College and Research Libraries Rx for Library Management Alvin C. Cage Traditionally, management practices in libraries have drawn extensively upon research and publication in the field of business management and its parent field, systems theory. This paper looks at recent developments in the field of systems theory that can improve library manage- ment practices by broadening the perspective in which these problems may be approached. In particular, the concept of organizational life cycles is discussed. A paradigm is developed for the application of its principles. e have reached a time of, per- haps, unprecedented stability in the work forces of individual libraries. Relatively few jobs be- come available at the middle and upper levels of library management and when they do, it is often difficult to recruit effec- tively from outside the organization. Moreover, the work force is aging, but the majority of Americans are many years from retirement. Although the nature of their jobs has changed somewhat, many librarians are entrenched in their posi- tions. American libraries are no longer main- taining their former level of automatic self-renewal, which usually occurs when key administrators change. Dwindling fi- nancial resources have exacerbated the sit- . uation, retarding the development of in- novative services. What effect are these events having on libraries? As they stand on the threshold of the Information Age, when so much will be asked of them, will the tried-and-true management practices of the past work for libraries, or are new and more powerful tools required? Recent research in systems theory has provided a new perspective on dealing with management problems that is wor- thy of our consideration: the longitudinal study of organizations. Longitudinal sys- tems theory represents a refreshing de- parture from conventional thinking by viewing an organization as a system that passes through distinctive stages of devel- opment not unlike those of a biological or- ganism. In longitudinal systems theory, an organization is born, grows, matures and, like biological systems, has a natural tendency to decline with age and, yes, to die! This longitudinal perspective pro- foundly influences the nature of required management decisions. THE LIBRARY DOCTOR The organization manager, or library di- rector, must be the organization's doctor and must consider the age and overall health of the patient. Just as a doctor would not automatically prescribe the same medicine for a child as for an adult, neither should the library manager re- spond uniformly to the symptoms of orga- nizational malaise. To fully grasp the im- plications of this new thinking, we must briefly trace the evolution of management theory. EVOLUTION OF MANAGEMENT THEORY Traditional management practices have been substantially based on the works of classical organizational theorists such as Peter Drucker1 and Frederick Taylor. 2 These theorists take the rational approach Alvin C. Cage is director of libraries at Stephen F. Austin State University, Nacogdoches, Texas 75961 . 132 that management's job is simply to orga- nize tasks for efficiency and effectiveness. They reason that, with proper training and careful employee selection, these properly organized tasks should be per- formed as directed, so long as competent people are assigned to do the work. Few would argue with this view. Later organization theorists, however, added a new dimension to the under- standing of management by focusing, not upon the rational ordering of tasks, but upon the individual's need for personal job satisfaction. This newer, naturalistic school of organizational theory proposed that, as Utterer suggests, "organizations rest ... on the basic needs, both physical and emotional, of people. ''3 The naturalis- tic school taught us that organizational goals will be most effectively accom- plished when management considers how well they fulfill human, as well as or- ganizational, needs. Naturalistic thought was most graphically reflected in the in- troduction of participatory management practices in libraries. Today, few librarians would consider themselves effective man- agers if they did not approach organiza- tional problems from both the rational and humanistic (naturalistic) viewpoints. ADAPTATION AND EQUILIBRIUM The problem with traditional manage- ment theory is that it has tended to take a steady-state view of organizations. An or- ganization is seen as naturally adaptive, Organizational Health Ax+ Equilibrium Ax Organizational Malady Ax - Rx for Library Management 133 that is, possessing within itself automatic, self-renewing mechanisms that return it to its desired state of equilibrium. Let's take a closer look at this concept. ''Adaptation concerns the modification of the organization or its components to fit or be adjusted to its environment. " 4 Through adaptation, an organization re- sponds to change and maintains a desired state of organizational health known as equilibrium. An organization functioning properly is said to be in a state of equilib- rium. Figure 1 shows an organization operat- ing indefinitely within an adaptive field that may be broad or narrow. The dotted line represents the passage of time into in- finity. Over time, organizational behavior will depart from the ideal to a greater or lesser degree represented by the swing of the curves around the dotted line. Within every organization are natural adaptive mechanisms that will cause it to self- correct, or swing back toward equilib- rium, also represented by the dotted line. In a system with few external influences, the swing, or adaptive field, is narrower. Organizations subject to considerable in- fluences from without may regularly devi- ate further from equilibrium. Thanks to the Information Age, libraries may be moving into the broader adaptive field. Subject now to a marketplace in which in- formation is gaining considerable eco- nomic value, libraries are finding commer- cial rivals for their services. Organizational Birth - Passage of Time - FIGURE 1 00 The Steady-State Organizational Paradigm 134 College & Research Libraries TRADITIONAL VERSUS LONGITUDINAL THEORY Because of this steady-state view of or- ganizations, traditional management the- ory has tended to take a rather one- dimensional view of organizations that ignores their developmental paths. In lon- gitudinal systems theory, however, the characteristics of adaptation are seen as varying at different stages in an organiza- tion's life cycle. 5 We should note with some alarm that longitudinalists also view organizations as en tropic, that is, possess- ing the tendency to decline over time (not represented on the diagram). This is a rev- olutionary thought when applied to li- braries. In traditional management theory, cer- tain types of behavior within an organiza- tion are viewed as either good or bad. Lon- gitudinal theory, however, takes quite a different approach. In longitudinal the- ory, the degree of organizational develop- . ment determines whether the behavior is good or bad. Management, the longitu- dinalists say, must first determine the "stage" of an organization's develop- ment before taking any action. Why? Be- cause what may appear to be a problem re- quiring corrective action may, in fact, be a solution-or at least a part of one. Through failure to perceive the specific stage or organizational development, the management doctor may diagnose a non- existent malady and prescribe medicine that will make the patient sick! Or, as is more typically the case, management will fail to see the symptoms of organizational decline. ORGANIZATIONAL PARADIGMS Let's take a closer look at what these seemingly peculiar ideas mean by examin- ing a paradigm proposed by Adizes 6 for business organizations. Adizes is unique among organizational theorists in ~avin~ developed a life-cycle model that Identi- fies the behavioral characteristics of de- cline. 7 He has identified discrete stages through which business organizati~ns pass during their life cycles, each of which is marked by distinct characteristics. The following summary of Adizes' model is in- tentionally simplified. March 1986 Courtship-a planning stage character- ized by the flourishing of ideas during which the business' potential founders conceive their business plan but makes no real financial commitments. Infancy- Financial commitments .have gotten the organization underway; Ideas decline as purpose narrows. Real produc- tive activity begins. Go-Go-The business has begun to suc- ceed and confidence generates an expan- sion of activities and much free thinking with little formal planning. Adolescence-As the organization ex- pands, the lack of formal pla~~ing render.s it unwieldy. Growth is modified to permit the development of structure. Policies and procedures begin to take on written form. Some formal short-range planning actu- ally takes place. Prime-The organization has reached an ideal stage of development. It has a high "results" orientation but remains open to innovation. Improvement in organiza- tional structure has helped it to better un- derstand its capabilities and to plan wisely. Maturity-The system that worked so well in ''Prime'' has become institutional- • ized. It's more difficult to accomplish change now, which leads to occasional conflicts among staff. Aristocracy-The organization has be- come tradition-bound. Little empires have been established by key staff, and there is strong resistance to change. There is much conflict for funds to expand existing em- pires but little incentive to develop new programs. Staff conflict, naturally, in- creases. Bureaucracy-Systems, rules, and proce- dures are worshipped. The resistance to change renders the business unrespon- sive to its market, and profits, conse- quently, decline. Paranoia and scapegoat- ing ensue as empire builders seek to hold on to what they have at other's expense. Death-Formal dissolution of the organi- zation, a just reward for the above-cited behavior, usually through business fail- ure. This model, while certainly not entirely applicable to libraries, does illustrate the importance of identifying organizational stages. Note that staff conflict, usually seen as a problem, was both healthy and necessary to the generation of ideas in the organization's infancy. Note, also, that the virtual absence of it, usually viewed as a sign of good management, portended disaster in ''Aristocracy.'' Although libraries are heavily institu- tionalized and do not pass through full life cycles of the type so dramatically illus- trated by the Adizes model, it is highly probable that institutionalized organiza- tions do possess at least some form of modified life cycle, which, if understood, could contribute significantly to making management decisions. Unfortunately, little of the work done to date in this area has focused on institutionalized organiza- tions such as libraries, but in one study, Downs describes stages of growth and de- velopment appropriate to government agencies. He identifies three stages: in the first there is a struggle for autonomy, dur- ing which an agency is born out of grow- ing concern or activity in a particular area, Rx for Library Management 135 e.g., the separation of Education from the mammoth Department of Health, Educa- tion and Welfare within the federal gov- ernment. Next, comes a productive period characterized by expansion and creativity. Finally, in deceleration, rules and proce- dures become elaborate and formalized, predictability replaces innovation, and the organization becomes familiarly bureau- cractic.8 THE LIBRARY MODEL By synthesizing these models and draw- ing on commonly observed behavior, a paradigm of the library organizational life cycle may be developed. Figure 2 is a dia- gram of an organizational life-cycle model constructed for libraries. Because li- braries, for now at least, have the protec- . tion of institutionalization, the diagram views them as permanent, represented by a closed circle. Libraries will move through their life cycles around the curve ., c1f the circle in either direction, depending Honeymoon Chaotic Critical Perilous Productive Decline Stable Bureaucratic FIGURE2 The Library Organizational Life Cycle 136 College & Research Libraries upon whether they . are getting better or worse. The model, which is detailed below, might apply in a medium-sized to large ac- ademic library. In the library model, there are no birth or death stages, as in Adizes, because the library will continue to oper- ate regardless of its organizational health, nor is there the autonomy stage from Downs' model. However, libraries are viewed as passing through recognizable organizational stages, the base stage coin- ciding with the appointment of a new di- rector. Honeymoon-the stage, usually follow- ing the appointment of a new director, characterized by uncertainty concerning policies, procedures, and organization, all of which are now subject to change. There will be lots of jockeying for position among key staff, who will fall over one an- other to demonstrate their desire to be ''on the team.'' The honeymoon period is the time when it is easiest to gain coopera- tion and support; it is the golden opportu- nity for breaking up cliques and forming new alliances, but, if the new director comes from outside the organization, ev- eryone is cautious and guarded and the at- mosphere is tense. Critical-The director has begun to "set- tle in'' as perceptions of his/her manage- ment style and general organizational goals are shared among key staff; major organizational changes have been made or are in the making. There will be some disgruntled staff whose individual expec- tations were not met, but generally, en- thusiasm is pervasive. Major policies and procedures long in effect are reviewed and changes formalized. Goal setting tends to concentrate on the short run. This is the critical period when everyone is waiting to see how well the new structure will work and how it will be received by faculty and student clientele. Productive-The organization has sur- vived the critical stage and, while not be- yond further polishing, has generally worked by the perceptions of both staff and library clientele. Now, the climate is ripe for developing a high "results" orien- tation among staff. Ideas abound, and en- thusiasm is relatively pervasive. The abil- ity of the organization to generate March 1986 productive outcomes, to serve as a vehicle for effective communication of ideas, and, in general, to operate with a sense of fair- ness toward staff has been demonstrated. Planning is beginning to expand out of the short range and into the long range. Stable-Systems, policies, and proce- dures are highly efficient and quite effec- tive. There are many meetings, but busi- ness is highly routine. Such cliques as may exist have become so stabilized that staff conflict is not readily apparent. Secondary lines of communication develop around personalities of key staff. Services are sat- isfactory but show little imagination or in- novation and there is little incentive to ex- tend them. Bureaucratic-Precedent becomes the primary guideline for procedures and pol- icies. Systems become complex and resis- tent to change. Committees are numerous and their meetings regular and formal. New programs are rarely initiated. Behav- ior is predictable and open staff conflict, virtually nonexistent. A feeling of satisfac- tion prevails. Decline-Faculty and student disen- chantment with the lack of responsive- ness to changing needs becomes appar- ent. Newer library staff are openly frustrated and clique formation is rekin- dled. To avoid conflict, the number of meetings is reduced and participation lim- ited. Policy changes tend to increase in complexity, though the number of real changes are few, and safeguards are added to systems. Peril-Top administration becomes iso- lated. Cliques become a major means of communication. Defensiveness becomes a primary consideration in decision mak- ing as even routine matters are highly for- malized (simple decisions require the ex- change of memos). Changes in procedures, policies, and systems become possible almost exclusively through con- sensus, which is rarely achieved. Chaos-Staff conflict is frequent, open, and usually based on personality conflicts rather than substantive matters. Morale, even among clerical staff, is low. The de- livery of service is clearly secondary to or- ganizational concerns that become con- suming. Library users are understandably di~satisfied. The library has probably lost its ability to change from within, making the appointment of a new director immi- nent. USE OF THE MODEL Because the last three stages are similar, the model could be collapsed into fewer stages. The number of stages suggested, however, provides different symptoms that help identify the degree of urgency for getting the organization on track. Also while the model looks at the organization of an entire library, it could also be applied to a division of a department of a library of any appreciable size. Appendix A illustrates the use of the model in library management. First, the manager-doctor uses the "symptoms" listed in column 2 to identify the age and condition of his patient (the stage in column 1). Once this has been determined with some certainty, he prescribes the cor- rective action suggested in column 3. (The majority of libraries will fall into .stages 3 through 5.) The goal of management is to move the organization forward or back- ward into the productive, or ideal, stage of development. This move should be made one stage at a time. Occasionally the pa- tient should be reexamined to see if the remedy has worked and if the stage has Rx for Library Management 137 changed. While no remedy is really neces- sary for a library in the productive stage of development, appendix A suggests a pre- scription for keeping it there. The central theme in the use of the model is the analysis of behavior. Man- agement should determine whether the typical organizational behavior is conver- gent (moving toward a common goal) or divergent (moving toward diverse goals). As the chart illustrates, there are times in the life cycle when convergent behavior is needed and times when divergent behav- ior is needed. CONCLUSION Libraries are indeed fortunate. They will endure, unlike biological organisms, which face certain, eventual death. Pro- tected by institutionalization, they can also avoid the fate of business organiza- tions that fail the test of the marketplace; the marketplace of ideas that we inhabit is more forgiving. Consequently, few li- braries will be forced by circumstances into their most productive roles. But in a time of dwindling resources, burgeoning knowledge, and revolutionary changes in the management of information, we owe it to our users to do the best that we can. REFERENCES 1. Peter Drucker, The Practice of Ma nagement (New York: Harper, 1954). 2. Frederick Taylor, Scientific Management (New York: Harper, 1957). 3. Joseph A. Utterer, Organizations: Structure and Behavior (New York: Wiley, 1963), p.4. 4. Paul S.Goodman and Associates, Change in Organizations (San Francisco: Josey-Bass, 1982), p.19 . 5. Ropert E. Quinn and Kim Cameron, ''Organizational Life Cycles and Shifting Criteria of Effective- ness: Some Preliminary Evidence," Management Science 29:33 (Jan . 1983). 6. Ichak Adizes, How to Solve the Mismanagement Crisis (New York: Dow-Jones Irwin, 1979). 7. Ichak Adizes, "Organizational Passages-Diagnosing and Treating Lifecycle Problems of Organi- zations," Organizational Dynamics 7:3-25 (Summer 1979). 8. Anthony Downs, "The Life Cycle of Bureaus," in Inside Bureaucracy (San Francisco: Little and Rand Corp., 1967), p .296-309. 9. Fremont E. Kast and James E. Rosenzweig, Organization and Management: A Systems Approach (New York: McGraw-Hill, 1974), p .112. Life-cycle Stage 1. Organization APPENDIX A: Rx DECISION CHART Symptom(s) Director recently appointed. Rx Encourage communication by violating chain of command (establish "open door" policy); hold staff 138 College & Research Libraries March 1986 APPENDIX A: CONTINUED Life-cycle Stage Syrnptorn(s) 1. Organization (continued) 2. Critical 3. Productive 4. Stable 5. Bureaucratic 6. Decline 7. Peril Major organizational decisions have recently been made; staff morale generally improved but exceptions noticeable; policies and procedures are under review, but there is little or no long-range planning; key staff carry out delegated responsibilities with minimum instruction. Few user complaints; unsolicited praise from user clientele received from time-to-time; most activity is planned rather than crisis-responsive; widespread staff enthusiasm toward work is evident; innovative thinking is visible at multiple tiers of the organization; chain of command is normally followed; st.aff conflict is usually over programs, not personalities; goals, both long- and short-range, are regularly established and accomplished. Things work well, but there is little innovation; staff morale is good, but enthusiasm is lacking; little goal setting, or goals easily accomplished . Policy manual too thick to close; precedent worshipped; there is much activity but little progress; goal setting is nonexistent or mechanical. Faculty and students disenchanted; staff, especially newer ones, are openly frustrated; cliques hinder the conduct of business and negatively influence staff morale; meetings are avoided whenever possible and participation is limited; safeguards are added to policies and procedures, making them unnecessarily complex. Regular staff meetings are virtually nonexistent; few decisions are being made; these usually in defense of something; cliques are the major means of communication; even simple decisions require written justification. Rx meetings and visit with faculty to generate ideas; concentrate on identification of major issues; make major decisions on organizational changes with minimal delay and implement as soon as possible. Seek to address causes of dissatisfaction among disgruntled staff; discuss services affected by major decisions with user clientele and refine decisions as necessary; establish, with broad input, at least one major goal. Establish, expand, or improve formal communication with faculty and students; (start or improve a newsletter); increase proactive role of library committee; institute staff development programs and regular personnel evaluations; make major changes slowly and deliberately. Increase innovation by establishing more challenging goals; reassign "stale" staff to new positions; establish a new department or program, if necessary, by consolidating or eliminating older ones; fill key vacancies from outside the organization. Challenge "sacred cows"; institute zero-based budgeting; appoint reorganization committee. Set challenging goals. Seek the assistance of an outside consultant in identifying chief problem areas and possible solutions (some key staff changes will almost certainly be necessary); concentrate on major problems and be ready to make hard decisions; reorganization is likely needed. Same as 6, but the urgency is greater . Life-cycle Stage 8. Chaos Rx for Library Management 139 APPENDIX A: CONTINUED Symptom(s) Open staff conflict; low morale; service considerations are secondary to personal considerations; many complaints from clientele; all change or suggestion of change is highly threatening. Rx Same as 6, but time has about run out.