Regional Bibliographic Data Bases and Interlibrary Resources Sharing Program
Guidelines


Improved access and resource sharing through creation and maintenance of multi-type regional union catalogs, union list of serials or other data-driven information databases.


The New York State Library is seeking feedback from New York’s library community on proposed draft amendments to Regulations of the Commissioner of Education, CR 90.19 for the Regional Bibliographic Databases and Interlibrary Resources Sharing Program (RBDB).

Comments are due by January 6, 2020 and should be submitted by email to NYSLREGCOMMENTS@NYSED.GOV.

The draft of the proposed amendments to CR90.19 is available below, as well as a comparison chart showing the current regulation and proposed amended regulation side-by-side, with a brief explanation for the proposed major changes.

The use of technology in libraries continues to expand and includes many new digital formats and services not reflected in the current regulation. The Directors of the 3Rs and State Library staff worked together in drafting these proposed amendments to not only reflect new technologies, best practices and standards but to also realign outdated program planning and reporting requirements to reflect current practices.

Questions about the proposed amendments to CR90.19 may be directed to your regional 3Rs Director or to Barbara Lilley, Program Manager, Reference and Research Library Resources Systems Program, Division of Library Development, New York State Library at Barbara.Lilley@nysed.gov or (518) 486-4864.

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Guidelines

Funds for the Regional Bibliographic Data Bases and Interlibrary Resources Sharing Program may be used for a variety of purposes to benefit regional resource sharing and information technology in each NY3Rs region. Information technology advisory committees or regional automation committees they are called in some regions shall be 'composed of representatives of all types of libraries and library systems in the region' [8 NYCRR §90.19 (10)(b)(1)]. The responsibility of these regional committees is to develop automation/information technology goals in consultation with member libraries, which take into account regional needs. These goals should be consistent with the 3Rs Council five-year plan of service and approved by the 3Rs Council Board of Trustees. These guidelines take effect with the 2005-06 RBDB program and are applicable to the RBDB program in all regions. The activities listed below may be carried out by the system, through member projects, or a combination of both. Projects submitted for funding under the RBDB Program are approved by the 3Rs Council Board of Trustees.

For information enhancement projects, each region, in consultation with the information technology advisory committee, shall develop guidelines using the following criteria:

Retrospective Conversion

  • Materials, whether unique or ubiquitous, must have at least a minimal amount of existing local cataloging. If a library can find any record already done in a national bibliographic utility database to provide a catalog record then that would make the item ubiquitous; if, on the other hand, the library cannot find any catalog record and needs to complete the cataloging of the item locally, then that item can be considered unique.
  • Materials must be available for resource sharing within the region.
  • Electronic records of the material must be available through a multi-type regional catalog.
  • Projects will be selected based on an assessment of the regional value of the collections of items to be converted.
  • Up to $1 per ubiquitous record and up to $10 per unique record may be used as a guide in determining the project award.
  • Funds may not be used to support cataloging of current acquisitions. Current acquisitions are defined as items acquired during the year in which the application is submitted.
  • In addition, each region in consultation with its information technology advisory committee, shall decide if retrospective conversion projects are still necessary and appropriate for the region.
  • Councils will provide evidence to Library Development that retrospective conversion is not currently needed in the Region.
  • Retrospective conversion projects should be phased out rather than stopped abruptly.

Metadata Projects

  • Metadata projects will be selected based on an assessment of regional value of the collections to be described.
  • Metadata records must follow nationally recognized standards such as MARC, Dublin Core, EAD (Encoded Archival Description), etc. and must be
  • made available to the region through the multi-type regional union catalog or a freely accessible information database.
  • Metadata records may include enhancements to existing bibliographic records such as additions of tables of contents, summary notes, graphics, annotations, etc. that will enhance the use of the described materials.
  • Metadata records may include descriptions of non-bibliographic collections that will be open to use by the region.

Digitization Projects

  • Meets the requirements of a regional digitization plan or digitization guidelines established by the region in their 3R's Plan of Service.
  • Hardware, software and/or telecommunications services to support resource sharing.
  • Electronic databases that are shared regionally by different types of libraries.
  • Planning projects, studies, or pilot projects for information technologies that benefit resource sharing.
  • Projects using new information technologies that improve regional information access or regional resource sharing (e.g. virtual reference, hosting of specialized online catalogs, patron authentication, federated searching etc.)
  • Continuing professional education or training activities for libraries or individuals related to information technologies.
  • Funding for new or existing personnel and benefits as appropriate and established by the information technology committee and Board of Trustees to support regional resource sharing and information technology projects.
  • Mileage reimbursement for staff travel for training for and/or for administering an RBDB-funded project.
  • Supplies and materials necessary to support funded projects.

Expenses not allowed

  • Overhead physical plant costs such as rent, heat, electricity.
  • Current acquisitions which are defined as items acquired during the year in which the application is submitted.
  • Delivery of physical items by such means as the US Postal Service, UPS, or a local courier or delivery service.
  • Direct payments to libraries for ILL expenses.
  • Purchase of an integrated library system for individual libraries.

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Proposed Amendment to the Regulation of the Commissioner of Education 90.19

(Also available as a .PDF .pdf file)


[Text in brackets will be deleted.] Bolded text is new text.

Pursuant to Education Law sections 207-208, 215, 253-268, 271-273, 273-a, 282, 283, 284, 285; L.1978, ch. 787, L 1993 Ch 260, §§ 1,3

1. Section 90.19 of the Regulations of the Commissioner of Education shall be amended to read as follows:

§90.19 [Grants for]State aid for regional bibliographic data bases and interlibrary resources sharing

(a) Definitions

As used in this section and in Education Law, section 273(6):

(1) Regional bibliographic data bases or databases [means machine-readable files of bibliographic records and holdings of libraries] refer to the storage and access of digital records, assets, collections, and information resources within a reference and research library resources system region [, including public, academic, school and special libraries.] through its member organizations.

(2) Region means the geographic area served by an approved reference and research library resources system including its member organizations.

(3) Library automation means [the application of computer and telecommunications technology to bibliographic control, data base access, resource sharing and other electronic communication or transmission] to store and access digital records, assets, collections, and information resources for the purpose of improving and enhancing services to library users.

[(4) Automated circulation system means the application of computer and telecommunications technology to control the circulation of library materials, which may be integrated with other functions in an automated system.]

[(5) Automated system means the application of computer and telecommunications technology to library functions, including control of circulation of library materials, acquisitions, cataloging, serials control, public access catalog, and similar activities and the integration of these functions into one system.]

[(6)] (4) Automation program means an organized plan applying [automation to library functions to promote bibliographic control, data base access, resource sharing, and other electronic communication or transmission among the school, public, academic and special libraries within a region.] technology to promote resource sharing among all types of libraries and increase visibility of regional and statewide digital records, assets, collections, and information resources.

[(7) Five-year plan] (5) Approved Plan of Service means [a regional library automation program which addresses the development and management of a regional bibliographic data base, access to this and other data bases, resource sharing, and other electronic communication or transmission and which incorporates the public library systems, school library systems, and other libraries within the region.] the reference and research library resources system’s plan of service submitted to the State Library pursuant to Education Law Section 272 (2)(d).

[(8) Annual plan means a plan submitted by a reference and research library resources system which covers the current year of the five-year plan.]

[(9) Electronic doorway library means a library which enhances information retrieval and resource sharing for its users based upon two-way electronic capability, into and out of the library.]

[(10) Statewide electronic library network] (6) Statewide library cooperation means a [virtual network which includes existing and future physical networks in the State applicable for library purposes.] collaborative physical and virtual network which is applicable for exposing digital records, assets, collections, and information resources. The key concept underlying the network is interconnectivity among separate [physical] networks. [thus, in effect, resulting in one logical statewide network for libraries.]

(7) National standards and best practices mean the standards agreed upon by the National Information Standards Organization (NISO) and in cases where there is not yet a national standard there are often best practices that are developed when standards cannot keep up with rapid changes in technology. These best practices often are agreed upon by professional organizations.

(b) [Plans] Inclusion in Plan of Service.

(1) [Each reference and research library resources system shall submit for approval a five-year plan for the regional bibliographic data bases and interlibrary resources sharing program pursuant to Education Law, section 273(6)(b), in a form and by a date prescribed by the commissioner. Such plans shall be developed and kept current through amendments made with the ongoing participation of libraries and library systems in the region. Amendments to the five-year plan shall be in a form and submitted for approval by a date prescribed by the commissioner. The board of trustees of the reference and research library resources system shall submit to the commissioner such evidence of participation of libraries and other library systems as he or she may require. Such participation shall include consultation with an automation committee, composed of representatives of all types of libraries and library systems in the region, which shall be established for such purpose.] Pursuant to Education Law, section 273 (6)(b), each reference and research library resources system shall submit as part of their plan of service, in a form and by a date prescribed by the commissioner, proposals as to how the system will manage an automation program and use technology to promote resource sharing in the region and statewide.

(2) [An annual plan and budget, consistent with the five-year plan for a regional automation program, shall be submitted by each reference and research library resources system seeking a grant pursuant to Education Law, section 273(6)(a)(1). Such annual plans and budgets shall be developed in consultation with and the ongoing participation of an automation committee representative of all types of libraries and library systems in the region and shall be submitted in a form and in accordance with a timetable prescribed by the commissioner.] The elements and format of such plan of service related to the regional bibliographic and interlibrary resources sharing program shall be determined by the commissioner.

[(3) For each public library system seeking a grant pursuant to Education Law, section 273(6)(a)(2), an acceptable plan for an automation program shall be the approved plan referred to in Education Law, section 273(1).]

[(c) Elements of a five-year plan

Five-year plans and amendments shall provide a description of current library automation in the region, of library automation needs and of proposed actions, and shall include, but need not be limited to:

(1) the number of machine-readable bibliographic records and holdings already in existence in the region, and the number of bibliographic records and holdings to be converted to machine-readable form;

(2) a description of the means of maintaining and updating bibliographic data bases;

(3) a description of the means of accessing bibliographic and other data bases including any interfaces between or among data bases, and the availability of materials represented in these data bases;

(4) a description of the process and mechanisms used to share or obtain resources, the effect on resource sharing or usage patterns, and a description of electronic communication or transmission used for these or other purposes;

(5) a description of regional library automation goals and objectives for the five-year period, including the anticipated progress during this period toward enabling all libraries in the region to become electronic doorway libraries;

(6) a year-by-year projection of library automation activities, which in years two through five of the plan may be revised or expanded through amendments;

(7) evidence that all types of libraries and library systems in the region participated in the development of the plan, and that the plan takes into account the automation needs of and is equitable for all types of libraries and library systems;

(8) evidence that the plan will improve the quality of library service available to residents of the region;

(9) methods of and participants involved in monitoring and evaluating accomplishments.]

[(d) Criteria for approval of plans, amendments, annual plans and budgets.] (c) Eligibility Criteria.

[Approval of five-year plans, amendments, annual plans, and budgets shall be based on the following criteria:

(1) the goals and objectives of the automation program;

(2) the comprehensiveness of the plan including the number and types of participants, the number of records and holdings and type(s) and subject area(s) of materials to be converted, and the activities other than conversion of records and holdings; and

(3) how bibliographic or other data will be accessed and the anticipated increase in resource sharing or change in usage patterns;

(4) the potential for stimulating cooperation among libraries, and the importance to intersystem and inter-type library resource sharing;

(5) the impact on enabling libraries to become electronic doorway libraries or to expand upon existing electronic doorway library services provided or obtained on or through the statewide Electronic Library Network;

(6) activities involving professional development, education, and training;

(7) the cost(s) to implement;

(8) the libraries participating in and/or benefitting from each project, and the impact on service to users of these libraries;

(9) the specificity and supporting data provided, including the staffing required and processes to be followed in carrying out the proposed projects; and

(10) the adequacy of the evaluation procedures used to measure achievement of the stated goals and objectives, including the participants involved.]

(1) In order to be eligible for State aid for an automation program pursuant to subdivision 6 of section 273 of the Education Law, a reference and research library resources system shall:

a) be operating under an approved plan of service pursuant to paragraph d of subdivision 2 of section 272 of the Education Law;

b) submit an approvable prior year library system annual report and current year budget;

c) submit an approvable annual application for such formula aid;

d) provide program assurances and information as requested by the commissioner;

e) show evidence of member input.

[(e) Standards and requirements for library automation projects.] (d) Automation Program Purposes.

(1) [Bibliographic records and holdings and telecommunications-interoperability procedures shall be created and maintained in a form which, in the determination of the commissioner, assures regional and intersystem statewide compatibility.] Reference and research library systems applying for formula funds under Education Law 273(6) may use such funds for the collaborative purpose of helping its members employ technology and tools to provide and/or improve access to and storage of digital records, assets, collections, and information resources while adhering to national standards and best practices for enhancing resource sharing and access to information.

[(2) Bibliographic records converted through the use of these funds shall be made available, for the purpose of resource sharing, to the State library without charge other than the cost of duplicating such records.]

[(f)] (e) Applications and Reports.

[Each reference and research library resources system which receives an annual grant for regional bibliographic data bases and interlibrary resources sharing shall submit in a form and in accordance with a timetable prescribed by the commissioner, progress reports on the project.]

(1) The commissioner will determine the format and timetable for the submission of applications and reports.

(2) The commissioner may request any other reports that the commissioner shall deem necessary to carry out the purpose of this program.

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Comparison Chart: Existing Regulations vs. Proposed Regulations

(Also available as a .PDF .pdf file)


Proposed changes to 90.19 State aid for regional bibliographic data bases and interlibrary resources sharing.
Existing Regulations Proposed Regulations as Amended Rationale
(a) Definitions.
As used in this section and in Education Law, section 273(6):
(a) Definitions.
As used in this section and in Education Law, section 273(6):
N/A
(1) Regional bibliographic data bases means machine-readable files of bibliographic records and holdings of libraries within a reference and research library resources system region, including public, academic, school and special libraries. (1) Regional bibliographic data bases or databases refer to the storage and access of digital records, assets, collections, and information resources within a reference and research library resources system region through its member organizations. The types of databases have expanded since the regulations were written. The new language reflects how libraries and library systems currently define and use databases.
(2) Region means the geographic area served by an approved reference and research library resources system. (2) Region means the geographic area served by an approved reference and research library resources system including its member organizations. The new language is more inclusive.
(3) Library automation means the application of computer and telecommunications technology to bibliographic control, data base access, resource sharing and other electronic communication or transmission for the purpose of improving and enhancing services to library users (3) Library automation means to store and access digital records, assets, collections, and information resources for the purpose of improving, exposing, and enhancing services to library users. The use of technology in libraries has expanded to include many new digital formats and services.
(4) Automated circulation system means the application of computer and telecommunications technology to control the circulation of library materials, which may be integrated with other functions in an automated system DELETE This term is no longer used in the amended regulation.
(5) Automated system means the application of computer and telecommunications technology to library functions, including control of circulation of library materials, acquisitions, cataloging, serials control, public access catalog, and similar activities and the integration of these functions into one system. DELETE This term is no longer used in the amended regulation.
(6) Automation program means an organized plan applying automation to library functions to promote bibliographic control, data base access, resource sharing, and other electronic communication or transmission among the school, public, academic and special libraries within a region. (4) Automation program means an organized plan applying technology to promote resource sharing among all types of libraries and increase visibility of regional and statewide digital records, assets, collections, and information resources. Definition is updated to reflect modern practices and terminology.
(7) Five-year plan means a regional library automation program which addresses the development and management of a regional bibliographic data base, access to this and other data bases, resource sharing, and other electronic communication or transmission and which incorporates the public library systems, school library systems, and other libraries within the region. (5) Approved plan of service means the reference and research library resources system’s plan of service submitted to the State Library pursuant to Education Law Section 272 (2)(d). Definition is updated to reflect current practice. As part of an ongoing effort to streamline planning and reporting, the State Education Department/New York State Library no longer requires a separate five-year plan for the RBDB Program.
(8) Annual plan means a plan submitted by a reference and research library resources system which covers the current year of the five-year plan. DELETE Annual plans are no longer required
(9) Electronic doorway library means a library which enhances information retrieval and resource sharing for its users based upon two-way electronic capability, into and out of the library. DELETE Outdated language. The State Education Department and the New York State Library no longer use the term Electronic Doorway Library.
(10) Statewide electronic library network means a virtual network which includes existing and future physical networks in the State applicable for library purposes. The key concept underlying the network is interconnectivity among separate physical networks thus, in effect, resulting in one logical statewide network for libraries. (6) Statewide library cooperation means a collaborative physical and virtual network which is applicable for exposing digital records, assets, collections, and information resources. The key concept underlying the network is interconnectivity among separate networks. Definition is updated to reflect current technology.
N/A (7) National standards and best practices mean the standards agreed upon by the National Information Standards Organization (NISO) and in cases where there is not yet a national standard there are often best practices that are developed when standards cannot keep up with rapid changes in technology. These best practices often are agreed upon by professional organizations. There are now national standards and best practices for the use of technology in libraries.
(b) Plans.
(1) Each reference and research library resources system shall submit for approval a five-year plan for the regional bibliographic data bases and interlibrary resources sharing program pursuant to Education Law, section 273(6)(b), in a form and by a date prescribed by the commissioner. Such plans shall be developed and kept current through amendments made with the ongoing participation of libraries and library systems in the region. Amendments to the five-year plan shall be in a form and submitted for approval by a date prescribed by the commissioner. The board of trustees of the reference and research library resources system shall submit to the commissioner such evidence of participation of libraries and other library systems as he or she may require. Such participation shall include consultation with an automation committee, composed of representatives of all types of libraries and library systems in the region, which shall be established for such purpose.
(2) An annual plan and budget, consistent with the five-year plan for a regional automation program, shall be submitted by each reference and research library resources system seeking a grant pursuant to Education Law, section 273(6)(a)(1). Such annual plans and budgets shall be developed in consultation with and the ongoing participation of an automation committee representative of all types of libraries and library systems in the region and shall be submitted in a form and in accordance with a timetable prescribed by the commissioner.
(3) For each public library system seeking a grant pursuant to Education Law, section 273(6)(a)(2), an acceptable plan for an automation program shall be the approved plan referred to in Education Law, section 273(1).
(b) Inclusion in Plan of Service.
(1) Pursuant to Education Law, section 273 (6)(b), each reference and research library resources system shall submit as part of their plan of service, in a form and by a date prescribed by the commissioner, proposals as to how the system will manage an automation program and use technology to promote resource sharing in the region and statewide.
(2) The elements and format of such plan of service related to the regional bibliographic and interlibrary resources sharing program shall be determined by the commissioner.
Language is updated to reflect current practice in relation to State Education Department/New York State Library requirements for library system plans of service. As part of an ongoing planning and reporting streamlining effort, the State Education Department/New York State Library no longer require a separate RBDB five-year plan.
(c) Elements of a five-year plan.
Five-year plans and amendments shall provide a description of current library automation in the region, of library automation needs and of proposed actions, and shall include, but need not be limited to:
(1) the number of machine-readable bibliographic records and holdings already in existence in the region, and the number of bibliographic records and holdings to be converted to machine-readable form;
(2) a description of the means of maintaining and updating bibliographic data bases;
(3) a description of the means of accessing bibliographic and other data bases including any interfaces between or among data bases, and the availability of materials represented in these data bases;
(4) a description of the process and mechanisms used to share or obtain resources, the effect on resource sharing or usage patterns, and a description of electronic communication or transmission used for these or other purposes;
(5) a description of regional library automation goals and objectives for the five-year period, including the anticipated progress during this period toward enabling all libraries in the region to become electronic doorway libraries;
(6) a year-by-year projection of library automation activities, which in years two through five of the plan may be revised or expanded through amendments;
(7) evidence that all types of libraries and library systems in the region participated in the development of the plan, and that the plan takes into account the automation needs of and is equitable for all types of libraries and library systems;
(8) evidence that the plan will improve the quality of library service available to residents of the region;
(9) methods of and participants involved in monitoring and evaluating accomplishments.
DELETE Outdated language. As part of an ongoing streamlining effort, the State Education Department/New York State Library no longer requires a separate RBDB five-year plan. Current practice requires each Reference and Resource Library Resources System to submit one five-year plan of service for all system activities. (see b. above)
(d) Criteria for approval of plans, amendments, annual plans and budgets.
Approval of five-year plans, amendments, annual plans, and budgets shall be based on the following criteria:
(1) the goals and objectives of the automation program;
(2) the comprehensiveness of the plan including the number and types of participants, the number of records and holdings and type(s) and subject area(s) of materials to be converted, and the activities other than conversion of records and holdings; and
(3) how bibliographic or other data will be accessed and the anticipated increase in resource sharing or change in usage patterns;
(4) the potential for stimulating cooperation among libraries, and the importance to intersystem and inter-type library resource sharing;
(5) the impact on enabling libraries to become electronic doorway libraries or to expand upon existing electronic doorway library services provided or obtained on or through the statewide Electronic Library Network;
(6) activities involving professional development, education, and training;
(7) the cost(s) to implement;
(8) the libraries participating in and/or benefitting from each project, and the impact on service to users of these libraries;
(9) the specificity and supporting data provided, including the staffing required and processes to be followed in carrying out the proposed projects; and
(10) the adequacy of the evaluation procedures used to measure achievement of the stated goals and objectives, including the participants involved.
(c) Eligibility Criteria.
(1) In order to be eligible for State aid for an automation program pursuant to subdivision 6 of section 273 of the Education Law, a reference and research library resources system shall:
a) be operating under an approved plan of service pursuant to paragraph d of subdivision 2 of section 272 of the Education Law;
b) submit an approvable prior year library system annual report and current year budget;
c) submit an approvable annual application for such formula aid;
d) provide program assurances and information as requested by the commissioner;
e) show evidence of member input.
Language is updated to reflect the State Education Department/New York State Library’s current eligibility criteria for RBDB funds.
(e) Standards and requirements for library automation projects.
(1) Bibliographic records and holdings and telecommunications-interoperability procedures shall be created and maintained in a form which, in the determination of the commissioner, assures regional and intersystem statewide compatibility.
(2) Bibliographic records converted through the use of these funds shall be made available, for the purpose of resource sharing, to the State library without charge other than the cost of duplicating such records
(d) Automation Program Purposes.
(1) Reference and research library systems applying for formula funds under Education Law 273(6) may use such funds for the collaborative purpose of helping its members employ technology and tools to provide and/or improve access to and storage of digital records, assets, collections, and information resources while adhering to national standards and best practices for enhancing resource sharing and access to information.
Language is updated to reflect the current uses of technology in libraries.
(f) Reports.
Each reference and research library resources system which receives an annual grant for regional bibliographic data bases and interlibrary resources sharing shall submit in a form and in accordance with a timetable prescribed by the commissioner, progress reports on the project.
(e) Applications and Reports.
(1) The commissioner will determine the format and timetable for the submission of applications and reports.
(2) The commissioner may request any other reports that the commissioner shall deem necessary to carry out the purpose of this program.
Language is updated to reflect current application and reporting requirements for RBDB. As part of an ongoing streamlining effort, the State Education Department/New York State Library no longer requires project progress reports.

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Last Updated: November 27, 2019 --sm