Networked Digital Library of Theses and Dissertations NDLTD

Networked Digital Library of Theses and Dissertations (NDLTD, www. ndltd. org) Oregon State University Corvallis, OR 20 July 2005 Edward A. Fox Virginia Tech, Blacksburg, VA 24061 USA fox@vt. edu http: //fox. cs. vt. edu Slides later at: http: //fox. cs. vt. edu/talks/2005

Acknowledgements (Selected) • VT Faculty/Staff: Tony Atkins, Debra Dudley, John Eaton, Gary Hooper (provided funds for work in 1987), Carolyn Kletnieks, Gail Mc. Millan, 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, CONACy. T, DFG, FIPSE (US Dept. Education), IBM, Microsoft, NSF (IIS-9986089, 0086227, 0080748, 0325579; DUE-0121679, 0136690, 0121741, 0333601), 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 Mc. Millan, Axel Plathe, Hussein Suleman, …

Part 1 Introduction

Digital Libraries --- Objectives • World Lit. : 24 hr / 7 day / from desktop • Integrated “super” information systems: 5 S: 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, Useful

Synchronous Scholarly Communication Same time, Same or different place

ous, Digital Library Mediated Scholarly Com Different time and/or place

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

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

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

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 “ 5 S” framework:

5 S Model: Examples, Objectives Models Examples Objectives Stream Text; video; audio; image Describes 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

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

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

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 • www. arl. org/sparc/IR/IR_Guide_v 1. pdf

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 Museums Publishers E-Print Archives …that can be exploited by different communities

OAI – Repository Perspective Required: Protocol MDO MDO DO DO

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

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

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

Part 2 NDLTD

A Digital Library Case Study • Domain: graduate Project: education, research Networked Digital • Genre: ETDs=electronic Library of Theses & theses & dissertations Dissertations • Submission: (NDLTD) http: //etd. vt. edu http: //www. ndltd. org • Collection: http: //www. theses. org

The Networked Digital Library of Theses and Dissertations www. NDLTD. org Training Authors Expanding Access Preserving Knowledge Improving Graduate Education Enhancing Scholarly Communication Empowering Students & Universities Leader of the Worldwide ETD (Electronic Thesis and Dissertation) Initiative

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, . . . • 1998 – 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? • 400 K US students / year getting grad degrees are exposed / involved • 200 K/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 Pro. Quest, 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 • Le. Clair Ryan provides legal counsel • Officers • Executive Director (Ed Fox) • Secretary (Gail Mc. Millan) • 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 (Pro. Quest) Joan K. Lippincott (CNI) Mike Looney (Adobe) Gail Mc. Millan (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 Ohio. LINK: 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 Dissertationen Online (Germany) ETDweb, a Division of Answer 4. 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 Ohio. LINK Organization of American States (SEDI/OAS) Southeastern Library Network (SOLINET) UNESCO (www. unesco. org/webworld/etd)

UNESCO and ETDs (by Axel Plathe at ETD 2003) • 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 ETD Workshop/Training Digital Library Policies Inspection/Approval

Student Prepares Thesis/Dissertation NDLTD Literature Computer Resources Research

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

http: //scholar. lib. vt. edu/theses/available/etd-2227102539751141/

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 e-mail notifications to authors, advisors, UMI • Use it too: http: //scholar. lib. vt. edu/ETD-db/ • Log files analyzed with Analog • Survey scripts written by DLA • Data from authors and readers • Use it too: http: //lumiere. lib. vt. edu/surveys/ • Search Engine • Started small; now: Info. Seek’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 • http: //scholar. lib. vt. edu/theses/data/setup. html • Use VT programs, scripts, etc. • http: //scholar. lib. vt. edu/ETD-db/ • Or other options: DSpace, eprints, be. Press, VITAL • Online accesses vs. circulation of copies • 1990 -1994, average circulation per copy per year: • 2. 2 for theses, 3. 2 for dissertations

Access to VT’s ETDs http: //scholar. lib. vt. edu/theses/

Server log records of accesses to Virginia Tech ETDs 19 97/ 98 199 8/99 199 9/00 200 0/01 2001/ 02 200 2/03 Requests for PDF files 22 1. 6 K 481 K 578 K 2, 17 3 K 4, 497 K 7, 32 0 K Requests for HTML files 16 5. 7 K 215. 5 K 260. 7 K 400 K 472 K 368 K Requests for Multimedia 1. 7 K 4. 5 K 12. 6 K 44 K 169. 1 K 121 K Distinct files requested 6. 4 K 21 K 16. 4 K N/A 51 K 31. 9 K Distinct hosts served 29. 8 K 57. 9 K 87. 8 K N/A 425 K 681 K Average transfer/day 15 6 Kb 219 Mb 382 Mb 945 Mb 2. 15 Gb 3. 49 Gb Data transferred 55. 6 Gb 78. 1 Gb 137 Gb 332 Gb 780 Gb 1. 2 Tb

Info Available at VT • Information http: //scholar. lib. vt. edu/theses • Automated submission system ready for customization http: //scholar. lib. vt. edu/ETD-db/ • Student guidelines, training materials, FAQ's, multimedia educational materials http: //etd. vt. edu

ETD Union Collection (OAI)

Union catalog: OCLC • OCLC will expand OAI data provider on TDs. • Is getting data from World. Cat (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) (http: //ndltd. calis. edu. cn – popular site!)

VTLS Union Catalog Content Languages n The VTLS NDLTD Union Catalog has data in 6 different languages. These are: n English n German n Greek n Korean n Portuguese n Spanish n 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 (www. adobe. com/education/etd) • Free (and compatible) PDF Reader, work on PDF/A • http: //scholar. lib. vt. edu/theses/archive. html • Addressed Concerns • Cooperatives, e. g. , Ohio. Link, plus LOCKSS • Commercial options • Pro. Quest: 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 (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 • • http: //fox. cs. vt. edu www. dlib. vt. edu scholar. lib. vt. edu www. ndltd. org

Questions/Discussion?