Explicit student learning outcomes. Specifically what is intended for the student to learn,
know, or do, as a result of taking ethics during a program of study; and
5. The specific role, skill, and ability of the professor teaching the course.
In addition to presenting the results of the five major theme categories
(see Table 2), quantitative descriptive answers drawn from three questions
below begin to frame the value of why educational institutions need to
Educating Ethical Leaders 61
Table 2
Major Themes Focused on Academic Scope
Insights related to the student
People are set in their ways
People do not always think before they act
Influence of upbringing, culture, and experience
Insights related to the goal of the curriculum
Not to teach ethics, but rather to sway or influence the student
Promote awareness and sensitivity of an ethical dilemma
Teach strategies related to defining, reasoning, and decision making
Reflect the big picture; position situations within that scope
All courses must reinforce ethics; general education sets the foundation
To develop courage in the student
Specific cases and experiences to be part of ethics education
Banking and finance Industries as well as successful cases such as Tylenol
Global and social responsibility
Industry specifics related to degree focus
History of ethics including theories and the voices of leaders
Influence of organizational culture on people, dissent, and behavior
Student learning outcomes from ethics education
Able to articulate the reason for a decision
Able to identify various options and the resulting consequences
Able to persuasively and communicate both verbally and in writing
Insights related to the role of the professor
Presence in the classroom is essential; perceived as a role-model and expert
Must challenge the student
Must be skilled at teaching skills; must be an attentive listener
refocus their approach for preparing our next generation of leaders. The qua-
litative insights from the interviewees comments tied to these three ques-
tions were integrated into the major themes, which are more fully reported
later in this section.
“Do you feel that ethical behavior can be taught at the college-level?”
Six of the subjects (18.8%) responded “no” to this question. Two
offered qualitative comments to moderate their “no” answer. The good news
is that 26 subjects (81.3%) responded “yes” suggesting a level of confidence
that ethical behavior can be taught at the college-level. All of the Ethics
Program Directors responded “yes,” with four of the five ethics scholars
answering yes. Nineteen (86%) of the 22 line managers responded with
some form of “yes.” Shurden, Santandreu, and Shurden’s (2010) research on
student perceptions support this finding indicating that “ethics can be
taught, and that instructors have an impact on the ethical values that
62 Maureen L. Mackenzie
student’s carry with them into the business world” (p. 124). The subjects
who responded “no,” expressed comments that pushed this role back into
the individual’s home life or upbringing.
Verbatim subject comments included:
• “You must first learn it from your mom and dad. You need to know by five, definitely by 7, the
age of reason.”
• “What you can’t do is change the fabric of the people; by the time you get to college it is
already instilled in them.”
The “yes” comments were presented with caution, as reflected in these
verbatim comments:
• “I think it can be taught to a certain degree.”
• “The answer is yes, to some degree.”
• “I guess yes.”
“What is the value of an ethics course; is there value?”
Twenty-seven (84%) of the subjects responded “Yes” to this question. Many of these
comments offered some qualifying suggestion that would create the value. For example:
• “The students should know the ethical and regulatory features of that field.”
• “I think it should provide an awareness of expected behavior and what the team means.”Only
one subject responded, “No,” stating that, “… business will talk about social responsibility, but
profit is number 1. The ethics programs that are in place are because someone screwed up.”
“Do you feel colleges have done a sufficient job in preparing its business graduates to face ethical
dilemmas?”
None of the subjects responded “yes” to this question. The answers ranged from “no,” to
“don’t know,” to “some.” Verbatim comments included:
• “I do think in school it is de-emphasized.”
• “Looking at all the things going on in companies, I would say, no.”
• “No, generally not.”
• “Based on my observations, I would say no.”
• “If we open the newspapers, the answer seems to be no.”
There were sentiments expressed that schools are trying to change. This
reflects the view that things had been bad, and that perhaps the academy is
on the road to improvement. These sentiments suggest that the academic
culture is beginning to take its role of preparing managers to face unethical
challenges seriously. This brings us to our major and minor themes (see
Table 2) related to the academic preparation of our future leaders.
1. Insights Relating to Students
Insights related to students were intended to make it clear to educators
that when adults enter college, they have already been heavily influence by
their parents, home-life, religion, upbringing, culture, and more. The moral
fabric of these individuals is somewhat formed by this point in their
Educating Ethical Leaders 63
development. These findings heavily influence the next four themes because
the goals of the curriculum, the cases to be presented, what is expected
to be learned, and the role of professors, all need to be understood after
achieving a better understanding of the students’ beliefs.
In quotes below the parentheses reflect the category of the subject who
was quoted, but which may have been reflected in quotes by other intervie-
wees. Specific comments that reflect the evidence for these insights included:
• People are set in their ways:
You can talk about decisions or ethical behaviors; but, we have found that many
students come with a preconceived notion, a preconceived standard. (Scholar)
You can have discussions and go over cases, but what you can’t do is change the fabric
of the people; by the time you get to college it is already instilled in them. (Leader)
… in terms of moral character, you’re probably set by the time you’re 7 years old.
You’re not going to go back and undue some of this genetic makeup and the first 7
years of parenting. So, there is no way you’re going to make them a radically different
person … You have to be realistic about how much you can achieve. (Scholar)
• People do not always think before they act:
Can you change how they will behave? If you look at psychology, generally people
don’t go through a lot of abstract reasoning before they decide what to do. Therefore, it
is not surprising that changing their abstract reasoning does not have a lot of influence
on changing their behavior.(Scholar)
2. Insights about Goals of Business Ethics Education
Once the student is more fully understood, then the goals of the curriculum
related to the needs of the corporate world can be designed. The following
insights weave together the desired outcomes of education with the input of
the individuals being influenced. Accepting that student are not being
explicitly trained, but rather, are being influenced or “swayed,” allows for a
more realistic expectation of learning outcomes.
The subjects in this study stated that the future leader needs to be
highly aware and sensitive to potential ethical situations. An organizational
or industry culture can suppress or disable this sensitivity. As a result,
individuals may not even see the ethical dilemma, or may not question
what should be explored.
Curricular goals need to consistently seek to influence adult learners to
be sensitive to their environments. All coursework, starting with general
education classes, must integrate and communicate awareness of such goals.
This repetitive strategy will better sway or influence students, thereby
64 Maureen L. Mackenzie
preparing them for subtle yet real-world situations. The curricular goals
should not be too narrow or adult learners may miss the learning opportunity.
The learning space must reflect the big picture and explicitly position the
questionable ethical situations with that larger frame. Influencing students to
question perceived unethical situations with confidence is among the more
difficult curricula goals. Strategies for defining what is questionable, develop-
ing a critical view, and being able to reason, and to have a framework for
making a decision will provide students with the confidence to speak up.
Courage, the ability to question colleagues and superiors about a less than
clear situation, is an expressed goal for student learners. Subjects cited cour-
age as a critical ingredient in developing an ethical business environment.
Specific comments that reflect the evidence for these insights included:
• Influence rather than teach:
I think people come with their own dispositions; but, you can sway them, impress
upon them. Don’t just say, “be good.” There are solid reasons for doing something. You
come to realize it is in your best interest to behavior ethically. (Leader)
• Promote awareness and sensitivity:
you must understand where the grey is within the grey. How do you operate in the
grey? How do you identify the grey? (Corporate Ethics SVP)
must recognize when there is a dilemma. You must understand that the world is not
black and white. But you should see where the lines are. If you are in doubt as to
whether a course of action is wise, decide if you can defend it in the public
venue … you must be honest with yourself. Often we are lazy. (Leader)
Sometimes there are things that they need to be aware of; the rights of minorities;
issues of gender, issues of disability, sometimes they just haven’t thought about these
things. So to discuss them makes them much more aware. (Scholar)
• Teach strategies related to defining, reasoning, and decision making:
You can tell people what ethical behavior is; you can give them a description of ethical
behavior. Define ethical behavior. You can get them to identify ethical behavior. You
can get them to be quite good at identifying what people should do, given different
scenarios. In that sense, you can change how they will behave. It is a different skill set.
(Scholar)
Give students an opportunity to build a professional responsibility muscle and to be
able to apply it. (Ethics Director)
There is a difference in bending rules and breaking rules. You are not going to be
squeaky clean. But you need to know where the hard stop is. (Leader-COO)
Educating Ethical Leaders 65
• Develop courage:
Possibly there is a notion that to be successful in business you must be cut throat. That
is important for young people that you can be successful while being ethical.” (Leader)
If someone else is doing something wrong, how do you exit a situation that you know
is wrong? (Leader)
Not being fearful of retaliation. When you look at other companies, like WorldCom,
you have people that don’t want to speak up. You must be able to stand on your own
values. Even if you manager’s manager is doing wrong, stand up and speak up.
(Corporate Ethics Director)
Provide a guideline on how to push back when you really have a strong passion. (Leader)
• All courses must reinforce ethics; general education sets the foundation:
… anywhere you talk about profit, there should be an ethical component. If you
are talking about management, there is an ethical implication. If you’re talking about
marketing, you can weave it in there. (Leader)
3. Specific Cases and Experiences to be Included in
the Ethics Education Course(s)
Respondents identified a wide range of events, companies, and personalities
that could be used to illustrate both extremely positive and negative corpo-
rate behaviors. Analysis indicated that storytelling is essential, but said that
the stories should relate to the recent financial crisis. Cases related to the
banking and finance industries should be included as well as classic cases
such as Enron and Tylenol. Students should learn industry-specific stories
that relate to the field they want to enter professionally. In addition, cases
should focus on responsibility in a global economy and on social responsi-
bility. Also, the invisible influence of organizational culture must be made
known so that students are aware of the impact it can have on people.
Future leaders must have the courage to invite dissent into the decision
process. Lastly, students must understand how their own behavior influences
employees within an organization.
Specific comments that reflect the evidence for these insights included:
What if there are multiple legal opinions and multiple ways to interpret their actions.
If you can pull them into the grey, there is not enough learning where the individual is
exposed to the grey, where they feel icky, where they really feel “that this isn’t easy.”
“This makes me feel uncomfortable.” (Leader-President)
Reinforcing the importance of debate, dissent, and respectful disagreement. … even if
it goes against your own beliefs. (Corporate Ethics Director)
66 Maureen L. Mackenzie
Fundamentally there is a disconnect between business and ethics; but throw the indivi-
dual into as many situations where they are up against the profit motive and the impli-
cations to making an ethical decision. Anything that simulates this kind of challenge is
of importance. (Leader)
4. The Explicit Student Learning Outcomes
Learning outcomes indicate what the student should learn, know, or be able
to do, as a result of taking these courses. The compression of the data
revealed three essential learning outcomes for the student’s educational
ethics experience. They were:
1. The ability to articulate the reason for a decision. Understanding the influencing factors and
having the ability to explain why those factors led to the decision, is an essential skill for a
future leader.
2. The future leader must be able to consider an ethical dilemma and to identify various options
along with the potential resulting consequences that may result from each potential path.
3. The future leader must demonstrate persuasive and clear communication skills. Leadership com-
munication creates a vision for followers; it provides specific direction when action is needed.
Comments that provided evidence for these insights included:
• Able to articulate the reason for a decision:
Generally, if it is true dilemma, there is no easy way to have a clear right and wrong.
They must understand both sides. (Ethics Scholar)
Being ethical is also being able to explain, “why.” (Leader)
People tend to be tongue-tied when it comes to explaining. Being able to explain, giv-
ing reasons for their action. (Scholar)
• Able to identify various options and the resulting consequences:
Being able to weigh the options; being able to spell out which options are better. Why
is this course of action reasonable, stronger than others; even if there is no absolute
right answer? (Ethics Scholar)
How do you analyze situations and information so that you understand what informa-
tion should be gathering; what questions I should be asking as I arrive at the solution?
(Corporate Ethics SVP)
• Able to persuasively communicate both verbally and in writing:
How do we ask a question to determine the best way to get the answer? How do you
ask the right type of follow-up questions to get the information you need. … prod for
additional information so you get what you need. (Corporate Ethics SVP)
Educating Ethical Leaders 67
They should know how to have a difficult conversation using a personal script, so they
can raise the ethical issues without damaging their long term career prospects.
(Corporate Ethics Director)
5. Insights Related to the Specific Role, Skill,
and the Ability of Professors
The classroom combines the talents of the professor with the knowledge
artifacts, and the students’ active engagement with the material and each
other. The outcome created provides for an effective learning environment.
The professor is the independent variable in this equation. Both the presen-
tation of the knowledge artifacts and the motivation for student engage-
ment is dependent on the ability of the professor. The professor’s active
presence in the classroom and his or her skills must challenge the student.
The professor must be perceived as both a role-model and subject matter
expert. Lastly, professors must be attentive and active listeners so they can
respond to various views and provide “push-back” related to stories of
unethical corporate and individual behaviors.
Comments that provided evidence for these insights included:
• Presence in the classroom is essential. Must be perceived as a role-model and expert by the student:
The way you present yourself; not just in appearance, but do you care about what you
are doing? Do you walk the walk and talk the talk. (Leader-VP)
I think more than anything, being a role-model. … watch their professors as role mod-
els for guidance. (Ethics Program Director)
The professor must take the time to research and then understand the true pertinent
information from the industry. (Leader)
• Must challenge the student:
… to be able to put themselves as the moral agent within the context of that history;
to identify that ethics is all around them. (Ethics Scholar)
You must challenge them to think broadly, about profit and loss. (Leader)
• Must be skilled at teaching skills. Must be an attentive listener:
The professor is to expand the classroom learning with real-life and real-world situa-
tions. (Leader-President)
Constantly putting things in front of their students that they can understand as what is
“acceptable.” What is acceptable for one is out in left field for others. (Ethics Program
Director)
68 Maureen L. Mackenzie
B. Results for the Personal Scope
While this chapter deals primarily with the academic scope of ethics, the
study also explored the subjects’ personal views relating to ethics.
Collectively, the subjects’ personal stories illuminate the various ways a
person’s own ethical fabric is developed. Understanding how foundational
ethical beliefs and awareness develop informs the larger discussion of ethics.
The open-ended questions allowed each subject to share stories of a
personal nature. Questions asked the subjects to share their personal
journeys to gain an education in ethical decision making.
The major and minor themes drawn from the interviews related to
personal scope are summarized in Table 3 and cluster into three major
categories: (1) the influence of home and religion; (2) influences outside of
the home; and (3) the nature of the individual.
1. The Influence of Home and Religion
Earlier in this chapter there was discussion of whether or not ethics could
be taught at the college-level. What emerged there suggested that people
are already set in their ways by the time they reach college due to the influ-
ences of upbringing, culture, and experience. This theme is reinforced here.
The influence of religion was not as heavily shared when the question
focused previously on academic scope. When probing the personal views
however, religious influence was more prevalent. Since this personal view
question came later in the interview, it might be inferred that the subjects
had become acclimated to talking to the researcher. Mother was cited more
Table 3
Major Themes Focused on Personal Scope
The influence of home and religion
Parents behaviors and articulated lessons
The home environment related to community
Influences outside of the home
Influence of the job, workplace, and boss
Social influences such as LBGT, minority, race
Teachers
The nature of the individual
Dysfunctional nature
Functional nature
Educating Ethical Leaders 69
often than parents or the father. When the father was cited, it was often
related to his role in society or lessons that he, the father, had taught.
Verbatim comments that illustrate this theme included:
• Parent’s behaviors and articulated lessons:
Foundationally it comes from my Christian faith. (Leader)
For me, it started in my home. That is where. My father was a NYS trooper. So I grew
up in a very structured environment. I was the oldest of 3 boys. I was taught that it is
better to tell my parents the truth. If I lie, it will always come out. (Leader-CFO)
My mother is an incredibly accepting, not just tolerant, but respectful person; always
bend over backward to help other people, to a fault in her case. So I have observed a lot
of that and learned what not to do also. Her generous spirit and recognition that we are
all fragile as human and may be deserve other chances sometimes. I think she’s inspired
a lot there. (Ethics Scholar)
It is your parents. They were together till we were 20. It is what you teach to your
kids; it is what we are teaching to our kids. (Ethics Director)
• The home environment related to community:
Growing up in Troy … . There was a great deal of prejudice. I was blessed by parents
who were not. (Ethics Scholar)
I was brought up in the catholic ghetto. I went to catholic HS and 3 catholic graduate
schools. Ethics was a part of my education from grade 3. (Ethics Scholar)
I learned the most important things from the farm. In that environment, your word is
your bond. If you say you’re going to do something that is what you do. (Leader-President)
2. Influences Outside of the Home
Respondents also told stories of the influences that moved beyond their par-
ents, childhood home, and religious community. It started with teachers
and then led into the larger diverse community and then to the job, work
environment, and the influence of bosses. Interaction between the outside
world, and the parents’ reactions to that world, were present in this theme.
How teachers behaved, such as the story of the teacher who publicly humi-
liated first graders who “told on” fellow students, left lasting imprints on
these subjects. The teacher’s lesson that being a tattle-tale was worse than
the crime being committed was easily translated into the challenge we have
in speaking out against a coworker or a boss who is unethical. Early career
jobs and bosses also influenced these subjects on how to behave, both
negatively and positively.
70 Maureen L. Mackenzie
Verbatim comments that illustrate this theme included:
• Influence of the job, workplace, and boss:
It is a combo of environment—early in my career I was fortunate to be working with
some people who had good ethical values. I’ve also learned from people who are not as
straight and narrow as far as ethics. (Leader-President)
I have found that if you place people into situations where they have to constantly
choose between their best interests and something that is deemed right, other than
their best interests, a vast majority of the people, over time, will move toward what is
in their best interest. (Leader-President)
• Social influences such as LBGT, minority, race:
We may focus on promoting women. But people of color, we have a lot of people of
color at the entry level, but not at higher level. Also, LBGT, do you make everyone feel
they are welcomed? We DON’T have diversity of thought. (Leader)
But there was a great deal of prejudice against minority people and people who were
not in the same socio-economic status. So when I got into graduate school, I felt myself
being very interested in ethical questions, but the other graduate students were not, at
all. (Ethics Scholar)
• Teachers:
If something reported on wrong doing, “Joann pulled my hair,” the first thing she
would do would be to go to the cat tale, write your name on it and hang it on the cat
tale. She was teaching us to not be a tattle tale. This was first grade. … If you call
them all tattle tales and put their names on the board, that behavior gets built into
norms very very early. (Leader-President)
3. The Nature of the Individual
This final theme that emerged focused on people just being born a certain
way. Though influences do direct, sway, and imprint people, we do have an
innate nature. The comments referred to the good in all, and evil, that may
not be changeable.
Verbatim comments that illustrate this theme included:
• Functional Nature:
I am more on saying that the ethical viewpoint comes from experience. The strength to
stand by that viewpoint is more internal to the individual. (Leader-President)
I think that people have an innate sense of justice and what is just. (Leader-CIO)
• Dysfunctional Nature:
Psychopaths tend to be born, rather than made. (Ethics Scholar)
Educating Ethical Leaders 71
C. An Ethical Disposition
The 10h interview question was neither integrated into the academic scope, nor
the personal scope. The question was: “Should an ethical disposition be an
admissions standard for incoming business students?” To provide some back-
ground on this question, there was evidence in the literature that incoming
business program students score lower on ethics scales, when compared to
nonbusiness students entering their fields of study. So, the underlying theore-
tical question that was presented to the subjects suggested: if we screen out
individuals who have a less-than perfect ethical disposition, would we be able
to change the culture of business in one generation?
An important outcome is that 84% of the subjects answered some form
of “no.” Simply, students with less than pristine ethical dispositions should
be allowed into the business program and trained! This is in contrast to the
insight that these same subjects feel that people don’t change and that
ethics education must focus on “influencing,” and “swaying” our students
rather than expecting a shift in the person’s foundational ethical beliefs and
behaviors. The results of this last inquiry suggest that educators must have
faith; we must believe that ethics education can make a difference. Senior
leaders, ethics scholars, and ethics program directors, collectively suggested
that we need all types of people and that no one should be excluded. There
was a segment of the subjects that suggested screening incoming students
would be impractical due to the reliability and validity issues surrounding
such tests; but the strongest theme that emerged was the need to allow
those individuals who are attracted to the field of commerce, to enter. These
individuals may be more practical and may be more fact-based. These are
the reasons that these individuals are invited into leadership roles within
the information profession. The verdict is that these people will be working
in the field of business regardless of whether they earn an MBA; therefore it
is more realistic to allow them into school, and then use all that we have as
ethics educators to “sway” and “influence,” their viewpoints toward ethical
sensitivity, social responsibility, and the development of courage to stand up
to unethical situations.
Verbatim comments illustrating this theme include:
Many people who come to business school are “driven,” seeking financial success. These
people may not be going to business school with the professional intention of social
responsibility. But it is the responsibility of the business program to understand that
and to cater their program to “high ambitious” people. Show them that you can be suc-
cessful and still make the ethical choices. (Leader)
Screening people out, I think it would be an injustice. Some people may be skilled in
business, but they are not skilled in ethics and applying ethics to business. They are
weak on ethics. (Leader)
72 Maureen L. Mackenzie
No, this may be part of the behaviors that makes them successful in business; it may be
the blinders needed toward ethical or moral obligations; so pre-screening them out of
business school is not the answer. It is better to give them training and a marker to
guide them. (Leader-CIO)
I was thinking what goes into a person’s decision to earn an MBA, “I am going to try
and get ahead,” “I am going to make money”… What we need to show this person is
that you can get ahead by being an ethical person. Enough people have had gotten
caught doing unethical things and the consequences are known. Ethics is an important
part of the MBA. (Leader-SVP)
It is our job to take the average student who is predisposed to business and to making
money … . We are to take that student and move them beyond that narrow focus. Can
we move them beyond the profit? Take the ordinary and average and transform them
through the process of morale education. (Ethics Scholar)
VI. Discussion
A valued practice of qualitative researchers is to go back to the literature,
after the data are analyzed and the themes allowed to emerge, to seek simi-
lar insights that can be weaved together. The findings of this study offered
the ingredients that curriculum designers could use to build a more
effective educational experience for future information leaders. The work of
Razaki and Collier (2012), DesJardin, Ryan, Weber, and Wood (2006),
Nicholson and DeMoss (2009), and Linberg and Modin (2013), all align
with the findings of this study.
Razaki and Collier (2012) illustrate how a capstone course embedded
within the business curriculum, especially for those focused on the analyti-
cal facet of business can provide a decision framework for students. Razaki
and Collier specifically address: influencing the student; acknowledging the
influence of upbringing, culture, and experiences; promoting awareness and
sensitivity; teaching strategies related to defining, reasoning, and decision
making; reflecting the big picture and positioning situations within that
scope, integrating cases from the banking and finance industries; integrat-
ing specifics related to the degree focus; and expecting the student to be
able to articulate the reason for making a decision.
Razaki and Collier’s model offers a viable solution to educators, which
directly align with the findings from the study reported in this chapter. A
primary philosophy is that the material and exercises teach students moral
agency; moral agency builds upon the individual’s belief of what is right or
wrong. It is the individual’s behaviors or actions and how the person consid-
ers and accepts accountability related to these actions. Moral judgment
Educating Ethical Leaders 73
precedes the action or behavior. Razaki and Collier establish the learning
objectives to include:
1. “the business world and business education are multidisciplinary in nature and should be dealt
with on a holistic basis”;
2. “unethical behavior on the part of various business professionals, especially managers, leads to
long-term economic failures and fiascos”; and
3. “the proper functioning of capitalistic economies, specially the various securities markets, is
dependent on the ethical and properly professional conduct of all parties participating in the
national and global business enterprise.” (pp. 3
4)
Below is a paraphrased summary of Razaki and Collier’s (2012) educational
model, coupled with the insights of how each step aligns with the study
results reported in this chapter.
1. Establish a simple decision framework that includes (a) determination of legal versus illegal;
(b) review of professional codes; and (c) introduction of the newspaper test (would you want to
read your decision in the New York Times). DesJardin et al. (2006) also shared a viable decision
framework: Determine factors, identify ethical issues, identify stakeholders, consider alterna-
tives, consider how each decision affects stakeholders, seek guidance, and establish assessment
of decision outcomes. These authors’ strategies align with the reported research insights that
students should be taught reasoning and decision-making strategies.
2. Students must articulate core values, which they currently hold as true that relate to economic
life in the United States. The students must also identify from where those values emerged
(e.g., parents, ethnic culture). This teaching activity aligns with the insight that home and reli-
gion are significant influences upon the student’s values.
3. Introduce the students to the dominate value systems within the US economic and political
systems. This strategy aligns with the influences upon the student emerging from outside of
the home.
4. Introduce the concepts of libertarianism; what it means to be human, what is the relationship
between the individual and the community; and “what is the purpose of the economy in light
of various concepts of the ‘good life’” (Razaki & Collier, 2012, p. 4). This step aligns with the
range of experiences a student should be exposed to within an ethics course.
5. Students must reflect on their own values and determine how they are linked to the dominate
values systems in the United States. This step aligns with the student’s development of
sensitivity.
6. Integrate a community-based service learning experience that offers an “opportunity to person-
ally interact with students, non-profit employees and those seeking services at the non-
profit. … From an ethics perspective it provides them with unplanned, complex, real-world
examples of different types of ethical decisions” (Razaki & Collier, 2012, pp. 4
5). This step
aligns with insight that students be exposed to global and social responsibility expectations.
7. Establish a dedicated module focused on the banking and finance industries with the goal to
teach both moral hazard and information asymmetry. Information asymmetry is the imbalance
in a transaction when “two or more parties transact while possessing unequal amounts of infor-
mation about the situation at hand” (Razaki & Collier, 2012, p. 8). This step further supports
the insight that the ethics experience must provide industry experiences.
8. Establish a dedicated module focused on the accounting and auditing industries with the goal
of making clear the role of these professions to our society. Accountants and auditors’ roles are,
by their nature, ethics-based disciplines. A goal of this module is to shift the student’s
74 Maureen L. Mackenzie
understanding of an accountant’s role from blindly applying rules, to serving as an “informa-
tion guardian that ascertains and disseminates relevant information that levels the unlevel
informational playing field inherent in the presence of asymmetric information” (Razaki &
Collier, 2012, p. 10). This step aligns with the insight that students must learn to see the
dilemma when it presents itself.
To sum up, Razaki and Collier’s (2012) model draws together the insights
of the scholar, the demands of the industry, and the role of the future leader
in creating a more ethical business environment.
A discussion of the stand-alone ethics course will further illuminate the
results of the reported study; it is recommended that a stand-alone course
exist, but it must be supported and reinforced by coursework throughout
the curriculum. This insight is supported by scholars that include
Brinkmann, Sims, and Nelson (2011), Cagle, Glasgo, and Holmes (2008),
and Crane (2004), as cited by Linberg and Modin (2013). It is suggested
that the foundational ethics course should be embedded in the general edu-
cation program. Building upon this foundation, a stand-alone business
ethics course should exist within the business curriculum; but, ethics should
then be further supported and reinforced in the content-heavy business
courses such as accounting and finance.
A literature search found alignment with this insight in Nicholson and
DeMoss’s (2009) research; they cautioned against including ethics in all con-
tent courses. The master’s programs seeking to remain competitive have had
to reduce the number of required courses, with the ethics courses becoming
one of the casualties. The solution to spread the ethics content across all
courses resulted in “the number of qualified faculty to teach the subject is
inadequate. … the forecast is not particularly bright … without significant
retraining of rank-and-file faculty members, who are underequipped to
tackle ethics issues in their already-crowded courses.” They further stated
that when the faculty was pressed to include ethics in their courses,
these faculty members provided minor inclusions but no real restructuring to include
ethics and social responsibility topics. Furthermore, these faculty members may have
resented being forced to change content or felt unqualified to instruct the material, and
instead, they may have preferred that the material be covered in a course devoted to the
topic.
Nicholson and DeMoss (2009, p. 214)
The effort to triangulate in this study was supported by Linberg and
Modin’s (2013) research. They shared the successes of a program which inte-
grated ethics concepts throughout the curriculum. The faculty within the
School of Business & Technology at the College of St. Scholastica, Duluth,
MN made the decision to come together for this common cause. Rather
Educating Ethical Leaders 75
than continuing their model of “each discipline operating as a silo; the team
promoted the idea that ethical dilemmas should be integrated throughout
the discipline-specific courses using problem-based learning” (Linberg &
Modin, 2013, p. 2). This integration did not take place without dedicated
effort and support. Initiative leaders conducted one-on-one interviews with
faculty; they developed workshops to teach faculty how to embed ethics
into coursework. The training included topics such as: integrating the
ethics decision-making model directly into the syllabus, using ethical
dilemma cases, introducing critical thinking skills, using role-playing,
including guest speakers, and learning how to use library resources. A
monthly Character Building Luncheon invited an alumna to present a moral
dilemma that had been encountered in his or her workplace environment.
Students would seek to solve the dilemma using their newly learned critical
thinking framework (Linberg & Modin, 2013, p. 3). Finally the faculty
established an assessment system within the Policy and Strategy course
where the students would answer an essay question: “Based on what you
have learned in this course and throughout your management education,
describe at least three ethical dilemmas you may face in your management
career and how will you address each dilemma?” The faculty evaluated
these essays using an ethics rubric; 90% of the 2012 Spring students
demonstrated proficiency or distinguished ability (Linberg & Modin, 2013,
p. 5).
Linberg and Modin (2013) and Nicholson and DeMoss (2009) illustrate
that the recommended strategy of spreading ethics teaching responsibility
must be done with fore-thought, faculty acceptance, curriculum alignment,
training, strategic design, and meaningful assessment.
VII. Conclusion
The purpose of this study was to give curricula designers insight and direc-
tion to create a clear educational path whereas the student’s college experi-
ence would lead to preparation for entrance into industry with the tools,
knowledge, and disposition needed for ethical decision making. The out-
comes of this study included insight into the nature of the student, the
goals of the ethic curriculum, the relevant content to be included in an
ethics course, what is expected as to student learning, and what is the role
of the professor.
In conclusion, it is the collective responsibility of business leaders and
business educators to collectively guide students and emerging leaders to
develop a strong sense of ethical awareness and sensitivity so that they may
76 Maureen L. Mackenzie
face the dilemmas that will emerge in the workplace. These students must
also be given the skills to analyze, understand, prevent, and resolve ethical
dilemmas. And most important, these individuals must be encouraged to
develop the courage to speak out against events that, unopposed, will lead
to unethical outcomes and negative consequences.
Acknowledgments
Dr. Veronica Feeg needs to be recognized for providing direction on how to
approach the data analysis process. I also wish to acknowledge members of
the Community Research Institute at Molloy College, without which, I
would have never have met Dr. Feeg.
The funding for this research was provided in part by the Molloy
College’s Faculty Scholarship and Development Committee. Special thanks
go to Dr. Carole Gutterman and her review committee for supporting this
research without which, this research would not have been possible. Lastly I
acknowledge the subjects who generously and transparently shared their
views and experiences.
References
AACSB International. (2010). Business schools on an innovation mission. Retrieved
from http://www.aacsb.edu/~/media/AACSB/Publications/research-reports/busi-
ness-schools-on-an-innovation-mission.ashx
American Library Association (ALA). (1996
2014). Code of ethics of the American
Library Association. Retrieved from http://www.ala.org/advocacy/proethics/codeo-
fethics/codeethics
American Library Association (ALA), Office for Accreditation. (2008). Standards for
accreditation of master’s programs in library and information studies. ISBN: 0-8389-
8456-8. Retrieved from http://www.ala.org/accreditedprograms/sites/ala.org.
accreditedprograms/files/content/standards/standards_2008.pdf
Ausmus, R. (2006). Businesses see gaps in young recruits. Rocky Mountain News,
April 15, p. 2C. Retrieved from http://www.highbeam.com/doc/1G1-
144518548.html
Beadle, R., & Knight, K. (2012). Virtue and meaningful work. Business Ethics
Quarterly, 22(2), 433
450. doi:10.5840/beq201222219
Brinkmann, J., & Peattie, K. (2005). Exploring business school ethics. Journal of
Business Ethics Education, 2(2), 151
170. doi:10.5840/jbee20052212
Brinkmann, J., Sims, R. R., & Nelson, L. J. (2011). Business ethics across the
curriculum. Journal of Business Ethics Education, 8, 83
104.
Buschman, J. (2006). On not revising the ALA code of ethics: An alternative pro-
posal. Library Philosophy and Practice, 8(2). Retrieved from http://www.webpages.
uidaho.edu/~mbolin/buschman2.htm
Educating Ethical Leaders 77
Cagle, J., Glasgo, P. W., & Holmes, V. M. (2008). Using ethics vignettes in intro-
ductory finance classes: Impact on ethical perceptions of undergraduate business
students. Journal of Education for Business, 84(2), 76
83. doi:10.3200/
JOEB.84.2.76-83
Cavico, F. J., & Mujtaba, B. G. (2009). The state of business schools, business edu-
cation, and business ethics. Journal of Academic and Business Ethics, 2, 1
18.
Retrieved from http://www.aabri.com/manuscripts/09300.pdf
Chieh-Peng, L., & Cherng, D. (2003). Modeling information ethics: The joint mod-
erating role of locus of control and job insecurity. Journal of Business Ethics, 48(4),
335
346. Retrieved from http://www.jstor.org/discover/10.2307/25075189?uid=
3739808&uid=2&uid=4&uid=3739256&sid=21104774643897
Cleek, M. A., & Leonard, S. L. (1998). Can corporate codes of ethics influence beha-
vior? Journal of Business Ethics, 17(6), 619
630. doi:10.1023/A:1017969921581
Crane, F. G. (2004). The teaching of business ethics: An imperative at business
schools. Journal of Education for Business, 79(3), 149
151. doi:10.3200/
JOEB.79.3.149-151
Creswell, J. W. (1994). Research design: Qualitative and quantitative approaches.
Thousand Oaks, CA: Sage.
DesJardin, J., Ryan, L., Weber, J., & Wood, D. (2006). Overarching goals of teach-
ing business ethics: What should we be trying to achieve? Journal of Business
Ethics Education, 3, 83
110.
Duarte, F. (2008). What we learn today is how we behave tomorrow: A study on
students’ perceptions of ethics in management education. Social Responsibility
Journal, 4(1
2), 120
128.
Gottlieb, R. (2004). Employers looking for certain skills. Hartford Courant,
February 24, p. B3.
Goveas, S. (2011). Effect of work life balance and ethics on quality of service.
International Journal of Business and Social Science (Special Issue), 2(23), 282
285.
Retrieved from http://ijbssnet.com/journals/Vol_2_No_23_Special_Issue_
December_2011/34.pdf
Gupta, S., Walker, E. D., II, & Swanson, N. J. (2011). Ethical behavior of graduate
business students: An examination of the effect of age, gender, GPA, and work
experience. Southern Journal of Business and Ethics, 3, 137
151.
Heller, N. A., & Heller, V. L. (2011). Business ethics education: Are business
schools teaching to the AACSB ethics education task force recommendation?
International Journal of Business and Social Science, 2(20), 30
38. Retrieved from
http://ijbssnet.com/journals/Vol_2_No_20_November_2011/5.pdf
Jackson, K. T. (2006). Breaking down the barriers: Bringing initiatives and reality
into business ethics education. Journal of Management Education, 30(1), 65
89.
doi:10.1177/1052562905280841
Jennings, M. M. (2004). Incorporating ethics and professionalism into accounting
education and research: A discussion of the voids and advocacy for training in
seminal works in business ethics. Issues in Accounting Education, 19(1), 7
26.
doi:10.2308/iace.2004.19.1.7
Lere, J. C., & Gaumnitz, B. R. (2003). The impact of codes of ethics on decision
making: Some insights from information economics. Journal of Business Ethics,
48(4), 365
379. doi:10.1023/B:BUSI.0000005747.37500.c8
Linberg, K. R., & Modin, K. (2013). Strategic initiatives to advance business ethics
education: Reflecting on a seventeen-year journey. Journal of Academic and Business
Ethics, 7, 1
7. Retrieved from http://www.aabri.com/manuscripts/121388.pdf
78 Maureen L. Mackenzie
Lincoln, Y. S., & Guba, E. G. (1985). Naturalistic inquiry. Beverly Hills, CA: Sage.
Luthar, H. K., & Karri, R. (2005). Exposure to ethics education and the perception
of linkage between organizational ethical behavior and business outcomes.
Journal of Business Ethics, 61(4), 353
368. doi:10.1007/s10551-005-1548-7
Milner, D., Mahaffey, T., MacCaulay, K., & Hynes, T. (1999). The effect of business
education on the ethics of students: An empirical assessment controlling for
maturation. Teaching Business Ethics, 3(3), 255
267. doi:10.1023/
A:1009830421347
Mitroff, I. I. (2004). An open letter to the deans and faculties of American business
schools. Journal of Business Ethics, 54(2), 185
189. doi:10.1007/s10551-004-
9462-y
Nicholson, C. Y., & DeMoss, M. (2009). Teaching ethics and social responsibility:
An evaluation of undergraduate business education at the discipline level.
Journal of Education for Business, 84(4), 213
218. doi:10.3200/JOEB.84.4.213-
218
Razaki, K. A., & Collier, E. (2012). Ethics: The soul of a business capstone course.
Journal of Academic and Business Ethics, 5, 1
13. Retrieved from http://www.
aabri.com/manuscripts/11848.pdf
Schminke, M. (2001). Considering the business in business ethics: An exploratory
study of the influence of organizational size and structure on individual ethical
predispositions. Journal of Business Ethics, 30(4), 375
390. doi:10.1023/
a:1010793308837
Shaw, R., & Fisher, D. B. (2012). Toward assessing business ethics education.
Journal of Management and Organization, 18(3), 428.
Shurden, S. B., Santandreu, J., & Shurden, M. C. (2010). How students perceptions
of ethics can lead to future business behavior. Journal of Legal, Ethical and
Regulatory Issues, 13(1), 117
127.
Soutar, G., McNeil, M. M., & Molster, C. (1994). The impact of work environment
on ethical decision making: Some Australian evidence. Journal of Business Ethics,
13(5), 327
339.
Stewart, K., Felicetti, L., & Kuehn, S. (1996). The attitudes of business majors
toward the teaching of business ethics. Journal of Business Ethics, 15(8),
913
918. doi:10.1007/BF00381859
Stichler, R. N. (1992). On reforming ALA’s code of ethics. American Libraries,
23(1), 40
45.
Sturgeon, R. L. (2007). Laying down the law: ALA’s ethics codes. American
Libraries, 38(10), 56
57.
Verschoor, C. C. (2003). Is ethics education of future business leaders adequate?
Strategic Finance, 85(2), 20
21.
What do bosses expect from business course graduates? Good business school
guide. (2008). Birmingham Post (England), August 22, p. 24.
Wotruba, T. R., Chonko, L. B., & Loe, T. W. (2001). The impact of ethics code
familiarity on manager behavior. Journal of Business Ethics, 33(1), 59
69.
doi:10.1023/A:1011925009588
Zingales, L. (2012). Do business schools incubate criminals? Bloomberg View, July
16. Retrieved from http://www.bloomberg.com/news/2012-07-16/do-business-
schools-incubate-criminals-.html
Educating Ethical Leaders 79
Appendix: Schedule of Interview Questions
Academic Scope
1. Do you feel that Ethical Behavior can be taught at the college-level?
2. What is the value of an Ethics Course; is there value?
3. What should be the expected learning outcomes of an Ethics course? What should a student be
able to know or do after he or she has successfully completed a course in ethics?
4. Do you feel colleges have done a sufficient job in preparing its business graduates to face ethical
dilemmas?
5. What experiences, cases, and concepts should an ethics course include?
6. What can college professors do, teach, say, offer, to help future leaders gain an ethical
disposition?
7. We’ve discussed a stand-alone program. How do you feel, if you so feel, ethics should be inte-
grated into the larger curriculum? Consider both the business courses and general education.
Personal Scope
1. Please share your own journey in gaining an education in ethical decision making. Where did
you learn to identify ethical issues; to create an ethical culture?
2. Do you think that people have an ethical nature, or is their ethical viewpoint created from
experiences?
Schedule of Interview Questions—Conclusion
1. Should an ethical disposition be an admissions standard for incoming business students?
This page intentionally left blank
The Role of Librarians in a
Knowledge Society: Valuing Our
Intellectual Capital Assets
Denise A. D. Bedford,a Jennifer K. Donley,b and Nancy Lensenmayera
aSchool of Library and Information Science, Kent State University,
Kent, OH, USA
bHeterick Memorial Library, Ohio Northern University, Ada, OH, USA
Abstract
The transformation from an industrial to a knowledge economy and society are underway. In
the knowledge economy, the knowledge of people and organizations—their intellectual capi-
tal assets—are the primary factors of production and the source of wealth. This is in contrast
to other kinds of capital that fueled the industrial and the agricultural economies. Librarians
have understood the knowledge society as one characterized by an increased focus on digital
resources and an expanded use of virtual channels to deliver those resources. However, the
nature of the knowledge society and economy is far more expansive than a digital environ-
ment. A knowledge society is one in which all members of a society engage in knowledge
transactions—in the business environment, in the social sphere, in civic activities, and in
everyday environmental actions. This view of the knowledge society presents new opportu-
nities for librarians to leverage their intellectual capital. This chapter profiles the intellectual
capital assets of librarians, considers how they align with professional competencies, and pre-
sents use cases that illustrate the value of these assets. Future scenarios illustrate how tradi-
tional functional competencies might shift in the knowledge economy. These also suggest
contexts which highlight undervalued or new competencies. Seven observations describe how
librarians might prepare for expanded roles in the knowledge society.
Keywords: Knowledge society; intellectual capital assets; future librarians; future scenarios;
library science competencies; knowledge economy
I. Introduction
The transformation from an industrial to a knowledge economy is changing
the internal and external working environments of the institution we have
called a library for the past 250 years. This transformation influences what
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 81
DOI: 10.1108/S0065-283020150000039011
82 Denise A. D. Bedford et al.
librarians do, how they work, where they work, how they are perceived, and
what competencies they need to succeed in this new environment. This
transformation can be viewed from two perspectives. The first perspective
speaks to internal changes—the way the library and librarians work. The
second perspective considers how changes in the external environment shift
the role of librarians and information professionals. Both perspectives take
the intellectual capital of librarians and information professionals as a focal
point. This chapter describes the intellectual capital assets of librarians, and
walks through scenarios that demonstrate how that capital can be leveraged
in a knowledge society. The use case scenarios demonstrate the range of
value librarians contribute to the knowledge economy.
II. Transition from an Industrial to a Knowledge Economy
and Society
In the industrial economy, physical capital (land, equipment, buildings) and
financial capital were the primary factors of production and the sources of
wealth. In the knowledge economy, knowledge or intellectual capital is the
primary factor of production and the main source of wealth generation
(Carlaw, Oxley, Walker, Thorns, & Nuth, 2006). For the purpose of this
research, we adopt Houghton and Sheehan’s (2000) description of the
knowledge economy. Houghton and Sheehan suggest that a knowledge
economy is one in which knowledge is a key resource … one in which the
generation and the exploitation of knowledge has come to play the predo-
minate part in the creation of wealth. It is not simply about pushing back
the frontiers of knowledge; it also about the more effective use and exploita-
tion of all types of knowledge in all manner of economic activity.
Intellectual capital is knowledge that produces or creates value. It is an
organization’s source of competitive advantage and it is an individual’s most
valuable competitive asset (Amidon, 1997; Bounfour & Edvinsson, 2005;
Edvinsson, 2002; Roos, 1998; Roos, Roos, & Dragonetti, 1998; Skyrme &
Amidon, 1998; Stewart, 1991, 1997; Sveiby, 2000; Teece, 2000). An orga-
nization’s intellectual capital includes its employees’ knowledge, brain-
power, know-how, and processes, as well as their ability to continuously
improve those processes. Andriessen (2004) and Amidon, Formica, and
Mercier-Laurent (2005) define intellectual capital to include (1) human
capital—tacit knowledge and skills, and attitudes; (2) structural capital—
culture, procedural knowledge, and explicit knowledge; and (3) relational
capital—communication, knowledge and social networks, as well as overall
Librarians in a Knowledge Society 83
reputation and brand. Individuals have intellectual capital. Communities
and organizations have intellectual capital, but only as aggregations of the
intellectual capital of individuals. In order to succeed in the 21st century
knowledge economy, cities, communities, organizations, households, and
individuals must invest in, manage, and grow their intellectual capital
(Amidon, 2012; Bontis, 2001, 2002; Bonfour & Edvinsson, 2005). In the
21st century, knowledge and intellectual capital will be the most important
asset an organization can possess. This will be as true for libraries as well as
for any Fortune 100 company. A library’s intellectual capital is an aggrega-
tion of the intellectual capital of all of its employees. What does a librarian’s
intellectual capital consist of? Kostagiolas and Asonitis (2009) also leverage
Andriessen’s (2001) three categories of intellectual capital. In their work
they provide a mapping of the intellectual capital assets of libraries to the
three high level categories: human capital, structural capital, and relational
capital. The work described in our chapter builds upon that work in three
ways. First, it breaks intellectual capital assets down into the finer grained
categories that are in use today in the intellectual capital discipline. Second,
it focuses on the intellectual capital of librarians rather than libraries.
Finally, it focuses on intangible intellectual assets rather than the mixture
of tangible and intangible assets listed by Kostagiolas and Asonitis. For
illustrative purposes Table 1 provides a breakdown and examples of librar-
ians’ intellectual capital assets. By taking a finer grained approach and
focusing on librarians, a much richer picture of assets emerges. Table 1 pro-
vides examples that are referenced in the intellectual capital literature
(Bedford, 2011, 2013a).
What is notable about these examples is the scarcity of references to the
collections of information resources that librarians manage. That is because
those resources are not considered to be the intellectual capital of libraries,
but rather the intellectual capital of the individuals who created them. The
explicit and encoded resources that libraries manage fall into the Explicit
Knowledge category in the Intellectual Capital profile of their authors or
creators. This view represents a significant shift in the way we think about
libraries and librarians. The intellectual capital of a library then is not its
physical or digital collections, but the aggregation of the intellectual capital
profiles of all of its staff and employees.
Because the primary value of a library in the knowledge society will shift
from the library’s resource collections to librarians’ intellectual capital assets,
libraries and library science education should consider the nature and level of
intellectual capital investments. The intellectual growth of library profes-
sionals should be the primary focus. How libraries work and how they are
managed should be aligned with the new knowledge economy. We cannot
84 Denise A. D. Bedford et al.
Table 1
Examples of the Intellectual Capital Assets of Librarians
Types of intellectual Library and information professional asset examples
capital assets
Tacit Knowledge Answers to questions, knowledge of sources, knowledge of
subject domains, knowledge of information behaviors,
knowledge of publishing industry, foresight
Skills Analytical skills, coaching and mentoring skills,
communication skills, critical thinking skills,
facilitation and negotiation skills, high digital literacy
skills, interviewing skills, knowledge creation,
knowledge capture, knowledge preservation, knowledge
sharing, knowledge elicitation, narrative intelligence,
privacy practices, research skills, strong organizational
skills, teaching and training experience, technical skills
Attitude Adaptability, advocacy, attitude to universal access,
coaching, continuous learning, creativity, collaborative
attitude, eager to learn, emotional intelligence,
engagement, knowledge sharing, mentoring, pro-
literacy attitude, self-learning, self-motivation, self-
reflection and review, service attitude, situational
learning approach, social intelligence, visioning,
willingness to work in teams
Explicit Knowledge Collection development policies, collection guides,
conference proceedings, formal educational credentials,
frequently asked questions, information standards,
presentations, professional publications, reading lists,
webinars, workshops
Procedural Knowledge Acquisitions and selection knowledge, budgeting
knowledge, cataloging knowledge, circulation
knowledge, facilities management knowledge,
information finding strategies, knowledge of sources,
literacy training knowledge, personnel management
knowledge, program planning knowledge, reference
service knowledge, search strategy formulation
knowledge, storytelling knowledge, system design
knowledge
Culture Collaborative, community-oriented, fair rewards and
recognitions, service orientation and attitude, learning
culture, mentoring and coaching culture, open
mindedness, open to different types of learning
experiences, open to experimentation, strong
community culture
Librarians in a Knowledge Society 85
Table 1 (Continued )
Types of intellectual Library and information professional asset examples
capital assets
Networks Author networks, citations to other works, library science
community, public sector community, publisher
networks, religious community network, social
networks, subject matter networks, voluntary sector
Reputation Business relationships of the individuals, connections to
civic organizations, connections to public sector
agencies and departments, political connections and
affiliations, professional association reputations of
individuals, reputation for service, reputation in the
subject domain, satisfaction rate with library service
simply assume that the way we as librarians and information professionals’
work and what we do will continue along a predictable trajectory. Such an
assumption significantly underestimates the magnitude of the shift that is
transforming our external environment.
A key question arises. Are we preparing librarians and information pro-
fessionals to play facilitation roles? Are the professional schools and continu-
ous education providing opportunities to acquire or develop the intellectual
capital assets that are needed for knowledge facilitation? What does this
mean for professional competencies, codes of ethics, and most importantly,
for library science education? A review of the professional standards and
competencies published by a range of library associations reveals two pri-
mary types of intellectual capital and knowledge. The first type focuses on
functional or core competencies. Functional competencies align with the
procedural capital competencies referenced in Andriessen and Amidon’s
Intellectual Capital frameworks (Table 2). These are the competencies which
allowed industrial era brick-and-mortar libraries to function. These are also
the competencies taught in professional library science education programs.
The second type of competency (Table 3) includes professional and
behavioral competencies what we have referred to in our Scenarios as
Knowledge Facilitation methods. These competencies are valued and high-
lighted by professional associations. However, they are not generally taught
in the library science education. They are learned on the job and gained
through experience. These competencies map to the five of the types of
intellectual capital identified by Andriessen and Amidon, including atti-
tude, skills, tacit knowledge, network capital, and procedural capital.
86 Denise A. D. Bedford et al.
Table 2
Functional Competencies of Library and Information Science Professionals
Cataloging Materials circulation User services
Collection development and access services Resource preservation
Collection maintenance Outreach Resource selection
Collection management Planning and project and acquisition
Fiscal management management Strategic management
Fundraising Program Tacit knowledge of
Instructional behaviors development economic
Learning theory and styles Promotion Legal and social issues
Public relations
Reference and
referrals
Table 3
Behavioral Competencies of Library and Information Science Professionals
Intellectual New competencies for knowledge society
capital asset
Skills Creative thinking, knowledge architecture, knowledge capture,
knowledge creation, knowledge preservation, narrative
intelligence, social intelligence
Attitude Adaptability, emotional intelligence, engagement, self-reflection,
situational learning, visioning
Culture Fair rewards and recognitions, open to experimentation, open and
collaborative organizational culture
Reputation Business relationships, connections to civic organizations, political
connections and affiliations, reputation management
Networking Author networks, public sector networks, religious networks, social
networks, subject matter networks, voluntary sector networks
Finally, we observe that there are gaps in the competencies needed for
the knowledge society and those currently addressed by either professional
functional or behavioral competencies (Table 4).
In preparing for the knowledge society, there is an opportunity to
reconsider which competencies we teach and how we learn these competen-
cies. Let’s consider why and how these competencies will be important for
librarians in the knowledge society.
Librarians in a Knowledge Society 87
Table 4
Intellectual Capital Assets and Competencies Not Covered by Professional
Associations
Intellectual New competencies for knowledge society
capital asset
Skills Creative thinking, knowledge architecture, knowledge capture,
knowledge creation, knowledge preservation, narrative
intelligence, social intelligence
Attitude Adaptability, emotional intelligence, engagement, self-reflection,
situational learning, visioning
Culture Fair rewards and recognitions, open to experimentation, open and
collaborative organizational culture
Reputation Business relationships, connections to civic organizations, political
connections and affiliations, reputation management
Networking Author networks, public sector networks, religious networks, social
networks, subject matter networks, voluntary sector networks
III. Transformation to a Knowledge Society
In order to prepare for these transformations, we need to have a good under-
standing of the knowledge economy. There is a rich treatment of this topic
in the economics literature (Asia Pacific, 2000; Atkinson & Andes, 2010;
Barkley, Henry, & Li, 2004; Boydel, Hoggett, Rugkåsa, & Cummins, 2008;
Carter, 1996; Chen & Dahlman, 2005; Dahlman & Chen, 2002;
Daugeliene, 2004; Dutta & Mia, 2011; Gregory & Stuart, 2004; Hicks,
Dattero, & Galup, 2006; Houghton & Sheehan, 2000; Leydesdorff, 2006;
Lin, 2007; Lundvall & Johnson, 1994; Malhotra, 2003; Minton &
Glasheen, 2010; Organisation for Economic Co-operative Development,
2002; Schwab, 2010; Smith, 2002; United Nations Economic Commission
for Europe, 2002).
Science cities and “technopolies” reinforce the image of an advanced
industrial society. Science cities were constructed to support people who are
engaged in scientific or high technology projects, in specific timeframes, and
to achieve specific outputs. These cities were largely created from scratch,
with people imported to the communities (Anttiroiko, 2004; Benneworth,
Hospers, & Timmerman, 2009; O’Mara, 2005). They targeted knowledge-
rich professions or highly educated classes, and they were isolated from other
cities. The essential structure and functioning of the science city was consis-
tent with industrial economy, but because they imported scientists and
88 Denise A. D. Bedford et al.
engineers into a new environment they lacked many of the essential elements
of a well-rounded city, including heritage, culture, historic cityscapes and
infrastructures, pride of place, multigenerational social systems, multicultural
households, and an infrastructure in harmony with the environment.
Technopolies were targeted experiments in that they focused on incuba-
tors or hubs for invention, learning, and collaboration within existing cities
(Castells, 1989, 2000; Castells & Hall, 1994; Chen & Choi, 2004;
Haughton & Hunter, 2003). Like science cities, they targeted the same
high skilled and highly educated segments of the population. And, like
science cities, technopolies did not lead to the development of a knowledge
city. Instead, they produced technology corridors or technology hubs which
promoted economic growth for a particular economic sector and a subset of
the larger population. However, technopolies more closely resemble our
21st century concept of a knowledge city than do science cities in that they
were not isolated from the other traditional aspects of the city—business,
cultural systems, social and civic systems.
Neither of these conceptualizations serves us well for understanding the
future in which libraries as institutions or librarians as knowledge workers
will function. It is because of these limited conceptualizations that the future
vision of libraries has been short-sighted and unnecessarily constrained.
A. The Current Literature
How do librarians currently view their role in the knowledge society? The
library science literature is rich with discussions of the future of libraries in
the information society, in the digital age, and the knowledge society
(Drotner, 2005; Faye, 2013; Khveshchanka & Mainka, 2011; Lankes, 2011;
Lor & Britz, 2007; Lux, 2009; Mainka et al., 2013; Oppenheim &
Smithson, 1999; Public Libraries of New Zealand, 2012; Robertson, 2000;
Thorhauge, 2010; Wah & Choh, 2008; Zickuhr, Purcell, & Rainie, 2014).
Five of these examples are discussed as representative of the overall focus of
the discussion.
The Danish Agency for Libraries and Media (2010) references an infor-
mation society and presumes that information transformation is at the base
of knowledge creation.
Society’s value creation is to an increasing extent based on the citizen’s ability to trans-
form information into knowledge and to use this knowledge to create new
value. … This means that access to information is important, and even though the
Internet is a rich source of information, the citizen’s access to the Internet is not suffi-
cient to ensure a value-creating knowledge development. The libraries’ physical and
digital collections continue to be a vital knowledge base. (p. 6)
Librarians in a Knowledge Society 89
It indicates that “The citizen’s possibility of creating new knowledge
depends on the ability to find the relevant information and to use it effi-
ciently” (p. 7). As the report suggests, codified and preserved information is
important to a knowledge society. However, this statement represents a fun-
damental misunderstanding of knowledge and its source—people. It is not
surprising that the future of libraries and the future of librarians would
seem to be tied to the content that is collected and managed. This report
fundamentally describes an advanced industrial economy of the early 21st
century—with pervasive availability of digital content and media, free
access, new media habits. In characterizing the knowledge society primarily
from information and a technology perspective, the report’s recommenda-
tions are limited to how to do what has always been done in a more
technology-rich environment.
Public Libraries of New Zealand (2012) offer a strategic framework for
public libraries in New Zealand for a near term future. Their report charac-
terizes libraries as vibrant places of inspiration, debate, and social interac-
tion. Like the other reports and frameworks, this report places heavy
emphasis on information and material that is needed by all members of the
community. Collections and services have to include all types of appropriate
media and modern technologies as well as traditional materials.
Mainka et al. (2013) characterize the knowledge society as comprised of
informational world cities. They characterize the role of libraries as falling
into two main groups—digital library and physical library. The authors sur-
veyed the core services of 31 specified Informational World Cities. The
authors paint a picture of an information city as one in which flows of infor-
mation, capital, and power are as or more important than physical spaces.
The challenge with this characterization is that it defaults to a focus on
technology and content. Information as contained in physical and digital
content is the focus. While it is important to provide access to e-journals,
e-books, e-newspapers, online catalogs, and databases as the chapter sug-
gests, these are sources of encoded and static information, not sources of
knowledge or intellectual capital. The chapter concludes with two recom-
mendations: (1) libraries in a knowledge society provide all of their clients
with digital services including e-resources, references services, communicate
with their clients via social media; and (2) offer physical spaces for meeting,
learning, and working. Because this work takes as a starting point the insti-
tution of libraries and their current form—like all the other reports and
articles—it overlooks the library’s greatest asset for a knowledge society—
its information professionals.
Lor and Britz (2007) distinguish between information and a knowledge
society. An information society in their view is primarily focused on ICT,
90 Denise A. D. Bedford et al.
information processing, and distribution. They distinguish a knowledge
society as focused on the creation, distribution, and use of content. We are
again back to a focus on encoded information. While the authors acknowl-
edge the role of human capacity and intellectual capital in the knowledge
economy, it is in the context of education and not in the everyday exchange
of ideas and knowledge, nor in the intellectual capital of library and infor-
mation professionals. The authors do consider the future role of information
intermediaries but from the perspective of whether the roles of librarians
and information specialists will disappear. They postulate that the role will
continue because there will always be a need to interpret and mediate infor-
mation sources. Again, each of the roles that they identify—selection,
acquisition, preservation, integrated access, dissemination, information lit-
eracy education, and user support—focus on content and information
resources.
Lux (2009) is correct in her suggestion that the most important invest-
ment in a knowledge society is in knowledge and creativity. Lux further
suggests that the most valuable assets are intellectual capital. While Lux
emphasizes the importance of intellectual capital, she sees libraries as the
providers of information for the creation of knowledge.
Libraries of the future will function in the knowledge society.
Librarians’ intellectual capital will be an investment in and accounted for in
a knowledge economy. Knowledge economy, a knowledge society are
abstract concepts. What might the use of these assets look like on a daily
basis in a knowledge city?
IV. A Holistic Vision of Knowledge Cities
The field of future research tells us that trustworthy projections of the
future take into consideration changes in all aspects of society (Cornish,
2004). For libraries, this means looking broader than technology projec-
tions. Bedford (2012) proposed a five-faceted model for a knowledge society
(Fig. 1). According to this model, a knowledge society is comprised of an
open and robust business environment, a societal regime which is infused
with a knowledge-rich culture, knowledge-rich communications, strong
interactions among society members, strong family and community units, a
civic context which is characterized by rich citizen participation, knowl-
edgeable public officials, knowledge-grounded laws and judicial bodies,
open and free public discourse, civil liberties and the right to freely associ-
ate, a physical environment which supports well-being, health, safety and
the resources which can sustain life, and a human development system
Librarians in a Knowledge Society 91
Economic
System
Environment Societal
Context Regime
Leading Lagging
Indicators Indicators
Knowledge Production and Consumption
Human
Development Civic
System Context
Fig. 1 Bedford’s five facets of a knowledge society (Bedford, 2013b, p. 280).
which recognizes that people are now the primary engine of economic
growth, of societal and political health, and which invests in the develop-
ment of every individual in that society. The heart of the knowledge society,
though, is knowledge production and consumption by individuals, commu-
nities, and organizations.
David and Foray (2002) and the International Wellbeing Group (2013)
suggest that a knowledge society rests on a foundation of knowledge cities.
A knowledge city is defined as a complex, adaptive, and dynamic system
constructed around knowledge transactions. A knowledge city is one in
which people are engaged in robust knowledge transactions. These transac-
tions are the fuel that runs the knowledge economy. The focal point for a
knowledge city is not its technologies, not its built environment, or high
value businesses—rather the focus is the knowledge transactions that take
place among people, households, community, and organizations (Benbya &
Van Alstyne, 2010; Carrillo, 2011; Dvir, 2006; Garcia, 2006, 2007;
Goldberg, Pasher, & Sagi, 2006; Krätke, 2011; Dvir, 2011; Cabrera,
Collins, & Salgado, 2006). This characterization is very different from the
characterizations of science cities and technopolies.
92 Denise A. D. Bedford et al.
A 21st century knowledge city takes as a starting point an existing city.
It is not an isolated area of a city or a city with a single purpose. A knowl-
edge city is a complex, continuously adaptive, and chaotic system. The sys-
tem revolves around knowledge transactions not only among the highly
skilled or highly educated, but among all citizens. The focal point for a
knowledge city is not its technologies, not its built environment, or high
value businesses—rather the focus is the knowledge transactions that take
place among people, households, community, and organizations. The 21st
century knowledge city is really an expanded application of Dvir’s image of
a collage of interconnected knowledge moments and interactions (Dvir,
2006).
Paraphrasing Dvir a “knowledge moment” is a spontaneous or planned
human experience in which knowledge is discovered, created, nourished,
exchanged, and transformed into a new form. Dvir paints a picture of a
knowledge city as a collage of knowledge moments. If you stopped to look
at a week in your life, you could paint your own collage of knowledge
moments. If you observed a knowledge city on a daily basis, you could paint
a collage of the city’s knowledge moments. In the knowledge city, knowl-
edge citizens are an involved, evolved sort that values the capabilities of
civic responsibility, tolerance, solidarity, self-motivation, and engagement
(Goldberg et al., 2006). According to Winkler (2014) knowledge citizens
value a knowledge-rich social context, civic regime, environment, business,
and general human development. Such knowledge citizens want to live in a
place where they work for and reap the benefits of an open and robust busi-
ness environment, a societal regime infused with a knowledge-rich culture,
knowledge-rich communications, strong interactions among society mem-
bers, strong family and community units, a civic context characterized by
rich citizen participation, knowledgeable public officials, knowledge-
grounded laws and judicial bodies, open and free public discourse, civil
liberties and the right to freely associate, a physical environment which
supports the well-being, health, safety, and the resources which can sustain
life, and a human development system which recognizes that people are
now the primary engines of economic growth and societal and political
health and invests in the development of every individual in that society.
A. Knowledge Facilitation and Knowledge Transactions
Knowledge does not circulate in any environment without deliberate
attention. The intellectual capital assets we referenced in Table 1 take on
value only when they are put into action or socialized (Brown & Duguid,
2002; Collins, 1998; Collins & Hitt, 2006; Faye, 2013; LaGanza, 2012;
Librarians in a Knowledge Society 93
Roth & Styhre, 2002; Tsoukas & Vladimirou, 2001). According to Tsoukas
and Vladimirou (2001):
Managing organizational knowledge does not narrowly imply efficiently managing
hard bits of information but, more subtly, sustaining and strengthening social practices.
In knowledge management digitalization cannot be substituted for socialization. …
Knowledge management is primarily the dynamic process of turning an unreflective
practice into a reflective one by elucidating the rules guiding the activities of the prac-
tice, by helping give a particular shape to collective understandings, and by facilitating
the emergency of heuristic knowledge. (p. 991)
Knowledge cannot simply be applied. This is a critical point for libraries as
it addresses the difference between knowledge as a resource and knowledge
in action—transfers, exchanges, validation, invalidation, and so on (Choo,
1998; Dixon, 2000).
Making use of knowledge resources is a skill which will be highly
valued in the knowledge society. Those who know how to do this are called
knowledge facilitators. Knowledge facilitators help a group of people to cre-
ate, interpret, articulate, express, and tell stories about knowledge in all of
it forms. A key role in the knowledge city and central to knowledge trans-
actions is facilitation. Knowledge facilitators bridge the “knowing-doing”
gap (Pfeffer & Sutton, 1999). Their role, in a library of the future and in
the knowledge society of the future, aims to orchestrate the distribution of
knowledge (Alvesson, 2001; Alvesson & Kärreman, 2001; Garcia, 2006,
2007). The knowledge facilitator’s role is to create arenas and opportunities
for sharing knowledge. This is a new role in knowledge commerce and
knowledge markets (Benbya & Van Alstyne, 2010). They
• engage in conversations
• facilitate dialog
• create trust
• do tacit knowledge elicitation
• energize and connect knowledge-creation initiatives and opportunities
• enhance knowledge creation and dissemination across organizational boundaries and
communities.
Knowledge facilitators (aka future librarians) engage members of a com-
munity in an active process where they collectively reflect on their work
and then share it with others. It is the premise of this chapter that librarians
and information professionals are poised to play the role of knowledge facili-
tators in the knowledge city of the future. To play this role, though, a major
shift in thinking is required. The shift in thinking must be equal to eco-
nomic and social transformations.
94 Denise A. D. Bedford et al.
B. Libraries as Knowledge Organizations
Now that we understand the critical role of knowledge facilitators, let’s con-
sider how this role might play out in the library of the future. With all of
these economic and social transformations occurring in the external environ-
ments it is imperative that libraries begin to function like knowledge organi-
zations. Industrial era organizations that operate under command-and-control
methods will not succeed in the knowledge economy. How does a library
transition from its current industrial-era management and engagement style
to a knowledge organization? It begins by stepping back to consider its intel-
lectual capital assets and shifting the way assets are managed. It means that
librarians should behave like knowledge workers—engaging in and con-
structing communities of practice to do their work, taking every opportunity
to collaborate with colleagues inside the library, across the library profession
but more importantly with their stakeholders and the external community. It
means that the management culture must shift from one of control, over-
sight, and cost management to one of engagement, shared values, openness,
and focus on value. It means that value must be placed on the external
engagement of librarians and information professionals in the knowledge
society, not just in a nine to five job within the physical library. It means
that librarians learn from real life experiences in the knowledge society, not
just from absorbing information. In a nutshell, it means that the internal
workings of a library need to be a reflection of the external society. Librarians
first and foremost must become knowledge facilitators within the institution.
Four future scenarios are offered here to demonstrate how future
libraries might better leverage library and information professionals’ intel-
lectual capital and their knowledge facilitation competencies. Each of these
scenarios also represents a fundamental shift in the organizational culture of
libraries. Each scenario suggests a change in our fundamental beliefs of who
has the knowledge that is critical to the challenge at hand, how that knowl-
edge is valued, and how it might be leveraged.
1. Future Scenario 1.1: Reference Exchange
In a knowledge city, citizens expect to be able to go to the future library with
problems that need to be solved, not just questions that need to be answered.
Requests will not be limited to requests for information because most citizens
will be able to answer many of those questions directly. Responding to these
requests means that librarians will have to bring in a team of subject matter
experts to address the question. In this scenario, the library has constructed a
knowledge network around several important subject domains. These experts
Librarians in a Knowledge Society 95
Table 5
Future Scenario 1.1: Knowledge Facilitation Factors
What is the relevant traditional Reference and referral services
library function?
Who are the stakeholders? Business community, economic sectors,
subject matter experts, library community
What is the expected outcome? Solution to a problem posed by the
community
What facilitation methods are Problem solving, networking, reputation
needed? management, collaboration, communities of
practice
can be contacted to engage in time-sensitive problem solving or to answer
expert level questions. The network was designed using network analysis
methods, but was built out using the library’s relational capital—meaning
connecting and engaging with individuals. The library’s network is cultivated
and managed with equal or greater respect and effort than are devoted to phy-
sical collections or resources. The knowledge facilitation methods that are
inherent to this scenario are described in Table 5.
2. Future Scenario 1.2: Technical Services Exchange
The library has a very active young adult community. Acquisition/catalog
librarians maintain strong contacts within the library community to keep
abreast of what new materials may be of interest to young adults. These
librarians also maintain strong direct connections with the young adult
community through a social network that allows them to understand young
adult interests, what’s coming down the pipeline, and what young people
are thinking about new materials. In addition to having direct input for
selection, such librarians also understand how their target audience talk,
think, and how they look for resources. She’s received a new graphic novel
and she’s adding it to the digital collection. She dutifully adds the Library
of Congress Subject Headings, but she also adds access points for terms that
her stakeholders will use. Her access points reflect the way that young peo-
ple think about these kinds of resources. As a result of her networking, the
young adults in the knowledge city are gaining an understanding of how to
manage resources, and how to make them accessible. They’re also gaining
respect for the work that she does on their behalf. They will absorb this
knowledge and it will become part of the way that they work. In addition,
the relationship provides reverse mentoring for the acquisition/catalog
96 Denise A. D. Bedford et al.
Table 6
Future Scenario 1.2
Issue Knowledge facilitation factors
What is the relevant Selection and acquisitions, cataloging
traditional library function?
Who are the stakeholders? Young adult community
What is the expected Increased access to resources, growth of literacy
outcome? skills, increased knowledge of information
management practices, increased knowledge of
social media and digital resources
What facilitation methods are Networking, communication, community of
needed? practice, trust building, knowledge sharing,
mentoring and reverse mentoring, relational
capital building, learning
librarian as she learns more about how they use social media and interact
with digital resources. Table 6 highlights the knowledge facilitation skills
that are implicit to this scenario.
3. Future Scenario 1.3: Program Planning
In this scenario, the community library is setting up a series of children’s
program. The series is intended not just to entertain but to begin to build
strong knowledge competencies among children so that they can begin to
prepare for primary school. The children’s librarian assembles a community
of practice that includes parents, teachers, local authors, professional and
amateur storytellers, day care providers, and talent management specialists.
While designed for very young children, the programs are designed around
the basic competencies that allow individuals to succeed in the knowledge
society. The community of practice identifies a set of competencies that are
important to succeeding in the knowledge economy—knowledge valuation,
knowledge sharing, team work and collaboration, communication, problem
solving, and so forth. The teachers and librarians come up with a program
curriculum. Storytellers, parents, and day care providers suggest activities.
Librarians pull the program together and design an implementation strat-
egy that engages all of the stakeholders. In addition, talent management
experts suggest sources of funding to support program development and
delivery. The program is shared with other libraries across the region and
the country. Feedback and additional suggestions from outside the
Librarians in a Knowledge Society 97
Table 7
Future Scenario 1.3
Issue Knowledge facilitation factors
Librarian’s background Children’s librarianship, program development,
instructional design, literacy training
Who are the Children, parents, teachers, business community, public
stakeholders? sector organizations
What is the expected Short-term outcomes include increased literacy and
outcome? knowledge competencies among children. Long-term
outcomes include more successful knowledge citizens
and more successful public and private sector
organizations
What facilitation Communities of practice, organizational learning,
methods are needed? knowledge sharing, knowledge creation,
collaboration, communication, trust building
community enrich the program as it is delivered in future years. Knowledge
facilitation is happening on multiple levels in this scenario—among chil-
dren who participate in the program, among the community members
involved in designing and funding it, and over time across cities and
regions as the program is shared with other libraries as shown in Table 7.
4. Future Scenario 1.4: Community Collection Building
Consider this scenario in the context of a knowledge environment. The
community which the library supports has been hard hit by an economic
downturn. The manufacturing industries which used to support the com-
munity have left the region. The tax base that used to provide a strong
financial tax base for the community is no longer available. The community
needs to continue to provide access to collections though, to support the
basic and advanced literacy, education, and recreational needs of its citizens.
The library director has assembled a community of practice of library pro-
fessionals, citizens, and interested technology vendors to construct a
community-based, community-owned, and governed digital library. The
community library leverages resources that are owned by citizens or contrib-
uted through the Friends of the Library. The community library thus is a
robust example of resource sharing and trust building across the commu-
nity. Table 8 highlights the knowledge facilitation competencies that under-
pin this scenario.
98 Denise A. D. Bedford et al.
Table 8
Future Scenario 1.4
Issue Knowledge facilitation factors
What is the relevant Collection development, collection management,
traditional library function? resource circulation, catalog management and
maintenance, metadata creation
Who are the stakeholders? Entire community, entire library staff, technology
vendors, local and extended technology business
community
What is the expected outcome? Continued and expanded library collection for
community
What facilitation methods are Networking, trust building, knowledge sharing,
needed? fundraising, governance
C. Librarians as Knowledge Citizens in the Knowledge City
In the knowledge city of the future librarians and information profes-
sionals have new opportunities to play the role of knowledge facilitator.
This means creating opportunities to play that role anytime, anywhere,
and with any knowledge citizens. It does not mean waiting for, or expect-
ing knowledge citizens to come to us with requests. The knowledge facili-
tator is proactive and engaging. This means recruiting into the profession,
and rewarding those individuals who look proactively for opportunities to
engage. It means changing our organizational culture from one which pro-
tects and values collection resources to one which values intellectual capi-
tal and the ability to contribute to a knowledge society. Opportunities to
engage are not seen as additional drains on our resources but as opportu-
nities to demonstrate professional competencies, and opportunities to
contribute to the transformation to a knowledge economy. Taking advan-
tage of external opportunities means rethinking how resources are allo-
cated to the internal workings of the library of the future. It means
maybe having to share those responsibilities with other stakeholders in
order to achieve a greater good. The greater good in this case is lever-
aging the intellectual capital of professionals to teach others and to facili-
tate knowledge transfer.
In the following section, we offer six scenarios to illustrate what
engagement might look like outside of the traditional library context. Each
scenario highlights the knowledge facilitation competencies librarians will
need to function in a knowledge society.
Librarians in a Knowledge Society 99
1. Future Scenario 2.1: Advising the City Council on Broadband
Contract Design
The knowledge city realizes the importance of having affordable and univer-
sal cloudband access for all of its citizens, all of its organizations, and the
business community. In this scenario, good affordable communication archi-
tecture is the backbone of any intelligent city. The City Council is embarking
on a multiyear project to wire the city and ensure that the design they adopt
will serve all of the citizens well, and will be sustainable and extensible for
the foreseeable future. The City Council, being an enlightened group of
knowledge citizens, realizes that the resident expert is their colleague—the
Director of the Library/Knowledge Sciences Center. From their previous
work with the Director, they understand the deep knowledge such a person
has on types of content, future trends on access, price points for information
among various communities in the city, and his strong background in the
economics of knowledge and information. They also know that the Director
is the resident expert on information and knowledge policies. And, that she
has a network of contacts within the broadband industry. The City Council
decides to add the Library Director to their project team. He in turn, brings
in some of his internal staff to support the project. Table 9 highlights the
knowledge facilities competencies that support this scenario.
2. Future Scenario 2.2: State Prison Environment
In the knowledge economy, a knowledge city cannot afford to waste any of
its intellectual capital assets. Like all other cities, this city has an incarcerated
Table 9
Future Scenario 2.1
Issue Knowledge facilitation factors
What is the relevant Information access, information policy, economics
traditional library function? of information, contract administration, systems
design, technology management
Who are the stakeholders? City council, entire knowledge city, technology
vendors
What is the expected outcome? An optimal contract design for broadband
network
What facilitation methods are Negotiation, relational capital, reputation
needed? management, organizational culture, service
attitude
100 Denise A. D. Bedford et al.
population. The intent is to ensure that to the extent possible, incarcerated
individuals have opportunities to grow their intellectual capital competencies
to be productive knowledge citizens. The priest of one the local Catholic
parishes has established a prison ministry. As part of his ministry he arranges
to provide copies of paperbacks for prisoners to read. The church’s limited
budget does not allow him to provide digital access to materials. This pro-
vides both an opportunity to build their literacy skills and to use their recrea-
tional time in a constructive manner. The challenge is that the priest has
very limited resources. He works with donated materials and what he can
afford to purchase out of his limited funds. Because the number of books is
limited, but the demand is high, the prisoners end up cutting the books up
into chapters so that several of them can be reading a book at the same time.
The priest serves on the local library advisory board so he is well aware of
some of the innovative things the library is doing with resources. Among the
priest’s parishioners is the knowledge architect for the local library. One day
after services, he approaches her for advice on how to more effectively meet
this new demand. He sees the demand growing in the future. The knowledge
architect studies the problem and comes back to the priest with a proposal to
take to the company that manages the prison and some library vendors. The
proposal describes a new architecture that makes digital versions accessible to
prisoners on a secure network within the prison. In order to further grow the
digital literacy skills of the inmates, the priest and the knowledge architect
create a community of practice of prisoners, library systems developers, prison
managers, and publishers to help design the interface and structure. The
results? The publishers gain a secure environment in which to provide con-
tent. The publishers get a reputation-boost for corporate social responsibility
contributions. The library has developed a working partnership with the out-
reach ministry and is now actively engaged in increasing digital literacies
within the prison. Table 10 highlights the knowledge facilitation competen-
cies that support this scenario.
3. Future Scenario 2.3: Crowd-Sourced Collection Development
Because this future library is heavily engaged in knowledge-related activ-
ities throughout the city, there is need to think differently about how they
accomplish this with traditional library funds. An important traditional
function is collection development. This is generally a time-consuming
activity which requires high levels of intellectual capital—knowledge of a
domain, time to review sources, make selections, acquire materials, and
monitor the collection for general health and relevance. The future library
has decided to teach its citizens how to do collection development in an
Librarians in a Knowledge Society 101
Table 10
Future Scenario 2.2
Issue Knowledge facilitation factors
What is the relevant traditional Content architecture, metadata architecture,
library function? collection management, reader services
Who are the stakeholders? Incarcerated population, religious community,
prison management company, publishers
What is the expected outcome? Short-term—increased digital literacy skills,
improved quality of recreational time.
Long-term—good living models,
productive knowledge citizens
What facilitation methods are Creative thinking, problem solving, design,
needed? networks, reputation, trust building,
systems design, knowledge architecture
open community, using crowdsourcing methods and social media. Working
within the overall collection policy framework and strategy, the library has
offered its citizens the option to engage in collection development and man-
agement. This is particularly important for areas of the collection which
deal with unique local resources. As it happens, our Knowledge City was
the site of a major political event in the late 1800s that led to the creation
of new labor protection laws. While there is some local history and markers,
the city is in danger of losing local stories and memory. The library has cre-
ated a collection area in its policy that enabled the community to build out
the collection and design a framework for sustaining it. The knowledge
facilitation skills supporting this scenario are highlighted in Table 11.
4. Future Scenario 2.4: Community Seed Library
This scenario focuses on a library in an urban area of a state that is otherwise
largely agricultural. The state has a rich history of developing plant varieties
which are well adapted to the environment. There is a rich heirloom seed
tradition where farmers and agriculturalists have traditionally grown gar-
dens from saved and exchanged seeds. The local 4-H Clubs in the surround-
ing rural areas have an interest in advancing an urban agriculture agenda in
the city. There are large tracts of land in the city which are unused and are
in danger of becoming dumping grounds for waste. The land could be
made available for community gardens and establishing a system of urban
agriculture to help provide better nutrition for the local residents. 4-H
102 Denise A. D. Bedford et al.
Table 11
Future Scenario 2.3
Issue Knowledge facilitation factors
What is the relevant Collection development, collection management,
traditional library function? preservation, storytelling, knowledge
architecture, intellectual property
Who are the stakeholders? Entire knowledge city, national history community,
teachers, digital tourists
What is the expected Knowledge transfer of collection development and
outcome? management practices from librarians to citizens,
preserved resources, accessible resources,
expanded knowledge of historical events,
enhanced learning design through personal
stories
What facilitation methods are Communities of practice, systems Design, use of
needed? social media, communication, collaboration,
networking, trust building
Club members approach an access services librarian to learn how to establish
a borrowing and lending collection of seeds. The access services librarian
works with the Club members to find old unused library catalog cabinets to
house the seeds. The access services librarian brings in the staff that sup-
ports the outreach librarian to better understand how to reach into the
urban neighborhoods for which this project would be most valuable. The
4-H Club members develop an urban agriculture training program working
with a group from the neighborhood. The library adopts the program as
one of its digital resources. The program gains recognition from local farm-
ers who contribute heirloom seeds, and volunteer to coach the young urban
farmers. The seed library develops extensive metadata records for all of its
seeds and becomes a major source of information about local varieties. Local
garden shops and landscapers begin to donate seeds and seedlings to the
effort. This scenario highlights additional knowledge facilitation competen-
cies librarians will cultivate in the knowledge society (Table 12).
5. Future Scenario 2.5: Rural Community Knowledge Elicitation
This library of the future is a one person library in a resource poor but
knowledge-rich remote community. The community has a rich tradition of
environmental protection and one family who has been the steward of an
Librarians in a Knowledge Society 103
Table 12
Future Scenario 2.4
Issue Knowledge facilitation factors
What is the relevant Access services, community outreach, metadata
traditional library function? creation, collection management, instruction
Who are the stakeholders? City neighborhood residents, farmers in
surrounding areas, botanists, local young farmers
What is the expected Short-term is environmental protection of
outcome? abandoned land, and increased knowledge of
agriculture among a new generation. Long-term
outcome is healthy citizens, reclaimed land,
preserved plant varieties, and an improved
dialog across rural and urban populations
What facilitation methods are Implicit knowledge exchange, knowledge
needed? elicitation, problem solving, communication,
community of practice, networking
important habitat for unique species. The younger generations of this family
have moved to the city and will not continue the stewardship role. The com-
munity realizes that it is facing a crisis of knowledge capture and transfer.
There is only one member of the family still alive and living on the property.
The local Sierra Club approaches the Library Director for advice on lever-
aging the library’s intellectual capital to capture and record the knowledge of
this individual. This remote library is a knowledge outpost in the larger
knowledge sciences network whose hub is in the nearby city. The librarian
reaches out to her network and finds a member of a knowledge elicitation
guild. The guild arranges to train a local student in the remote community.
There is a trusting relationship between the custodian and the students—the
student works with the last family member over a period of a year to elicit
and capture the knowledge so that it can be shared with others in the com-
munity. The direct transfer to others in the community ensures that the
knowledge will be put to use throughout the area. Without these connections
and without the library director’s network, this knowledge would have been
lost. A local student how has a new knowledge elicitation skill that can now
be leveraged to advance his career. The library recognizes a new service that
can be offered to businesses—capture of tacit knowledge for those employees
who are scheduled to retire. Human capital and structural capital assets are
important to this scenario (Table 13).
Each of these scenarios has demonstrated the library’s involvement in
the activities of a knowledge city. This involvement is grounded in citizen
104 Denise A. D. Bedford et al.
Table 13
Future Scenario 2.5
Issue Knowledge facilitation factors
Who are the stakeholders? Environmentalists, Sierra Club, rural community,
young information professionals
What is the expected Continued stewardship of the unique habitat,
outcome? protection of the endangered plant and animal
species, career development for students,
increased recognition of tacit knowledge in
library
What is the relevant Oral history, special collections, program
traditional library function? development
What facilitation methods are Knowledge elicitation, communication, knowledge
needed? capture, knowledge preservation, interviewing
skills, interpersonal skills, active listening
recognition of the critical knowledge facilitation role of librarians and infor-
mation professionals. Daily engagement enables citizens to learn knowledge
and information management competencies. Organizations learn how to
acquire and adapt information management capabilities that will improve
the way they work. The quality of knowledge moments and transactions
that were discussed earlier increase because library and information profes-
sionals are engaged. Knowledge facilitation is alive and well in each of those
engagements. Citizens of the city learn from working with librarians. The
end game is that the knowledge city’s knowledge moments have been
enriched by the knowledge facilitation of librarians and information profes-
sionals. To ensure that librarians and information professionals are prepared
to step into this role, we must ensure that these competencies are addressed
in professional education and that it is valued by the libraries of the future.
6. Future Scenario 2.6: Knowledge Transfers among Rural
Academic Libraries
In the future we will still have colleges and universities and they will still
have traditional libraries because access to scholarly resources is important to
everyone in higher education, regardless of size or location. While this sce-
nario characterizes them as being rural, it also assumes that one is a small col-
lege with only 700 students and 70 total faculty members. Traditionally,
these libraries and institutions have been resource disadvantaged due to
Librarians in a Knowledge Society 105
shortage of critical financial resources to invest in the high priced services.
Their libraries have not had sufficient budgets to hire credentialed informa-
tion professionals. In the knowledge future though, small and rural academic
libraries can use their knowledge and their relational capital (e.g., networks)
to assemble virtual collections, to barter knowledge for essential services, and
to promote local knowledge to other communities. In this scenario, the librar-
ians and information professionals leverage their traditional state supported
networks, but they also create peer-to-peer networks with individuals around
the country. A small and rural library network serves as an ad hoc professional
association for these communities. The networks provide learning opportu-
nities, problem solving sessions, and support structures for what are often
single-person libraries and businesses. The challenges and practices of these
small institutions are often unique and perfectly suited to communities of
practice. It is also important to remember that a small college in a rural area
is likely to serve as a knowledge hub for the external rural community. This
scenario leverages librarians’ human and relational capital assets (Table 14).
V. Observations
The research team offers seven observations based on our experience, our
conversations, and our professional perspectives.
Table 14
Future Scenario 2.6
Issue Knowledge facilitation factors
Who are the stakeholders? College and university faculty and students,
information professionals, broader external
community
What is the expected Provision of any and all requested knowledge and
outcome? information products and services with minimal
financial resources
What is the relevant All functions, including professional information
traditional library function? education
What facilitation methods Community of practices, networking, creativity,
are needed? problem solving, communication, cooperation,
empathy, public service attitude, knowledge
sharing, lifelong learning attitude, ability to
interpret and create policy for unique
environments
106 Denise A. D. Bedford et al.
A. Observation 1: Shift in the Core Curriculum for Information
Professionals
There is a strong mapping between the behavioral competencies described
by professional associations and the knowledge facilitation methods refer-
ences across all 10 scenarios. The challenge, though, is that these competen-
cies are not generally taught in professional schools. Rather they are learned
on the job or in real life experiences. The challenge for us in academia is to
design curricula, and to develop courses and assignments that enable stu-
dents to develop these behavioral competencies as part of their formal edu-
cation. Other human capital and relational capital assets should be adopted
and promoted by professional associations.
B. Observation 2: Adoption of Systems Thinking as a Core
Competency
An essential addition to the core curriculum of library and information
science education—not an elective, but a core course—is a course in
Systems Thinking. Librarians and information professionals must be trained
to think of the “system” of knowledge and information, and their role as
facilitators and mobilizers in that system. Information resources should
include relational capital, community building, and collaborations with
outside experts. This approach goes beyond the individuals’ knowledge and
taps into the tacit knowledge of those outside the library. The knowledge
society places a high value on collective knowledge and wisdom, encoura-
ging librarians to engage with the larger community, and encouraging
others to participate in library work.
C. Observation 3: Nontraditional Sources of Learning for
Professionals
The master’s degree is considered the terminal professional degree for librar-
ians. In a knowledge society, though, there is no end to learning—it is con-
tinuous. Librarians and information professionals should create and look to
other sources of learning—such as open online courses, MOOCs, continuing
education webinars, and so forth. Librarians should create and publish these,
and not just expect the professional societies to develop them. In a knowl-
edge economy, others will be performing knowledge facilitation and informa-
tion management functions. It is time to think about sharing our
professional knowledge to add value to the work of others. Traditional library
work is now done well beyond the virtual or physical walls of a library.
Librarians in a Knowledge Society 107
D. Observation 4: Valuing Knowledge of Local Communities and
Cultures
Knowledge of local community activities and culture is as essential to suc-
ceeding in the knowledge society as is a professional credential. Over time,
knowledge citizens might become as knowledgeable about information and
knowledge resources as traditional librarians. The comparative advantage
we are left with is knowledge facilitation of resources and the local
community.
E. Observation 5: Shift in Management Culture
Those responsible for managing libraries in the future must find ways to
shift the organizational culture from industrial era command and control to
a forward-looking knowledge- and intellectual capital growth culture. The
culture needs to shift from one that focuses on costs and cost cutting, to one
of value creation and opportunity creation. Managing in the future means
creating an environment where people can grow and leverage intellectual
capital. In order to affect this shift, we suggest the profession to look
beyond the traditional business administration training to the knowledge
sciences.
F. Observation 6: Looking Beyond the Library Walls
Libraries must see their future in terms of the broader changes taking place
in society, and not in terms of technological developments and trends.
Librarians need to believe that they have a role in inventing the future, not
just reacting to it. We need to shift our image from a profession focused on
the safeguarding of collections, to a profession of knowledge facilitators.
G. Observation 7: Valuing and Promoting Progressive Professionals
It is important to note that many of the scenarios we have shared are drawn
from real life. There are librarians and information professionals who are
creating opportunities and engaging in knowledge solutions today.
However, the opportunities are neither recognized nor highly valued by the
profession. Too often they are seen as unnecessary distractions for our “real
work.” Knowledge transactions and knowledge moments require proactive
knowledge facilitation. Librarians and information professionals are poised
to step into this role.
108 Denise A. D. Bedford et al.
VI. Conclusions
The knowledge society and economy will bring transformations that change
how libraries work and what they do. The most important change, though,
will be the increased value of librarians’ intellectual capital assets. Visions of
the knowledge society which focus only on digitization and the digital
delivery of current services miss the fundamental change. Librarians should
prepare for new roles in the knowledge society, not just by increasing their
information technology skills but by investing in and growing their intel-
lectual capital assets. Library science professional competencies should be
expanded. Library science education should include knowledge management
and intellectual capital competencies. Behavioral competencies should be
elevated to the same status as functional competencies. A fundamental
change in attitude toward our own intellectual capital is a first step.
Librarians must see themselves not just as stewards of information resources,
but as active and critical agents in the knowledge society.
References
Alvesson, M. (2001). Knowledge work: Ambiguity, image and identity. Human
Relations, 54(7), 863
886. doi:10.1177/0018726701547004
Alvesson, M., & Kärreman, D. (2001). Odd couple: Making sense of the curious
concept of knowledge management. Journal of Management Studies, 38(7),
995
1018. doi:10.1111/1467-6486.00269
Amidon, D. M. (1997). Innovation strategy for the knowledge economy: The Ken awaken-
ing. Boston, MA: Butterworth-Heinemann.
Amidon, D. M. (2012). KM coming of age: A kaleidoscope of innovation opportu-
nity. In E. Serventi (Ed.), Innovation and transformation through knowledge manage-
ment (pp. 1
17). London: Ark Group.
Amidon, D. M., Formica, P., & Mercier-Laurent, E. (Eds.). (2005). Knowledge economics:
Emerging principles, practices and policies. Tartu, Estonia: Tartu University Press.
Andriessen, D. (2001). Weightless wealth: Four modifications to standard IC35
theory. Journal of Intellectual Capital, 2(3), 204–214. doi:10.1108/146919301
10399941
Andriessen, D. (2004). Making sense of intellectual capital: Designing a method for the
valuation of intangibles. Amsterdam, Netherlands: Elsevier.
Anttiroiko, A.-V. (2004). Science cities: Their characteristics and future challenges.
International Journal of Technology Management, 28(3
6), 395
418. doi:10.1504/
IJTM.2004.005295
Asia-Pacific Economic Cooperation. (2000, November). Towards knowledge-based
economies in APEC. Report by APEC Economic Committee. Singapore:
APECSecretariat. Retrieved from https://www.google.com/webhp?sourceid=
chrome-instant&rlz=1C1OPRB_enUS570US585&ion=1&espv=2&ie=UTF-8#
q=APEC+Economic+Committee+2000
Librarians in a Knowledge Society 109
Atkinson, R. D., & Andes, S. M. (2010, November). The 2010 state new economy
index: Benchmarking economic transformation in the States. Washington, DC: The
Innovation & Information Technology Foundation. Retrieved from http://www.
itif.org/files/2010-state-new-economy-index.pdf
Barkley, D. L., Henry, M. S., & Li, H. (2004). Does human capital affect
rural economic growth? Evidence from the south (Research Report No. 03-
2004-02. Clemson University, Regional Economic Development Research
Laboratory, Clemson, SC. Retrieved from http://www.clemson.edu/redrl/redrl_
rpt11.pdf
Bedford, D. A. D. (2011). Enabling personal knowledge management with colla-
borative and semantic technologies. Bulletin of the American Society for Information
Science, 38(2), 32
39. Retrieved from http://faculty.kent.edu/dbedfor3/
Publications/Bulletin_DecJan12_Final.pdf
Bedford, D. A. D. (2012, April). Expanding the definition and measurement of
knowledge economy: Integrating triple bottom line factors into knowledge econ-
omy index models and methodologies. Paper presented at the ECIC 2012 4th
European conference in intellectual capital, Arcada University of Applied
Sciences, Helsinki, Finland (pp. 67
74).
Bedford, D. A. D. (2013a). Business capability modeling as a foundation for deter-
mining the value of intellectual capital assets. Proceedings of the ICICKM 2013:
The 10th international conference on intellectual capital, knowledge management and
organisational learning, The George Washington University, Washington, DC,
October 24
25 (pp. 60
67). Retrieved from http://faculty.kent.edu/dbedfor3/
2013_Refereed_Conference_Proceedings/Bedford_ICICKM_2013.pdf
Bedford, D. A. D. (2013b). Framework and indicators for a new knowledge econ-
omy index. Journal of Modern Accounting and Auditing, 9(2), 278
286. Retrieved
from http://www.davidpublishing.com/show.html?11947
Benbya, H., & Van Alstyne, M. (2010). How to find answers within your company
(Boston University School of Management Research Paper Series No. 2010-24 &
MIT Sloan Research Paper No. 5072-10). MIT Sloan Management Review, 52(2),
65
77. Retrieved from http://ssrn.com/abstract=1652432
Benneworth, P., Hospers, G. J., & Timmerman, P. (2009). Who builds ‘science
cities’ and ‘knowledge parks’? New Technology-Based Firms in the New Millennium,
7, 147
163.
Bontis, N. (2001). Assessing knowledge assets: A review of the models used to
measure intellectual capital. International Journal of Management Reviews, 3(1),
41
60. doi:10.1111/1468-2370.00053
Bontis, N. (2002). National intellectual capital index: A United Nations initiative
for the Arab region. Journal of Intellectual Capital, 51, 13
39.
Bounfour, A., & Edvinsson, L. (2005). Intellectual capital for communities: Nations,
regions and cities. Boston, MA: Butterworth-Heinemann.
Boydell, L., Hoggett, P., Rugkåsa, J., & Cummins, A. M. (2008). Intersectoral
partnerships, the knowledge economy and intangible assets. Policy & Politics,
36(2), 209
224. doi:10.1332/030557308783995035
Brown, J. S., & Duguid, P. (2002). The social life of information. Boston, MA:
Harvard Business School Press.
Cabrera, A., Collins, W. C., & Salgado, J. F. (2006). Determinants of individual
engagement in knowledge sharing. The International Journal of Human Resource
Management, 17(2), 245–264. doi:10.1080/09585190500404614
110 Denise A. D. Bedford et al.
Carlaw, K., Oxley, L., Walker, P., Thorns, D., & Nuth, M. (2006). Beyond the hype:
Intellectual property and the knowledge society/knowledge economy. Journal of
Economic Surveys, 20(4), 633
690. doi:10.1111/j.1467-6419.2006.00262.x
Carrillo, F. J. (Ed.). (2011). Knowledge cities: Approaches, experiences and perspectives.
Abingdon, UK: Routledge.
Carter, A. P. (1996). Measuring the performance of a knowledge-based economy. In
D. Foray & B. A. Lundvall (Eds.), Employment and growth in the knowledge-based econ-
omy (pp. 61
68). Paris: Organisation for Economic and Cooperative Development.
Castells, M. (1989). The informational city: Information technology, economic restricting
and the urban-regional process. Oxford, UK: Blackwell.
Castells, M. (2000). The rise of the network society (2nd ed.). Oxford, UK: Blackwell.
Castells, M., & Hall, P. (1994). Technopoles of the world: The making of twenty-first-
century industrial complexes. London: Routledge.
Chen, D. H. C., & Dahlman, C. J. (2005). The knowledge economy, the KAM methodol-
ogy and World Bank operations. World Bank Institute Working Paper No. 37256.
The World Bank, Washington, DC.
Chen, S., & Choi, C. J. (2004). Creating a knowledge-based city: The example of
Hsinchu Science Park. Journal of Knowledge Management, 8(5), 73
82.
Choo, C. W. (1998). The knowing organization: How organizations use information to construct
meaning, create knowledge and make decisions. Oxford, UK: Oxford University Press.
Collins, D. (1998). Organisational change: Sociological perspectives. London: Routledge.
Collins, J. D., & Hitt, M. A. (2006). Leveraging tacit knowledge in alliances: The
importance of using relational capabilities to build and leverage relational capi-
tal. Journal of Engineering and Technology Management, 23(3), 147
167.
doi:10.1016/j.jengtecman.2006.06.007
Cornish, E. (2004). Futuring: The exploration of the future. Bethesda, MD: World
Future Society.
Dahlman, C. J., & Chen, D. H. C. (2002). Using knowledge for development: A
general framework and preliminary assessment of China. In B. S. Grewal, L.
Xue, P. Sheehan, & F. Sun (Eds.), China’s future in the knowledge economy: Engaging
the new world (pp. 35
66). Washington, DC: The World Bank.
Danish Agency for Libraries and Media. (2010). The public libraries in the
knowledge society: Summary from the committee on public libraries in the knowledge
society. Retrieved from http://www.kulturstyrelsen.dk/fileadmin/publikationer/
publikationer_engelske/Reports/The_public_libraries_in_the_knowledge_society.
_Summary.pdf
Daugeliene, R. (2004). Peculiarities of knowledge-based economy assessment:
Theoretical approach. Kaunas University of Technology, Institute of Europe,
Bergamo, Italy, May 17
21. Retrieved from http://www.unibg.it/static_content/
ricerca/dipartimento_matematica/eumoptfin3_abstract/Daugeliene.pdf
David, P. A., & Foray, D. (2002). An introduction to the economy of the knowl-
edge society. International Social Science Journal, 54(171), 9
23. doi:10.1111/
1468-2451.00355
Dixon, N. M. (2000). Common knowledge: How companies thrive by sharing what they
know. Boston, MA: Harvard Business Press.
Drotner, K. (2005). Library innovation for the knowledge society. Scandinavian
Library Quarterly, 38(2). Retrieved from http://slq.nu/?article=library-
innovation-for-the-knowledge-society
Librarians in a Knowledge Society 111
Dutta, S., & Mia, I. (Eds.). (2011). Global information technology report
2010
2011: Transformations 2.0 (10th anniversary ed.). Geneva, Switzerland:
World Economic Forum. Retrieved from http://reports.weforum.org/global-
information-technology-report/
Dvir, R. (2006). Knowledge city, seen as a collage of human knowledge moments.
In F. Carillo (Ed.), Knowledge cities: Approaches, experiences, and perspectives
(pp. 245
272). Abingdon, UK: Routledge.
Dvir, R. (2011). Knowledge city, seen as a collage of human knowledge moments.
In F. Carillo (Ed.), Knowledge cities: Approaches, experiences, and perspectives
(pp. 245–272). Abingdon, UK: Routledge.
Edvinsson, L. (2002). The new knowledge economics. Business Strategy Review,
13(3), 72
76. doi:10.1111/1467-8616.00225
Faye, M. (2013, December 5). Knowledge facilitation through COPs. The African
ICT Week. African Union Conference Centre, Addis Ababa. Retrieved from
http://au.int/en/sites/default/files/Knowledge%20Facilitation%20through%
20COPs.pdf
Garcia, B. C. (2006). Learning conversations: Knowledge, meanings and learning
networks in greater Manchester. Journal of Knowledge Management, 10(5),
99
109. doi:10.1108/13673270610691215
Garcia, B. C. (2007). Working and learning in a knowledge city: A multilevel
development framework for knowledge workers. Journal of Knowledge
Management, 11(5), 18
30. doi:10.1108/13673270710819771
Goldberg, M., Pasher, E., & Sagi, M. L. (2006). Citizen participation in decision-
making processes: Knowledge sharing in knowledge cities. Journal of Knowledge
Management, 10(5), 92
98. doi:10.1108/13673270610691206
Gregory, P. R., & Stuart, R. C. (2004). Comparing economic systems in the twenty-first
century (7th ed.). Boston, MA: Houghton Mifflin.
Haughton, G., & Hunter, C. (2003). Sustainable cities. London: Routledge.
Hicks, R. C., Dattero, R., & Galup, S. D. (2006). The five-tier knowledge manage-
ment hierarchy. Journal of Knowledge Management, 10(1), 19–31. doi:10.1108/13
673270610650076
Houghton, J., & Sheehan, P. (2000). A primer on the knowledge economy. CSEF
Working Paper No. 18. Centre for Strategic Economic Studies, Melbourne City,
Australia. Retrieved from http://vuir.vu.edu.au/59/1/wp18_2000_houghton_
sheehan.pdf
International Wellbeing Group. (2013). Personal wellbeing index (5th ed.).
Melbourne: Deakin University, Australian Centre on Quality of Life. Retrieved
from http://www.deakin.edu.au/research/acqol/index.php
Khveshchanka, S., & Mainka, A. (2011). Informational cities as urban centers of
the knowledge era. In S. Marni (Ed.), My ideal city: Scenarios for the European city
of the 3rd millennium (pp. 117
122). Venice, Italy: Università Iuav di Venezia.
Retrieved from https://www.academia.edu/836958/Informational_cities_as_
urban_centers_of_the_knowledge_era
Kostagiolas, P. A., & Asonitis, S. (2009). Intangible assets for academic libraries:
Definitions, categorization and an exploration of management issues. Library
Management, 30(6/7), 419
429.
Krätke, S. (2011). The creative capital of cities: Interactive knowledge creation and the
urbanization economies of innovation. Malden, MA: Wiley-Blackwell.
112 Denise A. D. Bedford et al.
LaGanza, W. (2012). Knowledge facilitation and power: Breaking the knowledge ceiling.
Paris: Proactiv Knowledge. Retrieved from http://www.proactivknowledge.com/
william-laganza-ph-d-knowledge-facilitation-and-power
Lankes, R. D. (2011). The atlas of new librarianship. Cambridge, MA: MIT Press.
Leydesdorff, L. (2006). The knowledge-based economy: Modeled, measured, simulated.
Boca Raton, FL: Universal Publishers.
Lin, B. C. (2007). A new vision of the knowledge economy. Journal of Economic
Surveys, 21(3), 553
584. doi:10.1111/j.1467-6419.2007.00514.x
Lor, P. J., & Britz, J. J. (2007). Challenges of the approaching knowledge society:
Major international issues facing LIS professionals. Libri, 57(3), 111
122.
doi:10.1515/LIBR.2007.111
Lundvall, B. A., & Johnson, B. (1994). The learning economy. Journal of Industry
Studies, 1(2), 23
42. doi:10.1080/13662719400000002
Lux, C. (2009). Libraries in the knowledge society: Visions for the future. Retrieved from
http://www.ndl.go.jp/en/publication/ndl_newsletter/167/lux_167_673.pdf
Mainka, A., Hartman, S., Orszullok, L., Peters, I., Stallmann, A., & Stock, W. G.
(2013). Public libraries in the knowledge society: Core services of libraries in
informational world cities. Libri, 63(4), 295
319. doi:10.1515/libri-2013-2014
Malhotra, Y. (2003). Measuring knowledge assets of a nation: Knowledge systems for develop-
ment. Research paper prepared for the United Nations Advisory Meeting of the
Department of Economic and Social Affairs Division for Public Administration
and Development Management. United Nations, New York, NY. Retrieved from
http://unpan1.un.org/intradoc/groups/public/documents/un/unpan011601.pdf
Mann, C. L., & Rosen, D. H. (2001). The new economy and APEC. Washington, DC:
Institute for International Economics.
Minton, S., & Glasheen, C. M. (2010). Information society index 2010. Retrieved
from http://www.idc.com/getdoc.jsp?containerId=224064
O’Mara, M. P. (2005). Cities of knowledge: Cold war science and the search for the next
Silicon Valley. Princeton, NJ: Princeton University Press.
Oppenheim, C., & Smithson, D. (1999). What is the hybrid library? Journal of
Information Science, 25(2), 97
112. doi:10.1177/016555159902500202
Organisation for Economic Co-operative Development. (2002). Measuring the infor-
mation economy. Paris: Author. Retrieved from http://www.oecd.org/sti/ieconomy/
1835738.pdf
Pfeffer, J., & Sutton, R. I. (1999). The knowing-doing gap: How smart companies turn
knowledge into action. Boston, MA: Harvard Business School Press.
Public libraries of New Zealand. (2012). A strategic framework, 2012-2017.
Wellington, NZ: Local Government New Zealand and The Association of Public
Library Managers. Retrieved from http://www.publiclibraries.co.nz/wp-content/
uploads/2014/01/NZ_Public_Libraries_Strategic_Framework.pdf
Robertson, S. (2000). The digital city’s public library: Support for community
building and knowledge sharing. In T. Ishida & K. Isbister (Eds.), Digital cities:
Technologies, experiences, and future perspectives (pp. 246
260). New York, NY:
Springer.
Roos, J. (1998). Exploring the concept of intellectual capital (IC). Long Range
Planning: Journal of Strategic Management, 31(I), 150
153. doi:10.1016/S0024-
6301(97)87431-6
Roos, J., Roos, G., & Dragonetti, N. G. (1998). Intellectual capital: Navigating in the
new business landscape. New York, NY: New York University Press.
Librarians in a Knowledge Society 113
Roth, J., & Styhre, A. (2002). Knowledge facilitation at AstraZenica. European
Academy of Management Conference Stockholm, Sweden, May 9
11. Retrieved
from http://www.ibrarian.net/navon/page.jsp?paperid=3320545&searchTerm=bc
+offices
Schwab, K. (2010). Growth competitiveness report 2010
2011. Geneva,
Switzerland: World Economic Forum. Retrieved from http://www3.weforum.
org/docs/WEF_GlobalCompetitivenessReport_2010-11.pdf
Skyrme, D. J., & Amidon, D. M. (1998). New measures of success. Journal of
Business Strategy, 19(1), 20
24.doi:10.1108/eb039905
Smith, K. (2002). What is the ‘knowledge economy’? Knowledge intensity and distributed
knowledge bases. Discussion Paper No. 2002-6. The United Nations University,
Institute for New Technologies, Maastricht, Netherlands. Retrieved from http://
eprints.utas.edu.au/1235/1/2002-6.pdf
Stewart, T. A. (1991). Brainpower intellectual capital is becoming corporate
America’s most valuable asset and can be its sharpest competitive weapon.
Fortune, June 3, p. 44. Retrieved from http://archive.fortune.com/magazines/
fortune/fortune_archive/1991/06/03/75096/index.htm
Stewart, T. A. (1997). Intellectual capital: The new wealth of organizations. New York,
NY: Doubleday.
Sveiby, K-E. (2000). Measuring intangibles and intellectual capital. In Knowledge
management: Classic and contemporary works (pp. 337
354). Cambridge, MA: MIT
Press.
Teece, D. J. (2000). Managing intellectual capital: Organizational, strategic and policy
dimensions. Oxford, UK: Oxford University Press.
Thorhauge, J. (2010). Denmark: The public library in the knowledge society.
Scandinavian Public Library Quarterly, 43(2), 4
7. Retrieved from http://slq.nu/?
article=denmark-the-public-libraries-in-the-knowledge-society
Thornton, S., & McCracken, C. (2005). Putting the human touch into knowledge
management. Vine, 35(3), 149
155. doi:10.1108/03055720510700645
Tsoukas, H., & Vladimirou, E. (2001). What is organizational knowledge? Journal
of Management Studies, 38(7), 973
993. doi:10.1111/1467-6486.00268
United Nations Economic Commission for Europe. (2002). Towards a knowledge-
based economy: Regional assessment report, country readiness assessment report. New
York, NY: UNECE. Retrieved from http://www.unece.org/ie/enterp/documents/
coverpagregion.pdf
Wah, C. P., & N. L. Choh. (2008). Libraries without borders: Content delivery,
Singapore style. Paper presented at the 74th IFLA General Conference and
Council, Québec, Canada. Retrieved from archive.ifla.org/IV/ifla74/papers/074-
Wah_Choh-en.pdf
Winkler, A. (2014). Arlington Virginia: Visualized as a knowledge city. Student
Research Paper. Kent State University, Information Architecture and Knowledge
Management, Kent, OH.
Zickuhr, K., Purcell, K., & Rainie, L. (2014). From distant admirers to library
lovers—and beyond: A typology of public library engagement in America. Washington,
DC: Pew Research Center. Retrieved from http://www.pewinternet.org/2014/03/
13/library-engagement-typology/
This page intentionally left blank
Open Peer Review: Fast Forward
for a New Science
Samir Hachani
Department of Library and Documentary Sciences, Faculty of Social and
Human Sciences, Algiers’ University 2, Algeria
Abstract
Peer review has been with humans for a long time. Its effective inception dates back to
World War II resulting information overload, which imposed a quantitative and qualitative
screening of publications. Peer review was beset by a number of accusations and critics lar-
gely from the biases and subjective aspects of the process including the secrecy in which the
processes became standard. Advent of the Internet in the early 1990s provided a manner to
open peer review up to make it more transparent, less iniquitous, and more objective. This
chapter investigates whether this openness led to a more objective manner of judging scienti-
fic publications. Three sites are examined: Electronic Transactions on Artificial Intelligence
(ETAI), Atmospheric Chemistry and Physics (ACP), and Faculty of 1000 (F1000). These
sites practice open peer review wherein reviewers and authors and their reviews and rebuttals
are available for all to see. The chapter examines the different steps taken to allow reviewers
and authors to interact and how this allows for the entire community to participate. This
new prepublication reviewing of papers has to some extent, alleviated the biases that were
previously preponderant and, furthermore, seems to give positive results and feedback.
Although recent, experiences seem to have elicited scientists’ acceptance because openness
allows for a more objective and fair judgment of research and scholarship. Yet, it will
undoubtedly lead to new questions which are examined in this chapter.
Keywords: Peer review; traditional review biases; Faculty of 1000; Electronic Transactions
on Artificial Intelligence; Atmospheric and Chemistry Proceedings
I. Introduction
Peer review has been with us as long as human beings have tried to commu-
nicate. We all try to get approval from others just by talking, moving, and
undertaking actions. If this kind of approval is done unconsciously on a
daily basis, science on the other hand seeks such approval explicitly by
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 115
DOI: 10.1108/S0065-283020150000039012
116 Samir Hachani
relying heavily on peer review to advance on a solid and agreed upon basis.
Scientists or researchers advance and are promoted on the basis of their
work according to their papers, chapters, books, inventions, and research. It
is like an intellectual competition in which only the brightest who present
the most valuable works are rewarded. This is why editors, key players in
the journal publication process, and referees have been called “the linchpin
about which the whole business of Science is pivoted” (Ziman, 1968,
p. 111) or “Gatekeepers of science” (Crane, 1967, p. 195). All of this shows
the importance and ineluctability of peer review in the conduct of science.
Consequently, and also as a result of it, peer review has been subjected to a
wide and quarrelsome body of literature, most of it criticizing its imple-
mentation. Among the numerous issues mentioned are inadequacy of
reviews, slowness of the process, rejection of innovative results, generally
conservative biases, and the secrecy in which reviews have been conducted
in a paper-oriented and pre-networked world.
When one says secrecy, one thinks automatically about impunity and
cronyism. One thinks also about a possible old boy network exchanging
favors to advance each other’s agendas. All this has changed with the advent
of the networks, mainly the Internet, allowing for increased openness and
less manipulation. Peer review, as a result, is performed practically live on
the Internet by whole communities of researchers and not by chosen refer-
ees. Has this new way of undertaking peer review changed the way it is con-
ducted? Has it made it more equitable, just, and more fair? Does this
openness allowed by the Internet consist only of advantages? This open pro-
cess is quite recent and still in experimental stages, with only a few sites
and domains having undertaken it. Among these, Electronic Transactions
on Artificial Intelligence (ETAI), Atmospheric Chemistry and Physics
(ACP), and Faculty of 1000 (F1000), have been highly active in promoting
complete openness of the process. This chapter presents these three sites as
prototypes of what peer review could be like in the future and which, in
fact, have begun in some domains and areas of research.
II. Peer Review: A Brief History
The inception date of peer review as we know it today, is difficult to estab-
lish although The Philosophical Transactions, considered to be the first scienti-
fic journal, explicitly speaks of peer review in an excerpt of the minutes
of March 1, 1665 stating “The Philosophical Transactions to be composed by
Mr. Oldenburg … being first reviewed (emphasis added) by some of the
members of the same” (Beaudry, 2011, p. 129).
Open Peer Review 117
The Royal Society of London is frequently assigned credit for having
introduced the concept of refereeing or reviewing scientific manuscripts for
publication in 1752. At that time, the Society finally, after almost 100 years
of its existence, took over fiscal responsibility for The Philosophical
Transactions. It established what they called a Committee on Papers, whose
function it was to review all articles that were published in The Transactions.
The new regulation stipulated that five members of the committee would
constitute a quorum. It also provided that the committee could call on “any
other members of the Society who are knowing and well skilled in that par-
ticular branch of Science that shall happen to be the subject matter of any
paper which shall be then to come under their deliberations” (Kronick,
1990, p. 1321).
Along the same lines, Kronick, an expert on the subject of the first
scientific journals of the 17 and 18th centuries, wrote:
Some current editorial practices, such as peer review, began, in the methods these early
societies devised for accepting communications for publication. Booth argues that the
Royal Society of London first “introduced the concept of refereeing” in the middle of
the 18th century by setting up a committee to review all papers before they were pub-
lished in the Philosophical Transactions. There were, however, many antecedents to this
practice. Oldenburg (the first editor of Philosophical Transactions) screened communica-
tions for presentation to the Society, but after the papers were read, they were “ordered
to be reviewed by several of the Fellows.” The Académie des Sciences in Paris, early in
its history, established select committees to determine whether a member could or
could not publish under its auspices. The peer review process almost as we know it
today is described in the preface to the French edition of the Medical essays and obser-
vations published by a Society in Edinburgh in 1731. Papers submitted, it informs us,
are distributed according to their subject content to those members of the society who
are more versed in these matters for their review. It also specifies that the identity of
the reviewer is not made known to the author, an early example of the controversial
anonymous reviewer. The Société Royale de Medicine, soon after its institution in
1776, inaugurated a system by which two members examined each paper submitted to
the society and provided the other members with a summary and critique. Validation
of scientific work through review and discussion was in fact a major function of early
scientific societies. (1984, pp. 869
870)
This imprecise and somehow contradictory dating becomes even more
imprecise if one considers Spier’s (2002) quotation of a doctor going
through some sort of local group of physicians reviewing his practice. The
process is described in the following way:
This work, and its later variants or manuals, requires that it is the duty of the visiting
physician to make notes of the condition of the patient (in duplicate with one copy
staying with the patient) on the occasion of each encounter. When the patient had been
cured or had died, the notes of the physician would be examined by a local council of
physicians who would adjudicate as to whether the physician had performed according
118 Samir Hachani
to the standards that then prevailed. On the basis of their rulings, the practicing physi-
cian may or may not have been sued for damages by a maltreated patient. (pp. 1
2)
The reason Kronick (1990) and Spier (2002) date the inception of peer
review so differently is that while they describe the same process it is
applied to different settings. When Spier cites the Ethics of the Physician, he
speaks of how peers judge one of their own in the practice of medicine. On
the other hand, Kronick speaks specifically about publication of papers and
research in scientific journals. It is this kind of refereeing and reviewing
that modern research has undertaken and studied. Moreover, it judges the
value, acceptability, and scientific rigor of a particular research which is the
point of the following discussion.
If peer review is now the standard venue for judging science and its
research as a screen, both quantitatively and qualitatively, to select the best
to publish, this was not the case in the beginning when the differences
between books and journals were not as clearly distinguishable as they are
today. This confusion resulted from the newness of the medium as well as
its progression and slowness to replace books. According to Bazerman
(1988) “The appearance of the scientific journal in 1645 [sic] did not imme-
diately displace books as the primary means of communicating scientific
findings. Books remained the more substantial source for scientific informa-
tion for many years, interacting with the emerging journals” (p. 80).
On the same subject, Meadows (1974) states that “major research con-
tinued to be written up in monograph form throughout the eighteenth cen-
tury, but the habit began to die out in the nineteenth century, at least
among the physical sciences” (p. 67). This is quite consistent with Kuhn
(1962) who details the way scientific revolutions are undertaken as going
through three paraphrased phases:
• The pre-paradigm phase in which there is no consensus on any particular theory, but is charac-
terized by several incompatible and incomplete theories;
• The normal science phase when a group agrees on a particular set of ideas and a framework of
thoughts leading to a consensus; and
• The revolutionary science phase when the underlying assumptions of the field are reexamined
and a new paradigm is established.
The scientific journal went through these phases when the previous
revolutions (printing being the foremost) became obsolete. The printed
book, which represented an extraordinary advance compared to manuscripts,
soon became outdated when journals appeared and gradually superseded
books in their speed of publication.
Although peer review acts nowadays as a quantitative and qualitative
sieve to publish the best of research, this was not always the case. At the
Open Peer Review 119
beginning, the scientific journal was not as important as it has become
nowadays. Its newness, the book’s contention, the lack of research material,
the weak educational levels of the time, made editors, or whatever was their
function then, look for material to fill up their journals. As Spier (2002)
explains it,
One should notice though that peer review was not as important or even implemented
with the first steps of the scientific periodical in mid-17th century. That period saw the
journal space outstrip, and by far, the number of submissions … From the mid-1800s,
there was more journal space than articles to print. When journals set up a board of
assistant editors, their primary responsibility was to elicit articles and reviews to fill the
pages of the publication. Peer review for the next 100 years consisted of the editor’s opi-
nion fortified when necessary by special committees, set up by societies to assess incom-
ing manuscripts. (p. 3)
One could say that peer review as we know it today has not had a linear
implementation and was a process that was rather made on a case by case
basis. The first journals implemented it, but not uniformly nor across the
board. They just carried it out whenever they could. If its implementation
became unanimously accepted much later, the reason was the extraordinary
explosion of information observed after World War II.
III. Information Overload: A Prerequisite
of Modern Peer Review
If this is not peer review as we know it today, it represents at least an
embryo of what would become a sine qua none condition of published
scientific research. The reason for its launch and unanimous implementation
was the exponential and tremendous research effort undertaken by the
United States and Europe to rebuild what the war destroyed.
Price (1963) documented the issue in a seminal, and now a classic
book, in as early as 1960s. Among the most striking statistics, he found
that between 80% and 90% of the scientists having lived were still alive in
1963, that the gross size of science, be it in workforce or publication,
doubled every 10
15 years, that the numbers of scientific journal was
around 50,000 of which 30,000 are still publishing some 6,000,000 articles
increasing by some 500,000 articles per year. His last interesting statistic,
calculated that at that time was that there were around 1,000,000 scientists
in the United States, a figure that increased in the following manner: there
were 1000 in 1800 and again in 1850, 100,000 in 1900 which reached a
million in the 1960s. These figures are compounded and confirmed in the
United States’ President’s science report (The President’s Science Advisory
120 Samir Hachani
Committee, 1963). In this report, the Committee details the way that the
scientific community sought to deal with the issue. For example, it found
that Chemical Abstracts held 54,000 abstracts in 1930, which rose to
165,000 in 1962. It estimated that by 1970 it would reach 200,000
abstracts. Another source estimated that the four biggest bibliographical
databases—Chemical Abstracts, Biological Abstracts, Excerpta Medica and
MEDLARS—would exceed 200,000 abstracts (Loosjes, 1973). In a similar
vein, the number of abstracts and journals was estimated in 1963 at respec-
tively 1,000,000 and 100,000 (Shilling, 1963). Finally, another estimate
put the number of journals in science and technology at 41,000 and at
1,000,000 the number of articles. All the other disciplines would add up to
1,000,000 articles (Bourne, 1962).
This Operation Deluge as described by the Navy’s Librarian in the 1950s
(Loosjes, 1973) hastened the implementation of a way to manage it. Beside
the different programs all geared at managing this information overload,
peer review was, and remains a rather qualitative type of selection. It selects
the best, or at least classifies and ranks submissions, to be published avoid-
ing a glut that was not, and still is not manageable.
IV. Modern Peer Review
As it was difficult to determine exactly the beginning of the implementa-
tion and launch of peer review in its first forms, similarly it is difficult to
determine a precise date of its implementation in its modern and emerging
form. Generally, modern peer review began when editors began sending
manuscripts to external referees. Most of the refereeing in the 19th and
early years of 20th century was done internally and by the members of edi-
torial boards, if not by the editors themselves. This was possible because the
quantity of research to be reviewed was still relatively manageable and the
extreme specialization that characterizes science nowadays had not yet set
in. Weller (2001), in a comprehensive and retrospective narration of peer
review, dates the first occurrence of modern peer review to 1942 when The
Journal of Clinical Investigation began using editorial peer review “and the
editor, Gamble, instituted the policy of sending papers to experts outside
the editorial board for evaluation” (p. 4). Burnham (1990) reinforces this
saying:
Practically no historical accounts of the evolution of peer review exist. Biomedical jour-
nals appeared in the 19th century as personal organs, following the model of more gen-
eral journalism … . The practice of editorial peer reviewing did not become general
until sometime after World War II … Editorial peer review procedures did not spread in
Open Peer Review 121
an orderly way; they were not developed from editorial boards and passed on from jour-
nal to journal. Instead, casual referring out of articles on an individual basis may have
occurred at any time, beginning in the early to mid-19th century. Institutionalization of
the process, however, took place mostly in the 20th century, either to handle new pro-
blems in the numbers of articles submitted or to meet the demands for expert authority
and objectivity in an increasingly specialized world. (p. 1323)
This is a clear indication that peer review is new in implementation in
both quantitative and qualitative functions. While modern peer review
basically dates to mid-20th century and after World War II, it has not been
applied in a uniform manner nor has it earned the approval of those who
were supposed to implement it. A number of editors used peer review
unevenly and not in an orderly manner. Ingelfinger, well-known editor of
The New England Journal of Medicine, maintains that the first editor of The
American Journal of Medicine decided on the vast majority of submissions
himself and gave an answer within 1 or 2 weeks of manuscript’s receipt
(Ingelfinger, 1974). In a study published in 1963, almost 25% of the jour-
nals surveyed did not use some sort of peer review (16% did not at all and
8% gave equivocal answers). One sample consisted of 156 well-known
scientific journals from 10 countries “where research is considered good”
(Porter, 1963, p. 1014). The editor of The American Journal of Psychiatry
from 1965 to 1978 recognized that peer review was not used prior to his
tenure but he did implement it during the years he was editor (Braceland,
1978). As late as 1977, the editor of The Lancet questioned the viability of
peer review in these terms: “I am a convinced opponent of routine peer
review of articles. The experts’ pronouncements tend toward cautious con-
servatism; they are not invariably beyond misplacing the big with the
bogus …” (Douglas-Wilson, 1977, p. 877). In a 1989-editorial The Lancet
went even farther when it claimed “that in the United States, far too much
is being demanded of peer review … peer review works best when you do
not ask too much of it” (Peers reviewed (Editorial), 1989, p. 1116). All
these pronouncements indicate an uneasy situation pertaining to the place
and importance of peer review in the field of science.
In clearer terms, peer review is seen from two angles: either as an author
or as a reviewer. The first tries to publish and the second try to choose the
best and most acceptable manuscripts to publish. According to Spier (2002)
The peer-review process is a turf battle. What knowledge, science or doctrine may appear
in the realm of the published is the prize to be won. On the one side, we have the writers
and originators of ideas, on the other, we have the gatekeepers and critics. (p. 1)
This competition has resulted in a keen kind of antagonism that has
marred the publishing scene and made it source of contention which has
122 Samir Hachani
boiled over to become a really nasty business which does not honor science
at all. Literature on the subject is led by authors who feel they have not
been rightly treated and who think that they are unjustly kept out of the
publishing game. It is well known that careers hinge on the famous publish
or perish syndrome and that it makes scholars scramble for publication to
attain tenure, advantageous jobs, financing, and other perks which comes
with publication. This competition has yielded to epic exchanges between
scholars as shown in the following section.
A. Bias in Peer Review
If peer review has been beset by a war of words between protagonists of the
publishing game, one issue has focused the complaints scientists direct at
the peer review process and that is that biases seem to be inherently
embedded in the review process, or at least are part of it. One could say that
bias is normal since it is a human undertaking and not a mechanical one.
Humans tend to react according to their beliefs, feelings, fondnesses, ten-
dencies, and so forth. They have agendas, goals, and orientations that may
not be compatible with objectivity. Starting from this, an abundance of lit-
erature has tried to determine the intricacy of bias in peer review. Lee,
Sugimoto, Zhang, and Cronin (2013) indicated that
In the context of quantitative research on bias in peer review, it is understood as the
violation of impartiality in the evaluation of a submission. We define impartiality in
peer evaluations as the ability for any reviewer to interpret and apply evaluative criteria
in the same way in the assessment of a submission. That is, impartial reviewers arrive at
identical evaluations of a submission in relation to evaluative criteria because they see
the relationship of the criteria to the submission in the same way. (pp. 3
4)
Therefore, and according to this definition, peer review strongly hinges
on impartiality of reviewers and its absence, or at least its lack of it.
Mahoney (1977) speaks of confirmatory bias “which is … a tendency for
humans to seek out, attend to, and sometimes embellish experiences which
support or ‘confirm’ their beliefs” (p. 1). Gilbert, Williams, and Lundberg
(1994) investigated the influence of gender on the outcome of publication
and acceptance. They found that there was no apparent effect on the final
outcome of the peer-review process or acceptance for publication. In another
study, the outcome was completely different with double blind review show-
ing an increase in acceptance of female first-authored papers in the journal
Behavioral Ecology leading to the conclusion there was a bias against female
authors in the blind review (Budden et al., 2007). In the same vein, a study
by Einav and Yariv (2006) found there was a correlation between surname
Open Peer Review 123
initials and promotion, tenure, and nomination to prestigious awards. The
authors suspected that this alphabetical discrimination to be linked to the
norm in the economics profession prescribing alphabetical ordering of cred-
its on coauthored publications. The same analysis was replicated as a test in
35 top North American psychology departments and no relation was found
between alphabetical placement and tenure status. In a controversial study,
Link (1998) found that “reviewers from the United States and outside the
United States evaluate non-US papers similarly and evaluate papers sub-
mitted by U.S. authors more favorably, with U.S. reviewers having a signifi-
cant preference for American papers” (p. 8). In an often asked question
about bias by the Science Citation Index (SCI) toward US publications, the
study found no truth as to this contention, concluding that
… no significant correlation has been found between the ratio of the average number of
citations per publication for publications with at least one EU address and at least one
US address, respectively, on the one hand, and, on the other hand, the ratio of the corre-
sponding number of publications per journal. (Luwel, 1999, p. 549)
Surprisingly, Smart and Waldfogel found (among other results) bias in
favor of low-status institutions in a study of seven major economics and
finance journals in the United States for the years 1980
1985 (NBER
Working Paper Series, 1996). Are articles published in so called “A” list
journals better than those in less prestigious journals? It seems that this is
not substantiated by results by Starbuck’s (2005) study. In a rather bold
move, the as-is journal proposes to shorten the process and, more impor-
tantly, let authors own their ideas in its publication. It also proposes to
summarize the publication decision to accept or reject and let the article’s
fate be determined in one round of review (Tsang & Frey, 2007).
All of these critics, problems, and shortcomings were supposed to be
treated and taken care of by peer review, which is an important and undeni-
ably unavoidable part of the science construct. Advent of the Internet how-
ever, has opened a new manner for review of scientific research with a total
openness which only a few have undertaken.
V. Open Processes
A. Sol Tax: The First Open Peer Reviewer?
The idea of opening the peer-review process has always been present yet it
remains premised on secrecy being preponderant. Reasoning went this way:
if a secret review allowed all the shortcomings to develop, openness would
simply be the perfect antidote to it. With the review being in the open,
124 Samir Hachani
reviewers would not dare to act in an inappropriate manner. Authors would
be able to see reviewers’ remarks, acquaintances, and potential conflicts of
interest. They would be able to judge the first-hand knowledge of topics
and any foul play could be sanctioned live on the network. The first experi-
ment with an open peer process in the subject took place in 1959 when Sol
Tax founded Current Anthropology. He launched what he called a
Social experiment, an academic journal that would be configured to exchange and pool
ideas, information, research materials and new knowledge. We shall review for one
another the major results of past research, as a basis for more fruitful intercommunica-
tion on current developments. (Tax, 1959a, p. 3)
He explains his reviewing manner in the following words, which are
reproduced in extenso as it is a truly pioneering manner for its era and even
into the present time:
… because manuscripts will vary so in approach, compass, and complexity, the editors
may handle them in a variety of ways:
1. Some manuscripts may be read by a few referees, and accepted and published.
2. A paper may be an important nucleus for intercommunication among specialists in
the area covered by that paper. This should serve as a technique for combining the
advantage of symposia (without having to travel) with the advantage of the kind of dis-
cussion found in the Letters to the Editors (without having to wait); for bringing spe-
cialists together, for pooling capabilities in areas which are increasingly difficult for one
person to cover single-handed, and for drawing in people at the borderline of our
science. In the case of such manuscripts, after a paper has been read and provisionally
accepted here, it will be duplicated and sent to a list of readers. This list will include
names suggested by the author and will have two general categories of people:
(a) Readers who are also experts in the area under consideration. They may add material,
argue the interpretation, or say nothing. In every case, the author will see the readers’
comments and advise us on the best way to handle each reply; by incorporation in the
original (with acknowledgement); by inclusion (with appropriate rejoinder); or however
seems best. Thus, in one issue we shall have the core statement, the additional relevant
information, the principal argument, and the rebuttal.
(b) Readers whose interest at the edges of the material covered by the paper but to
whom it is not so central. For example, people who approach the material either as a
part of a larger whole, or as the whole of which they are primarily concerned with the
parts. Thus, we shall have an inclusive and expanding framework and an opportunity to
learn from other sciences and to share our findings with them. (Tax, 1959b, p. 8)
This is the kind of open peer review which some sites are experiencing cur-
rently, with a notable difference—it was done without the Internet. And
this, undoubtedly, gives Sol Tax the title of the father of open peer review, a
title that is so much deserved that the extreme openness and connectivity
that characterizes today’s world was not present in his era.
Open Peer Review 125
VI. Internet Era’s Two Pioneering Experiences
Founded respectively in 1978 and 1996, Brain and Behavioral Science (BBS)
and Psycoloquy represent two instances of open peer review but with differ-
ent outcomes. Psycoloquy is not functioning anymore, and BBS could be con-
sidered to be the prototype of open peer-review processes.
A. Psycoloquy
This was to be an electronic counterpart of BBS according to Stevan Harnad
(personal communication, August 5, 2014), but it was suspended with Carr
restoring its archive which is meant to remain permanent. Psycoloquy became
unsustainable financially, contrary to BBS which was funded by subscrip-
tions. As of now, only an old home page appears on this link http://www.
cogsci.ecs.soton.ac.uk/cgi/psyc/newpsy.
B. Brain and Behavioral Science
This represents one of the most successful and innovative journals to imple-
ment an open peer review. Its home page (http://journals.cambridge.org/
action/displayJournal?jid=BBS) presents the journal as follows:
BBS is the internationally renowned journal with the innovative format known as Open
Peer Commentary. Particularly significant and controversial pieces of work are pub-
lished from researchers in any area of psychology, neuroscience, behavioral biology or
cognitive science, together with 10 to 25 commentaries on each article from specialists
within and across these disciplines, plus the author’s response to them. The result is a
fascinating and unique forum for the communication, criticism, stimulation, and parti-
cularly the unification of research in behavioral and brain sciences from molecular neu-
robiology to artificial intelligence and the philosophy of the mind. (BBS home page)
Particularly significant and controversial pieces of work are singled out
for open peer commentary and are also known as a “target article.” They are
explained in its Instruction to Target Article Authors as follows:
If a manuscript is judged by BBS referees and editors to be appropriate for
Commentary (see Criteria below), it is circulated electronically to a large number of
potential commentators selected (with the aid of systematic bibliographic searches and
e-mail Calls for Commentators) from the BBS Associateship and the worldwide bio
behavioral science community, including individuals recommended by the author.
On the same page and in Criteria for Acceptance it goes on explaining these
criteria
To be eligible for publication, a paper should not only meet the standards of a journal
such as Psychological Review or the International Review of Neurobiology in terms of
126 Samir Hachani
conceptual rigor, empirical grounding, and clarity of style, but the author should also
offer an explicit 500 word rationale for soliciting Commentary, and a list of suggested
commentators (complete with e-mail addresses). (http://journals.cambridge.org/action/
displaySpecialPage?pageId=5544)
As one can see, the process is rather selective and only those articles having
already passed the sieve of traditional peer review and considered worthy of
open commentary, would go through this rather unique process. The result
is that the article is published along with the commentaries it has elicited,
and the rebuttals by its author, if any, give new meaning to peer review and
opens it to the whole community in a completely transparent manner.
VII. Three Examples of Open Peer Review
The above mentioned examples could all be considered variants of open
peer review, each one with its specificities but lacking the cement that now
makes opening of peer review possible. Some, such as Current Anthropology
or even BBS when it was founded in 1978, did not have the advantage of
the Internet with all its features, capabilities, speed, ubiquity, and omnipre-
sence. These features can now enable ushering in a new manner to review
science, all geared at making it less iniquitous and unfair. The three exam-
ples presented below have implemented openness in peer review but in dif-
ferent ways.
A. Electronic Transactions on Artificial Intelligence (ETAI)
The site http://www.etaij.org/ presents ETAI “is organized to make the best
use of Internet technology, in particular by using a new and different peer-
review system [emphasis added]” (ETAI home page). It goes farther in the
“How ETAI works” tab giving the characteristic features of ETAI:
• It provides a process for open discussion about articles and feedback to authors before an article
is accepted. This discussion is shown and preserved on the ETAI web site, and participants in
the discussion are not anonymous.
• Unlike some other journals that use open reviewing, ETAI combines open discussion [emphasis
added] about the article with subsequent confidential refereeing [emphasis added] of the article
where it is decided whether or not to accept the article to the journal.
• Besides posting accepted articles and all discussions about articles (whether they were eventually
accepted or not), the ETAI web site also contains other kinds of information items that contri-
bute to, or result from the research process (ETAI home page: How ETAI works).
This rather lengthy and sometimes complex process could be summar-
ized in the following steps.
Open Peer Review 127
Once one clicks on “Annual journal volumes” on the left-hand side of
the page, a figure detailing the different volumes of the journal and its con-
tents appears. Upon clicking on the issue chosen (Vol. 2, 1998 was chosen
as a working example), the following information is displayed:
• Volume and year
• Editor
• ISSN (printed and electronic version)
• ETAI webpage
Articles are then displayed. In the example there were four articles. The
first of these was “The Complexity of Model Checking in Modal Event
Calculi with Quantifiers” by I. Cervesato, M. Franceschet, and A.
Montanari. The “official citation” link under the article leads to another
page which is the main access to the submission, made up of three distinct
parts:
• Text in Postscript
Preamble and Body—this part is unusable because it leads to a format not supported any
longer and therefore not exploitable.
• Publication Record
Cover Page: It is the metadata of the article including Full text, Authors, Article title,
Publication type, Volume, Article number, Language, and Abstract. Under “available,” is the
initial date of submission and the dates of subsequent revisions. For example, the Cervesato
et al. article was submitted on December 19, 1997 then first revision on March 28, 1998 and
the second revision on July 29, 1998.
• Review Discussion
The Interaction Page and Further links parts of the web site are the
most important as they detail the reviewing process live for everyone to see.
Discussion about the paper is open to any person with an Internet connec-
tion. The discussion between authors and reviewers could be followed as
questions are asked and answers given by authors. For example, question
“Q1a” (by Paolo Liberatore) is answered by one of the authors (Montanari)
in “A1a.” All the six questions by three different scientists (Paolo
Liberatore, Peter Jonnson, and Rob Miller) are all answered in the same
manner in all openness. The examination of the whole process indicate a
very lively and open discussion with authors and open reviewers exchanging
thoughts and ideas referring each other to papers, links, and mathematical
formulas to explain either their methodology or their view how the subject
should be dealt with.
This first phase of the reviewing process is completely open. It is fol-
lowed by a more traditional phase where the referees recommend acceptance
or rejection and, unlike the first phase, they do it anonymously. Additional
128 Samir Hachani
remarks are welcome and published with the article regardless of the out-
come of the decision.
The whole process is summarized in Fig. 1.
ETAI ceased operation in 2006 due to numerous reasons explained by
its editor, Sandewall (2012). He explains that the structure of Artificial
Intelligence (a federation of specific research) led to the creation of different
areas inside the journal. One of the problems of this extreme specialization
was that if a paper did not fit into a specific area it could not be submitted.
Sandewall recognizes that he should have built computational software
before starting the endeavor, but his eagerness to start a new experience pre-
vailed. The added editorial work involved led to exhaustion and was prob-
ably one of the factors that led to the discontinuation of the journal after a
few years of relatively successful existence. He adds that merely posting dis-
cussions on the site did not make it take off and some of the blame may be
in the way discussions were launched. Finally, Sandewall adds that, in retro-
spect, he would have scaled up the approach by having a set of complete
rules applying to all the different areas of Artificial Intelligence as well as
having a computational structure ready before the start.
ETAI HOMEPAGE
Open Peer Review
Annuals/Journals Volumes
Vol 2 – 1998 – Issue
1 – 2, January – June
Illiano Cervesato, Massimo Franceschet and Angelo Montanari, The Complexity of model checking in modal
event calculi with quantifiers
Official citation
Review Discussion
Text in Postscript Publication Record
Further Links Interaction page
Body Preamble Cover Page
Review Protocol
Page
Article's Meta data:
- Article's PDF
- Authors Overview of interaction: 
- Language Questions, Answers,
- Abstract Continuous Discussion
- Etc… (OPEN)
Author Revises
Refereeing:
(Acceptation or Rejection
(CLOSED)
Fig. 1 ETAI’S open peer-review process.
Open Peer Review 129
Beside these reasons, it seems to this author that the date of ETAI
founding could be another reason for its faltering. That date coincides with
the first steps of the Internet and such revolutionary ideas may have doomed
the experience. On the other hand, peer review is known to be very conser-
vative and introducing such changes was, and still is, kind of courageous.
Despite all that, ETAI’s experience represents a highly original and open
forum for reviewing. It is more original in that it combines a two-step
reviewing system. It shows the process of live discussion between authors
and reviewers. The second step is closer to the traditional peer reviewing
but it relies heavily on the first where most of the reviewing is done.
B. Atmospheric Chemistry and Physics
Atmospheric Chemistry and Physics (ACP) (http://www.atmospheric-chem-
istry-and-physics.net/) is described as an An Interactive Open Access
Journal of the European Geosciences Union
International scientific journal dedicated to the publication and public discussion of
high quality studies investigating the Earth’s atmosphere and the underlying chemical
and physical processes. It covers the altitude range from the land and ocean surface up
to the turbo pause, including the troposphere, stratosphere and mesosphere. (ACP
home page)
It presents its peer-review process as
… an innovative two-stage publication process involving the scientific discussion forum
Atmospheric Chemistry and Physics Discussions (ACPD), which has been designed to
foster and provide a lasting record of scientific discussion; maximize the effectiveness
and transparency of scientific quality assurance; enable rapid publication of new scienti-
fic results [and] make scientific publications freely accessible. In the first stage, papers
that pass a rapid access peer-review are immediately published on the Atmospheric
Chemistry and Physics Discussions (ACPD) website. They are then subject to
Interactive Public Discussion, during which the referees’ comments (anonymous or
attributed), additional short comments by other members of the scientific community
(attributed) and the authors’ replies are also published in ACPD. In the second stage,
the peer-review process is completed and, if accepted, the final revised papers are pub-
lished in ACP. (See http://www.atmospheric-chemistry-and-physics.net/review/review_
process_and_interactive_public_discussion.html)
Once a paper is submitted, it goes through a quick peer review to deter-
mine a minimum of methodology and is immediately put in the
Atmospheric Chemistry and Physics Discussion in which the information
given is traditional pertaining to the title, author(s), date of submission,
and so forth. Beside this, an abstract, the full paper, and interactive
discussion are all in the site and could freely be accessed. At the end,
130 Samir Hachani
a “Manuscript under submission for ACP” is posted. One of the first papers
that had elicited a comment and also an answer was put in the site on
March 12, 2014. Upon clicking on the “Interactive Discussion” button, one
obtains the discussion page with the following information: the full text in
PDF or XML, the title, the authors, and more. Under the “Interactive
Discussion” button, one finds a number of indications such as:
AC: Author Comment
RC: Referee Comment
SC: Short Comment
EC: Editor Comment
Status and the date of the discussion paper are indicted on the right-
hand side of the page (for the example presented, the paper’s status is open
until May 7, 2014). This submission elicited four RCs and four ACs which
for the first RC details whether they are general, specific major, minor, or
technical. The answer by AC responds to the different questions and explain
the different phases and questioning with pictures, graphs, and the like.
There was a short time span between the RC and AC (respectively March
29, 2014 and April 8, 2014) which is important as delays and slowness are
among the most criticized cited and dreaded shortcomings of traditional
peer review.
After a paper is submitted, a discussion period of 8 weeks is given for
referees and the scientific community to comment on the paper. Each paper
receives at least two commentaries from referees to be considered for discus-
sion. The authors then have them up to 4 weeks to respond to commen-
taries. Papers will be published only if they have satisfactorily responded to
commentaries. The Co-Editor could then either directly accept/reject the
revised manuscript for publication in ACP or consult with referees in a tra-
ditional peer-review process. If necessary, additional revisions may be
requested during peer review until a final decision is reached. In case of
acceptance, the final revised paper is published on the ACP web site with a
direct link to the preceding original paper and interactive discussion in
ACPD. In addition, all referee and Co-Editor reports, the authors’ response,
as well as the different manuscript versions of the peer-review completion
will be published. All publications (original paper, interactive comments,
and final revised paper) are permanently archived and remain accessible to
the open public via the Internet.
The whole, rather complex process, is summarized in Figs. 2 and 3.
The revolutionary aspect of this process is made even more innovative
by the fact that some researches could elicit additional post-peer-review
commentaries that could achieve publication in ACP. The site does not
Open Peer Review 131
Fig. 2 Atmospheric Chemistry and Physics Discussion (ACPD).
indicate this type of publication as it does not make a difference between
published in ACP and papers that have achieved post publication as a result
of subsequent post-peer-review commentaries. The managing editor was
asked about a possible difference or hint for these kinds of papers but the
answer was “[they] do not have any data on which interactive comments
later on resulted in a peer-reviewed comment/reply” (Martin Rasmussen,
personal communication, July 23
24, 2014).
C. Faculty of 1000
The site http://f1000.com/ states is composed of 5000 faculty members,
senior scientists, and leading experts in all areas of biology and medicine,
and their associates. The Faculty recommends the most important articles
rating them and providing short explanation for their selections (F1000
home page). It therefore practices what is known as post-peer review. It selects,
among other features, already published and reviewed articles and
132 Samir Hachani
Atmospheric Chemistry and Physics (ACP):
Process of Peer-Review, Publication and Interactive Discussion
submission of original manuscript and editor assignment
access peer-review (basic evaluation) by editor or referees (quick reports)
Access Peer-Review and immediate rejection or acceptance (as is or subject to technical
and Publication of corrections) for publication in ACPD
Discussion Paper
(~ 4–8 weeks) technical corrections and editor review (optional).
typesetting and proofreading
publication of Discussion Paper on ACPD website
publication of Referee Comments (anonymous or attributed),
Open Discussion
Short Comments from members of the scientific community (attributed),
(8 weeks)
and Author Comments (on behalf of all co-authors)
alongside the discussion paper
Final Response
(≤4 – 8 weeks) opportunity to publish final Author Comments,
archiving of discussion paper with interactive comments
Submission of revised manuscript
Peer-Review
Completion and Immediate acceptance/rejection for publication in ACP
Publication of or additional consultation of referees and
Final Revised Paper iteration of peer-review process with additional revisions (optional)
(days to weeks)
publication and archiving of Final Revised Paper on ACP website
with direct link to preceding discussion paper in ACPD
continuation of scientific discussion by longer or later comments and replies
(Peer-Reviewed Commentaries) whcih are processed as separate
discussion papers in ACPD and can achieve publication in ACP
Fig. 3 Atmospheric Chemistry and Physics (ACP).
reappraises them. This is made thanks to the work of 5000 faculty members
undertaking this task.
The site is made up of three primary sections which are F1000 Prime,
F1000 Research and F1000 Posters.
1. F1000 Prime
This is a collection of over 145,000 recommendations covering more than
3700 peer-reviewed journals in biology and medicine, contributed by the
F1000 Faculty. This section has many features, among which the most
important are: Article recommendations, Rankings, F1000 Prime reports,
F1000 Faculty, Journal Clubs, and Blog.
ACP ACPD
Open Peer Review 133
Article recommendations. This section recommends articles that members of
F1000 have chosen as important. As an example, on July 20, 2014 the fol-
lowing information was displayed:
Fabio Bulleri, Università di Pisa, Italy, F1000 Ecology recommended the following
article and gave it a rating of 1 “Invasive Plants as Drivers of Regime Shifts:
Identifying High-Priority Invaders that Alter Feedback Relationships” by Gaertner
et al. (2014)
While the top rated article for the week of July 13
17, 2014 which rated 10
was “Collective Invasion in Breast Cancer Requires a Conserved Basal
Epithelial Program” by Cheung, Gabrielson, Werb, and Ewald (2013). It
received five recommendations, the most recent by Arthur Mercurio, from the
University of Massachusetts Medical School who rated it Good for teaching,
Interesting hypothesis, New finding, Novel drug target, and Technical
advance.
Another feature is the statistics of recommendations in the last 7 days
and last 30 days. On July 20, 2014, there were 246 new recommendations
for the past 7 days and 194 new articles recommended. For the past 30 days,
the statistics read as follow: 300 Articles classified as good for teaching, 918
classified as new finding, 16 classified as refutation, 256 classified as confir-
mation, 285 classified as interesting hypothesis, 92 classified as novel drug
target, 100 classified as controversial, 178 classified as technical advance, 62
classified as review/commentary, and 3 as changes clinical practice.
Article recommendations are highly precise, detailed, and open. They
post recommendations, authors with affiliation (sometimes with pictures),
and also the degree by which they recommend the article. For example, the
article cited above had 10 and was rated from good ( ) to very good ( )
to exceptional ( ).
Beside the recommendations, F1000 Prime has a system of ranking
articles. When members of F1000 rank them, they give them either , or
The total number of a given article gets will allow for the rankings.
Among the rankings are:
Current top 10: On July 20, 2014, an article in Nature from March 2013
by Hansen, Jensen, Clausen, Bramsen, Finsen, Damgaard, and with 12
was the most read at that date.
All time top 10: On July 20, 2014, an article in Nature in 2005 by
Lolle, Victor, Young, and Pruitt was the most accessed and read of all time
with 55 ’s. This article had a dissenting opinion by Alejandro Sanchez-
Alvarez which proves the extreme revolutionary side of the system with use
of the Internet and the web. Sanchez-Alvarez did this knowing that his
name would be seen by all readers and that the consequences to which it
134 Samir Hachani
could lead in a specialized and closed field where everybody knows every-
body. This would have been impossible and unthinkable in the closed paper
world where peers could express opinions without fear of reprisals and of
being specifically named.
On July 20, 2014, three articles were classified as “hidden jewels.”
Hidden jewels are articles that should have had more attention but which
slipped the attention of the community initially. They are therefore redis-
covered. They have all gotten 6 and a practically equal number of recom-
mendations (between 2 and 4).
It should be noted that the last three features (All time most viewed,
Current most viewed, and Hidden jewels) are all accessible only by sub-
scription, contrary to Current top 10 and All-time top 10.
2. F1000 Prime Reports
F1000 Prime reports are more like an open access review journal but practi-
cing a closed peer review. One of its specificities is that at least one author
of each article must be, or become approved as a Faculty Member of
F1000Prime, which makes the article highly regarded knowing who contri-
butes to F1000. On July 20, 2014, there were 597 articles all freely accessi-
ble as html or PDF.
3. F1000 Research
The F1000 Research section is made up of different features which are: arti-
cles, collections, for authors, for referees, blog, advisory editorial board,
about/contact, submit an article, and My F1000.
Articles. It is a list of articles published by F1000. It is the most complete
part of F1000 Research as it shows article published their status, their peer
review, and more. On July 20, 2014, there were 522 articles of which 370
were indexed and had gone through an open peer review. On the right-hand
side of the page “awaiting peer review” which means the article has been
submitted but not been reviewed yet. The complete data on the page is as
follow: title, version, referee status—awaiting peer review—and authors.
On the right-hand side of the page, an “Open Peer Review—Invited
Referee Responses—Awaiting Peer Review—Comments—No Comments—
Add Comments” square indicates the submission is still awaiting review.
Open Peer Review 135
The Add Comments button allows a reviewer to add his comments after
signing in or registering.
Indexed article. This lists articles that have gone through the open peer
review and is openly accessible on the site. The complete data in the page
are title, version, referee status and a link to the report by the reviewer
openly accessed, and the authors. On the right-hand side of the page, an
Open Peer Review—Invited Referee Responses details the different phases
which the submitted article has gone through. It cites referee remarks by
name, institution, and date and also their decision pertaining to the submis-
sion. The referee puts a sign when he or she agrees to the submission. If
one of the referees asked for changes or has given remarks, then a version
“2” of the article is put on the site with dates of version “1” and subsequent
submissions.
The referee could also accept the submission with a sign which
means he (or she) has reservations and has asked the authors for changes or
addition. Lastly but very important, a referee could reject submission and
give its reasons live on the site and put the sign next to his name. All
this is done openly with the name of the referee, its institution, and the
changes or remarks the reviewer has asked for along with the author’s
response. One should notice that referees are either chosen from F1000
Research referee panel (indicated by the names of referees on the page) or
suggested by the authors (indicated by peer reviewers invited). F1000 insists
regarding this new way of reviewing, with peers invited and chosen by the
authors, to avoid conflict of interest, by not choosing colleagues or people
the submitter has worked with in the last 5 years. All these criteria are
checked by F1000 to ensure a bias free, and as objective as possible, review.
This phase of reviewing in F1000 denotes the extreme openness of the
system. The whole process is openly accessible with authors, referees, and
reviews seen and read by everybody. This is made even clearer in the out-
right rejection of articles or acceptation with reserves, with referees’ names
shown.
For referees. In this section, the prospective referees are given indication as
to how their review will be performed. It is basically explained in the fol-
lowing lines and points which are: Pre-refereeing checks, Refereeing pro-
cess, Versioning and Citation and Indexing.
Pre-refereeing checks. Articles submitted go through a quick check to see if
they are scientifically sound and written in acceptable English. In case this
136 Samir Hachani
initial check is not satisfactory, it is returned to authors for amendment. In
case this is not done in a manner that satisfies the editorial team, it is
rejected. It is published in less than 7 days if it does answer the issues raised
and is clearly marked as “awaiting peer review.”
Refereeing process. When submitting manuscripts, authors are asked to sug-
gest the name of five referees which will not have a conflict of interest with
the work reviewed. They can also request by names a list of referees they do
not want to review their manuscripts (a request F1000 will try to respect
wherever possible). Referees decide whether the work seems scientifically
sound. They also provide a report and status which will be displayed with
the article, together with names and affiliations. Registered users (bona fide
research scientists or clinicians) providing name and affiliation for public
display will also be allowed to comment or referee report at any time.
Versioning. During reviewing, there are amendments to the original manu-
script following remarks by reviewers. All versions of an article are accessi-
ble, and may be cited individually while the most recent version is the one
displayed. All articles carry and are indexed by the CrossMark logo
(CrossMark Identification Service™). This service allows viewing of the his-
tory of any given article and, when clicked upon, shows newer versions of
the article and referees’ reports.
All the steps describe in this section are summarized in Fig. 4, which
takes into account the different steps taken by a submission for review.
VIII. Conclusion
Peer review has produced an abundance of literature, all geared to explain-
ing what the whole review process is about, the problems it has yielded,
and the solutions proposed. The subject is a highly sensitive one as it
involves not only access to publication but also, and even more than that,
the advantages and advancement that scientists get from publishing. The
information overload that took place after World War II has hastened its
reform as it became source of contention and an ever increasing crisis in the
publishing world. Among the most preponderant reasons cited is the
secrecy in which the whole process was conducted. The different steps
undertaken from the inception of research to publication were done in a
closed and secretive manner opening the door to numerous, and very often
recurring, dysfunctions. Biases were documented as the most prominent
cause of this situation especially combined with secrecy.
Open Peer Review 137
Open Peer Review
FACULTY of 1000
F1000 Prime
Article Rankings F1000 Prime Reports
Recommendation (Open access journal)
Top Rated Top Top recommended All-time top All time most Current most HiddenCurrent top 10
weekly recommended last 30 days  10 viewed viewed Jewels
weekly 
F1000 Research F1000 poster
Articles Collections For Authors For Referees
Awaiting Peer Pre refereeing Refereeing
Citation &
Indexed Versioning
review check process
Indexing
Article version Referee review Referee current
number status status
Fig. 4 F1000 peer-review process.
The advent of both the Internet and open access has allowed a much
needed overhaul of the review process. From a closed and somehow biased
operation, peer review became an open process subject to scrutiny.
Reviewers, a pivotal part of the review process, have become more
accountable and can themselves become the subject of reviews. Increasingly
they undertake their work while the whole community observes. This has
made them more cautious and more attentive. With flaws being in the
open, the process is as close as possible to an objective operation. Peer
review is unquestionably changed as science is performed live on networks.
Gatekeepers are no longer the mythic and sometimes wicked people dreaded
by authors.
On the other hand, various studies have not been able to determine
with precision if this new openness has made peer review more equitable
(Fisher, Friedman, & Strauss, 1994; McNutt, Evans, Fletcher, & Fletcher,
1990; Van Rooyen, Godlee, Evans, Black, & Smith, 1999) principally,
because of its recent inception. It would be logical to think that openness
would lead more moral behavior. Because the open process is still in initial
phases definitive conclusions cannot be drawn. For example, many lay
persons (and even professionals) see this unbridled openness as an opportu-
nity to steal others’ ideas. Some authors might not accept the fact their sub-
missions (with all their flaws) can be seen by everybody, and corrections
requested in public. Some might still prefer the comfortable and cozy
anonymity of the closed paper world wherein a sub-par submission never
138 Samir Hachani
sees the light of the day and would simply be rejected, asked to be revised
substantially, or redirected at another journal. Finally, peer review has been
known (among other criticisms) to be conservative and prone to rejecting new
ideas because the gatekeepers, being the leaders of the field, would lose their
preeminence over those they judge. One could readily envision reluctance
by senior scientists to accept revolutionary schemes because doing so could
affect their hard earned fame, status, and standing in their communities.
One of the most memorable exchange related to this turf battle, as Spier
(2002) described it, was an epic one between Stanley Fish and Jerry
Skoblow. Fish is a seasoned scholar associated with postmodernism who
argues with Skoblow about blind review. Fish sees his status, his name, his
achievement as part of the submission and insists on being judged as
himself, and not as an anonymous submitter. Skoblow, who incidentally
was Fish’s student, argues against his professor’s ideas comparing them to
“scholarly Reaganomics.” At the same time, Fish ironizes comparing
Skoblow’s view of him as “the work of a hoarder who wishes to dine alone at
his own table while millions starve” (Fish, 1989, p. 163). Lines are not
clearly drawn and it is too early to see all drawbacks and advantages of this
open access reviewing process.
The three sites studied are, at this time, some of the most revolutionary
undertakings in the subject of peer review. They open peer review to the
community of researchers and allow the process to become more transpar-
ent. If the experience of ETAI for example has not been able to continue, it
represents the live interactivity between the different protagonists and an
example of how peer review will be performed in the future. ACP pioneered
a rather original process that combines open peer review and allows conti-
nuing discussion of research making articles living entities that do not stop
growing once they have been published. They could in fact result in a com-
pletely new article as a result of continuing open commentaries. Faculty of
1000 seems to be the most complete and the most innovative site of those
discussed in this chapter. It practices open peer review but singles itself out
by practicing a post publication peer review as the article are already
reviewed but chosen again to be show-cased and reevaluated a second time.
F1000 is also at the forefront of the open peer-review process due to the
domain it covers: biology and medicine which have been highly active in
the subject. These experiences should, no doubt, be replicated and devel-
oped, and already have been in cases like BMJ Rapid responses, Journal of
Medical Internet Research, and Biology Direct. These may well be the way
science will be judged in the future because in a world as networked as it is
today, secrecy, bias, cronyism, manipulation, and other perceived flaws of
the paper world cannot and will not be accepted.
Open Peer Review 139
References
Bazerman, C. (1988). Shaping written knowledge: The genre and activity of the experi-
mental article in science. Madison, WI: University of Wisconsin Press. Retrieved
from http://wac.colostate.edu/books/bazerman_shaping/shaping.pdf
Beaudry, G. (2011). La communication scientifique et le numérique. Paris: Hermès
Science.
Bourne, C. P. (1962). The world’s technical journal literature: An estimate of
volume, origin, language, field, indexing, and abstracting. American
Documentation, 1(2), 159
168. doi:10.1002/asi.5090130202
Braceland, F. J. (1978). On editing the journal: Ave atque vale. American Journal of
Psychiatry, 135(10), 1148
1155.
Budden, A. E., Tregenza, T., Aarsen, A. W., Koricheva, J., Leimu, R., & Lortie,
C. J. (2007). Double-blind review favours increased representation of
female authors. Trends in Ecology & Evolution, 23(1), 4
6. doi:10.1016/j.tree.
2007.07.008
Burnham, J. C. (1990). The evolution of editorial peer review. Journal of the
American Medical Association, 263(10), 1323
1329. doi:10.1001/jama.263.
10.1323
Cheung, K. J., Gabrielson, E., Werb, Z., & Ewald, A. J. (2013). Collective invasion
in breast cancer requires a conserved basal epithelial program. Cell, 155(7),
1639
1651.
Crane, D. (1967). The gatekeepers of science: Some factors affecting the selection of
articles for scientific journals. The American Sociologist, 2(4), 195
201.
Douglas-Wilson, I. (1977). Editorial review: Peerless pronouncements. The New
England Journal of Medicine, 296(15), 877. doi:10.1056/nejm197704142961514
Einav, L., & Yariv, L. (2006). What’s in a surname? The effects of surname initials
on academic success. Journal of Economic Perspectives, 20(1), 175
188.
doi:10.1257/089533006776526085
Fish, S. (1989). Doing what comes naturally: Change, rhetoric, and the practice of theory
in literary and legal studies. Durham, NC: Duke University Press.
Fisher, M., Friedman, S. B., & Strauss, B. (1994). The effects of blinding on accep-
tance of research papers by peer review. Journal of the American Medical
Association, 272(2), 143
146. doi:10.1001/jama.1994.03520020069019
Gaertner, M., Biggs, R., Te Beest, M., Hui, C., Molofsky, J., & Richardson, D.
(2014). Invasive plants as drivers of regime shifts: Identifying high-priority
invaders that alter feedback relationships. Diversity and Distribution, 20(7),
733
744.
Gilbert, J. R., Williams, E. S., & Lundberg, G. D. (1994). Is there gender bias in
JAMA’s peer review process? Journal of the American Medical Association, 272(2),
139
142. doi:10.1001/jama.272.2.139
Ingelfinger, F. J. (1974). Peer review in biomedical publication. The American
Journal of Medicine, 56(5), 686
692. doi:10.1016/0002-9343(74)90635-4
Kronick, D. A. (1984). Literature of the life sciences: The historical background.
Bulletin of the New York Academy of Medicine, 60(9), 857
875. Retrieved from
http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1911798/?page=1
Kronick, D. A. (1990). Peer review in 18th century scientific journalism. Journal of
the American Medical Association, 263(10), 1321
1322. doi:10.1001/jama.263.
10.1321
140 Samir Hachani
Kuhn, T. (1962). The structure of scientific revolutions. In O. Neurath (Ed.),
International encyclopedia of united science (Vols. 1
2). Chicago, IL: University of
Chicago Press.
Lee, C. J., Sugimoto, C. R., Zhang, G., & Cronin, B. (2013). Bias in peer review.
Journal of the American Society for Information Science and Technology, 64(1), 2
17.
doi:10.1002/asi.22784
Link, A. M. (1998). US and non-US submissions: An analysis of reviewers
bias. Journal of the American Medical Association, 280(3), 246
247. doi:10.1001/
jama.280.3.246
Loosjes, T. P. (1973). On documentation of scientific literature. London: Butterworth.
Luwel, M. (1999). Is the science citation index US-biased? Scientometrics, 46(3),
549
562.
Mahoney, M. J. (1977). Publication prejudices: An experimental study of confirma-
tory bias in the peer review system. Cognitive Therapy and Research, 1(2),
161
175. doi:10.1007/bf01173636
McNutt, R. A., Evans, A. T., Fletcher, R. H., & Fletcher, S. W. (1990). The effects
of blinding on the quality of peer review: A randomized trial. Journal of the
American Medical Association, 263(10), 1371
1376. Retrieved from http://dx.
doi.org/10.1001/jama.1990.03440100079012
Meadows, A. J. (1974). Communication in science. Oxford, UK: Butterworth.
Peers reviewed (Editorial). (1989). The Lancet, 333(8647), 1115
1116. doi:10.
1016/s0140-6736(89)92390-8
Porter, J. R. (1963). Challenges to editors of scientific journals: Scientific papers
should be judged for their lasting value before, rather than after, publication.
Science, 141(3585), 1014
1017. doi:10.1126/science.141.3585.1014
Price, D. J. (1963). Little science, big science. New York, NY: Columbia University
Press.
Sandewall, E. (2012). Maintaining live discussion in two-stage open peer review.
Frontiers in Computational Neurosciences. doi:10.3389/fncom.2012.00009
Shilling, C. W. (1963). Requirements for a scientific mission-oriented information
center. American Documentation, 14(1), 49
53. doi:10.1002/asi.5090140108
Smart, S., & Waldfogel, J. (1996). A citation-based test for discrimination at economics
and finance journals. NBER Working Paper No. 5460. National Bureau of
Economic Research, Cambridge, MA. Retrieved from http://www.nber.org/
papers/w5460.pdf
Spier, R. E. (2002). The history of the peer review process in science. Trends in
Biotechnology, 20(8), 357
358. doi:10.1016/s0167-7799(02)01985-6
Starbuck, W. H. (2005). How much better are the most-prestigious journals? The
statistics of academic publication. Organization Science, 16(2), 180
200. doi:10.
1287/orsc.1040.0107
Tax, S. (1959a). Letter to associates. Current Anthropology (Pre-Issue), 1, 3
4.
Retrieved from http://www.jstor.org/stable/2739805
Tax, S. (1959b). Review articles. Current Anthropology (Pre-Issue), 1, 8
9. Retrieved
from http://www.jstor.org/stable/2739807
The President’s Science Advisory Committee (1963, January 10). Science, government,
and information: The responsibilities of the technical community and the government in
the transfer of information. Washington, DC: The White House. Retrieved from
http://garfield.library.upenn.edu/papers/weinbergreport1963.pdf
Open Peer Review 141
Tsang, E. W. K., & Frey, B. S. (2007). The As-Is journal review process: Let authors
own their ideas. Academy of Management Learning & Education, 6(1), 128
136.
Retrieved from http://www.jstor.org/stable/40214524
Van Rooyen, S., Godlee, F. M., Evans, S., Black, N., & Smith, R. (1999). Effect of
open peer review on quality of reviews and on reviewers’ recommendations: A
randomised trial. British Medical Journal, 318, 23
27. doi:10.1136/
bmj.318.7175.23
Weller, A. C. (2001). Editorial peer review: Its strengths and weaknesses. Medford, NJ:
Information Today.
Ziman, J. (1968). Public knowledge: The social dimension of science. Cambridge, UK:
Cambridge University Press.
This page intentionally left blank
Transforming Services
This page intentionally left blank
Effects of Terminology on Health
Queries: An Analysis by User’s
Health Literacy and Topic
Familiarity
Carla Teixeira Lopes and Cristina Ribeiro
Faculty of Engineering, University of Porto/INESC TEC, Porto, Portugal
Abstract
Prior studies have shown that terminology support can improve health information retrieval
but have not taken into account the characteristics of the user performing the search. In this
chapter, the impact of translating queries’ terms between lay and medico-scientific terminol-
ogy, in users with different levels of health literacy and topic familiarity, is evaluated.
Findings demonstrate that medico-scientific queries demand more from the users and are
mostly aimed at health professionals. In addition, these queries retrieve documents that
are less readable and less well understood by users. Despite this, medico-scientific queries are
associated with higher precision in the top-10 retrieved documents results and tend slightly
to generate knowledge with less incorrect contents, the researchers concluded that search
engines should provide query suggestions with medico-scientific terminology, whenever the
user is able to digest it, that is, in users above the lowest levels of health literacy and topic
familiarity. On the other hand, retrieval systems should provide lay alternative queries in
users with inadequate health literacy or in those unfamiliar with a topic. In fact, the quantity
of incorrect contents in the knowledge that emerges from a medico-scientific session tends to
decrease with topic familiarity and health literacy. In terms of topic familiarity, the opposite
happens with Graded Average Precision. Moreover, users most familiar with a topic tend to
have higher motivational relevance with medico-scientific queries than with lay queries. This
work is the first to consider user context features while studying the impact of a query pro-
cessing technique in several aspects of the retrieval process, including the medical accuracy
of the acquired knowledge.
Keywords: Health information retrieval; query formulation; terminology; health literacy;
topic familiarity
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 145
DOI: 10.1108/S0065-283020150000039013
146 Carla Teixeira Lopes and Cristina Ribeiro
I. Introduction
Patients, relatives, and friends are increasingly using the web to search for
health information. In fact, this is the third most popular online activity
following e-mail and using a search engine (Fox, 2011), being done by 72%
of American Internet users (Fox & Duggan, 2013). The importance of an
easy access to online health information is recognized by the U.S.
Department of Health and Human Services which set a goal for 2020 to
increase the proportion of online health information seekers who report
easily accessing health information.
Although most users are satisfied with their health searches, some get
frustrated or confused (Fox, 2006; Petrock, 2010). This happens more in
individuals with less education as showed by the Pew Internet report
(Fox, 2006). Twenty-two percent feel frustrated by the inability to find
what they want (27% in those without a college degree and 18% in those
with a college degree) and 18% feel confused with what they did find
online (24% in those without a college degree and 15% in those with a
college degree). Since educational level has a strong impact on health lit-
eracy, this is not surprising. By health literacy is meant the “capacity to
obtain, process, and understand basic health information and services
needed to make appropriate health decisions” (Kutner, Greenberg, Jin, &
Paulsen, 2006).
The widespread use of the web to retrieve health information implies a
large diversity of users performing this task. One characteristic that is
expected to differ between users is their health literacy, a differentiation
that can be caused by differences in age or education. A study that assessed
the usability of 125 web sites offering health resources reported that about
one-third of these sites required a college education to comprehend
extracted health information (Becker, 2004).
The mismatch in languages used by health consumers and health pro-
fessionals also poses a barrier to effective access to relevant information
(Zielstorff, 2003). Since information may be presented at a high reading
level and include medical jargon (Cline & Haynes, 2001), the ability to
understand the retrieved information may fail and, if so, user’s satisfaction
may be at risk. In fact, this is one of the typical problems felt by consumers
when performing health information searches (Kogan, Zeng, Ash, &
Greenes, 2001). Other popular problems are: difficulty or inability to for-
mulate a health query due to the lack of proper medical terms (Toms &
Latter, 2007; Zhang, 2010) and the difficulty with formulating it without
misspellings or use of wrong medical terms (Kogan et al., 2001; McCray &
Tse, 2003).
Effects of Terminology on Health Queries 147
In this research we study the effect of translating query terms between
lay and medico-scientific terminologies, in users with different topic charac-
teristics, namely, health literacy and topic familiarity. In our experiment the
search engine is a “black box.” We believe that a user model that considers
the above context features may be used to improve health information
retrieval (IR) through, for example, the suggestion of alternative queries or
by re-ranking results. The work presented here is the first to consider user
context features while studying the impact of a query processing technique
in several aspects of the retrieval process. The evaluation considers not only
users’ relevance assessments, as considered in several previous works, but
also the quality of the medical knowledge that emerges from the search
session.
The chapter is structured as follows. A review is given of the existing
literature on the exploration of medico-scientific terminologies and the use
of health literacy and topic familiarity in health IR. The research questions
and the experimental settings of the study are then described afterwards.
The following sections have a detailed description of the findings that will
be discussed along with their implications in the final section.
II. Related Work
In this section, is a literature review of works that explore medico-scientific
terminologies with the goal of improving IR. In a second stage, IR works
that explore the two main context features used in this work—health lit-
eracy and topic familiarity, are also discussed.
A. Exploration of Medico-Scientific Terminologies
It is known there are mismatches between consumer terminology and the
ones used in health documents and standard medical vocabularies (Eerola &
Vakkari, 2008). To evaluate the impact of this mismatch, Plovnick and
Zeng (2004) compared the performance of consumer queries with the per-
formance of the same queries reformulated with terminology from the
Unified Medical Language System (UMLS). Each query was submitted to
Google and MedlinePlus and the relevance was assessed comparing results
with a gold standard answer. The authors used P@30 to compare both type
of queries and, through descriptive analysis, concluded that this type of
reformulation may be a promising strategy to improve consumer health
information searches. Previous studies (Patrick, Monga, Sievert, Hall, &
Longo, 2001; Zeng, Kogan, Ash, Greenes, & Boxwala, 2002) reached
148 Carla Teixeira Lopes and Cristina Ribeiro
similar conclusions. Patrick et al. (2001) compared the performance of lay
and medico-scientific queries on the retrieval of diabetes web information.
The evaluation was based on the number of sites maintained by nonprofit
healthcare professional organizations, academic organizations, or govern-
mental organizations that appeared in the top-20 results. Authors found
fewer sites of this type when using lay queries. While studying the charac-
teristics of consumer terminology for health IR, Zeng et al. (2002) con-
cluded that 51% of the lay queries returned no information although
matching information existed in the database.
Considering the poorer results of lay queries and the fact that nonex-
perts use medico-scientific terminology less often than experts (White,
Dumais, & Teevan, 2008, 2009), it is expected that comprehensive termi-
nology support improves health IR (Zeng et al., 2002). Some works
therefore propose and evaluate strategies to translate lay terms into
medico-scientific ones (Lu, Lin, Chan, & Chen, 2006). Others go further
and present query suggestion systems (Luo, 2009; Luo, Tang, Yang, &
Wei, 2008; Zeng et al., 2006) and others come up with ways to identify
the mixture of terminologies in order to minimize the language gap and
improve health IR (Crain, Yang, Zha, & Jiao, 2010). These works are briefly
described next.
Lu, Lin, Chan, and Chen (2006) translated query terms from lay to pro-
fessional ones in the context of cross language health IR (CLHIR). If the lay
term appears in the Medical Subject Headings (MeSH) thesaurus, an
immediate translation is made. If not, the authors propose an approximate
string matching of the nonprofessional terms to the professional ones. In
the other cases, they propose to use web resources with the argument that
an increasing number of sites contain lay terms and their corresponding
professional terms. Their evaluation showed improvements on the perfor-
mance of MeSH concept mapping and CLHIR.
Luo et al. (2008) and Luo (2009) propose and evaluate two similar
search engines for health IR: MedSearch and iMed. Both search engines
accept long queries and transform them to shorter ones by extracting the
most representative terms. Moreover, they suggest medical phrases to help
the user digest the retrieved documents and refine the query. These phrases
are extracted and ranked based on MeSH, the collection of crawled web-
pages, and the query. In addition, to help users provide information about
their medical situation, iMed uses a questionnaire-based query interface.
MedSearch was evaluated with questions posted on medical discussion for-
ums and assessments from five nonmedical persons. iMed was evaluated
with real medical case records from the Family Medicine Online Database
(FMOD) and medical exam questions with corresponding answers as the
Effects of Terminology on Health Queries 149
ground truth. In both cases, the experiments showed that the search engines
handle medical queries effectively and efficiently.
The Health Information Query Assistant (HIQuA) system, developed
by Zeng et al. (2006), suggests alternative query terms, selected according
to their semantic distance to the user’s initial query terms. Queries are first
mapped to one or more concepts of the UMLS and then the semantic dis-
tance between concepts is calculated based on co-occurrences in medical lit-
erature, log data, and on UMLS semantic relations. Authors found
statistically significant higher rates of successful queries, that is, queries
with at least one relevant result on the top-10, but no statistical differences
on user satisfaction or users’ ability to complete the task.
Crain et al. (2010) propose a Bayesian model1 to overcome the language
gap between lay and medico-scientific terminology. Given a document, this
model can infer the mixture of topics and dialects (slang, common, and
technical) and the most likely topic and dialect of each word. Authors found
a 25% improvement in normalized Discounted Cumulative Gain (nDCG)
@5 when using this model to support health IR.
The interplay between user contextual features and the terminological
aspects of health IR is less explored in the existing literature. From the
works mentioned above, only the health search engine described by Luo
(2009) collects and uses information about the user through the
questionnaire-based interface. Another study investigates the effect of user
factors on the familiarity with health terms and uses gender as a proxy for
background knowledge about gender-specific illnesses (Keselman,
Massengale, Ngo, Browne, & Zeng, 2006). Authors recruited a convenience
sample of 50 users and designed an instrument to test users’ familiarity
with 27 health terms of different “familiarity likelihood scores” and three
categories: “male,” “female,” and “neutral.” This study’s findings support
the idea that background knowledge and experience affect users’ familiarity
with health terms. Moreover, authors conclude that health literacy is
another variable expected to influence familiarity. A more recent article
(Zeng-Treitler, Goryachev, Tse, Keselman, & Boxwala, 2008) uses context
to estimate consumer familiarity with health terminology but the explored
features are not related to the user. In the proposed method, the authors use
a network in which each node represents a term and each term is connected
with other terms that co-occur with it. The context of a term can be a query
session, a sentence, a paragraph, or a document. The method was applied to
1Probabilistic model based on Bayes rule.
150 Carla Teixeira Lopes and Cristina Ribeiro
query logs and was validated using results from previous consumer surveys.
The authors concluded that this method is a good alternative to existing
term familiarity assessment methods.
B. Health Literacy in IR
Health literacy is defined as “the degree to which individuals have the capa-
city to obtain, process, and understand basic health information and services
needed to make appropriate health decisions” (Kutner et al., 2006, p. iii). A
2003 assessment of adult literacy (Kutner et al., 2006) found that 36% of
adults in the United States have basic or below basic health literacy skills.
A good review of the literature on health literacy was done by McCray
(2005). According to this author, a substantial portion of the literature
addresses the mismatch between the health literacy of the patient and the
readability of the documents.
Health literacy can be assessed through several existing instruments
like the Test of Functional Health Literacy in Adults (TOFHLA) (Parker,
Baker, Williams, & Nurss, 1995) that takes up to 22 minutes to administer
and Short Test of Functional Health Literacy in Adults (STOFHLA) (Baker,
Williams, Parker, Gazmararian, & Nurss, 1999), a smaller version of
TOFHLA. The Rapid Estimate of Adult Literacy in Medicine (REALM)
(Davis et al., 1993) is another option, easier and quicker to administer. In
non-English languages there are other tools like the Short Assessment
of Health Literacy for Spanish-speaking Adults (SAHLSA) (Lee, Bender,
Ruiz, & Cho, 2006) that was developed based on REALM and also incorpo-
rates a comprehension test using multiple-choice questions.
To the best of our knowledge, few IR studies consider user’s health lit-
eracy. In the HIQuA study previously described (Zeng et al., 2006), the
authors empirically concluded that query recommendations are not adequate
for inadequate health literacy users. Another work (Wang & Liu, 2005)
describes a personalized health IR system that adjusts results to users’ health
literacy level, but no evaluation was performed.
C. The Influence of Topic Familiarity in IR
Topic familiarity, or domain knowledge as it is also frequently referred to,
can be defined as the user’s general knowledge about the topic of the search
task. It is acknowledged that topic familiarity can be an important factor in
IR (Capra & Pérez-Quiñones, 2006) and there are several research works
that explore this feature.
Effects of Terminology on Health Queries 151
Studies investigating the relationship between topic familiarity and
information search behavior (Kelly & Cool, 2002; Liu & Belkin, 2010; Qu,
Liu, & Lai, 2010; Wen, Ruthven, & Borlund, 2006) are based on user stu-
dies and all evaluate the familiarity with the topic through users’ self-
assessment. They differ on the type of analyzed behaviors and, typically,
these behaviors are acquired through log records of the user study. The con-
clusions of these studies state that, as the familiarity with the topic
increases, so does the search efficacy. Moreover, the resources the user values
become more specialized, the user’s effort (task completion time and num-
ber of queries) decreases and the importance given to certain relevance cri-
teria change. As can be seen through the studies described in the rest of this
section, performance conclusions are not always consensual.
Regarding the relation between topic familiarity and query formula-
tion, Wildemuth (2004), in a longitudinal study, analyzes the search terms
used by medical students on six clinical problems. This is done in three
occasions, one before students received any instruction on the topic, the sec-
ond just after a course on the topic, and the third occurred 6 months after
the end of the course. Wildemuth concluded that, when domain knowledge
was very low (first assessment), users made more moves, that is, additions
and deletions of concepts to the query. This is probably due to their initial
inability to choose the appropriate terms and is in accordance with the con-
clusions of the study described above (Qu et al., 2010). Finally, Wildemuth
also concluded that, although it improved performance in all occasions, sys-
tem assistance during query formulation is more useful when users have less
knowledge on the topic. This work also has a good literature review on the
effects of domain knowledge in IR.
Another study explores the influence of topic knowledge on the use of a
thesaurus for query expansion (Sihvonen & Vakkari, 2004). The authors
conducted a user study with 15 users with knowledge on the topic and 15
users without it. Results were acquired through search logs and interviews
with the subjects. Authors concluded that the use of thesauri was helpful
for experts but not for novices in order to improve search effectiveness. The
number of documents that were judged relevant by external experts mea-
sured the search success. This conclusion contradicts the conclusions from
the previous study (Wildemuth, 2004).
Studies analyzing the influence of topic familiarity on IR performance
focus on different aspects. Liu and Belkin (2010) considered document use-
fulness, and their primary goal was to know if topic knowledge could be
used to predict it. Kelly and Cool (2002) considered efficacy as the ratio
between the number of documents saved and the number of documents
viewed. Other authors (Al-Maskari & Sanderson, 2010) investigated factors
152 Carla Teixeira Lopes and Cristina Ribeiro
influencing user satisfaction and found no relationship between familiarity
and satisfaction. They also found no significant differences between familiar
and unfamiliar users in the number of relevant documents identified by the
users, the number of TREC relevant documents, and the time taken by the
user to locate the first relevant documents. The same authors conducted a
user study (Al-Maskari & Sanderson, 2011) with 56 subjects and 56 topics
from the TREC collection to analyze the influence of users’ cognitive skills
on user effectiveness. They asked users to assess familiarity after completing
the search for each topic and found no significant correlation between famil-
iarity and users’ perceptual speed. Another study (Muresan, Cole, Smith,
Liu, & Belkin, 2006) used the TREC HARD track (Allan, 2003) to exam-
ine the impact of document characteristics like readability and concreteness/
abstractness on document relevance assessments by users with different
levels of familiarity with the topic. Authors concluded that a higher read-
ability has positive effects on retrieval performance, regardless of user’s
familiarity with the topic.
Only one study was found that considered users’ topic familiarity in
health IR (Lopes & Ribeiro, 2010). Its authors studied the impact of several
context features on query formulation and relevance assessment in health
searches and concluded that, in more familiar tasks, users employ medico-
scientific terminology more often and formulate longer queries. Moreover,
authors found that relevance decreases as the familiarity with the topic
increases.
III. Methodology
A. Research Questions
Two research questions drove the research described in this chapter. The
questions are similar in their aims but differ in the object of analysis:
• What is the impact on the characteristics of the retrieved documents of replacing lay query terms by
medico-scientific ones? (RQ1)
• What is the impact on search task precision (RQ2), users’ comprehension of documents (RQ3), accuracy
of the medical knowledge (RQ4), task completion status (RQ5) of replacing lay query terms by
medico-scientific ones, in users with different levels of health literacy and topic familiarity?
RQ1 does not consider Health Literacy (HL) or Terminology Familiarity
(TF), because the characteristics of the retrieved documents are the only sur-
veyed feature that does not depend on the user.
To answer the research questions, a laboratory user study with the fol-
lowing settings was conducted.
Effects of Terminology on Health Queries 153
B. Information Needs and Queries
Eight health information needs were defined based on questions submitted
to the health category of the Yahoo! Answers service. From the list of open
questions in this category in decreasing order of popularity, the information
needs satisfying the three following requirements were selected. Since most
of the health searches on the web continue to be about diseases (Fox, 2006,
2011), information needs were focused on questions about treatments to
diseases/conditions. Because the goal of this study is to study the effects of
lay and medico-scientific queries in users with different characteristics, it
was ensured that, for each information need, queries were different. For that
reason, the disease/condition also had to be associated with different syn-
taxes in both terminologies, as defined in a glossary of medico-scientific and
popular medical terms developed in a European project (Stichele, 1995).
For example, diabetes would be excluded because it is simultaneously a lay
and a medico-scientific term. Moreover, each query had to have at least 30
results in each search system used in this study.
The selected information needs were:
• About 3 days ago, I started having a burning feeling every time I urinated. How should I treat
this?
• For the past 5 days my head has been very itchy and I don’t have lice. What can I do to stop
the itching?
• I have high uric acid (8.0 mg/dL) with reference units 3.6
7.7. How can I lower my uric acid
level?
• I am suffering with an inflammation on my lips and mouth area for more than a year. I have dif-
ficulties eating. What can I do to treat it?
• My father got bit by a dog and is in the hospital with a bone infection. How is this treated?
• I frequently get heartburn even when I stay away from spicy stuff. What can I do to prevent it?
• I have been noticing lots of hair coming out from my head. Usually I only comb my hair once a
day. What can I do to stop losing my hair?
• I’m on the computer all day so I type a lot and use the mouse. My right pointing finger is start-
ing to give me some joint pain. How I can treat my finger?
The researchers defined the queries for each information need whereas the
users only assessed the documents retrieved with the queries. Medico-
scientific and lay queries were built concatenating the symptom or disease
in each terminology with the word “treatment.” For each disease/condition,
the lay and medico-scientific terms were extracted from the glossary of
medico-scientific and popular medical terms mentioned earlier. As an exam-
ple, the medico-scientific query for the first information need would be dys-
uria treatment and the lay one would be painful urination treatment. Although
smaller and less current than other existing consumer health vocabularies,
this glossary was not restrictive in the selection of information needs.
154 Carla Teixeira Lopes and Cristina Ribeiro
Moreover it is singular for its multilingual characteristics that were needed
for a parallel study with different aims.
C. Retrieval Systems
Google was used as a “black box” search engine with two different collec-
tions, the entire Google index and the set of pages indexed by Google that
belong to HONCode certified sites. Google custom search was used to limit
the second collection to those specific sites. This certification is proposed by
the Health On the Net Foundation (HON) to help assess the accuracy of
health content and the credibility of the publishers. For each query, the top-
30 results from each retrieval system were collected.
To reduce the risk of Google learning from the previous submitted
queries, it was ensured that the returned links were never clicked. Further,
to prevent changes in the search engine or in the HON collection, all
queries were submitted within a very short time span.
D. Tasks
The combination of a query and a retrieval system led to a task that can be
executed by a user. Each user was assigned a set of eight different tasks. In
the assignment of the tasks to users a Latin square-like procedure was
applied so that all users assess the relevance: (1) of all information needs,
but only once each; (2) of queries of both types of terminology, the same
number of times; and (3) in all the retrieval systems the same number of
times. The order of tasks was permuted to avoid possible bias of relevance
assessments owing to human behavior. Moreover, each iteration of relevance
assessments (4) contained queries of both types of terminology and (5) had
tasks in both retrieval systems the same number of times.
E. Search Procedure
Users started answering a quiz to evaluate their health literacy. They then
answered a questionnaire where they were asked about their familiarity with
the medico-scientific terms associated with the information needs.
Although users did not assess documents retrieved with their own queries,
they were asked to provide the query they would formulate for each infor-
mation need. After this questionnaire, users enrolled in a sequence of eight
tasks. Every task is associated with a single query defined on top of the asso-
ciated information need and the type of query. In each task, users had to
assess the relevance of the top-30 URL retrieved with that specific query
and then fill a post-search questionnaire.
Effects of Terminology on Health Queries 155
For each URL, the user had to indicate the type of the document; its
relevance to the information need considering his own context; and how
much he comprehended its content. Relevance and comprehension were
assessed in a 3-value scale. For relevance, the three values were “not rele-
vant,” “partially relevant,” and “totally relevant,” denoted by 0, 1, and 2,
respectively. For comprehension, the three values were “I did not understand
the document’s content,” “I partially understood the document’s content,”
and “I understood the document,” denoted by 0, 1, and 2, respectively.
In the post-search questionnaire users are asked (1) if they have already
searched for that topic, (2) to evaluate the task in terms of familiarity, (3) to
evaluate their feeling of success with the task, and (4) to indicate treatments
for the condition mentioned in the task.
F. Health Literacy Assessment
Since there isn’t any Portuguese instrument to assess health literacy,
SAHLSA was adapted to this language because, when compared to English,
Spanish is closer to Portuguese. The 50 medical concepts used in SAHLSA
were translated to Portuguese and users were asked to associate each concept
to one of two terms, in less than 4 minutes. Users were instructed not to
guess the answer. With SAHLSA, if users score less than 37, they have
inadequate health literacy. Users were grouped in three classes (inadequate,
elementary, and good) based on the SAHLSA threshold and clusters
obtained through hierarchical clustering.
G. Topic Familiarity Assessment
To evaluate topic familiarity, users were asked if they had previously
searched for that topic. They also had to evaluate task familiarity in a 5-
value scale and say if they knew the meaning of the medico-scientific con-
cept behind the disease/condition associated with the information need. To
compute a single measure to assess topic familiarity (Combined Topic
Familiarity—CTF), the previous metrics was combined as follows:
CTF=TaskFamþ 3× PreviousSearchþ 2×KnewMSTerm
This formula considers that TaskFam is assessed in a 1
5 scale,
PreviousSearch as 0 or 1, and KnewMSTerm as 0 or 1. The user’s task famil-
iarity assessment is considered the most important feature, followed by the
existence of previous searches about the topic and the knowledge of the
medical term. CTF is an integer that varies between 0 and 10. Since this is
a discrete variable and 10 categories are not justifiable, CTF was grouped in
156 Carla Teixeira Lopes and Cristina Ribeiro
three categories of familiarity: unfamiliar (CTF⩽ 3), somehow familiar
(3<CTF< 7), and familiar (CTF⩾ 7).
H. Medical Accuracy Assessment
In the post-search questionnaire, users had to write an answer to the infor-
mation need that drove the task. A medical doctor evaluated this answer in
relation to the correct and incorrect content it possessed. Answer correctness
was evaluated in a scale of 0 (inappropriate answer) to 2 (appropriate
answer). The middle value (1) was used for answers with “some value.” In
terms of answer’s incorrectness, user’s answer was classified with 0 (all or
almost all content is incorrect), 1 (some incorrect content), or 2 (no incor-
rect content). To exemplify the independence of these characteristics, con-
sider the answer “Reduce the ingestion of red meat. Increase weight.” to the
information need given as example. This answer has some correct content
but it’s not complete and would be classified with 1 in terms of correctness.
In addition, it also has some incorrect content, being assessed with 1 in
terms of incorrectness. If this answer did not contain the second sentence,
its incorrectness assessment would change to 2. On the other hand if it had
several other wrong suggestions, it could be classified with 0 in terms of
incorrectness. Answer’s correctness and incorrectness values were added into
a single variable called “medical accuracy” that, therefore, varies between 0
(lowest accuracy) and 4 (highest accuracy).
To evaluate the reliability of the medical assessments, a second medical
doctor judged 30% of the answers and the inter-rater reliability was esti-
mated through the weighted Cohen’s Kappa, an adaptation of Cohen’s
Kappa to ordinal scales that treats disagreements differently. The measured
weighted Cohen’s Kappa, with squared weights, for the correctness ratings
is 0.68 (95% CI: [0.54, 0.77]), indicating a substantial agreement. For the
incorrectness ratings, this measure is 0.7 (95% CI: [0.48, 0.84]), also point-
ing a substantial agreement. These inter-rater reliability results assure the
quality of the initial ratings.
I. Readability Assessment
Document readability was automatically evaluated using the SMOG
(Simple Measure of Gobbledygook) metric defined as:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
#polysyllables
SMOG= 1:043 30 þ 3:1291
#sentences
Effects of Terminology on Health Queries 157
This metric was adopted because it has been recommended as a measure of
readability in consumer-oriented healthcare documents (Fitzsimmons,
Michael, Hulley, & Scott, 2010). To compute SMOG, the main content of
the documents was extracted, excluding components like menus, advertis-
ing, footers, and headers. Then, the HTML tags were excluded to obtain a
text document with the main contents of the original one. With this docu-
ment, SMOG was computed using a readability metrics API that is avail-
able at http://ipeirotis.appspot.com/readability-api.html
J. Summary of Context Features
A summary of the context features used in this study can be seen in
Table 1. One feature was only related to the user, two features related the
user and the document, three features relate the user with the task, and the
others are only related to the document. Along with feature’ categories and
description, the scale of the associated variable is also presented. In the
description of documents’ features are distinguished the ones that are auto-
matically computed and the ones that require human intervention. All these
features were used in the analysis of the data.
K. Users
Forty information science undergraduate students participated in this study
(25 females; 15 males) with a mean age of 22.25 years (SD=6.42). In the
health literacy test, evaluated in a 0
50 scale, users had in average 45.48
(SD= 5.97). These results show that, globally, users have good health
literacy. Users are distributed by health literacy classes as: Inadequate
(9 users), Elementary (13 users), and Good Literacy (18 users).
User familiarity with a topic depends on the task’s subject. A global
analysis demonstrated that topic familiarity is mostly low. As said before,
CTF varies between 0 and 10 and its mean value is 3.92 with a standard
deviation of 2.18. Pairs “user, topic” are distributed by the proposed topic
familiarity categories as follows: Unfamiliar (161 pairs), Somehow familiar
(113 pairs), and Familiar (46 pairs). Through this distribution, it can be
seen that the majority of tasks presented a topic unfamiliar to the user.
In an open question, users were asked about the difficulties they have
when performing health web searches. Two of the most frequent pointed
issues were “finding medical terminology to formulate the query” and “deal-
ing with the quantity of medico-scientific terminology found in the
retrieved documents,” both found in 21% of the answers.
158 Carla Teixeira Lopes and Cristina Ribeiro
Table 1
Context Features Used in This Study
Category Context feature Scale Description
User Health literacy SAHLSA score between 0 and Grade obtained in the adapted SAHLSA
50. Grouped in inadequate, health literacy assessment test.
elementary, and good health
literacy.
User and Document Relevance Ordinal scale of 0 (not Obtained through users’ assessment for
relevant) to 2 (totally each document.
relevant).
Comprehension Ordinal scale of 0 (not Obtained through users’ assessment for
understood) to 2 (totally each document.
understood).
User and task Combined topic Varies between 0 and 10. Combined three user’s assessments: task
familiarity Grouped in three classes: familiarity, previous searches on the
unfamiliar, somehow topic, and knowledge on the medico-
familiar, and familiar. scientific term behind the topic.
Answer’s medical accuracy Varies between 0 and 4. Obtained through a medical evaluation
of users’ answers in terms of their
correct and incorrect contents.
Motivational relevance Ordinal scale of 1 (disagree) to Motivational relevance relates the user’s
5 (agree). goals and motivations with the
information objects. It is expressed by
the user’s feeling of success and his
satisfaction (Saracevic, 1996).
Obtained through the following post-
search question “I believe I succeed in
this task” as perceived by the user.
Effects of Terminology on Health Queries 159
Document Readability Rational. Obtained through the SMOG
readability measure. Automatically
computed.
Type of document Nominal: webpage, pdf, ppt, Identified by users and manually
doc, or other. validated when inconsistencies were
found.
HONCode certification Nominal: yes or no. Positive if it is in the answer set of both
retrieval systems. Automatic
extraction.
For consumers? Nominal: yes or no. Positive if it belongs to the consumers’
category in the HONCode
classification of documents.
Automatically computed.
For professionals? Nominal: yes or no. Positive if it belongs to the
professionals’ category in the
HONCode classification of
documents. Automatically computed.
160 Carla Teixeira Lopes and Cristina Ribeiro
IV. Data Analysis
The data analysis was done using descriptive and inferential statistics.
Differences between populations were visualized using boxplots that graphi-
cally describe variables and their dispersion depicting the 25th percentile
(Q1) subtracted of 1.5 of the interquartile range, Q1, the median (Q2), the
75th percentile (Q3), Q3 plus 1.5 of the interquartile range, and outliers.
In terms of inferential statistics it was used the strategy presented in
Fig. 1. Whenever possible a parametric test was applied instead of a non-
parametric due to the former’s greater statistical power. The selection of the
hypothesis test depends on the number of groups to be compared and on
the scale of the variable that is being compared. Whenever a nominal vari-
able is involved, as happens in almost all documents’ characteristics, the test
of equal proportions with the chi-squared value was used. Note that, when
comparing two samples, the chi-squared test for equality of two proportions
is the same thing as a z-test since the chi-squared distribution with one
degree of freedom is the square of a normal deviate one. In situations where
ordinal variables are involved, the Mann
Whitney test was employed and
used the W letter to indicate the test value. In variables with a ratio scale,
whenever it was possible the t-test was applied. In the other situations the
Comparison Scale of the variable Hypothesis
between? being compared test
Nominal
(e.g.: type of Test of equal
webpage) proportions
no
Dichotomous Ordinal Mann- Assumptions to a 
(type of query) (e.g.: relevance) Whitney parametric test met?
no
Ratio Assumptions to a 
(e.g.: GAP) parametric test met? yes
yes t-test
Non 
Kruskal- significant Pairwise
dichotomous Ordinal
Wallis differences comparison
(TF or HL levels) (e.g.: relevance) found? using...
no
Ratio Assumptions to a 
(e.g.: GAP) parametric test met?
significant
One way differences Tukey
yes ANOVA found?
Fig. 1 Inferential statistical strategy.
Effects of Terminology on Health Queries 161
Mann
Whitney test was applied. The only exception occurs in the SMOG
analysis, where the Welch t-test was applied, because there were differences
in both groups’ variance. The Welch t-test is an adaptation of the t-test
intended for use with two samples with unequal variances. When more than
two groups are being compared the one way ANOVA or the Kruskal
Wallis
test (KW) was initially applied to verify if there were significant differences
between the groups and, if so, either a Tukey’s test or a pairwise comparison
was applied. In the pairwise comparison the Bonferroni correction was
applied, dividing α by the total number of comparisons to minimize the type
I error. These comparisons identified location of the differences.
A. Document Characteristics Analysis (RQ1)
This study involved the evaluation of 1652 URLs. From these, 879 were
retrieved through queries with lay terminology and 886 through queries
with medico-scientific terms, with 113 URLs being retrieved through both
types of queries.
As can be seen in Table 2, queries with medico-scientific terminology
led to more HTTP Errors and more “no content” errors than queries with-
out it. However, none of these differences are statistically significant.
In terms of document type, both types of queries retrieved mostly web-
pages (Table 2). This proportion is significantly higher in the first type of
queries. The Portable Document Format (pdf) is the second most common
type of document in both types of queries and its proportion is significantly
higher in queries with medico-scientific terminology. Just like pdf docu-
ments, PowerPoint and Word documents are more frequent in queries with
medico-scientific terminology, yet neither of these proportions is signifi-
cantly different between types of queries. The larger proportion of non-
webpages retrieved by queries with medico-scientific terminology indicates
that this type of queries retrieves more documents not specifically built for
the dissemination of health information on the web.
The proportion of HONCode certified pages is very similar in both
types of queries (Table 2). As expected, queries with lay terminology
retrieved more consumer-oriented documents (classified as “for patients” by
the HON), a difference that is statistically significant. In terms of medico-
scientific documents the opposite happens, that is, queries with medico-
scientific terminology retrieve more medico-scientific documents (classified
as “for health professionals” by the HON), also a statistically significant
difference.
As explained before, document readability was assessed through the
SMOG metric. Overall, SMOG ranged from 3.71 to 33.09 with a mean of
162 Carla Teixeira Lopes and Cristina Ribeiro
Table 2
Differences in Documents’ Features for Both Types of Queries
Feature Lay Medico- Significant
queries scientific differences?
queries
Errors % HTTP errors 0.57 1.02 No
% No content 0.23 0.68 No
errors
Document type % Webpages 95.8 86.22 χ2ð1Þ= 47:17,
p= 3.25× 10−12
% PDF 4.13 12.7 χ2ð1Þ= 40:78,
p< 8.54× 10−11
% PowerPoint 0.11 0.57 No
docs
% Word docs 0 0.46 No
HON certification % Certified 53.01 52.71 No
pages
% Consumer- 33.9 26.64 χ2ð1Þ= 10:7
oriented p= 5× 10−4
pages
% Professional- 5.12 14.67 χ2ð1Þ= 44:02,
oriented p= 1.62× 10−11
pages
Readability Mean SMOG 7.17 7.69 Welch’s t(8751.1)=
−9.06,
p< 2.2× 10−16
7.94 (SD= 2.35). As expected, documents retrieved with queries containing
medico-scientific terminology are more difficult to read (Table 2). Since the
two samples are not homogeneous in variance, the Welch’s t-test was used
and showed that the difference between both medians was statistically
significant.
1. Summary
Our findings show that, replacing lay query terms by medico-scientific ones
results in retrieving a smaller proportion of webpages, a large proportion of
pdf, less consumer-oriented documents, more professional-oriented docu-
ments, and less readable documents. The smaller proportion of webpages
Effects of Terminology on Health Queries 163
indicates medico-scientific queries retrieve more documents not specifically
built for the dissemination of health information on the web. Since the
HON classifies the majority of the documents retrieved with medico-
scientific queries as “for health professionals,” it can be concluded that users
have to be better prepared to access contents retrieved with these queries.
This is confirmed by these documents’ lower readability.
B. Precision Analysis (RQ2)
To evaluate precision Graded Average Precision (GAP), Graded Precision
at 5 (gP5) and Graded Precision at 10 (gP10) were used. These measures
were proposed by Robertson, Kanoulas, and Yilmaz (2010), based on a
probabilistic model that generalizes average precision to the case of multi-
graded relevance. These measures consider a model in which the user has
a binary view of relevance even when using a nonbinary scale of relevance.
In this model, each point of relevance in the scale has a probability (gi) of
being the grade from which the user considers the documents relevant.
The GAP and
gP@n
measures are defined as:
P∞ 1Xn
n= 1 δn m= 1
m;n
GAP= Pc Pi
i= 1 Ri j= 1 g8 j>< miXnðim;inÞgj if im > 0
δm;n =>:> j= 1
0 otherwise
1XPn minðin;imÞPj= 1 gjgP@ n=
n in
m= 1 j= 1 gj
where gi is the probability that the user sets the threshold at grade i, that is,
in a relevance scale of {0…c}, he considers grades i…c as relevant and the
others as nonrelevant; Ri is the total number of documents in grade i for
this query; in is the relevance grade of document at rank n. If in> 0, docu-
ment at rank n will contribute to the calculations. More details on these
164 Carla Teixeira Lopes and Cristina Ribeiro
measures can be seen in the paper of Robertson et al. (2010). Based on the
evaluation results presented by GAP’s proponents, an equally balanced g1
and g2, that is, g1= g2= 0.5 was used.
These measures are based on relevance assessments made by the partici-
pants. Like in Borlund (2003), it is assumed that these assessments repre-
sent the value of the documents for a particular user at a particular
moment, and thus can only be made by the user at that time. Additionally,
while the current practice in IR involves the use of a gold standard to com-
pute precision, this was intentionally done this way because this work is not
interested in topical relevance as classic works usually are. Instead it is inter-
ested in situational relevance that encompasses cognitive relevance and can
only be assessed through user judgments. Saracevic (1996) distinguishes
these types of relevance as:
• Topical relevance: the relation between the query’s topic and the documents’ topic;
• Cognitive relevance: relation between the state of knowledge and cognitive information need of
a user, and the retrieved documents, being inferred from criteria like cognitive correspondence
and informativeness;
• Situational relevance: the relation between the task at hand and the retrieved documents, being
inferred by criteria like usefulness in decision making, appropriateness of information in resolu-
tion of a problem, and reduction of uncertainty.
Only by studying situational relevance can the influence of health literacy
and topic familiarity be fully explored. For example, documents about the
topic that are not understood by the user are not considered useful for the
situation at hand.
The initial analysis is global and does not consider user context features.
In Fig. 2 six boxplots are presented. For each of the three precision measures,
a boxplot is presented for each type of query, with and without medico-
scientific terms. It is possible to see that queries containing medico-scientific
terms tend to have higher precision with every measure. However, the only
significant difference was found with gP10 at α= 0.05 (t(317.6)=−1.70,
p= 0.045). This means that, in the top-10 results, medico-scientific queries
retrieve a higher proportion of relevant documents.
GAP distribution by health literacy and query type can be visualized
in Fig. 3. Similarly to the global tendency, GAP tends to be higher in
queries with medico-scientific terminology in every level of health lit-
eracy. However, no significant differences in GAP between types of query
in each level of health literacy were found. In each type of query, the dif-
ferences between levels of health literacy were also tested and no signifi-
cant differences were found. Although nonsignificant, the higher GAP of
medico-scientific queries in the lowest level of health literacy surprised
us. Comparably to what happens with GAP, no statistically significant
Effects of Terminology on Health Queries 165
1.0
0.8
0.6
0.4
0.2
0.0
GAP gP10 gP5
Lay queries Medico−scientific queries
Fig. 2 GAP, gP10, and gP5 boxplots by type of query.
1.0
0.8
0.6
0.4
0.2
0.0
Inadequate HL Elementary HL Good HL
Lay queries Medico−scientific queries
Fig. 3 GAP by type of query and health literacy level.
differences were found with gP5 and gP10 between types of query in
each level of health literacy and between health literacy levels in each
type of query.
In Fig. 4 GAP distributions per query type and topic familiarity are
presented. As with health literacy, there is a tendency to have higher GAP
GAP
166 Carla Teixeira Lopes and Cristina Ribeiro
1.0
0.8
0.6
0.4
0.2
0.0
Unfamiliar Somehow familiar Familiar
Lay queries Medico−scientific queries
Fig. 4 GAP boxplots by type of query and topic familiarity level.
in medico-scientific queries in all levels of topic familiarity. However this is
just a tendency since none of the differences is statistically significant.
Similarly, there are no significant differences in the mean GAP between
levels of topic familiarity in each type of query. In terms of gP5 and gP10,
the only statistically significant difference was found on the “somehow
familiar” level using gP5. Users of this level were found to have sessions
with higher gP5 mean in queries with medical terminology than without it
(t(111)=−2.1, p= 0.019).
1. Summary
Medico-scientific queries show a higher precision in the top-10 retrieved
results. This agrees with previous studies (Patrick et al., 2001; Plovnick &
Zeng, 2004; Zeng et al., 2002) that, through descriptive statistics, conclude
that this type of queries leads to better results. The analysis by users’ health
literacy revealed no significant differences in all the comparisons made. This
was surprising because medico-scientific queries were expected to have lower
precision than lay queries in users with inadequate health literacy levels.
Regarding the topic familiarity analysis, medico-scientific queries were
found to have a higher precision in the top-5 retrieved results than lay
queries on users “somehow familiar” with the topic. No significant
GAP
Effects of Terminology on Health Queries 167
differences were found in the mean GAP between levels of topic familiarity
in each type of query which agrees with Al-Maskari and Sanderson (2010)
who found no significant differences between familiar and unfamiliar users
in the number of relevant documents.
C. Comprehension Analysis (RQ3)
In general, users understand documents well because the comprehension
median is 2 (totally understood) in a scale of 0
2. However, if this analysis
was repeated by query type, it could be seen that, in lay queries, the median
is still the same but, in medico-scientific queries, it drops to 1. These med-
ians are significantly different (W= 13,025,482, p< 2.2× 10−16).
In Fig. 5 the proportion of documents by level of health literacy, query
type, and comprehension level is presented. In this figure it is possible to
see that, when compared with medico-scientific queries, comprehension is
higher in documents retrieved with lay queries in every level of health lit-
eracy. Not only “totally understood” appears more often in lay queries but
“not understood” documents also appear less. As can be seen in Table 3, all
these differences are statistically significant.
Lay queries Medico – scientific queries
0.8
0.6
0.4
0.2
0.0
I E G I E G
Health literacy
Not understood Partially understood Totally understood
Fig. 5 Proportion of documents by health literacy (I: Inadequate; E: Elementary;
G: Good), query type, and comprehension level.
Proportion of documents
168 Carla Teixeira Lopes and Cristina Ribeiro
Table 3
Significant Differences between the Median of Comprehension in Both Types of
Queries, by Health Literacy Level
CompLay>CompMS
Inadequate HL W= 636,653
p= 1.104× 10−7
Elementary HL W= 1,398,119
p< 2.2× 10−16
Good HL W= 2,645,866
p< 2.2× 10−16
Table 4
Significant Differences in Medians of Comprehension between Levels of Health
Literacy (I: Inadequate; E: Elementary; G: Good), by Query Type
Lay queries Medico-scientific queries
Comphl= I<Comphl=E W= 505,318 W= 566,613
p< 2.2× 10−16< 0.01/3 p< 2.2× 10−16< 0.01/3
Comphl= I<Comphl=G W= 791,604 W= 845,470.5
p< 2.2× 10−16< 0.01/3 p< 2.2× 10−16< 0.01/3
Comphl=E>Comphl=G W= 1,803,308 W= 1,715,570
p= 6.366× 10−9< 0.01/3 p= 13.06× 10−5< 0.01/3
Moreover, Fig. 5 also shows that users with higher health literacy “totally
understand” more documents than users with inadequate health literacy, in
both types of queries. The opposite happens with “not understood” docu-
ments. Using KW test, statistically significant differences in document’s
comprehension between levels of health literacy were found (KWχ2ð2Þ=
440:36, p<2.2×10−16 in lay queries and KWχ2ð2Þ= 247:96, p<2.2×10−16
in medico-scientific queries). In a pairwise comparison (Table 4), it was
found that comprehension in users with inadequate health literacy is lower
than comprehension in users with elementary or good health literacy.
Moreover, and unexpectedly, the comprehension of elementary health literate
users was found to be higher than the one in users with good literacy.
In Fig. 6 the proportion of documents by level of topic familiarity,
comprehension level, and query type is presented. As can be seen, the com-
prehension of documents by users with different topic familiarities changes
Effects of Terminology on Health Queries 169
Lay queries Medico − scientific queries
0.6
0.4
0.2
0.0
U S F U S F
Topic familiarity
Not understood Partially understood Totally understood
Fig. 6 Proportion of documents by topic familiarity (U: Unfamiliar; S: Somehow
familiar; F: Familiar), query type, and comprehension level.
Table 5
Significant Differences between the Median of Comprehension in Both Types of
Queries, by Topic Familiarity Level
CompLay>CompMS
Unfamiliar W= 3,038,410
p= 1.583× 10−6
Somehow familiar W= 1,785,294
p< 2.2× 10−16
Familiar W= 279,186.5
p= 9.079× 10−16
with the type of query. In line with the previous results, the comprehension
of the documents is always higher in sessions with lay queries. As can be
seen in Table 5 these differences are statistically significant.
In lay queries, as expected, the comprehension of documents tends to
increase with topic familiarity. In terms of significant differences, as can be
seen in Table 6, it was found that unfamiliar users understand the docu-
ments retrieved with lay queries less well than other users.
Proportion of documents
170 Carla Teixeira Lopes and Cristina Ribeiro
Table 6
Statistical Differences in Medians of Comprehension between Levels of Topic Familiarity (U: Unfamiliar; S: Somehow famil-
iar; F: Familiar), by Query Type
Lay queries Medico-scientific queries
Comptf=U<Comptf= S W= 1,796,246 Comptf=U>Comptf= S W= 2,068,034
p< 2.2× 10−16< 0.01/3 p= 1.081× 10−6< 0.01/3
Comptf=U<Comptf= F W= 628,375 Comptf=U<Comptf= F W= 827,630.5
p= 8.99 ×10−16< 0.01/3 p= 0.04279
Comptf= S<Comptf= F W= 507,711.5 Comptf= S<Comptf= F W= 5,345,930
p= 0.01893 p= 1.757× 10−7< 0.01/3
Effects of Terminology on Health Queries 171
Surprisingly, with medico-scientific queries, users “somehow familiar”
with the topic find documents harder to understand than users “unfamiliar”
with the topic. Also, but now as expected, users “somehow familiar” with
the topic understand documents less well than familiar users. As seen in
Table 6 both these differences are statistically significant. In this type of
queries, no significant differences between unfamiliar and familiar users
were found.
1. Summary
Documents retrieved with lay queries are comprehended better than docu-
ments retrieved with medico-scientific queries. This happens in general and
also at all levels of health literacy and topic familiarity. In terms of health
literacy, users with inadequate health literacy understand documents less
well than users with higher health literacy using both types of queries. This
is in agreement with the definition of health literacy. Birru et al. (2004),
who studied information literacy instead of health literacy, reached a stron-
ger but similar conclusion, concluding that low literacy users were unable
to interpret the retrieved information. Surprisingly, the same happens in
users with good health literacy when compared to users of elementary lit-
eracy. In terms of topic familiarity, users unfamiliar with the topic under-
stand the documents retrieved with lay queries less well than other users.
With medico-scientific queries, users “somehow familiar” with the topic
understand documents less well than users familiar with the topic but also
less well than users unfamiliar with it. The latter result leads to the conclu-
sion that topic familiarity is not a necessary condition to comprehend a
medico-scientific document. Characteristics like health literacy or knowl-
edge about medico-scientific terminology may be more preponderant.
2. Medical Accuracy Analysis (RQ4)
As previously explained, users had to provide an answer to the information
need that led to the task. A medical doctor later evaluated the answers in
terms of correct and incorrect contents. These two assessments were then
combined into what is called medical accuracy.
Figs. 7
9 show the distributions of the medical accuracy, correct con-
tents, and incorrect contents of the answer in each type of query. In these
figures, it is possible to see that query terminology does not strongly affect
these variables. The proportion of answers in each level of classification is
similar and no significant differences were found in the median of each vari-
able between types of queries.
172 Carla Teixeira Lopes and Cristina Ribeiro
60
40
20
0
Lay queries Medico – scientific queries
Medical accuracy 0 1 2 3 4
Fig. 7 Answer’s medical accuracy by query type.
60
40
20
0
Lay queries Medico – scientific queries
Inappropriate Answer with Appropriate
Correctness answer some value answer
Fig. 8 Answer’s correctness by query type.
Number of cases
Number of cases
Effects of Terminology on Health Queries 173
80
60
40
20
0
Lay queries Medico – scientific queries
All/Almost all Some No
Incorrectness incorrect content incorrect content incorrect content
Fig. 9 Answer’s incorrectness by query type.
4
3
2
1
0
Inadequate HL Elementary HL Good HL
Lay queries Medico−scientific queries
Fig. 10 Medical accuracy by health literacy and query type.
As can be seen in Fig. 10, despite a slight improvement of medical
accuracy with the level of health literacy in both types of queries, the med-
ian of this variable is always 2. However, just as with answer’s correctness
Answer’s medical accuracy Number of cases
174 Carla Teixeira Lopes and Cristina Ribeiro
4
3
2
1
0
Unfamiliar Somehow familiar Familiar
Lay queries Medico – scientific queries
Fig. 11 Medical accuracy by topic familiarity and query type.
and incorrectness, differences are not significant. Significant differences
between levels of health literacy in each type of query were not found either.
The distributions of medical accuracy by topic familiarity and query type
can be seen in Fig. 11. The median of this variable is always 2 and, against
our expectations, medico-scientific queries seem to result in more accurate
answers in users who are not familiar with the topic. Between query types
in each level of familiarity, and between levels of familiarity in each type of
query, no significant differences were found.
The median of answer’s correctness is always 1 (“answer with some
value”) except in users familiar with the topic using medico-scientific
queries, in which case it is 0 (“inappropriate answer”). In users familiar
with the topic, the median of answer’s correctness is significantly lower in
medico-scientific queries (W= 337.5, p= 0.03) when compared with lay
queries. In other users, no significant differences were found. In medico-
scientific queries there are differences in answers’ correctness between levels
of topic familiarity (KWχ2ð2Þ= 11:72, p= 0.003). Further analysis led to
the conclusion that, with this type of queries, users non-familiar with the
topic give answers more accurate than those familiar with the topic
(W= 1540, p= 7.45× 10−12< 0.01/3). In lay queries, no significant differ-
ences were found. These results are surprising because familiar users were
expected to be better prepared for medico-scientific queries and also to give
better answers than other users, independently of the query type.
Answer’s medical accuracy
Effects of Terminology on Health Queries 175
In terms of incorrect contents the tendency is symmetric to the one
described above, that is, in medico-scientific queries there is a slight ten-
dency to have answers with less incorrect content as the familiarity with the
topic increases. In non-familiar users the median is 1, in those who are
somehow familiar it is 1.5, and in familiar users it is 2. In spite of this ten-
dency, no significant differences between query types in each level of topic
familiarity were found. In both query types no significant differences
between levels of topic familiarity were found.
3. Summary
The type of query does not affect answer’s correctness, incorrectness, and
global accuracy, neither in the general user nor in users with specific levels
of health literacy. In terms of topic familiarity and with respect to answers’
correctness, familiar users give answers with less correct content with
medico-scientific queries than with lay queries. Moreover, these users give
answers with less correct content than non-familiar users with medico-
scientific queries. Concerning answers’ incorrectness, in medico-scientific
queries, there is a tendency to have answers with less incorrect content as
the familiarity with the topic increases, yet a nonsignificant difference. In
medical accuracy, that combines the above measures, no significant differ-
ences were found. These results probably mean that familiar users were
more restrained, less verbose when giving their answers that led to answers
with simultaneously less correct and less incorrect contents.
D. Motivational Relevance Analysis (RQ5)
Motivational relevance was evaluated through users’ assessment of the task
completion status in a scale of 1 (completely unsatisfied) to 5 (completely
satisfied).
Since the median of the task completion status is 4 in both types of
queries, it is possible to say that users were globally satisfied with the search
sessions. The distributions in both types of queries are very similar denoting
that the type of query does not interfere with users’ feeling of success.
An analysis of the motivational relevance by health literacy (Fig. 12)
reveals that users with inadequate health literacy feel less satisfied than ele-
mentary or good health literacy users. There are significant differences
between health literacy levels in both types of queries (lay—χ2ð2Þ= 8:18,
p= 0.017; medico-scientific—χ2ð2Þ= 6:26, p= 0.044). At α= 0.05, in lay
queries, users with inadequate health literacy feel less satisfied than those
176 Carla Teixeira Lopes and Cristina Ribeiro
5
4
3
2
1
Inadequate HL Elementary HL Good HL
Lay queries Medico – scientific queries
Fig. 12 Motivational relevance by health literacy level and query type.
with elementary (W= 647.5, p= 0.005< 0.05/3) and good health literacy
(W= 961, p= 0.0086< 0.05/3). In medico-scientific queries, users with
inadequate health literacy feel less satisfied than elementary health literate
users (W= 680, p= 0.01< 0.05/3). As can be seen in Fig. 12 there are no
visible differences between types of queries in each level of health literacy.
Through hypothesis tests the same conclusion was reached, that is, there are
no significant differences in the median of the task completion status
between query types in each level of health literacy.
Although the median of motivational relevance is always 4 (Fig. 13),
this variable slightly increases with topic familiarity, independently of the
query type. However, this is only a tendency since there are no significant
differences between levels of topic familiarity in each type of query. Users
familiar with the topic tend to be more satisfied with medico-scientific
queries than with lay ones, but this difference is also not significant.
1. Summary
In general, the type of query does not affect motivational relevance. The
analysis by health literacy revealed that inadequate health literate users feel
less satisfied than elementary and good health literate users with lay queries
and less satisfied than elementary health literate users in medico-scientific
sessions. Through these results it is possible to see that low health literacy
Motivational relevance
Effects of Terminology on Health Queries 177
5
4
3
2
1
Unfamiliar Somehow familiar Familiar
Lay queries Medico – scientific queries
Fig. 13 Motivational relevance by topic familiarity and query type.
has a negative impact on users’ feeling of success in health search sessions.
In terms of familiarity, users tend to be more satisfied with medico-scientific
queries than with lay ones, but this difference is not significant.
V. Discussion and Implications
As demonstrated, medico-scientific queries demand more knowledge from
users. Documents retrieved with these queries are mostly aimed at health
professionals thus requiring users to be better prepared in health subjects.
Moreover, these documents are less readable and are less well understood
than documents retrieved with lay queries. When compared with lay
queries, medico-scientific queries have higher precision at the top-10
retrieved documents. Although nonsignificant, medico-scientific queries
surpass lay queries in gP5 and GAP. Considering GAP, the same happens in
all levels of health literacy (nonsignificant differences). Surprisingly, the
same trend happens in inadequate health literate users but, since these users
have higher GAP than other users on both types of queries, this probably
happens because “less subject expertise seems to lead to more lenient and
relatively higher relevance ratings” (Saracevic, 2007, p. 2136). This means
inadequate health literate users may give higher relevance scores than users
with more health literacy to documents that are less helpful to them.
Motivational relevance
178 Carla Teixeira Lopes and Cristina Ribeiro
Regarding medical accuracy, no significant differences were found but
medico-scientific sessions slightly tend to generate knowledge with less
incorrect contents and equal correct contents than lay sessions.
Comparing users with different levels of health literacy, users with
inadequate health literacy understand documents less well and feel less suc-
cessful than users with higher health literacy, with both types of queries.
This corroborates a previous explanation stating that the former type of
users assign higher relevance scores to documents that are not helpful to
them. Although not significant, answers’ medical accuracy tends to increase
with user’s health literacy. This is due to the presence of less incorrect
knowledge in users with more health literacy, another trend that was found.
This is true on both types of queries but is stronger in medico-scientific ses-
sions, showing that users with higher levels of health literacy are more apt
to assimilate medico-scientific documents. These findings indicate that
search engines should detect inadequate health literate users and return
documents with contents adequate to them.
Concerning topic familiarity, users not familiar with a topic, when com-
pared with other users, understand the documents retrieved with lay queries
less well. In medico-scientific queries, “somehow familiar” users understand
documents less well than non-familiar users. This means that, in medico-
scientific documents, health literacy may be more important to document’s
comprehension than topic familiarity. In terms of nonsignificant differences,
the quantity of incorrect contents in the knowledge that emerges from a
medico-scientific session tends to decrease with topic familiarity. Moreover,
users who are familiar with the topic tend to have higher motivational rele-
vance and a higher GAP with medico-scientific queries when compared to
lay queries.
Our findings suggest that a personalized query suggestion system
would improve the IR experience in the health domain. The usefulness of a
query suggestion system has also been recognized by Toms and Latter
(2007) who examined consumers searching for health information. These
authors concluded that systems that provide assistance to query develop-
ment are more helpful than specialized medical search engines. They infer
that the key to successful queries, one of the major challenges in this type
of search, is in the underlying infrastructure that supports the search pro-
cess, which should be responsive to both consumers and experts. However,
it is the authors’ opinion that personalization should not be bipolar and dis-
tinguish only health consumers from health professionals. The personaliza-
tion of the query suggestion system should be made by level of health
literacy and level of familiarity with the health topic, which change with
the topic and the health consumer. According to our results, users who have
Effects of Terminology on Health Queries 179
inadequate health literacy or are unfamiliar with the topic should be pro-
vided with recommendations of lay queries. On the other hand, users with
higher health literacy or topic familiarity should be given alternative
queries with medico-scientific terminology.
A previous study suggests that nonexpert domain expertise is dynamic
and may be developing over time (White et al., 2009). The approach pro-
posed in this chapter, when compared to the bipolar personalization strategy
mentioned previously, does not have the drawback of hindering learning
over time for health consumers. In fact, in users who are not unfamiliar
with a topic, the system, through the queries it suggests and the documents
it might give access to, supports and encourages people to learn more about
the topic. Yet, in users unfamiliar with the topic, the suggestion of lay
queries reinforces behavior. To address this gap, either the query suggestion
system, or the system that predicts the familiarity with the topic, should
take into account the number of previous searches on the topic. This infor-
mation might help assess if the user is prepared to receive medico-scientific
queries or even if he can raise one level in the scale of topic familiarity. This
should, however, be carefully studied as further work. Moreover, this
approach can only be effective if the system has access to all previous
searches each user has done on the topic.
VI. Conclusions and Future Work
A user study to analyze how changes in query terminology affect the health
retrieval experience of users with different levels of health literacy and topic
familiarity was conducted. Several aspects related to IR experience were stu-
died, namely documents’ readability, documents’ comprehension, sessions’
precision, sessions’ medical accuracy, and motivational relevance.
Results suggest that a personalized query suggestion system would
improve IR experiences in the health domain. Depending on the user,
namely on his health literacy and topic familiarity, the system should pro-
vide medico-scientific or lay alternative suggestions to the query inserted by
the user. This would not only give access to new types of documents but
would also foster the learning of terminology that can be used in future
queries. Results also suggest that users with inadequate health literacy and
users who are unfamiliar with the topic should be provided with recommen-
dations of lay queries. On the other hand, users with higher health literacy
or higher topic familiarity should be given alternative queries with medico-
scientific terminology.
180 Carla Teixeira Lopes and Cristina Ribeiro
Although this research was focused on web search, its conclusions are
applicable to other types of retrieval systems. For example, when searching
for health information in a library retrieval system, users have similar pro-
blems in query formulation. In addition, they continue to have different
levels of health literacy and topic familiarity and therefore comprehend and
assimilate documents differently. In this context, it is clear that these users
can also benefit from a query suggestion system like the one described
above. Moreover, this type of system could also be useful to librarians that
help end-users formulating queries or finding documents.
In addition to the suggestion system, findings also suggest that search
engines should detect users with inadequate health literacy and return docu-
ments with contents adequate to them, either with pictorial contents or
with higher levels of readability. Moreover, readability should be incorpo-
rated in search engines ranking algorithms. In fact, it was found that read-
ability is important to all health consumers in both types of queries and
that the relevance of a document highly depends on its comprehension.
Health web sites developers who want to provide information to consumers
should also be aware that, if they need to use medico-scientific terminology,
they should, at least, simplify the remaining contents.
As a future work it would be interesting to conduct a study specifically
designed to analyze how topic familiarity can be predicted by means of past
queries (e.g., proportion of queries containing medico-scientific terminol-
ogy), other types of retrieval behaviors or even information pertaining the
users’ clinical history (e.g., the time elapsed since the diagnosis of a condi-
tion may imply higher background knowledge on that specific disease/
condition). The dynamic nature of topic familiarity makes this a challen-
ging goal.
Acknowledgments
Thanks to Fundação para a Ciência e a Tecnologia for partially funding this
work under the grant SFRH/BD/40982/2007. Thanks to Dagmara Paiva,
MD, for her contribution on the evaluation of the medical accuracy of users’
answers.
References
Al-Maskari, A., & Sanderson, M. (2010). A review of factors influencing user satis-
faction in information retrieval. Journal of the American Society for Information
Science and Technology, 61(5), 859
868. doi:10.1002/asi.21300
Effects of Terminology on Health Queries 181
Al-Maskari, A., & Sanderson, M. (2011). The effect of user characteristics on search
effectiveness in information retrieval. Information Processing and Management,
47(5), 719
729. doi:10.1016/j.ipm.2011.03.002
Allan, J. (2003). HARD track overview in TREC 2003: High accuracy retrieval
from documents. In Proceedings of TREC 2003, NIST (Special publication, Notebook
No. 500-255), University of Massachusetts, Boston, MA (pp. 24
37).
Baker, D., Williams, V. W., Parker, R. M., Gazmararian, J. A., & Nurss, J.
(1999). Development of a brief test to measure functional health literacy.
Patient Education and Counseling, 38(1), 33
42. doi:10.1016/S0738-3991(98)
00116-5
Becker, S. A. (2004). A study of web usability for older adults seeking online
health resources. ACM Transactions on Computer-Human Interaction, 11(4),
387
406. doi:10.1145/1035575.1035578
Birru, M., Monaco, V., Charles, L., Drew, H., Njie, V., Bierria, T., … Steinman, R.
(2004). Internet usage by low-literacy adults seeking health information: An
observational analysis. Journal of Medical Internet Research, 6(3), e25.
Borlund, P. (2003). The IIR evaluation model: A framework for evaluation of inter-
active information retrieval systems. Information Research, 8(3). Retrieved from
http://www.informationr.net/ir/8-3/paper152.html
Capra, R. G., & Pérez-Quiñones, M. (2006). Factors and evaluation of refinding
behaviors. In SIGIR 2006 workshop on personal information management, August
10
11, Seattle, WA (pp. 16
19). Retrieved from http://pim.ischool.washing-
ton.edu/pim06/files/capra-paper.pdf
Cline, R. J. W., & Haynes, K. M. (2001). Consumer health information seeking on
the Internet: The state of the art. Health Education Research, 16(6), 671
692.
doi:10.1093/her/16.6.661
Crain, S. P., Yang, S.-H., Zha, H., & Jiao, Y. (2010). Dialect topic modeling
for improved consumer medical research. In AMIA annual symposium proceedings
(pp. 132
136). Retrieved from http://www.ncbi.nlm.nih.gov/pmc/articles/
PMC3041409/
Davis, T. C., Long, S. W., Jackson, R. H., Mayeaux, E. J., George, R. B., Murphy,
P. W., & Crouch, M. A. (1993). Rapid estimate of adult literacy in medicine: A
shortened screening instrument. Family Medicine, 25(6), 391
395.
Eerola, J., & Vakkari, P. (2008). How a general and a specific thesaurus cover
expressions in patients’ questions and physicians’ answers. Journal of
Documentation, 64(1), 131
142.
Fitzsimmons, P. R., Michael, B. D., Hulley, J. L., & Scott, G. O. (2010). A read-
ability assessment of online Parkinson’s disease information. The Journal of the
Royal College of Physicians of Edinburgh, 40(4), 292
296. doi:10.4997/
JRCPE.2010.401
Fox, S. (2006, October 29). Online health search 2006. Washington, DC: Pew
Research Center. Retrieved from http://www.pewinternet.org/2006/10/29/
online-health-search-2006/
Fox, S. (2011, February 1). Health topics. Washington, DC: Pew Research Center.
Retrieved from http://www.pewinternet.org/2011/02/01/health-topics-2/
Fox, S., & Duggan, M. (2013). Health online 2013. Washington, DC: Pew Research
Center. Retrieved from http://www.pewinternet.org/2013/01/15/health-online-
2013/
182 Carla Teixeira Lopes and Cristina Ribeiro
Kelly, D., & Cool, C. (2002). The effects of topic familiarity on information search
behavior. In JCDL ‘02 Proceedings of the 2nd ACM/IEEE joint conference on digital
libraries, ACM, New York, NY (pp. 74
75).
Keselman, A., Massengale, L., Ngo, L., Browne, A., & Zeng, Q. (2006). The
effect of user factors on consumer familiarity with health terms: Using
gender as a proxy for background knowledge about gender-specific illnesses.
In N. Maglaveras, I. Chouvarda, V. Koutkias, & R. Brause (Eds.),
Biological and medical data analysis: 7th international symposium, ISBMDA 2006
(Proceedings), December 7
8, Thessaloniki, Greece (pp. 472
481). Springer,
Berlin, Germany.
Kogan, S., Zeng, Q., Ash, N., & Greenes, R. A. (2001). Problems and challenges
in patient information retrieval: A descriptive study. In Proceedings of the AMIA
annual symposium (pp. 329
333). Retrieved from http://www.ncbi.nlm.nih.gov/
pmc/articles/PMC2243602/
Kutner, M., Greenberg, E., Jin, Y., & Paulsen, C. (2006). The health literacy of
America’s adults: Results from the 2003 national assessment of adult literacy (NCES
2006-483). Washington, DC: U.S. Department of Education and National
Center for Education Statistics.
Lee, S.-Y. D., Bender, D. E., Ruiz, R. E., & Cho, Y. I. (2006). Development of an
easy-to-use Spanish health literacy test. Health Services Research, 41(4 Pt 1),
1392
1412. doi:10.1111/j.1475-6773.2006.00532.x
Liu, J., & Belkin, N. J. (2010). Personalizing information retrieval for people with
different levels of topic knowledge. In Proceedings of the 10th annual joint conference
on digital libraries, June 21
25, Gold Coast, Queensland, Australia (pp.
385
386). doi:10.1145/1816123.1816125
Lopes, C., & Ribeiro, C. (2010). Context effect on query formulation and subjective
relevance in health searches. In IIiX ‘10: Proceeding of the third symposium on infor-
mation interaction in context, ACM, New York, NY (pp. 205
214). doi:10.1145/
1840784.1840815
Lu, W-H., Lin, R. S., Chan, Y-C., & Chen, K-H. (2006). Overcoming terminology
barrier using web resources for cross-language medical information retrieval. In
AMIA annual symposium proceedings, November 11
15, Washington, DC (pp.
519
523).
Luo, G. (2009). Design and evaluation of the iMed intelligent medical search
engine. In Proceedings of the IEEE 25th international conference on data engineering,
March 29
April 2, Shanghai, China (pp. 1379
1390). IEEE, New York, NY.
doi:10.1109/ICDE.2009.10
Luo, G., Tang, C., Yang, H., & Wei, X. (2008). MedSearch: A specialized search
engine for medical information retrieval. In Proceedings of the 16th international
conference on the world wide web, ACM, New York, NY (pp. 1175
1176).
doi:10.1145/1242572.1242752
McCray, A., & Tse, T. (2003). Understanding search failures in consumer health
information systems. In AMIA annual symposium proceedings (pp. 430
434).
Retrieved from http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1479930/
McCray, A. T. (2005). Promoting health literacy. Journal of the American Medical
Informatics Association, 12(2), 152
163. doi:10.1197/jamia.M1687
Muresan, G., Cole, M., Smith, C. L., Liu, L., & Belkin, N. J. (2006). Does familiar-
ity breed content? Taking account of familiarity with a topic in personalizing
Effects of Terminology on Health Queries 183
information retrieval. In Proceedings of the 39th annual Hawaiian international con-
ference on system sciences (p. 53c). doi:10.1109/HICSS.2006.130
Parker, R., Baker, D. W., Williams, M. W., & Nurss, J. R. (1995). The test of
functional health literacy in adults. Journal of General Internal Medicine, 10(10),
537
541. doi:10.1007/BF02640361
Patrick, T. B., Monga, H. K., Sievert, M. R., Hall, J. H., & Longo, D. R. (2001).
Evaluation of controlled vocabulary resources for development of a consumer
entry vocabulary for diabetes. Journal of Medical Internet Research, 3(3), e24.
doi:10.2196/jmir.3.3.e24
Petrock, V. (2010). Cyberchondriacs becoming empowered health information see-
kers. eMarketer™, August 10. Retrieved from http://www.webcitation.org/
5ym7xLoYp
Plovnick, R. M., & Zeng, Q. T. (2004). Reformulation of consumer health queries
with professional terminology: A pilot study. Journal of Medical Internet Research,
6(3), e27. doi:10.2196/jmir.6.3.e27
Qu, P., Liu, C., & Lai, M. (2010). The effect of task type and topic familiarity on
information search behaviors. In Proceeding of the third symposium on information
interaction in context, ACM, New York, NY (pp. 371
376). doi:10.1145/
1840784.1840841
Robertson, S. E., Kanoulas, E., & Yilmaz, E. (2010). Extending average precision
to graded relevance judgments. In Proceeding of the 33rd international ACM SIGIR
conference on research and development in information retrieval, July 19
23, Geneva,
Switzerland (pp. 603
610). ACM, New York, NY. doi:10.1145/1835449.
1835550
Saracevic, T. (1996). Relevance reconsidered. In Proceedings of the second conference on
conceptions of library and information science (CoLIS 2), October 14
17,
Copenhagen, Denmark (pp. 201
218).
Saracevic, T. (2007). Relevance: A review of the literature and a framework for
thinking on the notion in information science. Part III: Behavior and effects of
relevance. Journal of the Association for Information Science and Technology, 58(13),
2126
2144. doi:10.1002/asi.20682
Sihvonen, A., & Vakkari, P. (2004). Subject knowledge, thesaurus-assisted query
expansion and search success. In Proceedings of RIAO 2004, the 7th international
conference, April 26
28, Avignon, France (pp. 393
404).
Stichele, R. V. (1995). Multilingual glossary of technical and popular medical terms in
nine European languages: Final report. Gent, Belgium: University of Gent,
Heymans Institute of Pharmacology. Retrieved from http://users.ugent.be/
~rvdstich/eugloss/information.html
Toms, E. G., & Latter, C. (2007). How consumers search for health
information. Health Informatics Journal, 13(3), 223
235. doi:10.1177/
1460458207079901
Wang, Y., & Liu, Z. (2005). Personalized health information retrieval system. In
AMIA annual symposium proceedings, October 22
26, Washington, DC (p. 1149).
Wen, L., Ruthven, I., & Borlund, P. (2006). The effects on topic familiarity on
online search behaviour and use of relevance criteria. In M. Lalmas, A.
MacFarlane, S. Rüger, A. Tombros, T. Tsikrika, & A. Yavlinsky (Eds.), Advances
in information retrieval (Vol. 3936, pp. 456
459). Berlin, Germany: Springer-
Verlag.
184 Carla Teixeira Lopes and Cristina Ribeiro
White, R. W., Dumais, S., & Teevan, J. (2008). How medical expertise influences
web search interaction. In SIGIR ’08: Proceedings of the 31st annual international
ACM SIGIR conference on research and development in information retrieval, July
20
24, Singapore. doi:10.1145/1390334.1390506
White, R. W., Dumais, S., & Teevan, J. (2009). Characterizing the influence of
domain expertise on web search behavior. In Proceedings of the second ACM interna-
tional conference on web search and data mining, February 9
11, Barcelona, Spain
(pp. 137
141). doi:10.1145/1498759.1498819
Wildemuth, B. (2004). The effects of domain knowledge on search tactic formula-
tion. Journal of the American Society for Information Science and Technology, 55(3),
246
258. doi:10.1002/asi.10361
Zeng, Q., Kogan, S., Ash, N., Greenes, R. A., & Boxwala, A. A. (2002).
Characteristics of consumer terminology for health information retrieval. Methods
of Information in Medicine, 41(4), 289
298.
Zeng, Q. T., Crowell, J., Plovnick, R. M., Kim, E., Ngo, L., & Dibble, E. (2006).
Assisting consumer health information retrieval with query recommendations.
Journal of the American Medical Informatics Association, 13(1), 80
90.
doi:10.1197/jamia.M1820
Zeng-Treitler, Q., Goryachev, S., Tse, T. T., Keselman, A., & Boxwala, A. (2008).
Estimating consumer familiarity with health terminology: A context-based
approach. Journal of the American Medical Informatics Association, 15(3), 349
356.
doi:10.1197/jamia.M2592
Zhang, Y. (2010). Contextualizing consumer health information searching: An ana-
lysis of questions in a social Q&A community. In Proceedings of the 1st ACM inter-
national health informatics 
 IHI ‘10, November 11
12, Washington, DC.
ACM, New York, NY.
Zielstorff, R. D. (2003). Controlled vocabularies for consumer health. Journal of
Biomedical Informatics, 36(4
5), 326
333. doi:10.1016/j.jbi.2003.09.015
Academic Social Networking:
A Case Study on Users’
Information Behavior
Anamika Megwalu
Library, York College/City University of New York, New York, NY, USA
Abstract
Academic social networking (ASN) sites are becoming a popular communication medium
among scholars. This case study was designed to explore communication behaviors of physi-
cists, linguists, and sociologists on an ASN site called Academia.edu, their motivations for
using it, and the perceived impact of their use of the site on their professional activities.
Results from this study are valuable for designing computer-mediated and web-based com-
munication media for scholars and also for adding richness to the literature related to scho-
larly communication. For the purpose of this study, data was collected using three different
instruments: Server log, survey, and interview. Data used for analyses included a total of
20,309 server log data, 267 survey responses, and 28 interviews from scholars of Physics,
Sociology, and Linguistics who use Academia.edu. Results from the study showed that the
use of Academia.edu is dependent on the discipline scholars are affiliated with, their profes-
sional status, and the time of the year. Unlike physicists, linguists and sociologists are more
inclined to using Academia.edu and other ASN sites. Although linguists and sociologists
actively use Academia.edu, their motivations to use the site are different. These differences
in user-motivations and user-activities across the disciplines are influenced by variations in
the social and cultural practices of the disciplines. This study used Whitley’s (2000) theory
of degrees of mutual dependence and task uncertainty to explain the differences in the adop-
tion and use of Academia.edu across the three disciplines.
Keywords: Academia.edu; academic social networking; ASN; scholarly communication;
information behavior
I. Introduction
The most important role of a scholar is to produce new information by
describing new data, concepts, and theories. These new data and theories
become important and successful as they are communicated, comprehended,
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 185
DOI: 10.1108/S0065-283020150000039014
186 Anamika Megwalu
and verified by other scholars, providing new grounds for further research.
Thus, communicability becomes a salient feature of a scientific, scholarly
product (Garvey, 1979). Scholars communicate their ideas, research findings,
and products to other scholars by various means, including conference pro-
ceedings, books, journal articles, personal and institutional web sites, and
word-of-mouth.
Some of these, such as conference proceedings, books, and journal arti-
cles, are formal means of communication. Over 300 years ago scholars found
that keeping track of current works by other scholars had become too bur-
densome and hard to handle by word-of-mouth and written letters.
Therefore, in 1665, scientific papers began to be formalized and distributed
by means of scientific journals. Since then, the number of scholarly journals
has increased steadily and exponentially (Garvey, 1979). More recently,
Mabe and Amin (2001) found that the growth of journals in certain disci-
plines is linear, with a 3.3% increase every year. Michels and Fu (2013) con-
ducted a systemic analysis of coverage and usage of conference proceedings
in Web of Science. They observed a varying growing rate of 3
18%
between 2002 and 2009 (Michels & Fu, 2013). Bowker, a provider of bib-
liographic information management solutions, reported that print book out-
put grew 6% in 2011 from 328,259 titles in 2010 to a projected 347,178
in 2011, which they believe is driven almost exclusively by a strong self-
publishing market (2013). Scholarly journals, books, and proceedings serve
to document the names associated with various discoveries, inventions,
research studies, and theories.
In scholarly communication, informal communication plays an equally
important role, if not more. Through informal communication researchers
brainstorm creative ideas, express their thoughts, receive feedback on their
research, and disseminate results. Derek J. de Solla Price discovered while
doing bibliometric research that groups of elite scholars communicate
among themselves through various informal means. He called such groups
the “Invisible College” (Price, 1965) and emphasized the importance of
their informal interpersonal communication to their work. Price further
described the characteristics of invisible college as
Device mechanisms for day-to-day communication. There is an elaborate apparatus for
sending out not merely reprints of publications but preprints and pre-preprints of work
in progress and results about to be achieved. In addition to the mailing of preprints,
ways and means are being found for physical juxtaposition of the members … For each
group there exists a sort of commuting circuit of institutions, research centers, and
summer schools giving them an opportunity to meet piecemeal, so that over an interval
of a few years everybody who is anybody has worked with everybody else in the same
category. (pp. 84
85)
Academic Social Networking 187
Though members of the invisible college distribute reprints of their pub-
lished work as a form of formal communication, the discussions that take
place among the members concerning published and unpublished materials
are a form of informal communication. Such informal communications are
essential for scholars to develop their thoughts and to raise issues that
directly affect society. Scholars use informal communication to refine their
initial research ideas and to gauge how important their research is to others.
As Barjak (2006, p. 1352) writes, “Informal communication is not a pas-
time but serves to announce new knowledge, evaluate and refine it, and test
its acceptance by fellow scientists.” Barjak further defines informal scholarly
communication as “communication taking place through discussions with
close co-workers, talks, and reports to small colloquia, and working papers”
(2006, p. 1352).
Now that information is widely available online, scholars use the
Internet on a daily basis. According to Pew’s Internet and American Life
Project, 97% of participants who had post-college education use the
Internet (Pew Research, 2014). Findings from a nation-wide survey of
Internet use by US college faculty reported that out of 2316 US faculty
who participated in the survey, 98% use the Internet to communicate with
their students and 83% felt they spent less time in the library now that
they have access to the Internet and online library services (Jones &
Johnson-Yale, 2005). Evidently, with the invention of file sharing and
online communication applications, scholars started communicating online.
Informal communication thus remains an important means of communica-
tion for scholars and is now carried out through online communication
applications in addition to traditional face-to-face and postal mail commu-
nication methods.
Different media, such as journals, books, conference proceedings, face-
to-face media, e-mail, snail mail, online chat, telephone, online communica-
tion, and other file-sharing applications, offer different advantages and
disadvantages for formal and informal communication. These advantages
and disadvantages emphasize the fact that communication media affect the
frequency of communication, content of communication, and consequences
of communication among scholars (Wagner, 2008). Scholars choose to use
communication media based on how often they want to communicate with
other scholars, what they want to communicate with other scholars, and
their expectations of the outcome of the communication (Wagner, 2008).
Wagner believes that even though the growth of the Internet and the
evolution of online applications have allowed distributed collaboration such
that scholars can now electronically communicate with other scholars across
the globe, face-to-face meetings remain a critical starting point of many
188 Anamika Megwalu
projects (Wagner, 2008, p. 69). As Wagner states, it is “challenging for
scholars to find a way to access the dynamic discussion and interaction—the
social capital—that comes with working in a laboratory with other research-
ers” (2008, p. 77). Wagner says, “Researchers can tap into such discussions
through electronic communications. But these mechanisms rarely capture
the full range of information that is exchanged in casual, freewheeling face-
to-face discussions, especially those involving many people” (2008, p. 77).
Wagner believes that electronic communication does not allow the convey-
ing of tacit knowledge—the intuitive experience that researchers may have
and share spontaneously and subconsciously (Wagner, 2008). Thus, it is
possible that the content communicated through asynchronous electronic
communication may differ from the content discussed during face-to-face
discussions. Also, there is a possibility that the expected consequences or
outcomes of such electronic communication might be different from those
of face-to-face communication.
II. Changing Nature of Scholarly Communication
In the past, most scholarly communication studies have been based on bib-
liometric analysis and webometrics where such methods were used to inves-
tigate formal means of scholarly communication by performing citation and
link analyses on the references, citations, and hyperlinks available on pub-
lished articles, books, and web sites.
Informal communication patterns have also been studied by researchers
for many years. Previous studies have found that informal communication
affects research productivity (Crawford, 1971; Lingwood, 1969; Paisley,
1972). As Crane and Rogers noted, informal communication allows the
quick diffusion of ideas; scholars can clarify, ask, and discuss with experts
with minimal wait time (Crane, 1972; Rogers, 1995). Pfaffenberger (1990)
discovered that informal scholarly communication is more effective in shar-
ing tacit knowledge. Researchers believe that informal scholarly communi-
cation forms a socio-technical interaction network in which communication
is influenced by technology and at the same time defined by the social struc-
tures of scientists and their organizations (Kling, McKim, & King, 2003;
Lamb, Sawyer, & Kling, 2000). These studies have explored behavioral pat-
terns of communication, measured research productivity, and investigated
the research collaboration of scientists communicating informally with
others using certain communication platforms (e-mails, blogs, conference
attendee listings, discussions on personal and group web sites, etc.).
Academic Social Networking 189
Previous studies have focused on either informal or formal communication
among researchers but rarely on both.
Academic social networking (ASN) sites, such as Academia.edu, are
platforms where both informal and formal scholarly communication take
place, creating a unique space for existing and emerging communication
behaviors that have not been studied before. Moreover, the phenomenon of
informal and formal scholarly communication taking place on social net-
working sites is new, and its impact on professional and research activities
is less explored.
III. Academia.edu: An ASN Site
There are numerous web-based applications that scholars can use to commu-
nicate with others. The commonly used applications can be popular social
networking sites, online reference sharing sites, and ASN sites. Academia.
edu and ResearchGate are ASN sites in the sense that they focus on scholars
(Thelwall & Kousha, 2014). They allow them to create academic and profes-
sional profiles, search for scholars by name, research interests, institutional
affiliation, and disciplinary background, and view networks of other scho-
lars. These sites allow scholars to create profiles, view lists of connections
made by others, and connect with other scholars with similar research inter-
ests and institutional or disciplinary affiliations. Unlike LinkedIn, ASN
sites allow scholars to share their scholarly work, initiate and participate in
scholarly discussions, and obtain user-analytics. A scholar who uses
Academia.edu can use the application to view the network of other scholars
and see who is following whom. Recently, Mendeley (www.mendeley.com)
expanded its service and became a reference manager and an academic social
network site.
Academia.edu, launched in 2008, “… is a platform for academics to
share research papers. The company’s mission is to accelerate the world’s
research. Scholars use Academia.edu to share their research, monitor analy-
tics around the impact of their research, and track the research of fellow
scholars they follow” (Academia.edu, 2012). Academia.edu is one of the lar-
gest and most used ASN sites. According to a survey conducted by the
Centre for Research Communications, 17% of the 117 respondents indi-
cated having an awareness of the site, making it the second most popular
social networking site used by researchers (2011). In November 2013,
Alexa.com gave Academia.edu a Global Rank of 2164, ResearchGate was
ranked 3828, and Mendeley was ranked 25,447. Global Rank on Alexa.com
indicates the estimate of the site’s popularity which is calculated using
190 Anamika Megwalu
a combination of average daily visitors to a particular site and pageviews on
the site over the past 3 months (www.alexa.com). The site with the highest
combination of visitors and pageviews is ranked #1 (www.alexa.com).
IV. Challenges in Studying ASN Sites
The features of ASN sites are very similar to mainstream social networking
sites such as Facebook and MySpace. As such one would assume that study
designs, survey instruments, and interview questions used to study commu-
nication behaviors of users of mainstream social networking sites can also be
used to study user behaviors of ASN sites. In fact, that is not true. There
are some challenges to designing studies that focus on understanding the
communication behaviors, user-motivations, and user-perceptions of scho-
lars using ASN sites. First, the decision to adopt a technology by scholars is
affected by the social, political, and cultural milieu of their disciplines, their
departments, and the institutions they are affiliated with. Second, their
motivations for using ASN sites are different from the motivations of users
who use mainstream social networking sites. Studies on the differences
between the use of Facebook by faculty and students showed that faculty
generally do not use the social networking site for educational purposes
(Mazer, Murphy, & Simonds, 2007; Roblyer, McDaniel, Webb, Herman, &
Witty, 2010), although some scholars sometimes use it to announce new
articles on profile pages (Kortelainen & Katvala, 2012; Priem, Groth, &
Taraborelli, 2012). Third, considering ASN sites are fairly new medium of
scholarly communication, there is a lack of available literature and instru-
ments established to measure communication behaviors of scholars on ASN
sites.
A. Use of Whitley’s Theory
Whitley’s (2000) theory has been very popular in Science and Technology
Studies (STS) dedicated to scientific knowledge and technology in its social
context. For example, Fry (2006) used Whitley’s theory to study informa-
tion practices in three academic fields: High-Energy Physics, Social-
Cultural Geography, and Corpus-Based Linguistics. Fry aimed to identify
the interrelationship between the traditions of informal and formal scientific
communication within a discipline and how that interrelationship shapes
digital outcomes across intellectual fields. Fry and Talja (2007) also used
Whitley’s theory as a framework for their study, investigating disciplinary
Academic Social Networking 191
differences in the production, relevance, and use of academic mailing lists,
scholarly home pages, and scholar-produced decentralized digital resources.
Whitley provides an analytical framework for comparing scientific fields
as particular kinds of organizations, reputational work organizations, and
providing reasons for their similarities and differences. Whitley’s theory
recognizes that the social context within a discipline varies by field and pro-
vides a single explanatory framework in understanding the epistemological
and social contexts that may influence the information practices and the
adoption of information technology within a discipline.
According to Whitley, “Differences in the patterns of intellectual and
social development of academic fields can be characterized in terms of two
dimensions: the degree of mutual dependence between researchers in making
competent and significant contributions and the degree of task uncertainty in
producing and evaluating knowledge claims” (p. 85). The degree of mutual
dependence refers to “scientists’ dependence upon particular groups of col-
leagues to make competent contributions to collective intellectual goals and
acquire prestigious reputations which lead to material rewards” (p. 87). An
increasing degree of mutual dependence implies that the scientists rely
more on their colleagues for reputation and access to resources. This means
they comply with particular standards of competence and particular criteria
of significance to their reputations and the recognition of their
contributions.
There are two different aspects to the degree of mutual dependence: the
degree of functional dependence and the degree of strategic dependence. The degree
of functional dependence between the members of the field refers to “the
extent to which researchers have to use the specific results, ideas, and proce-
dures of fellow specialists in order to construct knowledge claims which are
regarded as competent and useful contributions” (Whitley, 2000, p. 88).
Thus, the degree of functional dependence refers to the need to coordinate
task outcomes and demonstrate adherence to common competence stan-
dards. The degree of strategic dependence is the “extent to which researchers
have to persuade colleagues of the significance and importance of their pro-
blem and approach to obtain a high reputation from them” (p. 88). Thus,
degree of strategic dependence refers to the necessity of coordinating
research strategies and convincing colleagues of the centrality of particular
concerns to collective goals.
The second dimension of patterns of intellectual and social development
of academic fields is called the degree of task uncertainty. Degree of task uncer-
tainty refers to “variations in the extent to which work procedures, problem
definitions, and theoretical goals are shared between practitioners, and are
clearly articulated” (p. 119). Whitley suggests that task uncertainty is
192 Anamika Megwalu
important because of the varying degree of novelty of results in the sciences
and the ease with which results can be fitted into existing knowledge.
There are two different aspects to the degree of task uncertainty: the
degree of technical task uncertainty and the degree of strategic task uncertainty. The
degree of technical task uncertainty refers to “the extent to which work
techniques are well understood and produce reliable results in various scien-
tific fields” (p. 121). Lower task uncertainty implies that there is a well-
established set of research techniques that can be acquired through formal
training programs, and research results will be more predictable, visible,
and replicable when those research techniques are used. The degree of strate-
gic task uncertainty encompasses uncertainty about intellectual priorities,
the significance of research topics and preferred ways of tackling them, the
likely reputational pay-off of different research strategies, and the relevance
of task outcomes for collective intellectual goals. An increase in the degree
of strategic uncertainty is associated with greater theoretical diversity,
reduction in the degree of central control over research goals, and increasing
local autonomy in the formulation of strategies and significance standards.
Whitley’s theory is beneficial for understanding information practices
within a discipline because it offers insights into how and why epistemic
and social dimensions covary with each other (Fry & Talja, 2007). In other
words, the theory integrates both the social and the epistemic considerations
of scholarly fields into a single explanatory framework (Fry, 2006). To
achieve this, Whitley argues, first, that social context within a discipline
varies by field. For instance, Biology, Chemistry, and Physics, all within the
discipline of Science, have varying social and epistemological contexts.
Second, Whitley characterizes differences across disciplines in terms of the
degree of mutual dependence in making competent and significant contri-
butions and the degree of task uncertainty in producing and evaluating
knowledge claims and task uncertainty.
Whitley believes that information creation practices within a specific
culture of an intellectual field depends on a variety of factors: the relative
degree of reputational control over competence, significance standards, and
descriptive concepts (which influences the adoption and use of technology
by individuals in a given field); plurality and diversity of audience; the visi-
bility, uniformity, and stability of task outcomes; degree of theoretical
diversity; and the degree of central control over research goals. As Fry
(2004) suggested, Whitley’s theory accounts for how the disciplines are
organized according to influences generated both internally and externally
to scholarly communities and provides a comparative framework within
which disparate descriptions and theories of disciplinary usage of digital
resources and networks can be organized and coordinated.
Academic Social Networking 193
Thus, Whitley’s theory provides a single explanatory framework in
understanding the social context within a discipline that influences the
information practices and the adoption of information technology within a
discipline. As such, it was used for this case study to develop knowledge of
the social environments of Physics, Linguistics, and Sociology that influence
the adoption and use of ASN sites in the three disciplines.
V. Case Study
In order to understand scholars’ behaviors on ASN sites, a case study was
undertaken to explore the communication behaviors and user-motivations of
scholars in Physics, Linguistics, and Sociology using Academia.edu, and the
impact of their use of Academia.edu on their professional activities. These
three disciplines were selected because they are culturally diverse and are
good representations of three different degrees of interdependence levels—
mono-disciplinary, multidisciplinary, and interdisciplinary fields. The study
explored the following questions:
• Who uses Academia.edu?
• When do users from the three disciplines use Academia.edu?
• What do users from the three disciplines use Academia.edu for?
• What are the user-perceptions of the impact of ASN sites on their professional activities?
Data were collected using three instruments: Academia.edu server log, sur-
vey, and interview. The server log data consisted of 7030 users from
Physics, 5211 from Linguistics, and 8068 from Sociology that were used for
further analysis. The 20,309 users studied from these three disciplines were
grouped into the following seven categories: Alumnus (939), Department
Member (1603), Faculty Member (5557), Graduate Student (8438), Post-
Doc (1085), Retired (188), Undergraduate Student (2499) (see Fig. 1).
A total of 267 complete surveys came from respondents in the three
selected disciplines as follows: Physics (62), Linguistics (104), and
Sociology (101). These 267 survey respondents were grouped as follows:
Graduate Student (96), Post-Doc (20), Untenured Professor (48), Tenured
Professor (44), Research Scientist (25), Retired (10), and Practitioner (24)
(see Fig. 2).
There are some differences in the categories for Professional Status in
the server log data and survey data. The categories in the service log data
were predefined by Academia.edu. For instance, in the server log file,
Faculty Member constituted both untenured and tenured professors in the
United States and in Canada. However, in the survey questionnaire,
194 Anamika Megwalu
Undergradua
be Student
12% Alumnus
5%
Retired
Physics 1%
35% Department GraduateSociology Member Student
43% 8% 42%
Faculty
Linguistics Member
22% 27%
Post-Doc
5%
Fig. 1 Sample distribution from the server log data by discipline and professional
status.
Practitioner
9%
Retired
4%
Physics Research
23% Scientist Graduate
9% Student
Sociology 36%
38%
Tenured
Professor
Linguistics 16%
39%
Untenured
Professor
18% Post-Doc
8%
Fig. 2 Sample distribution from the survey data by discipline and professional
status.
participants were asked to choose from the subgroups of Faculty Members,
that is, Tenured Professor and Untenured Professor. This is because the
study intended to capture the communication activities, user-motivation,
and perceived impact of ASN sites on professional activities at a subcatego-
rical level. The decision was made based on the assumption that untenured
professors will be using ASN sites more than tenured professors in order to
increase the visibility of their portfolios as this may help them in becoming
tenured professors. Additionally, Academia.edu allows users to select
Academic Social Networking 195
Department Member and Alumnus if they want to be grouped as part of
the same department or institution on the site. These categories of
Department Member and Alumnus were irrelevant for the survey question-
naire because it was an anonymous survey where department and institution
names were not collected. In addition, the Professional Status categories
such as Faculty Member and Department Member in the server log file were
redundant. In the survey questionnaire, the Professional Status called Other
was subcategorized under Research Scientist and Practitioner in order to get
a deeper understanding of the behaviors of 18% of the survey participants.
The server log category, Undergraduate student was not included in the sur-
vey questionnaire data because no responses were received from an under-
graduate student.
There were a total of 28 interview participants. Out of the 28 partici-
pants, 8 were from Physics, 10 were from Linguistics, and 10 were from
Sociology. Frequency of monthly user-login from the server log data was ana-
lyzed by discipline and professional status (Alumnus, Department Member,
Faculty Member, Graduate Student, Post-Doc, Retired, and Undergraduate
Student). Descriptive analysis was conducted on participants’ survey responses.
For this study, the best approach was to conduct semi-structured interviews
and perform a comparative analysis. This method involved asking open-ended
questions and engaging in informal conversation with participants, allowing
exploration of political and social dynamics among researchers, their disciplin-
ary structure, and standards that affect their research activities. Each comment
was coded and organized under themes and concepts.
A. Variations in the Degree of Mutual Dependence and Task
Uncertainty across the Three Disciplines
This study shed light on the degrees of mutual dependence and task uncer-
tainty in Physics, Linguistics, and Sociology. Based on the analyses of server
log data, survey data, and interview transcripts, Physics exhibited a high
degree of mutual dependence and low degree of task uncertainty.
Linguistics is a discipline with low degree of mutual dependence and high
degree of task uncertainty, whereas Sociology has moderate degree of mutual
dependence and medium to low degree of task uncertainty. The analysis of
interview transcripts elucidated the cultural practices of the disciplines.
Interview transcripts were analyzed based on these characteristics of degrees
of mutual dependence and task uncertainty (see Table 1). It showed that
Physics has a high functional and strategic mutual dependence, and low
technical and strategic task uncertainties. On the other hand, Linguistics
represents a discipline with low functional and strategic mutual
196 Anamika Megwalu
Table 1
Degree of Mutual Dependence and Task Uncertainty in the Three Disciplines
Physics Linguistics Sociology
Functional mutual dependence
1. Specialization of research topic High Low Low
2. Standardization of research techniques High Low High
3. Coordination of research outcomes High Low High
Strategic mutual dependence
1. Coordination of research strategy High Low High
2. Convincing colleagues of the centrality of High Low Medium
high
particular concern
3. Diversity of audience for intellectual High Low Medium
high
products
Technical task uncertainty
1. Contingencies in research techniques Low High Low
medium
2. Contingencies in task outcomes Low High Low
3. Variability in reporting research outcomes Low High Low
medium
Strategic task uncertainty
1. Lack of hierarchical ordering of problems Low High Low
medium
and goals
2. Considerable degree of theoretical Low High Low
medium
pluralism
3. Limited centralization of control over Low High Low
significance standards
dependence, and high technical and strategic task uncertainties. Sociology is
an interesting discipline where there is a moderate degree of mutual depen-
dence and task uncertainty. In this discipline research techniques are stan-
dardized and well-established, emphasizing the fact that there is significant
control over the centralization of research methods by groups of elite scho-
lars in various subfields of Sociology. Such a fairly centralized research sys-
tem will have a formalized reporting system and preferred communication
channels agreed upon by the elites. Consequently, there is less variability in
the reporting systems and communication channels of the subdisciplines.
Sociologists want to establish reputation of their work in their field of study
and therefore, are compelled to follow the standardized research techniques,
reporting systems, and communication channels known to the elites of the
subdiscipline. However, considering studies in Sociology involve human
social behavior and its origin and development in society, researchers have
the freedom to pursue diverse research problems and topics, exhibiting a
moderate degree of mutual dependence.
Academic Social Networking 197
B. Who Uses Academia.edu?
An analysis of the server log data showed that the majority of users logging
into Academia.edu are graduate students followed by faculty and depart-
ment members. However, further analysis of the server log data showed that
post docs and Faculty Members have the highest numbers of logins on
Academia.edu within the 10-month period, making them the most frequent
users of the site followed by Department Members (see Fig. 3). This is an
interesting phenomenon where a large number of graduate students register
on Academia.edu but do not login into the site as frequently as post docs
and faculty members. The question then is: Do graduate students have cer-
tain expectations of Academia.edu and find that those expectations are not
met? If the answer is that their expectations are not being met that could
explain why they do not login to the site as often as post doc and faculty
members. Further study is required to understand this phenomenon.
In general, physicists use Academia.edu less often than linguists and
sociologists. This difference in the use of Academia.edu across the three dis-
ciplines can be explained by the cultural practices defined by Whitley’s the-
ory and the supporting evidence from server log data, survey questionnaire,
and interviews. In Physics, research objectives are stable and are often evalu-
ated by a small community of experts within the field. Researchers seek
feedback from experts in the field from the conception of the idea until the
final reporting stage. They have a small audience for intellectual products
and rely upon particular groups of colleagues for peer-review, reputations,
and access of resources. Also, there are specific communication channels that
3.5
3
2.5
2
1.5
1
Physics
0.5
0 Linguistics
nu
s er er nt oc d tb b e re n
m m m iud t D et ud
e Sociology
u e e t s t
Al t M y M  
S po R Se e 
en lt at atu u u
ar
tm c d dFa raG gr
a
De
p r
de
Un
Professional Status
Fig. 3 User-login by discipline and professional status.
Mean
198 Anamika Megwalu
they use to communicate with their colleagues such as Arxiv.org, face-to-
face meetings, telephone, e-mail, Skype, and Google+ . In other words,
Physics is a discipline with a high degree of functional and strategic depen-
dence, wherein there is a relatively high degree of control over research
topic and task outcome, work procedures, communication channels, report-
ing system, and audience. As a result, Academia.edu is not a preferred com-
munication platform for physicists because less diversity of research topics
compels them to depend on and communicate with specific groups of audi-
ences through well-established communication channels. Fry (2006) also
observed the same phenomenon and concluded that physics being a commu-
nity with a high degree of mutual dependence coupled with a low degree of
task uncertainty are adept at coordinating and controlling channels. Among
the eight participants interviewed in Physics with diverse professional sta-
tus, all eight interviewees mentioned that they registered with Academia.
edu because they received e-mails from the CEO of Academia.edu and
therefore wanted to explore the site to satisfy their curiosity. Two of the par-
ticipants said they also heard about the ASN site at an annual conference for
Physics Education and wanted to explore the site. Another interviewee
affiliated with Physics Education said, “I use it as a substitute for my perso-
nal website which is on my university domain. In that way if I leave my
current job, I still have all the information on the web.” The same intervie-
wee said, “Physics Education is not very competitive as Physics itself. I am
a physicist but Physics Education is more of an Education degree. My
research is also part of Physics.”
Linguistics is multidisciplinary in nature and therefore research objec-
tives are diverse, topics are conceived in different ways, and theoretical plur-
alism is common. Results of research cannot be discerned easily, and are
subject to conflicting interpretations. In most subfields of Linguistics, there
is huge diversity in the audiences of the intellectual products. Emphasizing
the diversity of studies in this discipline, a linguist said during the inter-
view, “Often times, in studies related to indigenous languages, there are
only one or two researchers working on any particular language. So, I am
the only researcher who is working on this tribal language in New
Zealand.” Consequently, linguists share their scholarly work through var-
ious communication channels including ASN sites because it increases the
chance of meeting another researcher with similar research interests.
Also, unlike Physics, there is no specific group or audience that lin-
guists rely on for peer-evaluation, building reputation, and coordination of
research strategies. Because of the diversity in research topics and research
methodologies, linguists sometimes do not have access to elite individuals
or groups in the discipline to seek approval on their research approach. As
Academic Social Networking 199
one of the linguists who were interviewed said, “[In Linguistics] no meth-
odologies are as well established. It depends on the type of questions you
are asking and the particular theoretical framework you are working
with … Often it is the case that you work solo on one particular project
but sometimes when you get older and become an expert, you take grad
students and take some of your work and start working with your commu-
nity.” Usually, graduate students and early career researchers in Linguistics
closely work with their advisors and/or research collaborators in order to
verify and seek approval on their research topics and techniques. In other
words, even though there is some degree of strategic dependence exhibited
in graduate student and dissertation/thesis advisers, and early career
researchers and faculty mentors, this is a discipline with low mutual depen-
dence. As a result, researchers not only share their research with other lin-
guists through diverse communication channels such as ASN sites, personal
homepage, journals, monographs, conference presentations, and personal
communication, but they also share with “lay audiences” for building repu-
tation. Fry and Talja (2007) found that Linguistics is the community with
the most unrestricted communication system among the studied disciplines
because it relies on public visibility and accountability.
Sociology is a discipline where there is diversity in research problems
and topics but there is less diversity in audience/readers of intellectual pro-
ducts. Sociologists are involved in a variety of research problems that
require collaboration with other disciplines and subdisciplines such as cul-
tural criminology, environmental politics, medical sociology, labor relations,
and comparative historical sociology, to name a few. However, there is con-
siderable consensus on research techniques, coordination among collabora-
tors, and evaluation of task outcomes within small groups of researchers in
order to avoid deviant formulations, methodologies, and results. Thus, there
is medium to high degree of mutual dependence between sociologists. Such
a moderate degree of mutual dependence influences the communication
channels sociologists use and the reasons they use them. Unlike linguists,
sociologists use ASN sites not to reach the diverse audience from other dis-
ciplines, but to have their academic works and professional accomplish-
ments visible to a wider audience in their community for reputational
enhancement. As one of the interviewees said, “I would discuss it [my
work] with colleagues in my institute or other institutions or with others in
my academic circle because I can be more assured that they will be more
invested in my success.” According to Whitley’s theory, Sociology is a disci-
pline that exhibits moderately high functional dependence and depends on
significance and importance of their research work for overall goal and prio-
rities. In such a disciplinary culture, researchers do not rely on specific
200 Anamika Megwalu
works of particular researchers in making their contributions to collective
goals, but compete over the relevance of those contributions to such collec-
tive goals and intellectual priorities of the field (Whitley, 2000). For this
reason, sociologists use ASN sites such as Academia.edu to make their pro-
fessional work available to a wide audience within their community in
hopes that reputations will be awarded to them for the relevance of their
work to the collective goal. As one of the sociologists who were interviewed
said, “I would say 70% of people I follow I know in real life and the rest I
don’t know but I want them to know me.” This practice of using ASN sites
to establish reputation in the community was echoed by all the sociologists
who participated in the interviews.
C. When Do Users Use Academia.edu?
Server log data indicated the number of times users of Academia.edu logged
in within the 10-month period (July 2011
April 2012). An analysis of the
data showed a similarity in the trend of user login across Physics,
Linguistics, and Sociology (see Fig. 4). User-logins are markedly lower in
July, December, and April. User-logins increased in frequency in August
and January. With the majority of users of Academia.edu affiliated with uni-
versities and colleges, these increases could be attributed to the cyclic nature
of the academy as also demonstrated by other related trends. User-logins
increased during the academic semesters and decreased toward the end of
those two semesters. Also, users do not login to Academia.edu as frequently
during the end-of-year holiday season.
3.5
3
2.5
2
Physics
1.5
Linguistics
1 Sociology
0.5
0
July Aug Sept Oct Nov Dec Jan Feb Mar April
July 2011 - April 2012
Fig. 4 Monthly user-login by discipline.
Mean
Academic Social Networking 201
D. What Is Academia.edu Used for?
Results from the survey showed that users of Academia.edu from Physics,
Linguistics, and Sociology often use the site to update their profile informa-
tion, to post their research articles/papers, to read articles posted by others,
and to search for researchers with similar research interests. However, in
general physicists use Academia.edu less often than linguists and sociolo-
gists. Three quarters of the interview participants from Physics said they
decided to register on Academia.edu after receiving e-mails from the CEO
of Academia.edu just to see what it was.
Although linguists and sociologists use Academia.edu to update their
profile information, for physicists who were interviewed, maintaining a pro-
file on ASN sites such as Academia.edu is not a priority. Physics being a
discipline with high mutual dependence has a well-established community
that reviews each other’s work based on established research techniques,
competency standards, established control over task outcomes, and a strict
outcomes reporting system. Physicists are a part of a very tightly knit com-
munity where scholars come to know each other through personal refer-
ences, publications, postings on Arxiv.org, and listings of members
distributed by the American Physical Society. Only one out of eight inter-
viewees said, “I use it [Academia.edu] as a substitute for my personal web-
site which is on my university domain. In that way if I leave my current
job, I still have all the information on the web.” This interviewee is
affiliated with physics education, which according to the interviewee, is cul-
turally closer to teacher education as a discipline.
Results from server log and survey data showed that linguists actively
maintain their profile information on Academia.edu. A total of 10 linguists
were interviewed, of which 6 were graduate students, 2 were post docs, and
2 were untenured professors. All graduate students and post doc intervie-
wees said that they are often encouraged by their advisors, mentors, and col-
leagues to have a web presence for the purpose of employment. This is
because in Linguistics, researchers pursue research with diverse and differen-
tial goals. Consequently, there are a large number of small groups of experts
working on particular topics. As shown in the analyses of the user-
motivation section of the survey and results from the interview, there are
two main reasons for having an increased web presence: first, to find
researchers with common research interests from a large pool of researchers
with varied goals, and second, to advertise one’s portfolio for employment.
Where there is low mutual dependence and high task uncertainty, there is a
high degree of fluidity in their research priorities and research strategies,
researchers tend to establish local control of their work procedures and
202 Anamika Megwalu
reputations by increasing the visibility of their scholarly work to a wider
audience using informal networks. Such is the case in Linguistics. Crane
(1972) found that where there is an increasing degree of technical task
uncertainty, researchers have control over work procedures locally through
informal networks. This assertion was supported by the linguists who were
interviewed who indicated that online profiles such as in Academia.edu
were informal ways of communicating their competence and research work
to others. Alluding to this disciplinary culture, a linguist said, “I was told
that it is good to have portfolios online because then more people will
know me and my work. And I can find a job.”
Like linguists, sociologists regularly update their profile information. A
total of 10 sociologists were interviewed, of which 6 were untenured profes-
sors, 2 were post docs, and 2 were tenured professors. All untenured and
post docs said that it is important for them to keep their profile information
updated for others who are interested in getting information about them.
Analyses of server log data showed that post doc, and department and
faculty members more frequently update their profile than scholars with
other professional statuses. They also think that their profile should reflect
current information because when a researcher’s name is searched on Google.
com, Academia.edu profile is among the top links on the search result.
Although both linguists and sociologists maintain updated profile
information on Academia.edu, individuals from the two disciplines do so
for different reasons. Sociologists keep an updated profile with an intention
to increase their visibility/popularity within their subfields and beyond.
Sociology exhibits moderate technical task uncertainty, meaning there are
distinct sets of disciplinary research methods including field characterization
of its domain, its problems, and descriptive language that differentiate com-
petent research from amateur contributions. But research topics are on var-
ious social issues, and therefore subject to lay pressures and legitimization
criteria (Whitley, 2000). Consequently, sociologists not only rely on valida-
tion of their research work from disciplinary experts but also reach out to
individuals outside of their domain in order to establish the importance of
their work in society. Popularity of a sociologist among lay individuals of
the society can have a positive influence on his/her reputation within the
discipline and its subdisciplines. Thus, use of varied communication chan-
nels to popularize their research work is a common strategy used among
researchers in Sociology.
1. To Post and Read Research Articles/Papers
Physics is a discipline that has a low degree of task uncertainty, meaning,
there is “considerable predictability, stability, and visibility of task
Academic Social Networking 203
outcomes. Research problems and goals are fairly clearly ordered, restricted,
and stable” (Whitley, 2000, p. 124). The low degree of task uncertainty is
also indicative of the fact that there is high mutual dependence, wherein,
scholars are highly dependent on fellow colleagues for formulation and orga-
nization of research work, and validation of research techniques and out-
comes. In physics, experts within the field establish reporting systems,
languages, and the style of writing, compelling researchers to use specific
terminologies, formats, graphs, and symbols understood by all members of
the field. According to Whitley’s theory (2000), when technical terms dom-
inate the communication system and lay concepts are excluded, there exists
a high degree of reputational control exerted by powerful scientific groups
within the field. As a result, scholars in their early career are akin to using
communication channels where their scholarly work are read by
reputable leaders of the field. In other words, disciplines with low degree of
task uncertainty and high mutual dependence compel researchers to use
communication channels that are established and controlled by leaders of
the field. Such is the case in Physics, where physicists post their research
articles/papers on Arxiv.org and present them at annual conferences for phy-
sicists. This is also evident from the results from server log data and survey
data where physicists had significantly fewer numbers of papers, news, and
books posted, as compared with linguists and sociologists.
In Linguistics and Sociology, researchers are attracted to posting publi-
cations on ASN sites such as Academia.edu because of the versatility of
these platforms. Academia.edu can be used to disseminate publications of
varied format and view user-analytics. Linguists and sociologists are moti-
vated to use Academia.edu because it allows them to share information and
monitor the popularity of their scholarly works among audiences. Peer-
reviewed journals and books are formal publications that can be searched in
various library databases. However, for years scholars were unable to access
publications of other formats that carry valuable information. Many scholars
used personal home pages in hopes that others will come across their scho-
larly work serendipitously while searching information on a search engine.
Nowadays, ASN sites can systematically distribute such publications to
relevant communities. Interview participants believed Academia.edu pro-
vides a platform for posting peer-reviewed, as well as non-peer-reviewed
publications such as PowerPoint presentations, draft papers, preprints,
blogs, home pages, and conference proceedings.
Linguists and sociologists believed that ASN sites have the potential to
enhance the ability of scholars to disseminate their scholarly works.
Academia.edu supports dissemination of scholarly works by sending notifi-
cations of new postings of papers, news, and books to all users with similar
research interests via e-mail. Admiring this feature of Academia.edu,
204 Anamika Megwalu
a linguist said, “Academia.edu always tells me when new papers are posted
in my field,” alluding to the fact that when he/she posts papers, news, or
books, fellow scholars are alerted to his/her posting.
Academia.edu produces user-analytics that tells users how many times
papers and profile information have been viewed in a month. This user-
analytic feature of Academia.edu allows users to track the growth of the
popularity of their profile and research work in a larger community. It also
assures them that others view papers posted by them on Academia.edu. An
interview participant said, “There are particular linguistics listservs where a
lot of journal publishers post messages about new articles but I am not sure
people actually read those messages. I know people on Academia.edu do.”
Survey results also confirmed that users, especially by graduate students,
post docs, and untenured professors, read papers posted on Academia.edu.
According to the responses from the interview participants, users post
their research articles/papers with the intention to promote their scholarship
and to become more visible in their community. One of the interview parti-
cipants from Sociology said that she likes the fact that, “if you are on
Academia.edu, you show up on Google.” Thus, users of Academia.edu are
motivated to use it because it makes them more visible on Google.com, a
widely used search engine. In addition, Academia.edu increases the visibi-
lity of scholars by actively making their work visible to a larger community
by notifying users of new posting. This was also evident from the survey
results where Sociologists and Linguists believed that Academia.edu could
potentially increase visibility/popularity of scholars in their field of study.
Results from the server log data showed that faculty members, department
members, and post docs actively post papers, news, and books on Academia.
edu followed by graduate students, alumni, retired, and undergraduate stu-
dents. Graduate students do not actively post papers, news, and books
because they are training to be scholars and have not produced enough scho-
larly materials. Also, according to the interview participants in Sociology,
graduate students and early career scholars prefer not to post unpolished
work on a public domain to prevent reputational damage.
2. To Connect with Other Researchers
Academia.edu is widely used by researchers in Linguistics and Sociology to
search for researchers with similar research interests. Results from the survey
showed that physicists use Academia.edu less frequently to find researchers
in their field, as compared with linguists and sociologists. This was also evi-
dent from the results of server log data where physicists had a significantly
lower number of followers than linguists and sociologists. Responses from
Academic Social Networking 205
interview participants indicated that physicists tend to search and follow
researchers they know, in the process checking out the novelty of the site, as
opposed to sociologists and linguists who try to connect with others they
do not know but have similar research interests. On the other hand, lin-
guists and sociologists use ASN sites with an intention to connect with
scholars they do not necessarily know but are familiar with their work and
research interests. Linguists and sociologists are motivated to use ASN sites
to develop interconnectedness by meeting new researchers. Interview parti-
cipants expressed similar motivations as well. A linguist said, “On
Facebook and LinkedIn, I try to follow people I usually know personally,
but on Academia.edu, I follow people I don’t know.” Similarly, a sociologist
said, “[on Academia.edu] I do not necessarily know people personally but I
follow them for similar interest.”
Linguists and sociologists value connecting with researchers outside of
their home institution and workplace. This is evident from the responses
received through the survey results where linguists and sociologists thought
that ASN sites could potentially enhance their ability to contact colleagues
outside of their home institution. However, the motivation behind connecting
with individuals outside of their institution may differ across the two disci-
plines. In Linguistics, where there is low mutual dependence and high task
uncertainty, loosely bounded groups pursue diverse and differential research
topics. In such a disciplinary culture, certain research topics are so unique
that there are no existing literature and research procedures available to refer
to. As one of the linguists said during an interview, “My research is on an
indigenous language from New Zealand spoken by this tribe of a thousand
individuals. To my knowledge, I am the only researcher working with that
tribe.” As a result, linguists use ASN sites, in hopes that they will meet with
someone with interests that closely match theirs. When asked about linguists
having fear of sharing research ideas in these public domain because of the
possibility of work being plagiarized by others, a linguist said that there is no
such fear in Linguistics because studies in Linguistics are not time sensitive,
and research topics are often unique and studied by small number of indivi-
duals or groups. According to the interviewee, it is crucial to post preprints
and materials from research in progress on ASN sites to build a community
of researchers working on similar, if not the same topic.
Sociology is a discipline with low task uncertainty and a moderate
mutual dependence. This means even though research topics are diverse,
there is certainty about intellectual priorities and standards of research tech-
niques controlled by elites of subfields of Sociology. They have established
publications and conferences where studies are published and through
which researchers come to know each other and their scholarly
206 Anamika Megwalu
contributions. As a result, unlike in Linguistics, researchers in Sociology do
not use ASN sites to form a community with similar interests. Instead, they
use ASN sites to connect with researchers from other disciplines. As one of
the sociologists said during the interview, “… we need to collaborate with
other disciplines because the nature of our research involves people in var-
ious settings such as schools, parks, etc.” Another sociologist who is a
tenured faculty member at a university said, “My university does not have a
graduate degree in Sociology, so I do not have graduate students to work
with. I use it to connect to a younger generation of scholars to see the
research trend.”
3. To Stay Abreast of News and Developments
Both Sociology and Linguistics are disciplines that require collaborating
with researchers from other disciplines. Linguistics is multidisciplinary in
nature. Although there are some established research techniques in certain
subdisciplines such as in Syntax and Semantics, scholars in Linguistics bor-
row methodologies and tools from other disciplines. Attesting to this fact,
one of the linguists said during the interview, “Methodologies are con-
stantly changing and are not well established and receive a lot of input
from Psychology, Sociology, and Anthropology.”
Researchers in Sociology study social issues that require them to colla-
borate with other disciplines, not for research techniques, but to gain access
to various social settings and people involved in those settings. For instance,
a sociologist who participated in the interview said that his research work is
in the field of Medical Sociology and it requires him to collaborate with
doctors and nurses to gain access to the setting where he can recruit research
participants, gain access to classified information, as well as hold discussions
with health professionals on social aspects of patient care.
ASN sites such as Academia.edu are scholarly platforms that are open
to scholars from various fields. News on events and conferences are posted
on Academia.edu by individuals and through paid advertisements. Not all
universities have all disciplines and not all scholars have the luxury of time
and resources to read publications, learn about events and conferences from
other disciplines, and attend those conferences, especially graduate students.
Survey results showed both graduate students and professors use ASN sites
to stay abreast of new developments in their field and in other relevant dis-
ciplines, but graduate students use Academia.edu more for this purpose
than professors. Thus, ASN sites are widely used to learn about the latest
developments, conferences, and events in disciplines outside of their own
field of research.
Academic Social Networking 207
E. Users Perceptions of the Impact of ASN Sites
Unlike physicists, scholars from Linguistics and Sociology believe that ASN
sites such as Academia.edu can be beneficial in enhancing their ability to
contact colleagues outside of their home institutions, enhance their ability
to stay abreast of new development in their field of interests, enhance their
ability to disseminate their scholarly works, and increase their visibility or
popularity in their field.
Scholars from all three disciplines benefit from expanding their network
of connections with others who can potentially be of help in advancing their
scholarly work and career. However, physicists do not find ASN sites helpful
in this regard. Instead they use other medium such as ArXiv.org and direc-
tories produced by the American Physical Association to find other scholars
and use e-mail, telephone, and Skype to contact those researchers. This is
because in Physics, the elite members of the discipline control the commu-
nication media and structure. And physicists are more reliant upon media
that are used by the elite members. According to Whitley’s theory, this is a
common phenomenon in disciplines with high degree of mutual depen-
dence and low task uncertainty. Physicists need to disseminate their scho-
larly work to the elite members for review and recognition, which will help
in the advancement of their scholarly career. Therefore, it is reasonable for
physicists to use communication media that is popular among the elites of
the discipline. As such, ASN sites such as Academia.edu can only become
popular among users physicists if the elite members of Physics use them.
Linguists find Academia.edu and such ASN platforms beneficial in
many ways. Linguistics is a discipline with low task uncertainty in that it
has varied research topics and research techniques. There are many experts
in many different subtopics in this large discipline. Consequently, linguists
prefer to disseminate their work widely through many different communi-
cation channels, in order to increase their chances to meet experts in their
field of interest. Academia.edu is a platform that caters to such distribution
needs of scholars by allowing them to post their papers and automatically
notifying fellow scholars with same research interests via e-mails. Linguists
also perceive this feature of Academia.edu helpful in distributing their cur-
riculum vitae and publicizing their profile for employment purposes.
Linguists collaborate with individuals and organizations from all over the
world as experts of smaller subdisciplines of Linguistics are scattered widely
across the globe. Scholars find fellow scholars with relevant interest by
browsing scholars by discipline or browsing the networks of followers on
Academica.edu. As such linguists find ASN sites able to support bringing
scholars together.
208 Anamika Megwalu
Sociology is a discipline with moderate mutual dependence; it exhibits
diversity in research topics in diverse social contexts. Sociologists need to
network with people from other fields in order to have access to human and
information resources, as well as access to the social environment relevant to
their research topics. ASN sites are open to scholars of all disciplines and
are used by millions of scholars from various countries and institutions,
with diverse research interests. Consequently, ASN sites can be resourceful
for sociologists in order to expand their network that can potentially help
them have access to human and information resources for their research stu-
dies. Moreover, such sites are also beneficial to them in disseminating their
CVs and scholarly work to audiences from all disciplines and professional
statuses, potentially increasing their popularity within and outside of their
subdisciplines. Interview participants from both Linguistics and Sociology
expressed a desire to network with seasoned scholars from their disciplines,
and stated that Academia.edu currently does not have many established
scholars registered on the site.
More than Tenured Professors, graduate students believe that ASN sites
can increase the quality of their scholarly work, enhance their ability to stay
abreast with new developments, and enhance their ability to get informa-
tion on conferences and scholarly events. Perhaps this is because tenured
professors have well-developed networks and sources of information about
conferences and scholarly events, as opposed to graduate students who are in
the process of becoming scholars. Tenured Professors usually have expertise
in certain research areas and pursue resources that help them stay informed
about the development in their particular field of research, whereas graduate
students are still at a stage of exploring new developments in various
research topics, in order to determine which research topics they want to
pursue.
VI. Conclusion
ASN sites are on the rise and are widely used by scholars from various disci-
plines. These sites, however, are not adopted and used uniformly across dis-
ciplines. Wagner (2008) claimed that the medium of communication has an
effect on the frequency, contents, and consequences of scholarly communica-
tion. In contrast, this study showed that scholars’ behavior and activities are
defined by disciplinary cultures that influence adoption and use of technol-
ogy. This study was valuable as it set out to explore the communication
behaviors of researchers in different disciplines, their motivations for using
ASN sites, and the perceived benefits of using ASN sites on their
Academic Social Networking 209
professional, intellectual activities. Based on available published material,
such a study has never been pursued before. As such, the results are valuable
for librarians and other information professionals who liaise with scholars
from academic disciplines in disseminating and promoting their research. It
is important for Scholarly Communications and Outreach librarians, and
subject liaisons to know that not all ASN sites are suitable for all disci-
plines. Prior to suggesting an ASN site, librarians should gain a good
knowledge of the cultural and social environments of the disciplines within
a particular institution and in general. They should make an effort to under-
stand the cultural aspects of a discipline they are liaising with by gathering
information pertaining to the diversity of research topics, contingencies in
research techniques, coordination of research outcomes, diversity in audience
for intellectual products, degree of centralization of control over significance
standards, and information on already established communication channels
including listserv, ASN sites, directories, conferences. Knowledge of such
cultural aspects can help librarians determine which ASN sites are
suitable for a discipline/subdiscipline, and how to strategically introduce
them to the members of a discipline.
This study has a number of limitations. These limitations are: 1. While
the three disciplines, Physics, Linguistics, and Sociology are good represen-
tations of three different degrees of interdependence levels—mono-
disciplinary, multidisciplinary, and interdisciplinary fields, interviews from
the study reveal that in certain disciplines, there may be variations in the
subdisciplinary culture. These variations could be in types of research prio-
rities, research methodologies, diversity in audience, reporting systems, and
communication channels. 2. This study was limited to the research activity
and communication patterns exhibited by researchers in Physics,
Linguistics, and Sociology of Academia.edu and there are slight differences
in the features offered by different ASN sites that may influence the com-
munication behaviors of scholars. 3. Server log data provided by Academia.
edu for this study was limited to a certain time period (July 2011
April
2012). ASN sites are quite dynamic and this imposes another limitation to
this research.
This study cannot be generalized; however it is still important because
the results are transferable to future online scholarly communication stu-
dies, particularly the ones that involve ASN sites. Web-based applications
for scholarly communication are constantly evolving, disciplinary norms are
changing, and so are the communication patterns of scholars on these plat-
forms. It is believed that future studies with disciplines other than Physics,
Linguistics, and Sociology will make the results more robust. Also, replica-
tion of this study on a different ASN platform will shed light on the
210 Anamika Megwalu
differences in communication patterns and user-motivations of scholars as
influenced by features of an ASN platform.
Acknowledgments
The author gratefully acknowledges the mentorship and advisement of her
Doctoral Dissertation Advisor, Dr. Qiping Zhang and other Committee
members—Dr. John J. Regazzi, Dr. Michael E. D. Koenig, Dr. Amy
Spaulding, and Dr. Carol Tenopir.
References
Academia.edu. (2012). About academia.edu. San Francisco, CA: Author. Retrieved
from https://www.academia.edu/about
Barjak, F. (2006). The role of the internet in informal scholarly communication.
Journal of American Society for Information Science and Technology, 57(10),
1350
1367. doi:10.1002/asi.20454
Crane, D. (1972). Invisible colleges: Diffusion of knowledge in scientific communities.
Chicago, IL: University of Chicago Press.
Crawford, S. (1971). Informal communication among scientists in sleep research.
Journal of the American Society for Information Science, 22(5), 301
310.
doi:10.1002/asi.4630220502
Fry, J. (2006). Scholarly research and information practices: A domain analytic
approach. Information Processing and Management (Special Issue), 42(1), 299
316.
doi:10.1016/j.ipm.2004.09.004
Fry, J., & Talja, S. (2007). The intellectual and social organization of academic
fields and the shaping of digital resources. Journal of Information Science, 33(2),
115
133. doi:10.1177/0165551506068153
Garvey, W. D. (1979). Communication: The essence of science. Elmsford, NY: Pergamon
Press.
Jones, S., & Johnson-Yale, C. (2005). Professors online: The internet’s impact on
college faculty. First Monday, 10(9). doi:10.5210/fm.v10i9.1275
Kling, R., McKim, G., & King, A. (2003). A bit more to it: Scholarly communica-
tion forums as socio-technical interaction networks. Journal of American Society for
Information Science and Technology, 54(1), 47
67. doi:10.1002/asi.10154
Kortelainen, T., & Katvala, M. (2012). “Everything is plentiful 
 Except atten-
tion”. Attention data of scientific journals on social web tools. Journal of
Informetrics, 6(4), 661
668. doi:10.1016/j.joi.2012.06.004
Lamb, R., Sawyer, S., & Kling, R. (2000). A social informatics perspective on
socio-technical networks. America’s conference on information systems proceedings
(Paper 1). Retrieved from http://aisel.aisnet.org/amcis2000/1
Lingwood, D. A. (1969). Interpersonal communication, research productivity, and invisible
college. Doctoral dissertation, Stanford University, Stanford, CA.
Mabe, M., & Amin, M. (2001). Growth dynamics of scholarly and scientific jour-
nals. Scientometrics, 51(1), 147
162. doi:10.1023/A:1010520913124
Academic Social Networking 211
Mazer, J., Murphy, R., & Simonds, C. (2007). I’ll see you on “Facebook”: The
effects of computer-mediated teacher self-disclosure on student motivation, affec-
tive learning, and classroom climate. Communication Education, 56(1), 1
17.
doi:10.1080/03634520601009710
Michels, C., & Fu, J. (2013). Systematic analysis of coverage and usage of confer-
ence proceedings in Web of Science. Innovation Systems and Policy Analysis, 33,
1
63. doi:10.1007/s11192-014-1309-4
Paisley, W. J. (1972). The role of invisible colleges in scientific information trans-
fer. Educational Researcher, 1(4), 5
19.
Pew Research Center. (2014). Internet user demographics. Washington, DC: Author.
Retrieved from http://www.pewinternet.org/data-trend/internet-use/latest-
Pfaffenberger, B. (1990). Democratizing information: Online databases and the rise of
end-user searching. Boston, MA: J. K. Hall.
Price, D. J. (1965). Little science, big science … and beyond. New York, NY: Columbia
University Press.
Priem, J., Groth, P., & Taraborelli, D. (2012). The altmetrics collection. PLoS
ONE, 7(11). doi:10.1371/journal.pone.0048753
Roblyer, M. D., McDaniel, M., Webb, M., Herman, J., & Witty, J. (2010).
Findings on Facebook in higher education: A comparison of college faculty and
student uses and perceptions of social networking sites. Internet and Higher
Education, 13, 134
140. doi:10.1016/j.iheduc.2010.03.002
Rogers, E. M. (1995). Diffusion of innovations (4th ed.). New York, NY: Free Press.
Thelwall, M., & Kousha, K. (2014). Academia.edu: Social network or academic
network? Journal of the American Society for Information Science and Technology,
65(4), 721
731. doi:10.1002/asi.23038
Wagner, C. S. (2008). The new invisible college: Science for development. Washington,
DC: Brookings Institution Press.
Whitley, R. (2000). The intellectual and social organization of the sciences (2nd ed.).
New York, NY: Oxford University Press.
212 Anamika Megwalu
Appendix A: Interview Guide
1. What is your age group?
20
30
30
40
40
50
50
60
60 and above
2. What is the highest academic degree you have earned?
Associate
Bachelors
Masters
Doctorate
Others (specify)
3. What type of institution you are currently affiliated with?
2-year college
4-year college
Research Institute
Government Organization
Industry Lab
Others (specify)
4. What is your currently professional status?
Graduate Student
Post Doc
Untenured Professor
Tenured Professor
Retired
Other (specify)
5. Please tell me about your educational background? What are your undergraduate and gradu-
ate degrees on?
6. Are there specific subfields of your discipline that your research activities or interests are
related to? If so, please name the subfields. For example, if your field of research/professional
activities is Physics, subfields would be Geophysics, Astrophysics, Medical Physics,
Biophysics, etc.
7. Does your research activity frequently involve theoretical analysis, lab experiments, field
research, or a mixture of them?
8. Does your research activity involve collaboration with other researchers? If so, do you collabo-
rate with researchers from your discipline or other disciplines?
9. Literature indicates that researchers use different communication media at different stages of
their research project. What communication media do you us at various stages of your research
project? Examples of communication media could be conference, workshops, academic jour-
nals, telephone, e-mail, academic social networking sites, face-to-face interaction, etc.
10. Why do you use Academia.edu and/or other academic social networking sites?
11. In general, do scholars in your department collaborate with others? If so, do they collaborate
at a domestic or institutional level?
12. Does your institution value coauthored publications or single author publications?
13. Does your institution encourage scholars to use academic social networking sites such as
Academia.edu? If so, why?
Academic Social Networking 213
Appendix B: Survey Questions
Q1 What is your gender? 1. Male 2. Female
Q2 What is your age (in years)?
Q3 What is the highest academic degree you have earned? (Indicate one choice)
□Associate
□Bachelors
□Masters
□Doctorate
□Other (specify)
Q4 What type of institution you are currently affiliated with?
□2-year college
□4-year college/University
□Research Institute
□Government Institution
□Industry Lab
□Other (specify)
Q5 What is your current professional status?
□Graduate Student
□Post-Doc
□Untenured Professor
□Tenured Professor
□Retired
□Other (specify)
Q6 Indicate the discipline that most closely identifies the area in which you
conduct the majority of your research/teaching/product development.
□Physics
□Linguistics
□Sociology
Q7 How frequently do you use Academia.edu to do the following activities?
(Relative frequency was determined by the response to a 5-point Likert scale with
1= not at all, 2= rarely, 3= sometimes, 4= often, 5= all the time.)
Q7a To communicate with others
Q7b To update my profile information
Q7c To post my research articles/papers
Q7d To read comments on my research and publications
Q7e To post comments
Q7f To read articles posted by others
Q7g To search researchers with similar interests
Q8 For each item, indicate the relative amount of benefit you have gained by using
ASN sites such as Academia.edu on a 5-point scale where 1=No benefit and
5=Major benefit.
214 Anamika Megwalu
Q8a Enhance your ability to contact with colleagues at your home institution/
workplace
Q8b Enhance your ability to contact with colleagues outside of your home
institution/workplace
Q8c Enhance your ability to collaborate with colleagues
Q8d Enhance the quality of your scholarly work
Q8e Enhance your ability to stay abreast of new development in your field
Q8f Enhance your ability to get information on conferences and scholarly events
Q8g Enhance your job performance
Q8h Enhance your ability to disseminate my scholarly work
Q8i Increase my visibility/popularity in my discipline
The Scholars’ Commons: Redefining
Services and Spaces for Graduate
Student Success
Michael Perinia and Beth Roszkowskib
aFenwick Library, George Mason University, Fairfax, VA, USA
bArlington Campus Library, George Mason University, Arlington, VA, USA
Abstract
Undergraduate information commons have become pervasive in the academic library land-
scape. In recent years, librarians and administrators have come to identify the need for com-
parable commons’ spaces and services for graduate students. This chapter serves as a review
of recently developed models of graduate commons—in this discussion referred to as
Scholars’ Commons—as defined by an integration of physical learning spaces, personnel, and
a dynamic availability of research support services that support assist graduate students
throughout their academic life cycle. These provisions serve as the foundation for the devel-
opment of enhanced library-supported graduate student success.
Still a rare commodity, existing models from selected institutional web sites were examined
using a framework for analysis consisting of several criteria: new use of space; segmented ser-
vices; partnerships; and new organizational structures. Through a synthesis of the commonal-
ities prevalent in these systems, this chapter aims to provide recommendations for
prospective Scholars’ Commons models and proposals for their development. Library organi-
zations contemplating the development of a Scholars’ Commons need to consider the needs
of their target population, potential new or reallocated spaces, feasibility of providing sup-
port and research technologies, and possible staffing models. As well, the authors consider
the importance of library-based graduate student support that bolsters cross-divisional colla-
borative partnerships across the academy.
Keywords: Graduate commons; academic libraries; graduate student support; library
support services
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 215
DOI: 10.1108/S0065-283020150000039015
216 Michael Perini and Beth Roszkowski
I. Introduction
While the concept of a graduate student-focused Commons is relatively new,
research on the components of library commons, namely unified services and
spaces supporting scholarship, targeting other user populations are quite pre-
valent. Information or Learning Commons, as they are often called, were con-
ceived to serve primarily undergraduates in physical spaces where
“technology, service, and atmosphere [were combined] to create a dynamic,
comfortable, and collaborative educational environment” (Whitchurch, 2010,
p. 41). Within the Information Commons model, academic trends in colla-
boration and cooperative learning are supported by the physical configuration
of a Commons’ space, complete with movable furniture, productivity software,
and high tech computing access (MacWhinnie, 2003). Finally, the digital
component of a Commons—online resources, assistance, and services unified
in one site—complement the physical Commons space and consolidate
services and resources into an “integrated digital environment” for users
(Beagle, 1999, p. 82). This model has been widely embraced by academic
libraries since the 1990s and according to Colvin (2010) has evolved over
time to include cafés, presentation spaces, performance and exhibit areas, in
addition to collaborative spaces, technology access, and user support services,
equipping the libraries to address to a variety of user needs.
As undergraduate Information Commons have become pervasive in the
academic library landscape, librarians and administrators in recent years
have come to identify the need for comparable Commons’ spaces and ser-
vices for graduate students. The needs of graduate students change through-
out their academic life cycle as they transition from student to teacher to
researcher to author, and new graduate Commons attempt to address these
accompanying life cycle needs through a variety of spaces, services, and
technology. They are often conceived and marketed as a unified physical
space, frequently complimented by a virtual presence. Additionally, the
very nature of scholarly work is changing with the onset of new technolo-
gies, digital scholarship, and increasingly interdisciplinary research.
Libraries poised to respond to and support the needs of graduate students in
this new research environment will be well positioned to foster and become
active partners in productive scholarship.
The study reported in this chapter serves as a review of recently devel-
oped models of graduate commons—from here on referred to as Scholars’
Commons—in three prominent academic institutions in the United States,
defined by an emphasis on physical learning spaces, library personnel
staffing configurations, and a dynamic availability of research support
services. These shared provisions may well serve as a foundation to enhanced
The Scholars’ Commons 217
library-supported graduate student success. Through a synthesis of the com-
monalities prevalent in these systems, this chapter explores prospective
characteristics for Scholars’ Commons models, argues for Scholars’
Commons as an opportunity for libraries to increase graduate student pro-
fessional preparation, and provides discussion of needed future research.
This chapter will begin with a review of literature regarding student
and faculty usage of the library and offer reasoning for research on and
implementation of a graduate student-oriented Scholars’ Commons. The
discussion will then provide a survey of existing models identified by the
authors that display unified structural, service, and personnel criteria. An
evaluation of the features and offerings of current models will be provided,
followed by a discussion highlighting some of the considerations libraries
should reflect upon prior to the implementation of a Scholars’ Commons.
II. Literature Review
Academic institutions recognize that learning spaces should encourage
active and collaborative learning, generate opportunities for both formal
and informal work, and provide gathering places for students and faculty.
Significant research exists on library-as-place and on library usage for both
of undergraduate and faculty populations (Armatas & Vincent, 2011;
Barratt & White, 2010; Beagle, 2012; Leather & Marinho, 2009). Similar
studies have also been undertaken on undergraduate student use of library
space as a place to learn outside of the formal classroom and as a physical
location for studies, social interaction, group work, and access to informa-
tional resources (Head, 2007; Taylor, 2010; Walton, 2006). Most notably,
many libraries have created Information, Student or Learning Commons to
support this activity (Bailey & Tierney, 2008; Dewey, 2008; Ritchie & Ray,
2008; Stuart, 2009; Wong, 2009). From the perspective of libraries and
their physical domains, Information or Learning Commons have become the
standard-bearer for dedicated undergraduate spaces in academic libraries
since the 1990s (Colvin, 2010; Whitchurch, 2010).
Conversely, faculty utilizes the library primarily for the acquisition of
materials and only occasionally as space for research labors (Marcus, Covert-
Vail, & Mandel, 2007). Faculty members also utilize more specialized
research support services, such as scholarly communication and open access
publication assistance, than do other library user populations (Courtois &
Turtle, 2008; Malenfant, 2010; Mischo & Schlembach, 2011). Faculty also
use Institutional Repositories (IRs) (Jantz & Wilson, 2008), although their
actual usage is mixed according to Lercher (2008).
218 Michael Perini and Beth Roszkowski
In general, faculty purport to support library initiatives aimed at
enhancing both student and faculty scholarship, but it appears to be in a
hands-off, service-oriented manner. For example, Yang’s (2000) study found
that a vast majority of faculty value library services, but that only a fraction
utilized their liaisons for instruction and found faculties’ greatest use of the
library was ordering books or serials for their own use. Essentially, research
has shown that faculty members like and seemingly appreciate the services
provided by libraries, but many of them do not spend significant time in
libraries nor do they wish to partner with libraries to initiate or develop
new services. Therefore, library spaces and services intended for faculty, as a
patron population, may be ineffective. Given this, it may be more worth-
while for libraries to target a routinely underserviced population for colla-
borative service and scholarship opportunities: graduate students.
Within the field literature on graduate and/or doctoral education, many
studies exist that address curriculum design (Fong, 2012; Moore, Dilmore, &
Robinson, 2011), program planning (Gardner, 2010; Rasanen & Korpiaho,
2011), and even competencies within the programs that pertain to aspects of
student professionalism such as publishing and conference presentation
(Arrellano & Martinez, 2009). In addition, research has examined the efficacy
of program-internal learning methods, such as journal groups and compre-
hensive reading lists, and their benefits to students as emerging scholars
within their respective disciplines (Golde, 2007). Ideally, graduates of masters
or doctoral programs should emerge as scholars “who will creatively generate
new knowledge, critically conserve valuable and useful ideas, and responsibly
transform those understandings through writing, teaching and application”
(Golde & Walker, 2006, p. 5).
However, according to Foote (2010) “there is … a mismatch between
the implicit knowledge and skills needed to succeed in an academic career
and the topics explicitly in graduate curricula, advising and mentoring”
(p. 11). Large-scale research studies (Golde & Dore, 2001) examining the
publishing trends of graduate students, demonstrate the absence of
such preparatory training in this aspect of academic professionalism.
Additionally, there are also micro-level discussions that inspect the difficul-
ties with the professional academic productivity of graduate students.
Shelby and Okilwa (2011), for example, found that the challenges navigat-
ing the professional processes were compounded since “many graduate
programs are not structured to facilitate student publication” (p. 2).
Regardless of study size, findings suggest that graduate students discover
that the professionalism process is multifaceted and complicated when not
adequately developed or supported by academic programs.
Missing from these analyses concerning graduate student professional-
ism is the integrative and active role of the academic librarians and libraries
The Scholars’ Commons 219
in the process of preparing graduate students for life in academia. For exam-
ple, studies exist discussing graduate student productivity external to the
library (Barrick, Easterly III, & Rieger, 2011; Martı́nez, Floyd, & Erichsen,
2011) and publishing support services for graduate students at the library
(Richard, Koufogiannakis, & Ryan, 2009). Unfortunately there do not cur-
rently exist any analyses examining the value of combining both initiatives
and their collaborative outcomes. Therefore, graduate student Commons
may provide libraries and librarians with opportunities to support graduate
students as they prepare for and transition to professional academic life, to
market complementary services in a unified fashion, for scholarly collabora-
tion with graduate students, and to study the impact of such collaborations
on graduate student professionalism and growth.
Commons engineered to support graduate students, often called
Research Commons or Scholars’ Commons, which provide services and
spaces tailored to the unique needs of graduate students, are a recent
development in academic libraries which aim to address students’ profes-
sional support needs. The multiple roles graduate students play through-
out their academic life cycles—student, teacher, researcher, writer/author,
archivist, and job hunter—present libraries with significant research and
service opportunities (Covert-Vail & Collard, 2012), given the examined
mismatch between academic program curricula and the skills needed to
succeed in academia postgraduation. Forward-thinking institutions have
recognized that as graduate students progress through their programs and
their academic life cycles, their needs change significantly, and hence many
libraries have developed a suite of services to address these different needs.
The Scholars’ Commons model allows libraries to consolidate these often-
times already existing support services and research spaces into a “one-
stop-shopping” location (Rempel & Davidson, 2008), which often address
the service gaps that academic departments cannot address programmati-
cally on their own. Scholars’ Commons initiatives include copyright assis-
tance, publication and presentation preparation, grant writing, research
assistance, data management support, author rights consultations, scholarly
communications programming, data services support, and digital scholar-
ship, often in conjunction with other campus units (Rempel, Hussong-
Christian, & Mellinger, 2011; University of Virginia, 2008). Some
Commons even provide long-term work spaces for students as departmen-
tal offices are rarely available for those without research or teaching assis-
tantships. In essence, a Commons space can provide these students with “a
collaborative environment in which students and faculty can come together
to share and discuss research, as well as get support for all steps of the
research process: searching, writing, publishing, funding” (University of
Washington, 2013).
220 Michael Perini and Beth Roszkowski
Many of these Scholars’ Commons are newly established, and assessment
of student usage, satisfaction, and professional preparation outcomes in con-
junction with the newly created spaces is ongoing. The usefulness of many
of these innovations must be analyzed in the future so that graduate
Commons designs and approaches can continue to develop and evolve to
benefit future graduate student populations.
III. Benefits of a Scholars’ Commons
Scholars’ Commons, with their offerings of services aimed at the various
stages of graduate student life cycles, are well-poised to be an essential
bridge for graduate students as they transition from student to professional
academic. In essence, the Scholars’ Commons links the preparation of pro-
fessionalism, traditionally tied to academic departments, to the library.
This is a mutually beneficial opportunity for libraries, students, and
faculty.
A vital function of the academic unit is graduate student outcomes
as they relate to professionalism and to sustaining a particular field of
study. “At the practical level, career preparation is vital to sustaining and
improving [a discipline’s] position in higher education” (Monk, Foote, &
Schlemper, 2011, p. 1433). However, many academic departments are
unable to provide systematic, programmatic professional development sup-
port to all of their graduate students due to lack of funding, programming
space, or faculty/staff involvement. As discussed earlier, through the
Scholars’ Commons model, professional academic preparation can come
directly from librarians and libraries. Although many faculty members
believe incoming graduate students are fully prepared to conduct scholarly
research, student knowledge gaps certainly exist, and libraries can assist stu-
dents with their advanced scholarly pursuits through services such as data
management, literature review, or statistical analysis assistance when depart-
ments cannot provide comprehensive support (Rempel & Davidson, 2008).
As Golde (2007) noted, “changing a [graduate] program is not easy”
(p. 350), especially with regard to programs or departmental cultures. This
is especially true when proposing innovative service opportunities that meet
neglected student needs and come from a vantage point peripheral to the
academic department or college in question, as is the case with libraries.
However, systemic librarian integration with graduate students at a point-
of-need basis can engender the development of partnerships for the advance-
ment of students’ academic professionalism and facilitate greater knowledge
sharing, leading to improved future library services and student outcomes.
The Scholars’ Commons 221
Now is an opportune time for this effort, as the function of the aca-
demic librarian has shifted appreciably in the recent years (Goetsch, 2008),
and academic libraries are increasingly viewed as service-oriented organiza-
tions as opposed to mere repositories of materials (Jeevan, 2007). In the
past, academic librarians have been viewed as a form of quasi-faculty who
may struggle for parity in their academic institutions (ACRL, 2012),
thereby hindering their ability to collaborate with scholars. However, by
addressing the gaps in graduate student professionalism education, librar-
ians are poised to take a more active role in student outcomes. Additionally,
advancing technology has resulted in the accessibility of more advanced
research tools for librarians to utilize (Cardina & Wicks, 2004). The chan-
ging functions of academic librarians, along with the changing nature of
scholarship due to technological advancements, have created an exceptional
opportunity for the field. As Wolfe, Naylor, and Drueke (2010) assert,
“reference librarians are perfectly positioned to collaborate with other stake-
holders …[as] they operate in integrated virtual and physical worlds, where
the human and the computer work together” (p. 110). With this shift in
librarians’ roles, there is now the potential to alter perceptions as librarians
work within the framework of the Scholars’ Commons and become vital to
burgeoning graduate student professionalism.
IV. Selection of Current Models
At the inception of this study, the researchers identified Scholars’ Commons
using three criteria: unified physical spaces, staffing, and the services offered
therein, targeted to graduate students. These initial definitions established
boundaries for analysis of existing commons models and were instrumental in
identifying and evaluating current incarnations. The original survey of exist-
ing Scholars’ Commons began in the summer of 2013 with a review of the
library web sites of George Mason University’s Institutional Research and
Reporting Board’s list of peer institutions (George Mason University, n.d.).
From these 26 schools, it was found that only one, Florida State University
(FSU), met the selected criteria. Another institution, the University of
Massachusetts Amherst, does offer a “one-stop-stopping” Commons experi-
ence, but their Learning Commons is marketed toward undergraduates,
although graduate students are not discouraged from utilizing the Commons.
In order to gather a larger sample size, the study consequently was
expanded through literature and web site reviews to identify other large-
scale public and private institutions outside of the peer group that had
existing or imminently launched Commons features and spaces; 13
222 Michael Perini and Beth Roszkowski
Table 1
Final Commons Model Selection
Institution Parent unit Commons name
University of Washington Allen Library Research Commons
(UW)
Florida State University Robert Manning Strozier Scholars Commons
(FSU) Library
New York University (NYU) Bobst Library Research Commons
additional schools were examined. Surprisingly, while many schools offer
individual services and facilities that may be incorporated into a Commons,
such as statistical analysis or rooms for dissertation writers, there were few
institutions that marketed Commons in a complete, defined form. In total,
39 institutions were examined, and only three institutions with active
Commons were identified; a fourth school, Indiana University, was actively
preparing to launch a Commons but had not yet done so. Final model selec-
tions can be viewed in Table 1.
The vast majority of the information about these Commons was gleaned
from the institutions’ respective web sites, although staff and administrators
were contacted when basic structural clarification was required. Outlined
characteristics of the Commons are found in Table 2.
Covert-Vail and Collard (2012) offer a more structured, refined frame-
work through which to consider offerings at a Scholars’ Commons.
Considering the prospective offerings that a research library might provide
graduate students, both generally and within a Commons space, Covert-
Vail and Collard organize their recommendations into four categories: new
use of space; segmented services; partnerships; and new organizational structures.
The authors used this framework since it highlights new features for model
design and practiced considerations for the implementation of a future
Scholars’ Commons.
Using these refined parameters, three institutions were analyzed.
V. Findings
A. New Use of Space
Covert-Vail and Collard (2012) state that “the growing need for
collaboration—particularly across disciplines—and for services from
The Scholars’ Commons 223
Table 2
Summary of Scholars’ Commons Characteristics
Staffing and management Hardware and software Programming and services Academic unit collaborators Spaces
Librarians Library Staff Data software: SPSS, Stata, Research support: drop-in Academic Units Quiet study
Student workers R, NVivo sessions, office hours, 1- Graduate schools Collaborative study
Internally hired manager GIS software on-1 consultations Writing Center Comfortable seating
Externally hired manager Text analysis software Book clubs Information Technology White boards/white
Team management Ipads Scholarly communications department board paint
Poster printing support: author rights, Dean of Information Reading rooms
copyright assistance Technology Dissertation Writers’
Grant writing workshops Center for Faculty Room
Data analysis & statistical development Computer labs
support Graduate student services Presentation spaces
Writing help Café space
Multimedia labs
Research materials
storage space
224 Michael Perini and Beth Roszkowski
multiple library or campus providers leads to new use of library space”
(p. 5). The increasingly interdisciplinary nature of research and the chan-
ging role of the library as a place to promote graduate professionalism dic-
tate the need for new use of space within libraries. Space availability and
usage directly influences what services can be provided, what partnerships
can be developed, and how staff may need to be reorganized. For this reason,
space is the foundation upon which a Scholars’ Commons might be built.
Dedicated physical space, as might be expected, was a commonality
within all of the surveyed Scholars’ Commons. The differences in institu-
tional facilities are primarily manifested in the size and scope of the actual
spaces. New York University’s (NYU) Research Commons, which opened in
2010, featured a variety of open, collaborative study spaces as well as quiet,
limited access “writer’s rooms” suitable for individual study (New York
University, 2013). Other physical considerations by NYU included comfort
of the common area seating and sensory concerns such as acoustics and
lighting.
Access to open areas generally conformed to the hours of the host library.
Some spaces, such as the NYU Dissertation Writers’ Room, have restricted
access, even for graduate students; access may be obtained by special request,
lottery, or swipe card. Other spaces are open and accessible to all patrons. It
should also be noted that while many of the Commons’ reviewed here are
aimed at graduate students, several of them do not forbid nor explicitly
restrict undergraduate students from open areas within the Commons.
B. Segmented Services
As previously intimated, space design influences the services that can be
provided. Covert-Vail and Collard (2012) suggest that the multiplicities of
graduate students create different service needs depending on a variety of
factors. These influences “include demographic pressures; resource inequal-
ity among academic departments, programs, and even the terminal degree
sought; the academic life cycle; and the consequent multiple roles graduate
students occupy” (p. 5). Thus results the need for and development of seg-
mented services for graduate students.
The most basic of these services are technological. Software is plentiful
at many Commons. NYU makes many statistical, qualitative, and GIS ana-
lytical tools available to students, such as SPSS, SAS, STATA, Qualtrics,
Matlab, and others. It also has a Digital Lab that provides access to Final
Cut Studio, Compressor, Adobe, Audacity, Logic 9, and more (Collard, per-
sonal communication, August 15, 2013). Similar offerings were proffered at
FSU; the Research Commons at UW focuses more on making technologies,
as opposed to software, available to students: camcorders, plasma screens,
The Scholars’ Commons 225
projectors, etc. The great variability in student demographics presents
libraries with challenges with regards to access (of both the space and ser-
vices) and potential outreach opportunities. Offering instruction at a variety
of graduate student-friendly hours, such as in the evening or on weekends
to meet the needs of part-time students seems standard as does giving access
cards to restricted spaces such as those at NYU. When determining seg-
mented services for students, the academic life cycle is perhaps the most sig-
nificant consideration. In theory, a fifth-year doctoral student planning for a
tenure-track career in academe should have a better understanding of publi-
cation processes than a first-year master’s student. As a result, the services
offered to students must address variations of student needs across their pro-
grammatic years as well as their fields of study.
The University of Washington’s (UW) Commons offers a Design Help
Desk that caters to early-stage graduate students looking to improve visual
presentation and publication skills. That Commons also offers specific
middle-stage graduate student aid through grant and scholarship acquisi-
tion workshops and late-stage help in the form of dissertation writing ser-
vice (University of Washington, 2013). The diversity of services also
predicates the possibilities of collaborations through partnerships with the
campus community, such as Career Services or Information Technology.
C. Partnerships
Partnerships with external departments—both academic and administrative
units—can contribute significantly to the functionality of the Scholars’
Commons since they demonstrate the collaborative means by which the
system might succeed operatively. Covert-Vail and Collard (2012) affirm
that “libraries are leveraging their partnerships with academic and
administrative units across campus to enhance the quality and efficacy of
graduate-focused services and spaces” (p. 5). Surveyed commons’ established
partnerships varied greatly by school, both in terms of institutional organi-
zation and support as well as the technologies they offered. NYU’s
Commons is supported by various existing, internal library units such as
Business and Gov Docs, Science and Health, and Data Services sections, as
well as General Reference (Collard, personal communication, August 1,
2013). Individual coordinators manage each section and meet regularly to
organize Commons’ scheduling and services. In contrast, services that are
administrated externally to the libraries also flourish in a Scholars’
Commons. FSU’s Commons uses its space for events hosted by the Library,
in conjunction with other units, and for events hosted or managed by other
campus entities, such as “book discussion groups, guest lectures, faculty
symposia and graduate research fairs” (Florida State University, 2013).
226 Michael Perini and Beth Roszkowski
Other units that work in partnership with the Research Commons at FSU
are the Office of Faculty Recognition, Center for Humanities & Society, and
Office of Graduate Fellowship and Awards (Colvin, 2010). Here, an assort-
ment of campus units collaborate in order to best support student learning.
What is notable about Commons design with regard to partnerships is that
most libraries, including those that do not feature a unified graduate
Commons, offer some or all of these technologies and unit-specific services.
The vast majority of libraries differ from the few schools discussed here
because they do not as yet conceptualize their services as part of an academic
life cycle-focused Scholars’ Commons, or at the very least do not market
their services as a collective, one-stop-shopping entity.
D. New Organizational Structures
New organizational structures may emerge due to the partnerships and
services provided in the new spaces, as well as through staff reorganization.
As Covert-Vail and Collard point out, “research libraries will need to culti-
vate and recruit for the new roles, relationships, and expertise needed to
provide for dynamically evolving graduate student needs” (p. 5). First, the
physical space might differ from previous services areas. A new reference or
information desk might be added—or an old one taken away! Decisions
about the staffing of service points must be made, particularly the hours of
availability, the personnel levels (librarian, staff, or student), and the depart-
ment from which personnel are drawn. If technology is upgraded, staff
must be trained to accommodate questions about it. Some services might
require additional staff specialties (event planning for example) or might
require supplemental, temporary staffing.
In the surveyed models, staffing levels varied by institution and were
linked directly to the services provided at each. Prior to the debut of their
Commons, NYU librarians were significantly retrained in preparation for
operating in a unified space to ensure that students were given appropriate
referrals to Commons services. Later, new positions were added to the staff
to accommodate growth in the Commons’ (Collard, personal communica-
tion, August 1, 2013). New position might entail a Commons Coordinator,
staff to man information desks, or technical support personnel to assist with
complex hardware and software. As of 2013, FSU runs their Commons with
seven librarians and four support staff members (Florida State University,
2013). In contrast, UW operates with two librarians, one staff member and
three graduate research assistants.
In addition, hours of staff accessibility vary according to intuition. At
FSU, for example, librarians were available from 8:00 a.m. to 5:00 p.m. or
The Scholars’ Commons 227
by appointment, although students can access the Commons area whenever
the Strozier Library (its host) is open (Florida State University, 2013). This
practice is likely in use in many academic libraries—both those with and
without a Commons. In general, libraries implementing a Commons will
have to ensure that staffing patterns correspond with demand depending on
the physical space and the services provided.
Table 3 provides the overall results of the narrative findings.
From these data, it became apparent that for institutions planning a
Commons, major preliminary considerations concern projected user needs as
well as usage and marketing to the targeted audiences. Should a school focus
on graduate students alone or a mix of graduate students and faculty? All
Table 3
Commons Models’ Characteristics by Institution
Institution FSU NYU UW
Established 2008 2010 2010
Physical area 1st floor of Strozier 4th and 5th floor of 1st floor of Allen
Library Bobst Library South Library
Spaces Open reading room, Space for individual Space for individual
group study study and group study and group
rooms, conference work, collaborative work, collaborative
rooms, instruction technology rooms, technology booths
room, computer limited access and collaborative
labs “writers’ rooms,” screen spaces,
computer labs, presentation spaces,
quiet reading Grants and
rooms, individual Funding
study rooms, Information
Digital Lab Services Office
Access Some rooms require Some rooms require Some spaces and
key access or swipe card access rooms require
reservations or reservations reservations
Services Data services, Data services, digital Research
research projects assistance, consultations with
consultations with research graduate students,
librarians, book consultations with workshops, grant
discussions, librarians writing
workshops, programming,
symposia themed talks,
symposia, writing
assistance
228 Michael Perini and Beth Roszkowski
Table 3 (Continued )
Institution FSU NYU UW
Technology SPSS, SAS, Stata, SPSS, SAS, Stata, R, Plasma screens,
Matlab, NVivo, ESRI GIS camcorders,
media view products, projectors, white
equipment, white Qualtrics, Matlab, boards, no
board paint, Final Cut Studio, computers in the
projector compressor, Adobe space
CSS, Lynda.com,
Pro Tools, Logic 9,
Soundtrack Pro,
Audacity, Garage
Band, white
boards, LCD
screens
Leadership Head, Scholars Four Librarian Research Commons
Commons Coordinators Librarian
Partnering Office of Faculty Information Information
units Recognition, Technology Technology,
Center for Graduate School,
Humanities and Writing Center
Society, Office of
Graduate
Fellowship and
Awards & Testing,
Graduate School
students? What services do students need? Additionally, economic consid-
erations are plentiful. Technology and individuals properly trained to oper-
ate and maintain specialized hardware and software can be quite costly.
Therefore, what services, and accordingly what staffing, are required (or
needed) to operate a Scholar’s Commons at an optimal level? The following
section discusses the implications of these issues.
VI. Discussion
One of the most notable conclusions drawn from this study of selected
Scholars’ Commons is that a great number of the services provided are already
operating in unconnected capacities at many academic libraries, but they have
yet to be conceptualized and marketed as a cohesive Commons that can fully
The Scholars’ Commons 229
address a broad range of graduate student needs. This begs the questions of
library organizational revision, both review and redesign of a library’s internal
organizational relationships as well as identification and partnering with non-
library entities within the larger institution for the benefit of the academic
community. Internally, libraries can reorganize spaces and services through a
reassessment of their physical and human resources, as evidenced by NYU’s
Commons development. There, a cohesive suite of services, within a unified
space, offers libraries a supremely marketable entity, thereby reducing indivi-
dual librarians’ outreach burden in favor of advertising the Commons as a
“one-stop-shop” for student research and support needs.
A. New Use of Space
As mentioned previously, Scholars’ Commons provide advanced students
with dedicated research and work space that academic departments may be
hard pressed to provide for both master’s and PhD students. Additionally,
throughout academia, there is a growing need for systems and services that
allow users to interact “in increasingly complex ways with digital
resources—including data, images, text, and video” that Scholars’
Commons aim to address (Covert-Vail & Collard, 2012, p. 12). To some
readers, this aspect of the Scholar’s Commons model might bring to mind
Digital Humanities (DH) spaces since some of their programmatic offerings
and purposes overlap. In order to expound upon new and existing research,
DH digitizes the methodologies of the humanities disciplines and has
gained significant traction in the field during the past 15
20 years (Sula,
2013). The authors believe that DH spaces and personnel focus on the
implementation of digital tools in order to supplement or maximize
research project potential while the purpose of a Scholars’ Commons is
broader. DH is just one component of the kind of activity that might take
place in a multidisciplinary Commons space. For example, the Scholars’
Commons might provide a student with assistance in utilizing GIS software
to create maps related to historical texts. This might also take place in a
DH space, but in a Commons a student would also receive guidance on
author rights and publishing the resulting maps. A DH requires a signifi-
cant amount of specialized staff, hardware, and software in order to operate
successfully. If a library can unify spaces and services for graduate students
and either create new or reallocate old spaces for dedicated graduate study,
such as with UW’s computer-free Research Commons the basic components
of the Scholars’ Commons are achievable, whereas DH operations often need
endowment or grant funding to develop and operate their specialized digi-
tized offerings.
230 Michael Perini and Beth Roszkowski
B. Segmented Services
Several of the Commons, such as UW’s version, market themselves as pro-
viding services to both graduate students and faculty. However, the authors
believe this may not be the most advantageous use of library resources and
outreach efforts. As the literature suggests, the majority of faculty generally
use the library simply for the acquisition of materials while their utilization
of other library services and resources is much more mixed. Therefore, if
faculty study spaces are provided within a library but few use them, then
limited library space is put to poor use. Library services marketed to faculty
might meet the same fate.
Covert-Vail and Collard (2012) also note that the heavy growth in mas-
ter’s programs in recent years may result in information inequalities for
master’s students: “graduate student services and support may have been
initially configured for doctoral populations … master’s program may be
effectively sealed off from the rest of the academic department, considered
standalone, and therefore not receive information about resources and ser-
vices that the library provides” (p. 7). With this in mind, it is important
for libraries to assess the needs of all of their graduate students, both mas-
ter’s and doctoral, and craft and curate services that meet the academic life
cycle needs of both of these graduate student bodies. Additionally, having a
singular, marketable entity like a Scholars’ Commons may reduce the indi-
vidual student burden of seeking out services, especially for the “sealed off”
students Covert-Vail and Collard reference.
From a fiscal standpoint, it may behoove library administrators to focus
material and personnel resources toward the patrons who show a higher per-
centage of usage, whether that be all graduate students, PhD students, mas-
ter’s students, or faculty. Individual libraries should be prepared to collect
and analyze assessment data on their patrons’ needs in order to make
informed, strategic service decisions about which audiences to target for
Scholars’ Commons spaces and services. This might appear as counterintui-
tive to many whom view libraries as a common good which serves all
patrons, but it actually demonstrates a more focused approach to marketing
and outreach according to Buchholz (2009).
C. Partnerships
With respect to scholastic collaboration with academic and other campus
units, the areas where librarian
faculty collaboration have shown promise,
according to Kennedy and Monty (2011), can be extended to graduate stu-
dents within the Commons model. For example, some of the services offered
The Scholars’ Commons 231
by the UW’s Research Commons in support of faculty, such as grant man-
agement software and research support, could directly support the possibi-
lity of student
librarian interaction. A passive service role for librarians
when students merely seek help to find research material is not suggested
here. Instead, a working, collaborative relationship is envisioned wherein
both student and librarian benefit by producing scholarly works and the
professional skills of graduate students can be developed.
For example, FSU’s Scholars Commons hosts research fairs, lectures, and
symposia (Florida State University, 2013), activities that are essentially loca-
lized opportunities for graduate students to explore their professional possi-
bilities. In this manner, the Scholars’ Commons is able to provide graduate
students with the opportunity to partner with the library to produce scho-
larship while navigating current and future professional academic expecta-
tions. The Commons provides a physical place which enables this type of
collaboration to occur, while also increases the chance for students to dis-
cover new, useful services and resources that comprise a “one-stop-shopping”
space. The marketing of a Commons in this way increases the potential for
augmented, successful outreach from the librarian perspective and
encourages a different and altered cultural approach to graduate student
education and professionalism.
Another consideration during the design phase of a Commons is that
the collaborative partnerships between librarians and other units on campus
that provide services in the Commons must be strategically devised.
Research advocates for the proliferation of partnerships across academic divi-
sions (Carrillo, 2012; Janke, Kelley, & Soliman, 2013; Real, 2012), but
point out that obstacles to full and total cooperation between units persist.
Lester (2011) asks “Why are there so few partnerships between student
[services] and academic affairs? There is no single answer; rather, we must
acknowledge that organizational life in higher education pulls us apart
rather than together” (p. 80). There are no distinct, defined reasons that can
be pinpointed to explain the proclivity for units to look inward when
designing innovative services. In developing a Scholars’ Commons, external
partnerships with academic units would warrant when deciding the scope of
services to be provided.
Part of the reason for failed or stalled partnerships has to do with the
real or perceived cultural silos that are manifest on campuses. “Cultural dif-
ferences between the divisions, as well as the real and perceived differences
in the deeply held values and beliefs about students and their education,
hamper the pursuit of cross-divisional partnership” (Arcelus, 2011, p. 64).
Essentially, instructional faculty likely considers their role in the education
of students to be more relevant to the students’ complete learning outcomes
232 Michael Perini and Beth Roszkowski
than those offered by external units, including those offered by the library.
In addition, practical inhibitors to collaborative services may persist. For
instance, if a writing center mainly serves undergraduates, then collabora-
tion with a graduate student-focused Scholars’ Commons may be unsuccess-
ful for both units. Furthermore, units with different missions that agree to
jointly offer advanced software, technology, and communications support
may fail unless they have clearly defined shared goals from the outset. Also
if the relative goals of an academic department do not mesh with the aims
of a Scholars’ Commons, a direct partnership may not make sense.
In hopes of addressing these kinds of roadblocks to student success,
Arcelus (2011) suggests that “institutions should dissolve the deeply
entrenched division of labor between faculty (attending to students’ intellec-
tual development) and student [services] (focusing on students’ social and emo-
tional development), acknowledging … [that] intellectual development does
not happen exclusively in the class and social and emotional development does
not happen exclusively out of class” (p. 63). Without suggesting the primacy
of classroom-based or extracurricular learning, many studies have demonstrated
the validity of both arenas of education (Qualters, 2010; Strachan & Owens,
2011; Ullman, 2010). In essence, learning is ubiquitous and transcends the
existence of academic departmental silos. Clearly, such impediments must be
weighed carefully prior to building a Scholars’ Commons. Is the implementa-
tion of a Scholars’ Commons practical within the internal organization of the
library? Are there external opportunities for collaboration? Is collaboration a
realistic solution to providing services? Library directors and administrators
must address these variables in order to design a viable and sustainable space
that truly will benefit graduate students as scholars.
D. New Organizational Structures
Another issue pertains to the organizational leadership of a Scholars’
Commons. As noted, the Scholars’ Commons models examined here either
used existing staff in the Commons or they hired new staff to direct and
coordinate its activities. There are two options for Scholars’ Commons lea-
dership that emerge: one, librarians and two, academicians.
Both librarians and nonlibrarian staff can serve in organizational roles
for Scholars’ Commons, though librarians held the main leadership posi-
tions at the institutions surveyed. For example, the four major organiza-
tional components of NYU’s Commons—Business and Government
Documents, Science and Health, Data Services, and General Reference—are
led and coordinated by librarians. As responsibilities increased, additional
nonlibrarian support staff were added (Collard, personal communication,
The Scholars’ Commons 233
August 15, 2013). FSU’s Scholars Commons is headed by a librarian, with
additional librarians and three staff members in support (Florida State
University, 2014). Similarly, the UW’s Commons has a lead librarian and
an assistant librarian aided by one staff member and three graduate student
assistants (University of Washington, n.d.).
However, there are extant examples of nonlibrarians serving in leader-
ship roles in library departments. In 2011, McMaster University Librarian
Jeff Trzeciak stated that it would endeavor to hire only subject-specific
PhDs and IT specialists throughout the McMaster system (Dupuis, 2011).
For a comparable illustration to the Commons model, the University of
Virginia’s Adler Library features the Scholar’s Lab, which is a DH enterprise
at heart, but shares attributes with the Scholars’ Commons studied herein
in terms of research scope and outreach. The director of that particular
library organization, Dr. Bethany Nowviskie, holds a PhD in English
Language and Literature and an MA Ed in English Education. While
Dr. Nowviskie has no library science degree, the Scholar’s Lab thrives in its
interaction and collaborative research with both students and faculty on
campus. Libraries entertaining the establishment of a Common’s director
position might explore the potential of adding personnel from diverse edu-
cational backgrounds into leadership positions in this way. This proposal,
which may seem capricious to many in the field, may stand to amplify the
standing of the Scholars’ Commons in the larger university community.
Key here is the question of whether or not librarians and their staff can
better prepare graduate students for research than their departmental faculty
and advisers. This is inevitably coupled with the age old question of aca-
demic librarians, their status and scholarly expectations of them within
their institutions. This issue is not appropriate to rehash here except to say
that the leadership of a Scholar’s Commons must be sensitive to each insti-
tution’s policies and practices and culture.
VII. Future Research
The design of a Scholars’ Commons has been underway at George Mason
University for several years. A new library addition is being built onto the
graduate library, Fenwick Library, and is projected to open in 2016; a
Research Commons will comprise one floor of the new building. A task
force was established during the summer of 2013 and charged with recom-
mending interior features and services that should be offered within the
space. The task force has examined other schools’ models and has conducted
both quantitative and qualitative graduate student assessments in order to
234 Michael Perini and Beth Roszkowski
identify student space and services preferences. Initial recommendations
were presented to the Associate University Librarian for Research and
Education Services at the end of the 2014 spring semester. Analyses of these
reports are expected to extend into the 2015 calendar year.
The models discussed here informed the measures utilized in student
assessments. With regards to future research, institutional-specific research
questions, based on inputs from students, faculty, and staff, will need to be
identified and answered before the Commons space is established. These
include library staff reorganization and analyses on a Commons operations’
impact on institutional and library cultures and usage.
Clearly, there are ample opportunities for external research as well.
Consider that the Scholars’ Commons is a physical entity: while digital
tools such as Infoguides and research portals may supplement students’
learning outside of the library, a Commons’ space as conceived here is not
yet designed to provide optimal service for distance education students.
Prospective researchers should question whether changing technology might
challenge the importance of physical spaces altogether. One-stop-shops of
information and services exist in the virtual realm in the form of aforemen-
tioned Infoguides and research portals. Cloud-based instruction and refer-
ence allow for ubiquitous convenience and outreach. Access to such services
also increases with the use of tablets, smartphones, and other forms of tech-
nology that have emerged and proliferated as research tools in recent years.
The purpose of the Scholars’ Commons as described here is to provide
direct service(s) to the graduate student population in a unified and
marketable fashion within the physical confines of the library. Technologies
obviously have the ability to nullify the importance of the physical presence
of such a space. The question then becomes: Which avenue provides better
service for the targeted student base, in-person or online? Should libraries
stress the importance of having students actually visit the library? Ways in
which libraries might best diffuse similar services and provide support for
extended segments of the student population through technology should be
considered and explored.
Lastly, longitudinal studies on the overall effects of the Scholars’
Commons might interest researchers. The initial intent of the space is to
enhance the professional development of graduate students. It would be of
interest to determine how much of an impact, if any, the Scholars’
Commons might have for an incoming doctoral student. Will the spaces
and service make a difference in the student’s professional advancement?
The authors would suspect yes, but concrete research would verify this
belief. In addition, did the collaborative opportunities offered by the
Scholars’ Commons result in more publications for librarians and library
The Scholars’ Commons 235
staff? Again, the expectation is yes, but a research study may produce desir-
able answers. In sum, opportunities for future research include:
• Analyses of Commons’ successes and challenges
• Consideration of Commons’ applicability for distance learning
• Role of changing technology in Commons’ models
• Long-term studies inspecting the efficacy of Scholars’ Commons to influence learning experi-
ences and outcomes
VIII. Conclusion
This chapter reviewed a handful of institutions in the United States which
have created Scholars’ Commons that, by design, address the need for physi-
cal learning spaces, library personnel, and dynamic services that support
graduate students. They provide a viable model through which academic
libraries may design new or alter existing physical spaces in order to provide
services that will benefit the graduate student sector. While the services
reported in this chapter are relatively uniform, the collective and shared
form of the Commons model tends to be unique in scope. Therefore, though
preemptive staff training and space design are essential, a prospective reor-
ganization of library units in order to develop a Scholars’ Commons is
possible.
Key to the Scholars’ Commons model is the reevaluation of library
spaces and services that might provide the opportunity for additional
campus-based partnerships and address potential shortcomings in the pro-
fessional academic development of the graduate student. As was intimated,
acceptance of this change to services and space may find opposition, as resis-
tance to collaboration, both internal and external to the library organiza-
tion, may make the initial implementation of the Commons model
difficult. Additionally, leadership of a Commons may be undertaken by
both librarians and nonlibrarian staff, providing organizational and struc-
tural options for administrators.
Library administrators interested in developing Scholars’ Commons
targeted at their graduate student populations should consider the frame-
work presented in this chapter focusing on key areas: new uses of space,
segmented services, partnerships, and new organizational structures. As
well, they should reflect upon the other malleable factors noted, such as
technologies provided. Libraries should focus their marketing of a
Commons and its services to the specific clientele that will utilize the
Commons, and the missions of the units involved must be cohesive in their
goals, or difficulties may emerge. Scholars’ Commons offer opportunities for
236 Michael Perini and Beth Roszkowski
increased professional collaborations between librarians and graduate
students and greatly enhance the potential for communal partnerships
throughout an academic campus.
References
Arcelus, V. J. (2011). Transforming our approach to education: Cultivating partner-
ships and dialogue. In P. M. Magolda & M. B. Baxter Magolda (Eds.), Contested
issues in students affairs: Diverse perspectives and respectful dialogue (pp. 61
74).
Sterling, VA: Stylus.
Arellano, E. C, & Martinez, M. C. (2009). Does educational preparation match pro-
fessional practice: The case of higher education policy analysts. Innovative Higher
Education, 34(2), 105
116. doi:10.1007/s10755-0099097-0
Armatas, C., & Vincent, A. (2011). Leveraging the collaborative and interactive
potential of 21st century learning spaces: Victoria university’s student business
innovation and incubation space. The International Journal of Learning, 18(2),
133
142.
Association of College and Research Libraries (ACRL). (2012). Guidelines for aca-
demic librarians without faculty status. College & Research Libraries News, 73(3),
161
162. Retrieved from http://crln.acrl.org/content/73/3/160.full.pdf+html
Bailey, D. R., & Tierney, B. (2008). Transforming library service through information
commons: Case studies for the digital age. Chicago, IL: American Library
Association.
Barratt, C., & White, E. (2010). Case study for a large research institution library:
The University of Georgia’s Miller learning center. Journal of Library
Administration, 50(2), 135
144. doi:10.1080/01930820903454977
Barrick, R. K., Easterly, R. G., III, & Rieger, M. W. (2011). Assessment of gradu-
ate student productivity and satisfaction. NACTA Journal, 55(2), 54
60.
Retrieved from http://www.nactateachers.org/images/stories/NACTA/JUNE_
2011_NACTA_Journal.pdf
Beagle, D. (1999). Conceptualizing an information commons. The Journal of
Academic Librarianship, 25(2), 82
89. doi:10.1016/S0099-1333(99)80003-2
Beagle, D. (2012). The emergent information commons: Philosophy, models, and
21st century learning paradigms. Journal of Library Administration, 52(6
7),
518
537. doi:10.1080/01930826.2012.707951
Buchholz, J. (2009, February 1). Marketing firms change focus, clientele to stay
profitable. Phoenix Business Journal. Retrieved from http://www.bizjournals.com/
phoenix/stories/2009/02/02/story6.html?page=all
Cardina, C., & Wicks, D. (2004). The changing roles of academic reference librar-
ians over a ten-year period. Reference & User Services Quarterly, 44(2), 133
142.
Retrieved from http://www.jstor.org/discover/10.2307/20864329?uid=37398
08&uid=2&uid=4&uid=3739256&sid=21104692768117
Carrillo, T. (2012, May 7). How to choose an educational partner and take advan-
tage of all the benefits. T+D Magazine, 66(5), 66
68. Retrieved from http://
www.astd.org/Publications/Magazines/TD/TD-Archive/2012/05/How-to-Choose-
An-Educational-Partner-and-Take-Advantage-of-All-the-Benefits?mktcois=c.career-
development-2-subtopic%7ec.jobs%7ec.training-and-development&mkttag=c
The Scholars’ Commons 237
Colvin, G. (2010). The scholars commons: Spaces and services for faculty and
graduate students. Florida Libraries, 53(1), 6
8. Retrieved from http://diginole.
lib.fsu.edu/scholar_com
Courtois, M. P., & Turtle, E. C. (2008). Using faculty focus groups to launch a
scholarly communication program. OCLC Systems & Services, 24(3), 160
166.
doi:10.1108/10650750810898192
Covert-Vail, L., & Collard, S. (2012). New roles for new times: Research library services
for graduate students. Washington, DC: Association of Research Libraries.
Retrieved from http://arl.org/bm~doc/nrnt-grad-roles-20dec12.pdf
Dewey, B. I. (2008). Social, intellectual, and cultural spaces: Creating compelling
library environments for the digital age. Journal of Library Administration, 48(1),
85
94. doi:10.1080/01930820802035059
Dupuis, J. (2011). McMastergate in chronological order, or, do libraries need librarians?
Confessions of a Science Librarian. Retrieved from http://scienceblogs.com/con-
fessions/2011/05/17/mcmastergate-in-chronological/
Florida State University. (2013). Scholars commons. Retrieved from http://www.lib.
fsu.edu/scholars-commons
Florida State University. (2014). Scholars commons faculty and staff. Retrieved from
http://www.lib.fsu.edu/scholars-commons/staff
Fong, R. (2012). Framing education for a science of social work: Missions, curricu-
lum, and doctoral training. Research on Social Work Practice, 22(5), 529
536.
doi:10.1177/1049731512452977
Foote, K. E. (2010). Creating a community of support for graduate students and
early career academics. Journal of Geography in Higher Education, 34(1), 7
19.
doi:10.1080/03098260902954087
Gardner, S. K. (2010). Keeping up with the Joneses: Socialization and culture in
doctoral education at one striving institution. The Journal of Higher Education,
81(6), 728
749.
George Mason University, Institutional Research & Reporting. (n.d.). George Mason
University Peer Institutions effective 7/09/2011. Fairfax, VA: Author. Retrieved
from http://irr.gmu.edu/PeerList/peerlist2011.cfm
Goetsch, L. A. (2008). Reinventing our work: New and emerging roles for
academic librarians. Journal of Library Administration, 48(2), 157
172.
doi:10.1080/01930820802231351
Golde, C. M. (2007). Signature pedagogies in doctoral education: Are they
adaptable for the preparation of education researchers? Educational Researcher,
36(6), 344
351. doi:10.3102/0013189X07308301
Golde, C. M., & Dore, T. M. (2001). At cross purposes: What the experiences of doctoral
students reveal about doctoral education. A report prepared for The Pew
Charitable Trusts, Philadelphia, PA. Retrieved from http://www.phd-survey.org/
report%20final.pdf
Golde, C. M., & Walker, G. E. (Eds.). (2006). Envisioning the future of doctoral educa-
tion: Preparing stewards of the discipline. Carnegie essays on the doctorate. Jossey-
Bass, San Francisco, CA.
Head, A. J. (2007). Beyond Google: How do students conduct academic research?
First Monday, 12(8). Retrieved from http://firstmonday.org/article/view/1998/
1873#author
Janke, K. K., Kelley, K. A., & Soliman, S. R. (2013). The power of many:
Building capacity for assessment through cross institutional collaboration.
Assessment Update, 25(1), 1
16. doi:10.1002/au.251
238 Michael Perini and Beth Roszkowski
Jantz, R. C., & Wilson, M. C. (2008). Institutional repositories: Faculty deposits,
marketing, and the reform of scholarly communication. Journal of Academic
Librarianship, 34(3), 186
195. doi:10.1016/j.acalib.2008.03.014
Jeevan, V. J. (2007). Technology-enhanced library services and the librarian’s iden-
tity crisis in academic and research libraries of India. Libri: International Journal
of Libraries & Information Services, 57(2), 100
109. doi:10.1515/libr.2007.100
Kennedy, R., & Monty, V. (2011). Faculty-librarian collaboration and the develop-
ment of critical skills through dynamic purposeful learning. Libri: International
Journal of Libraries & Information Services, 61(2), 116
124. doi:10.1515/
libr.2011.010
Leather, D. J., & Marinho, R. D. (2009). Designing an academic building for 21st-
century learning: A dean’s guide. Change: The Magazine of Higher Learning, 41(3),
42
49. doi:10.3200/CHNG.41.3.42-49
Lercher, A. (2008). A survey of attitudes about digital repositories among faculty
at Louisiana State University at Baton Rouge. Journal of Academic Librarianship,
34(5), 408
415. doi:10.1016/j.acalib.2008.06.008
Lester, J. (2011). Supporting intragroup and intergroup dialogues: A model for col-
laborative campuses. In P. M. Magolda & M. B. Baxter Magolda (Eds.), Contested
issues in students affairs: Diverse perspectives and respectful dialogue (pp. 61
74).
Sterling, VA: Stylus.
MacWhinnie, L. A. (2003). The information commons: The academic library of the
future. Portal: Libraries and the Academy, 3(2), 241
257. doi:10.1353/
pla.2003.0040
Malenfant, K. J. (2010). Leading change in the system of scholarly communication:
A case study of engaging liaison librarians for outreach to faculty. College &
Research Libraries, 71(1), 63
76. Retrieved from http://crl.acrl.org/content/71/1/
63.full.pdf+html
Marcus, C., Covert-Vail, L., & Mandel, C. A. (2007). NYU 21st century library pro-
ject: Designing a research library of the future for New York University. New York,
NY: New York University. Retrieved from https://library.nyu.edu/about/
KPLReport.pdf
Martı́nez, R. S., Floyd, R. G., & Erichsen, L. W. (2011). Strategies and attributes
of highly productive scholars and contributors to the school psychology litera-
ture: Recommendations for increasing scholarly productivity. Journal of School
Psychology, 49(6), 691
720. doi:10.1016/j.jsp.2011.10.003
Mischo, W. H., & Schlembach, M. C. (2011). Open access issues and engineering
faculty attitudes and practices. Journal of Library Administration, 51(5/6),
432
454. doi:10.1080/01930826.2011.589349
Monk, J. J., Foote, K. M., & Schlemper, M. B. (2011). Graduate education in U.S.
geography: Students’ career aspirations and faculty perspectives. Annals of the
Association of American Geographers, 102(6), 1432
1449. doi:10.1080/
00045608.2011.601199
Moore, D. W., Dilmore, T., & Robinson, G. B. (2011). Advancing knowledge and
research: Developing a doctoral program in clinical and translational science.
CTS: Clinical & Translational Science, 4(5), 359
362. doi:10.1111/j.1752-8062.
2011.00288.x
New York University. (2013). Bobst library research commons. Retrieved from http://
nyu.libguides.com/researchcommons
The Scholars’ Commons 239
Qualters, D. M. (2010). Making the most of learning outside the classroom. New
Directions for Teaching & Learning, 2010(124), 95
99. doi:10.1002/tl.427
Rasanen, K., & Korpiaho, K. (2011). Supporting doctoral students in their profes-
sional identity projects. Studies in Continuing Education, 33(1), 19
31. doi:10.
1080/0158037X.2010.515568
Real, L. A. (2012). Collaboration in the sciences and the humanities: A compara-
tive phenomenology. Arts & Humanities in Higher Education, 11(3), 250
261.
doi:10.1177/1474022212437310
Rempel, H., & Davidson, J. (2008, Winter-Spring). Providing information literacy
instruction to graduate students through literature review workshops. Issues in
Science & Technology Librarianship, 53(2). doi:10.5062/F44X55RG
Rempel, H. G., Hussong-Christian, U., & Mellinger, M. (2011). Graduate student
space and service needs: A recommendation for a cross-campus solution. The Journal
of Academic Librarianship, 37(6), 480
487. doi:10.1016/j.acalib.2011.07.004
Richard, J., Koufogiannakis, D., & Ryan, P. (2009). Librarians and libraries sup-
porting open access publishing. Canadian Journal of Higher Education, 39(3),
33
48. Retrieved from http://ojs.library.ubc.ca/index.php/cjhe/article/view/474
Ritchie, L., & Ray, K. (2008). Incorporating information literacy into the building
plan: The American University of Sharjah experience. Reference Services Review,
36(2), 167
179. doi:10.1108/00907320810873039
Shelby, L., & Okilwa, N. S. A. (2011). Publishing in graduate school: A narrative
of the process. Higher Education in Review, 9. Retrieved from http://courses.educa-
tion.illinois.edu/ci550/Fall_2013/useful%20resources/Publishing%20in%
20Graduate%20School.pdf
Strachan, J., & Owens, C. T. (2011). Learning civic identity outside of the class-
room: Diversity and campus associational life. Journal of Political Science
Education, 7(4), 464
482. doi:10.1080/15512169.2011.615198
Stuart, C. (2009). Learning and research spaces in ARL libraries: Snapshots of
installations and experiments. Research Library Issues: A Bimonthly Report from
ARL, CNI, and SPARC, 264, 7
18. Retrieved from http://old.arl.org/bm~doc/
rli-264-spaces.pdf
Sula, C. (2013). Digital humanities and libraries: A conceptual model. Journal of
Library Administration, 53(1), 10
26. doi:10.1080/01930826.2013.756680
Taylor, E. W. (2010). Cultural institutions and adult education. New Directions for
Adult & Continuing Education, 2010(127), 5
14. doi:10.1002/ace.376
Ullman, C. (2010). The ideological production of ESOL learner identities in the
world outside/inside the classroom: Language learning, consumption, and citi-
zenship. Adult Basic Education & Literacy Journal, 4(3), 162
171.
University of Virginia. (2008). Scholar’s lab. In V. Lewis & C. Moulder (Eds.),
SPEC kit 308: Graduate student and faculty spaces and services (p. 110).
Washington, DC: Association of Research Libraries.
University of Washington. (2013). Research commons. Retrieved from http://com-
mons.lib.washington.edu/
University of Washington. (n.d.). Staff 
 UW research commons. Retrieved from
http://commons.lib.washington.edu/about/staff
Walton, G. (2006). Learners’ demands and expectations for space in a university
library: Outcomes from a survey at Loughborough University. New Review of
Academic Librarianship, 12(2), 133
149. doi:10.1080/13614530701330430
240 Michael Perini and Beth Roszkowski
Whitchurch, M. J. (2010). Planning an information commons. Journal of Library
Administration, 50(1), 39
50. doi:10.1080/01930820903422370
Wolfe, J. A., Naylor, T., & Drueke, J. (2010). The role of the academic reference
librarian in the learning commons. Reference & User Services Quarterly, 50(2),
108
113. doi:10.5860/rusq.50n2.108
Wong, G. K. W. (2009). Piloting an information commons at HKUST library.
Reference Services Review, 37(2), 178
189. doi:10.1108/00907320910957215
Yang, Z. H. (2000). University faculty’s perception of a library liaison program: A
case study. Journal of Academic Librarianship, 26(2), 124
128. doi:10.1016/
S0099-1333(99)00149-4
The Social Library in the Virtual
Branch: Serving Adults and Teens in
Social Spaces
Lorri Mon and Abigail Phillips
Florida State University, School of Information, Tallahassee, FL, USA
Abstract
As adults and young adults have become increasingly active on social media, public libraries
have incorporated social media alongside their more traditional services. However, libraries
are faced with the challenging task of determining how to successfully engage with their
users through social media. This chapter examines research literature from both social media
and information studies to explore evidence-based results on providing popular information
services and resources for adult and young adult users in social spaces. Key elements of social
media use by libraries identified in this review include promotion of information resources
and services, participation and engagement, social care, pastoral care, outreach, cocreation
and motivation of users, advocacy and crowdsourcing, and measurement and assessment.
Based on results from current research, best practices and assessment methods for social
media are discussed which offer practical considerations for selecting social media platforms
appropriate to a library’s mission, goals, and objectives, with examples relevant to a variety
of social media platforms. The chapter also offers a review of social media platforms, prac-
tices, and assessment designed to inform librarians and library managers in decision-making
about library social media efforts.
Keywords: Social media; libraries; advocacy; assessment; pastoral care; crowdsourcing
I. Introduction
For adults and young adults, social media has quickly become a “must go”
destination where they can connect online with friends, family, colleagues,
businesses, and organizations. Millions of Americans have been turning to
social media sites such as Facebook, Twitter, Instagram, Pinterest, and
LinkedIn for everyday information seeking and sharing since 2005.
According to a survey conducted by Nielsen (2012), 171.18 million
CURRENT ISSUES IN LIBRARIES, INFORMATION SCIENCE AND RELATED FIELDS
ADVANCES IN LIBRARIANSHIP, VOL. 39
r 2015 by Emerald Group Publishing Limited
ISSN: 0065-2830 241
DOI: 10.1108/S0065-283020150000039016
242 Lorri Mon and Abigail Phillips
Americans identify as social networking site users. In 2013, Pew Internet
estimated that 73% of all online adults in the United States were using
social media, with 42% using multiple sites (Duggan & Smith, 2013).
Unsurprisingly, Facebook attracted the largest portion, 71%, of online adult
social networking users (Duggan & Smith, 2013). For libraries and librar-
ians, this rise of social media presents a new challenge in reconceptualizing
public library services for online social spaces.
Social media sites provide a variety of different platforms for interac-
tively sharing and receiving information in a community of users. Facebook
(http://www.facebook.com) and MySpace (http://www.myspace.com) offer
social networking and sharing of images, video, links, and text, while
YouTube (http://www.youtube.com), Vimeo (http://www.vimeo.com), and
BlipTV (http://www.bliptv.com) specialize in video sharing. Pinterest
(http://www.pinterest.com), Instagram (http://www.instagram.com), and
Flickr (http://www.flickr.com) support image sharing. StumbleUpon (http://
www.stumbleupon.com), Diigo (http://www.diigo.com), and Delicious
(http://www.delicious.com) provide platforms for discovering, sharing, and
curating web links, while Goodreads (http://www.goodreads.com),
LibraryThing (http://www.librarything.com), and Shelfari (http://www.shel-
fari.com) enable sharing of book reviews. Twitter (http://www.twitter.com)
and Tumblr (http://www.tumblr.com) are microblogging platforms for dis-
covering and sharing news and brief messages which may include image
and video links. Sites such as Foursquare (http://www.foursquare.com), Yelp
(http://www.youtube.com), and Tripadvisor (http://www.tripadvisor.com)
facilitate sharing of crowdsourced reviews and advice about destinations.
Using these and other social media sites, users engage and interact around
contributed content by posting, replying, re-sharing, subscribing, com-
menting, liking, up-voting, and down-voting.
Libraries, not unlike social media, share curated content with the com-
munity in public spaces where users can engage together or alone around
information. Physical spaces in libraries include open collections of books,
videos, music, images, and texts, but users can also interact with each other
in the public library’s workshops, classes, presentations, and group meet-
ings. Affordances of public libraries may include meeting rooms, auditor-
iums, computer labs, and even fab labs/makerspaces (Newcombe & Belbin,
2012). Public libraries have fulfilled a variety of functions including the
public’s learning center, memory institution, technology center, community
space, and gateway to databases and resources (Brophy, 2008).
Beyond the library’s physical manifestation is its extension into virtual
space. The library’s “virtual branch” (Cahill, 2009) may offer online
users access to e-books, articles, and interactions with librarians through
The Social Library in the Virtual Branch 243
chat, e-mail, instant messaging, or text messaging. Extending community
connections and conversations further into new technologies is a natural
step for libraries. Brophy (2008) has referred to new opportunities for
libraries “around the notion of embedding in lifeflows” in which library
support is “surfaced where the users are” (p. 11) whether online on the
Internet, within the blogosphere, or in social media.
Many libraries are responding by “becoming social,” establishing foot-
holds in online social media platforms and seeking new ways of engaging
with their users and communities in social spaces. Carlsson points to
increased visibility as one advantage of extending the public library into
social space: “We’re stuck in the site structure of website for the whole
city … makes it harder for people to find us. Facebook and Twitter are very
useful for that” (2012, p. 207). OCLC estimates indicated that in 2010,
11% of larger US public libraries had launched Facebook pages (OCLC,
2011), and by Fall 2011, at least 3266 public libraries had established a
social networking presence (Crawford, 2014). However, a key ongoing chal-
lenge for the field of librarianship is the problem of how to use social media
sites by strategically and effectively in reaching out, connecting, and engaging
with adult and young adult users to provide popular information services
and resources in social space.
II. Promoting Information Resources and Services
Public libraries have examined the potential of social media to promote
information resources and services. Aharony (2012) conducted a content
analysis on the Facebook posts of academic and public libraries. Not surpris-
ingly, both types of libraries used Facebook heavily to promote library col-
lections and library services. In 278 posts by academic libraries, 47.5% of
these posts highlighted library collections (e.g., journals, databases, books)
and 38.5% discussed library services (e.g., library operating hours, pro-
gramming). In 539 posts by public libraries, 49% promoted library collec-
tions and 18.4% library services. Aharony (2012) found that libraries
mainly used Facebook as a way to deliver information to users, not to
encourage discussion. Likewise in a survey by Rogers (2009) of 545 public
and academic librarians and staff members, promoting general library ser-
vices was selected as the top use for social media at their library (77.7%),
followed by promoting programs and services for adults (60.3%) and for
children (56.8%), and reaching out to new audiences of users (48.7%).
In a how-to article for academic libraries, Burkhardt (2010) recom-
mends librarians post about library news and events, local information,
244 Lorri Mon and Abigail Phillips
request feedback from patrons, respond to patrons, and provide links to
videos, images, and articles. For the author, social media is a source for con-
stant communication between libraries and patrons about library services,
events, and materials (Burkhardt, 2010). Cahill (2011) evaluated the use of
Web 2.0 by Vancouver Public Library (VPL) including Twitter and
Facebook, and found that the library had successfully used Twitter to collect
feedback from patrons, build enthusiasm within the community, market
library services and events, and provide high-quality customer service.
A key issue for libraries is selecting the appropriate mixture of social
sites to best meet the needs of users. If a library’s purpose in establishing its
presence in social space is to reach out to a specific audience, or to share
information about particular types of information resources or services, then
determining the best social media channel for achieving that purpose
becomes an important first step.
Facebook is currently the most popular and heavily used social media
site among all age groups (Nielsen, 2014). Neilsen found that among those
connecting using computers, the highest monthly audiences were for
Facebook, LinkedIn, Twitter, and Pinterest, while among smartphone app
users the largest monthly audiences were for Facebook, Instagram, Twitter,
Google+ , and Pinterest, whereas smartphone browser audiences preferred
Facebook, and then Twitter, LinkedIn, and Pinterest. However, given the
popularity of alternative social sites, could there be circumstances in which
a site such as Pinterest might be considered a better choice for a library
than Facebook? In an analysis of 11,000 pinned postings on Pinterest,
Zarrella (2013) found that “books,” “food,” “art,” “DIY,” “recipes,” and
“quotes” were among 20 commonly “pinned” words—and many of the 20
most “repinned” words were food-related, including “recipe,” “ingredients,”
and “baking.” A library seeking to promote information resources and ser-
vices around food—for example, launching programs around a healthful
nutrition initiative for the local community, or seeking to bring the public’s
attention to resources and services on recipes, food, and cooking—might do
well to consider Pinterest as a social media network with a strong demo-
graphic skew toward female users (Duggan & Brenner, 2013; Nielsen,
2012, 2014). Female users often are managing their family’s library visits
(Gross & Saxton, 2001) in addition to the family cooking and food shop-
ping. As the dominant audience on Pinterest, these female users might also
amplify and extend the reach of the library’s Pinterest postings on food and
nutrition through liking and re-pinning.
A library seeking to promote information services and resources specifi-
cally to preteen through young adult age groups might consider Tumblr, a
mobile-friendly microblogging site which skews toward younger users
The Social Library in the Virtual Branch 245
under 30, with 46% of Tumblr users between the ages of 16 and 24
(Duggan & Brenner, 2013; Smith, 2013). McArdle (2013) found at least
125 library branches, systems, and archives operating institutional Tumblr
sites. Alternatively for libraries seeking to reach out to more diverse users,
Instagram is an example of a mobile-friendly social media site which
attracts disproportionately more usage by younger Black and Hispanic
users, while Twitter, in particular, is more heavily used by younger African
Americans (Duggan & Smith, 2013; Smith, 2014).
It is not uncommon for libraries to have multiple extensions into social
space, such as maintaining simultaneous social presences on Facebook,
Twitter, Flickr, and YouTube. A typical pattern is sharing library news on
Facebook and Twitter, uploading pictures of library events on Flickr or
Instagram, and sharing videos of library events on YouTube or Vimeo.
Forsyth and Perry (2010) found in a survey of 129 Flickr-using public
libraries worldwide that 69.6% of the libraries reported using Flickr for
sharing photos of library events and 60.8% for images promoting services,
while 35.2% used Flickr to promote collections.
It is worth examining how a library’s photographs shared over social
sites could provide strategic benefits in promoting information services and
resources. Consider the ubiquitous crowd shots of people attending library
events. At first glance, these photos look much the same in different library
Flickr or Instagram streams, and it is hard to see how these might be
important. But in Miami Dade, Florida in 2013, when the closure of 22 of
49 library branches was threatened, a photo showing the crowd of people
waiting outside for library doors to open in the morning provided a power-
ful visual rebuttal to opponents’ arguments on nonuse of libraries. Other
hard-hitting images shared over social media showed Miami Dade’s mayor
and commissioners reading storytime books to children in photo ops at
libraries they now proposed to close.
Photos can share “behind the scenes” and “sneak peek” images that
introduce librarians, library offices, and work spaces, and encourage users to
become involved and invested in their library by showing how libraries are
changing, improving, and innovating services (Kroski, 2012). Photos also
can provide information that helps library users navigate the library and its
web site, and learn more about what the library has to offer. Fernandez
(2009, p. 36) suggests adding captions such as “bring your questions here”
on photos of the reference desk, to help users better understand library
services. Manchester City Library in New Hampshire’s Flickr stream
(https://www.flickr.com/photos/manchesterlibrary) shares photos of event
flyers with date, time, and location, and images of useful handouts such as
maps of the library floor layouts, as well as snapshots of collection items
246 Lorri Mon and Abigail Phillips
that users may not be aware of, from Chilton’s Auto Repair manuals for the
do-it-yourselfers, to shipping list and passenger list books for genealogists.
Annotated photos help to show how to use the library’s web site to renew
books online. Schnell (2007) points to a variety of information useful for
uploading on social media such as floor maps and directories, library tours,
and instructional videos. Driving and transit route maps, parking maps,
calendars and event flyers, information on what book clubs are currently
reading, and other guides which reduce uncertainty and speed up the pro-
cess of reaching and navigating the library can be very helpful to users in
planning a visit.
Libraries also can use social site digital curation features to build
entirely new online resources, such as digital image collection of photos or
artworks. In 2008, the Library of Congress experimented with making
3100 images publicly available through Flickr, attracting 1.1 million total
views in just the first 24 hours, and reaching 3.6 million page views and
1.9 million visits within a week (Springer et al., 2008). More recently how-
ever, competition from newer image sharing sites such as Instagram and
Pinterest may be diluting the influence of Flickr among some public
libraries, and as Wanucha and Hofschire (2013) observed, a decrease in
Flickr use by larger US public libraries from 63% in 2010 to 42% in 2012.
On Facebook, analysis of the most successful postings by type indicates
that photo postings attract the highest average rate of “likes” (Zarrella,
2013). By adding text directly onto the images, photos can be further
enhanced for advocacy, promotion of resources and services, and for the his-
torical record. For example, by adding the library’s name and home page on
the image along with the event and crowd count (“35 people attended
Smith Library’s technology workshop on June 3, 2013—http://smithlibrar-
ysite.org”) any re-sharing of the image throughout social media continues
to include the library’s name, contact information, and key contextual infor-
mation. On Twitter, tweets that include web links tend to be more success-
ful. Researchers observed that highly followed Twitter accounts tweeted
more links than less-followed accounts (Zarrella, 2013), and that tweets
which contained links were more likely to be re-tweeted (Suh, Hong,
Pirolli, & Chi, 2010). On Facebook, video postings performed better than
on Twitter, which Zarrella (2013) attributes to Twitter users multitasking
and thus being less willing to “spend 4
5 minutes” (p. 85) on watching a
posted video. These findings highlight the different nature and audiences of
each social site and the potential value for the library of matching posting
styles and content to each different social platform, as well as choosing
among social sites for best results in promoting informational resources and
services to desired audiences.
The Social Library in the Virtual Branch 247
III. Participation and Engagement
In social media sites, the profile page becomes the voice and the “public face”
of the library. Carlsson (2012, p. 206) referred to a “persona tactic” used by
staff to represent their library’s self in social space—“we created this persona
of ‘the nice and caring library,’ and we try to apply it whenever we post some-
thing to Facebook.” Yet, in a 2011 study, Facebook pages by libraries were
among those attracting the lowest number of “Likes” as compared to pages of
other organizations attracting higher numbers of “Likes” such as museums
(Zarrella, 2013). How might libraries benefit by applying what has been
learned from research into successful engagement in social spaces?
The profile page is the first step in constructing the library’s online
identity through text and visuals, such as biographies and profile photo-
graphs. This profile is what makes the library visible in social media
searches (Fichter & Wisniewski, 2008), so it is worth taking the step of fill-
ing it out completely rather than leaving it blank or filling in only minimal
information such as the library’s name. De Jager-Loftus and Moore (2013)
observed that of 31 Association of Research Libraries (ARL) member
libraries using Pinterest, 28 libraries (90%) linked to the library’s home
page from the Pinterest profile. In a study of 275 nonprofits on Facebook,
only 81% linked back to the organization’s web site, and less than half
(43%) included a mission statement in their Facebook profile page (Waters,
Burnett, Lamm, & Lucas, 2009). Linking to the library home page from
social site profiles is critical if one of the library’s goals is to steer more
online users to the library’s main site.
Research on Twitter has found that that highly followed Twitter profiles
typically include a picture, filled-out biography, and a home page link
(Zarrella, 2013). Biographies, home page links, and profile pictures are part
of “impression management” of the library’s social self through text and
visuals. The profile page offers a unique opportunity to make a “first
impression” by reaching out and connecting with new users in social
spaces—so how to make the best use of it? Try looking at your library’s
social site profile and saying out loud the messages conveyed by the choices
of text and visuals. Perhaps the biography text mainly includes a general
location and founding date, conveying the message “we’re here, and we’re
old,” and perhaps the profile picture shows an image of books. Is there more
you might like a potential user to “see and hear” about your library in a first
impression? Consider the library’s mission statement as a possible source for
text to use in social media profile biography fields, in order to be able to say
more to prospective users about the library’s programs, services, and
248 Lorri Mon and Abigail Phillips
facilities, as well as about the library’s goals and objectives for serving the
community.
Another key decision for libraries in social space is selecting roles, audi-
ences, and locations for social media presence. Teens and adults are among
the many different audiences in social spaces that libraries have opportu-
nities to serve. Teens and young adults in particular have been leading the
way into social media usage. In 2009, 73% of online American teenagers
aged 12
17 and 72% of online young adults aged 18
29 in the United
States were social networking users (Lenhart, Purcell, Smith, & Zickuhr,
2010). Teen use of Twitter grew from 8% in 2006 to 16% in 2011, and
reached 24% in 2013 (Madden et al., 2013). While younger users may
describe themselves as less “enthusiastic” about Facebook, this age group
continues to participate on the social networking site due to perceived social
pressure and expectations even while venturing onto other platforms such as
Twitter, Instagram, Tumblr, and Snapchat (Madden et al., 2013).
While many social networking sites have Terms of Service (TOS) agree-
ments that set the minimum age of users at 13 years old, many parents are
assisting their under aged children in violating this age restriction. In a sur-
vey of over 1000 parents with children between the ages of 10 and14, boyd,
Hargittai, Schultz, and Palfrey (2011) reported that 36% knew that their
children joined Facebook before the age of 13. Additionally, 68% of these
parents stated that they helped their children create these Facebook accounts
(boyd et al., 2011). Interestingly, 93% of those surveyed felt that parents,
not the social networking site or government, should have the final word on
whether their children can participate in online services (boyd et al., 2011).
Although surveyed parents reported concerns about their children’s online
safety, mandatory age restrictions were not seen as a solution to these con-
cerns. Instead, these parents indicated that more parental involvement and
education on online safety should be the emphasis of online safety efforts
(boyd et al., 2011) As long-time leaders in information literacy instruction,
libraries could assist parents and teachers in educating younger users about
digital literacy, digital citizenship, and online safety.
Due to young adults’ heavy use of social media, some public libraries
have developed separate social media profiles specifically for these patrons
(Lenhart et al., 2010). The interaction on these profiles ranges from
librarian-driven posts with little engagement by young adults to actively
geared discussions between young adults and librarians. However, research
by Magee, Naughton, O’Gan, Forte, and Agosto (2012) suggests that young
adults are engaging more with libraries’ young adults’ web sites than with
their library’s social media personas. This may be a result of the social media
policies of public libraries, concerns regarding online safety, or weaknesses
The Social Library in the Virtual Branch 249
in the use of social media by these libraries and librarians (Agosto & Abbas,
2009). One recommendation would be to use existing practitioner and scho-
larly research to guide improvements in the Facebook, Twitter, Tumblr, and
other social media personas of public libraries.
Both young adults and libraries can benefit through their participation
in social media. For libraries, these benefits include “broadening the reach
of the library’s young adult program and services, enabling the library to
better support teen’s healthy social development, and facilitating opportu-
nities for public librarians to teach teens how to engage in safer online
interactions” (Agosto & Abbas, 2009, p. 34). For better or worse, younger
users are sharing more information about themselves through social media
(Madden et al., 2013), and this presents an opportunity for libraries to
engage tweens, teenagers, and young adults in open and honest discussions
regarding online safety, digital literacy, and digital citizenship. Younger
social media users would benefit from a well-articulated discussion in which
they are regarded as mature and intelligent online consumers.
IV. Social Care
Many businesses use social media, particularly Twitter, to offer “social care”
services, answering customers’ questions and resolving problems. Neilsen
(2012) found that 47% of social media users surveyed reported using “social
care” customer services via social media. Quick reference, information, and
referral, readers advisory and complaint resolution are library functions
highly adaptable to the social care model. Librarians operating social media
in a social care approach can use an iterative approach of monitoring, engaging,
and resolution as follows.
A. Monitoring
Social media channels are not only used to send and receive information,
but also as a tool for finding opportunities to engage with and respond to
users. As Solomon (2011, p. 3) observed, a key distinction of social media is
that “patrons now control the message.” On Facebook, librarians regularly
check for new comments and questions from users. On Twitter, librarians
look for direct messages (Twitter direct messages, and @replies—tweets
directed toward the library by including @libraryname) as well as searching
on Twitter for any tweets in general about the library or mentioning the
library’s service area. Librarians undertaking monitoring efforts might
search social media on the library’s name as well as relevant hashtags (such
250 Lorri Mon and Abigail Phillips
as #library) and keywords (question, help, homework), to find out whether
someone is mentioning the library or asking for help with a problem or an
information need. Users who tweet questions or express complaints about
the library represent an opportunity for a librarian to intervene and resolve
the issue.
B. Engaging
Upon finding a question, problem, suggestion, or comment about the
library posted to social media channels, the librarian responds—thanking
the user for the comment and engaging in social care services to help solve
problems, recommend resources, and provide information and referrals. By
intervening and engaging with library users around their suggestions, ques-
tions, and complaints, the librarian takes advantage of a golden opportunity
to showcase the library’s responsiveness and create happy library users—as
the old saying goes, “turning a frown upside-down.”
C. Resolution
After engaging in an interaction with the user over social media, the librar-
ian must take the time afterward that is needed to fully resolve the issue,
such as investigating and solving the problem, and reporting results back to
the user. The social care interaction is incomplete until the librarian has fol-
lowed through on providing resolution. Necessarily, the social care process
is iterative, since continued monitoring and engaging is essential to know-
ing whether the user’s issues have been successfully resolved. In an ethno-
graphic study of a public library in Sweden, Carlsson (2012) noted that
Facebook is a platform for users to communicate “their own story about the
library” (p. 207). Social care offers the library an opportunity to participate
together with users in shaping that story.
V. Pastoral Care
For younger users, “pastoral care” services in libraries provide social and
emotional support as well as education and information services (Shaper &
Streatfield, 2012). While the term “pastoral care” may be unfamiliar in the
library and information studies literature, the concept is familiar to profes-
sional librarians. Taken from ministry and education literature, pastoral care
refers to the emotional, social, psychological, and educational support librar-
ians provide patrons. For younger users, pastoral care services in libraries
The Social Library in the Virtual Branch 251
provide social and emotional support as well as education and information
services (Shaper & Streatfield, 2012). This type of support is often not
included in the job descriptions of librarians. However, for many librarians
pastoral care is an important part of their day-to-day experience with
patrons (Shaper & Streatfield, 2012).
The key principles of pastoral care, relationships, respect, and responsi-
bility, can be demonstrated in an online environment (Grove, 2004) with
the first principle focusing on developing emphatic and trusting relation-
ships with “open and honest communication” (p. 34). The second principle
of respect refers to a dynamic environment in which members are respected
and appreciated, and the final principle, responsibility, is one where mem-
bers must come together and take responsibility for pastoral care roles.
These three principles are necessary in any library that wishes to successfully
satisfy the pastoral care needs of patrons. Particularly in cases of bullying,
cyberbullying, or abuse, the three principles of pastoral care become even
more apparent. By maintaining respectful and responsible online and offline
relationships with patrons, librarians can serve as role models for healthy
and constructive relationships. Through pastoral care, librarians can help
encourage behaviors that are empathic, responsible, and honest in young
adult patrons. These behaviors will be encouraged not only within the phy-
sical library but also through the online social media environments of the
library.
One example of pastoral care is the concept of library as a safe space.
School and public libraries have long provided patrons with a safe and wel-
coming environment, particularly tweens and young adults (Jurkowski,
2006). According to this author young patrons suffering from cyberbully-
ing, violence, social or developmental problems, or simply dealing with the
difficulties of growing up find relief in the neutral supportive space of the
library. For young adults, a library’s social media profile can serve as an
online safe space much like the traditional safe space of the physical library.
Through social media, libraries have the opportunity to expand this safe
space by providing support through postings on Facebook, Twitter, and
Instagram. Far beyond books, librarians are using social media to promote
local mental health services, offer bibliotherapy, and provide programming
on digital literacy. Additionally, a library’s young adult Facebook page can
serve as a safe space where young adult patrons express themselves by post-
ing videos, images, and comments. Through the online efforts of librarians,
young adult have a way to hone their digital literacy skills, which are neces-
sary in the 21st century workplace.
While social media use by libraries for the most part is a positive
experience for adult young adult patrons, there is potential for negative
252 Lorri Mon and Abigail Phillips
consequences (Cahill, 2011; Dankowski, 2013; Dempsey, 2012; Rice &
Barman-Adhikari, 2013). This is particularly true for young adults who
experience cyberbullying, sexual harassment, cyberstalking, and online
aggression through social media (Biegler & boyd, 2010). Unlike adults,
online privacy is less of a concern for young adults with only 9% identify-
ing themselves as “very concerned” in a survey by the Pew Research Center
(Madden et al., 2013), while young adults are less concerned than adults,
they are sharing more personal information online and on more social media
platforms than ever before.
This openness by young adults in their social media use has implica-
tions for libraries. The social media profiles of libraries should be locations
for young adults to safely and responsibly express themselves and interact
with their library. To ensure this, librarians should monitor how young
adults are engaging with their libraries’ social media profiles. Additionally,
the lack of privacy concerns among young adults provides libraries with an
opportunity to educate this age group on digital literacy and digital citizen-
ship. These two skills are necessary in the 21st century workplace and have
been shown to prevent cyberbullying and other online dangers from occur-
ring (Agosto, Forte, & Magee, 2012).
Teen advisory boards (TABs) offer another way for public libraries to
integrate teen participatory engagement and work with teens on digital
citizenship by inviting young patrons to participate in setting up and
managing a library’s teen-focused blogs, web pages, and teen social media
sites. In a study of virtual branch technologies used in public libraries, sev-
eral public libraries in Washington, New Mexico, and Arizona reported
working with local teens to create and maintain library social media sites
(Mon, 2011). Some public library social sites can be entirely user-created,
and staff may later discover that the library already has a user-created social
presence on Foursquare, Yelp, or Tripadvisor. By leveraging TABs, libraries
can collaborate with younger users in responsive and participatory design of
their social sites.
VI. Outreach, Cocreation, and Motivation
Libraries have pursued a variety of strategies in outreach to users through
social sites. One type of library “footprint” in social space establishes single
sites through which the library reaches out to all users of different ages,
backgrounds, and interests, such as a single official library Facebook,
Twitter, Flickr, and YouTube. Alternatively, another type of “footprint”
establishes multiple social site versions, each targeted for outreach to a
The Social Library in the Virtual Branch 253
different user group. For example, Miami Dade Public Library created a
“main” set of social sites but also implemented a second set of Facebook,
YouTube, Twitter, and Flickr sites for sharing news and events relevant to
teens, and showcasing digital projects created by teens at the library
(Santiago, 2012). Topeka Shawnee County Public Library established main
“all library” Facebook and Twitter accounts (King, 2012), but implemented
additional social sites to highlight special units, such as the library’s art gal-
lery. Denver Public Library identified several key user constituencies as con-
temporary, language and learning, and children and family (Murvosh, 2012) and
offered social sites reaching out to those unique audiences such as “Fresh
City Life” Facebook and Twitter sites highlighting main and branch library
adult contemporary news and events, a children’s Facebook page and sepa-
rate Twitter, Facebook, and Flickr sites for teens, a history and genealogy
research-focused Facebook, Twitter, and Flickr, and a Spanish language
Facebook page. Diversifying allows users to follow social media channels
tailored and personalized to their daily lives, saving time for readers by
reducing the clutter of unwanted social media messages irrelevant to their
needs and interests.
Social sites often involve a cocreation of content, as when users post
comments, pictures, or videos to a library’s Facebook site, or when libraries
re-share content from users on Facebook or Twitter. Davies (2012, p. 19)
pointed to the communally constructed nature of social sites when she asked
“friendship groups” of teens to show and discuss their postings on
Facebook, noting that often, these teens clicked on each other’s sites while
demonstrating their contributions. In addition to creating online content
through participatory conversational interactions with users within social
sites, libraries may also directly invite users to contribute content to social
sites. At YOUmedia project libraries such as Chicago Public Library and
Miami Dade Public Library, teenagers and library staff collaboratively create
collections of digital videos and photos, posting their contributions to social
sites such as Flickr and YouTube (Santiago, 2012). Library social sites may
also engage crowdsourced volunteers to support and help cocreate digital
collections. A popular use of video social media platforms like Vine, Vimeo,
and YouTube within libraries has been creating and sharing short book
reviews and author book talks, including running contests for user-created
videos. At New York Public Library, Facebook and Twitter were used to
recruit thousands of volunteers for help in transcribing over 8500 historic
menus and build a collaboratively created searchable historic restaurant
menus collection (Petit, 2011).
Flickr, Diigo, Pinterest, and Goodreads are examples of social sites that
allow individuals not only to create digital collections, but also to
254 Lorri Mon and Abigail Phillips
contribute to collaborative collections such as sharing digital images, book-
marks of web links, pinned images and links, or book review links to
group collections of communally created content. Ekart (2010) recom-
mends that libraries can use participatory collection-building features on
Flickr to commemorate banned book week and national library week,
or invite users to contribute photos that document historic community
events such as a hurricane’s impact on the local community. Naik (2012)
describes a Salt Lake City, Utah library creating a Goodreads group
page, and suggests that “bibliosocial networking sites” (p. 320) could lead
toward a rethinking of traditional readers advisory, opening it up to partici-
patory contributions from both librarians and users. These sites, such as
Goodreads, Shelfari, and LibraryThing which offer crowdsourced user
reviews of books and online book discussion groups, can also connect
libraries with some of the most avid and engaged readers in the local
community.
Crowdsourcing represents another facet of the social media ecosystem
which impacts user perceptions of libraries, and suggests another avenue for
engaging with users. Crowdsourced review sites such as TripAdvisor (http://
www.tripadvisor.com) and Yelp (http://www.yelp.com) allow users to pro-
vide ratings and reviews for local businesses and attractions, including
libraries. Library profiles on Yelp and other crowdsourced review venues
such as Foursquare (http://www.foursquare.com) encourage users to “check
in” at the library, showing other users when they are currently there, and
inviting users to leave tips and suggestions of things to do at the library.
Crowdsourcing of library advocacy efforts can take a variety of forms,
but all of them have in common efforts to promote and support the library
using social media. Many public libraries in the United States are depen-
dent primarily on local funding that is voted for by the members of the
community through levying millages. Crowdsourced profiles which express
positive views of the library on social review sites such as Yelp, Tripadvisor,
and Foursquare can influence public perceptions, as with crowdsourced
“challenges” for users to select the top attractions in local areas. Libraries
can also build support through engaging in public advocacy campaigns on
social media sites such as “Friends of the Library” and “Save the Library”
campaigns, requesting help from the public in everything from letter-
writing and phone calls to public officials, to volunteering and donations.
Crowdfunding sites such as Indiegogo (http://www.indiegogo.com) have
been used to raise funds for library projects or to help meet funding short-
falls (Lewis, 2013), and many libraries including Oakland Public Library
have created “wish lists” on Amazon.com to enable crowdsourced gift pur-
chases (LJ Staff, 2003). These efforts allow users to get directly involved in
The Social Library in the Virtual Branch 255
funding the collections, projects, services, and resources that they want to
support at their local libraries.
In all efforts toward outreach, cocreation, and crowdsourcing, motivat-
ing users is a key concern. Social sites have been successful in designing fea-
tures and incentives to entice users, and libraries are taking inspiration from
social sites in seeking new ways to attract and motivate users. Chicago
Public Library incorporated aspects of social media into the design of their
web site (www.chipublib.org), described as “Pinterest meets Amazon”
(Dellimore, 2014, p. 6), with a redesigned web site combining the func-
tionality of blogs with the visual experience of social media sites like
Facebook and Twitter. Nashville Public Library and Oakville Public Library
among others have experimented with integrating social tagging in their
online catalogs (Lawson, 2009), allowing users to click on popular crowd-
sourced tags and tag clouds to retrieve content.
Offering extra value to social media followers can create a powerful
incentive, as when the library’s social media followers receive first notification
of special events and new library purchases. Crawford (2014, p. 59) advises,
“make followers feel like the “in-crowd”—tell Facebook first.” Libraries
might also consider real time updating via Twitter to give a “heads up” let-
ting users know when the library’s bookmobile or mobile technology van is
enroute to the next stop in local neighborhoods around the community. Real
time updating has been a successful strategy for food trucks in the business
world (Solomon, 2011). Food trucks are often given names, and their travels,
breakdowns, foibles, and upgrades become part of the local color “story” that
fans enjoy following via social media updates, photos, and videos.
Canton Public Library and Ann Arbor Public Library have taken social
media aspects into library literacy efforts by integrating gamification into
summer reading programs (Spina, 2014), inspired by social sites such as
Foursquare where users earn badges for checking in at special locations such
as libraries for which they can earn a “bookworm” badge. On Foursquare,
the user who has checked in most frequently within the month is named
the “Mayor,” and some organizations further incentivize their “Foursquare
Mayors” by offering special deals. By adding Foursquare-style gamification
to the summer reading program, Canton Public Library sought to increase
positive patron interactions and improve overall participation (Spina, 2014).
At Canton Public Library’s gamified summer reading program in 2011,
over 1600 users earned 2871 digital badges in the first year, while at Ann
Arbor Public Library over 5000 participants completed reading goals of
more than 5 million pages, and enriched the library’s catalog with nearly
300,000 user-created social tags and over 29,000 written reviews (Landgraf,
2011; Spina, 2014). These programs highlight new synergies libraries are
256 Lorri Mon and Abigail Phillips
developing between social technologies and traditional programs and
services.
VII. Measuring and Assessing the Results of Social Media
Activities
Public libraries have been quick to establish a presence on social media since
the explosion in popularity of Facebook and Twitter in 2008
2009, and
professional journals have frequently discussed the benefits of social media
use in libraries, highlighting best practices, and identifying strategies for
reaching different user populations (Dankowski, 2013; Enders &
Winehouse, 2012; Hardin, Klug, & Williams, 2012; Horn, 2011; Solomon,
2011). However, scholarly research into the strategic and effective use of
social media in public libraries has only slowly begun to be published.
Often, this research takes the form of case studies of the social media strate-
gies and tools of individual libraries (Chu & Du, 2012; Ezeani & Igwesi,
2012; Vucovich, Gordon, Mitchell, & Ennis, 2013). However, evidence-
based research into understanding of how library patrons engage with social
media and how this engagement can be measured is necessary for libraries
to determine the success of their social media use.
At the most basic level, success of the social media effort is assessed and
quantified according to activity by the library and by the users. Activity by
the library is measured in total postings and frequency of postings, while
users’ activity is tracked in responses to library postings by “viewing,”
“friending,” “liking,” “following,” “commenting,” “mentioning,” and “shar-
ing” or “re-sharing.” For example, after an analysis of VPL staff tweets,
Cahill (2011) developed a list of best practices for Twitter postings and
recommend a set of possible performance measures including, “number of
re-tweets,” “volume of feedback from followers (solicited and unsolicited),”
and “number of re-tweets of VPL content by followers.”
However, beyond these basic statistics, an important question is: how
has this social media activity contributed to furthering the library’s mission, goals,
and objectives?
Key areas in which social media can measurably contribute to the
library’s mission, goals, and objectives include:
• Impact: increasing attendance at library programs and increasing usage of services and resources;
• Influence: improving the library’s access to and standing with key influencers such as government
officials, journalists, and funders, as well as with the general public; and
• Reach: amplifying the library’s message to reach and engage desired audiences.
The Social Library in the Virtual Branch 257
Assessing the impact, influence, and reach of the library’s social media
requires more effort than simply counting followers, friends, and likes. For
example, Crawford (2014) suggests assessing friends or followers as a per-
centage of the library’s service area. To what extent has the library’s social
media attracted its following from within the library’s own geographic ser-
vice area? Crawford’s study (2014) found some small US public libraries
whose social media pages were “liked” by half the people in the local com-
munity, as compared to larger public libraries with pages “liked” by from
2.6% to 7% of the community. In another example of analyzing followers,
librarians at a Texas university library wanted to know, “Who is following
us?” An analysis of 432 library Twitter followers revealed that less than half
(45%) were affiliated with the university and 24% of those were students
(mostly undergraduates) while 7.6% were faculty (Sewell, 2013). These
results allow a library to set further actionable goals, such as to increase
social media outreach efforts for underserved areas of the community or par-
ticular user groups.
Planning an impact assessment might involve measuring traffic to the
physical library or to specific library web pages before and after Facebook or
Twitter postings, or measuring usage of particular resources before and after
a social media promotion. Crawford (2014) notes that a Nevada library
reported an increase in attendance at programs as an impact of using
Facebook. In 2006, Denver Public Library launched a teen-focused MySpace
page and successfully increased traffic to the library’s teen web page by 41%
(Gauder, 2007). Influence can be explored in social media postings that gen-
erate support for the library by prompting positive media coverage, positive
perceptions in public polling, and generating statements of support or votes
by the public and government officials in favor of library funding (e.g., a
social media posting in a library advocacy effort that links users to an online
petition, or provides talking points and templates for making phone calls
and writing library advocacy letters and e-mails). Solomon (2011) describes
a social media advocacy effort for Ohio libraries that generated thousands of
phone calls and over 37,000 e-mails to legislators, ultimately saving over
$147 million in library funding.
A library social media manager assessing influence might also take an
accounting of the number of key influencers who are among the library’s
friends and followers on social media such as government officials, funders,
journalists, and other community leaders. Reach can be assessed through
friends and followers who are important “re-sharers” of postings, as well as
by tracking increased reach into new locations throughout the community
through the expansion of friends and followers into new geographic areas,
neighborhoods, and social circles within the community.
258 Lorri Mon and Abigail Phillips
Social media management tools can be helpful in making evidence-
based assessments—for example, Tweet Reach (http://tweetreach.com/) can
be used to examine the extent to which a particular Twitter posting reached
a wide audience, SocialBro (http://www.socialbro.com/download) can pro-
vide recommendations of the best times to tweet in order to reach a wider
audience among Twitter followers, and PeerIndex scores (https://peerindex.
com/) offer an overall Twitter influence score based on ratings for user
engagement, reach, and influential followers; libraries can compare their
own score with the scores for other peer or aspirational libraries. Crawford
(2014) advises librarians to “keep an eye on what the most people interact
with” (p. 59) to be able to replicate successes. Small-scale assessments of a
single Facebook posting or Twitter tweet, or how a PeerIndex influence
score fluctuates from week to week, can help to provide insights on how to
post and interact more successfully with users. Available social media man-
agement tools are continually changing, but can be worth investigating as a
useful supplement and extension to the capabilities of a social site’s in-built
analytics resources.
In improving social media posting strategies, key factors to consider are
visibility, recency, and amplification:
• Visibility: Are library social media sites easily “findable”? This not only includes visibility on
the library’s home page but also linking the library’s social media sites to each other, as well as
the extent to which the library’s social media sites are made more visible by being re-tweeted,
re-shared, blogged about, and mentioned by others in social media. Is the library included on
Twitter lists, and linked in StumbleUpon? Does the library appear in crowdsourced review sites
such as TripAdvisor, Foursquare, or Yelp, and what sentiments are expressed—are comments
positive, negative, or neutral? Do efforts toward increasing visibility warrant adding new sites
that might reach new targeted audiences, and might those particular targeted audiences be
reached through a specific social site such as LinkedIn, Twitter, Instagram, or Pinterest?
• Recency: Has the library’s social media site been kept up to date with correct links and informa-
tion? Are there recent postings? Users will tend to stop following a library social media site
that appears dormant or dead. However, too-frequent posting can also present a problem, and
optimal posting frequencies are not necessarily the same across social media sites. For example,
Facebook is primarily used for updates about friends and family (Quan-Haase &Young, 2010).
If too-frequent library Facebook postings crowd out the news from friends and family, users
may unfollow the library. Zarrella (2013) found that popular Facebook pages tended to be
updated four to five times per week. Twitter, by contrast, is often used as a general news site.
Popular Twitter pages tweeted as much as 22 times per day (Zarrella, 2013), and one library
was observed to tweet over 10 times per day (Crawford, 2014).
• Amplification: Has the library established a following that will help to amplify the reach of the
library’s social media postings? Solomon (2011) recommends that “your library should be fol-
lowing back roughly the same number of people following it” (p. 33). On social media, friends
and followers are not merely a passive audience to be perceived as recipients for one-way com-
munications. Friends and followers amplify the message by interacting with the library’s post-
ings—“liking,” “commenting on,” “re-sharing,” and “re-tweeting,” —thus making the posting
The Social Library in the Virtual Branch 259
visible to more people beyond the library’s immediate circle of followers. This role of friends
and followers in amplifying messages is essential to reaching the widest possible audience,
which is why it is problematic when libraries do not reciprocate by following back or respond-
ing to other users on social media.
Reciprocity is at the core of engagement and interaction in social media.
Following, friending, liking, and re-sharing others’ postings encourages
similar reciprocity toward the library, thus widening the library’s reach and
circle of influence. Solomon (2011) refers to “earning social capital” (p. 20)
by thanking people, asking for opinions, linking to and re-sharing others,
giving credit, and encouraging others. Assessment of the library’s successful
engagement in social media therefore should not only include tracking the
library’s activity in postings and in attracting followers, comments, likes,
and re-sharings of the library’s social media, but also assessing the extent to
which the library is following, re-sharing, and interacting with others—
that is, exploring how effectively the library’s social media engages with
and reciprocates the activities of users.
VIII. Policy and Privacy
A useful tool for guiding social media efforts is to establish a library social
media policy. This policy serves as a helpful guide for the library’s social
media managers and a training tool for new staff, as well as providing trans-
parency for library users on how the library will handle communication and
interaction on social sites. Social media policies typically will include the
library’s goals for the social media sites, who will speak for the library on
social sites, issues of content and style, and frequency of postings (Enders &
Winehouse, 2012; Grensing-Pophal, 2010; Lammers, 2012). Also impor-
tant to consider in a social media policy are questions of how users’ com-
ments and contributions on the library’s social sites will be handled both in
terms of allowable comments and postings, and in privacy issues for users
regarding how social media information may be tracked or kept in a
library’s assessment efforts.
Perhaps because social media in libraries is still so relatively new, as yet
there has been only limited consideration given in the professional literature
to the privacy concerns for users of library social media sites (Zimmer,
2013) or to the ethics of social media for librarians (Wasike, 2013). The lit-
erature primarily focuses on basics of understanding social media within
librarianship, and on launching and managing a library’s social sites.
Indeed, it was not long ago when the concept of libraries engaging with
social media was nearly unheard of. In 2006, a survey of 126 academic
260 Lorri Mon and Abigail Phillips
librarians by Charnigo and Barnett-Ellis (2007) found that 54% perceived
Facebook as not relevant as an academic endeavor while 34% were not sure.
A librarian in the survey commented, “most librarians at my institution are
unaware of social software in general, much less Facebook” (Charnigo & Barnett-
Ellis, 2007, p. 27). Yet only 4 years later in 2010, researchers found 89 of
100 ARL member libraries were operating Facebook sites and 85 of these
libraries were using Twitter (Mahmood & Richardson, 2011). Likewise,
among the 84 largest US public libraries in 2010, 80% had adopted
Facebook and 68% were on Twitter (Lietzau & Helgren, 2011). As the
research within this field continues to mature beyond the early adoption
stage, more attention is likely to focus on ethics and privacy guidelines for
libraries using social media.
IX. Conclusions and Implications
Public libraries have increasingly become social libraries, with the largest
public libraries leading the way as early adopters of social media. Wanucha
and Hofschire (2013) in analyzing a sample of 584 public libraries stratified
by service population size found that in 2012, 93% of the 84 largest US
public libraries had a social media presence, with commonly used social
sites consisting of Facebook as a social network (93%), Twitter for micro-
blogging (84%), either YouTube or Vimeo as a video site (60%), and Flickr
for image sharing (42%), and other less common choices including
Foursquare (31%), Pinterest (23%), Google+ (8%), and Tumblr (8%).
Even among the US public libraries serving the smallest populations of
10,000 or fewer, the study found that the majority (54%) had at least one
social site in 2012, typically Facebook (54%) (Wanucha & Hofschire,
2013). Between 2008 and 2010, US public libraries in the study had
doubled their use of Flickr, and increased their use of Facebook by nearly
700% (Lietzau & Helgren, 2011).
Social media activities explored by libraries have included:
• Promoting library news, events, resources, and services (Burkhardt, 2010; Gauder, 2007;
Tarulli, Anwyll, & Chawner, 2013).
• Connecting the library with new audiences (Carlsson, 2012; Tarulli et al., 2013); particularly
younger users who may be less reachable via other platforms such as e-mail (Rogers, 2010).
• Providing services directly over social media such as reference and readers’ advisory (Tarulli
et al., 2013).
• Searching and monitoring for mentions of the library within social sites to provide user assis-
tance and complaint resolution (Fichter & Wisniewski, 2008; Rogers, 2009).
• Involving users in participatory interactions such as giving feedback about proposed library
initiatives or engaging in voluntary collection-building efforts (Petit, 2011).
The Social Library in the Virtual Branch 261
• Conducting library advocacy efforts among journalists, government officials, and members of
the community (Rogers, 2010).
• Using digital curation to create research resources for users within social sites (Richardson,
Vance, Price, & Henry, 2013).
• Integrating social media concepts and technologies such as gamification, digital badges, and
other aspects into traditional library programs and services (Landgraf, 2011; Spina, 2014).
Since rapid changes can occur in functionalities, usage, and popularity of
social sites, Solomon (2011, p. 1) observes that “tools are ephemeral.”
Libraries should not only regularly assess social media activity but also con-
sider whether current social media sites are still effective platforms overall
for reaching users. For example, Mon and Randeree (2009) found that in a
2008 study of 242 US public libraries nationwide, MySpace was the top
social media platform in use with 95 libraries using MySpace as compared
to only 38 using Facebook. However, by 2009, users were abandoning
MySpace and switching to Facebook, and the libraries followed. In the span
of just 2 years from 2008 to 2010, Lietzau and Helgren (2011) observed
public library usage of Facebook changing from “a relative non-factor to
near ubiquity” among the largest public libraries in their study, with only
8% of these libraries using Facebook in 2008 as compared to 80% by 2010.
Likewise, the swift rise to popularity of two new sites launched in 2010,
Pinterest and Instagram, underscores the need for libraries not only to assess
the effectiveness of social media efforts, but also periodically assess the
impact of social media platforms being used and consider when changes
might be warranted.
Libraries have experimented with a variety of social site configurations,
ranging from a small set of sites such as Facebook for social networking and
perhaps a video or image sharing site, to much larger and more complex
configurations of multiple social sites representing different special units
within the library and sites targeted toward different library user groups.
Regardless of size or shape of a library’s social “footprint,” an essential
consideration is aligning the library’s selection of social media platforms
and posting strategies with the library’s overall mission, objectives, and
goals, including measurable outcomes in support of key library priorities
(Koontz & Mon, 2014). However, evaluating social media activity in rela-
tionship to the library’s larger priorities requires effort beyond assessment
basics of numbers of followers and their activities in liking, posting, com-
menting, and re-sharing. Assessing the larger impact, influence, and reach
of the library’s social media efforts requires measures such as:
• Increased traffic to the library’s web site or increased attendance at library programs and events
(Crawford, 2014; Gauder, 2007);
262 Lorri Mon and Abigail Phillips
• User-created contributions and achievements such as digital videos contributed to a library con-
test, photos added to a cocreated library image collection, tags added to the library catalog, and
digital gamification badges earned by accomplishing reading or literacy learning goals
(Landgraf, 2011; Petit, 2011);
• Phone calls, letters, and e-mails from users, volunteer time worked, and donations in response
to library advocacy efforts (Lewis, 2013; Solomon, 2011);
• Representativeness of followers and friends in terms of outreach goals to specific user groups,
geographic areas, and influencers within the community such as local government officials, jour-
nalists, business leaders, and educators (Crawford, 2014; Koontz & Mon, 2014).
The rise of the social library reflects a broader response from libraries to
increasing user demands for virtualization of library collections and services.
Today’s users want online access to libraries from wherever they are, along
with the ability to download e-books and digitized articles from databases,
and to receive online help from librarians via personal computers, smart-
phones, tablets, or other mobile devices. Social sites are one aspect of a
broader spectrum of technologies offered by libraries that also includes
library blogs, RSS feeds, e-mail newsletters, library mobile apps, and digital
reference services via chat, e-mail, or by text messaging. Wanucha and
Hofschire (2013) noted that in 2012, 43% of the largest US public libraries
offered reference services via text messaging, 57% offered chat reference,
and 79% offered e-mail reference services, while 63% operated library
blogs, 58% offered RSS feeds, 60% provided e-mail newsletters, and 60%
offered mobile apps for smartphone and tablet users. At the same time, US
public libraries served as technology spaces for communities, in some com-
munities functioning as the only free local source available for access to
computers and wireless Internet (Bertot, McClure, & Jaeger, 2008). Trends
toward public libraries adopting the latest new technologies have continued
with launches of YOUmedia digital youth learning lab spaces at Chicago
Public Library, and Miami Dade Public Library, teen learning labs at
Nashville Public Library and Columbus Metropolitan Library among others
(Santiago, 2012), and Makerspaces/Fab Labs with 3D printers at
Fayetteville Free Library, Westport Public Library, Allen County Public
Library, and Cleveland Public Library (Gutsche, 2013; Newcombe &
Belbin, 2012).
The social library of the future will likely continue to integrate the latest
developments in new tools and technologies. A substantial movement
toward a library that is not just social but also mobile is already underway.
Libraries are integrating mobile-friendly versions of their web sites, adding
“text a librarian” question-answering services to accommodate cell phone
and smartphone users, and exploring mobile-friendly social sites such as
Tumblr, Instagram, and Twitter. Libraries also are offering mobile apps from
vendors such as Boopsie (http://www.boopsie.com) and Bibliocommons
The Social Library in the Virtual Branch 263
(http://www.bibliocommons.com/products/mobile) to allow Android and
iPhone mobile users to use a customized library app to search the catalog,
place holds, and use other library features and services.
Beyond social and mobile, libraries are also making available some of
the latest technology innovations in wearable computing devices to patrons,
such as Google Glass and Occulus Rift at Arapahoe Public Library
(Asgarian, 2013). If there is one constant in social media, it is change, and
social libraries will require librarians to be nimble and adaptive technology
leaders and innovators willing to connect and engage with users over what-
ever technologies they are using, meeting them wherever they are located at
the point of need.
References
Agosto, D. E., & Abbas, J. (2009). Public libraries, teens, and social networking:
How public libraries are responding to the latest online trend. Public Libraries,
48(3), 32
37.
Agosto, D. E., Forte, A., & Magee, R. (2012). Cyberbullying and teens: What YA
librarians can do. Young Adult Library Services, 10(2), 38
43.
Aharony, N. (2012). Facebook use in libraries: An exploratory analysis. Aslib
Proceedings, 64(4), 358
372. doi:10.1108/00012531211244725
Asgarian, R. (2013, November 26). Arapahoe library district invests in Google
glass. Library Journal. Retrieved from http://lj.libraryjournal.com/2013/11/tech-
nology/arapahoe-library-district-invests-in-google-glass/#_
Bertot, J. C., McClure, C. R., & Jaeger, P. T. (2008). The impacts of free public
Internet access on public library patrons and communities. Library Quarterly,
78(3), 285
301. Retrieved from http://www.jstor.org/discover/10.1086/
588445?uid=3739808&uid=2134&uid=2&uid=70&uid=4&uid=3739256&
sid=21104697072107
Biegler, S., & boyd, d. (2010, June 25). Risky behaviors and online safety: A 2010 lit-
erature review. Berkman Center for Internet & Society at Harvard University.
Retrieved from https://cyber.law.harvard.edu/node/6228
boyd, d., Hargittai, E., Schultz, J., & Palfrey, J. (2011). Why parents help their
children lie to Facebook: Unintended consequences of the ‘Children’s Online
Privacy Protection Act’. First Monday, 16(11). doi:10.5210/fm.v16i11.3850.
Retrieved from http://journals.uic.edu/ojs/index.php/fm/article/view/3850/3075
Brophy, P. (2008). Telling the story: Qualitative approaches to measuring the per-
formance of emerging library services. Performance Measurement and Metrics, 9(1),
7
17.
Burkhardt, A. (2010). Social media: A guide for college and university libraries.
College & Research Libraries News, 71(1), 10
24. Retrieved from http://crln.acrl.
org/content/71/1/10.full.pdf+html
Cahill, K. (2009). Building a virtual branch at Vancouver Public Library using
Web 2.0 tools. Program: Electronic Library and Information Systems, 43(2),
140
155.
264 Lorri Mon and Abigail Phillips
Cahill, K. (2011). Going social at Vancouver Public Library: What the virtual
branch did next. Program: Electronic Library and Information Systems, 45(3),
259
278. doi:10.1108/00330331111151584
Carlsson, H. (2012). Working with Facebook in public libraries: A backstage
glimpse into the library 2.0 rhetoric. Libri, 62(3), 199
210. doi:10.1515/libri-
2012-0016
Charnigo, L., & Barnett-Ellis, P. (2007). Checking out Facebook.com: The impact
of a digital trend on academic libraries. Information Technology and Libraries,
26(1), 23
34. Retrieved from http://ejournals.bc.edu/ojs/index.php/ital/article/
view/3286/2899
Chu, S. K.-W., & Du, H. S. (2012). Social networking tools for academic libraries.
Journal of Librarianship and Information Science, 45(1), 64
75. doi:10.1177/
0961000611434361
Crawford, W. (2014). Successful social networking in public libraries. Chicago, IL:
American Library Association.
Dankowski, T. (2013, May 16). How libraries are using social media. American
Libraries, 44(5), 38
41.
Davies, J. (2012). Facework on Facebook as a new literacy practice. Computers &
Education, 59(1), 19
29. doi:10.1016/j.compedu.2011.11.007
De Jager-Loftus, D. P., & Moore, A. (2013). #gathercreateshare: How research
libraries use Pinterest. Internet Reference Services Quarterly, 18(3
4), 265
279.
doi:10.1080/10875301.2013.840714
Dellimore, C. (2014). Chicago Public Library revamps website. CBS Chicago, April
10. Retrieved from http://chicago.cbslocal.com/2014/04/10/chicago-public-
library-revamps-website/
Dempsey, B. (2012, April 2). Library referenda 2011: Voters keep the doors open.
Library Journal, 137(5), 64
68. Retrieved from http://lj.libraryjournal.com/
2012/04/funding/voters-keep-the-doors-open-library-referenda-2011/
Duggan, M., & Brenner, J. (2013, February 14). The demographics of social media users

 2012. Washington, DC: Pew Research Center. Retrieved from http://www.
pewinternet.org/files/old-media/Files/Reports/2013/PIP_SocialMediaUsers.pdf
Duggan, M., & Smith, A. (2013, December 30). Social media update 2013.
Washington, DC: Pew Research Center. Retrieved from http://pewinternet.org/
Reports/2013/Social-Media-Update.aspx
Ekart, D. F. (2010). Flickr four by four. Computers in Libraries, 30(7), 46
47.
Enders, N. R., & Winehouse, H. (2012). Writing a social media policy for your
library. Kentucky Libraries, 76(1), 16
19.
Ezeani, C. N., & Igwesi, U. (2012). Using social media for dynamic library service
delivery: The Nigeria experience. Library Philosophy and Practice (e-journal).
Retrieved from http://digitalcommons.unl.edu/libphilprac/814/
Fernandez, J. (2009). A SWOT analysis for social media in libraries. Online, 33(5),
35
37. Retrieved from http://digitalcommons.library.umaine.edu/cgi/viewcon-
tent.cgi?article=1004&context=lib_staffpub
Fichter, D., & Wisniewski, J. (2008). Social media metrics: Making the case for
making the effort. Online, 32(6), 54
57.
Forsyth, E., & Perry, L. (2010). Picturing your community: Flickr use in public
libraries. Library Hi Tech News, 27(1), 6
9. doi:10.1108/07419051011034121
Gauder, B. (2007). Social networking encourages teen library usage at Denver pub-
lic. NextSpace, 7, 12
13.
The Social Library in the Virtual Branch 265
Grensing-Pophal, L. (2010). The new social media guidelines. Information Today,
27(3), 1, 46
47.
Gross, M., & Saxton, M. L. (2001). Who wants to know? Imposed queries in the
public library. Public Libraries, 40(3), 170
176.
Grove, M. (2004). The three R’s of pastoral care: Relationships, respect and respon-
sibility. Pastoral Care in Education, 22(2), 34
38. doi:10.1111/j.0264-
3944.2004.00261.x
Gutsche, B. (2013). Makerspaces in libraries: Patron’s delight, staff’s dread? Alki,
29(1), 28
30.
Hardin, G., Klug, B., & Williams, U. (2012). Pioneering new directions: Creating
a social media strategy. Texas Library Journal, 88(2), 83
86.
Horn, L. (2011). Online marketing strategies for reaching today’s teens. Young
Adult Library Service, 9(2), 24
27.
Jurkowski, O. L. (2006). The library as a support system for students. Intervention
in School and Clinic, 42(2), 78
83. doi:10.1177/10534512060420020601
King, D. L. (2012). How we operate the digital branch. Library Technology Reports,
48(6), 16
18. doi:10.5860/ltr.48n6
Koontz, C., & Mon, L. (2014). Marketing and social media: A guide for libraries,
archives, and museums. Lanham, MD: Rowman & Littlefield.
Kroski, E. (2012, October 4). 10 interesting ways to use Instagram for your library.
Open Education Database. Retrieved from http://oedb.org/ilibrarian/10-interest-
ing-ways-to-use-instagram-for-your-library/
Lammers, D. (2012). Still facing obstacles to Web 2.0 use by your library? Try
Henrico’s approach. Virginia Libraries, 58(1), 26
28. Retrieved from http://scho-
lar.lib.vt.edu/ejournals/VALib/v58_n1/pdf/lammers.pdf
Landgraf, G. (2011, November/December). Summer reading levels up: How two
library summer reading programs evolved into summer games. American
Libraries. Retrieved from http://www.americanlibrariesmagazine.org/article/sum-
mer-reading-levels
Lawson, K. G. (2009). Mining social tagging data for enhanced subject access for
readers and researchers. The Journal of Academic Librarianship, 35(6), 574
582.
doi:10.1016/j.acalib.2009.08.020
Lenhart, A., Purcell, K., Smith, A., & Zickuhr, K. (2010, February 3). Social media
& mobile internet use among teens and young adults. Washington, DC: Pew Research
Center. Retrieved from http://pewinternet.org/Reports/2010/Social-Media-and-
Young-Adults.aspx
Lewis, C. (2013, April 17). Crowdfunding the library. Library Journal. Retrieved
from http://lj.libraryjournal.com/2013/04/funding/crowdfunding-the-library/#_
Lietzau, Z., & Helgren, J. (2011, April). U.S. public libraries and the use of web tech-
nologies. 2010 (Closer Look Report). Denver, CO: Colorado State Library, Library
Research Service & University of Denver. Retrieved from https://elearning.web
junction.org/content/dam/WebJunction/Documents/webjunction/WebTech2010_
CloserLookReport_FinalRev.pdf
LJ Staff. (2003, May 6). Oakland library posting wish lists for books. Library
Journal. Retrieved from http://lj.libraryjournal.com/2003/05/ljarchives/oakland-
library-posting-wish-lists-for-books/
Madden, M., Lenhart, A., Cortesi, S., Gasser, U., Duggan, M., Smith, A., &
Beaton, M. (2013, May 21). Teens, social media, and privacy. Washington, DC:
266 Lorri Mon and Abigail Phillips
Pew Research Center. Retrieved from http://www.pewinternet.org/files/2013/05/
PIP_TeensSocialMediaandPrivacy_PDF.pdf
Magee, R. M., Naughton, R., O’Gan, P., Forte, A., & Agosto, D. E. (2012). Social
media practices and support in US public libraries and school library media cen-
ters. Proceedings of the American Society for Information Science and Technology, 49(1),
1
3. doi:10.1002/meet.14504901334
Mahmood, K., & Richardson, J. V., Jr. (2011). Adoption of Web 2.0 in U.S. aca-
demic libraries: A survey of ARL library websites. Program: Electronic Library and
Information Systems, 45(4), 365
375. doi:10.1108/00330331111182085
McArdle, M. (2013, June 25). The library is open: A look at librarians and
Tumblr. Library Journal Reviews. Retrieved from http://reviews.libraryjournal.
com/2013/06/in-the-bookroom/post/the-library-is-open-a-look-at-librarians-and-
tumblr/
Mon, L. (2011). Public Library 2.0: New technologies, roles, and challenges for
public libraries. In J. C. Bertot, P. T. Jaeger, & C. R. McClure (Eds.), Public
libraries and the internet: Roles, perspectives, and implications (pp. 59
71). Westport,
CT: Libraries Unlimited.
Mon, L., & Randeree, E. (2009). On the boundaries of reference services:
Questioning and library 2.0. Journal of Education for Library and Information
Science, 50(3), 164
175.
Murvosh, M. (2012, September 18). Customized user design: Designing to fit your
community’s needs. Library Journal. Retrieved from http://lj.libraryjournal.com/
2012/09/buildings/lbd/customizing-user-design-to-fit-your-communitys-needs-
library-by-design/
Naik, Y. (2012). Finding good reads on Goodreads. Reference & User Services
Quarterly, 51(4), 319
323. doi:10.5860/rusq.51n4.319
Newcombe, P., & Belbin, N. (2012). Fab labs at the library: Community ‘maker-
spaces’ give access to cutting-edge tools. Government Technology, September 25.
Retrieved from http://www.govtech.com/e-government/Fab-Labs–at-the-Library.
html
Nielsen. (2012, December 4). State of the media: The social media report 2012.
Retrieved from http://www.nielsen.com/us/en/reports/2012/state-of-the-media-
the-social-media-report-2012.html
Nielsen. (2014). The digital consumer: February 2014. Retrieved from http://www.
nielsen.com/content/dam/corporate/us/en/reports-downloads/2014%20Reports/
the-digital-consumer-report-feb-2014.pdf
OCLC. (2011). Perceptions of libraries, 2010: Context and community. Retrieved from
http://www.oclc.org/reports/2010perceptions/2010perceptions_all.pdf
Petit, J. (2011). Twitter and Facebook for user collection requests. Collection
Management, 36, 253
258. doi:10.1080/01462679.2011.605830
Quan-Haase, A., & Young, A. L. (2010). Uses and gratifications of social media: A
comparison of Facebook and instant messaging. Bulletin of Science, Technology &
Society, 30(5), 350
361. doi:10.1177/0270467610380009
Rice, E., & Barman-Adhikari, A. (2013). Internet and social media use as a resource
among homeless youth. Journal of Computer-Mediated Communication, 19(2),
232
247. doi:10.1111/jcc4.12038
Richardson, R., Vance, C., Price, E., & Henry, J. (2013). A mightier pin: Creating
a credible reference library on Pinterest at Murray State University. Internet
The Social Library in the Virtual Branch 267
Reference Services Quarterly, 18(3
4), 247
264. doi:10.1080/10875301.2013.
849319
Rogers, C. R. (2009). Social media, libraries, and Web 2.0: How American libraries are
using new tools for public relations and to attract new users. (Second Survey,
November 2009). Columbia, SC: South Carolina State Library. Retrieved from
http://www.statelibrary.sc.gov/docs/social_media_survey2009.pdf
Rogers, C. R. (2010). Social media, libraries, and Web 2.0: How American libraries are
using new tools for public relations and to attract new users. (Third Survey, November
2010). Columbia, SC: South Carolina State Library. Retrieved from http://www.
statelibrary.sc.gov/docs/pr/201012_pr_social_media_survey.pdf
Santiago, R. (2012). YOUmedia Miami: Engaging youth in powerful new ways
[Special issue]. National Civic Review: Public Libraries and Civic Engagement,
101(4), 36
38. doi:10.1002/ncr.21104
Schnell, E. (2007). Online social networking. In N. D. Courtney (Ed.), Library 2.0
and beyond: Innovative technologies and tomorrow’s user (pp. 75
89). Westport, CT:
Libraries Unlimited.
Sewell, R. R. (2013). Who is following us? Data mining a library’s twitter fol-
lowers. Library Hi Tech, 31(1), 160
170. doi:10.1108/07378831311303994
Shaper, S., & Streatfield, D. (2012). Invisible care? The role of librarians in caring
for the “whole pupil” in secondary schools. Pastoral Care in Education, 30(1),
65
75. doi:10.1080/02643944.2011.651225
Smith, A. (2014, January 6). African Americans and technology use: A demographic
portrait. Washington, DC: Pew Research Center. Retrieved from http://www.
pewinternet.org/files/2014/01/African-Americans-and-Technology-Use.pdf
Smith, C. (2013). Tumblr offers advertisers a major advantage: Young users,
who spend tons of time on the site. Business Insider, December 13. Retrieved
from http://www.businessinsider.com/tumblr-and-social-media-demographics-
2013-12
Solomon, L. (2011). Doing social media so it matters: A librarian’s guide. Chicago, IL:
American Library Association.
Spina, C. (2014). Gamification in libraries. In B. A. Kirsch (Ed.), Games in libraries:
Essays on using play to connect and instruct (pp. 62
79). Jefferson, NC: McFarland.
Springer, M., Dulabahn, B., Michel, P., Natanson, B., Reser, D., Woodward, D., &
Zinkham, H. (2008, October 30). For the common good: The library of congress
Flickr pilot project. Retrieved from http://www.loc.gov/rr/print/flickr_report_final.
pdf
Suh, B., Hong, L., Pirolli, P., & Chi, E. H. (2010). Want to be retweeted? Large
scale analytics on factors impacting retweet in Twitter network. 2010 IEEE sec-
ond international conference on Social Computing (SocialCom), August 20
22,
Minneapolis, MN (pp. 177
184). Retrieved from http://www-users.cs.umn.edu/
~echi/papers/2010-socialcom/2010-06-25-retweetability-cameraready-v3.pdf
Tarulli, L., Anwyll, R., & Chawner, B. (2013). Social media and readers’ advisory:
New Zealand experiences. Reference & User Services Quarterly, 53(2), 113
118.
doi:10.5860/rusq.53n2.113
Vucovich, L. A., Gordon, V. S., Mitchell, N., & Ennis, L. A. (2013). Is the time
and effort worth it? One library’s evaluation of using social networking tools for
outreach. Medical Reference Services Quarterly, 32(1), 12
25. doi:10.1080/
02763869.2013.749107
268 Lorri Mon and Abigail Phillips
Wanucha, M., & Hofschire, L. (2013). U.S. public libraries and the use of web technolo-
gies. 2012 (Closer Look Report). Denver, CO: Colorado State Library, Library
Research Service & University of Denver. Retrieved from http://www.lrs.org/wp-
content/uploads/2013/11/WebTech2012_CloserLook.pdf
Wasike, J. (2013). Social media ethical issues: Role of a librarian. Library Hi Tech
News, 30(1), 8
16. doi:10.1108/07419051311320922
Waters, R. D., Burnett, E., Lamm, A., & Lucas, J. (2009). Engaging stakeholders
through social networking: How nonprofit organizations are using Facebook.
Public Relations Review, 35(2), 102
106. doi:10.1016/j.pubrev.2009.01.006
Zarrella, D. (2013). The science of marketing: When to tweet, what to post, how to blog,
and other proven strategies. Hoboken, NJ: Wiley.
Zimmer, M. (2013). Assessing the treatment of patron privacy in library 2.0 litera-
ture. Information Technology and Libraries, 32(2), 29
41. doi:10.6017/ital.
v32i2.3420
Index
The series and volume editors, did not create, nor were responsible for this index.
Academia.edu, 189
90 defamation see defamation
case study, 185, 193
208 fear of legal action, 21, 29
30
number of times used, 200 fear of repercussions, 19
users, 197
200 new communication technologies,
graduate students, 197 5, 19
27
identifying selves on, 28 student comments, 22
uses of site, 201
6 history of academic librarianship and,
connecting with other researchers, 9
11
204
6 institutional autonomy, 7, 16
posting/reading research articles/ intellectual freedom and, 6, 8, 11
14
papers, 202
4 as a privilege, 16
staying abreast of news/ religious restrictions, 16
developments, 206 social media/social networking, 17,
updating profile information, 201, 20
7
202 blogs/blogging see blogs/blogging
see also academic social networking collective agreements, 22
sites disclaimers, 23
4, 26, 28
9
Academic Bill of Rights (ABOR), 8 expressing critical views, 29
30
academic freedom, 3
32 fear of legal action, 21, 29
30
blogs/blogging see blogs/blogging freedom of expression/speech,
Canadian legislation, 8
9 19
27
collective agreements see collective identifying self on, 28
agreements legal liability, 24
defining, for librarians, 6
8 mixed personal/professional
disclaimers, use of, 16
17, 26, 28
9 postings, 21, 23
faculty associations, 6, 14
17, 30, 32 policies and guidelines, 22
7, 28
legal costs of academic staff, 30
1 professional concerns, 27
31
freedom of expression/speech, 6, 7, student comments, 22
8
9, 12, 13
14 survey, 17
19, 27
31
critical expressions, 18
19, 29
30 tenure and, 6, 7, 14, 21
270 Index
academic librarians Association to Advance Collegiate
blogs/blogging see blogs/blogging Schools of Business
collective agreements see collective International (AACSB), 52,
agreements 5454
5, 56
evaluation of materials, 4
5 Association of American Colleges, 9
faculty associations, 6, 14
17, 30, 32 Association of American Colleges and
history of academic librarianship and Universities (AAC&U), 9
academic freedom, 9
11 Association of College and Research
intellectual freedom, 6, 8, 11
14 Libraries (ACRL), 9, 10,
in postsecondary education, 10
11 11
12, 13
academic social networking sites Association of Universities and Colleges
(ASN sites) of Canada (AUCC), 7
case study see Academia.edu Athabasca University, 16
challenges in studying, 190
3 Atmospheric Chemistry and Physics
Mendeley, 189 (ACP), 115, 116, 129
31,
ResearchGate, 189 138
user perceptions of impact of, 207
8
Whitley’s theory, 185, 190
3, 195
6 Bancroft et al. v. Governing Council of the
degree of mutual dependence, 191, University of Toronto (1986), 8
195
6, 199
200, 203, 207 Beall, Jeffrey, 4, 5, 30
degree of task uncertainty, 191
2, Behavioral Ecology, 122
195
6, 203, 207 Bibliocommons, 262
3
see also scholarly communication; Biology Direct, 138
social media/social Bishop’s University, 16
networking BlipTV, 242
Allen County Public Library, 262 blogs/blogging
Amazon.com, 254 defamation lawsuits, 4, 21, 24,
American Association of University 25
6
Professors (AAUP), 6
7, 9, disclaimers, 23
4, 26, 28
9
10, 26, 27 freedom of expression/speech, 20
American Journal of Medicine, The, 121 fear of legal action, 21, 29
30
American Journal of Psychiatry, The, 121 generally, 20, 21, 28
American Library Association (ALA), 9 legal liability, 24, 25
6
accreditation standards, 48
9 library blogs, 262
code of ethics, 48 mixed personal/professional postings,
Intellectual Freedom Principles for 21, 23, 31
Academic Libraries, 13 policies and guidelines, 22
7, 28
Ann Arbor Public Library, 255 political genre, 21
Arapahoe Public Library, 263 see also microblogs/microblogging;
as-is, 123 social media/social
Askey, Dale, 33
5, 26, 27 networking
Index 271
BMJ Rapid responses, 138 Columbus Metropolitan Library, 262
Boopsie, 262 Communications Decency Act, 26
Brain and Behavioral Science (BBS), community collection building, 97
8
125
6 community seed library, 101
2
British Columbia Library Association competencies see professional
(BCLA), 13 competencies
broadband contract design, 99 crowdsourcing, 253, 254, 255
business ethics education see ethics collection development, 100
1
education Current Anthropology, 124, 126
cyberbullying, 251, 252
Canadian Association of College and
University Libraries Dalhousie University, 10
(CACUL), 13, 14 Danish Agency for Libraries and Media,
Canadian Association of Professional 88
9
Academic Librarians defamation
(CAPAL), 14 burden of proof, 25
6
Canadian Association of Research lawsuits, 3
5, 7, 25
6
Libraries (CARL), 13
14 legal costs of academic staff, 27,
Canadian Association of University 30
1
Teachers (CAUT), 4, 14, legal liability, 24, 25
6
27, 31 SLAPP lawsuits, 4, 5
Collective Agreement database, 15, social media/social networking
22 blogs/blogging, 4, 21, 24,
defining academic freedom, 6
7 25
6
Canadian Charter of Rights and Freedoms, fear of legal action, 21, 29
30
8, 9, 12, 13, 19, 22 Delicious, 242
Canadian Library Association (CLA), 13 Denver Public Library, 253, 257
Canton Public Library, 255 digital curation, 246
Carleton University, 24 Digital Humanities (DH) spaces, 229,
Carter, Franklin, 25
6 233
chat reference, 262 Diigo, 242, 253
Chicago Public Library, 253, 255, 262
Cleveland Public Library, 262 e-mail reference services, 262
collective agreements Edwin Mellen Press, 3
4, 7, 27
academic freedom, 9, 14
17, 18, 20 electronic communication technologies
disclaimer of personal/individual freedom of speech and, 5, 19
27
viewpoints, 16
17 policies and guidelines, 22
7
legal restrictions, 16 see also social media/social networking
new communication technologies, 22 Electronic Transactions on Artificial
religious restrictions, 16 Intelligence (ETAI), 115,
social media/social networking, 22 116, 126
9, 138
272 Index
ethics education, 47
76 academic libraries, 243, 260, 261
academic scope, 60
7 age of users, 248
ALA code of ethics, 48 cocreation of content, 253
business ethics coursework, 52
3 disclaimers, 29
capstone course, 72
4 freedom of expression, 22, 23, 24
5
college experience, 52
3, 57 identifying self on, 28
employer expectations, 53
4, 57 management tools, 258
ethical disposition, 71
2 monitoring, 249
ethical information culture, 51 outreach strategies, 252, 253
ethics codes, 48, 50
1 pastoral care, 251
enforcement mechanisms, 48, 50 photo postings, 246
influence on behaviour, 51
2 popularity/use, 242, 244, 260, 261
organizational culture and, 51 profile page, 247, 249
ethics coursework, 52
3, 63
4 promoting information resources and
goals of business ethics education, services on, 243, 244, 245,
63
5 246
information field, 48
50 public libraries, 243, 244
learning objectives, 73 social care, 250
learning outcomes, 55, 66
7 video postings, 246
literature review, 50
4 see also social media/social
management programs, 54
6 networking
organizational culture, 49, 50, 51, 65 Faculty of 1000 (F1000), 115, 116,
personal scope, 51, 62
3, 68
70 131
6, 138
home and religion, 68
9 F1000 Prime, 132
4
individual nature, 70 F1000 Prime Reports, 134
outside influences, 69
70 R1000 Research, 134
6
professor’s role, skill and ability, 67 faculty associations
research project, 57 academic freedom, 6, 14
17, 30, 32
data analysis, 59
60 collective agreements see collective
data collection, 58
9 agreements
results, 60
72 legal costs of academic staff, 30
1
schedule of interview questions, 79 Family Medicine Online Database
subjects, 57
8 (FMOD), 148
9
specific cases and experiences, 65
6 Fayetteville Free Library, 262
stand-alone ethics courses, 74
5 First Amendment Project (FAP), 5
working experience, 52 First Amendment to the United States
workplace influences, 50
1 Constitution, 7, 8, 19
20
Fish, Stanley, 138
Facebook, 190, 205, 241, 255, 256, Flickr, 23, 242, 245, 246, 252, 253,
257 254, 260
academic librarians, use by, 20, 28 Florida State University (FSU)
Index 273
Scholars’ Commons, 221, 222, 224, Medical Subject Headings (MeSH),
225, 226, 227
8, 231, 233 148
food trucks medico-scientific terminologies,
real time updating, 255 147
50
Foursquare, 242, 252, 254, 255, 258, MedlinePlus, 147
260 MedSearch, 148
freedom of expression/speech see methodology
academic freedom context features, 157, 158
9
health literacy assessment, 155
George Mason University, 221, information needs and queries,
233
4 153
4
Goodreads, 242, 253, 254 medical accuracy assessment, 156
Google+ , 198, 244, 260 readability assessment, 156
7
Google, 147, 154, 204 research questions, 152
Google Glass, 263 retrieval systems, 154
graduate commons see Scholars’ search procedure, 154
5
Commons tasks, 154
topic familiarity assessment,
hate speech laws, 22 155
6
health information retrieval users, 157
data analysis, 160
1 personalized query suggestion system,
comprehension analysis, 167
71 178
9
document characteristics analysis, query suggestion systems, 145, 148,
161
3 179, 180
medical accuracy analysis, 171
5 personalized, 178, 179
motivational analysis, 175
7 readability, 150, 152, 180
precision analysis, 163
7 assessment, 156
7, 161
2
effect of terminology, 145
80 topic familiarity, 145, 178,
Family Medicine Online Database 179, 180
(FMOD), 148 assessment, 155
6
generally, 145, 146
7 influence of, 150
2
Google, 147, 154 query formation and, 151
Health Information Query Assistant Unified Medical Language System
(HIQuA), 149, 150 (UMLS), 147, 149
health literacy, 150, 177
8, 180 Health On the Net Foundation (HON),
assessment, 150, 155 154
definition, 150 Homelands Securities Act, 8
iMed, 148
medical accuracy iMed, 148
analysis, 171
5 Indiana University, 222
assessment, 156 Indiegogo, 254
274 Index
Information Commons, 216, 217, 221 Internet, 88
see also Scholars’ Commons health information see health
information society, 89
90 information retrieval
knowledge society distinguished, 90 open peer review, 115, 116,
informational world cities, 89 125
6, 137
Instagram, 241, 242, 251, 258, 261, scholarly communication, 187
8
262 see also academic social networking
popularity/use, 244, 245, 246, 248 see also social media/social
intellectual capital assets, 81, 90 networking
definition, 82
3 invisible college, 186
7
explicit knowledge, 83
human capital, 82, 83 Journal of Clinical Investigation, The, 120
individuals, 83 Journal of Medical Internet Research, 138
knowledge facilitation, 85, 92
3
librarians as knowledge citizens, Kansas State University, 4, 26
98
105 Keyishian v. Board of Regents, 1967 7
libraries as knowledge knowledge cities, 88, 90
105
organizations, 94
8 definition, 91
libraries, 83 knowledge facilitation, 92
3
organizations, 82
3 knowledge transactions, 91, 92, 93
professional competencies, 81, 85
7, librarians as knowledge
106 citizens, 98
behavioral competencies, 85, 86, advising on broadband contract
106 design, 99
functional competencies, 85, 86 community seed library, 101
2
local knowledge, 107 crowd-sourced collection
not covered by professional development, 100
1
associations, 86, 87 future scenarios, 99
105
systems thinking, 106 knowledge transfers among rural
relational capital, 82, 83 academic libraries, 104
5
structural capital, 82, 83 rural community knowledge
see also knowledge cities; knowledge elicitation, 102
4
economy; knowledge society; state prison environment, 99
100
library science education libraries as knowledge organisations,
intellectual freedom 94
academic freedom and, 6, 8, 11
14 community collection building,
defining, 6, 11, 12 97
8
mission statements, 12
13 future scenarios, 94
8
privacy and, 8 program planning, 96
7
International Federation of Library reference exchange, 94
5
Associations (IFLA), 20 technical services exchange, 95
6
Index 275
knowledge economy, 81, 82 LinkedIn, 23, 28, 189, 205, 241,
defining, 82 244, 258
intellectual capital assets see
intellectual capital assets McGill University, 10, 15
16
knowledge transactions, 91, 92, 93 Mckinney v. University of Guelph
transition from industrial economy, (1990), 8
81, 82
7 McMaster University, 3, 4, 15, 16, 26,
knowledge moments, 92, 104, 107 27, 233
knowledge society Makerspaces/Fab Labs, 262
Bedford’s five-faceted model, 90
1 Manchester City Library, New
future scenarios, 81 Hampshire, 245
information society distinguished, medico-scientific terminologies,
89
90 147
50
informational world cities, 89 see also health information retrieval
intellectual capital assets see MedlinePlus, 147
intellectual capital assets MedSearch, 148
librarians’ role in, 81
108 Mendeley, 189
local knowledge, 107 Miami Dade Public Library, 245, 253,
management culture, 107 262
nature of, 81 microblogs/microblogging, 242, 244
5
science cities, 87
8, 91 academic librarians, 20, 21, 28
technopolies, 87, 88, 91 freedom of expression/speech, 20
transformation to, 87
90 mixed personal/professional postings,
transition from industrial society, 81, 21
82
7 see also blogs/blogging; social media/
social networking
Lancet, The, 121 MySpace, 190, 242, 257, 261
Laval University, 10
Learning Commons, 216, 217 Nashville Public Library, 255, 262
see also Scholars’ Commons Nature, 133
libel see defamation Naylor, David, 7
Library of Congress, 246 New England Journal of Medicine, The,
library and information studies 121
definition, 48
9 New York Public Library, 253
library science education, 83, New York University (NYU)
85, 108 Scholars’ Commons, 222, 224, 225,
nontraditional sources of learning, 226, 227
8, 229, 232
3
106 New Zealand public libraries, 89
professional competencies see Nowviskie, Bethany, 233
professional competencies
LibraryThing, 242, 254 Oakland Public Library, 254
276 Index
Oakville Public Library, 255 Philosophical Transactions, The, 116
17
Occulus Rift, 263 Pinterest, 241, 242, 255, 258, 260, 261
Ohio libraries, 257 co-creation of content, 253
4
freedom of expression, 25
partnerships popularity/use, 244, 246
Scholars’ Commons, 225
6, 230
2 profile page, 247
pastoral care, 250
2 Pridgen v. University of Calgary, 22
peer review privacy
bias, 115, 116, 122
3, 136 intellectual freedom and, 8
alphabetical discrimination, 122
3 social media use and, 252, 259
60
female authors, 122 professional competencies, 81, 85
7,
low-status institutions, 123 106
editors, 116, 117, 119, 120, 121 behavioral competencies, 85, 86, 106
generally, 115
16 functional competencies, 85, 86
history of, 116
19 local knowledge, 107
impartiality, 122 not covered by professional
information overload, 119
20, 136 associations, 86, 87
medical practice, 117
18 systems thinking, 106
modern peer review, 120
3 see also library science education
open peer review, 115, 123
4 professional ethics, 48
Atmospheric Chemistry and program planning, 96
7
Physics (ACP), 115, 116, Psycoloquy, 125
129
31, 138 publish or perish syndrome, 122
Brain and Behavioral Science (BBS),
125
6 qualitative research, 57, 72
Electronic Transactions on Artificial Quebec Charter of Human Rights and
Intelligence (ETAI), 115, Freedoms, 9
116, 126
9, 138 Queen’s University, 10, 16
Faculty of 1000 (F1000), 115, 116,
131
6, 138 reference exchange, 94
5
Internet, impact of, 115, 116, ResearchGate, 189
125
6, 137 Richardson, Herbert, 4
post-peer review, 130, 131, 138 Rogers, Brian MacLeod, 26
Psycoloquy, 125 Royal Society
Sol Tax, 124 The Philosophical Transactions, 116
17
post-peer review, 130, 131, 138 RSS feeds, 262
publish or perish syndrome, 122 rural academic libraries
scientific journals, 116
19, 121, 129 knowledge transfers among, 104
5
secrecy, 115, 116, 123, 136 rural community knowledge elicitation,
tenure and, 122, 123 102
4
PeerIndex, 258 Ryerson University, 24
5
Index 277
St. Michael’s University, 16 social media/social networking
scholarly communication academic freedom, 17, 20
7
changing nature of, 188
9 blogs/blogging see blogs/blogging
generally, 185
8, 217 collective agreements, 22
informal communication, 186
7, disclaimers, 23
4, 26, 28
9
188 expressing critical views, 29
30
invisible college, 186
7 fear of legal action, 21, 29
30
scientific journals, 186 freedom of expression/speech,
social networking see academic social 19
27
networking sites identifying self, 28
Scholars’ Commons, 215
36 legal liability, 24
benefits of, 220
1 mixed personal/professional
characteristics, 223 postings, 21, 23
Digital Humanities (DH) spaces, policies and guidelines, 22
7, 28
229, 233 professional concerns, 27
31
future research, 233
4 student comments, 22
leadership, 232
3 academic sites see academic social
literature review, 217
20 networking sites
new organizational structures, in libraries, 241
63
226
8, 232
3 age of users, 244
5, 248
9
new use of space, 222, 224, 229 cocreation of content, 253
4
partnerships, 225
6, 230
2 crowdfunding, 254
5
segmented services, 224
5, 230 crowdsourcing, 100
1, 253,
staffing issues, 226
8 254, 255
Science Citation Index (SCI), 123 cyberbullying etc, 251, 252
science cities, 87
8, 91 digital curation, 246
scientific journals engaging with users, 250
peer review, 116
19, 121, 129 gamification, 255
scholarly communication, 186 impact assessment, 257
scientific revolutions, 118 management tools, 258
Shelfari, 242, 254 measuring/assessing results of
Simon Fraser University activities, 256
9, 261
2
Faculty Association (SFUFA) monitoring, 249
50, 252
collective agreement, 15 most popular sites, 244
Framework Agreement (2007), 12 motivating users, 255
6
social media guidelines, 23
4 outreach, 252
3
Skoblow, Jerry, 138 participation and engagement,
SLAPP (strategic litigation against 247
9
public participation), 4, 5 pastoral care, 250
2
smartphones, 244, 262 photo sharing, 245
6
Snapchat, 248 policies, 259
60
278 Index
privacy, 252, 259
60 outreach strategies, 252, 253
profile/profile page, 247
9, 252 pastoral care, 251
promoting information resources popularity/use, 244, 260
and services, 243
6 profile page, 247, 249
real time updating, 255 promoting information resources and
resolving user issues, 250 services on, 244, 245, 246
selecting sites, 244
6 public libraries, 244
social care, 249
50 real time updating, 255
social tagging, 255 social care, 249
teen advisory boards (TABs), 252 video postings, 246
number of users, 241
2 web links, 246
policies, 248
9 see also blogs/blogging; microblogs/
smartphones, 244, 262 microblogging; social media/
SocialBro, 258 social networking
state prison environment, 99
100
StumbleUpon, 242, 258 Unified Medical Language System
Sweezy v. New Hampshire, 1957, 7 (UMLS), 147, 149
United Nations Universal Declaration of
Tax, Sol, 124 Human Rights (1949), 9, 11,
technical services exchange, 95
6 12, 20
technopolies, 87, 88, 91 University of Alberta, 16
tenure University of British Columbia, 24
academic freedom and, 6, 7, 14, 21 University of Calgary, 21
2
peer review and, 122, 123 University of Colorado, Denver, 4
text messaging, 262 University of Guelph, 8, 23
Topeka Shawnee County Public Library, University of Kansas, 26
253 University of Massachusetts Amherst,
Tripadvisor, 242, 252, 254, 258 221
Trzeciak, Jeff, 15, 233 University of Northern British
Tumblr, 242, 248, 249, 260, 262 Columbia, 15
age of users, 244
5, 248 University of Toronto, 7, 8, 10, 15, 16,
Tweet Reach, 258 17
Twitter, 241, 242, 243, 255, 256, 257, University of Virginia, 233
262 University of Washington (UW)
academic librarians, use by, 20, 21, 28 Scholars’ Commons, 222, 224, 225,
academic libraries, 260 226, 227
8, 230, 233
age of users, 245, 248 University of Waterloo, 15, 16
cocreation of content, 253 University of Western Ontario, 16, 17
freedom of expression, 23, 24, 25
management tools, 258 Vancouver Public Library (VPL), 244,
monitoring, 249 256
Index 279
Vimeo, 242, 245, 253, 260 Yahoo! Answers, 153
Vine, 253 Yelp, 242, 252, 254, 258
York University, 16, 17, 27
weblogs see blogs/blogging YOUmedia, 253, 262
Westport Public Library, 262 YouTube, 23, 24, 28, 242,
Wilson v. University of Calgary, 22 245, 252, 253, 260