WEST Members Meeting ALA Annual 2014 Las Vegas, LV 18 September 2018

Today’s Agenda I. Overview: Key Features of WEST II. WEST Phase 1 and 2 Archiving Progress Systems Development Plans Q&A Strategic Planning and Assessment Findings V. Strategic Planning Meeting June 3rd Outcomes 18 September 2018

I. Overview: Key Features of WEST Distributed print journal archives held in multiple storage facilities and libraries Annual collections analyses of unarchived holdings to determine “what to archive next?” in the region. Titles prioritized by risk categories, active validation of most at-risk titles Retention period 25 years (to 2035) Ownership by Archive Holder, transferred via gifts process Share upfront costs of archive creation, not ongoing costs of retention 18 September 2018

WEST Membership: 109 Libraries in 18 states 45 individual libraries (direct members) 3 library consortia University of California (10 libraries) Orbis Cascade Alliance (30 libraries) Statewide California Electronic Licensing Consortium (SCELC) (24 libraries) 16 libraries > 3 million volumes 57 libraries with < 500,000 volumes 56 state-supported institutions 53 private institutions • Direct Member •Consortium Member 18 September 2018

WEST Phase 2 plans (sustainability phase) The current phase of WEST includes: Two additional 18-month archiving cycles (Oct. 2013-Sept. 2016) Archiving 120,000 volumes silver and gold Archiving additional bronze as identified (complete Portico/Clockss/JSTOR in Cycle 4 if possible) System enhancements to improve collection analysis and archiving Assessment of Phase 1 and 2 Strategic planning for sustainability

II. Phase 1 and 2 Archiving Progress and Collections Analysis WEST Phase 1 (Implementation Phase): Cycle 1 (2011/12): Archiving “complete” Cycle 2 (2012/13): Archiving “complete” Cycle 3 (2013/14): Archive building complete and disclosure records submitted by Archive Holders and Builders; disclosures currently being ingesting into PAPR (almost complete). WEST Phase 2 (Sustainability Phase): Cycle 4 (2013/14/15): Collection analysis complete; archive proposals approved by OCC and Executive. Proposals will be distributed in July for local decision-making by Archive Holders

WEST Title Categories and Archive Types Title Category Print Risk Level Archive Type Validation Level 1 Print and Electronic full text with digital preservation (Portico, CLOCKSS) Low Bronze None 2 Print and Electronic full text, no digital preservation 3 Print with selected full-text access through aggregator databases Moderate Silver Volume 4 Print with electronic abstracting and indexing High Gold Issue 5 Print only, no electronic access points 6 JSTOR Access Archive (Arts & Sciences 3+) Low/ 7 Title Nominations Undetermined Sequoia Volume, no call for holdings

WEST Archiving Summary as of June 2014 Bronze Silver and Gold Notes Volumes Budgeted in Grant Volumes to Date Phase 1 Cycle 1 3-year total: 117,000 125,416 30,000 38,116 Complete (Disclosed) Cycle 2 47,873 52,000 48,401 Cycle 3 40,123 60,000 53,903 In process (Uploading Disclosures) Total 117,000 213,412 142,000 140,420 Phase 2 Cycle 4 N/A (set by OCC/CWG) 85,509 69,693 In process (Proposals in approval process) 18 September 2018

WEST Archiving Cycle 4 and 5 WEST will continue developing print journal archives with titles prioritized by risk. For Phase 2, WEST moved to an 18-month archiving cycle Cycle 4 will run from October 2013 to March 2015 Cycle 5 will run from October 2014 to March 2016 WEST budgeted archiving services for 120,000 silver and gold volumes across cycles 4 and 5. Bronze volumes will be archived as identified. Bronze titles will be distributed more broadly across the membership during cycle 4. WEST will accept title nominations for deep backfiles held by member libraries 18 September 2018

WEST Archive Holders and Builders Phase 1: Cycles 1-3 Total Archive Holders (Bronze) 22 Total Archive Builders (Silver and Gold) 6 Phase 2: Cycle 4 Proposed Archive Holders (Bronze) 62 Proposed Archive Builders (Silver and Gold) Proposals for Bronze titles were distributed more broadly across the membership during cycle 4. 18 September 2018

III. WEST System Development Plans Collection Analysis and Archiving Enhancements. Support group decisions during each archiving cycle Support archive creation and collection management: ability to review and commit to proposed journal families, download collection comparison reports Needs and Offers. Improve the process for filling gaps. Includes functionality to publicize “needs” (gaps) and make “offers” of needed volumes. Title nominations. Implement procedures and system functionality to facilitate nominations from WEST member libraries for deep backfiles to be considered for the WEST archive.

Introducing AGUA Something essential that we need in the WEST! Plus, AG= Silver and AU= Gold – almost spells AGUA! What is AGUA? User interface to several WEST functions to be available in July 18 September 2018

AGUA: Review Proposed Journals Beginning in July, Archive Holders/Builders can review and record commitments to proposed journal families for Cycle 4 18 September 2018

AGUA: Download Collection Comparison Reports All WEST members can download Collection Comparison Reports from AGUA. These reports list the journal titles held by each institution that match journals archived in WEST. Collection Comparison Reports for Archive Cycle 4 will be available in summer 2014. 18 September 2018

WEST Needs and Offers Improve the process for filling gaps with system to publicize “needs” (gaps) and make “offers” of needed volumes. WEST is negotiating an agreement with the U of Florida/ASERL to use their JRNL system which supports gap-filling and communication among offering/needing libraries WEST task force will identify any necessary system support from WEST/PAPR Expected availability in early 2015

Q&A 18 September 2018

IV. WEST Strategic Planning and Assessment Findings WEST will engage in strategic planning for future phases (Spring 2014-Fall 2014).   Goals: Review outcomes of the Phase 1 assessment Address any major issues regarding member expectations and benefits Consider possible sustainability plans and adjustments to the business model Consider broad changes to archiving priorities and the collections and operations models Methods: In-person meeting of governing committees (June 3) Two web-based Member meetings

WEST Assessment Plans In the next three years, two assessments are planned: Fall-winter 2013: Assess WEST Phase 1 (Archive Cycles 1-3) Assess WEST’s goals, review member participation and expectations and review the archived collections. Explore changes to the archiving model and business model that may enhance WEST sustainability. Summer 2016: Assess the overall WEST program Conduct assessment of member views and recommendations about WEST initial five years that may result in additional changes and/or new services

Phase 1 Assessment Themes Value of WEST as a collection management, preservation and access strategy. Possible changes to the current WEST program. Possible new directions and services. The value of WEST as a collection management, preservation and access strategy. The possibilities for change to the current WEST program…. including the business, collections, operations models and governance structures. The possibilities for new directions and services… including other publication types or capabilities.

Instruments and Approaches Survey WEST members Cost comparison with other trusted services Verification of archiving commitments in member agreements, OCLC and PAPR WEST Assessment Report http://www.cdlib.org/services/west/docs/WESTPhase1Assessment_2014MemberSurvey_FinalFullReport.pdf Report with cost comparison and verification of archiving commitments on the wiki

Member Survey Findings: Highlights

Demographics 96 respondents 60% of the institutional membership 69% of direct members 50% of the Orbis Cascade Alliance members 50% of the Statewide California Electronic Library Consortium (SCELC) members

Role in Library Role in WEST Respondents’ position Count % Library Director 34 35% AULs 28 29% Other* Total 96 100% Role(s) in WEST Count Primary Contact 61 Library Director 34 Other* Total 129

Theme 1: Value of WEST as a collection management, preservation and access strategy

Institutional goals 70% of WEST members have a formal set of goals and 40% include WEST.

Value of WEST as described to higher administration

Operational benefits “Positively affected - yes - at this time, peace of mind.” (Library Director, Non-Archive Holder)

Continued Participation Q24. Which of these service(s) does your library or institution currently participate in or offer? What is the likelihood of participation over next five years? Current participation Likelihood of participation over next five years Currently Participate Do not currently participate but participated in the past Do not currently participate Not at all likely / slightly likely Moderately likely Very likely / Extremely likely Portico 49% 0% 51% 55% 11% 36% CLOCKSS 30% 70% 52% 28% 18% HathiTrust 43% 1% 56% 16% 40% WEST 99% 5% 9% 86% 86% of respondents indicated they are very or extremely likely to continue to participate in WEST over the next 5 years. 9% moderately likely. WEST members that participate in digital preservation services and/or shared print services are expected to be steady, continuing participants.

Pricing Most WEST members find the cost of participation in WEST about right (68%). Some WEST members (25%) find WEST’s costs too high. There may be opportunity to raise member fees and still retain membership.

Value as a Collection Management Strategy Identify the extent to which member libraries are incorporating WEST activities into their collection management routines. Is the effort to participate reasonable?

More than 50% of WEST members agree that WEST supports their collection management goals. WEST activities are incorporated into local collection management routines and involve a reasonable level of effort relative to benefits accrued. WEST may need to continue to communicate benefits and showcase certain libraries.

Deselection Are libraries deselecting? To what extent? To what extent are WEST archiving commitments part of the deselection decisions? To what extent, relative to other trusted services?

Few WEST institutions (29%) have formal collection management policies for when to deselect journal backfiles …but when deselection does occur, 63-76% of respondents indicate that WEST archiving is highly or very highly likely to influence their decisions.

Q21. In the past three years, has your institution deselected print journal backfiles specifically based on WEST archiving commitments? If yes, corresponding to which archive types? Check all that apply. % Responses N = Yes, WEST Bronze titles 14% 10 Yes, WEST Silver titles 12% 9 Yes, WEST Gold titles 7% 5 Yes, WEST archive type unknown 11% 8 No, my institution has deselected journal holdings but cannot correlate specifically with WEST archiving commitments 34% 25 No, my institution has not deselected journal holdings during this time period 40% 29 Responses = 86 Respondents = 73 “Check all that apply” About 60% of respondents indicated some level of deselection of print journal backfiles in the past 3 years. Often, respondents cannot correlate deselections with WEST or with a particular WEST archive type (45% of responses). Q21. WEST may need to evaluate feasibility vs. cost/benefit of collecting deselection statistics on a project-basis.

Theme 2: Existing Program Roles – Archive Holder Business Model – Support for Archive Creation Operations Model – Disclosure and Collections Analysis Future services related to journals

Archive Holder Role and Distribution of Responsibility Distributed archiving is valued but there may be limits to the extent to which distribution can occur. Most WEST members support broader distribution of archiving responsibilities and engaging more institutions as Archive Holders. Although 44% of non-Archive Holders agreed that more WEST members should be engaged as Archive Holders in WEST, only 16% indicated that their institution would be able to participate as an Archive Holder.

Business Model – Support for Archive Creation How important is archive creation to WEST members? How might WEST members support it going forward?

How important is Archive Creation to WEST members? D. The value of the WEST partnership to my institution is not dependent upon continued archive creation. Active archive creation could be phased out. Strongly agree / Agree Neither agree nor disagree Strongly disagree / Disagree Archive Builder 8% 25% 66% Archive Holder 12% 19% 69% Non-Archive Holder 18% 32% 50% Most WEST members find continued archive creation a core value of the WEST partnership to their institution. WEST members want to see active archive creation continue.

How to support archive creation? To pay for continued archive creation beyond Mellon funding, adjustments could be made to fees (raise fees) to productivity rates (decrease number of titles archived) to compensation rates to Builders (reduce per volume compensation) to quality (change Archive Type for certain categories) Holder, Builder and Non-Holder responses

Operations Model – Collections Analysis WEST members continue to support annual collection analyses. Some might support less frequent analysis (e.g. every 24 months.)

Operations Model - Disclosure Disclosing retention commitments in OCLC Worldcat is highly valued for national/international discovery, access and delivery. Disclosure of retention commitments in PAPR is valued but less so than disclosure in OCLC for discovery.

Future Services Related to Journals Preferred enhancements to the journal archiving program: title nominations digitization of Silver and Gold print journal backfiles building partnerships and greater coordination with other print archives and organizations Of less value: quality assurance services (e.g. audit, verification of Bronze holdings) education/advocacy with scholarly societies coordination of large offers

Future Services Related to Journals WEST members would like to see WEST’s priorities expanded to include title nominations, digitization of Silver and Gold backfiles. Other possible services: audit, coordinating large offers, education/advocacy with scholarly societies

Should WEST continue beyond 2016?

Future scope for journal archiving?

Possible Future Directions Directors only Future directions beyond journals

What new activities should WEST pursue? Q49. Please indicate your institution's interest in expanding WEST priorities to include the activities listed below by indicating your level of agreement with the following statements: "WEST should expand its priorities to include..."  

Monographs - Goals Slightly less than half of the Library Directors surveyed (45%, n=15 of 34) are interested in coordinated action to develop archives of shared print monographs; those interested included two ARLs and thirteen non-ARLs. There is substantial agreement among interested Directors about what the goals of a regional collaboration should be: ensure access to print monographs for users (discovery and delivery); preserve the scholarly record, and deaccession monographs based on regional retention commitments (100%, 87%, 66% agreement respectively). A model might initially start with storage facilities as service providers and extend to a distributed “you hold some/I hold some” model. Of the Directors who indicated interest in pursuing monographs or federal documents, more were willing to put greater financial resources towards a shared print monographs program (between 0.005 and 2% of operations budgets) as compared to a federal documents program.

Communicate, communicate, communicate The full benefits of WEST are not always clear to members. Improvement in communication and feedback mechanisms may be helpful to increase member engagement and perceived value. As one respondent commented: “I think WEST has done an outstanding job so far. There is much to be proud of. I sense however that within a majority of the membership of WEST libraries, relatively little is known from the director down about what is being accomplished, WEST operations, and how member libraries might become more actively involved. Communication is always a challenge... this is an area that should receive more attention and improvement.” (AUL for Collections, Archive Holder)

Q&A 18 September 2018

VI. Strategic Planning Meeting June 3rd Outcomes WEST governance groups convened in Oakland, CA to consider initial recommendations and options for changes Business model adjustments Collections model adjustments New services for the journal archiving program New services beyond journals Initial recommendations to be further developed and confirmed with WEST members Fall 2014 18 September 2018

Initial recommendations for change Continue to strengthen the distributed nature of the archiving program and communicate benefits to members Manage the costs of the program with some adjustments; raise fees steadily to replace grant funding Expand the journal archiving program in areas most valued by members or necessary to ensure quality of archives and program Not pursue new directions beyond journals 18 September 2018

Adjustments to manage costs and provide continued value Reduce archive creation budget somewhat Explore options for refining candidates for issue-verification among the print only titles categories Expand the scope of print only titles to lower-moderate overlap titles; extends the program 3-4 more years, at which point re-evaluate additional areas of the journal collections to pursue Reduce frequency of collections analysis to every 2 years; identify enough archiving work for the full 2 years Investigate options to reduce the costs of records ingest for collections analysis Establish a base budget and set member fees based on a formula or tiers that are simple, transparent, predictable and independent of roles and responsibilities 18 September 2018

Expand the journal archiving program Incorporate title nominations into WEST’s model Explore options for digitizing print only titles Explore options for quality assurance services Build partnerships and coordinate with other print archives and organizations such as OCLC, DPLA, HathiTrust and CRL May include future grant proposals 18 September 2018

Q&A 18 September 2018

Subscribe to WEST Info! http://www.cdlib.org/west Stay informed! Subscribe to the WESTInfo-l email list via the website. Non-members may join. Emily Stambaugh WEST Program Manager emily.stambaugh@ucop.edu Danielle Watters Westbrook WEST Collections Analyst danielle.westbrook@ucop.edu Lizanne Payne WEST Systems and Planning Consultant lizannepayne03@gmail.com 18 September 2018