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Bibliographic Infrastructure for Shared Print Management

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Slides from ALCTS pre-conference on Shared Print Management, 5 June 2012. Outlines strategy behind OCLC Print Archives Disclosure Pilot project. (First part of session; second half was by Lizanne …

Slides from ALCTS pre-conference on Shared Print Management, 5 June 2012. Outlines strategy behind OCLC Print Archives Disclosure Pilot project. (First part of session; second half was by Lizanne Payne, on detailed metadata guidelines.)

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  • 1. 5 June 2012 #SharedPrintMgtBibliographic Infrastructure for Shared Print CollectionsA Strategy for Network Disclosureusing MARC21 Format for Holdings Constance Malpas Program Officer OCLC Research @ConstanceM malpasc@oclc.org The world’s libraries. Connected.
  • 2. Shared Print: What‟s the Problem? • Shift in scholarly attention from print to electronic means low-use retrospective print collections are perceived to deliver less library value • Competing demands for library space: teaching, learning, collaboration vs. “warehouse of books” • Among academic libraries, a shrinking pool of institutions with mandate, capacity to support print preservation • As transaction costs for managing legacy print collections decrease, libraries will seek to externalize print operations to shared repositories The world’s libraries. Connected.
  • 3. The Future of Shared Collections • Economic and space pressures will make shared print management strategies more prevalent • An active archive isn‟t “just move it and forget it” • Ongoing management of collections is required • Workflows need to be mainstreamed with other resource management practices • Retrospective vs. building shared collections through new acquisitions • Relationship to HathiTrust, Portico and other digital archiving efforts The world’s libraries. Connected.
  • 4. Implications for Bibliographic InfrastructureIn emerging environment, registration of item (copy) level data is required to support:• Preservation risk assessment – how many copies exist in the system? What is their condition? Are they subject to archival / persistence agreements?• Collection management – which copies in local collection should be retained? How can space recovery be maximized? How can inventory be optimized?• New business models – what is the total value of outsourcing preservation and access to shared repository? The world’s libraries. Connected.
  • 5. Fundamental requirements• Print archiving institutions need: • A mechanism to record and disclose institutional archiving commitments at title and volume level • Decision support to identify/select titles and volumes suitable for archiving• Print archive clients need: • Decision support to identify/select titles and volumes suitable for withdrawal, based on existing archiving commitments, and/or donation (to fill gaps in archive) The world’s libraries. Connected.
  • 6. Shared Print: OCLC Research Active portfolio of work since 2007: • North American library storage capacity (2007) ~70M volumes in storage; further capital investment unlikely • Policy requirements shared print repositories (2009) critical need: disclosure of print preservation commitments • Leveraging infrastructure: MARC21 583 Note (2009) copy-level retention, condition statements are required • Cloud-sourcing research collections (2010) mass digitization of monographs accelerates shift to shared print The world’s libraries. Connected.
  • 7. Print Archive Activities at OCLC• Evaluate ways in which OCLC can help to support immediate and future needs for shared print management• First priority: address needs for registering and disclosing retention commitments for print resources • Leverage existing library investment in WorldCat • Shared Print Archives Disclosure Pilot project The world’s libraries. Connected.
  • 8. Why use MARC 583?• Defined for use in both bibliographic and local holdings record; flexible implementation• Successfully deployed for cooperative microfilming projects in US, web archiving in Australia, DLF/OCLC Registry of Digital Masters• Existing PDA thesaurus includes terms appropriate for print archiving actions (retained, condition reviewed, etc.) The world’s libraries. Connected.
  • 9. Registering Print Archiving Actions 583 Action Note • Action – committed to retain, condition reviewed etc. • Authorization – identifies Print Archive program • Status – condition or completeness statement • Method of Action – level of validation • Materials Specified – if different from the 85x/86x • Institution – identifies archiving agent The world’s libraries. Connected.
  • 10. 583 tag usage in WorldCat5,820,316 bib level MARC 583 tags in WorldCat (Apr 2012)• Vast majority (91%) are for monographic titles• Very few (2%) include $3 “materials specified” detail As presently implemented, ill-suited to registration of cooperative preservation commitments For serial holdings, especially, greater specificity of holdings and stewardship responsibility is needed The world’s libraries. Connected.
  • 11. Registry of Digital Masters5,096,007 title-level digital preservation commitments registered in WorldCat (May 2012)• 5,040,330 (99%) from HathiTrust• 55,680 from other digitization projects ‘Industrial scale’ aggregation led to streamlined process, created critical mass in WorldCat Centralizing, automating metadata creation facilitates upstream quality assurance The world’s libraries. Connected.
  • 12. Example 1: Registry of Digital Masters This print edition held by 169 WorldCat libraries. The University of Chicago has digitized it and has registered a commitment to preserve the digital surrogate The world’s libraries. Connected.
  • 13. Example 2: UK Research Reserve This print edition held by 5 WorldCat libraries. St Andrews University Library has registered a commitment to preserve a print copy. The world’s libraries. Connected.
  • 14. Why implement at local holdings level?• Recording preservation commitments at title level in bibliographic record is practically impossible for serial publications (gaps in holdings, condition may vary from one volume to the next)• LHR implementation supports distributed archiving efforts in which multiple libraries commit to preserve partial runs; less resource intensive than consolidating complete runs at a single institution The world’s libraries. Connected.
  • 15. Local Holdings Records in WorldCat32,842,128 detailed holdings records (May 2012)• Contributions from >10,000 libraries• 38% of detailed holdings contributed by 85 ARL (1% of contributors) Institutions most likely to assume print archiving responsibility are already contributing holdings Easier to reinforce an existing behavior than to institutionalize a new one The world’s libraries. Connected.
  • 16. Growth of Local Holdings in WorldCat Millions of Detailed Holdings Records3530 3325 2620 221510 11 1350 2008 2009 2010 2011 2012 The world’s libraries. Connected.
  • 17. Print Archive Pilot• Worked with 8 print archiving institutions to establish and test LHR-based approach • CRL JSTOR archive • WEST partners (UC San Diego, UCLA, Stanford, University of Oregon, SRLF) • CIC Shared Print Archive (Indiana University) • University of Minnesota dark JSTOR archive• Pilot ran through 2011 and early 2012 The world’s libraries. Connected.
  • 18. Print Archives Pilot activities • Drafted metadata guidelines (2011) • Developed controlled vocabulary (2011) • Tested LHR contribution via OCLC Connexion Browser and batch-load utility (2011/2012) • Evaluated resource sharing workflows (2012) • Documented implementation processes, identified critical roadblocks (2012) The world’s libraries. Connected.
  • 19. Print Archive Pilot – Final Report, April 2012 Report includes:  Summary of activities  Metadata guidelines  Sample title data  Implementation checklist  Recommendations for libraries  Recommendations for OCLC The world’s libraries. Connected.
  • 20. Recommendations for Disclosure (1) • Establish new Print Archive institution symbols • For a shared storage Print Archive model, only one symbol needed – for the Archive itself • For an “archive-in-place” model, need new symbols for each participating institution • Less than ideal, but necessary to support resource sharing • Contribute LHRs containing 583 tag data • Establish best practices for use of the 583 and other LHR fields for print archiving • For shared model, need a consolidated file of LHRs since load replaces rather than merges The world’s libraries. Connected.
  • 21. Recommendations for Disclosure (2)• Create Group Access Capability (GAC) to facilitate discovery • LHR 583 data also indexed in Connexion (use “io:” label)• Assumption of an active archive requires support for resource sharing • Prioritization, deprecation or deflection for lendingNB Proposed method is optimized for serials but extensible (in principle) to monographs The world’s libraries. Connected.
  • 22. Model implementation: Registration of print archiving commitment Title held by 1100 libraries; hundreds of local holdings profiled The world’s libraries. Connected.
  • 23. Recommendations for Print Archives• Wherever feasible, contribute detailed holdings statement with 583 Action Note in accordance with Print Archives guidance $a-Action, $c-Time/date of action, $l-Status $2-Source of term are critical (and mandatory per PDA) $d-Action interval $f –Authorization, $i-Method of action, $j- Site of action etc. required where applicable• If registration at local holdings level is not possible, record print archiving commitment in the bibliographic record $a-Action, $3-Materials specified, $5-Institution are critical The world’s libraries. Connected.
  • 24. Collectively, we are making progress: As of 1 June 2012, 32 new shared print / print archiving symbols in WorldCatThe world’s libraries. Connected.
  • 25. Collectively, we are making progress: As of 1 June 2012, more than 2800 titles with print archiving commitments in WorldCatThe world’s libraries. Connected.
  • 26. Collectively, we are making progress: LHR 583 tag data indexed in Connexion – use “IO” label for searching, with or without shared print symbolsThe world’s libraries. Connected.
  • 27. What‟s Next?• FAQ for print archiving support at OCLC will be published soon: • How to request new „shared print‟ symbol • Set up for batchloading LHR • Metadata guidelines • Resource sharing tips• Exploring application of 583 strategy for monographic print archiving The world’s libraries. Connected.
  • 28. Constance Malpasmalpasc@oclc.orgQuestions? Comments? The world’s libraries. Connected.

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