Pilot ETD Project in Faculty of Informatics (KTU) and Offer of ETDs Submitting Procedures Antanas Štreimikis, Deputy Head of Library Software Department (ITDC, FI), Coordinator of LABT Project Group

“CORE”

Agenda of presentation Pilot ETD Project in Faculty of Informatics (Phase I, ) (10 points on 5 slides)Pilot ETD Project in Faculty of Informatics (Phase I, ) (10 points on 5 slides) Conclusions of Pilot ETD Project in Faculty of Informatics (5 points on 2 slides)Conclusions of Pilot ETD Project in Faculty of Informatics (5 points on 2 slides) Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (12 points on 4 slides)Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (12 points on 4 slides) Further development of Phase II of KTU-ETD pilot project (period of to ) (9 points on 3 slides)Further development of Phase II of KTU-ETD pilot project (period of to ) (9 points on 3 slides) Recommendation to form Your Institution ETD Archive (10 points on 4 slides)Recommendation to form Your Institution ETD Archive (10 points on 4 slides) Essential Conclusions (6 points on 2 slides) Total 24 slides

Pilot ETD Project in Faculty of Informatics ( ) (1-3) 1.All Postgraduates of the Informatics Faculty graduating from the graduate studies in January 2004 were informed in advance (two weeks before the graduation work defence at the Chair) about submission of their ETDs to the LABT-ETD temporary archive 2.Every ETDs had to be presented in one file by a known text processor, for example, in the Microsoft (MS) Word format, CD-ROM medium 3.Every CD-ROM was marked with a wafer having a unique barcode used in the KTU Library

Pilot ETD Project in Faculty of Informatics (4-5) 4.The Postgraduates had to complete in the computer class the appropriate Dublin Core (DC) metadata, the applicable ETDs (ETD-MS, ), and a file-pattern in the MS Excel format 5.When formatting the ETDs and its describing metadata file names, the information of 12 digit barcode wafers of the KTU library is used

Pilot ETD Project in Faculty of Informatics (6) 6.The world practice showed that the ETDs have to be stored both in the “original” formats (for example, DOC, XLS, JPG, AVI and more) ensuring the long-term preservation, the effective retrieval and the invariant outputting and in the PDF format ensuring the document presentation to the Internet. The graduation papers of all Informatics Faculty Postgraduates prepared in MS Word were presented in CD-ROM media. The ITDC specialists have formatted the appropriate PDF files of these files using the Acrobat software and put them into a temporary LABT-ETD archive in the KTU Library server

Pilot ETD Project in Faculty of Informatics (7-9) 7.A special program was made to convert the ETDs describing metadata files into the bibliographical records (UNIMARC standard). The last ones were loaded into the ALEPH library (etd01) 8.The KTU library cataloguer checked the bibliographical records loaded in the ALEPH library, added them with the appropriate bibliographical information and indexed 9.A possibility to perform the ETDs retrieval through KTU ALEPH WEB ( and the Lithuanian virtual libraries using MetaLib and SFX software interfaces (having chosen LABT-ETD resources) is provided. All ETDs prior to public defence of the Postgraduates’ graduation works will be protected by Name and Password

Pilot ETD Project in Faculty of Informatics (10e) 10.It is decided to accept for long-term preservation in the LABT-ETD archive only the Postgraduates’ graduation works publicly defended at the Commission approved by the KTU Rector with the corresponding guarantees signed by the authors. On the whole, in the period of January 20 to 21, 2004, forty six (46) Postgraduates’ graduation works were publicly defended at the KTU Informatics Faculty. Forty-six ETDs together with forty five (45) corresponding authors signed guarantees were presented to the LABT-ETD temporary archive. One guarantee has not been signed till now. Twenty-seven authors gave permission for surfing of their works through the Internet. The remaining ETDs are allowed to be surfed only for the KTU library users with the appropriate Names and Passwords or from the computers having the appropriate KTU intranet IP addresses

Conclusions of Pilot ETD Project in Faculty of Informatics (1-3) 1.During implementation of the KTU-ETD pilot project, a simplified procedure of ETDs gathering was applied 2.The simplified procedure of ETDs gathering made it possible to imitate all ETDs gathering stages provided in UNESCO recommendations and to gather the Postgraduates’ graduation works of one Faculty in the MS Word and Acrobat PDF formats 3.During the pilot project implementation, forty six ETDs with the accompanying metadata securing the ETD-MS standard and the corresponding forty five guarantees confirmed by the authors’ signatures were gathered. One guarantee has not been signed up to now

Conclusions of Pilot ETD Project in Faculty of Informatics (4-5e) 4.When applying a simplified procedure, it is constantly needed to take care of the CD-ROM media accumulation and marking. The ETD describing metadata formatting is also inconvenient to the Postgraduates 5.Seeking to refuse the CD-ROM media, the inconvenient metadata formatting and to further expand the KTU pilot project as a part of the pilot project financed by UNESCO, it is decided to adopt the UNESCO recommended ETDs and the accompanying metadata accumulation software and use it in formatting the KTU-ETD archive as a LABT- ETD constituent

Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (1-3) 1.The KTU-ETD Committee is established that is assigned to design the projects on the KTU-ETD archive formation regulations and other norm documents that the Committee regards as mandatory 2.The presentation of the ETDs and their accompanying metadata to the LABT-ETD archive, a constituent part of which is the KTU-ETD archive under construction 3.The creation of the ETDs storage supporting the OAI- PMH protocol is under construction

Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (4-7) 4.The creation of the converter to transfer the ETDs accompanying metadata to the ALEPH summary catalogue (etd01 library) is under construction 5.Convenient possibilities are provided for the library cataloguer to check the correctness of the ETDs and their accompanying metadata and inform the authors about it 6.The ETDs storage interface with the Lithuanian virtual library is implemented 7.The trial operation of the ETDs and its accompanying metadata using the adopted software ( ) is carried out

Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (8-10) 8.The recommended methodology of the KTU-ETD archive formation is provided 9.The adoption of the freely distributed software allowing to transfer the ETDs metadata being in the LABT-ETD archive to the NDLTD summary catalogue by the OAI- PMH protocol is completed 10.The research of the possibility to convert the ETDs from the original format (MS Word) into the XML format is being carried out

Conclusions of implementation of Phase II ( ) of KTU-ETD pilot project (11-12e) 11.To conduct the first seminar-meeting, entitled “ETD LITHUANIA PROJECT AS PILOT FOR BALTIC STATES” on February 26, 2004 and during it, to propose to other higher schools participating in the project financed by UNESCO (under contract No ) to apply the KTU-ETD database formation phases to creation of their own ETD archives that may be a constituent part of the general LABT-ETD archive 12.The first part of Phase II of the KTU-ETD pilot project has to be completed on March 31, 2004 with preparation of a report under the UNESCO financed project for the period of December 15, 2003 to March 31, The reports on implementation of their own ETD projects have to be submitted by all higher schools executing the contract No

Further development of Phase II of KTU-ETD pilot project (period of to ) (1-4) 1.To purchase the LABT-ETD service station set and prepare it for operation (till March 15, 2004) 2.To design a converter to transfer the ETDs accompanying metadata to the ALEPH library system summary catalogue (etd01 library) (till March 15, 2004) 3.To prepare an operational version of the ETD storage securing the OAI-PMH protocol (till March 22, 2004) 4.To adopt the freely distributed software that allowing to supply the ETDs metadata of the LABT-ETD archive to NDLTD summary catalogue by the OAI-PMH protocol (till March 22, 2004)

Further development of Phase II of KTU-ETD pilot project (period of to ) (5-7) 5.To prepare the KTU-ETD archive formation regulations and submit them for approval to the University Administration (till March 22, 2004) 6.To organise the second seminar - meeting, entitled ETD LITHUANIA PROJECT AS PILOT FOR BALTIC STATES (till March 31, 2004) 7.To investigate the possibilities of the ETDs conversion from the original (MS Word) format into the XML format (till May 31, 2004)

Further development of Phase II of KTU-ETD pilot project (period of to ) (8-9e) 8.Under the guidance of the approved regulations, to further develop the KTU-ETD pilot project as a LABT-ETD constituent part (till December 31, 2004) 9.To further improve the LABT-ETD project by integrating it with all subprograms of ITMiS programs (LABT, LieMSIS and LieDM) in order to incorporate the LABT-ETD archive into the Lithuanian electronic publishing system being in the process of creation and the Lithuanian full-text document database (till December 31, 2004)

Recommendation to form Your Institution ETD Archive (1-2) 1.Institution ETD committee has to propose to its Rectorate to confirm, from which faculties Masters theses, defended in spring of 2004, and Doctors dissertations, defended on II-IV quarter of 2004, and their summary e-versions (further called – ETDs) keep together with them attendant metadata in institution ETD archive, LABT-ETD server 2.Universities library together with institution ETD committee should organize on II quarter of 2004, not later than one month till TD defence in department, for Master and Doctors about min. teaching. Before that should be prepared and distributed ETDs submission into institution ETD archive rulers, intended to Masters and Doctors

Recommendation to form Your Institution ETD Archive (3-4) 3.Masters and doctors, which are leading mentioned about rulers and are using the software ( have to fill adequate fields (from them will be formed Dublin Core (ETD-MS) metadata) and represent their final works ETD in initial format, for example, MS Word, OpenOffice Writer and so on (it’s requesting one file) and Acrobat PDF format (necessarily one file) 4.Institution library checks ETD and them covering metadata correctness and approves the presentation into institution ETD archive

Recommendation to form Your Institution ETD Archive (5-7) 5.Metadata of ETDs are automatically converted into bibliographic records, which are loading into ALEPH libraries system 6.It’s made the opportunity for institution library to repair the metadata given by Master or Doctor both with representing program, and both using the ALEPH library system 7.For long term preservation in LABT-ETD archive will receive just public defended in institution committee, which was confirmed by Rector, Master theses, Doctor dissertations and their summaries with ETD authors signed respectively guarantee, which forms have to confirm institution ETD committee

Recommendation to form Your Institution ETD Archive (8-10e) 8.Week after the defense it should be created the opportunity to do ETDs search of defended work through ALEPH WEB ( and Lithuanian virtual library, which use software of MetaLib and SFX (selecting LABT-ETD resources) interfaces 9.Institutions ETD metadata will be gave into NDLTD summary folder using international OAI-PMH metadata transfer protocol 10.If be the opportunity to collect ETD, it will be converted into XML format and placed for long term keeping in LABT-ETD digital library

Essential Conclusions (1-3) 1.It‘s recommend for members of workshop to inform their institutions Rectorates about project “ETD Lithuania Project as Pilot for Baltic States” 2.It’s recommend to establish ETD institution committee in everyone institution till March , which is participating in project financed by UNESCO, leading with KTU-ETD establishing committee example 3.It’s recommend to use KTU-ETD archive formation experience to create in every institution ETD, like LABT- ETD part of archive

Essential Conclusions (4-6e) 4.To recommend KTU-ETD committee, valuated received suggestions from others ETD committee institutions (the proposals should be presented till 15 March, 2004.), to prepare the representative project of archive formation regulation of institutions ETD and LABT-ETD archives to distribute it to all project members 5.We’re asking all institutions, which are participating in the project financed by UNESCO, the attorney to send the report in English about institution ETD project realization to me - Antanas Streimikis till March 26 6.To commit KTU ITDC to organize the second workshop (predictable date – on March 29, at KTU) to discuss regulation for projects

Thank you for your attention!