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

2

Contents

1. Open Access and Institutional Repositories2. HKUST IR 3. Software Selection 4. Planning and Policies5. Strategies in Acquiring Content6. Challenges

3

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

4

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?

5

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)

6

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

7

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

8

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)

9

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

10

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)

11

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>

12

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

13

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.

14

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

15

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

16

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/

17

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

18

Contributors by Department(as of Oct 5, 2005)

COMP21%

SBM13%

HSS&SOSC6%

OTHER12%

OTHER ENG8%

ELEC13%

MECH7%

MATH6%

PHY5%

OTHER SCI

9%

19

Home Page of the HKUST Institutional Repository

20

Browsing by Communities and Collections

21

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

22

kwok y

To Find Papers by Authors

23

24

Click to see full text

The View of an IR Record

25

Full Text in pdf Format

26

Fill in keywords and click Search

To Search in IR

27

28

Put in your UST account name and password

To Submit A Paper

29

Fill in the form, click the “Submit” button at the bottom of the page

30

31

You will receive a confirmation email

32

Access Data

33

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

34

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

35

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

36

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

37

Major Features

Data structureDocument submission formAdd item formCJK supportOAI data providerSRW/U interface

38

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).

39

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”

40

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

41

42

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"

43

44

45

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?

46

http://repository.ust.hk/dspace-oai/request?verb=GetRecord& ... 1783.1/1805

47

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/

48

The result of a SRW/U search, with XSLT transformation

49

Enhancements to DSpace

Document submission formCJK searching problemSubscript and superscript problemNumber of items displayedAccess dataTop 20Recommend an item linkFaculty & staff link

50

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.

51

Work Team – Subject Librarians

LiaiseWith

FacultyCheck

PubList

AscertainPubs’

PoliciesVerify

DocumentVersion

HarvestDocument

IndexDocument

To DataEntry Staff

Incorrect Version

CorrectVersion

Dr. Samson Soong & Subject librariansCorrect

Version

52

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

53

54

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

55

SHERPA Summary of Publishers' Policies

56

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

57

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

58

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://....."

59

60

Other Policies

Withdrawal Replacing VersionsCooperation with User GroupsAuthority Control IndexingRights and Acknowledgement

61

5. Strategies in Acquiring Content

Our logics

How to Acquire by Type of Document?

How to Use Different Channels?

Sustainable Growth

62

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

63

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

64

Sources of Scholarly Content

ScholarlyContent

Researchers

JournalsPublishers

Web

LibraryCollection

65

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

66

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

67

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

68

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:

69

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

70

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

71

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.

72

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

73

Example of a Faculty Retaining Self Archiving Rights

74

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

75

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

76

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

77

Challenges - Librarians

System Evaluation Formulating and interpreting policies

Internal and publishers’ policies

Content Recruitment Advocacy

Education Advisory Perceived benefits Public relations

Use Assistance

78

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.