Free Direct Access

TASK FORCE REPORT

from the members of the

FREE DIRECT ACCESS TASK FORCE

to
The Division of Library Development and the
State Librarian
New York State Library
Albany, New York

September 1997

Contents

Appendices

Task Force Members

Richard V. Anglin, Director
    Ramapo Catskill Library System

Betty Babanoury, Director
    Niagara Falls Public Library

Linda Caliguiri (Trustee)
    Greece Public Library

Harry J. Dutcher, Director
    Saratoga Springs Public Library

Joseph Eisner, Director
    Plainedge Public Library

Virginia Lowell, Director
    Nassau Library System

Elizabeth S. Manion, Director
    Marlboro Free Library

Frank Queener, Director
    Southern Tier Library System

Myron Roochvarg, Director
    Commack Public Library

Library Development Staff

Carol Ann Desch, DLD
Jim Farrell, DLD (Convener)
Judy Levine, DLD (Retired)
Maureen Read, DLD

Introduction

Commissioner's Regulations §90.3 currently provides for "free direct access" which, simply stated, permits the holder of a valid library card issued by a public or association library or public library system to borrow on site, free of charge, materials from any member library within that system.

Free direct access as defined in Commissioner's Regulation §90.3 gives rise to several problems. These problems fall into two categories:

1. Overuse of a library's resources by people not residing in the library's service area.

    With 58% of our borrowers coming from outside the chartered service area, you can clearly see the burden it places on our library. A change in the 90.3 regulations is long overdue and is a problem affecting not only our library but also libraries statewide. -- HUNTINGTON MEMORIAL LIBRARY

2. Negative political perception and impacts because non-residents who are using services are not paying for them at the same level as residents.

    The current system of direct access invites and is subject to gross abuse. For example, the village board of trustees of a large adjoining community publicly proclaimed several years ago that they would not fund their library beyond a very minimal level because their residents could "go to Garden City and get anything they want." This is a perversion of direct access and it is WRONG!! -- GARDEN CITY PUBLIC LIBRARY

Brief Overview of Major Causes of Problems With Current Free Direct Access Policy

Disparity of support:

The first cause of problems is usually found in systems where two adjacent communities have disparities in the level of library support. In these situations, the residents of a lower-funded library's service area seek direct access from a better-funded neighboring library. If the borrowing were indeed reciprocal, there would be no problem, but, typically, few of the patrons from the better-funded library will seek to avail themselves of the services and collections of their lower-funded neighbor. "Lower-funded" should not be equated with "poor." In some of the worst cases, the opposite is true: the lower-funded community has a higher assessed valuation than its better-funded neighbor. The statewide local public income per capita for New York State public libraries was $27.07 per capita in 1995. The statewide valuation per capita was $44,872. Data gathered from the annual reports submitted to the Division of Library Development by 741 public libraries indicates that 47 libraries with an assessed valuation per capita of $75,000 or better have a local public funding per capita of under $25. [Source: 1995 Annual Report of Public and Association Libraries.] The ability to pay should not be confused with the willingness to pay.

An illustration of this is the Gates Public Library in Monroe County. Gates has three communities on its borders that have similar assessed valuation, but support their libraries at much lower rates. [Source: Free Direct Access Survey, May 1997 and 1995 Annual Report of Public and Association Libraries.]

Population

Assessed Valuation

Per Capita Library Support

Gates Public Library

28,583

$43,020

$30.93

Greece Public Library

90,106

$39,427

$11.22

Farmers' Library

16,912

$38,822

$13.12

Chili Public Library

25,178

$37,510

$13.49

    Gates is surrounded by under-funded libraries... Under free direct access, residents in communities who do not fund their libraries as generously as Gates is funded can use our facilities on the same terms as Gates taxpayers. Therefore there is little pressure put on the under-funded libraries to improve their funding when their customers can find the quality library service they wish elsewhere for free. -- GATES PUBLIC LIBRARY

Geographic boundaries:

The second cause of problems is geographic boundaries, as is the case in the Nassau Library System. Proximity to a library is a convenience to a patron who does not heed arbitrary, and often incomprehensible, boundary lines which are easily transcended in a mobile society.

    There are 5 library buildings within the five mile area surrounding Seaford. Many people in the vicinity like to go from one library to another. If Seaford Library District residents approve a budget increase for videos, they expect to see them on the shelves. If residents of our several adjacent communities can check out anything from our special collection, our taxpayers lose. They do not want to go to empty shelves in their locally supported institution. -- SEAFORD PUBLIC LIBRARY

Unserved areas:

The third cause of problems stems from the requirement in §90.3 that unserved areas within a library system's service area with a population under 10,000 must be served by neighboring communities having libraries, without reference to the costs such service imposes on these neighboring communities. Some municipalities without a local library contract with surrounding libraries. However, since there is no requirement to do so, or standards for doing so, many do not.

Twenty of the twenty-three public library systems have people who live in unserved areas. In 1996 systems reported 493 partially or wholly unserved municipalities representing a total of 1,286,874 people. [Source: Population of Unserved Areas Reported by Public Library Systems as of December 1996.]

     Percentage of People Unserved by a Local Public Library

High

Low

42.60%

North Country L. S.

0.45%

Westchester L. S.

33.82%

Clinton-Essex-Franklin L. S.

2.11%

Monroe County L. S.

32.20%

Chautauqua-Cattaraugus L. S.

3.61%

Nassau L. S.

32.18%

Finger Lakes L. S.

3.85%

Buffalo & Erie County L. S.

    A public library such as our own is surrounded by several communities of fewer than 10,000 population where no public library exists. The collective impact of these non-residents is indeed significant, and in our case amounted to fully 37% of our active card holders. - SEYMOUR PUBLIC LIBRARY DISTRICT

Charge to the Task Force

In 1993, the New York State Library presented a series of recommendations to the Board of Regents aimed at addressing the problems inherent in Commissioner's Regulation §90.3. The Regents decided, in 1994, to defer action until such time as specific problems and locations could be identified. In effect, the 1997 Task Force is following up on the work done in 1993. Specifically, the 1997 Task Force was charged with:

        * gathering data that identified those localities currently experiencing problems with the requirements for free direct access at both the member library and system levels;

        * identifying what those problems are; and

        * developing recommendations to the Board of Regents on how to address these problems.

Revisiting Past Recommendations

The Task Force reviewed the work done on §90.3 by previous committees in 1974, 1989 and 1993 and carefully considered their recommendations. During a 1993 presentation, the Regents advised State Library staff of their concern for poor communities. The 1997 Task Force kept this concern in mind as members developed new recommendations. However, the following quote best describes the overriding philosophy of the 1997 Task Force:

    "free direct access is not intended to relieve any area from the responsibility for localsupport of public library service. It is not only inequitable but it is inimical to the development of good library service for certain jurisdictions to expect that major library service needs will be met by the taxpayers of other jurisdictions..." -- Report of the Commissioner of Education's Committee on Direct Access, 1974

The Task Force discussed the importance of access to library services and resources for all New Yorkers and agreed that its recommendations would be targeted towards reaching the following goal:

    All residents of New York State will have access to a full range of library services and resources to meet their information needs. Skilled librarians will provide access to information for people of all ages, backgrounds, interests and abilities using resources located within their institutions, as well as telecommunications and electronic technology to go beyond the library's walls.

Gathering New Data

The 1997 Task Force concluded that the solutions proposed in earlier reports would not address current problems in their entirety. Therefore, to respond to the Regents request for information, the Task Force conducted a survey. The survey was designed to determine the nature and extent of current problems with §90.3, so that the Task Force could propose a reasonable solution.

The Task Force requested that Library Development mail survey forms to the 741 chartered public and association libraries in the State.(see Appendix E) The term "public library" encompasses institutions that range from one-room-one-person facilities with operating budgets as low as $3,000, to The New York Public Library, an institution staffed with over a thousand people and a budget over $88 million.

Some 467 libraries responded with a 67% return rate. Based on careful analysis of survey results, existing data and adjustment of responses to reflect first hand knowledge, the Task Force determined that of the 467 responses there are 165 libraries with free direct access problems. The Task Force concluded that the regulatory language of Commissioner's Regulation §90.3 requires revision.

Summary of Survey Findings

    165 libraries out of 467 report having a problem with direct access.

    These problems are statewide. 29 Senate districts, 55 Assembly Districts and all of the Judicial Districts, with the exception of those in New York City, are affected.

    224 libraries said that §90.3 needs to be changed.

    22 libraries would either withdraw or strongly consider withdrawing from their system if §90.3 were to be enforced.

    101 libraries charge a fee for library service to people residing outside the library's chartered service area and in the system service area.

    58 of 467 libraries contract to supply library services to municipalities without libraries.

[Note: Of the 467 responses, 84 answered "Yes" to Question One, "Does your library have a problem caused by or related to the free direct access provision (90.3) of Commissioner's Regulations?" The Task Force believes there was some misinterpretation of this question caused by past practice, assumptions, system variances and perceived library variances. Based on first hand knowledge the Task Force analyzed the survey and adjusted responses to reflect the true situation. These situations were primarily Long Island libraries that answered "No" to Question One because they have a variance. As a result, there are 165 libraries reporting a problem and 329 libraries reporting no problem.]

How Big is the Problem?

165 Libraries Identify a Problem with Free Direct Access

New York State
Total Public and Association Libraries
741

The 165 libraries with free direct access problems serve a total population of 3,701,035. The population of the State, according to the 1990 census data used by the Education Department, is 17,990,764. The three New York City library systems and the Buffalo and Erie County Public Library System were not included in the survey results because by the very nature of their governance and financing, they do not have free direct access problems. Hence, for the purposes of analysis, the populations of these areas were subtracted from the State's total population. Another segment of the State's population, the unserved, was also subtracted because this population does not have library service. In many cases these unserved areas are the cause of the problems for the 165 libraries. The total population for the three New York City Systems, Buffalo and Erie County and the unserved areas is 9,578,022(See Chart 2).

How Many People Live in the Library Service Areas Surveyed?

8,412,742 People Reside in Library Service Areas Surveyed

How Many People Live in the Library Service Areas Where There is a Problem?

3.7 Million People Reside in Library Service Areas With A Free Direct Access Problem

The total population of the 165 libraries with free direct access problems is 3,701,035. This constitutes 44% of the total number of people residing in library service areas surveyed.

Problem Locations

The survey results indicated to the Task Force that the problems with free direct access exist throughout the State in large, as well as, small libraries. The dots indicate where problems with free direct access were identified.

Funding Issues

Should people living in communities which do not support public library service be able to obtain such services at no cost? The fact that there are still local jurisdictions which, 40 years after the implementation of the public library system concept, still fail to tax themselves for library service, is a reasonable indication that these jurisdictions, not the State nor the public library systems, are depriving their citizens of library service. State aid was never designed to replace local tax funds for the support of local public library service.

In the provision of other public services, i.e., schools, parks, roads, etc. the public appreciates that different communities have different priorities regarding these services, and fund them at different levels. For example, if parents want a better education for their child and believe that higher funding for schools is needed, they must either make the case politically in the community in which they live or, alternatively, move to or contract with a better-funded school district. The State funds public schools at a much higher level than it does the public library systems and libraries, but the State does not require that a non-resident pupil be allowed to attend other community's schools free of charge.

    There is an inconsistency in how the NYS Education Department approaches the issue of open access for public libraries on the one hand, and open access to public education on the other. The Education Department now requires library systems to include the provision of open access for member libraries, and at the same time, the Education Department allows school districts to restrict access to their schools to district residents only, and permits school districts to charge tuition fees for non-district residents. -- -SEYMOUR PUBLIC LIBRARY DISTRICT

The average person is unaware of the difference between school and library funding. One might assume that just as the schools receive an average of 40.3% of their funding from the State in the form of State aid, so it must be for public libraries. [Source: New York The State Of Learning, A Report to the Governor and the Legislature on the Educational Status of the State's Schools: Submitted February 1997.] Even when system dollars are included, the percentage of State funds invested in public library services falls well below the State investment in public schools. Some 11 percent of total New York State public library services income was from State funds in 1995 ($67 million). Over eighty percent or $55 million supported the operation of New York's 23 public library systems (including the three consolidated systems in New York City). [Source: 1995 Annual Report of Public and Association Libraries.] This State funding to library systems results in better quality and more cost effective local library services through system services such as: consultant services, resource sharing, inter library loan networks, joint automation projects, outreach to special target populations and continuing education for library staff and trustees.

There are two cases where State aid goes directly to local libraries. Central and co-central libraries of public library systems will receive some $7 million in State funds during 1997-98 to purchase nonfiction library materials and to provide full library services to all residents of the system service area.

The Local Services Support Aid Program (LSSA) and the Local Library Services Aid (LLSA) Program instituted in 1993 provides limited funds of 29¢ per person to systems for serving the unserved and to local libraries to help them meet minimum standards set by the Board of Regents. In areas where §90.3 is a problem the direct State aid as a percentage of the affected member library's budget is usually less than one percent and never more than two percent; the other 99+% is raised locally through the property tax, less income from fees, etc.

     Direct State Aid as a Percentage of Library Budgets

    [from 1995 Annual Report of Public and Association Libraries]

Library

Total Operating Fund Receipts

Population Chartered to Serve

Direct State Aid

Percentage of Receipts that is State Aid

Commack Public Library

$2,021,887

15,782

$5,580

0.28%

Pearl River Public Library

$1,146,693

14,444

$4,142

0.36%

North Castle Public Library

$781,229

40,847

$3,055

0.39%

Saratoga Springs Public Library

$2,299,528

41,377

$11,713

0.51%

Guilderland Public Library

$1,019,810

28,678

$8,223

0.81%

    The issue is how public libraries are funded. NYS needs to look to the school district model.... -- CRANDALL PUBLIC LIBRARY

Of the 165 libraries reporting a problem with free direct access, the average total operating fund receipts are $1,326,810. The average direct State aid is $12,608, or 0.95% of their operating budget.[Source: 1995 Annual Report of Public and Association Libraries.] The average direct State aid to school districts in New York is 40.3% of their operating budget. If an individual living outside a school district service area wants to have his or her child use the resources of that school district, he or she must pay a tuition to the school district to off set the cost of those resources. Public libraries are expected to share their resources, yet receive much less in direct library aid from the State.

The following figures illustrate the range of average direct State aid provided to the 741 public libraries in New York State.

     Public and Association Libraries

    Range of Direct State Aid

    By Level of Operating Receipts (1996)

    [Source: 1995 Annual Report of Public and Association Libraries]

Level of Operating Receipts

Number of Libraries

Average Total Operating Fund Receipts

Average Direct State Aid

Average % of Receipts That is State Aid

$500,000 +

165

$1,729,477

$11,513

0.66%

$100,000 to $499,000

190

$240,191

$3,595

1.50%

$25,000 to $99,999

228

$51,574

$1,688

3.06%

$5,000 to $24,999

147

$14,446

$1,425

9.86%

Solutions For Today -- Short-Term Recommendations

Using data such as the findings listed earlier, and first-hand knowledge of Task Force members, some of whom believe that court action may be necessary to address the immediate problems of Regulation §90.3, the Task Force developed both short-term and long-term recommendations for action. Focusing first on the present conditions and how to deal with immediate concerns, the Task Force determined that new regulatory language relating to direct access is needed.

    Withdrawal from our system or going to court, this library, with the support of many other member libraries in our system, will do what is necessary to protect the interests of this library's taxpayers. -- COMMACK PUBLIC LIBRARY

Proposed new regulatory language is included in Appendix A. Key features of the amended regulation include:

        * definition of terms such as nonresident, on-site use, serious inequities and hardships and library resources that previously caused confusion;

        * elimination of permission for municipalities with a population of under 10,000 to use the resources of a neighboring library at no cost to the individual or municipality;

        * a requirement that member libraries vote on the system's direct access plan; and

        * provision for a procedure whereby a member library may request a variance from the system's direct access plan.

In order to address the diverse demographics and needs of New Yorkers, the proposed regulation will provide flexibility for each public library system to outline in its individual plan of service the method by which that system will provide direct access for people residing in geographic areas unserved by a public library, for people who are overusing libraries other than their own and for people who frequently cross arbitrary geographic boundaries for shopping, employment or other reasons. The proposed new regulation recognizes that:

        * one single solution will not work statewide;

        * no library service is without cost;

        * adequate local funding, regardless of the size of the community, is required for quality library service; and

        * there must be an accepted minimum statewide standard for service to non-residents.

    Do not put in place policies with which it is not possible to comply. "One Size" does not fit all libraries. -- GILBERTSVILLE FREE LIBRARY

The proposed new regulation serves to empower and encourage underfunded libraries or unfunded unserved areas to:

        * increase or seek funding for library service;

        * raise and expand library service standards; and

        * set goals for library service.

The proposed new regulation assumes that the New York State Library's Division of Library Development will have sufficient resources to:

        * routinely examine the plan of service of each public library system;

        * fairly enforce the regulation;

        * clearly state the consequences for non-compliance; and

        * resolve how minimum standards can be adjusted for libraries who contract for services.

Vision For Tomorrow -- Long-Term Recommendations

The Task Force's long-term recommendations are ones that require significantly increased funding, legislative action and Regent's support. The Task Force believes that these recommendations, although desirable, may take several years to accomplish.

Access to library services and resources for all New Yorkers is desirable and possible. In order to make this happen we recommend that the Commissioner and the Board of Regents:

        * pursue with the legislature mandating public library service to all communities;

        * establish minimum standards for all public and association libraries contracting with communities outside their chartered service area;

        * advocate for increased State funding that will allow libraries to meet State requirements in law and regulation;

        * educate the public, State and local officials, and library trustees concerning the role of libraries in life long learning and the need for adequately funded public library service;

        * continue to pursue funding for the establishment of a Commission on Library Services to reexamine the financing and governance of public library service;

        * increase State funding to the New York State Library's Division of Library Development so there is sufficient staff to encourage resource sharing and to assist libraries in providing high quality cost effective services in all communities; and

        * evaluate the impact of these regulatory changes before the year 2000.

    New York State should make a decision. If universal access is considered a "common good" and of high value for the state as a whole, then there should be no part of the state that is not part of a library district. -- NORTH TONAWANDA PUBLIC LIBRARY

Conclusion

The Task Force believes that the proposed regulation will equitably address, for the present,the problems and concerns associated with the current direct access regulation. The Task Force's recommendations are broad and flexible in order to accommodate current issues in localities and regions throughout the State. It is the Task Force's hope that the Regents will amend §90.3 as quickly as possible to relieve immediate problems and work consistently over time to address some of the Task Force's long-term recommendations in order to ensure continued equitable access to high quality, cost effective public library service to all New Yorkers.

    This is not a single problem with one-size-fits-all solution. We have not succeeded in finding solutions because, among other things, we have not been willing to admit the diversity of preference from system to system. Allow these preferences to co-exist and support them, and let that be the statewide solution.

    Uphold the right of communities to use local funds to benefit their taxpayers. Uphold the right of local library boards to make decisions on use of local funds to benefit their communities. Ensure that system membership does not usurp or compromise these rights unfairly. Allow library boards leeway to make a wide variety of choices to serve their residents first and best. State mandates for localities to serve other communities are not legal, and unfunded state mandates are not right. -- WHITE PLAINS PUBLIC LIBRARY

     Appendix A

-Proposed Revision-

§90.3 Approval of Public Library Systems. (a) As used in this Part,

            i)    a public library system means: a library established by one or more counties, a group of libraries serving an area including one or more counties in whole or in part, a library of a city containing one or more counties, or a cooperative library system established pursuant to the provisions of §255 of the Education Law. A public library system may be approved for State aid under §272 and §273 of the Education Law if it complies with the provisions of the aforementioned sections of the Education Law and if it meets the provisions of this part.

            ii)    approved plan of service means: a plan submitted by a system board of trustees in accordance with §272 of the Education Law and which has been approved by the Commissioner. The plan of service defines the mutual commitments, responsibilities and obligations of the library system and its members in meeting the service needs of the area served and Statewide library service goals.

            iii)    direct access means: the ability of an individual who resides within the boundaries of a library system to borrow materials from, but not necessarily at, any library in the system provided that individual has a borrower's card issued by the system or any member library in the system.

            iv)    library resources means: those materials and services specified in each system's approved plan of service, available via direct access to residents within the system's chartered service area.

            v)    nonresident means: an individual whose primary residence is outside of a library's chartered service area or contracted service area, but within the system.

            vi)    on-site use means: access by an individual to a library's resources on premises.

            vii)    serious inequities and hardships means: those conditions which adversely affect member libraries in providing direct access in accordance with the provisions in each system's approved plan of service including, but not limited to, excessive use of a library by those from outside the library's chartered service or contracted service area and by the level of local tax support, per capita support, size of collection, range and diversity of materials, and types and range of non-print resources.

(c)(1) In order to qualify for full approval, a plan submitted by a public library system shall provide for direct access by all residents of the area served, of the library resources within the system by acceptance by all libraries in the system of a borrower's card issued by the system or by any library in the system. Age shall not be a factor in determining direct access policy.

(2) The plan of service may stipulate conditions whereby residents of jurisdictions within the system's service area which do not exercise the authority contained in Section 255 of the Education Law or other pertinent legislative acts to establish and maintain a public library, may use member libraries.

(3) No plan of service shall be approved unless it provides for free, on-site use at every member library. Loan of specific materials to or use of specific services by persons living outside the chartered service area of a member library may be restricted if failure to do so would result in serious inequities and hardships to resident borrowers of member libraries. When attendance at local library programs or use of local library services must be limited, due to space or fiscal constraints, local residents may be given first access to them.

(4) A plan of service shall specify a procedure whereby member libraries may discuss, modify or amend the conditions, procedures, and agreed upon means of implementing, changing or altering the conditions of direct access within the system service area. The system board of trustees, prior to submission of a plan of service for approval by the Commissioner, shall by majority vote of the member libraries obtain ratification of the direct access provision.

(5) A variance may be granted to a member library on the basis of serious inequities and hardship. An individual member library may request the Commissioner to consider a variance to allow exemption from compliance with the direct access provision of its system's approved plan of service. Such a request may be considered if it is submitted by the systemboard of trustees and if it has been subject to the procedures in (4) above relating to member library modification of direct access procedures within the system and in accordance with the procedures specified in the system's plan of service. The system board of trustees shall not have the authority to unreasonably delay consideration of a member library's request to the Commissioner for a variance, or its transmission to the Commissioner.

     Appendix B

    Current Regulations 90.3(b)

(b)(1) In order to qualify for full approval, a plan submitted by a public library system shall provide for the free direct use, by all residents of the area served, of the total library resources within the system by acceptance by all libraries in the system of a borrower's card issued by the system or by any library in the system, to be honored on the same basis as that specified for cardholders in each individual library. No such resident shall be excluded from free direct use because of age.

(2) Subject to the approval of the commissioner, and under the following conditions, the plan of service of a public library system may be amended to modify unrestricted free direct use as defined in paragraph (1) of this subdivision.

(i) Registered member libraries shall not be required to provide free direct access to their materials and services to residents of a jurisdiction of 10,000 population or more which has not exercised the authority contained in section 255 of the Education Law, or other pertinent legislative act, to establish and maintain a public library, or which is not contracting for public library service in accordance with section 256 of the Education Law.

(ii) Loan of specific materials to persons living outside the chartered service area of a member library may be restricted if, in the judgment of the commissioner, failure to do so would result in serious inequities and hardships to resident borrowers of member libraries. Restrictions upon the loan of specific materials shall be limited to non print materials and equipment, and printed materials less than one year old, including fiction and nonfiction books and periodicals. Such materials must have been purchased from local funds. When attendance at local library programs must be limited, local residents may be given first access to them.

(iii) Procedures for dealing with delinquent borrowers including restrictions upon their borrowing privileges, may be stipulated.

     Appendix C

     Major Differences Between Current Regulation §90.3 and Proposed Revision

Current §90.3

Proposed Revision

Free Direct Use On-site restrictions. System must provide for free on-site use and free on-site borrowing privileges to all residents of a library system who have a valid library card or a valid system card if the individual does not live in an area of 10,000 or more which is not supporting library service.
Library service to individuals living in an area of 10,000 or more not supporting library service. May be restricted from on-site use and or borrowing. All residents, regardless of size of community, have free on-site use of library resources at every member library. The 10,000 population is removed from the regulation. May be restricted from on-site borrowing.
Library service to individuals living in an area of 10,000 or more not supporting library service. System must provide for free on-site use and on-site borrowing privileges to all residents of a library system who have a valid library card or a valid system card. All residents, regardless of size of community, have free on-site use of library resources at every member library. May be restricted from on-site borrowing.
Loan of materials. System must provide for free on-site use and free on-site borrowing privileges to all residents of a library system who have a valid library card or a valid system card if the individual does not live in an area of 10,000 or more which is not supporting library service. The system plan must state how, and under what conditions, individuals living within the system service area may borrow materials from libraries other than their home library. All residents within a system service area will be able to borrow materials, purchased with State funds, from the system's central library.
Development of system plan of service. System develops the plan. Member input not required. The Commissioner approves the plan. System and member libraries develop the direct access section of the plan of service. The section is then voted on by the member libraries. The Commissioner approves the plan.
Variance requests. System plan is amended to reflect any variance given to a member library by the Commissioner. Member libraries may apply to the system board of trustees for a variance to allow exemption from compliance to the direct access provision of the system plan of service. If the system rejects this request, the member library may appeal the decision to the Commissioner. The system would send the appeal to the Commissioner on behalf of the member library.

     Appendix D

Questions and Answers on Direct Access

Q.    What is meant by "Direct Access"?

         A.    "Access, of course, means that persons are allowed to use the resources and services of a library. In this context access implies the use of all member libraries in a public library system by all of the residents of the area served by the system. 'Direct' access implies that the use shall be in person, as distinguished from an inter-library loan. 'Free direct' access means that there will be no charge to the user, either for the individual transaction or in the form of an annual or other non-resident fee, although the library used may be reimbursed in some way from system funds or other sources.

    "In the strictest sense, free direct access covers all types of in-person library use, including reference and other uses which may not result in the borrowing of materials for use outside the library....." [Report of the Commissioner of Education's Committee on Direct Access, Albany, 1974, pp. 4, 20.]

         Q.    Why hasn't the Task Force recommended an increase in State funding to cover the costs of reimbursing member libraries for meeting "Direct Access" requirements?

         A.    The Task Force believes that adoption of the proposed regulation allows greater local control and is preferable to the imposition of state mandates which cannot take into account the wide variety of local conditions within library systems. Without revision, the amount of increased State aid required to effectuate the intent of the regulation, is not deemed practical at this time.

Q.    Why is it important that we do something now?

         A.    This is the fourth time in twenty-two years the question of, and problems with, free direct access have been addressed. Over the years the problems have grown. We are not meeting the needs of our customers. Libraries are finding it very difficult to explain to residents that their tax dollars are going to support services for people who live outside their community. Legislators are also examining the issue, looking for answers to the problem.

    If the issue of Direct Access is not satisfactorily resolved, this could be the end of public library systems in New York State. -- HEMPSTEAD PUBLIC LIBRARY

Q.    How does this issue effect the "Electronic Doorway Library" services initiative?

         A.    We must constantly keep in mind that most of the funds to operate public libraries in New York State come from local taxes. Relieving libraries overburdened by the obligation to serve those who do not contribute to those taxes will mean libraries can redirect those funds and staff resources to implement new technology.

         Q.    Don't local businesses benefit from "wide open" library service and thus generate tax revenues for libraries?

         A.    If a library's funding authority sees the library as a "magnet" and service is funded and planned accordingly, this notion might make some sense. If thirty or forty percent of a library's business is from outside the area taxed, for example, funding authorities and tax payers must willingly provide the extra funds needed to guarantee quality service for all users. This is seldom, if ever, the case.

        Q.    Doesn't the millions of dollars the State provides in library aid provide public library service to all New Yorkers?

        A.    Even including the $67 million in State funds which support all public library and public library system services, only 11% of the New York State public library services income was from State funds in 1995. $610 million, or 89%, of New York State public library income was from local tax funds (72%) and other sources such as gifts, fees, fines and investments of the funds. State funding to library systems provides better quality and more cost-effective services through resource sharing, inter library loan networks, joint automation projects, continuing education for library staff, etc. Many of these activities assume a strong local library to begin with. The lack of adequate funding at the local level, in fact, can make it difficult for some local libraries to take advantage of the vast array of services available through library systems. A chain is only as strong as its weakest link.

Q.    Isn't public library service a right of all New Yorkers?

         A.    Although one might think so, it is, in fact, not the case. Public library service is not mandated in New York State. Much needs to be done to make this a reality. If we continue funding libraries primarily with local property tax funds, as     seems likely, then universal service requires universal local funding. The Regents, the Legislature and the library community need to examine governance and funding structures to ensure high-quality and cost-effective library services are being delivered to all New Yorkers.

         Q.    If the proposed new regulation is adopted, does this mean some New Yorkers will be charged for library services even though they already pay State taxes?

         A.    Library systems will have the option to develop a system plan of service that will give the system the option of implementing some type of relief for libraries experiencing overuse of their materials by people living outside their chartered service areas and contracted area.

     Appendix E

     Free Direct Access Survey

1.    Does your library have a problem caused by or related to the free direct access provision (90.3) of Commissioners Regulations ?

         (If No, go to Question 3)

2.    If yes, please check one or all of the following that apply:

    People who live in communities that do not support a public library and that do not contract with our library for library services are causing "overuse" of our resources.

    People who live in service areas of neighboring libraries in the system are causing "overuse" of our resources.

    People who live outside our public library system boundaries are causing "overuse" of our resources.

3.    Does your library contract with one or more communities or districts outside your chartered service area to supply library services?

         (If No, go to Question 4)

    If yes, please supply the following information:

    Community/District Name ________ Population ________ Contract Amount $_______

    Community/District Name ________ Population ________ Contract Amount $_______

    (If your library contracts with other Communities/Districts, please list them at the end of the survey.)

    If yes, are those residents in the contracted service area given the same borrowing privileges as library users in your chartered service area?

    If no, what services are restricted? Check all that apply.

    ___ New Books ___ Audiovisual material___ Program attendance ___ Other (Specify)

    4. Are people living within your library system, but outside your chartered service and contracted service areas, allowed free direct access borrowing privileges at your library the same way people living in your chartered service area are?

    5. Has use of your library by people living outside your chartered service area and contracted service areas resulted in materials not being available for your local patrons on a regular basis?

     ___ yes ___ no

     ___ No record kept, but I think so. ___ No record kept, but I think not.

    6. In the last twelve months, what percentage of your library's materials have been borrowed by:

%

Actual

Estimated

a. people from other public library service areas within the library system?

___

___

___

b. people from outside your library's chartered and contracted service areas who reside in "unserved areas" within the public library system?

___

___

___

c. people from your chartered service area and contracted service areas?

___

___

___

    (Please indicate if these percentages are actual or estimated by checking the appropriate box.)

    7. Is the present percentage of non-resident use greater now then it was in 1993? ___ yes ___ no

    If yes, what is the percentage increase? _______

    8. Do you have a variance from the State Education Department to restrict free direct access to people from within your library system, but outside your chartered service and contracted service areas? ___ yes ___ no

    9. Does your library charge for full library privileges to people who reside outside your chartered and contracted service areas, but within the system? ___ yes ___ no (If No, go to Question 10)

    What is that charge? __________

    Is it ___ Per person ___ Per household ___ Other (Specify)

    10. Do State aid and system services adequately compensate your library for the cost of providing free direct access services to people outside your library's service area? ___ yes ___ no

    11. If the State's policy on free direct access remains unchanged and 90.3 isstrictly adhered to my library will remain a member of the library system. (Only check one box)

    __ Strongly disagree __ Disagree __ Undecided __ Agree __ Strongly agree

    12. If the State's policy on free direct access is changed, which of the following should be considered: (Using the following scale, please circle each accordingly)

    A.    Preserve "free direct access" concept -- do not allow libraries to charge people a fee for services or library cards if people reside within the library system boundaries.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    B.    Allow local public library boards to set policies that deny service to non-residents.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    C.    Allow public library boards to set policies that charge a fee for service to non-residents if the library can document, to the Commissioner of Education, financial hardship caused by overuse by non-residents.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    D.    Allow each library system to develop a system plan for setting the direct access policies. Plan would meet broad guidelines determined by the Commissioner.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    E.    The State should provide funds to partially compensate a library for use by people who reside outside the service area.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    F.    Revise "free direct access" policies statewide to eliminate "on-site" borrowing for non-residents and to allow unrestricted access to materials from libraries within a system through interlibrary loan.

    1 Strongly disagree 2 Disagree 3 Undecided 4 Agree 5 Strongly agree

    List below other possible solutions you think could or might work on a statewide basis.

Additional Comments

Please return survey before Friday, May 16, 1997, to:

James L. Farrell. Jr.
Division of Library Development
Cultural Education Center
Albany, New York 12230

9/30/97

Last Updated: July 22, 2009