1. Caltech CODA Eric F. Van de Velde California Institute of Technology evdv@library.caltech.edu Educause 2003 November 5, 2003

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

4. CODA Collection of Open Digital Archives 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

5. CODA as a Strategic Initiative Improve visibility Researchers, Citizens, Developing Nations Improve quality Linking, Multimedia, More Detail, Raw Data, Better Writing Commit to preservation Actively used repositories with error reporting Retrospective conversion Mirror sites Influence journal marketplace

6. CODA’s Reach 804 Technical Reports 688 Theses 111 Conference Proceedings articles 2 Books Cavitation and Bubble Dynamics, Brennen Theory of the Earth, Anderson Non-Research Collections 25 Oral Histories 24 Issues of Engineering and Science

7. Electronic Theses @ Caltech June 2000: Became member of NDLTD July 2001: Voluntary e - submission August 2002: Scan old theses (minor flood) July 2002: Compulsory e - submission Next slides: Number of Caltech Theses online Number of PDF downloads per month Average Number of downloads per thesis per month (robot traffic excluded)

10. 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 software!

11. E - Theses Recruitment Administration: early supporters Faculty: concerned about publication restrictions Students: very interested Implementation Install and maintain NDLTD software Set up procedures with Graduate Office Check metadata, document formats Seminars on Copyright, Authoring tools, Metadata

12. 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)

13. 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

14. 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

15. 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

16. CODA Achievements 9 Repositories in production Retrospective conversion Electronic Theses Requirement Campus PR Program Recruit leaders in departments Exploit all informal conversations Seminars on Copyright, Multimedia authoring Incorporated CODA into regular work flow

17. 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

18. Lessons Learned Retrospective conversion is feasible! Technology is the easy part. Faculty recruiting is painfully slow. Become NDLTD member!