The OER initiative at this university began with the passionate interest of two librarians. In Spring of 2014, a librarian solicited student input regarding textbook use and costs. Based on this student input, the library identified the exploration and support of OER as a priority during the library’s strategic planning process. Open Education Week 2015 was used to publicize the library’s interest in and support of OER, and in the Fall of 2015, the library hired a Ph.D. student whose research interests included OER to assist with the library’s OER efforts. In 2015, a private donor with a passion for helping make college more affordable for students provided the library with one-time funding for a pilot open textbook initiative. Completed textbooks were housed as static PDFs in the library ePress for use by faculty members as primary textbooks in associated courses.
Due to a death, a graduation, and an unexpected move, the library found itself rather suddenly needing to replace the entire team responsible for the OER initiative. Having experienced mixed levels of success using one-time grant funding to begin the project, the library added a full-time OER librarian to facilitate the transition of the effort from a pilot project to a strategic plan. The OER librarian, needing to understand and improve the existing structure very quickly without much guidance, identified the application of Human Performance Technology (HPT) as an appropriate systematic way to analyze and address the sustainability problem.
Human performance technology (HPT), also known as Performance Improvement Technology, is a “process that bridges the gap between what is and what should be in human performance systems” (Wilmoth et al.
2002, p. 16), improving human “productivity and competence” (p. 16) through a systematic approach including performance analysis, cause analysis, intervention selection, intervention implementation and evaluation. Opportunities are realized and performance issues addressed through both “instructional and non-instructional interventions” (Klein and Fox
2004). The OER program was a human performance system (Wilmoth et al.
2002) where HPT could serve as a “unifying process that helps accomplish successful change [and] create[s] resilience and sustainability” (Dessinger et al.
2012, p. 10). In the following sections we will present the process and findings from the ongoing performance improvement project, which includes systematic performance analysis, needs assessment, intervention design, and evaluation. Completion of an organizational analysis allowed us to identify areas where the university and library missions align with the goals to be achieved through the integration of OER. Through an environmental analysis, we identified aspects of the organizational environment and key elements of the university workflow which might impact the integration of OER. The current state was observed, articulated, and compared to the desired state to facilitate a gap analysis. A cause analysis helped determine which interventions would be most valuable. Interventions selected, designed, implemented and evaluated will be included in the library’s long-term plan for intentional support of OER. The organizational, environmental, and gap analyses will be presented here.
Researcher Reflexivity
In case study research, trustworthiness is strengthened through the researchers’ articulation of how the researcher impacted phenomena under study as well as the impact of the research process on the researcher (Probst and Berenson
2014). Without shifting attention away from the phenomenon of study (Probst and Berenson
2014), we wish to acknowledge the positionality of the first author in this research process in which the researcher was central to data collection and analysis, “investigative strategy, and the end product” (Merriam and Tisdell
2015, p. 37).
The first author on this paper served as the academic librarian who spearheaded the project. As such, the first author was “an active part of the setting, relationships, and interpretations” (Probst and Berenson
2014, p. 814). The study was carried out to meet the professional purposes of the first author as OER Librarian, the practical purpose of informing performance improvement in the academic library, as well as research purposes described above (Watt
2007). Although the perspective of the first author could “unknowingly influence” the work, we selected and analyzed data based on its relevance to our line of inquiry (Yin
2018). To prepare our research report, we created a set of questions helping to remind us “of the data to be collected and why” (Yin
2018, p. 99). We created a list of sources which might contain useful evidence, and followed the crosswalk method described by Yin (
2018) through which case study researchers determine the relevance of potential evidence in relation to the “questions of interest” (p. 99).
Organizational Analysis
Organizational analysis involves an examination of the values, mission and vision of the institution as a whole, to ensure that the specific project under study aligns with these larger goals. To determine this alignment, we examined communications formally released by the university, familiarized ourselves with the recent history of the institution, and read through the minutes from the previous two years of meetings of a faculty committee known as Faculty Council. To determine alignment from the process perspective, we relied on a review of the literature surrounding open educational resources.
Environmental Analysis
Through an environmental analysis we identified aspects of the organizational environment and key elements of the university and library workflow which might impact the integration of OER. First, we examined the institution’s organizational chart and tenets guiding government of the university to determine at which points policy might be determined and implemented. Then we explored the role of elected student government in reflecting, acting upon, and influencing the concerns of the student body. Finally, we explored the role of the academic library in the institution.
Gap Analysis
After organizational and environmental analysis confirmed an overall supportive environment, we turned our attention to identifying the gap between the actual and desired performance of the OER initiative. Van Tiem et al. (
2012) describe gap analysis as a process of clearly articulating the desired and actual state of performance, identifying the gaps, and then prioritizing the gaps so they can be addressed systematically. For this project, the desired state was determined according to a framework offered by Cohen et al. (
2018) describing the characteristics of the ideal, or mature, OER program. This framework includes a conceptual structure through which OER programs may be brought to scale. Table
1 represents phases of OER initiatives as described by Cohen et al. (
2018). We determined these phases to be an effective framework with which to frame our gap analysis, with the desired state including completion of all four phases.
Table 1Phases of OER initiatives (Cohen et al.
2018)
Information gathering | Pilot Programs | Developing a program | Program support |
| Developing Allies | | Stable funding |
Conversations | Connecting to other initiatives | Increasing Capacity | Legislation |
Laying the Foundation | Exploratory Funding | Admin Support | Implementation/Assessment |
| | Legislative Action | Staffing |
Data regarding the actual state of the library OER initiative were gathered through documents, artifacts, and interviews. Documents included minutes of faculty council meetings, a survey sent by a faculty council committee regarding faculty awareness of student textbook use, a financial worksheet associated with the pilot project, an archived conference presentation, the library research guides, and a book chapter authored by personnel previously involved with the library OER initiative. Artifacts included posters and fliers from OpenEd Week left by the previous librarian, as well as a copy of the librarian’s obituary describing his commitment to open education and student success. Interviews were held with the current supervisor of the library OER initiative, the former graduate assistant, faculty, and librarians who had been employed prior to the new OER librarian. Use of “multiple methods of data collection” (Merriam and Tisdell
2015, p. 244) enabled us to triangulate the data by comparing what was said in interviews, what we read in documents and what we observed in artifacts. We also triangulated through the use of multiple data sources, interviewing and engaging in conversation with the same people several different times to compare and cross-check our data for credibility (Merriam and Tisdell
2015).
Van Tiem et al. (
2012) recommend viewing gaps in performance “as performance improvement opportunities” (p. 155). To analyze the actual performance of the library’s OER initiative we adopted an attitude of “appreciative inquiry” (Van Tiem et al.
2012, p. 155) through which HPT can present performance gaps as opportunities to improve, and celebrate areas in which the actual performance state “is equal to or excels the desired performance state” (p. 155). We applied the question “What is the current state of [the library OER initiative]” (Van Tiem et al.
2012, p. 158) to each subset of the OER program framework (Cohen et al.
2018).
For instance, we asked the question “What is the current state of pilot programs in the library OER initiative?” (Cohen et al.
2018). Documents helping answer that question included texts completed as a result of the pilot program, a financial worksheet detailing past and future payments to authors involved in the pilot program, a research guide on the library website inviting participation to the (now closed) pilot initiative, and a published book chapter authored by those involved in the pilot program. Interview comments such as “We definitely need to develop an MOU for every project from now on”, “We may not ever get all of the textbooks, but we have learned a lot” and “Do we need to keep these funds set aside to pay these authors? Are they going to finish?” supported our identification of the authoring project as a pilot, or preliminary, study.
To answer the question “What is the current state of development of allies in the library OER initiative?” (Cohen et al.
2018) we applied data indicating communication between the Faculty Council Student Affairs and Learning Resources Committee regarding a survey sent to faculty exploring faculty awareness of student textbook purchasing practices (see Appendix Fig.
1). We found peer reviews published on the Open Textbook Network website, which had been written by faculty after attending a library sponsored workshop, and were able to speak with a faculty member who had adopted an open textbook following the library sponsored workshop. The faculty member described a positive experience using the textbook, describing it as “very relatable for students and offered many great tools”. In an interview with the campus bookstore administrator, who had also attended the library-sponsored workshop, we found that the bookstore was responsive to student requests for print and bound editions of OER used in class. Others involved with the library OER initiative were uncertain about the extent of the bookstore’s involvement, asking questions such as “what are the details of our agreement with the bookstore?” We determined that the Faculty Council shared resources, faculty and bookstore staff attendance at the library sponsored workshop, subsequent engagement with the OER community through the Open Textbook Network (OTN) and the bookstore’s willingness to print OER on demand established the present state of the library OER initiative as developing allies (Cohen et al.
2018).
When asking “What is the state of the library OER initiative in connecting to other Initiatives” we found the library involvement with OTN workshops and peer review creation indicative of connection with other initiatives. Funding for the pilot program itself served as data answering the question “What is the state of the library OER initiative in exploratory funding?” The financial worksheet detailing payments associated with the pilot program as well as the research guide inviting participation in the pilot program both described the funding as the result of a one-time private donation. Concerns voiced in interviews such as those quoted above regarding the need to set aside funds from the donation support our finding that the funding was exploratory rather than ongoing.
Using the “six-cell gap analysis” (Van Tiem et al.
2012, p. 157) we organized our findings to identify positive gaps, neutral gaps, and negative gaps in the current state of the library OER initiative as compared to the ideal state recommended by Cohen et al. (
2018) (See Appendix Table
2). The process also articulated the potential future state of these gaps “if trends continue” (Van Tiem et al.
2012, p. 157).
Based on the analysis described above, we identified neutral gaps for the library’s OER initiative in the exploring phase of the OER program framework (Cohen et al.
2018). We identified negative gaps for the library’s OER initiative in the evolving and mature phases of the OER program framework. Van Tiem et al. (
2012) include “establishment of reasonable goals” (p. 156) in articulating a desired state as essential to successful HPT application. The OER librarian wanted to develop a mature OER program (Cohen et al.
2018) which would first require resolution of gaps in performance with the evolving phase of the OER framework. We determined that resolution of the gap in performance between the actual state of the library OER initiative and the evolving phase of the OER program framework (Cohen et al.
2018) would involve goals that were “both feasible and sustainable” (Van Tiem et al.
2012, p. 156).
We applied various forms of the question “What should be the. ..” to the subsets of the evolving phase of the OER program framework (Cohen et al.
2018) to identify areas for performance improvement opportunities (Van Tiem et al.
2012). For example, we asked “What should be the administrator support of the OER initiative?”, and “What should consistently be taking place in the OER initiative?” These subsets included development of the program, increased capacity, administrator support, and legislator support (Cohen et al.
2018). The gaps were prioritized during brainstorming sessions with library administration, and the decision was made to address increased capacity, administrator support, and development of the program (Van Tiem et al.
2012).
The Work in Progress
After completing the organizational, environmental, and gap analyses described in detail above, we completed the HPT process with a cause analysis followed by an intervention design. The implementation of this intervention is still in progress. The cause analysis revealed that although steps had been taken to initiate and explore the use of open educational resources on campus, a structure had not been established through which the program could evolve and mature. The library had identified the exploration and support of OER as a priority during its strategic planning process, but a framework through which this could be accomplished was not articulated. The lack of documentation of OER efforts hindered accountability for projects underway as well as consistency of effort despite changes in library personnel. An intervention was needed to clearly document the policies, procedures, and accomplishments of the OER initiative. In addition, limitations of the e-press platform, which supported documents only in pdf format, were identified as a cause of low adoption and slow progress.
The desired performance of the library’s evolving and mature OER initiative (Cohen et al.
2018) includes infrastructure that facilitates increased participation as well as improvements in the quality and reach of the program. Having determined a lack of documented strategic planning as a defining cause of the gap in performance, we identified interventions through which this gap might be eliminated. Suggested interventions included staffing and infrastructure choices specific to the library’s OER initiative, long-term strategic planning, and documentation of planning, implementation, and evaluation associated with the library’s OER initiative. The ongoing intervention addresses all of these concerns. Staffing issues are being addressed through hiring graduate assistants and student workers to assist the OER librarian, and better coordination of efforts with other library personnel, such as the instructional designer. To improve the infrastructure dedicated to the OER initiative, the library purchased an institutional instance of PressbooksEdu, a platform broadly used by the OER community, and will use it to host faculty created OER, curate OER adapted and used by the institution, and share other resources considered useful for campus stakeholders. The weakness in strategic planning is being addressed through the development of mission and vision statements specific to the OER initiative. These statements will guide the development of strategic priorities through which infrastructure can be stabilized, participation increased, and the quality and reach of the OER program expanded. Finally, documentation is being addressed through the formation of a campus-wide working group to develop a formal process for documenting the work of the OER team and its partners across the campus.