Hong Kong University of Science & Technology Library

Developing the Digital Institutional Repositoryat HKUST

Diana Chan, Head of Reference

KT Lam, Head of Systems

HKUST Library

December 9, 2003

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Outline of Presentation

1. Why Create the Institutional Repository?

2. Demonstration

3. How Did HKUST Develop It?

4. Challenges

5. IR Software Evaluation

6. DSpace Implementation at HKUST

7. Q&A

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1. Why Create the Institutional Repository?

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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1. 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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1. Why Create the IR?

Dual Open-Access Strategy <http://www.ecs.soton.ac.uk/~harnad/Temp/berlin.htm>

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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1. Why Create the IR?

Why have an IR at HKUST? To create a permanent record of the scholarly

output of HKUST

- No access to some scholarly works published by our own faculty

- Collections of working papers, technical reports, research reports flowing around- Some of our scholarly works are in the public

domain

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1. Why Create the IR?

Why have an IR at HKUST?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

<http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html>

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1. Why Create the IR?

The Contribution Must Satisfy 2 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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2. Demonstration

HKUST Institutional Repository

<http://repository.ust.hk/>

DSpace interface Sample record Submission form Search in OAISter

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Collection Type and Size

Communities 18Collections 37

Book chapters 1Conference papers 85Journal articles 66Patents 62Presentations 40Preprints 12Technical reports 109Theses 110Working papers 35Miscellaneous 6

Total 520

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3. How Did HKUST Develop It?

<http://library.ust.hk/staffman/ref-man/IR/ir.html#stages>

1. Planning & Policies

2. Technical Developments

3. Harvesting and Promotion

4. Work Teams

5. Negotiations with Publishers

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3.1 Planning and Policies

Task Force - software, scope, policies, database structure, problems, action plans.

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

Library Administrative Committee – final approvals.

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3.2 Technical Developments

Will be discussed by KT Lam in parts 5 & 6

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3.3 Harvesting and Promotion

Within HKUST:

1st Stage : Prototype 105 Computer Science Technical Reports

2nd Stage: Target Group: Faculty who already posted their publications on the WebEmailed 80. 49 agreed. Harvested 144 documents.

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3.3 Harvesting and Promotion

Within HKUST:3rd Stage: Target Group: All Faculty

Emailed all to encourage direct submission. 2 documents submitted. Notes from the Library

4th Stage: Target group: All Faculty

Emailed all telling which publishers allow post-refereed self-archiving (IEEE, ACM, Emerald, SPIE…). 3 documents submitted

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3.3 Harvesting and Promotion

In the Cyberspace: Harvested 53 US Patents Harvested 21 journal articles from Emerald Harvested 10 articles from DOAJ Joined OAISTer

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3.3 Harvesting and Promotion

Planned: Will harvest conference proceedings held at

HKUST and published by HKUST Will cover PhD theses with signed permissions Will contact departments for preprints, working

papers, technical reports, etc. Will contact faculty whose publications have not

been posted Departmental visits

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3.4 Work Teams

Subject Librarians

Data Entry Team

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3.4 Work Teams – Subject Librarians

1 Liaison With Faculty

6. Do Indexing

5. Verify Document Versions

2. Check Faculty’s Publication Lists

4. Ascertain Publishers’s Policies

3. Harvest Documents

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3.4 Work Teams– Data Entry Team

1. Verify and Convert PDF Documents

2. Data EntryUsing SubmissionForm

3. Set PDF DocumentSecurity & Properties

4. Create Folders & Upload Files

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Get indexed documents

from librarians

Screen and Convert Files

Input Data

Check for Errors

Set Pdf document Security & Properties

Final Check

Group to Different Folders

Define Communities &

Collections in DSpace&

Upload Files

Flowchart on Data Entry

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3.5 Negotiations with Publishers

Collection Development Librarian wrote to: INFORM ProQuest Wiley Springer IEEE AAAS Elsevier

Result: No good news yet.

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4. Challenges

Faculty: Low awareness of Open Access Initiative (OAI) Concern over copyright issues Apathy in direct submission Lack of willingness to negotiate on non-exclusive

rights and to publish in open access journals Lack of willingness to provide the right versions of

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

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4. Challenges

Institution: Needs to make a mandate to deposit all

research outputs with the Institutional Repository

Needs to give financial support to faculty who submit papers to open access journals

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4. Challenges

Publishers: In Romeo project, only 34 out of 80 allow some sort

of archiving Many have no policy (Camford, Genetic Society of

America) Many have an unclear policy Some:

Decline to give permissions (Springer, AAAS) Give no response (INFORM) Give a wrong answer (Wiley)

Need to include self-archiving into license agreements with publishers

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4. Challenges

Library continue to: Provide support for university research self-

archiving Promote IR Educate users and faculty about the IR Showcase the IR Find champions and partners among faculty Seek institutional mandate and support Harvest documents

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5. IR Software Evaluation

1. Background

2. EPrints

3. DSpace

4. Why Did We Choose DSpace?

5. Evaluation Guide

6. Other Software and Selection Criteria

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5.1 Background

Institutional repository software - also known as institutional archive-creating software, or digital repository software.

HKUST Library started IR software evaluation in late December 2002.

Two products were evaluated: EPrints and DSpace.

Decided to use DSpace in mid-February 2003.

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5.2 EPrints

<http://software.eprints.org/>

Developed by University of Southampton. The very first freely available institutional

repository software; since 2000. GNU software, thus, open source. Has the largest installed base. Written in Perl, with MySQL and Apache.

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5.3 DSpace

<http://www.dspace.org/>

Jointly developed by MIT Libraries and Hewlett-Packard Company.

Open source available since late December 2002, after two years of development.

Written in Java, with PostgreSQL, Lucene, and Apache/Tomcat.

Still under development.

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5.4 Why Did We Choose DSpace?

DSpace was developed based on the experience gained by EPrints.

It has a well defined data model:Community + Collection + Item + Metadata + Bundle + Bitstream

UTF-8 capable. Well organized web-interface. Metadata in Dublin Core format.

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5.5 Evaluation Guide

“A Guide to Institutional Repository Software” by Open Society Institute

<http://www.soros.org/openaccess/software/OSI_Guide_to_Institutional_Repository_Software_v1.htm>

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5.6 Other Software & Selection Criteria

Other IR Software: CDSware – from CERN. I-TOR – from Netherlands Institute for Scientific

Information Services. MyCoRe – from University of Essen.

Selection Criteria: Open source. Comply to OAI-PMH (Open Archives Initiative

Protocol for Metadata Harvesting) . Currently released and publicly available.

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6. DSpace Implementation at HKUST

1. DSpace Server

2. Problems

3. Limitations

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6.1 DSpace Server

<http://repository.ust.hk/>

PC with Pentium 4, 2.4GHz, 1GB RAM memory

RedHat Linux, with standalone Tomcat, PostgreSQL database, and Lucene search engine.

DSpace Version 1.1.1. Becomes live since late February 2003.

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6.2 Problems

Faculty Submission Form DSpace’s build-in submission interface is too

complicated. We have to develop our own submission form.

Then use DSpace’s Item Importer to load the data.

CJK Search Failure Fixed by modifying DSpace Java source codes.

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6.2 Problems

CNRI Handle Required registration at CNRI for a handle prefix.

Our prefix is 1783.1. Custom Authentication

Added java codes to query HKUST’s LDAP server.

Handling of non-English Characters Uses the approach adopted in our Electronic

Theses Database.

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6.2 Problems

Server Hanging Problem

Other Software Bugs

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6.3 Limitations

Flatten Community+Collection structure 2-level only, not deep enough.

Linked Collection a collection that belongs to more than one

communities.

Unable to Cross Search search multiple collections from different

communities.

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6.3 Limitations

Query Syntax Not Apparent to Users, e.g.+water +rapid [for exact word match]

"vapor generator" [for phrase search]

Limited Capability on Sorting Search Results.

Cannot Display the Number of Items in the Repository, in a Community, and in a Collection.

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Related Websites

American-Scientist September Forum <http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/index.html>

Open Access Presentation <http://www.ecs.soton.ac.uk/~harnad/Temp/openaccess.ppt>

Self-Archiving FAQs <http://www.eprints.org/self-faq/>

SPARC Institutional Repository Checklist & Resource Guide

<http://www.arl.org/sparc/IR/IR_Guide.html>