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ImplementingThe HKUST Institutional Repository
Diana ChanHead of Reference
HKUST LibraryNov, 2005
2005 Library Conference: Balancing the External and Traditional Libraries at theTamkang University, TaiwanLibrary and Online Resources Technologies2005 Conference at Xiamen University, PRC
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Contents
1. Open Access and Institutional Repositories2. HKUST IR 3. Software Selection 4. Planning and Policies5. Strategies in Acquiring Content6. Challenges
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HKUST Opened in 1991 4 schools (SSCI,
SENG, SBM, HSS) 450 faculty, 5,500
UGs, 2,800 PGs Ranks 42 among the
top 200 universities (2004 The Times Higher Education Supplement)
Library: 22 librarians, 75 support staff
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1. Open Access and Institutional Repositories
Technological and social trends that lead to the Open Access Movement
Fruits of Open Access
What is an Institutional Repository?
Why create one?
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Technological Trends
Increasing ease of sharing documents via FTP and Web (HTTP)
Enables researchers to “publish” their research results (working papers, pre-prints, etc) in subject-specific, web-based open archives for faster and wider dissemination
Individual scholars or institutions post abstracts and full-text Social Science Research Network (SSRN) IDEAS – Working papers in Economics
The success of such collections led to the Open Archives Initiative (OAI) which promotes author self-archiving & interoperable standards for file sharing Major outcome: Open Archives Initiative Protocol for Meta Data
Harvesting (OAI-PMH)
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Social Trends
“Serials Crisis”Journal titles Increasing
+ Prices rising
+ Library budgets cut
= Market dysfunction (since the 1980’s)
Source ARL Statistics: Monographs and Serials Costs in ARL Libraries, 1986-2003
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Open Access Movement Example
“Expand competition & support Open Access to address high & rising journal costs”
Scholarly Publishing and Academic Resources Coalition (SPARC) Sponsored by Association of Research Libraries Endorsed by many different groups: Assoc. of American Universities, Assoc. of
Universities and Colleges of Canada, Australian Vice-Chancellors Committee, etc.
Founded in 1997 to correct market dysfunction in scholarly publishing
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A Fruit of OA Movement:
Open Access Journals Refereed or peer reviewed
Emerging Infectious Diseases
Journal of Machine Learning Research
More in Directory of Open Access JournalsMore in Directory of Open Access Journals ( (DOAJ)
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A Fruit of OA Movement: OAIster
One searchable interface for open archives from 536 academic institutionsOne searchable interface for open archives from 536 academic institutions 5.9 million documents: articles from Open Access journals; working 5.9 million documents: articles from Open Access journals; working papers, discussion papers, & conference papers; dissertations & theses papers, discussion papers, & conference papers; dissertations & theses
+ All of the above & more from + All of the above & more from Institutional RepositoriesInstitutional Repositories
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A Fruit of OA Movement:Institutional Repositories
Development of IRs gained momentum with the release of two open source systems: Eprints (U of Southampton) DSpace (MIT)
Examples of Individual IRsAustralian National University Eprint
RepositoryeScholarship Repository (U of California)CalTech CODA
Institutional Archives Registry (468 as of Oct 5, 2005)
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What is an Institutional Repository (IR)?
A “digital collection capturing and preserving the intellectual output of a single or multi-university
community”. - Adopted from “The case for institutional repositories: a SPARC
position paper” prepared by Raym Crow. - <http://www.arl.org/sparc/IR/ir.html>
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Why Create the IR?
Budapest Open Access Initiative
http://www.soros.org/openaccess/index.shtml
Recommends 2 Strategies:
1. Self-archiving in Open Electronic Archives
2. Open Access Journals
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Dual Open-Access Strategy
BOAI-2 ("gold"): Publish your article in a suitable open-access journal whenever one exists.
BOAI-1 ("green"): Otherwise, publish your article in a suitable toll-access journal and also self-archive it.
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Must Satisfy Two Conditions
The author…grants to all users a free …right of access to, and a license to copy, use, distribute, transmit and display the work publicly …
A complete version of the work is deposited in…at least one online repository- From the Berlin Declaration
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Why We Created an IR at HKUST
To create a permanent record of the scholarly output of HKUST
To make available and disseminate the scholarly output of HKUST in a free and interoperable digital format
To help the international Open Access effort. Because the mission of disseminating knowledge is only half complete if it is not widely and readily available to society.
- Adapted from the Berlin Declaration
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2. HKUST Institutional Repository
Collects, disseminates, and preserves in digital format the scholarly output of the HKUST community
Uses DSpace software, OAI-PMH compliant, supports Chinese
Easily discovered by Internet search engines and indexing tools
http://library.ust.hk/repository/
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Total Number of Documents
Collection Size %
Conference Papers 579 26
Working Papers, Technical Reports, Research Reports,
Pre-prints
534 25
Journal Articles 493 23
Doctoral Theses 394 18
Patents 58 3
Presentations 56 2
Book Chapters 37 2
Miscellaneous 8 1
Total 2,159 (incl. 100 duplicates)
As of Oct 5, 2005
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Contributors by Department(as of Oct 5, 2005)
COMP21%
SBM13%
HSS&SOSC6%
OTHER12%
OTHER ENG8%
ELEC13%
MECH7%
MATH6%
PHY5%
OTHER SCI
9%
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Home Page of the HKUST Institutional Repository
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Browsing by Communities and Collections
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Communities in HKUST IR Accounting Advanced Engineering
Materials Facility Applied Technology Center Atmospheric, Marine and
Coastal Environment Program Biochemistry Biology Center for Enhanced Learning
and Teaching Centre for Display Research Chemical Engineering Chemistry Civil Engineering Computer Science Economics Electrical and Electronic
Engineering
Finance Humanities Industrial Engineering and
Engineering Management Information and System
Management Institute of Nano Science and
Technology Language Center Library Management of Organizations Marketing Mathematics Mechanical Engineering Physics Social Science
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kwok y
To Find Papers by Authors
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Click to see full text
The View of an IR Record
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Full Text in pdf Format
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Fill in keywords and click Search
To Search in IR
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Put in your UST account name and password
To Submit A Paper
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Fill in the form, click the “Submit” button at the bottom of the page
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You will receive a confirmation email
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Access Data
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3. Software Selection
The July/August 2004 issue of Library Technology Reports
on IR systems and functional requirements
We followed CalTech’s model and based our IR on open source software and with OAI-PMH interface.
We evaluated 2 IR systems: EPrints and DSpace
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DSpace
Jointly developed by MIT Libraries and Hewlett-Packard Company
Open source software Released on Sourceforge during
our system evaluation period in late December 2002
Written in Java, with PostgreSQL database, Lucene search engine, and a Tomcat web servlet container
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DSpace
We chose DSpace in 2003 because:DSpace began the development with the
experience gained from EPrints - the first and most popular open source IR software at that time
EPrints did not have full support on Unicode and is not Java- and servlet-based
Both EPrints and DSpace are open source software, fulfill our functional requirements, and follow state-of-the-art library standards
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Current Configuration of HKUST IR
As of Oct 5, 2005,
Home URL: http://repository.ust.hk/IR Software: DSpace Version 1.2.1System Software: Fedora Core 2 Linux; Tomcat
5.0.28;JDK1.4.2_05
Server: Intel Pentium 4 2.4GHz, 2GB RAM
Content: 2,059 documents from 40 communities
Usages: Documents were accessed 5,792 times in September 2005
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Major Features
Data structureDocument submission formAdd item formCJK supportOAI data providerSRW/U interface
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Data Structure Document Types
journal articles, theses, etc,Document Formats
Mainly PDF files; also contains PowerPoint filesDSpace data model
Communities (and sub-communities) Collections Items
MetadataBundles of bitsteams
HKUST implementation: Items are grouped by Departments (i.e. communities) then by Document Types (i.e. collections).
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Document Submission Form
Faculty are not willing to do self-submissionDSpace’s submission and workflow functions
are too lengthyIn need of a simple and effortless submission
form - as a quick medium for submitting documents
Written in PerlSubmitted data stored in DSpace “Simple
Archive Format”
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Add Item Form
Is a locally developed JSP application to add items to DSpace by library staff
Allows staff to:Create new item from scratchEnhance the metadata from faculty
submission and then add the item to DSpace
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CJK Support
CJK (Chinese, Japanese, Korean) SupportDSpace supports Unicode
Problem - Lucene search engine is unable to search by CJK charactersSolved by replacing DSpace’s Tokenizer with a
CJKTokenizer - but has an interesting side effect
Problem - URL of query containing CJK characters is not properly encodedSolved by setting Tomcat URIEncoding="UTF-8"
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OAI Data Provider
DSpace is OAI-compliantThis means that OAI harvesters can easily
collect the metadata (in Dublin Core format) from various IRs (including HKUST’s) for their added-value indexing/searching services.
For example: OAIsterOAI Path to IR at HKUST:
http://repository.ust.hk/dspace-oai/request?
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http://repository.ust.hk/dspace-oai/request?verb=GetRecord& ... 1783.1/1805
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SRW/U Interface
Search and Retrieval for the Web (or by URL)Retain core functionality of Z39.50 but in the
form of web servicesThis means search service providers can
broadcast a search to various IRs and deliver the search results in their own GUI interface
SRW/U Interface for the IR at HKUSTBased on OCLC’s SRW/U softwareURL: http://repository.ust.hk/SRW/
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The result of a SRW/U search, with XSLT transformation
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Enhancements to DSpace
Document submission formCJK searching problemSubscript and superscript problemNumber of items displayedAccess dataTop 20Recommend an item linkFaculty & staff link
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4. Planning and Policies
Task Force – software, scope, policies, database structure, problems, action plans
Information Services Committee – guidelines on publications, publishers’ policies, data formats, faculty concerns.
Library Administrative Committee – problems, issues, final decision, strategies.
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Work Team – Subject Librarians
LiaiseWith
FacultyCheck
PubList
AscertainPubs’
PoliciesVerify
DocumentVersion
HarvestDocument
IndexDocument
To DataEntry Staff
Incorrect Version
CorrectVersion
Dr. Samson Soong & Subject librariansCorrect
Version
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Work Team – Data Entry Staff
Verify and ConvertPDF Documents
Input MetadataUsing Submission Form
Set PDF Document Security &Properties. Add Watermark for
Pre-published Version
Final Review
Add Items to Repository
Proof-Read
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Guidelines on Different Publications
Type Copyright Action
Book chapter Publisher Need permission
Book Publisher, 50 years Need permission
Conf paper Author Can archive
Conf proceed. Publisher Need permission
US Patent Public Domain
Author
Can archive
US Patents
Working Paper, Technical Report
Author Can archive
Presentation Author Can archive
Standard Issuing Organization No
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SHERPA Summary of Publishers' Policies
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Guidelines on Journal Articles
Version Available
On hand
Publisher’s PolicyNo
Arch.Pub’s Pre-
Ref’ed
Post-
Ref’ed
Both All Not
Specified
Pre-
Refereed
Version
No Yes Yes Yes Yes Yes Ask
Pub
Post-
Refereed
Version
No Yes No Yes Yes Yes Ask
Pub
Publisher’s
VersionNo Yes No Ask
FacultyAsk Faculty
Yes Ask
Pub
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Guidelines on Publishers’ Policies
Studied publishers’ copyright & self-archiving policies (SHERPA/RoMEO , Stevan Harnad’s and publishers’ websites)
Constructed our own table for reference Printout of publishers’ copyright statements and
date-stamped Noted their acknowledgement or credit
requirement
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Credit to Publisher
In the Rights field of a record:
APS copyright statement:"[Journal title] © copyright (year) American Physical Society. The Journal's web site is located at http://....."
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Other Policies
Withdrawal Replacing VersionsCooperation with User GroupsAuthority Control IndexingRights and Acknowledgement
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5. Strategies in Acquiring Content
Our logics
How to Acquire by Type of Document?
How to Use Different Channels?
Sustainable Growth
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Logics Behind our Strategies
The research output is the University’s intellectual property
Create a critical mass of papers Copyright and self-archiving rights are our
concerns Ascertain publishers’ policies Ask permission from authors and publishers
Deal with publications which are easier to obtain and sources which are more accessible Those posted on the web Those from publishers allowing published
versions
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How to Acquire by Type of Document?
1. Working Papers, Technical Reports, Research Reports
2. Conference Papers3. Conference Presentations4. Theses5. Book Chapters6. Peer-reviewed Journal Articles7. Open Access Journal Articles
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Sources of Scholarly Content
ScholarlyContent
Researchers
JournalsPublishers
Web
LibraryCollection
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Copyright VS. Self-Archiving RightsCopyrighted
Journal articles, book chapters, conference proceedings, theses, presentations
Non-copyrighted
Working papers, technical reports
Archivable University Author’s
Owned Permission
Author Author’s
Owned Permission
Publisher Publisher’s &
Owned Author’s
Permission
Author’s permission
Department’s
Permission
Non-archivable
Selected items to ask for author’s & publisher’s permission
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Journal Articles
Journal Article
Check Author’sArchiving Rights
Harvest from The Web
Ask Author
AskPublisher
Deposit Into IR
Yes Pre-refereedOr Post-refereedVersionYes Publisher’s
Version
No or Unclear
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How to Use Different Channels?
1. Self Submission2. Harvest from Websites (departmental, faculty,
research centers)3. Library Collection
Conference proceedings Theses and dissertations University Archives
4. Harvest from the Source (databases, E-journals, Open Access publications)
5. Publishers6. Liaisons with Faculty, departments, research centers7. Public Relations
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Electronic Thesis Approval Form
Student Agreement:
I hereby grant to the Hong Kong University of Science and Technology Library the non-exclusive right to archive my thesis in digital format, and make it freely accessible, such as over the Internet.
Signed: Date:
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Publisher’s policy: Emerald
Emerald’s Principles on Copyright
Emerald seeks to retain copyright of the articles it publishes, without the authors giving up their rights to use their own material. Authors are not required to seek permission to re-use their own work. As an author you can use your paper in part or in full,…in another article written for us or another publisher, on your website, or any other use, without asking us first.
http://ninetta.emeraldinsight.com/pdfs/jarform.pdf
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0
200
400
600
800
1000
1200
1400
1600
1800
May Jul Sep Nov Jan Mar May July Sep
No.
of D
ocum
ents
2003 2004
Collection Growth Milestones
105 CS technical reports
116 papers from faculty websites
53 patents
110 theses + 211 working papers
96 CS papers
35 papers with publishers' permission
142 conference papers
50 IOP papers
79 Univ. Archives
83 Research Centers
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Towards Sustainability for the HKUST Institutional Repository
How to make the submission to IR part of the publication process?Seeking permission from faculty to archive
papers supported by RGC grants
making use of the OCGA Research Output report process, a checkbox is added to the report form to denote agreement to archiving in IR – 100+ papers was received in the summer 2005.
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6. Challenges - Faculty
Low awareness of Open Access Concern over copyright issues Apathy in self submission Lack of willingness to negotiate on non-exclusive
rights or self-archiving rights Lack of willingness to provide the right versions
of documents (pre- or post-refereed) Only a small % of their scholarly work can be
archived
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Example of a Faculty Retaining Self Archiving Rights
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Challenges - Institution
Needs to make a commitment to deposit all research output with the Institutional Repository
Needs to give financial support to faculty who submit papers to open access journals
Needs to give financial support to the Library for archiving work
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Challenges - Publishers
In SHERPA project, 73 out of 107 publishers (68%) allow some sort of archiving, as of Nov’04
Many have no policy (Camford, Genetic Society of America)
Many have an unclear policy Need to include self-archiving into license
agreements with publishers
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Challenges – Library
Provide support for university research self-archiving
Promote the IR Educate users and faculty about the IR Showcase the IR Find champions and partners Seek institutional commitment and support Harvest documents Make self submission a part of faculty’s
publication reporting system
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Challenges - Librarians
System Evaluation Formulating and interpreting policies
Internal and publishers’ policies
Content Recruitment Advocacy
Education Advisory Perceived benefits Public relations
Use Assistance
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References and Additional Resources
Chan, Diana L.H. (2004) “Managing the challenges : acquiring content for the HKUST Institutional Repository” International conference on developing digital institutional repositories : experiences and challenges, Hong Kong, December 9-10, 2004, California Institute of Technology Libraries and the Hong Kong University of Science and Technology Library, available at http://hdl.handle.net/1783.1/1973 (accessed September 24, 2005)
Chan, Diana L.H. (2004) “Strategies for acquiring content : experiences at HKUST” International conference on developing digital institutional repositories : experiences and challenges, Hong Kong, December 9-10 2004, California Institute of Technology Libraries and the Hong Kong University of Science and Technology Library, available at: http://hdl.handle.net/1783.1/1974 (accessed September 24, 2005)
Chan, Diana L. H., Kwok, Catherine S. Y., Yip, Stephen K. F. (2005) “Changing roles of reference librarians : the case of HKUST Institutional Repository.” Reference Services Review, Vol. 33, No. 3, pp.268-282, available at http://hdl.handle.net/1783.1/2039 (accessed September 24, 2005)
Crow, Raym. (2002) “SPARC Institutional repository checklist and resource guide” The Scholarly Publishing & Academic Resources Coalition, November.
Crow, Raym. (2002) “The case for institutional repositories: a SPARC position paper”, available at http://www.arl.org/sparc/IR/ir.html (accessed September 24, 2005)
Gibbons, Susan. (2004) “Establishing an institutional repository” Library Technology Reports, July/August, Vol. 40 No. 4, pp. 5-67.
Lam, Ki-Tat. (2004) “DSpace in action: implementing the HKUST Institutional Repository system“ International Conference on Developing Digital Institutional Repositories : Experiences and Challenges, Hong Kong, December 9-10, 2004, California Institute of Technology Libraries and the Hong Kong University of Science and Technology Library, available at http://hdl.handle.net/1783.1/2023 (accessed September 24, 2005)
Special issue on reference librarians and institutional repositories (2005). Reference Services Review, vol. 33, no.3. pp. 259-346.
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