1. ECDL Workshop “Extending Interoperability of Digital Libraries: Building on the Open Archives Initiative” Lisbon – September 21, 2000 Edward A. Fox fox@vt.edu http://fox.cs.vt.edu CS DLRL Internet TIC Virginia Tech, Blacksburg, VA, USA

2. Acknowledgements (Selected) F Sponsors: CNI, DLF, Dept. of Energy, DFG, NASA, NSF, … F VT Faculty/Staff: Anthony Atkins, … F VT Students: Fernando Das Neves, George Fillipini, Robert France, Marcos Goncalves, Hussein Suleman, …

3. Open Archives Initiative OAI www.openarchives.org openarchives@openarchives.org

4. Program F 9-10Session 1 – Introduction F 10:30-11Break F 11-12:30Session 2 – Technical Details F 12:30-2Lunch F 2-3:30Session 3 – Discussion F 3:30-3:50Break F 3:50-4:20Session 4 – Presentations F 4:20-5Session 5 – Moving Forward

5. Program F 9-10Session 1 – Introduction –Introductory Remarks (Fox, Lagoze) – 15 min –Introductions from Participants (Fox, Lagoze) – 30 min –Historical Overview (Fox) – 45 min

6. Introductory Remarks - Fox F Welcome! F Thanks to conference organizers F Program/Logistics F Latest in series of meetings that have shaped OAI during its first year

7. Introductory Remarks - Lagoze F

8. Introductions from Participants - 1 F “Straw Polls” F Training: CS / LIS / Sciences / Humanities / ? F Work Now: CS / LIS / Sciences / Humanities / ? F Location: University / Industry / Gov. / Assn. / ? F OAI Connection: Run an “archive” or DL or collection / Manage data / Develop software / Standards / ?

9. Introductions from Participants - 2 F OAI Meeting Involvement: Santa Fe mtg / San Antonio mtg / Technical Committee / Cornell mtg / Steering Committee F OAI Trials: Opened an archive / Developed software for OAI / ? F OAI Project: Wrote proposal / Plan to write a proposal / Have internally funded project / Have externally funded project

10. Introductions from Participants F Short Statements (20 seconds per person) –Name (pronounced slowly, clearly) –Country –Affiliation (institution/organization)

11. Historical Overview - Fox F Meetings –Santa Fe – “archives of the world unite” F Philosophy F Repositories / Building on Black Boxes F Approaches to building repositories F VT view F Some proposals for funding F Development efforts

12. Open Archives Initiative (OAI) F xxx@LANL, high-energy physics (Ginsparg, 1991) F CSTR + WATERS = NCSTRL (Lagoze,1994) F xxx + NCSTRL = CoRR collaboration (1998) F Universal Preprint Service protoproto, Oct. 21-22, 1999, Santa Fe – led by LANL, CNI, DLF, Mellon --> OAi F Santa Fe Convention (see Feb. D-Lib Magazine article) F Follow-on mtgs: 6/3@San Antonio, 9/21@Lisbon (ECDL) F Archives -> Open Archives –Support unique archive identifiers –Implement Open Archives metadata set (DC, using XML) –Implement OA harvesting protocol (derived from Dienst protocol) –Register the archive F Build tools, layer other services: linking, searching, …

13. Open Archives (protoproto) F ArXiv & Los Alamos National Lab F CogPrints & U. Southampton F NACA & NASA (reports) F NCSTRL & Cornell U. F NDLTD & Virginia Tech F RePEc & U. Surrey F Total of around 200K records

14. Original Open Archives Members F American Physical Society F California Digital Library F Caltech F Coalition for Networked Info. F Cornell University F Harvard University F Library of Congress F Los Alamos Nat’l Lab F Mellon Foundation F NASA Langley Research Cntr F Old Dominion University F Stanford University F U. of Ghent F U. of Surrey F U. of Southampton F Vanderbilt University F Virginia Tech F Washington University

15. Open Archives Future – 1 st View F EconWPA (U. Washington) F e-biomed -> PubMed Central (NIH) F PubScience (DOE) F Clinical Medicine Netprints (+ other HighWire Press holdings ) F University ePub (California Digital Library) F All public e-prints (MIT) F Scholar’s Forum (Caltech) F Int’l: CERN, Germany, India, Mexico, … F Goal: millions of books/articles/reports / yr

16. OAi Philosophy F Self-archiving = submission mechanism F Long-term storage system = archive F Open interface = harvesting mechanism F Data provider + service provider F Start with “gray literature” –e-prints/pre-prints, reports, dissertations, …

17. Tiered Model of Interoperability Mediator services Metadata harvesting Document models

18. Repository of Digital Objects Repository Access Protocol handle Digital object terms and conditions

19. OAI – Repository Perspective Required: Protocol DO MDO

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

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

22. Approaches to Open Archives Build By Discipline Build By Institution

23. Approaches to Open Archives Build By Discipline Build By Institution Author Category Interdisciplinary Year Language Query …

24. Mechanisms F Sharing –Join initiative, run software –Make metadata and archive available F Aggregating –By discipline –By institution –By genre F Automating –Workflow –Harvesting and providing services –Federated searching –Dynamic linking (e.g., with SFX)

25. VT View of the Open Archives Initiative (OAI) F Enable sharing of publication metadata and full-text by digital libraries F Standardize low-level mechanisms to share contents of libraries F Build higher-level user-centric and administrative services in meta-libraries F Install organizational mechanisms to support the technical processes

26. Virginia Tech Projects F MARC XML-DTD F Computer Science Teaching Centre (CSTC) F W3C Web Characterization Repository F OAI Repository Explorer F Networked Digital Library of Theses and Dissertations (NDLTD) F OAI-Campus (esp. multimedia)

27. MARC XML-DTD F XML Transport format for US-MARC records F Standardized metadata exchange format for traditional library services joining OAI

28. CS Teaching Center (CSTC) F Collection of reviewed online resources used to aid in teaching of Computer Science F Supports author submission and peer-review process for new ACM Journal of Educational Resources In Computing (JERIC) F Connected with NSDL (NSF 00-44) F http://www.cstc.org

29. W3C Web Characterization Repository F Online database of metadata related to publications, tools and data sets dealing with Web characterization F Project of the Web Characterization Activity working group of the World-Wide-Web Consortium (www.w3c.org/WCA) F http://purl.org/net/repository

33. OAI Repository Explorer F Serves as a compliancy test F Allows browsing of open archives using only OAI protocol F Sends requests on behalf of user, parses and checks responses and displays browsable interface F Will detect most discrepancies in protocol F http://purl.org/net/explorer

37. OAI-Campus F Undergrad term project for Honors course on digital libraries F Aim is to have many OAs on campus F Emphasis will be on multimedia collections F Survey developed for campus: F http://intercom.virginia.edu/SurveySuite /Surveys/OAiVT

38. Funding Success F NSF-DFG / VT-Oldenburg: F OAI research for next 3 years F 2 countries F 2 domains –Physics –Electronic theses and dissertations (ETDs) F Evolution of existing efforts to use OAI F Refinement of services as ontologies develop

39. Funding Failures F NSF ITR – Large F US Dept. of Education (FIPSE) – 5 sites –Training –Graduate students

41. Other Development Efforts F Cornell Software F Los Alamos Software F Southampton Software F ODU Software F Other Software F Registered Archives

42. Program F 9-10Session 1 – Introduction F 10:30-11Break F 11-12:30Session 2 – Technical Details F 12:30-2Lunch F 2-3:30Session 3 – Discussion F 3:30-3:50Break F 3:50-4:20Session 4 – Presentations F 4:20-5Session 5 – Moving Forward

43. Program F 11-12:30Session 2 – Technical Details –Expanding the Scope and New Technical Agreements (Lagoze) – 60 min –Framing the Discussion for the Afternoon (Fox) – 30 min

44. Expanding the Scope and New Technical Agreements - Lagoze F

45. Framing the Discussion for the Afternoon – Fox - 1 F Divide into groups soon for lunch F Sit and discuss in groups during lunch F Groups report back in afternoon –Present comments orally –Lead discussion of those comments F Groups submit report later through email

46. Framing the Discussion for the Afternoon – Fox - 2 F Possible Groups: F Political agendas and their unfolding –“Gray literature”, Courseware/NSDL, … F Guiding principles for technical agenda –What is an archive? –What is best terminology? F Implementation plans for OAI core

47. Framing the Discussion for the Afternoon – Fox - 3 F Possible Groups (cont’d): F Requirements for OAI-related services / design of component-based DL F Implementation plans for OAI-related services F Linking OAI with other initiatives: science data, …

48. Program F 9-10Session 1 – Introduction F 10:30-11Break F 11-12:30Session 2 – Technical Details F 12:30-2Lunch F 2-3:30Session 3 – Discussion F 3:30-3:50Break F 3:50-4:20Session 4 – Presentations F 4:20-5Session 5 – Moving Forward

49. Program F 2-3:30Session 3 – Discussion –Funding Agencies/Sponsors – 30 min –General Discussion (Fox, Lagoze) – 60 min

50. Funding Agencies / Sponsors F

51. General Discussion F Reactions to OAI agreements F Applications of OAI to communities represented by attendees

52. Program F 9-10Session 1 – Introduction F 10:30-11Break F 11-12:30Session 2 – Technical Details F 12:30-2Lunch F 2-3:30Session 3 – Discussion F 3:30-3:50Break F 3:50-4:20Session 4 – Presentations F 4:20-5Session 5 – Moving Forward

53. Program F 3:50-4:20Session 4 – Presentations –Constantino Thanos (IEI-CNR, Italy) –Robert Tansley (U. Southampton, UK) –Eberhard Hilf (U. Oldenburg, Germany)

54. Program F 9-10Session 1 – Introduction F 10:30-11Break F 11-12:30Session 2 – Technical Details F 12:30-2Lunch F 2-3:30Session 3 – Discussion F 3:30-3:50Break F 3:50-4:20Session 4 – Presentations F 4:20-5Session 5 – Moving Forward

55. Program F 4:20-5Session 5 – Moving Forward (Fox, Lagoze) – 40 min –Plans for implementation –Future research agendas –Community building: listservs, …

56. VT - 1 F General purpose tools: F Hussein’s PERL implementation F Marcos’ Java implementation F OAI Repository Explorer – Version 2 http://purl.org/net/explorer

57. VT - 2 F NSDL / XXDL ? F Bill Graves, Collegis/Eduprise F IMS F UNC Wilmington F Chemistry, CS, Math, … F CSTC already involved in OAI

58. VT - 3 F MARIAN: F Evolved from CODER (~1987) F C/C++ version: SIGIR’93 F Research and production DL system F Harvest/Gateway: Dienst, “Harvest”, OAI, Z39.59 + OAI to Greenstone, Phronesis

59. www.theses.org OAI Protocol DO MDO Sets by subjectSets by origin MDO MARIAN Dienst VTLS HarvestZ39.50OAI - 1OAI - 2 …

61. Program F 4:20-5Session 5 – Moving Forward (Fox, Lagoze) – 40 min –Plans for implementation –Future research agendas –Community building F Closing –Thank you! –Future meetings: JCDL’2001, ECDL’2001 –Online discussions