2. Tsinghua University Library Yang Zhao & Airong Jiang Tsinghua University Library, Beijing China 4 June, 2004 Electronic Thesis and Dissertation System Development in China

3.  Established in 1911  The Comprehensive University with 12 schools with 48 departments  Ever Gained No.1 in the ranking of Top 100 Universities in China in the National Comprehensive Survey of Chinese Universities many times  It is panorama of the Tsinghua University Library

4. Tsinghua University Library  History of TD China  ETD submission system in China  CALIS ETD Digital Library Project  Problem in ETD development in China  Summary Agenda NOW

5. Tsinghua University Library History of TD china Dissertations are required Thesis are optional TD from Universities from China Academy of Science National Library of China TD from other institutions that grant the degree ….

6. Tsinghua University Library  The National Library of China is the only legal institution to preserve the all the print dissertation and parts of print thesis from 1981 to now.  Over 110,000 dissertations and 200,000 theses in NLC collection.  No microfilmed copies History of TD china

7. Tsinghua University Library Current Situation of ETD  NLC --- planning to digitalize part of TD collection now  Some commercial corporations start to establish the centralized ETD full-text database like UMI, but copyright cannot be solved well.  Some universities establish their own ETD submission system.

8. Tsinghua University Library  History of TD China  ETD submission system in China  CALIS ETD Digital Library Project  Problem in ETD development in China  Summary Agenda NOW

9. Tsinghua University Library ETD Submission System in China  Tsinghua University is the first one to establish the ETD submission system in 2000. All doctoral and master candidates were required mandatory submission of their own ETDs to the library. Library has collected and archived about 10,000 ETDs from 2000 until now.  Submission software package was developed by Tsinghua Library’s librarians.

10. Tsinghua University Library ETD Submission System in China  From 2001, other major universities also self-developed and established their ETD submission systems.  These systems often use different platform and technology. They were independently developed and used within campus area.

11. Tsinghua University Library ETD Submission System in China  These different submission systems will bring about some question: --- It is not convenient for user to search and acquire ETD among the different systems and is disadvantageous to share ETD within national or international range ---Different metadata standards that will cause difficulty in interoperability of ETD metadata on the semantic level. ---Submission software that is repeatedly developed causes the waste of expense.

12. Tsinghua University Library  History of TD China  ETD submission system in China  CALIS ETD Digital Library Project  Problem in ETD development in China  Summary Agenda NOW Objectives Architecture submission system Interface and protocol Standard activities

13. Tsinghua University Library CALIS ETD Digital Library Project  Funding from China Academic Library & Information System (CALIS)  Tsinghua University is in charge of implementing CALIS ETD project  Involves about 50 member universities now and will include more and more universities in the near future

14. Tsinghua University Library CALIS-ETD Objectives  Establish the China ETD digital library system that is centralized metadata repository and distributed digital object, share the ETD resource among the universities and provide the wider access to ETD  Help the member universities establish the submission and retrieval system that is OAI and METS compatible, design and develop the ETD workflow module, decrease the cost of managing the ETD  Harvest the ETD metadata and pre-16 pages PDF files by the OAI and METS technology, establish the central CALIS-ETD merged metadata collection, centrally manage and preserve the pre-16 pages PDF files

15. Tsinghua University Library CALIS-ETD Objectives  Enable ETD metadata and the pre-16 pages PDF files to be searchable, link metadata to ETD full-text by the OpenURL technology or URN resolver  Implement and design the standard and specification related to ETDs  Establish strategy of long-term preservation of ETDs  Formulate policies to safeguard the copyright and intellectual property rights of ETDs  Expect to include 200,000 metadata records in the central CALIS- ETD metadata collection until 2006

16. Submit ETD Convert to PDF Retrieve ETD Manage ETD ETD metadata Digital object (PDF) Interface Layer Application Layer Storage Layer ETD submission and retrieval system in the member Universities DRM system (PDF) Digitalize print TD MQ server METS interface OAI-DP server OpenURL interface DO Safe Communicaton Interface CALIS-OID Local resolver 123456 Catalog ETD Check ETD Safe Communication Layer MQ server METS interface OAI harvester CALIS-OID request OpenURL Merged metadata Digital object (Pre-16 pdf) Storage Layer CentralCALIS-ETDCollection BrowseRetrieveManage…… Communication Layer Interface Layer Application Layer 1234 ODL interface

17. Tsinghua University Library Submission System Software  Open Source Software  Institutionally Software  Commercial Software  Better technology support abilities  Consortium purchase price is lower.  Recommend four systems.  The project also encourages member universities to use open source software.

18. Tsinghua University Library Submission System Workflow Submit ETD unqualified qualified Check ETD Retrieve ETD Catalog ETD Convert ETD to PDF format and encrypt PDF Digitalize print TD

19. Tsinghua University Library Submission System Workflow  Cataloging ETD mainly includes: ---add the holding location for print TD corresponding to ETD --- add the right control information such as the release year or access range of the ETD etc

20. Tsinghua University Library Submission System Workflow  Converting ETD to PDF format and Encrypting ETD mainly includes: ---most of the submission formats of the ETDs are MS-Word files --- display and storage format of the ETDs are PDF files --- conversion tools that can automatically converse a MS-Word file into two PDF files including the full-text PDF and pre-16 page PDF files --- require to encrypt full-text PDF files based on the concept of the Digital Right Management (DRM) for strict copyright control of the ETD --- For example, protect ETD against copy, print,edit and unauthorized distribution etc.

21. Tsinghua University Library Interface and Protocol between the member universities and central ETD system  OAI Protocol ---- harvest the ETD metadata from the member universities  METS Interface ---- harvest the pre-16 PDF files from the member universities  OpenURL Interface ---- link metadata to the full-text PDF in the member universities  CALIS-OID Interface ---- link to the full-text PDF by CALIS-OID in the member universities

22. Tsinghua University Library Central CALIS-ETD Collection  Centrally manage the metadata and pre-16 PDF files harvested from the member universities  Support browse and retrieval function  Support link to full-text function by OPENURL or CALIS-OID  Support CALIS ODL-MAP protocol ---- to realize the federated search between the central CALIS-ETD collection and the other digital library system. ---- based on extensions of OAI protocol and ODL protocol designed by Virginia Polytechnic Institute and State University.

23. Tsinghua University Library Standard Activities  Description Metadata Standard ----CALIS-ETDMS ----based on an extension of DC with additional elements or qualifier ----refer to the ETD-MS by NDLTD ---- better to descript the Chinese ETD resource ----has good interoperability with the DC and ETDMS in semantic and syntax level

25. Tsinghua University Library Standard Activities  Administrative Metadata Standard ----mainly include Technical Metadata, Rights Metadata, Source Metadata and Digitization Process Metadata  CALIS ETD Persistent Identifier(CALIS-OID) ----globally unique and persistent names for digital objects of ETD ---- CALIS-OID definition: urn:CALIS: Library digital code-ETD[.CollectionName]/ObjID.type.format

26. Tsinghua University Library CALIS-ETD DL will continue to do  About: ----Continue to research some technical problem, such as character encoding, accessing and displaying of special characters such as mathematical expressions or chemical molecular formula etc. ----Research the long-term preservation of ETD ----Develop more and more members

27. Tsinghua University Library Relationship between CALIS-ETD DL and NDLTD  Get lots of experience from NDLTD ----Technical aspect ----Organization and administration aspect  CALIS ETD DL perhaps Consider to Join NDLTD as a whole in the future

28. Tsinghua University Library  History of TD China  ETD submission system in China  CALIS ETD Digital Library Project  Problem in ETD development in China  Summary Agenda NOW

29. Tsinghua University Library Problem in ETD development in China  China needs the institution like UMI to centrally manage and preserve the ETD digital object from the aspects of nation resource development.  The copyright is an important issue to hinder the ETD development during the implement of CALIS-ETD in China. ----we will introduce to the students advantages of releasing ETD in network, gradually change their ideas and encourage them to release their own ETD in network. ----Protect the copyright of ETD by the DRM technology and remove student’s worry about their ETD copyright.

30. Tsinghua University Library  History of TD China  ETD submission system in China  CALIS ETD Digital Library Project  Problem in ETD development in China  Summary Agenda NOW

31. Tsinghua University Library Summary  Continue to develop CALIS-ETD digital library project  Establish good methods to centrally manage and preserve ETD  Learning from NDLTD or the other countries in ETD project implementation

32. Tsinghua University Library Thank You very much ! Yang Zhao Zhaoyang@lib.tsinghua.edu.cn & Airong Jiang Jiangar@lib.tsinghua.edu.cn