1. CODA: Caltech’s Institutional Repository Project Eric F. Van de Velde California Institute of Technology evdv@library.caltech.edu International Conference on Developing Digital Institutional Repositories December 9-10, 2004

2. © Copyright Eric F. Van de Velde 2004. This work is the intellectual property of the author. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the author. To disseminate otherwise or to republish requires written permission from the author.

3. CODA Collection of Open Digital Archives Started: January 2000 http://coda.caltech.edu Mus. A passage of more or less independent character introduced after the completion of the essential parts of a movement, so as to form a more definite and satisfactory conclusion. -- OED

4. CODA as a Strategic Initiative Improve Visibility  Scholars, All Interested Communities Improve Quality  Linking  Multimedia  More Detail, Raw Data  Better, Accessible Writing (Visibility) Commit to Preservation  Active Use and Error Reporting  Retrospective Conversion Influence Journal Marketplace

5. CODA’s Reach (Dec. 3 rd, 2004) 1561 Caltech Theses 1004 Technical Reports and Articles 190 Conference Items (Articles and Abstracts) 4 Books 33 Book Sections 1 Non-Caltech Thesis 39 Oral Histories 23 Issues of Engineering and Science Total: 2855 Items (+98 since Nov. 5 th )

6. CODA Draft Guidelines A. Each CODA repository must consist of a body of works sponsored by Caltech professorial faculty. B. Works in CODA repositories 1. must be produced, submitted, or sponsored by Caltech professorial faculty. 2. must be complete and in final form. 3. must be scholarly, research, or educational material of enduring value. C. The author/owner of each work must grant to Caltech the non-exclusive right to preserve and distribute the work in perpetuity.

7. Use License I hereby grant to [Caltech] the irrevocable, non-exclusive royalty free right to reproduce, distribute, display, and perform this work in any format including electronic formats throughout the world for educational, research and scientific non-profit uses during the full term of copyright including renewals and extensions via the Digital Collections mechanisms maintained by the Caltech Library System. I also hereby grant to Caltech the non-exclusive right to sub-license these rights to others should the Institute forego the ability to maintain distribution. I warrant that I have the copyright to make this grant to Caltech unencumbered and complete. Once this paper is so published, it may not be withdrawn. With the approval of the repository administration revisions to available documents within this service will be accepted. The following Notice Concerning Terms and Conditions of Use will be included with the electronic distribution copies of the work: You are granted permission for individual, educational, research and non-commercial reproduction, distribution, display and performance of this work in any format. http://resolver.library.caltech.edu/caltechCSTR:2001.000a

8. CODA’s Integrated Approach All library staff solicit content as part of regular assignment Reference Librarians and Catalogers check metadata of repositories in their area Library IT group provides infrastructure maintains access preserves data develops initial workflow

9. Caltech CODA Team Info. Tech.: B. Coles E. Sponsler E. Van de Velde Technical Services: K. Johnson Total FTE: 43 Librarians: K. Douglas J. O’Donnell G. Porter H. Ramachandran Scanning: S. Garstang 4-5 Support Staff

10. Electronic Theses @ Caltech Largest repository: June 2000: Became member of NDLTD July 2001: Voluntary e - submission July 2002: Compulsory e - submission August 2002: Scan old theses Next slides: Number of Caltech theses online Unique-IP accesses per month Average Unique-IP accesses per thesis per month Unique-IP accesses vs. submission date

14. Human vs. Robotic Access Ron Aitchison, Zytrax Inc. http://www.zytrax.com/tech/web/brows er_ids.htm

15. Students want it…. Timestamp: December 03rd, 2004 01:24:27 pm IP: 129.171.61.160 User Agent: Mozilla/5.0 (Windows; U; Windows NT 5.1; en-US; rv:1.7) Gecko/20040608 Name: XXXXXXXX Email: XXXXXXX URL: none Comments: My thesis is not on you list. How come?

16. How to start E - Theses? Join Networked Digital Library of Theses and Dissertations (NDLTD) http://www.ndltd.org 185 Members are ready to help! 155 Universities, 6 Consortia, 24 Institutions 34 US States, 36 Countries, 6 Continents Complete list at: http://tennessee.cc.vt.edu/~lming/cgi- bin/ODL/nm-ui/members/index.htm http://tennessee.cc.vt.edu/~lming/cgi- bin/ODL/nm-ui/members/index.htm Free NDLTD software!

17. Scanning Theses Flood damaged 200 circulating theses Scan archival copies Gradual retrospective conversion Issues: Training: work flow similar to e-delivery Software and hardware compatibility Author permission (1978, ©,…) and open access Cost: Scan during e-delivery off-peak hours Metadata, abstracts (Librarian Time)

18. Technical Reports: Policies Voluntary participation Repository for any Research Unit RU = Professor, Option, Division,… RU controls policy on who may submit RU sets up internal approval process Metadata openly available Submission is permanent Non-exclusive permission to distribute

19. Software: http://www.eprints.org/ http://www.eprints.org/ S. Harnad, R. Tansley, and C. Gutteridge Open Archives Initiative Free Open Source: GNU General Public License (GPL) Built on GPL software: Linux, Apache, MySQL,… Easy Browsing and searching (readers) Submission procedure (authors) Document management (librarians) System administration

20. CODA Achievements 15 Repositories in production Retrospective conversion Electronic Thesis Requirement Campus PR Program Recruit leaders in departments Exploit all informal conversations Seminars on Copyright, Multimedia authoring Incorporated CODA into regular work flow

21. CODA Challenges Voluntary submissions Current: Library does most of the work. Desired: Faculty submits over the web, librarian checks, article is posted. PR does not end with repository creation. Fee for service Example: Conference Proceedings

22. Lessons Learned Retrospective conversion is feasible! Faculty recruiting is painfully slow. Become NDLTD member!