9 December, 2004 Managing the Challenges Acquiring Content for the HKUST Institutional Repository Managing the Challenges Acquiring Content for the HKUST.

9 December, 20049 December, 2004

Managing the ChallengesManaging the ChallengesAcquiring Content for the HKUST Acquiring Content for the HKUST

Institutional RepositoryInstitutional Repository

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

Managing the Challenges: Acquiring Content for the HKUST IR / Diana ChanManaging the Challenges: Acquiring Content for the HKUST IR / Diana Chan 22

Table of ContentsTable of Contents

1.1. Planning and PoliciesPlanning and Policies

2.2. Work TeamsWork Teams

3.3. Acquiring ContentAcquiring Content

4.4. ChallengesChallenges


1. Planning and Policies1. Planning and Policies

Task Force – software, scope, policies, Task Force – software, scope, policies, database structure, problems, action plansdatabase structure, problems, action plans

Information Services Committee – guidelines on Information Services Committee – guidelines on publications, publishers’ policies, data formats, publications, publishers’ policies, data formats, faculty concerns.faculty concerns.

Library Administrative Committee – problems, Library Administrative Committee – problems, issues, final decision, strategies.issues, final decision, strategies.


Guidelines Guidelines on on Different PublicationsDifferent Publications

TypeType CopyrightCopyright ActionAction

Book chapterBook chapter PublisherPublisher Need permissionNeed permission

BookBook Publisher, 50 yearsPublisher, 50 years Need permissionNeed permission

Conf paperConf paper AuthorAuthor Can archiveCan archive

Conf proceed.Conf proceed. PublisherPublisher Need permissionNeed permission

US PatentUS Patent Public DomainPublic Domain

AuthorAuthor

Can archiveCan archive

US PatentsUS Patents

Working Paper, Working Paper, Technical ReportTechnical Report

AuthorAuthor Can archiveCan archive

PresentationPresentation AuthorAuthor Can archiveCan archive

StandardStandard Issuing OrganizationIssuing Organization NoNo


Guidelines on Journal ArticlesGuidelines on Journal Articles

Version Version Avail.Avail.

Publisher’s PolicyPublisher’s PolicyNoNo

ArchArch

Pub’sPub’s Pre-Pre-

Ref’edRef’ed

Post-Post-

Ref’edRef’ed

BothBoth AllAll NotNot

Specif.Specif.

Pre-Pre-

Ref’edRef’edNoNo YesYes YesYes NoNo YesYes YesYes AskAsk

PubPub

Post-Post-

Ref’edRef’edNoNo YesYes NoNo YesYes YesYes YesYes AskAsk

PubPub

Pub’sPub’s NoNo YesYes NoNo Ask Ask FacultyFaculty

Ask Ask FacultyFaculty

YesYes AskAsk

PubPub


Guidelines on Publishers’ PoliciesGuidelines on Publishers’ Policies

Studied publishers’ copyright & self-Studied publishers’ copyright & self-archiving policies (ROMEO, Stevan archiving policies (ROMEO, Stevan Harnad’s and publishers’ websites)Harnad’s and publishers’ websites)

Constructed our own table for referenceConstructed our own table for reference Printout of publishers’ copyright Printout of publishers’ copyright

statements and date-stampedstatements and date-stamped Noted their acknowledgement or credit Noted their acknowledgement or credit

requirementrequirement


Credit to PublisherCredit to Publisher

In the Rights field of a recordIn the Rights field of a record

APSAPS copyright statement: copyright statement:"[Journal title] © copyright (year) American "[Journal title] © copyright (year) American Physical Society. The Journal's web site is Physical Society. The Journal's web site is located at http://....." located at http://....."



Other PoliciesOther Policies

Materials included and excludedMaterials included and excluded Revised versionsRevised versions Withdrawal of itemsWithdrawal of items Authority control on HKUST authors but not on Authority control on HKUST authors but not on

non-UST joint authorsnon-UST joint authors Author entry of a Chinese recordAuthor entry of a Chinese record

Chen, Jay-Chung Chen, Jay-Chung ((陳介中陳介中 ) )

Map record into different community or collectionMap record into different community or collection


2. Work Teams2. Work Teams

Subject Librarians - 8Subject Librarians - 8

Data Entry Staff - 6Data Entry Staff - 6


2.Work Team – Subject Librarians2.Work Team – Subject Librarians

LiaiseWith

FacultyCheck

PubList

AscertainPubs’

PoliciesVerify

DocumentVersion

HarvestDocument

IndexDocument

To DataEntry Staff

Wrong V

ersion

RightVersion

Dr. Samson Soong

Right Version


2. Work Team – Data Entry Staff2. 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



3. Acquiring Content - By Type3. Acquiring Content - By Type

a.a. Working Papers/Technical ReportsWorking Papers/Technical Reportsb.b. Faculty’s Publication ListsFaculty’s Publication Listsc.c. PhD’s ThesesPhD’s Thesesd.d. Conference PapersConference Paperse.e. University ArchivesUniversity Archivesf.f. Research Centers’ PublicationsResearch Centers’ Publicationsg.g. Open Access & Easily Accessible Open Access & Easily Accessible

PublicationsPublications


3a. Working Papers, Technical3a. Working Papers, TechnicalReports, Research ReportsReports, Research Reports

Computer Science – 105 technical reportsComputer Science – 105 technical reports Computer Science - 56 research reportsComputer Science - 56 research reports 3 Departments (MARK, MGTO, SOSC) – 211 3 Departments (MARK, MGTO, SOSC) – 211

working papersworking papers Language Center working papers & research Language Center working papers & research

reportsreports

Result = 396 papersResult = 396 papers


3a. Working Papers, Technical3a. Working Papers, TechnicalReports, Research ReportsReports, Research Reports

Example of UseExample of Use At the Reference Counter, a PG student At the Reference Counter, a PG student

asked about a technical report written by a CS asked about a technical report written by a CS facultyfaculty

Couldn’t find it in the faculty or departmental Couldn’t find it in the faculty or departmental website or the Library Catalogwebsite or the Library Catalog

Found in our IR siteFound in our IR site


3b. Faculty Publications3b. Faculty Publications

Some faculty have their full-text publications Some faculty have their full-text publications posted on their departmental or personal websites. posted on their departmental or personal websites.

Many are not compliant with publishers’ policiesMany are not compliant with publishers’ policies Sought permission from 80 faculty & 40 publishersSought permission from 80 faculty & 40 publishers Result:Result:

144 papers’ permission granted by faculty144 papers’ permission granted by faculty 119 papers’ permission granted by publishers119 papers’ permission granted by publishers 9 papers directly submitted to IR9 papers directly submitted to IR



Example of Publisher’s ReplyExample of Publisher’s Reply

Dear Josephine, Dear Josephine, You may post the article below with the statement: You may post the article below with the statement:

Copyright Copyright Society for Information DisplaySociety for Information Display. This paper is . This paper is made available with permission of the Society for made available with permission of the Society for Information Display. Information Display. One print or electronic copy may be One print or electronic copy may be made for personal use onlymade 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, Jenny, Sincerely, Jenny, SIDSID


3c. PhD’s Theses3c. PhD’s Theses

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

The Electronic Theses Database: metadata, The Electronic Theses Database: metadata, abstracts and full-text. Remote full-text access abstracts and full-text. Remote full-text access on open access theses onlyon open access theses only

Uploaded 110 open access PhD’s thesesUploaded 110 open access PhD’s theses Sought permission from past PhD graduatesSought permission from past PhD graduates Ongoing additions of new PhD thesesOngoing additions of new PhD theses

Result = Result = 306 Theses306 Theses (as of Nov 11, 2004) (as of Nov 11, 2004) New ones will be added automaticallyNew ones will be added automatically


3c. PhD’s Theses3c. PhD’s Theses

User Feedback - Case about Ewing Sarcoma – April, User Feedback - Case about Ewing Sarcoma – April, 20042004

““I am trying to get in touch with XXX, author of I am trying to get in touch with XXX, author of http://hdl.handle.net/1783.1/512 could you please pass http://hdl.handle.net/1783.1/512 could you please pass on this email to him for me? on this email to him for me?

““Apologies for the email, but I am looking for any help or Apologies for the email, but I am looking for any help or assistance for my son who has metastatic Ewing's assistance for my son who has metastatic Ewing's Sarcoma. I found your [paper] on a website relating to Sarcoma. I found your [paper] on a website relating to these sorts of cancers/treatments.”these sorts of cancers/treatments.”

A PhD thesis entitled “Role of RPB4 and RPB7 in A PhD thesis entitled “Role of RPB4 and RPB7 in transcriptional activation by Ewing's Sarcoma oncogene transcriptional activation by Ewing's Sarcoma oncogene (EWS)” (EWS)”


3d. Conference Papers3d. Conference Papers

The Library has the proceedings of 50 The Library has the proceedings of 50 conferences held on campus. HKUST conferences held on campus. HKUST owns copyright on those published by the owns copyright on those published by the universityuniversity

Identify Identify Those published by HKUSTThose published by HKUST Those conference papers by our researchersThose conference papers by our researchers

Sought permissions from authors Sought permissions from authors Sought permissions from publishers Sought permissions from publishers


3d. Conference Papers3d. Conference Papers

Permissions granted from:Permissions granted from: 107 papers by authors (84% success rate)107 papers by authors (84% success rate) 35 papers by publishers (54% success rate)35 papers by publishers (54% success rate)



3e. University Archives3e. University Archives

Publications, monographs, research Publications, monographs, research reports, symposiums are deposited at the reports, symposiums are deposited at the University ArchivesUniversity Archives

Generated a list of titles for reviewGenerated a list of titles for review Identified 89 for action and obtained Identified 89 for action and obtained

permissions on 79 publicationspermissions on 79 publications

Result: 79 papersResult: 79 papers


3f. Research Centers’ Publications3f. Research Centers’ Publications

34 Research Centers/Institutes with many 34 Research Centers/Institutes with many full-text publications posted on their full-text publications posted on their websiteswebsites

Sought permissions from center directors’Sought permissions from center directors’

Result:Result: 83 papers83 papers


3g. Open Access or 3g. Open Access or Easily Accessible PublicationsEasily Accessible Publications

There are open access publications which There are open access publications which can be freely harvested from the web. can be freely harvested from the web. Copyright need to be clarified with each Copyright need to be clarified with each publication (e.g. Emerald, DOAJ)publication (e.g. Emerald, DOAJ)

Some publishers allow authors and Some publishers allow authors and institutions to self-archive the publisher’s institutions to self-archive the publisher’s versions of papers (CUP, IOP)versions of papers (CUP, IOP)


3g. Open Access or3g. Open Access orEasily Accessible PublicationsEasily Accessible Publications

Harvested papers from these publishers and Harvested papers from these publishers and sought permissions from authorssought permissions from authors

Results:Results: 53 US Patents using Patent Fetcher53 US Patents using Patent Fetcher 21 papers from Emerald21 papers from Emerald 10 papers from DOAJ10 papers from DOAJ 9 papers from ASM9 papers from ASM 20 papers from Cambridge University Press20 papers from Cambridge University Press 50 papers from Institute of Physics50 papers from Institute of Physics Some papers from PJOM, AMS, IMS, SIAMSome papers from PJOM, AMS, IMS, SIAM Total > 200 PapersTotal > 200 Papers


Example: IMS’ PolicyExample: IMS’ Policy

The author reserves the following:The author reserves the following:

““3. The right to place the 3. The right to place the final version of this final version of this article (exactly as published in the journal)article (exactly as published in the journal) on on their own homepage, or in a public digital their own homepage, or in a public digital repository, provided there is a link to the repository, provided there is a link to the official journal site.”official journal site.”

http://http://www.imstat.org/publications/copyrights/copyrightTA.pdfwww.imstat.org/publications/copyrights/copyrightTA.pdf


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

Working Papers, Preprints, Working Papers, Preprints, Technical Reports,Technical Reports,

Research ReportsResearch Reports

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

PresentationsPresentations 4949 MATH 30MATH 30

Book ChaptersBook Chapters 3333 LANG 24LANG 24

MiscellaneousMiscellaneous 66 MATH 4MATH 4

OthersOthers 11 Cyberspace Center 1Cyberspace Center 1

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


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 MilestonesCollection 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


ContentContent (as of November 18, 2004)(as of November 18, 2004)

Theses19%

Technical Reports

30%

Book Chapters

2%

Conference Papers26%

Journal Articles

17%Patents3%

Presentations3%


Contributors by DepartmentContributors by Department(as of November 18, 2004)(as of November 18, 2004)

Mechanical Engineering

6%

Others46%

Marketing9%

Electrical & Electronic

Engineering11%

Computer Science

38%

Mathematics7%


Top Faculty Member ContributorsTop Faculty Member Contributors(as of May 17, 2004)(as of May 17, 2004)

0 5 10 15 20 25 30 35 40 45 50

COMP

ELEC

MATH

MECH


4. Challenges4. ChallengesFaculty:Faculty: Low awareness of Open Access Initiative (OAI) Low awareness of Open Access Initiative (OAI) Concern over copyright issuesConcern over copyright issues Apathy in self submissionApathy in self submission Lack of willingness to negotiate on non-exclusive Lack of willingness to negotiate on non-exclusive

rights or self-archiving rightsrights or self-archiving rights Lack of willingness to provide the right versions Lack of willingness to provide the right versions

of documents (pre- or post-refereed)of documents (pre- or post-refereed) Only a small % of their scholarly work can be Only a small % of their scholarly work can be

archivedarchived


Example of a Faculty Example of a Faculty Retaining Self Archiving RightsRetaining Self Archiving Rights


4. Challenges4. Challenges

Institution:Institution: Needs to make a commitment to deposit all Needs to make a commitment to deposit all

research output with the Institutional Repositoryresearch output with the Institutional Repository Needs to give financial support to faculty who Needs to give financial support to faculty who

submit papers to open access journalssubmit papers to open access journals Needs to give financial support to the Library for Needs to give financial support to the Library for

archiving workarchiving work


4. Challenges4. Challenges

Publishers:Publishers: In Romeo project, 73 out of 107 publishers (68%) In Romeo project, 73 out of 107 publishers (68%)

allow some sort of archiving, as of Nov’04allow some sort of archiving, as of Nov’04 Many have no policy (Camford, Genetic Society Many have no policy (Camford, Genetic Society

of America)of America) Many have an unclear policyMany have an unclear policy Some:Some:

Declined to give permissions (Springer, AAAS)Declined to give permissions (Springer, AAAS) Gave no response (INFORM)Gave no response (INFORM) Gave a wrong answer (Wiley)Gave a wrong answer (Wiley)

Need to include self-archiving into license Need to include self-archiving into license agreements with publishersagreements with publishers


4. Challenges4. ChallengesLibrary Continues to:Library Continues to: Provide support for university research self-Provide support for university research self-

archiving archiving Promote the IRPromote the IR Educate users and faculty about the IREducate users and faculty about the IR Showcase the IRShowcase the IR Find champions and partners Find champions and partners Seek institutional commitment and supportSeek institutional commitment and support Harvest documents Harvest documents Make self submission a part of faculty’s Make self submission a part of faculty’s

publication reporting systempublication reporting system


Thank You!Thank You!

Q & A?Q & A?

9 December, 2004 Managing the Challenges Acquiring Content for the HKUST Institutional Repository Managing the Challenges Acquiring Content for the HKUST.

Documents

hkust ir diana chan8

hkust ir diana chan11

hkust ir diana chan3

hkust ir diana chan10

publishers policies

hkust authors

hkust ir diana chan7

collection slide