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Networked Digital Libraryof Theses and Dissertations (NDLTD, www.ndltd.org)
Oregon State UniversityCorvallis, OR20 July 2005
Edward A. FoxVirginia Tech, Blacksburg, VA 24061 USA
[email protected] http://fox.cs.vt.eduSlides 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 McMillan, 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, CONACyT, 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 McMillan, Axel Plathe, Hussein Suleman, …
Part 1
Introduction
Digital Libraries --- Objectives
• World Lit.: 24hr / 7day / from desktop• Integrated “super” information systems: 5S:
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, Usable, Useful
SynchronousScholarly Communication
Same time, Same or different place
Asynchronous, Digital Library Mediated Scholarly Communication
Different time and/or place
Digital LibrariesShorten the Chain from
Editor
Publisher
A&I
Consolidator
Library
Reviewer
DLs Shorten the Chain to
Author
Reader
Digital
LibraryEditor
Reviewer
Teacher
Learner
Librarian
Information Life Cycle
AuthoringModifying
OrganizingIndexing
StoringRetrieving
DistributingNetworking
Retention/ Mining
AccessingFiltering
UsingCreating
D ig ita l L ib ra r y C o n te n t
A rtic le s ,R e p o rts,
B o o ks
T e xtD o cum e n ts
S p ee ch ,M u s ic
V id eoA u d io
(A e ria l)P h o tos
G e og rap h icIn fo rm ation
M o d e lsS im u la tio ns
S o ftw a re ,P ro g ra m s
G e no m eH u m a n,a n im a l,
p la n t
B ioIn fo rm ation
2 D , 3 D ,V R ,C A T
Im ag es a ndG ra p h ics
C o nte n tT yp e s
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 “5S” framework:
5S Model: Examples, Objectives
Models Examples ObjectivesStream 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
5S and DL formal definitions and compositions (April 2004 TOIS)
5S
structures (d.10)streams (d.9) spaces (d.18) scenarios (d.21) societies (d. 24)
structural metadataspecification(d.25)
descriptive metadataspecification(d.26)
repository(d. 33)
collection (d. 31)
(d.34)indexingservice
structured stream (d.29)
digitalobject (d.30)
metadata catalog (d.32)
browsingservice
(d.37)
searchingservice (d.35)
digital library(minimal) (d. 38)
services (d.22)
sequence (d. 3)
graph (d. 6)function (d. 2)
measurable(d.12), measure(d.13), probability (d.14), vector (d.15), topological (d.16) spaces
event (d.10)state (d. 18)
hypertext(d.36)
sequence (d. 3)
transmission(d.23)
relation (d. 1) language (d.5)
grammar (d. 7)
tuple (d. 4)*
DL Services/Activities Taxonomy (Gonçalves)
BrowsingCollaboratingCustomizingFilteringProviding accessRecommendingRequestingSearchingVisualizing
AnnotatingClassifyingClusteringEvaluatingExtractingIndexing
MeasuringPublicizing
RatingReviewing (peer)
SurveyingTranslating (language)
ConservingConverting
Copying/ReplicatingEmulatingRenewing
Translating (format)
AcquiringCataloging
Crawling (focused)DescribingDigitizingFederatingHarvestingPurchasingSubmitting
PreservationalCreational
AddValue
Repository-Building
Information SatisfactionServices
Infrastructure Services
AuthoringModifying
OrganizingIndexing
Storing
Archiving
NetworkingAccessing
Filtering
Creation
DistributionUtilization
Reputation
Similarity
Desirability
AccuracyCompletenessConformance
Discovery
SearchingBrowsingRecommending
Relevance
Timeliness
Accessibility
Usage
Inactive
Active
Discard
RetentionMining
Semi-Active
Preservability
Timeliness
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_v1.pdf
Fedora™Repository
E x ter n a lC o n ten tS o u r c e
E x ter n a lC o n ten tS o u r c e
HT
TP
E x ter n a l C o n ten tR etr iev er
X M L F ile s
Re la t io n a l D B
S e s s io n M a n a g e me n tU s e r A u th e n t ic a t io n
P o l icies
U s ers /G ro u p s
H T T P
F T P
D atas tr eam s
D ig ita l O b jec tsS to rag e S u b s ys te m
S e c u rityS u b s ys te m
W e b Se r vi c eE xpo s ur eL aye r
SO
AP
R em o teS er v ic e
L o c alS er v ic e
M an ag e A c c e s s S e arc h O A I P ro v id e r
M an ag e m e n tS u b s ys te m
A c c e s sS u b s ys te m
HT
TP
FT
P
H T T PH T T P S O A P H T T P S O A P H T T P S O A P
C lie n tA pplica t io n
B a tchPro g ra m
S e rv e rA pplica t io n
W e bB ro ws e r
Co mp o n e n t M g mt
O b je c t M g mt
O b je c t Va lid a t io n
P ID Ge n e ra t io n
O b je c t D is s e min a t io n
O b je c t Re fle c t io n
P o lic y En fo rc e me n t
P o lic y M g mt
Co n te n t
Web Service Web Service Exposure Exposure LayerLayer
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 forPractical Interoperability…
ReferenceLibraries
PublishersE-Print
Archives
…that can be exploited by different communities
Museums
OAI – Repository Perspective
Required: Protocol
DODO DO DO
MDO
MDO MDOMDOMDO
MDOMDOMDO
OAI – Black Box Perspective
OA 1
OA 2
OA 4
OA 3
OA 5OA 6
OA 7
DiscoveryCurrent
AwarenessPreservation
Service Providers
Data Providers
Meta
data
harv
estin
g
The World According to OAI
Case Study: Education
• Refactoring Scholarly Communication:• Creating, Sharing, Reviewing, Teaching, Learning, …
• Start with focused efforts (ETDs, courseware, technical reports), but eventually cover everything
• Physics: PhysNet• OCKHAM• NCSTRL, CSTC, CITIDEL, NSDL• NDLTD
Part 2
NDLTD
A Digital Library Case Study
• Domain: graduate education, research
• Genre:ETDs=electronic theses & dissertations
• Submission: http://etd.vt.edu
• Collection: http://www.theses.org
Project: Networked Digital
Library of Theses & Dissertations
(NDLTD) http://www.ndltd.org
The Networked Digital Library of Theses and Dissertations
www.NDLTD.org
Leader of the Worldwide ETD(Electronic Thesis and Dissertation) Initiative
Training AuthorsExpanding Access
Preserving KnowledgeImproving Graduate Education
Enhancing Scholarly CommunicationEmpowering Students & Universities
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 – 1st symposium – Memphis (20)• 1999 – 2nd symposium – Blacksburg (70)• 2000 – 3rd symposium – St. Petersburg (225)• 2001 – 4th symposium – Caltech (200)• 2002 – 5th syposium – BYU, Provo, Utah• 2003 – 6th syposium – Berlin (215) • 2004 – 7th syposium – U. Kentucky• 2005 – 8th syposium – Sydney, Australia
What are the long term goals?
• 400K US students / year getting grad degrees are exposed / involved
• 200K/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 ProQuest, 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
• LeClair Ryan provides legal counsel
• Officers• Executive Director (Ed Fox)• Secretary (Gail McMillan)• 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 (ProQuest)• Joan K. Lippincott (CNI)• Mike Looney (Adobe)• Gail McMillan (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• OhioLINK: 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• Dissertation.com• Dissertationen Online (Germany)• ETDweb, a Division of Answer4.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• OhioLINK• Organization of American States (SEDI/OAS)• Southeastern Library Network (SOLINET)• UNESCO (www.unesco.org/webworld/etd)
UNESCO and ETDs(by Axel Plathe at ETD2003)
• 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
Digital Library
Policies
Inspection/Approval
Workshop/Training
ETD
ETD
NDLTD
Computer Resources
Research
Literature
Student Prepares Thesis/Dissertation
Student Defends & Finalizes ETD
My Thesis
ETD
Student Gets CommitteeSignatures and Submits ETD
Signed
Grad School
Graduate School Approves ETD, Student is Graduated
Ph.D.
Library Catalogs ETD, Access isOpened to the New Research
WWW
NDLTD
QuickTime™ and aCinepak decompressor
are needed to see this picture.
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: InfoSeek’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, bePress, 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 ETDshttp://scholar.lib.vt.edu/theses/
-
500,000
1,000,000
1,500,000
2,000,000
2,500,000
3,000,000
3,500,000
4,000,000
4,500,000
5,000,000
ETD files requested 231,709 483,030 578,152 2,173,420 4,497,199
Abstracts requested 165,710 215,493 260,699 573,149 471,917
1997/98 1997/98 1999/00 2000/01 2001/02
Server log records of accesses to Virginia Tech ETDs
1997/98 1998/99 1999/00 2000/01 2001/02 2002/03
Requests for PDF files 221.6 K 481 K 578 K 2,173 K 4,497K 7,320 K
Requests for HTML files 165.7 K 215.5 K 260.7 K 400K 472K 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 156 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
• Informationhttp://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)
VIRTUA
Merged Metadata Collection
ODL (VT)
Virginia Tech ETD Archive
Brazil ETD
Archive
OCLC ETD
Archive
Future: recommender, …
… OAI Data Provider
OAI Service Provider
OAI Harvesting
LEGEND
Union catalog: OCLC
• OCLC will expand OAI data provider on TDs.
• Is getting data from WorldCat (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 CatalogContent Languages
The VTLS NDLTD Union Catalog has data in 6 different languages. These are: English German Greek Korean Portuguese Spanish
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., OhioLink, plus LOCKSS • Commercial options
• ProQuest: 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-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?