Transcript Slide 1

International Conference on Developing Digital Institutional
Repositories: Experiences and Challenges
December 9-10, 2004, Hong Kong
Managing the Challenges
Acquiring Content for the HKUST
Institutional Repository
By Diana Chan
Head of Reference
The Hong Kong University of Science and Technology Library
[email protected]
9 December, 2004
Table of Contents
1.
Planning and Policies
2.
Work Teams
3.
Acquiring Content
4.
Challenges
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1. 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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Guidelines on Different Publications
Type
Copyright
Action
Book chapter
Book
Conf paper
Conf proceed.
US Patent
Publisher
Need permission
Publisher, 50 years
Need permission
Author
Can archive
Publisher
Need permission
Public Domain
Author
Can archive
US Patents
Working Paper,
Technical Report
Author
Can archive
Presentation
Standard
Author
Can archive
Issuing Organization
No
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Guidelines on Journal Articles
Publisher’s Policy
Version No
Arch
Avail.
Pub’s
PrePostBoth
Ref’ed Ref’ed
All
Not
Specif.
PreRef’ed
No
Yes
Yes
No
Yes
Yes
Ask
Pub
PostRef’ed
No
Yes
No
Yes
Yes
Yes
Ask
Pub
Pub’s
No
Yes
No
Ask
Ask
Yes
Faculty Faculty
Ask
Pub
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Guidelines on Publishers’ Policies
 Studied
publishers’ copyright & selfarchiving policies (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





Materials included and excluded
Revised versions
Withdrawal of items
Authority control on HKUST authors but not on
non-UST joint authors
Author entry of a Chinese record


Chen, Jay-Chung (陳介中)
Map record into different community or collection
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2. Work Teams
 Subject
 Data
Librarians - 8
Entry Staff - 6
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2.Work Team – Subject Librarians
Dr. Samson Soong
Right Version
Wrong Version
To Data
Entry Staff
Index
Document
Liaise
With
Faculty
Harvest
Document
Right
Version
Managing the Challenges: Acquiring Content for the HKUST IR / Diana Chan
Verify
Document
Version
Check
Pub
List
Ascertain
Pubs’
Policies
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2. Work Team – Data Entry Staff
Verify and Convert
PDF Documents
Final Review
Input Metadata
Using Submission Form
Add Items to Repository
Set PDF Document Security &
Properties. Add Watermark for
Pre-published Version
Proof-Read
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3. Acquiring Content - By Type
a.
b.
c.
d.
e.
f.
g.
Working Papers/Technical Reports
Faculty’s Publication Lists
PhD’s Theses
Conference Papers
University Archives
Research Centers’ Publications
Open Access & Easily Accessible
Publications
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3a. Working Papers, Technical
Reports, Research Reports
Computer Science – 105 technical reports
 Computer Science - 56 research reports
 3 Departments (MARK, MGTO, SOSC) – 211
working papers
 Language Center working papers & research
reports


Result = 396 papers
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3a. Working Papers, Technical
Reports, Research Reports
 Example



of Use
At the Reference Counter, a PG student
asked about a technical report written by a CS
faculty
Couldn’t find it in the faculty or departmental
website or the Library Catalog
Found in our IR site
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3b. Faculty Publications





Some faculty have their full-text publications
posted on their departmental or personal
websites.
Many are not compliant with publishers’ policies
Sought permission from 80 faculty & 40
publishers
Result:
 144 papers’ permission granted by faculty
 119 papers’ permission granted by publishers
 9 papers directly submitted to IR
Result = 269 papers
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Example of Publisher’s Reply
Dear Josephine,
You may post the article below with the statement:
Copyright Society for Information Display. This paper is
made available with permission of the Society for
Information Display. One print or electronic copy may be
made for personal use only. Systematic or multiple
reproduction, distribution to multiple locations via
electronic or other means, duplication of any material in
this paper for a fee or for commercial purposes, or
modification of the content of the paper are prohibited.
Sincerely, SID
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3c. PhD’s Theses



Master’s and PhD’s Theses are collected by the
Library in both paper and electronic copies
The Electronic Theses Database: metadata,
abstracts and full-text. Remote full-text access
on open access theses only
Uploaded 110 open access PhD’s theses
Sought permission from past PhD graduates
Ongoing additions of new PhD theses


Result = 306 Theses (as of Nov 11, 2004)
New ones will be added automatically


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3c. PhD’s Theses
User Feedback - Case about Ewing Sarcoma – April,
2004
“I am trying to get in touch with XXX, author of
http://hdl.handle.net/1783.1/512 could you please pass
on this email to him for me?
“Apologies for the email, but I am looking for any help or
assistance for my son who has metastatic Ewing's
Sarcoma. I found your [paper] on a website relating to
these sorts of cancers/treatments.”
A PhD thesis entitled “Role of RPB4 and RPB7 in
transcriptional activation by Ewing's Sarcoma oncogene
(EWS)”

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3d. Conference Papers
 The
Library has the proceedings of 50
conferences held on campus. HKUST
owns copyright on those published by the
university
 Identify


Those published by HKUST
Those conference papers by our researchers
 Sought
permissions from authors
 Sought permissions from publishers
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3d. Conference Papers
 Permissions


granted from:
107 papers by authors (84% success rate)
35 papers by publishers (54% success rate)
 Result
= 142 papers
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3e. University Archives
 Publications,
monographs, research
reports, symposiums are deposited at the
University Archives
 Generated a list of titles for review
 Identified 89 for action and obtained
permissions on 79 publications
 Result:
79 papers
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3f. Research Centers’ Publications
 34
Research Centers/Institutes with many
full-text publications posted on their
websites
 Sought permissions from center directors’
 Result:
83 papers
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3g. Open Access or
Easily Accessible Publications
 There
are open access publications which
can be freely harvested from the web.
Copyright need to be clarified with each
publication (e.g. Emerald, DOAJ)
 Some
publishers allow authors and
institutions to self-archive the publisher’s
versions of papers (CUP, IOP)
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3g. Open Access or
Easily Accessible Publications

Harvested papers from these publishers and
sought permissions from authors
 Results:








53 US Patents using Patent Fetcher
21 papers from Emerald
10 papers from DOAJ
9 papers from ASM
20 papers from Cambridge University Press
50 papers from Institute of Physics
Some papers from PJOM, AMS, IMS, SIAM
Total > 200 Papers
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Example: IMS’ Policy
The author reserves the following:
“3. The right to place the final version of this
article (exactly as published in the journal) on
their own homepage, or in a public digital
repository, provided there is a link to the
official journal site.”
http://www.imstat.org/publications/copyrights/copyrightTA.pdf
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Total # of Documents
Collection
Size
Community, Size
Working Papers, Preprints,
Technical Reports,
Research Reports
493
MARK 142
COMP 108, 56, MATH 10
Conference Papers
411
COMP 94
Theses
311
CHEM 40
Journal Articles
281
MATH 53
Patents
52
ELEC 19
Presentations
49
MATH 30
Book Chapters
33
LANG 24
Miscellaneous
6
MATH 4
Others
1
Cyberspace Center 1
Total
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1,637
As of Nov 18, 2004
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Collection Growth Milestones
1800
83 Research Centers
1600
No. of Documents
1400
79 Univ. Archives
1200
50 IOP papers
1000
142 conference papers
35 papers with publishers' permission
800
96 CS papers
600
110 theses + 211 working papers
400
53 patents
200
116 papers from faculty websites
105 CS technical reports
0
May
Jul
Sep
Nov
2003
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Mar
May
July
Sep
2004
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Content
(as of November 18, 2004)
Book
Chapters
2%
Theses
19%
Technical
Reports
30%
Presentations
3%
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Patents
3%
Conference
Papers
26%
Journal
Articles
17%
30
Contributors by Department
(as of November 18, 2004)
Computer
Science
38%
Others
46%
Marketing
9%
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Mathematics
7%
Mechanical
Engineering
6%
Electrical &
Electronic
Engineering
11%
31
Top Faculty Member Contributors
(as of May 17, 2004)
MECH
MATH
ELEC
COMP
0
5
10
15
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25
30
35
40
45
50
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4. Challenges
Faculty:
 Low awareness of Open Access Initiative (OAI)
 Concern over copyright issues
 Apathy in self submission
 Lack of willingness to negotiate on nonexclusive 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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4. 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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4. Challenges
Publishers:
 In Romeo 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
 Some:




Declined to give permissions (Springer, AAAS)
Gave no response (INFORM)
Gave a wrong answer (Wiley)
Need to include self-archiving into license
agreements with publishers
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4. Challenges
Library Continues to:








Provide support for university research selfarchiving
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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Thank You!
Q & A?
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