1. VALIDATION AND RISK MANAGEMENT FOR SHARED PRINT JOURNAL ARCHIVES: UC JSTOR AND WEST CASES CRL Print Archives Network Meeting ALA Midwinter, Chicago January 30, 2015

2. What is validation? (for journals) Verification of physical holdings for completeness and/or condition

3. Validation Goals Readable archive Archive for digitization

4. Validation Goals and Outcomes Quality Cost

5. Essential policies to achieve scale  Validation standard – defines (un)reasonable effort to verify completeness and condition, expected outcomes, what outcomes must be recorded.  Disclosure standard – defines a metadata standard where the results of validation will be recorded.

6. Case: UC JSTOR Shared Print Archive  Goal: print archive intended for re-digitization  Annual new title lists and moving wall  Completeness  page level  gap filling required  publication history determined by library, publisher research  high requirements to record completeness problems  Condition  High expectations to remedy conditions  High requirements to record many conditions in the resulting archive  Disclosure  in SQL database, website

7. Case: WEST Archive  Goal: print archive intended for future reading  Timeframe = 1 year to perform work  Validation performed based on risk (Silver, Gold)  Completeness  Silver (volume), Gold (issue)  Active gap filling required  Publication history determined by library, union catalog records, Ulrich’s  A few kinds of gaps must be recorded  Condition  Gold only  Some conditions must be remedied  A few remaining conditions must be recorded  Disclosure  in OCLC and PAPR, according to OCLC Metadata Guidelines, separate symbols, LHRs, 561, 583 entries capture validation outcomes

8. Validation for Completeness is achieved when  SILVER - existing holdings among WEST members are compiled with duplicates removed resulting in a single archive of all published volumes of the journal and its historical title variants from volume 1 through 2005 or until the year the publication ceased.  GOLD - existing holdings among WEST members are compiled with duplicates removed resulting in a single archive of all published issues and supplements of the journal and its historical title variants from volume 1 issue 1 through 2005 or until the year the publication ceased.

9. When is a run complete? Where to look for gaps? Physical volumes or issues Local catalog entries Union catalog entries 1. Publishers lists 2. Electronic holdings lists 3. Researchers, users Look Here No need to look here

10. WEST Risk Management  It takes the holdings of 2-4 institutions to compile a near complete backfile for one title  Can’t validate everything, validation can go on for years Why and when to validate? Validation guided by (a regional) collections model optimizes effort and use of resources

11. Risks as libraries drawn down in region  Risk of loss of access in region  Risk of loss of content in region  Risk of stewardship failure in region

12. Title Category Risk Level Archive Type Validation Level Fill gaps?Disclosure P+E, digitally preserved LowBronzeNoneNoBatch LHRs, one 583 Print, w/selected full-text ModerateSilver Volume (completeness only) Yes (active) LHRs, two 583s, validation outcomes Print onlyHighGold Issue (completeness and condition) Yes (active) LHRs, three 583s, validation outcomes Title Categories = Expression of risk Archive Types = Level of Effort Collections policy Validation standards Disclosure policy

13. WEST’s standards Validation standards http://www.cdlib.org/services/west/docs/WESTStan dards_Issue_VolumeLevelValidation.docx Disclosure Policy http://www.cdlib.org/services/west/docs/WESTStan dards_Issue_VolumeLevelValidation.docx

14. THANK YOU!