Networked Digital Library of Theses and Dissertations (NDLTD, Oregon State University Corvallis, OR 20 July 2005 Edward A. Fox Virginia Tech, Blacksburg, VA USA Slides later at:

Acknowledgements (Selected) VT Faculty/Staff: Tony Atkins, Debra Dudley, John Eaton, Gary Hooper (provided funds for work in 1987), Carolyn Kletnieks, Gail McMillan, Len Peters, … VT Students: Shahrooz Feizabadi, Marcos Goncalves, Bing Liu, Ming Luo, Paul Mather, Rao Shen, Ohm Sornil, Hussein Suleman, …

ACKNOWLEDGEMENTS (NDLTD) NDLTD Board of Directors, previous Steering Committee + other NDLTD committees; those running Electronic Thesis & Dissertation (ETD) initiatives in universities, regions, countries Helpful sponsorship by many organizations, especially Adobe, CONACyT, DFG, FIPSE (US Dept. Education), IBM, Microsoft, NSF (IIS , , , ; DUE , , , ), OCLC, SOLINET, SUN, SURA, UNESCO, VTLS, many governments (Australia, Germany, India, …), … Colleagues (faculty, staff, students) / collaborators at many universities Slides included from: Vinod Chachra, Thom Hickey, Joan Lippincott, Gail McMillan, Axel Plathe, Hussein Suleman, …

Part 1 Introduction

Digital Libraries --- Objectives World Lit.: 24hr / 7day / from desktop Integrated “super” information systems: 5S: streams, structures, spaces, scenarios, societies Ubiquitous, Higher Quality, Lower Cost Education, Knowledge Sharing, Discovery Disintermediation -> Collaboration Universities Reclaim Property Interactive Courseware, Student Works Scalable, Sustainable, Usable, Useful

Synchronous Scholarly Communication Same time, Same or different place

Asynchronous, Digital Library Mediated Scholarly Communication Different time and/or place

Digital Libraries Shorten the Chain from Editor Publisher A&I Consolidator Library Reviewer

DLs Shorten the Chain to Author Reader Digital Library Editor Reviewer Teacher Learner Librarian

Information Life Cycle Authoring Modifying Organizing Indexing Storing Retrieving Distributing Networking Retention / Mining Accessing Filtering Using Creating

Definitions Library ++ (library+archive+museum+…) Distributed information system + organization + effective interface User community + collection + services Digital objects, repositories, IPR management, handles, indexes, federated search, hyperbase, annotation Or, we can use the “5S” framework:

5S Model: Examples, Objectives ModelsExamplesObjectives Stream Text; video; audio; imageDescribes properties of the DL content such as encoding and language for textual material or particular forms of multimedia data Structures Collection; catalog; hypertext; document; metadata; organization tools Specifies organizational aspects of the DL content Spatial Measure; measurable, topological, vector, probabilistic Defines logical and presentational views of several DL components Scenarios Searching, browsing, recommending, Details the behavior of DL services Societies Service managers, learners, Teachers, etc. Defines managers, responsible for running DL services; actors, that use those services; and relationships among them

5S and DL formal definitions and compositions (April 2004 TOIS)

DL Services/Activities Taxonomy (Gonçalves) Browsing Collaborating Customizing Filtering Providing access Recommending Requesting Searching Visualizing Annotating Classifying Clustering Evaluating Extracting Indexing Measuring Publicizing Rating Reviewing (peer) Surveying Translating (language) Conserving Converting Copying/Replicating Emulating Renewing Translating (format) Acquiring Cataloging Crawling (focused) Describing Digitizing Federating Harvesting Purchasing Submitting PreservationalCreational Add Value Repository-Building Information Satisfaction Services Infrastructure Services

Institutional Repositories “Institutional repositories are digital collections that capture and preserve the intellectual output of a single university or a multiple institution community of colleges and universities.” Crow, R. “Institutional repository checklist and resource guide”, SPARC, Washington, D.C., USA

Fedora™ Repository Web Service Exposure Layer Adapted from Slide by V. Chachra, VTLS

VITAL / Fedora Relationship

Open Archives Initiative (OAI) Advocacy for interoperability Standard for transferring metadata among digital libraries Protocol for Metadata Harvesting (PMH) Simplicity Generality Extensibility Support for PMH => Open Archive (OA)

OAI = Technical Umbrella for Practical Interoperability… Reference Libraries Publishers E-Print Archives …that can be exploited by different communities Museums

OAI – Repository Perspective Required: Protocol DO MDO

OAI – Black Box Perspective OA 1OA 2OA 4OA 3OA 5OA 6OA 7

Discovery Current Awareness Preservation Service Providers Data Providers Metadata harvesting The World According to OAI

Case Study: Education Refactoring Scholarly Communication: Creating, Sharing, Reviewing, Teaching, Learning, … Start with focused efforts (ETDs, courseware, technical reports), but eventually cover everything Physics: PhysNet OCKHAM NCSTRL, CSTC, CITIDEL, NSDL NDLTD

Part 2 NDLTD

A Digital Library Case Study Domain: graduate education, research Genre:ETDs=electronic theses & dissertations Submission: Collection: Project: Networked Digital Library of Theses & Dissertations (NDLTD)

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

Main Message Digital libraries can help advance education. Oregon State University and its neighbors are invited to engage in NDLTD, as well as CITIDEL, NSDL, and other DL ventures. UNESCO Analytical Survey on Digital Libraries in Education is recommending DLE in each nation. Local and national support can stimulate activities, including collaboration promote a sharing culture, especially in research and teaching leverage others’ investments (networking, computing, …) encourage / facilitate learning Please join NDLTD!

What led to today’s meeting? 1987 mtg in Ann Arbor: UMI, VT, … 1992 mtg in Washington: CNI, CGS, UMI, VT and 10 universities with 3 reps each 1993 mtg in Atlanta to start Monticello Electronic Library (regional, US Southeast): SURA, SOLINET 1994 mtg at VT: std: PDF + SGML + multimedia objects 1996 funding by SURA, US Dept. of Education (FIPSE) 1997 meetings in UK, Germany, – 1 st symposium – Memphis (20) 1999 – 2 nd symposium – Blacksburg (70) 2000 – 3 rd symposium – St. Petersburg (225) 2001 – 4 th symposium – Caltech (200) 2002 – 5 th syposium – BYU, Provo, Utah 2003 – 6 th syposium – Berlin (215) 2004 – 7 th syposium – U. Kentucky 2005 – 8 th syposium – Sydney, Australia

What are the long term goals? 400K US students / year getting grad degrees are exposed / involved 200K/yr rich hypermedia ETDs that may turn into electronic portfolios (images, video, audio, …) Dramatic increase in knowledge sharing: literature reviews, bibliographies, … Services providing lifelong access for students: browse, search, prior searches, citation links Hundreds/thousands of downloads / year / work

ETDs: Library Goals Improve library services Better turn-around time Always available Reduce work catalog from e-text eliminate handling: mailing to ProQuest, bindery prep, check-out, check-in, reshelving, etc. Save space

NDLTD Incorporation Networked Digital Library of Theses and Dissertations incorporated May 20, 2003 in Virginia, USA Charitable and educational purposes (501 c 3) Can accept donations, collect dues, receive funds LeClair Ryan provides legal counsel Officers Executive Director (Ed Fox) Secretary (Gail McMillan) Treasurer (Scott Eldredge)

Board of Directors Suzie Allard (ETD 2004, U. Kentucky) Denise A. D. Bedford (World Bank) Julia C. Blixrud (ARL, SPARC) José Luis Borbinha (National Lib Portugal) Alex Byrne (ETD 2005, ADT: Australia) Tony Cargnelutti (ETD 2005, Australia) Vinod Chachra (VTLS) Susan Copeland (RGU, UK) Jude Edminster (Bowling Green St. Univ.) Scott Eldredge (Treasurer, ETD 2002, BYU) Edward A. Fox (Exec Director,Virginia Tech) John H. Hagen (West Virginia U.) Thomas B. Hickey (OCLC) Christine Jewell (U. Waterloo, Canada) Delphine Lewis (ProQuest) Joan K. Lippincott (CNI) Mike Looney (Adobe) Gail McMillan (Secretary, Virginia Tech) Joseph Moxley (ETD 2000, USF) Eva Müller (U. Uppsala, Sweden) Ana Pavani (PUC Rio, Brazil) Axel Plathe (UNESCO, Paris) Sharon Reeves (National Library Canada) Peter Schirmbacher (ETD 2003, Humboldt) Hussein Suleman (U.Cape Town, S. Africa) Shalini R. Urs (U. Mysore, India) Eric F. Van de Velde (ETD 2001, Caltech)

NDLTD Committees (Chairs) Awards (John Hagen) Conferences (Tony Cargnelutti) Development (Peter Schirmbacher) Executive (Edward Fox) Finance (Scott Eldredge) Implementation (Ana Pavani) Membership (Shalini Urs) Nominating (Sharon Reeves) Standards (Thomas Hickey) Union Catalog (Vinod Chachra)

Selected Projects / Sponsors Australia (ADT) Brazil (BDT, IBICT) Canada Catalunya Chile (Cybertesis) Germany India (Vidyanidhi) Korea OhioLINK: 79 colleges/univs Portugal (National Library) South Africa UK (British Library, JISC, Edinburgh, …) UNESCO (especially Latin America, Eastern Europe, Africa) Venezuela

Some Countries Australia Belgium Brazil Canada Chile China, Hong Kong Columbia Finland France Germany Greece India Italy Jamaica Korea Lithuania Malaysia Mexico Namibia Netherlands Norway Poland Russia Singapore S. Africa S. Korea Spain Sudan Sweden Switzerland Taiwan Thailand Turkey UK USA Venezuela Yugoslavia

Some Institutional Members British Library Cinemedia Coalition for Networked Information (CNI) Committee on Institutional Cooperation (CIC) Consorci de Biblioteques Universitàries de Catalunya Diplomica.com Dissertation.com Dissertationen Online (Germany) ETDweb, a Division of Answer4.com Ibero-American Sci. & Tech. Education Consortium (ISTEC) National Documentation Centre (NDC), Greece National Library of Portugal (for all universities) OCLC Online Computer Library Center OhioLINK Organization of American States (SEDI/OAS) Southeastern Library Network (SOLINET) UNESCO (

UNESCO and ETDs (by Axel Plathe at ETD2003) Promoting the use of the Internet as a tool for disseminating scientific knowledge Facilitating the transfer of ETD expertise from developed to developing countries 1998: Member of the NDLTD Steering Committee 1999: First UNESCO ETD meeting on ETD internationalisation 2002: “ UNESCO Guide to Electronic Theses and Dissertations ” 2003: Model training programmes and training courses 2003: Sponsor pilot projects 2003: Pilot projects (Africa, Europe, Latin-America)

Convene Local Planning Group ETD

ETD project participants Academic administrators Faculty Students Staff Graduate school / provost / registrar Information technologists Librarians

Build Local ETD Site Digital Library Policies Inspection/Approval Workshop/Training ETD

NDLTD Computer Resources Research Literature Student Prepares Thesis/Dissertation

Student Defends & Finalizes ETD My Thesis ETD

Student Gets Committee Signatures and Submits ETD Signed Grad School

Graduate School Approves ETD, Student is Graduated Ph.D.

Library Catalogs ETD, Access is Opened to the New Research WWW NDLTD

Status of the VT Project Approved by university governance Spring 1996; required starting 1/1/97 Submission & access software in place Submission workshops for students (and faculty) occur often: beginner/adv. Faculty training as part of Faculty Development Initiative Over 5000 ETDs in collection – some have audio, video, large images, software, …

Archiving ETDs Every 15 minutes back-ups made of not- yet-approved submissions Hourly back-ups of newly approved ETDs Weekly back-ups of entire ETD collection Copies stored on-site and off-site

VT ETD Cataloging same as current cataloging policies, except: author-assigned keywords (not LCSH) generic (not LC) call no. fields/subfields as required for computer files full abstracts time savings cataloger familiar with computer files equipment, software for word processing 5 minutes avg. (10-15 minutes for paper TDs)

Library Resources Hardware: with Apache web server Maintenance and security Started small; now: Sun 2-processor Enterprise 250--Solaris 2.7 Software Submission scripts written by DLA Includes notifications to authors, advisors, UMI Use it too: Log files analyzed with Analog Survey scripts written by DLA Data from authors and readers Use it too: Search Engine Started small; now: InfoSeek’s ULTRASEEK

Digital Library Benefits: Low margin, high use Incorporate ETDs with other digital library activities Ejournals, online class materials, digital images, etc. Additional equipment, staff may not be necessary Use VT programs, scripts, etc. Or other options: DSpace, eprints, bePress, VITAL Online accesses vs. circulation of copies , average circulation per copy per year: 2.2 for theses, 3.2 for dissertations

Access to VT’s ETDs

Server log records of accesses to Virginia Tech ETDs 1997/981998/991999/002000/012001/022002/03 Requests for PDF files221.6 K481 K578 K2,173 K4,497K7,320 K Requests for HTML files165.7 K215.5 K260.7 K400K472K368 K Requests for Multimedia1.7 K4.5 K12.6 K44 K169.1 K121 K Distinct files requested6.4 K21 K16.4 KN/A51 K31.9 K Distinct hosts served29.8 K57.9 K87.8 KN/A425 K681 K Average transfer/day156 Kb219 Mb382 Mb945 Mb2.15 Gb3.49 Gb Data transferred55.6 Gb78.1 Gb137 Gb332 Gb780 Gb1.2 Tb

Info Available at VT Information Automated submission system ready for customization Student guidelines, training materials, FAQ's, multimedia educational materials

ETD Union Collection (OAI)

Union catalog: OCLC OCLC will expand OAI data provider on TDs. Is getting data from WorldCat (so, from many sites!). Will harvest from all others who contact them. Need DC and either ETD-MS or MARC. Has a set for ETDs.

OCLC SRU Interface

Union catalog: VTLS, VT VTLS will enhance search/browse service for ETDs Will harvest from OCLC’s set of ETD records Will receive through other mechanisms Will work with MARC-21 and ETD-MS VT will continue to offer experimental services

ETD Union Search Mirror Site in China (CALIS) ( – popular site!)

VTLS Union Catalog Content Languages The VTLS NDLTD Union Catalog has data in 6 different languages. These are: English German Greek Korean Portuguese Spanish Examples follow

Language = German; hits = 137

Full record display

Relationship with publishers Concern of faculty and students that still wish to publish books or journal articles, voiced: campus, Chronicle, NPR, Times Solution: Approval Form gives students, faculty choices on access, when to change access condition; use IPR controls in DL Solution: by case, work with publishers and publisher associations to increase access AAP, AAUP AAAS, ACM, ACS, Elsevier,...

Summary: ETDs and Publishing Early controversies waning Faculty: prior publication? Protective of future academics Surveys of publishers No specific policies largely Consider submissions individually VT ETD Alumni None had problems getting published Authors Retain some rights, e.g., link to curriculum vitae, online course materials

ETDs and Copyright Author’s rights Retain copyright! Rights include reproduction, modification, distribution, public performance, public display Share non-exclusive rights: Permit library to store / provide access Author’s obligations: fair use Balance factors or get permission

ETDs and Long-term Preservation Concerns: Access without paper Long term preservation Standard multimedia formats Adobe support ( Free (and compatible) PDF Reader, work on PDF/A Addressed Concerns Cooperatives, e.g., OhioLink, plus LOCKSS Commercial options ProQuest: traditional microfilming, CDs, … Frequent, regular back-ups available on-, off-site

ETD-MS ETD Metadata Standard XML-encoded metadata standard (content and encoding) for Electronic Theses and Dissertations (ETDs) in part conforming to Dublin Core (DC) using RDF using UNICODE Will specify relationship with MARC

Complex to Simple MARC ($50)Dublin Core (DC) + thesis

Added Support by NDLTD Links from NDLTD site ETD individuals support – submit ETD ETD discussion (e-prints) – community activities Conference papers and presentations – community activities Automated support to “join NDLTD” Members have discount rates for int’l conference Marcel Dekker book Edward A. Fox, Shahrooz Feizbadi, Joseph M. Moxley, and Christian R. Weisser, eds., The ETD Sourcebook: Theses and Dissertations in the Electronic Age, New York: Marcel Dekker, 2004

Spirit of NDLTD Help make a better (smaller) world Win-win-win (everyone can benefit) Have fun helping others Helpers/teachers learn more than those they work with Build on standards ETDs are preservable, popular, expressive, “better” Doable, feasible, learnable, affordable, sharable Please join and participate in NDLTD!

Part 4 Conclusion

Future Educational DLs All are invited to join NDLTD! All are invited to broaden and integrate activities for digital libraries for education, toward: Institutional repositories at every site. Regional, national, and international initiatives integrating research, education, and libraries.

For More Information scholar.lib.vt.edu

Questions/Discussion?