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

2. 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

3. 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

4. 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

5. WEST Phase 2 plans (sustainability phase)
The current phase of WEST includes:
Two additional 18-month archiving cycles (Oct 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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.

12. 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

13. 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

14. 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

15. 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

16. Q&A
18 September 2018

17. 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

18. 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

19. 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.

20. 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
Report with cost comparison and verification of archiving commitments on the wiki

21. Member Survey Findings: Highlights

22. 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

23. 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

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

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

26. Value of WEST as described to higher administration

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

28. 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.

29. 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.

30. 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?

31. 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.

32. 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?

33. 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.

34. 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.

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

36. 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.

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

38. 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.

39. 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

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

41. 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.

42. 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

43. 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

44. Should WEST continue beyond 2016?

45. Future scope for journal archiving?

46. Possible Future Directions
Directors only
Future directions beyond journals

47. 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..."

48. 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 and 2% of operations budgets) as compared to a federal documents program.

49. 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)

50. Q&A
18 September 2018

51. 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

52. 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

53. 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

54. 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

55. Q&A
18 September 2018

56. Subscribe to WEST Info! http://www.cdlib.org/west
Stay informed! Subscribe to the WESTInfo-l list via the website. Non-members may join.
Emily Stambaugh
WEST Program Manager
Danielle Watters Westbrook
WEST Collections Analyst
Lizanne Payne
WEST Systems and Planning Consultant
18 September 2018