10 December, 2004 1 Strategies for Acquiring Content Experiences at HKUST By Diana Chan Head of Reference Head of Reference The Hong Kong University of.

10 December, 200410 December, 2004 11

Strategies for Acquiring ContentStrategies for Acquiring ContentExperiences at HKUSTExperiences at HKUST

By Diana ChanBy Diana Chan Head of ReferenceHead of Reference

The Hong Kong University of Science and Technology LibraryThe Hong Kong University of Science and Technology [email protected]@ust.hk

International Conference on Developing Digital Institutional

Repositories: Experiences and Challenges December 9-10, 2004, Hong Kong

Srategies for Acquiring Content: Experiences at HKUST / Diana ChanSrategies for Acquiring Content: Experiences at HKUST / Diana Chan 22

Table of ContentsTable of Contents

What is the Most Difficult?What is the Most Difficult? How to Use Different Channels to How to Use Different Channels to

Acquire?Acquire? What Works & What Doesn’t Work?What Works & What Doesn’t Work? How to Improve?How to Improve? Are these Strategies Sustainable?Are these Strategies Sustainable?


What is The Most Difficult?What is The Most Difficult?

““Recruitment of content, not technology, is Recruitment of content, not technology, is the greatest barrier to success.”the greatest barrier to success.” Susan Gibbons, “Establishing an IR” Library Susan Gibbons, “Establishing an IR” Library

Technology Reports, July/August 2004, p.14Technology Reports, July/August 2004, p.14

A survey of 45 IRs found that the average A survey of 45 IRs found that the average number of documents per repository was number of documents per repository was only 1,265 (Ware, 2004b)only 1,265 (Ware, 2004b)


Questions from FacultyQuestions from Faculty When I submit a paper to conference When I submit a paper to conference

proceedings or a journal, I am usually proceedings or a journal, I am usually asked to assign the copyright to the asked to assign the copyright to the journal as a condition of publication. Are journal as a condition of publication. Are you saying that I don't need to do this, or you saying that I don't need to do this, or can negotiate around it ? can negotiate around it ?

If I put a pre-refereed article in the If I put a pre-refereed article in the Repository, is this not equivalent to self-Repository, is this not equivalent to self-publishing? Could this jeopardise the publishing? Could this jeopardise the chances of it not being accepted by a chances of it not being accepted by a journal?journal?


Logics Behind our StrategiesLogics Behind our Strategies The research output is the University’s The research output is the University’s

intellectual propertyintellectual property Create a critical mass of papers Create a critical mass of papers

SizeSize SpeedSpeed

Copyright and self-archiving rights are our Copyright and self-archiving rights are our concernsconcerns

Ascertain publishers’ policiesAscertain publishers’ policies Ask permission from authors and publishers Ask permission from authors and publishers

Deal with publications which are easier to Deal with publications which are easier to obtain and sources which are more accessible obtain and sources which are more accessible

Those posted on the web Those posted on the web Those from publishers allowing published versionsThose from publishers allowing published versions


How to Acquire by Type?How to Acquire by Type?

1.1. Working Papers, Technical Reports, Working Papers, Technical Reports, Research ReportsResearch Reports

2.2. Conference PapersConference Papers3.3. Conference PresentationsConference Presentations4.4. ThesesTheses5.5. Book ChaptersBook Chapters6.6. Peer-reviewed Journal ArticlesPeer-reviewed Journal Articles7.7. Open Access Journal ArticlesOpen Access Journal Articles


Sources of Scholarly ContentSources of Scholarly Content

ScholarlyContent

Researchers

JournalsPublishers

Web

LibraryCollection


Copyright VS. Self-Archiving RightsCopyright VS. Self-Archiving RightsCopyrightedCopyrighted

Journal articles, book chapters, Journal articles, book chapters, conference proceedings, theses, conference proceedings, theses, presentationspresentations

Non-copyrightedNon-copyrighted

Working papers, Working papers, technical reportstechnical reports

ArchivableArchivable University University Author’sAuthor’s

Owned Owned PermissionPermission

Author Author Author’s Author’s

Owned Owned PermissionPermission

Publisher Publisher Publisher’s &Publisher’s &

Owned Owned Author’sAuthor’s

PermissionPermission

Author’s permissionAuthor’s permission

Department’sDepartment’s

PermissionPermission

Non-Non-archivablearchivable

Selected items to ask for Selected items to ask for author’s & publisher’s author’s & publisher’s permissionpermission


Journal ArticlesJournal ArticlesJournal Article

Check Author’sArchiving Rights

Harvest from The Web

Ask Author

AskPublisher

Deposit Into IR

Yes Pre-refereedOr Post-refereedVersionYes Publisher

Version

No or Unclear


How to Use Different Channels How to Use Different Channels to Acquire?to Acquire?

1.1. Self Submission Self Submission 2.2. Website (Departmental, Personal, RC)Website (Departmental, Personal, RC)3.3. HKUST Library Collection – Conference HKUST Library Collection – Conference

ProceedingsProceedings4.4. HKUST Library Collection - Electronic ThesesHKUST Library Collection - Electronic Theses5.5. HKUST Library Collection - University ArchivesHKUST Library Collection - University Archives6.6. Databases, E-journals & Open Access Databases, E-journals & Open Access

PublicationsPublications7.7. PublishersPublishers8.8. Liaisons with Faculty & DepartmentsLiaisons with Faculty & Departments9.9. Public RelationsPublic Relations


1. Self Submission1. Self Submission

Emailed faculty to encourage direct submissionEmailed faculty to encourage direct submission Result: 3 papersResult: 3 papers

Emailed faculty in science and engineering to self-Emailed faculty in science and engineering to self-archive post-refereed versions of papers (IEEE, ACM, archive post-refereed versions of papers (IEEE, ACM, AIP, APS, ASM)AIP, APS, ASM)

Result: 6 papersResult: 6 papers Today: 37 papersToday: 37 papers Invited Ph.D. students direct submission on Nov 15, Invited Ph.D. students direct submission on Nov 15,

20042004 9, still coming9, still coming

Not an effective way as we require their helpNot an effective way as we require their help


2. Harvest from Websites2. Harvest from Websites

Papers posted on faculty’s and research centers’ Papers posted on faculty’s and research centers’ websiteswebsites

Many are not compliant with publishers’ policiesMany are not compliant with publishers’ policies

From Faculty’s websitesFrom Faculty’s websites Sought permission from 80 facultySought permission from 80 faculty Harvested the right version of paperHarvested the right version of paper Requested post-refereed version from those facultyRequested post-refereed version from those faculty Result: 144 papers acquiredResult: 144 papers acquired Result: 13 faculty gave permission to archive all their papersResult: 13 faculty gave permission to archive all their papers Result: 40 presentationsResult: 40 presentations Problem: Many do not keep pre-published versionsProblem: Many do not keep pre-published versions


2. Harvest from Websites2. Harvest from Websites

From Research Centers’ WebsitesFrom Research Centers’ Websites 34 Research Centers with many full-text 34 Research Centers with many full-text

paperspapers Contacted Center Directors’ for permissionContacted Center Directors’ for permission Result: Harvested 83 papersResult: Harvested 83 papers Problems: Selective harvesting – some are Problems: Selective harvesting – some are

publisher’s version, non-scholarly, non-UST publisher’s version, non-scholarly, non-UST authors, broken links, duplicates, etc.authors, broken links, duplicates, etc.

Effective but complicated processEffective but complicated process


3. Library Collection –3. Library Collection –Conference proceedingsConference proceedings

Conference ProceedingsConference Proceedings 50 conferences held on campus50 conferences held on campus For those published by HKUST and with copyright For those published by HKUST and with copyright

owned owned • Sought permission from faculty Sought permission from faculty • 107 papers (84% success rate)107 papers (84% success rate)

For those copyright owned by publishersFor those copyright owned by publishers• Sought permission from publishersSought permission from publishers• 35 papers (54% success rate)35 papers (54% success rate)

Result: Scanned 142 out of 193 conference papers Result: Scanned 142 out of 193 conference papers (74% success rate)(74% success rate)

Effective but small numberEffective but small number


3. Library Collection –3. Library Collection – Conference Proceedings Conference Proceedings

Publishers Giving Permission include:Publishers Giving Permission include:• Hong Kong Society for Transportation Studies Hong Kong Society for Transportation Studies • International Society for Decision Support Systems International Society for Decision Support Systems • Trans Tech Publishing Trans Tech Publishing • World Scientific World Scientific

Authorization from Trans Tech Publications – 18 Authorization from Trans Tech Publications – 18 conference papersconference papers

““Thank you for your email. We would like to grant you permission to Thank you for your email. We would like to grant you permission to publish these papers online in your HKUST Library. All papers publish these papers online in your HKUST Library. All papers should have appropriate citation information about when and where should have appropriate citation information about when and where they were published. Kind regards, Trans Tech Publications”they were published. Kind regards, Trans Tech Publications”


4. Library Collection – 4. Library Collection – Electronic ThesesElectronic Theses

Master’s and PhD’s Theses are collected by the Library Master’s and PhD’s Theses are collected by the Library in both paper and electronic copies.in both paper and electronic copies.

The Electronic Theses Database provides the meta data, The Electronic Theses Database provides the meta data, abstracts and full-text of these theses. Remote access to abstracts and full-text of these theses. Remote access to the full-text is only available to those theses permitted by the full-text is only available to those theses permitted by the authors the authors

Strategies: Strategies: Identified open-access PhD theses Identified open-access PhD theses Obtained permissions for other thesesObtained permissions for other theses

Result: Uploaded 110 open access theses, obtained Result: Uploaded 110 open access theses, obtained permission from 129 alumni, added new ones. Total:306permission from 129 alumni, added new ones. Total:306

Effective meansEffective means


Electronic Thesis Approval FormElectronic Thesis Approval Form

Student Agreement:Student Agreement:

I hereby grant to the Hong Kong University I hereby grant to the Hong Kong University of Science and Technology Library the of Science and Technology Library the non-exclusive right to archive my thesis in non-exclusive right to archive my thesis in digital format, and make it freely digital format, and make it freely accessible, such as over the Internet.accessible, such as over the Internet.

Signed:Signed: Date:Date:


5. Library Collection – 5. Library Collection – University ArchivesUniversity Archives

Publications, monographs, research reports, conference papers, Publications, monographs, research reports, conference papers, and symposiums by faculty and departments are deposited at the and symposiums by faculty and departments are deposited at the University ArchivesUniversity Archives

These archival materials are available in hardcopy format. These archival materials are available in hardcopy format. Strategy: Identify what archival materials can be depositedStrategy: Identify what archival materials can be deposited Result: 79 papers were given permissions from faculty to be Result: 79 papers were given permissions from faculty to be

scannedscanned Publications excluded: Confidential reports, Administrative reports, Publications excluded: Confidential reports, Administrative reports,

Research reports done for a third party under a contract, Research reports done for a third party under a contract, MonographsMonographs

Effective way but small numberEffective way but small number

Surprise - Discovered many pre-published papers submitted by Surprise - Discovered many pre-published papers submitted by faculty to Research Grants Council of Hong Kongfaculty to Research Grants Council of Hong Kong


6. Harvest from the Source6. Harvest from the Source

Open Access: DOAJ, PubMed Central,Open Access: DOAJ, PubMed Central, Public Domain: US PatentsPublic Domain: US Patents Publishers with Liberal Policies (publisher’s version): Publishers with Liberal Policies (publisher’s version):

Emerald, CUP, IOP, ASM…Emerald, CUP, IOP, ASM… Strategy: Identify, harvest, seek permissionStrategy: Identify, harvest, seek permission Result: 200+Result: 200+

53 US Patents53 US Patents 21 from Emerald21 from Emerald 10 from DOAJ10 from DOAJ 100+ from ASM, CUP, IOP, PJOM, AMS, IMS, SIAM100+ from ASM, CUP, IOP, PJOM, AMS, IMS, SIAM

Effective wayEffective way


Example: Emerald’s PolicyExample: Emerald’s Policy

3. Emerald’s Principles on Copyright3. Emerald’s Principles on Copyright

Emerald seeks to retain copyright of the articles it Emerald seeks to retain copyright of the articles it publishes, publishes, without the authors giving up their rights to without the authors giving up their rights to use their own materialuse their own material. Authors are not required to seek . Authors are not required to seek permission to re-use their own work. As an author permission to re-use their own work. As an author you you can use your papercan use your paper in part or in full,…in another article in part or in full,…in another article written for us or another publisher, written for us or another publisher, on your websiteon your website, or , or any other use, any other use, without asking us first.without asking us first.

http://http://ninetta.emeraldinsight.com/pdfs/jarform.pdfninetta.emeraldinsight.com/pdfs/jarform.pdf


7. Publishers7. Publishers

Wrote to 40 publishers, 19 approved for 123 papersWrote to 40 publishers, 19 approved for 123 papers Big - IEEE, OUP, Sage, Springer, Wiley, etc.Big - IEEE, OUP, Sage, Springer, Wiley, etc. Small – GuilfordSmall – Guilford Association or society – AMA, ASME, ASBMB, SIDAssociation or society – AMA, ASME, ASBMB, SID Local – HK Inst of EngineersLocal – HK Inst of Engineers

Those permitted: allowed publisher’s version but with Those permitted: allowed publisher’s version but with acknowledgementacknowledgement

Those not permitted: link to their records, abstracts, Those not permitted: link to their records, abstracts, author’s site, intranet, etc.author’s site, intranet, etc.

Not an effective way, at least we tried!Not an effective way, at least we tried!



Publisher Replied Yes – Publisher Replied Yes – Society for Information DisplaySociety for Information Display – 32 papers– 32 papers

““You may post this to your site with the following statement: You may post this to your site with the following statement: Copyright 2003 Society for Information Display. This Copyright 2003 Society for Information Display. This paper is made available with permission of the Society paper is made available with permission of the Society for Information Display. for Information Display. One print or electronic copy may One print or electronic copy may be made for personal use only.be made for personal use only. Systematic or multiple Systematic or multiple reproduction, distribution to multiple locations via reproduction, distribution to multiple locations via electronic or other means, duplication of any material in electronic or other means, duplication of any material in this paper for a fee or for commercial purposes, or this paper for a fee or for commercial purposes, or modification of the content of the paper are prohibited. modification of the content of the paper are prohibited. Sincerely, Sincerely, SIDSID””



Publisher Replied No – ASBMBPublisher Replied No – ASBMB

““The ASBMB prefers that you link directly to The ASBMB prefers that you link directly to the article on the HighWire site. This way the article on the HighWire site. This way we can guarantee the integrity of the pdf. we can guarantee the integrity of the pdf. Permission is granted to link from your site Permission is granted to link from your site directly to the articles. Best regards. directly to the articles. Best regards. ASBMB“ASBMB“


8. Liaisons with Faculty & Departments8. Liaisons with Faculty & Departments

Contacted departments for working papersContacted departments for working papers Obtained 7 series of WP/TR/RR from 5 departments. Obtained 7 series of WP/TR/RR from 5 departments. Result = 396Result = 396

Contacted faculty for pre-published version of Contacted faculty for pre-published version of paperspapers A CS professor will give us all of his papers in his A CS professor will give us all of his papers in his

hard drive – 40?hard drive – 40? Offered idea to contact Ph.D. studentsOffered idea to contact Ph.D. students

Effective meansEffective means


9. Public Relations Activities9. Public Relations Activities

Media/Press Release Media/Press Release Articles in Library newsletter (Articles in Library newsletter (Notes from the LibraryNotes from the Library) ) University newsletter (University newsletter (GenesisGenesis)) Local newspaper (Local newspaper (Tai Kung PaoTai Kung Pao)) International newspapers (International newspapers (Chronicle of Higher Chronicle of Higher

EducationEducation, , GuardianGuardian))

Membership Membership OAISTerOAISTer Google/DspaceGoogle/Dspace Registry of Open Access IR ArchivesRegistry of Open Access IR Archives


9. Public Relations Activities9. Public Relations Activities

Institutional EventsInstitutional Events Anniversary Celebration: Prizes to top 10 contributorsAnniversary Celebration: Prizes to top 10 contributors

• Faculty agreed to give pre-published versionFaculty agreed to give pre-published version• A department agreed to pass on all Ph.D survey papersA department agreed to pass on all Ph.D survey papers• Faculty suggested of contacting dept headsFaculty suggested of contacting dept heads

Publishing WorkshopPublishing Workshop• Announcement to researchersAnnouncement to researchers

Increased public awareness; faculty became Increased public awareness; faculty became more receptive and cooperative; new ideasmore receptive and cooperative; new ideas


Total # of DocumentsTotal # of DocumentsCollection Collection SizeSize Community, SizeCommunity, Size

Working Papers, Technical Working Papers, Technical Reports, Research Reports, Reports, Research Reports, Pre-printsPre-prints

493493 MARK 142MARK 142

COMP 108, 56, MATH 10COMP 108, 56, MATH 10

Conference PapersConference Papers 411411 COMP 94COMP 94

ThesesTheses 311311 CHEM 40CHEM 40

Journal ArticlesJournal Articles 281281 MATH 53MATH 53

Patents Patents 5252 ELEC 19ELEC 19

PresentationPresentation 4949 MATH 30MATH 30

Book ChaptersBook Chapters 3333 LANG 24LANG 24

Misc.Misc. 66 MATH 4MATH 4

OthersOthers 11 Cyberspace Center 1Cyberspace Center 1

TotalTotal 1,6371,637 As of Nov 18, 2004As of Nov 18, 2004


A Long Way to GoA Long Way to Go

Web of Science:Web of Science: HKUST authorship: 8,000 for last 13 yearsHKUST authorship: 8,000 for last 13 years IR: Archived 1,600 (20%), 300 journal articles IR: Archived 1,600 (20%), 300 journal articles

(4%)(4%) How to fill the gap?How to fill the gap?


What Works?What Works?

We do everything for the faculty, then they will We do everything for the faculty, then they will nod their heads, e.g.nod their heads, e.g. Harvesting papersHarvesting papers Checking what can be archivedChecking what can be archived Obtaining permissions from publishersObtaining permissions from publishers Proxy ArchivingProxy Archiving Scanning the papersScanning the papers

Opt-Out StrategyOpt-Out Strategy If you don’t object by when, we’ll take the liberty to If you don’t object by when, we’ll take the liberty to

post your paperpost your paper


What Doesn’t Work?What Doesn’t Work?

Ask them for pre-refereed or post-refereed Ask them for pre-refereed or post-refereed paperspapers

Requiring them to submit to IRRequiring them to submit to IR Request them to negotiate with publishers Request them to negotiate with publishers

to retain self-archiving rightsto retain self-archiving rights


How to Improve?How to Improve?

How to increase direct submission?How to increase direct submission? How to continue to harvest from websites of faculty for How to continue to harvest from websites of faculty for

new work and of new faculty?new work and of new faculty? How to link up to the research output tracking system?How to link up to the research output tracking system? How to be notified of new conferences held on campus?How to be notified of new conferences held on campus? EDTs – automatic mechanism is built-inEDTs – automatic mechanism is built-in How to be notified of new publications from University How to be notified of new publications from University

Archives?Archives? How to keep on harvesting from sources of open How to keep on harvesting from sources of open

access?access? How to negotiate with publishers?How to negotiate with publishers? How to continue to liaise with faculty and departments?How to continue to liaise with faculty and departments? More PR?More PR?


How to Improve ?How to Improve ?

ScholarlyContent

Researchers

JournalsPublishers

Web

LibraryCollection

How to keep on harvesting openaccess publications?

How to negotiate with

publishers?

How to liaise with faculty?

More PR?

How to increase self submissio

n? How to keep informed

of new conferences

held on campus?

How to harvest for new work?

How to link up to their research output tracking

system?


Are the Strategies Sustainable?Are the Strategies Sustainable?

Our faculty need to report annually to the Our faculty need to report annually to the Research Output Collection SystemResearch Output Collection System

If this System can include a checkbox to If this System can include a checkbox to indicate that reported publication can be indicate that reported publication can be deposited into the Repository, self-deposited into the Repository, self-archiving can become automatic on an archiving can become automatic on an annual basis.annual basis.

Help faculty to change their work practicesHelp faculty to change their work practices



Institutional CommitmentInstitutional Commitment

Swan and Brown (2004) JISC/OSI Swan and Brown (2004) JISC/OSI Journal Authors Survey ReportJournal Authors Survey Report

69% of 160 sampled authors stated that 69% of 160 sampled authors stated that they would willingly self-archive all of their they would willingly self-archive all of their articles if required to do so by their funders articles if required to do so by their funders or their employers.or their employers.



Continue to Educate, Negotiate, ArchiveContinue to Educate, Negotiate, Archive


Questions for DiscussionQuestions for Discussion

1.1. What are the disciplinary differences in What are the disciplinary differences in how faculty respond? how faculty respond?

2.2. What are their technical support needs? What are their technical support needs?

3.3. How to establish a program of ETDs? How to establish a program of ETDs?

10 December, 2004 1 Strategies for Acquiring Content Experiences at HKUST By Diana Chan Head of Reference Head of Reference The Hong Kong University of.

Documents

content experiences

hkust diana chan

recruitment of content

publishers policies

permission author authors

publishers deal

b slide

conference papers