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CaltechAUTHORS: Create individual records

Repository of research papers authored by faculty and other researchers at Caltech. This guide answers many of the basic questions users may have.

Important Details

  • Only Caltech-affiliated faculty, staff, and students may deposit records.  Library staff may need to approve and enhance your account before you are able to start adding items.
  • Use the Simple Deposit form to create and deposit records including very basic bibliographic information. Only PDF files (<10 Mb each) can be uploaded using this method, although you can attach multiple files to one record if needed.
  • Use the Advanced Deposit form if you want to create records with complex bibliographic information or if you want to import bibliographic data from another source. Any records that include attached files greater than 10 Mb or are not PDFs must be added using this method.
  • Caltech's Open Access Policy went into effect on January 1, 2014.  Authors can make publicly accessible the attached preprints or submitted versions of published material in CaltechAUTHORS, even if the published versions must be embargoed for any length of time.  Please review the OA Policy guide for more information and how to apply for waivers to the policy.
    • Library staff follow Caltech's Open Access Policy, which went into effect January 1, 2014.
    • Publisher's copyright and archiving policies on display of published material (the PDFs) in institutional repositories will be observed by library staff within the limits of Caltech's Open Access Policy.
      • The library interprets CaltechAUTHORS to be the author's personal repository.
      • Library staff use Sherpa Romeo to find summaries of permissions that are normally given as part of each publisher's copyright transfer agreement.  As necessary, they also check specific publishers' websites for further instructions.

If you have any questions, or have suggestions for enhancing our service in this particular area, please do not hesitate to contact us.


Simple Deposit

Use a web form to create and deposit records with basic bibliographic information. Attached PDFs (less than 10 Mb) can be added and uploaded simultaneously.

A. Log into CaltechAUTHORS Simple Deposit using your IMSS credentials.

B. FiIl in the web form. 

  • All fields are required unless marked optional.

C. Attach up to 10 PDFs to the record.

  • No PDFs above 10 Mb can be accepted using this method.  If your files are larger, please try the Advanced Deposit method.

D. Deposit the record for final review and release.

  • The record will be reviewed and enhanced by library staff before being released to public view.

Advanced Deposit

Log in and use the regular deposit long-form if you want to create records with complex bibliographic information or if you want to import bibliographic data from another source. Any items with non-PDF files must be added using this method.

A. Log in to CaltechAUTHORS:

  1. If necessary, create an account in CaltechAUTHORS
    • The library may need to enhance your account’s privileges to allow you to deposit. Let us know if you do not see a Manage Deposits tab after you log in the first time
  2. Log in and go to Manage Deposits

B. Create the metadata record:

  1. Click on "New Item"
  2. Click through each screen and fill in the data fields.  The red-starred fields are required
    • Item Type: Choose which kind of item you will be adding to the CaltechAUTHORS.  This is descriptive of the item as a whole, not the individual pieces
    • Description: Fill in at least the required fields  
      • To open up a field, click on the "plus" button
      • Collection, Record Number and Persistent URL fields are auto-generated.  Do not modify these
      • Related URLs can include links to online sources of any kind that are related to the item you are adding
      • Funders is an important field to add if you have the information.  It will give you a way to track the publications related to given grants, etc.
    • Upload Files: Attach the content file(s) and modify the form fields
      • The Browse button allows you to retrieve files stored on your computer.
      • The Zip File and .tar .gz tabs arte ussed if you are uploading those kinds of files
      • The From URL tab is used if you want to import something from the web
      • Once a file is uploaded, update the generated form:
        • Content or Version: choose an appropriate entry from the pull-down menu  
        • Description: can be used to describe the content of the uploaded file
        • Visible To: sets availability of the content file
        • Embargo Expiry Date: useful if you want to restrict access to a content file for a defined period of time
    • Withheld Files: Content files included in this area are stored in a dark archive.  They are invisible to all except repository administrators.  You may skip this tab if you have nothing to upload into a dark archive
      • If you wish to add something to this section, follow the steps in Upload Files
      • You can also move files between here and Upload Files by changing the Visible To field in the form
  3. Click "Save for Later"

C. Deposit record to library for final review and release:

You have several options:

  1. If the record is open, click the Deposit tab and follow the screen instructions
  2. OR From the Saved Record screen, cllick the blue "Move to Review" button
  3. OR From the Manage Deposits screen, click the green checkmark icon to the right of the entry in your list, then click "Deposit Item Now" on the next screen
  4. If necessary, the library staff will contact you about your submission.  If not, you're done. Congratulations and thank you!


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Kathy Johnson
Sherman Fairchild Library 1-43

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