1. Creating a Digital Repository: The Caltech Experience Kimberly Douglas and Ed Sponsler DASER Summit November 22, 2003 Caltech Library System library@caltech.edu

2. Caltech 285 Tenure-track faculty 1000 Postdoctoral researchers 900 Undergraduates 1100 Graduate students

3. Caltech Library System 48 FTEs (13 Librarians, 6 IT Staff) 4 Libraries 500,000 Volumes 3556 Paid Print- Journal Subscriptions 2116 Paid E-Journal Subscriptions $7,100,000 Annual Budget (FY 03)

4. Caltech CODA Collection of Open Digital Archives: CODA 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 URL: http://coda.caltech.edu Nearly 2,000 documents available now! –Theses, Technical Reports, Conference papers, Books, Non-Research collections.

5. Minimal Start-up Dedicate an IT applications developer –Minimum 40% time commitment Librarian –Minimum 15% time commitment Find an initial development platform –Old workstation with a 10GB disk will do Use Open Source software –Install Linux with standard applications –Install E-Print software

6. Tools Developed Author permission form Repository policy document Conversion process from print to digital.ps,.pdf production OCR Unique digital identifier caltechCSTR:2000.001 Persistent resolver mechanism resolver.caltech.edu/[Identifier]

7. The E-Prints Choice Why in 2000? –No cost to acquire –Open source –Very functional to purpose of open access Why still in 2003? –Centered around metadata –Generic application of LAMP –Low barriers

8. OAI Metadata Cheer Abstract, Author, Title, Get it on the Web

9. Caltechs Implementation Design –Multiple instances Different policies and authority Different presentation objectives/needs –Unique identifier in URL for persistent resolution –Standardized to streamline implementation Staffing –Subject librarians oversee metadata Content –Convert from print to create critical mass –Individual recruitment and nurturing –Pdf primarily –Archive original source format where possible

24. Author Permission Agreement 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

25. Recruitment Strategies Identify the Faculty champion Appeal to group/dept. needs or objectives Reduce effort or worry of research or departmental support staff

26. Caltech – OAI Data Provider http://coda.caltech.edu 2000 - Computer Science Technical Reports (CaltechCSTR) 409 Reports, 1980s to present; new reports online since 1995. 2001 - Cavitation 2001 Proceedings (CAV2001) 110 papers; born online in June 2001 2001 - Earthquake Engineering Research Lab. Reports (CaltechEERL) 191 Reports, 1970s to 2001; converted to online in Summer 2001

27. Caltech – OAI Data Provider http://coda.caltech.edu 2002 - Parallel and Distributed Systems Group E-Tech. Reports (CaltechPARADISE) 52 papers, 1992 to date harvest faculty site; have alert on his page, adding pdf to.ps 2002 - Electronic Theses and Dissertations (CaltechETD) 600+ theses; 1960s to date; older theses converted and current theses submitted by student 2002 - Books by Caltech Authors (CaltechBOOK) 2 books converted by authors

28. Caltech – OAI Data Provider http://coda.caltech.edu 2002 – Caltech Oral Histories (CaltechOH) 36 records input by the Caltech Archives staff 2003 – Engineering and Science (journal) (CaltechES) Caltechs Alumni magazine converted to pdf by Library staff 2003 – Caltech Control and Dynamical Systems Technical Reports (CaltechCDSTR); author requested that they be harvested 200? – VLSI Conferences (CaltechVLSI)

30. % Time by Repository Cav2001 148 hrs in 3.5 mos. (110 papers) EERL 191 hrs in 8 mos.(287 repts) Paradise 35 hrs in 2 mos. (45 repts.) Librarian Systems Support & Doc. Del.

31. Future Federating tools Archival format – structured documents Archiving research data and the companion analytical tools

32. To find out more… - Guide to Institutional Repository Software (2003) URL: http://www.soros.org/openaccess/software -Lynch, Clifford A. (2003) Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age. ARL Bimonthly Report 226, February 2003 URL: http://www.arl.org/newsltr/226/ir.html -SPARC Institutional Repository Checklist & Resource Guide (2002) This practical guide offers an overview of the major issues that institutions and consortia need to address in implementing an institutional repository URL: http://www.arl.org/sparc/IR/IR_Guide.html -Sponsler, Ed (2001) PURR - The Persistent URL Resource Resolver. URL: http://resolver.caltech.edu/CaltechLIB:2001.003 -Sponsler, Ed and Van de Velde, Eric F. (2001) Eprints.org Software: a Review. URL: http://resolver.caltech.edu/CaltechLIB:2001.004 /

33. To find out more… -Sponsler, Ed (2001) PURR - The Persistent URL Resource Resolver. URL: http://resolver.caltech.edu/CaltechLIB:2001.003 -Sponsler, Ed and Van de Velde, Eric F. (2001) Eprints.org Software: a Review. URL: http://resolver.caltech.edu/CaltechLIB:2001.004 Ramachandran, Hema and Sponsler, Ed and O'Donnell, Jim (2002) Digital Collections:Making it Happen. URL: http://resolver.caltech.edu/CaltechLIB:2002.010