1. The ASERL LOCKSS-ETD INITIATIVE: Developing Preservation Strategies for Libraries that Publish E-Scholarship Robert H. McDonald – Florida State University Jody Combs – Vanderbilt University John Burger – Association of Southeastern Research Libraries Thomas Stuart Robertson – LOCKSS Program Stanford University

2. OUTLINE ASERL and the LOCKSS-ETD Initiative Why ETDs? What about other E-Scholarship? Case Studies – FSU & Vanderbilt The ASERL LOCKSS-ETD Initiative –Current Implementation –Working Problems –New Features

3. ASERL History Association of Southeastern Research Libraries –50 Year History –Largest Regional Research Library Consortium Current Programs –Cooperative Virtual Storage –ETD Preservation (LOCKSS-ETD Initiative) –Ask-A-Librarian Virtual Reference –Kudzu Project (Consortial Resource Sharing) –Digitization Directory –Institutional Repository Directory –Research Librarian Competencies –Reciprocal ILL Agreement

4. ASERL and LOCKSS-ETD Why ETDs? –Strong ASERL Member Support of ETD Programs –Strong ASERL Support of the LOCKSS Alliance –New LOCKSS OAI-Harvesting Mechanism for open- ended digital content –Strong Leadership from Vanderbilt, VaTech, Kentucky led to LOCKSS-ETD WG –Interest in World-Wide ETD Preservation Effort Group has made presentation to NDLTD Board to consider World Network of LOCKSS-ETD Harvesters

5. Other E-Scholarship New OAI Harvesting (OAIS-SIP) –Could provide harvesting broker for other repository systems. Ex. DAITSS, DSpace, Fedora, E-Prints –Could be utilized for archiving many different University E-Publishing Endeavors Research Reports or Pre-Prints in E-Prints –Provides Mechanism for world-wide partnerships. South Africa New Zealand Australia

6. ASERL LOCKSS-ETD INITIATIVE Participating Libraries w/ETD Program Dates o Florida State University (2002) o Georgia Institute of Technology (2003) o North Carolina State University (1997) o University of Kentucky (2000) o University of Miami o University of Tennessee (2002) o Vanderbilt University (1999) o Virginia Tech (1997)

7. Virginia Tech NC State Georgia Tech Florida State University of Miami University of Tennessee Vanderbilt University of Kentucky

8. Current Implementation First Meeting – Spring 2005 Worked Closely with LOCKSS Team to enable test implementation - Fall 2005 Currently using test servers running LOCKSS CD Version ETD Collections Harvested from: –Vanderbilt –VaTech –NCState –FSU –Kentucky –GaTech All content will be released from current participants by First Quarter 2006

9. Current Working Problems Formed WGs to Develop this New Model –Social & Legal WG Need to further discuss agreements among participating Libraries. Similar to Consortial Resource Sharing Except for Copy Issue (some ETDs restricted to local networks) –Integrity Audit WG Will work to provide auditing standard and ensure integrity of current harvest. –Network Growth WG Want to expand group beyond Southeast as a subgroup of LOCKSS participants. Includes agreements and hardware capability.

10. Case Study Florida State University ETD Program –Mandatory Publication Program (Fall 2002) –Currently 500 ETDs (2002-Present) – 10,000 Legacy Dissertations Digitized (1952-2002) Other E-Scholarship –D-Scholarship Institutional Repository –Honors Theses (2004 – Present) –Research Report Series (Oceanography – FSU Heritage)

11. Case Study Vanderbilt University Early Participant in LOCKSS e-journal access preservation project ETD Program –Optional Publication Program (1999) –Currently ~250 ETDs Other E-Scholarship –VU e-Archive (DSpace) –Vanderbilt Electronic Journals Project (3 current titles, 3 under development) –Global Music Archive

12. LOCKSS New Features Several New Features in LOCKSS have enabled LOCKSS-ETD Initiative –LOCKSS Web Mgmt Interface –OAI Based (SIP) Harvesting Forthcoming Features will enable easier implementation –New Plugin Generation Tool –Harvest Permission in OAI transaction –Test Format Conversion with PDF ETDs

13. New LOCKSS Mgmt Interface Provides Web auditing of virtual content across the existing LOCKSS network. Helps with Network Troubleshooting. Enables Server Status Checks by others in the Network. Independent of LOCKSS Network –Can be installed for virtual groups across LOCKSS network –Written for Apache – PHP

17. Traditional Harvesting Start at a Publisher Manifest Page –Grants permission –Table of Contents for an Archival Unit (AU) “Spider” from there –Using crawl rules from the plug-in

18. OAI Harvesting Query OAI repository –Can use Selective Harvesting Dates Sets Generate list of initial URLs Crawl from those Uses traditional LOCKSS permission page

19. OAI Advantages over traditional crawling Targeted –URL for each digital object Structured metadata included with content Enables standard mechanism (OAI) for all harvesting for LOCKSS preservation –Would require diminished setup/maintenance once in place for one collection.

20. Writing OAI plug-in Very similar to traditional LOCKSS plug- ins –Specify OAI-PMH harvesting instead of traditional –Specify OAI repo URL New plug-in generation tool coming out soon

21. Future work Get permission info from OAI-PMH response RSS (Really Simple Syndication) –Popular for blogs Google SiteMaps –Includes information about frequency of update

22. LOCKSS-ETD Contributors FSU – Robert McDonald - Edward Peirce – Chuck Thomas GaTech – Tyler Walter – Larry Hansard – Catherine Jannik NCSU – Kristin Antelman - Tim Mori Kentucky – Carol Diedrichs – Beth Kraemer – Jay Baker – Ann D. Fath – Sandee McAninch – Kelly Vickery Miami – Tom Ruthven – Courtnay Grant Tennessee – Bill Britten - Anthony Smith – David Ratledge Vanderbilt – Paul Gherman – Jody Combs - Jason Battles VaTech – Gail McMillan – Manjula Iyer LOCKSS Team – Vicky Reich – Tom Robertson – Seth Morabito – Tom Lipkis – David Rosenthal

23. QUESTIONS Contact Information –Robert H. McDonald Associate Director of Libraries for Technology and Research Florida State University - rmcdonal@mailer.fsu.edu –Jody Combs Director of the Digital Library Vanderbilt University – jody.combs@vanderbilt.edu –John Burger Executive Director ASERL – jburger@solinet.net –Thomas S. Robertson Assistant Director & Technical Manager LOCKSS Program – troberts@stanford.edu –http://lockss.stanford.eduhttp://lockss.stanford.edu –http://scholar.lib.vt.edu/theses/ETDsASERLLOCKSS20050711PR.pdfhttp://scholar.lib.vt.edu/theses/ETDsASERLLOCKSS20050711PR.pdf