Guidelines for voluntary validation of WEST Bronze Archives Best Practices:

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WEST Disclosure Policy guide:

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WEST Disclosure Updates needed (extracted from WEST guidelines and Policy documents)

Updating your records during retention

The following are instructions for updating records for WEST retention commitments. Your local system records are considered the authoritative source for this information, with all other disclosure activities flowing from the updates you make there. Archivers should be familiar with the MARC21 Format for Holdings Data and the OCLC Shared Print Detailed Metadata Guidelines prior to updating the records for retained materials.

Summary of LHR Fields and Subfields Required for WEST Disclosure

The following fields are required to identify WEST archived materials:
●OCLC control number of the corresponding WorldCat bibliographic record. This can be the 004, 014 or 035 field but it must consistently be in the same location in all records.
●Leader and Directory
●001 -Local System Control Number
●008 -Fixed-Length Data Elements

● 022 -ISSN
●561 -Ownership and Custodial History

●583 -Action Note(s) - required for Bronze: Committed to retain note

● 852 -Location
●85x/86x -Coded holdings (formatted holdings pairs) (if available)
●866/867/868 -Summary holdings (text) (if no 85x/86x formatted holdings pairs)2
Additionally, the following fields are requested when submitting disclosure records to AGUA:
●Holdings record unique ID
●Bib record unique ID

Bronze

WEST Bronze materials are disclosed as “committed to retain” for WEST. There is no requirement to validate materials, though many Archivers may perform validation as part of their review of archiving proposals ahead of selecting archiving commitments. If physical validation is performed, or if materials are moved to storage in the course of local collection management activities, Archivers are encouraged to include this information in the retained materials’ records to support disclosure and information sharing in the shared print community.
●Good: Add 583$a “committed to retain” with all required retention information detailed in Appendix 1.
●Better: Validate physical holdings for completeness at the volume level (as described in the WEST Validation Standards), update holdings statements as needed, and record validation activity and findings in 583$a “completeness reviewed” with $l / $z pairs (e.g., 583$a completeness reviewed…$l missing volumes $z missing v.14,v.21).
●Best: Validate physical holdings for condition at the volume level, record findings in 583$a “condition reviewed” with $l / $z pairs.

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USU’s local application of WEST edits to our Sierra Holdings Records (Bronze level: good)

• 022 ISSN if missing

  • copy from bib record

  • 022 \\ 1047-3157

• 035 OCLC, if missing

  • copy from bib record

  • 035 \\ (OCoLC)20665052

• 583 field with committed to retain

  • 583 1\ Committed to retain|c20221122|d20351231|fWEST|fWEST Bronze|uhttps://www.cdlib.org/wp-content/uploads/2018/11/WESTProgramStatement.pdf

• For the few where we checked physical holdings: 583 field with completeness reviewed to volume-level.

  • 583 1\ completeness reviewed|c20200630|fWEST|fWEST Bronze|ivolume-level

• 852 field: for newer Holdings Records that are lacking the a, b, & c, we will add our OCLC library code and sub-location in subfield a and b, in front of the call number (using UUSA in b for OCLC compatibility):

  • 852 01 UUS|bUUSA|hTJ3|i.A57

  • 866 (we also can update to the NISO holdings standard of 853/863 if time permits)

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“Committed to retain” (and optional “completeness reviewed”) notes - most of our titles will not have the second completeness note, as we don’t have the time or bodies to do all the titles

WEST documentation continued……..

Where to disclose retention status

WEST promotes disclosure as an activity to support both identifying specific materials that are retained for the WEST program as well as to highlight the work of shared print initiatives in general. To meet both of these ends, WEST disclosure should occur in local, regional, and (inter)national outlets:

• Your Local System (required): Record information about WEST materials in the library’s local integrated library system (ILS) or library services platform (LSP) and consortial ILS or LSP as appropriate for local needs.

• OCLC WorldCat (required): Record information in OCLC WorldCat about each title archived in WEST using OCLC’s shared print registration service to support resource sharing and global discovery.

• AGUA (required): Provide records of WEST archived materials to AGUA at the end of each WEST Archiving Cycle to support collection analysis within WEST and other shared print programs.

• PAPR (WEST-coordinated): WEST will forward these records to the Center for Research Libraries (CRL) Print Archives Preservation Registry (PAPR). Archive Holders should not provide records directly to CRL.

• JRNL (encouraged): Submit holdings and gap statements to the Journal Retention and Needs Listing (JRNL) tool to solicit replacement copies of missing or damaged volumes from other institutions.

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OCLC

Records for WEST retained materials are maintained on the archiving institution’s primary OCLC Institution Symbol. Archiving institutions are responsible for creating and maintaining Local Holdings Records (LHRs) in OCLC WorldCat and for registering those LHRs in OCLC as shared print to support broad discovery of these materials.
For those members who choose to have their retention commitments registered by WEST or CRL, this process will happen once per year in conjunction with the WEST disclosure period. For those who elect to self-register, updating your holdings in OCLC more frequently according to local needs and capacity is preferred in order to maintain their accuracy.

• OCLC Local Holdings Records (LHRs)
  For each retained title, create or update a “Local Holdings Record” (LHR) in OCLC to define the holdings archived, the print archiving program(s), retention commitment, and outcomes of validation as specified in the WEST Issue and Volume Level Validation Standards: see Appendix 1 for a detailed list of the LHR fields and subfields to include for WEST materials. Most of the print archiving information is recorded in the 583 Action Note, described above. Each LHR will include one, two, or three 583 Action Notes as appropriate for the Archive Type and any validation activities undertaken during archiving. For Silver and Gold titles, also update the record holdings statement(s) (i.e. 85x/86x formatted holdings or 866/867/868 summary holdings statement) to include an accurate description of volumes held based on the WEST validation for completeness. Institutions that perform any validation while archiving Bronze titles are strongly encouraged to include this information in the 583, and to update holdings statement(s) as appropriate.

• Batch creation of OCLC LHRs
  WEST encourages Archive Holders and Archive Builders to create the necessary OCLC LHRs through batch processing to the extent possible. This is especially true for Bronze titles, where the WEST principle of “appropriate level of archiving effort” indicates that libraries should not individually process the volumes and metadata for Bronze titles, but rather should use the least intensive means possible to identify Bronze holdings. LHRs are transferred using the MARC Format for Holdings Data (MFHD) standard. Details of how libraries may generate and export LHRs will vary depending on the library’s local system and available expertise.

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USU’s detailed workflow to edit LHR's and register WEST shared holdings in OCLC

Review OCLC LHR workflow if needed: OCLC LHR (local holdings record) Procedures

Bring up Sierra’s Holdings Record to refer to during LHR edit/checks:

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Well, it looks like we will need use OCLC’s WorldShare Record Manager instead of OCLC Browser:

• (First time use only: Request credentials for user name and password for OCLC WS Record Manager)

• Then log into WS here: https://2971.share.worldcat.org/wms/

• Choose Utah State University (if asked)

• Metadata (tab)

• Record Manager

• LHRs (dropdown)

• OCLC Number (dropdown)

• [copy/paste the OCLC number]

• Click Search

Then, click on call number in blue (if you click on the title to the right in blue, it opens the bib instead):

Which brings up this view (no dark mode yet) - but can be enlarged by Ctrl+

Check the Holdings Record and edit as necessary:

Fixed fields:

• Click on left arrow to expand:

• 000 (Leader) Encoding Level = 3

• 007 = t (text) a (regular print)

• 008

  • Receipt or Acquisition (usually) = 5 (not currently received) or 4 (currently received)

  • Retention Policy = 8 (permanent)

  • Reproduction Policy = a (will reproduce)

Variable fields:

• Make sure 863 shows the most current holdings (edit to match Sierra’s holdings)

• If holdings are in field 866 (edit to match Sierra’s), can also replace/update with 853/863

• If you need to delete the 866 field, after replacing it with 853/863; click the red circled minus symbol:

• Summary field at top of record should show: Local holdings available (but can we even edit this in WorldShare?)

Register that Holdings Record!

• Click Record;

• Shared Print Commitment;

• Add

• OCLC will automatically add a stubby version of the 583 field with:

  • Tag: 583

  • 1st indicator = 1 (public note)

  • 2nd indicator = blank

  • committed to retain ← just this portion is added by OCLC

    • So we will need to copy/paste the rest of the statement into the text of the field

    • Text to add:

      • $c 20221122 $d 20351231 $f WEST $f WEST Bronze $u https://www.cdlib.org/wp-content/uploads/2018/11/WESTProgramStatement.pdf

• Then Save the LHR.

WEST’s MARC field charts (a selection):

AGUA (see separate procedure)

WEST AGUA exports and uploads (biannual-2 kinds of different uploads: late spring & fall)

WEST’s Appendix 2 (sample holdings records)