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
What is validation? (for journals)
Verification of physical holdings
for completeness and/or condition
Validation Goals
Archive for digitization
Readable archive
Validation Goals and Outcomes
Quality
Cost
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.
Case: UC JSTOR Shared Print Archive



Goal: print archive intended for re-digitization
Annual new title lists and moving wall
Completeness





Condition



page level
gap filling required
publication history determined by library, publisher research
high requirements to record completeness problems
High expectations to remedy conditions
High requirements to record many conditions in the resulting archive
Disclosure

in SQL database, website
Case: WEST Archive



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Goal: print archive intended for future reading
Timeframe = 1 year to perform work
Validation performed based on risk (Silver, Gold)
Completeness





Condition




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
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
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.
When is a run complete?
Where to look for gaps?

Physical volumes or issues

Local catalog entries

Union catalog entries
1.
2.
3.
Publishers lists
Electronic holdings lists
Researchers, users
Look
Here
No need to look here
WEST Risk Management
Why and when to validate?


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
Validation guided by (a regional) collections model
optimizes effort and use of resources
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
Title Categories = Expression of risk
Archive Types = Level of Effort
Validation standards
Collections policy
Title Category
P+E, digitally
preserved
Risk
Level
Archive
Type
Validation
Level
Fill gaps?
Disclosure
Low
Bronze
None
No
Batch LHRs, one 583
Silver
Volume
(completeness
only)
Yes (active)
LHRs, two 583s,
validation outcomes
Gold
Issue
(completeness Yes (active)
and condition)
Print, w/selected
Moderate
full-text
Print only
Disclosure policy
High
LHRs, three 583s,
validation outcomes
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
THANK YOU!