1. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 1 First a trial balloon, now an established workflow: collecting electronic theses at the German National Library Uta Ackermann, German National Library

2. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 2

3. 3 1.The development of online dissertations in Germany 1.The founding of DissOnline 2.Problems and their solutions 1.Acceptance 2.Creating a legal framework 3.Technical issues 2.From collecting online dissertations to collecting all online publications at the German National Library (DNB) 1.Ingest of online publications to the DNB 2.URN as Persistent Identifier 3.Metadata

4. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 4 Factors unique to Germany  obligation to publish every dissertation  since 1913 all German dissertations are available through the German National Library

5. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 5 The development of online dissertations in Germany  1996 initiative of the learned societies  1997: KMK allowed the possibility of electronic publishing in their ‘Principles of Publishing of Dissertations’  1998 project to introduce online dissertations funded by German Research Foundation : 5 German universities: Berlin, Duisburg, Erlangen, Karlsruhe and Oldenburg 5 academic fields: chemistry, education, information technology, mathematics and physics  DNB partner since 1998

6. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 6 Acceptance  initially great scepticism in academic circles  now 40% of all theses published online

7. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 7

8. 8 Creating a legal framework Main issues: standardisation and copyright  Germany: university faculties responsible for dissertations  need for standardisation  contracts between authors and publishers/universities to clarify and secure copyright

9. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 Co-operation with DINI  DINI = German Initiative for Network Information  ‘DINI Certificate for Document and Publication Services’ sets a clearly defined standard in this field (more information on http://www.dini.de/dini-zertifikat/english/) http://www.dini.de/dini-zertifikat/english/ 9

10. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 www.dissonline.de

11. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 11  Formats:  initially Word or PostScript  XML too labour intensive  PDF proprietary but disclosed, now established  DissOnline Tutor  forum for support of authors  word processing tools (Word, LaTex)  learning and teaching materials  DART (European E-theses Portal): global access  http://www.dart-europe.eu/ http://www.dart-europe.eu/ Technical issues

12. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 12 From collecting online dissertations to collecting all online publications 1.Ingest of online publications to the DNB 1.Web forms 2.OAI-PMH 3.Deposit via Hotfolder 2.URN as Persistent Identifier 3.Metadata format

13. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 Since 2006: collection and long term archiving of online materials at the DNB Change in the law: extended mission of the German National Library Not only printmedia but also non-physical media to be collected and archived  all German online publications 13

14. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 14 Web Forms  simple and brief  used for monographs, e-books, ETDs, music, periodical titles, issues and articles  now metadata and resources transferred automatically without intellectual checks.  ideal for smaller quantities of publications

15. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 15 OAI-PMH (HTTP based harvesting protocol developed by the Open Archive Initiative)  very popular with universities  used by DNB to harvest metadata and to store the objects in its repository  uses ‘transfer-URL’ (mandatory metadata tag) to save object onto repository  now fully automated  suitable for larger numbers of files

16. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 16 Hotfolder  OAI still unpopular in the commercial sector:  despite guarantee concerns about security  associated with Open Access  measures taken: hotfolder as new ingest workflow  uses SFTP or WebDAV based procedures  sent by depositor to monitored folder  suitable for transfer of larger amounts of files

17. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 17 Ingest of online publications to the DNB 3 different transfer methods DNB OAI-PMH  for larger amounts  for e-books; for e-journals planned Hotfolder  for larger amounts  for e-books Web forms  for smaller amounts  for e-books and e-journals

18. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 18 URNs as Persistent Identifiers  task: to ensure long term access to the object  DNB and some other European national libraries chose URN (Uniform Resource Name) as their persistent identifier system  2001: development of URN Service consisting of resolver, database and transfer surfaces at DNB URN = Uniform Resource Name

19. How does a URN work? in database: URN (as an identifier) is matched with at least one URL address of the object reached through URN using a resolver ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 19 database URN  URL_1 URL_2 URL_n resolver user

20. urn:nbn:de:[SNID]-[NISS] A strong hierarchical structure urn:schema nbn:namespace identifier =National Bibliography Number de:country code [SNID]subnamespace identifier - further involved parties - [NISS]namespace specific string - name of the object (+ checksum) - 20 prefix suffix

21. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 Persistent Identifier-Strategy of the DNB 21 Each digital object that is collected and archived by the German National Library must have or will get a URN as a persistent identifier.

22. urn:nbn:de  in August nearly 6 million URNs registered  more than 400 institutions  app. 3 500 queries/day  trend upward ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 22

23. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 23 Metadata at the DNB 1998 MetaDiss html based 2005 XMetaDiss xml based to enable transfer via OAI 2010 XMetaDissPlus now all online university publications can be transferred

24. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 XMetaDissPlus 2010  no longer limited to dissertations and postdoctoral theses  also includes: great variety of publications found in university repositories (books, articles, journals, different theses, pictures etc.)  ‘Common Vocabulary of Types of Publications and Documents’ developed by DINI  reference descriptions and examples for XMetaDissPlus developed in close cooperation between BSZ (Library Service Centre Baden-Wuerttemberg) and DNB 24

25. ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 Summary and Outlook Academic publishing in online form in Germany  today firmly established  stakeholders  DINI and Open Access movement German National Library  2006 law demanded a new perspective from DNB  rose to the challenge  possibility of automated procedures  much more work to be done  DNB continues to strive for same success, high standards in collection of all online publications as with ETDs 25

26. acknowledgement ETD 2011 in Cape Town| Collecting electronic theses at the German National Library | 14 September 2011 26 Prof. Dr. Törner Prof. Dr. Diepold Prof. Dr. Schirmbacher Dr. Nikola Korb Natascha Schumann Ute Schwens Susanne Dobratz

27. in Leipzig and Frankfurt German National Library Thank you! any question? u.ackermann@dnb.de