Status Report on the NDLTD March 24, 2001 Caltech, Pasadena, CA Edward A. Fox Director, NDLTD Virginia Tech Blacksburg, VA USA

Acknowledgements (Selected) F Adobe, CNI, CONACyT, DFG, Ex Libris, FIPSE, IBM, NSF, OCLC, SOLINET, SURA, UNESCO, VTLS, … F NDLTD members F NDLTD Steering Committee F NDLTD Standing Committees: Stds, …, Conf: F ETD conference series: 1998, 1999, 2000 –2001 – Caltech –Eric Van de Velde, staff –2002 – U. of West Virginia – John Hagen, …

JCDL 2001  First Joint ACM/IEEE Conference on Digital Libraries (+ NSF DLI-2 PI mtg) F F June 24-28, 2001 in Roanoke, VA F Conference Committee: F General Chair: Edward A. Fox, Virginia Tech F Program Chair: Christine Borgman, UCLA F We invite those interested in NDLTD!

Main Message F Join NDLTD F Work with others F Share with others F Encourage others to join, work, share, … F Win – Win – Win – Win - …

Attendees not yet NDLTD members F Arizona State University F Cal State, Fresno F Cal State, L.A. F Cal State, Stanislaus F Carnegie Mellon U. F Cinemedia F Eastern Michigan U. F Ex Libris F Florida Center for Lib. Auto. F George Mason University F Georgetown University F Georgia Southern University F Helsinki U. of Technology F Indiana U. of Pa. F INTIF-Agence de la Francophonie F Jet Propulsion Lab F Johns Hopkins University F Los Alamos National Laboratory F Korea Ed. & Res. Info. Service (KERIS) F Library of Congress

Attendees not yet NDLTD members F Michigan State University F MindCrossing F Montana State University F National Hellenic Res. Foundation Northeastern University F Northwestern University F Ohio State University F PUC Rio de Janeiro F San Francisco State U. F ScienceServer LLC F Simon Fraser University F State U. NY at Buffalo F Texas A&M University F Texas Tech University F UMI F University of Arkansas F U. Ca. Irvine F U. Ca. Santa Barbara F University of Central Florida F University of Chicago F Universidad de Chile F University of Duisburg F University of Geneva F University Lyon 2

Attendees not yet NDLTD members F University of Madras F University of Maryland University of Michigan F University of Minnesota F Université de Montréal F University of Nebraska at Kearney F University of Nevada, Las Vegas F University of New Orleans F University of Pittsburgh F University of Puerto Rico, R.U.M. F University of Rochester F University of Southern California F University St. Gallen F University of Texas Southwestern Medical Center at Dallas F University of Toronto F University of Washington F Washington State U. F Washington University F Wright State University F York University

Contents F Who F What F Where F When F How

Who F Local F Regional F National F International F NDLTD

Grad Program Library IT Ed. (Tech) Who: Local site

Who: Regional F Associations: SOLINET F Broad Consortia: CBUC F Univ. Consortia: CIC, SURA

Who: Regional / National F Australia (project -> program) –U. New South Wales (lead) –U. of Melbourne –U. of Queensland –U. of Sydney –Australian National U. –Curtin U. of Technology –Griffith U. F Germany (see next) –Humboldt University (lead) –3 other universities –5 learned societies: Math, Physics, Chemistry, Sociology, Education –1 computing center –2 major libraries F Consorci de Biblioteques Universitàries de Catalunya F Greece (National Center) F India (National Center) F Korea (KERIS) F Portugal (National Library) F South Africa: ECHEA/SEALS (w. Mellon) F USA –CIC –OhioLink F …

Who: National: Some Countries with Members F Belgium F Brazil F Canada F China F Columbia F Germany F Hong Kong F India F Italy F Korea F Mexico F Netherland F Norway F Russia F Singapore F S. Africa F S. Korea F Spain F Sweden F Taiwan F UK

Who: International F NGOs: ISTEC, Organization of American States, UNESCO F Associations: CGS, CNI F Companies: Adobe, Ex Libris, IBM, VTLS, …

Who: NDLTD F Steering Committee F Secretariat at VT (Gail, John, Tony, …) F Listservs: etd-l, etd-stds-l, … F Standing Committees (please volunteer)

Who: NDLTD: Committees F Conferences –Planning –Program F Standards F Training

Who: NDLTD Future Directions F Speakers Bureau –On-demand support –Regional conferences with UNESCO u Latin America u … F Strategic Planning Committee –Chair, Joan Lippincott –Review mission –Develop long-term sustainable business plan

What: A Digital Library Case Study F Domain: graduate education, research F Genre: ETDs = electronic theses & dissertations F Submission: F Collection: Project: Networked Digital Library of Theses & Dissertations (NDLTD – remember: ND LTD / NDL TD)

What F Content F Services F Activities

What: Content F Foundation: local content F points to many sites –Add Yours!

What: Services F Members –Training –Sharing software and tools –Encouraging and supporting –Involving in broader efforts

What: Services F Repository –Tools and software –Proceedings (John Hagen) –Standards, policies, best practices –Training resources (e.g., UNESCO Guide, Website at etdguide.org)

What: Services F Under test –Union collection F Under development u NDLTD in a box u OpenURL target u Annotation service, SDI service u National: Copyright registration

What: NDLTD In a Box F Metadata record creation (and authority lookup) F Local collection maintenance F Search provided by local (e.g., from VTLS) or open sources (e.g., Greenstone) and authority lookup F OAI data provider service F Provisional local authority server for local creators F OpenURL source and target support F Converter MARC  RDF –Lossless as far as ETDMS content goes F Converter RDF  “MARC-like object”

What: NDLTD In a Box – Who? F VTLS F Ex Libris F Virginia Tech F German groups F Spanish groups (Jose Canos Cerda, Valencia) F Australia F Portugal F Los Alamos National Laboratory F …

Author‘s tools

What: Activities (Summary) F Visits and Presentations F Identifying and Involving Partners F Conferences F Standards F Sofware Development F Research: Educational, Technical

When (what’s new) F Origins (since 1987 …) F Meetings (since 1992 …) F Stages (interest, pilot, reqt, training and helping others) F Projects (through internal/external funding) F Programs (institutionalized)

Future of DissOnline.de F Support by DDB (German National Library) F Group „Electronic Publishing“ within DINI – F Several new projects: –MathDiss u part of MathNet (Prof. Törner, Duisburg) u –ProPrint u Humboldt-Univ. Berlin, Library Göttingen u –Open Archives: Distributed services for physicists and graduate students (OAD) u Prof. Hilf University Oldenburg u (

New Related Grants F NSF: Open Archives: Distributed services for physicists and graduate students (OAD): $315,259 for 9/1/2000-8/31/2003. Project director: E. Fox, w. Royce Zia, Physics, VT, and E. Hilf, U. Oldenburg, PI on matching German DFG project, F NSF- CONACyT proposal no : High Performance Interoperable Digital Libraries in the Open Archives Initiative, $99,999 for 24 months starting 3/1/2001. Principal Investigator Edward Fox, expected in weeks

Where (already covered) F International F National F Regional F Universities F Campus infrastructure

How F Independent initiative, action F Discussion, Policies F Information Sharing (DBs) F Standards *** F Cooperation **

The Networked Digital Library of Theses and Dissertations Leader of the Worldwide ETD (Electronic Thesis and Dissertation) Initiative Training Authors Expanding Access Preserving Knowledge Improving Graduate Education Enhancing Scholarly Communication Empowering Students & Universities

How: Centralized Databases F UNESCO / German database effort – Peter Diepold F Possible NDLTD Central DB –Local sites keep information up-to-date –Serves as registry –Machine readable, usable by software –Standard representations

How: Local Support for NDLTD Central Database Contact people, trainers NDLTD comm. members Collection loc. (OAI ID) Requirement status and date Submission instructions Aids: thesauri, … Statistics and logs Open source resources Training resources Preservation policies Standards and policies IP policies

How & Why: Standards F Help students learn relevant skills F Help reduce life cycle costs –For students, universities, readers F Support preservation F Support access –Across all NDLTD members –Across all languages –At least some support for all –Good support for those following stds

How: Standards F Metadata: MARC, DC, RDF F Documents: PDF, XML, SGML, HTML, LaTeX, multimedia, … F Databases: workflow, citations F Protocols: fed. search, OAI, Z39.50

Open Archives Initiative OAI

How: Standards: Timing F Recent Focus: ETD metadata F Ongoing: XML for ETD documents F Gradual: –Multimedia –Citation database (ISI, ResearchIndex) –Hypertext (OpenURL) –Preservation –Data sets …

Union Catalog Project F Help students and researchers find ETDs F Combine ETD metadata from multiple sources F Provide high-level centralized user services, eg., searching

Project Goals F Documents: PDF + XML + … F Metadata: MARC21 + ETDMS Encoded in XML, XML+RDF, using OCLC’s name authority system F Search based on harvesting … OAI Data Provider NDLTD Union Collection VTLS MARIAN

Key Elements in Implementation F Metadata Definition F (Name Authority Control) F Harvesting F NDLTD Union Collection F NDLTD Services

Metadata Definition F Prepare ETDMS formal specifications and documentation –Abstract specification of semantics (done) –Plain “vanilla” XML version (done, and built into OAI template code) –Richer RDF XML version (in progress)

MARC Example " s1996 vau| sm 00| 0|eng d" Broderick, Kevin Dee Constructing A Successful Therapeutic Experience With Adolescent Clients: A Qualitative Study Of Adolescent Experiences In Family Therapy University Libraries, Virginia Polytechnic Institute and State University …

ETDMS XML Example Constructing A Successful Therapeutic Experience With Adolescent Clients: A Qualitative Study Of Adolescent Experiences In Family Therapy Broderick, Kevin Dee Virginia Polytechnic Institute and State University K. H. Rosen MS masters Family and Child Development Virginia Polytechnic Institute and State University …

ETDMS XML+RDF Example Constructing A Successful Therapeutic Experience With Adolescent Clients: A Qualitative Study Of Adolescent Experiences In Family Therapy Virginia Polytechnic Institute and State University masters Broderick, Kevin Dee …

Korean MARC Example

Korean ETDMS Example

Recap - 1 F We are specifying –ETDMS –as the XML-encoded metadata standard (content and encoding) for Electronic Theses and Dissertations (ETDs) –in part conforming to Dublin Core (DC) –using RDF –using UNICODE F + specifying relationship with MARC

Recap - 2 F OCLC will: –Identify TDs in WorldCat –Through OAI make available metadata for WorldCat TDs in both DC and ETDMS –Provide an authority service for personal and institutional names for NDLTD –Coordinate with other authority services such as LC

Recap - 3 F VTLS will –Support NDLTD through a union catalog service implemented with Virtua –Accept metadata in MARC21 or UNIMARC, and help identify other converters for other types –Accept metadata in one other format, namely ETDMS –Accept data in various character sets, with UNICODE preferred, but in some cases the submitter may be required to convert

Recap - 4 F NDLTD members will –Share metadata for their ETDs –Providing that in either ETDMS –or if they use a version of MARC locally, work to have that eventually shared in either MARC21 or UNIMARC –Run OAI, either locally or in consortia, so their metadata can be harvested, according to necessary terms and conditions

Recap - 5 F VT will –Support ETDMS through MARIAN –Extend Tony’s software to u Produce ETDMS and act as OAI data provider u Launch authority software u Interface to authority sources

ETD Encoding Decisions F Text –UNICODE F Structure –MARC (MARC-21 or UNIMARC) PLUS –XML / RDF / DC + ETD F Multimedia –Emphasize use of international standards –Only commit to preserving standard formats

Text Encoding F Only UNICODE required for standard –Conversion may be required for legacy systems u and unusual languages / alphabets –VTLS will support some conversions F Language identifiers should be used –To resolve ambiguities of presentation –And for content reasons …

Structural I: MARC “MARC for established practices; RDF for the future.” – Sarantos F Records must be both –Valid MARC records –Valid ETD descriptions F Both MARC-21 and UNIMARC supported –VTLS provides conversion as practical

Structural II: RDF F ETD metadata realized as an RDF application profile –Specifying elements from DC element set –Plus new elements from a registered ETD schema –Constraints & policies attached to both u (E.g. “Full title,” “Name as it appears on title page,” “Repeatable”) F Links to authority records encoded as URIs F XML syntax as per RDF standard

Harvesting F Transform standalone archives into OAI data providers –Archives using Tony’s software (drop-in code available) –Archives using other software (generic OAI templates available)

OAI – Repository Perspective Required: Protocol DO MDO

Black Box OAI-ETD Perspective ISTEC (Ibero America) PhysDisNSYSU (Taiwan) ADT (Australia) BN.PT (Portugal) (Francophone) VTDissert.Online (Germany) MITOhioLINKCBUC (Catalunya) NDC (Greece) SEALS (S.Africa) CICU. Bergen (Norway) … …

OAI – Black Box Perspective OA 1OA 2OA 4OA 3OA 5OA 6OA 7 BrowseSummarizeSearchVisualize DO Services: Docs: Metadata:

Union Collections F Encourage and when possible link to others’ union collections –OCLC: ~4M from WorldCat thru OAI –UMI: > 1M in Dissertation Abstracts, archive F Create merged collection of ETD metadata –Harvest and store metadata –De-dupe, perform QC, add value –Provide data to service providers using OAI protocol F Services layered on top –Production service by VTLS –Research service by Virginia Tech (using MARIAN)

MARIAN F Multiple Access Retrieval of Information with Annotations (Marian the Librarian …) F R. France dissertation, other theses, projects, … F Funding from NLM, NSF (w. DFG, CONACyT) F Evolved from CODER system to a distributed Online Public Access Catalog (OPAC), then DL, now OAI data provider and service provider F Use for as research system with gateway services (harvesting/federated search): OAI, Dienst, Harvest, Z39.50, …

How: Cooperation: Local Responsibilities F Handle local education and collection –Contact information for helpers –Archive (as an Open Archive Initiative site) F Utilize standards –Metadata: MARC / DC-based consensus specification F Share metadata –Union services, mirrored services worldwide F Allow access – / –Open Archives Initiative (

Summary & Conclusions: Main Message F Join NDLTD F Work with others F Share with others F Encourage others to join, work, share, … F Win – Win – Win – Win - …