1. Electronic Theses and Dissertations (ETDs): Improving Graduate Education through the Networked Digital Library of Theses and Dissertations (NDLTD) Johns Hopkins University April 7, 2000 Edward A. Fox fox@vt.edu http://fox.cs.vt.edu CC CS DLRL Internet TIC Virginia Tech, Blacksburg, VA, USA

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

3. Grad Program Library IT Ed. (Tech)

4. Acknowledgements (Selected) F Sponsors: Adobe, IBM, Microsoft, NSF, OCLC, US Dept. of Ed. (FIPSE), … F VT Faculty/Staff: Tony Atkins, Thomas Dunbar, John Eaton, Gwen Ewing, Peter Haggerty, Gary Hooper, Gail McMillan, Len Peters, James Powell  VT Students: Emilio Arce, Fernando Das Neves, Brian DeVane, Robert France, Marcos Goncalves, Scott Guyer, Robert Hall, Neill Kipp, Paul Mather, Tim McGonigle, Todd Miller, Constantinos Phanouriou, William Schweiker, Ohm Sornil, Hussein Suleman, Patrick Van Metre, Laura Weiss

5. Remember! F DLs (technology base on campuses) F ETDs (growing initiative – act now!) F NDLTD (focus on improved graduate education! federation to join! support!) F NUDL, OAI (help establish international cooperative and new era in scholarly communication)

6. Virginia Tech Background F Largest university in Virginia, land-grant, football, town population 35K plus 25K students F Blacksburg Electronic Village, since 1992, with > 80% of community on Internet F Net.Work.Virginia, largest ATM network, with over 750 sites, for education, research, gov’t F LMDS, Local Multipoint Distribution Service, gigabit wireless networking - 1/3 of Virginia F Math Emporium, 500 workstations F Faculty Development Initiative, round 2

7. Digital Libraries SGML (1985) PDF (1992) NSF DLI (1994) Library Cancellations (1988) University Scholarly Electronic Pub. (1988) Info. Literacy (1995) Improving Education Internet (1984) WWW (1994) Multimedia (1986)

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

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

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

11. Media ETD Web Site http://www.ndltd.org/ ETDs Got Your Interest? Graduate Students Singapore AM Chronicle of Higher Ed. National Public Radio NY Times... U. Laval

12. Key Ideas: Networked infrastructure Scalability Education is the rationale University collaboration Workflow, automation Authors must submit Maximal Access PDF, SGML, MM, MARC, DC, URNs, Federated search Standards 8th graders vs. grads

13. What led to today’s meeting? F 1987 mtg in Ann Arbor: UMI, VT, … F 1992 mtg in Washington: CNI, CGS, UMI, VT and 10 universities with 3 reps each F 1993 mtg in Atlanta to start Monticello Electronic Library (MEL): SURA, SOLINET F 1994 mtg in Blacksburg re ETD project: std of PDF + SGML + multimedia objects F 1996 funding by SURA, US Dept. of Education (FIPSE) for regional, national projects F 1997 meetings in UK, Germany,... F 1998 – 1 st symposium – Memphis (20) F 1999 – 2 nd symposium – Blacksburg (70) F 2000 – 3 rd symposium – St. Petersburg (225) -> Caltech

14. What are the long term goals? F 400K US students / year getting grad degrees are exposed / involved F 200K/yr rich hypermedia ETDs that may turn into electronic portfolios (images, video, audio, …) F Dramatic increase in knowledge sharing: literature reviews, bibliographies, … F Services providing lifelong access for students: browse, search, prior searches, citation links F Hundreds/thousands of downloads / year / work

15. ETDs: Library Goals F Improve library services –Better turn-around time –Always available F Reduce work –catalog from e-text –eliminate handling: mailing to UMI, bindery prep, check-out, check-in, reshelving, etc. F Save space

16. F Aiding universities to enhance graduate education, publishing and IPR efforts F Helping improve the availability and content of theses and dissertations F Educating ALL future scholars so they can publish electronically and effectively use digital libraries (i.e., are Information Literate and can be more expressive) What are we doing?

17. NDLTD Computer Resources Research Literature Student Prepares Thesis/Dissertation

18. Student Defends & Finalizes ETD My Thesis ETD

20. Student Gets Committee Signatures and Submits ETD Signed Grad School

21. Graduate School Approves ETD, Student is Graduated Ph.D.

22. Library Catalogs ETD, Access is Opened to the New Research WWW NDLTD

23. Status of the Local Project F Approved by university governance Spring 1996; required starting 1/1/97 F Submission & access software in place F Submission workshops for students (and faculty) occur often: beginner/adv. F Faculty training as part of Faculty Development Initiative F Over 2000 ETDs in collection – some have audio, video, large images, software, …

24. Archiving ETDs F Every 15 minutes back-ups made of not- yet-approved submissions F Hourly back-ups of newly approved ETDs F Weekly back-ups of entire ETD collection F Copies stored on-site and off-site

25. VT ETD Cataloging F 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 F time savings –cataloger familiar with computer files –equipment, software for word processing –5 minutes avg. (10-15 minutes for paper TDs)

26. Library Costs F $12/vol. for paper thesis processing – catalog, bind, security strip, label, shelve – @950 vols./yr. = $11,466 F $3.20/vol. ETD processing – cataloging @950 vols./yr. = $3040 F $.07/vol. shelving F $.04/vol. circulation

27. Costs/Savings at VT F Graduate School stopped shipping to the library 3000 copies of paper TDs/year F Library stopped binding, shelving, and circulating 3000 copies of TDs/year F 166 ft of shelf space saved/year by the library F VT used existing equipment in Library (vs. start-up costs for staff, hardware and software from from a zero-base estimate: $65,000 – see http://scholar.lib.vt.edu/theses/)

28. Institutional Members F Coalition for Networked Information (CNI) F Committee on Institutional Cooperation (CIC) F Diplomica.com F Dissertation.com F Dissertationen Online (Germany) F Ibero-American Science & Technology Education Consortium (ISTEC, www.istec.org) F National Library of Portugal (for all universities) F Organization of American States (SEDI/OAS) F UNESCO (www.unesco.org/webworld/etd)

29. US University Members (41) F U. of Florida F U. of Georgia F University of Hawaii, Manoa F U. of Iowa F U. of Kentucky F U. of Maine F U. of North Texas – required since 8/99 F U. of Oklahoma F U. of South Florida F U. of Tennessee, Knoxville F U. of Tennessee, Memphis F U. of Texas at Austin F U. of Virginia F U. Wisconsin - Madison F Vanderbilt U. F Virginia Commonwealth U. F Virginia Tech - required since 1/97 F West Virginia U. - required fall 1998 F Western Michigan U. F Worcester Polytechnic Inst. F Air University (Alabama) F Baylor University F Brigham Young University F Caltech F Clemson University F College of William & Mary F Concordia University (Illinois) F East Carolina University F East Tenn. State U. – require fall 2000 F Florida Institute of Tech. F Florida International University F George Washington University F Marshall University (W. Va.) F Miami U. of Ohio F MIT F Michigan Tech F Naval Postgraduate School (CA) F North Carolina State U. F Penn. State University F Rochester Institute of Tech. F U. of Colorado Health Science Center

30. Australian Project Members F U. New South Wales (lead institution) F U. of Melbourne F U. of Queensland F U. of Sydney F Australian National University F Curtin U. of Technology F Griffith U.

31. German Project Members F Humboldt University (lead institution) F 3 other universities F 5 learned societies –Mathematics, Physics, Chemistry, Sociology, Education F 1 computing center F 2 major libraries

32. CBUC (www.cbuc.es, Spain) F Consorci de Biblioteques Universitàries de Catalunya, as group, with 9 members: –Universitat de Barcelona –Universitat Autonòma de Barcelona –Universitat Politècnica de Catalunya –Universitat Pompeu Fabra –Universitat de Girona –Universitat de Lleida –Universitat Rovira i Virgili –Universitat Oberta de Catalunya –Biblioteca de Catalunya

33. Other International Members F Chinese University of Hong Kong F Chungnam National U. (S. Korea - CS) F City University, London (UK) F Darmstadt U. of Tech. (Germany) F Free University of Berlin (GE - Vet. Med.) F Gyeongsang National U. (Korea) F India Institute of Tech., Bombay (India) F Nanyang Technological U. (Singapore, pt) F National U. of Singapore (Singapore, pt)

34. Other International Members cont’d F Polytechnic University of Valencia (Spain) F Rhodes U. (South Africa) F St. Petersburg St. Tech.U (Russia) F Univ. de las Américas Puebla (Mexico) F Univ. of Alicante (Spain) F Univ. of Pisa (Italy) F U. Laval; U. of Guelph; U. Waterloo; F Wilfrid Laurier U. (Canada), …

35. For professional societies F Like “writing across the curriculum”, e.g., Chemical Markup Language, MathML, … F Besides writing: computing/communications, information literacy, personal digital library management, tool use, research methods, collaboration, archiving/preservation F Data sets, communities of users of them F Classification systems / browsing / searching F NRC’s “On becoming a researcher”

37. Usage of ETDs in VT Collections 1996199719981999 Jan-Aug Total requests 37,171247,537465,974907,104 Daily Requests 1026851,7223,121 Abstract requests 25,829112,633177,647143,056 Hosts served 9,01522,72528,02252,663

39. Popular Works 1996 458 Seevers, Gary L. Identification of Criteria for Delivery of Theological Education Through Distance Education: An International Delphi Study (Ph.D., Educational Research and Evaluation, April 1993; 1353Kb) 432 Hohauser, Robyn Lisa. The Social Construction of Technology: The Case of LSD (MS in Science and Technology Studies, Feb. 1995; 244Kb) 390 Childress, Vincent William. The Effects of Technology Education, Science, and Mathematics Integration Upon Eighth Grader's Technological Problem-Solving Ability (Ph.D. in Vocational and Technical Education, July 1994; 285Kb) 310 Kuhn, William B. Design of Integrated, Low Power, Radio Receivers in BiCMOS Technologies (Ph.D. in Electrical Engineering, Dec. 1995; 2Mb) 287 Sprague, Milo D. A High Performance DSP Based System Architecture for Motor Drive Control ( MS in Electrical Engineering, May 1993; 878Kb) 165 Wallace, Richard A. Regional Differences in the Treatment of Karl Marx by the Founders of American Academic Sociology (MS in Sociology, Nov. 1993; 479Kb) 150 McKeel, Scott Andrew. Numerical Simulation of the Transition Region in Hypersonic Flow (Ph.D. in Aerospace Engineering, Feb. 1996; 3Mb)

40. Popular Works 1997 9920 Liu, Xiangdong. Analysis and Reduction of Moire Patterns in Scanned Halftone Pictures (Ph.D. in Computer Science, May 1996; 6.6Mb) 7656 Petrus, Paul. Novel Adaptive Array Algorithms and Their Impact on Cellular System Capacity (Ph.D. in Electrical Engineering, March 1997; 5Mb) 2781 Agnes, Gregory Stephen. Performance of Nonlinear Mechanical, Resonant-Shunted Piezoelectric, and Electronic Vibration Absorbers for Multi-Degree-of-Freedom Structures (Ph.D. in Engineering Mechanics, Sept. 1997; ? + 7926Kb) 2492 Gonzalez, Reinaldo J. Raman, Infrared, X-ray, and EELS Studies of Nanophase Titania (Ph.D. in Physics, July 1996; 4607Kb) 1877 Shih, Po-Jen. On-Line Consolidation of Thermoplastic Composites (Ph.D. in Engineering Mechanics, Feb. 1997; 3.3Mb) 1791 Saldanha, Kevin J. Performance Evaluation of DECT in Different Radio Environments (MS in Electrical Engineering, Aug. 1996; 3.2Mb) 1431 DeVaux, David. A Tutorial on Authorware (MS in CS, April 1996; 2.3Mb) 1394 Kuhn, William B. Design of Integrated, Low Power, Radio Receivers in BiCMOS Technologies (Ph.D. in Electrical Engineering, Dec. 1995; 2518Kb)

41. International Use  199619971998  85029928170 United Kingdom  6082,5014223 Australia  34623787373 Germany  71323673970 Canada  38712642201 South Korea  46311614431 France  2507252553 Italy  1918672781 Netherlands  18311301449 Brazil  229671089 Thailand  839581414 Greece

42. NUDL F 1/15/99 NUDL proposal to NSF under DLI2 international program –VT: Library, Grad School, Industrial&Systems Eng. –Partners: UK (2), Singapore, Russia, Korea, Greece, Germany, plus Iberoamerican group (Spain, Portugal, Argentina, Brazil, Chile, Mexico) –Problems: Multilingual search, multimedia submissions, requirements/usability, … F Start with ETDs, then expand to other student works, portfolios, data sets, (CS) courseware,...

44. NUDL Partners F Ricardo A. Baeza-Yates, Universidad de Chile, Chile F José Luis Brinquete Borbinha, Biblioteca Nacional, Portugal F José Hilario Canós Cerdá, Universidad Politécnica de Valencia, Spain F Stavros Christodoulakis, Technical University of Crete, Greece F Lautaro Guerra Genskowsky, Universidad Técnica Federico Santa Maria,Chile F Juan José Goldschtein, Univesidad de Belgrano, Argentina F Peter Diepold, Humboldt University, Germany F Francisco Javier Jaén Martinez, Spain F Sung Hyon Myaeng, Chungnam National University, Korea F Ana Maria Beltran Pavani, Prédio Cardeal Leme, Brazil F Lim Ee Peng, Nanyang Technological University, Singapore F Alexander I. Plemnek, St.-Petersburg State Technical University, Russia F J. Alfredo Sánchez, Universidad de las Américas-Puebla, Mexico

45. Who are sponsors / cooperators? F Funding, Donations of hardware/software –SURA –US Dept. of Education (FIPSE) –Adobe Systems –IBM –Microsoft –OCLC F Others Serving on Steering Committee –National/Regional Projects: Australia, French speaking group, Germany, IberoAmerica (ISTEC), UK (UTOG) –CGS, National Lib. Canada, NSF, OAS, SOLINET, UMI, UNESCO,...

46. Relationship with publishers F Concern of faculty and students that still wish to publish books or journal articles, voiced: campus, Chronicle, NPR, Times F Solution: Approval Form gives students, faculty choices on access, when to change access condition; use IPR controls in DL F Solution: by case, work with publishers and publisher associations to increase access – AAP, AAUP – AAAS, ACM, ACS, Elsevier,...

47. Some responses from publishers F ACM: need to acknowledge copyright F Elsevier: need to acknowledge copyright F IEEE-CS: endorse initiative F ACS: After first publication, can release F Textbook publishers: different market, manuscript significantly reworked F General: restricting access to local campus will not cause any problems

48. How does this relate to UMI? F Generally, they are independent decisions. F 1987 UMI workshop was first to explore ETDs. F UMI wrote support letter for US Dept. of Ed. proposal. F UMI is on Steering Committee. F ProQuest Direct pilot of scanning works started 1/1/97, with free 2 yr access to front part. F We are collaborating on: – accepting electronic author submissions – standards (e.g., representation)

49. ETD Initiative (and UMI) Students Learn about DL, EPub TDs become more expressive N. Amer. (T)Ds are accessible, archived Global TDs become more accessible, archived UMI Universities

50. User Search Support (multilingual, XML) Note: All groups shown are connected with NDLTD.

51. www.theses.org F James Powell student project, D-Lib Magazine description in Sept. 1998 F XML description of each site –type of search engine / service –language –coverage (for resource discovery) F Adding Z39.50 gateway capability and integrating with MARIAN, along with Harvest and Open Archives protocols

52. Interoperability Tests Planned F IBM DL: donated equipment, technical support, powerful IPR (see TOIS, D-Lib) F Z39.50: OCLC SiteSearch / VT tailored s/w –university libraries w. catalogs of freely shared MARC records pointing to archival copies –via URNs: handles & PURLs F Dienst / NCSTRL - www.ncstrl.org: CS depts., DARPA, NSF, CNRI, Cornell – UVA, MIT have worked on extensions for ETDs - Portugal is studying use for Europe - VT is working on Dienst to Z39.50 gateway

53. Access Approaches F Goal: Maximize access and services, e.g., by encouraging: F UMI centralized services F Distributed service: Dienst, Z39.50 F Regional services (e.g., OhioLink, AZ/NM) F Local servers with browse, search – From local catalogs to local archives F WWW robot indexing and search services

54. Access Possibilities Web search engines library catalog clients www. theses. org www. openarchives. org 3 rd Party Services (e.g., UMI) Virginia Tech National Library of Portugal CBUC (Spain) Ohio Link MITNational Projects: AU, GE, …

55. MARIAN F Multiple Access Retrieval of Information with Annotations F (Marian the Librarian …) F Evolved from CODER system to a distributed Online Public Access Catalog (OPAC), then DL backend, now becoming a full DL system F From C/C++ to Java F Future: NDLTD, NUDL, PetaPlex F Use for campus collection management F Use for www.theses.org as centralized system with gateway services

56. MARIAN Layers Database Layer Search Engine Layer User Information Layer User Interface Layer User

57. Open Archives Initiative (OAI) F Santa Fe meeting, Oct. 21-22, 1999, protoproto F Next mtg June 3, San Antonio, between HT’00 & DL’00 F LANL, CNI, DLF, Mellon, … F Convention (see Feb. D-Lib Magazine article) F Archives -> Open Archives –Support unique archive identifiers –Implement Open Archives Metadata Set (DC-based, using XML) –Implement Dienst harvesting interface –Register the archive F Build tools, layer other services: linking, searching, …

58. Approaches to Open Archives Build By Discipline Build By Institution Author Category Interdisciplinary Year Language Query …

59. Why might a university want to be involved? F To improve graduate education / better prepare your students / increase their knowledge and visibility F To unlock university information F To save money for students and for the university / improve workflow F To build an important digital library

60. Multiple objectives F Sharing research results –Decrease costs, increase services –Increase knowledge of users F Adding to author knowledge/skills –Epub, DL, IPR F Enhancing organization’s infrastructure –CS department, library –University, Laboratory

61. DL Submission Software F Similar software developed for W3C’s WCA, CSTC, and NDLTD F CSTC version field-tested to manage papers for ACM Digital Libraries ‘99 F May generalize for –conferences –electronic journal –resource description (e.g., courses, Web content)

62. How can a university get involved? F Select planning/implementation team – Graduate School – Library – Computing / Information Technology – Institutional Research / Educ. Tech. F Send us letter, give us contact names – www.ndltd.org/join F Adapt Virginia Tech solution – Build interest and consensus – Start trial / allow optional submission

63. Contact Our Project Team E-mail etd@ndltd.org Phone Call Visit Video Tape

64. Convene Local Planning Group ETD

65. Build Local ETD Site Digital Library Policies Inspection/Approval Workshop/Training ETD

66. Type 1 Members University Requires ETDs F Adobe Acrobat and/or XML/SGML tools F Automated submission & processing F Archive/access through UMI, (OCLC,) Virginia Tech,... F (Local) WWW site, publicity F (Local) Assistance provided as requested: email, phone, listserv(s)

67. Type 2 Members University Agrees to Require ETDs F Like Type 1 but set date not reached F Usually has an option or pilot F May: wait for new AY; start with all who enter after; … F Build grass roots support – Advisory committee: representative? expert? – Champions to spread by word of mouth – Approval: Senates, Commissions, Deans, Students – Publicity to reach community

68. NDLTD Members, Types 3-7 F 3. Part of university requires ETDs F 4. University allows ETDs F 5. University investigating, has pilot F 6. University consortium joins: –CIC (Big 10 coordinating body) F 7. Non-university organization joins –CNI (Coalition for Networked Info.)

69. Support Services Developed F WWW site with > 300 Mb, CD, videotape F Automated submission system (MySQL, UNIX, WWW scripts - grad school/library) F Student guidelines, style sheets, multimedia training materials, FAQs, press info F SGML and XML DTDs for ETDs F SGML to HTML (web generator) F LaTeX, Word templates, converters F FTP site for PS to PDF conversion with UNIX distiller

70. Accessibility Activities / Plans F Interface design (simple, 3D, VR) F Usability studies F Generic multi-lingual support F Support for those with disabilities F Hybrid collection (paper, MARC, abstracts, full-text, multimedia) F Disciplinary classifications, tools F Visualization of results, collection

71. CAVE Experiments F Use a familiar metaphor –building / floor / room / shelf / book F Rearrange orderings / shelving –use categories, clustering, ranking –use visualization: colors and gaps –study space mappings: physical, logical F Simplify movement for key tasks

73. ENVISION F NSF “A User-Centered Database from the Computer Science Literature” (1991-93) F Collected bib/typesetter data, converted to SGML F Scanned thousands of page images F MARIAN search engine - can be made available (also applied to the Virginia Tech library catalog) used as part of a prototype object-based DL, with tailored visualization interface (L. Nowell dissertation)

74. Envision Results Window

75. SPIRE Visualization

76. Support Offered F Software, documentation, tech support F Email, listservs (etd-l@listserv.vt.edu, -eval, -grad, -library, -technical) F Donations: Adobe, Microsoft F Evaluation: instruments, analysis http://scholar.lib.vt.edu - solutions/statistics F (Temporary storage / archiving; aid - in setting up an int’l service & archive)

77. PetaPlex F Digital Library Machine (“super” object store) F Parallel computer / storage utility F Knowledge Systems Incorporated is supplying VT-PetaPlex-1 with –high speed backbone connection –2.5 terabytes through 100 nodes : u Net connection + 25GB disk + 233 MHz Pentium + Linux

78. PetaPlex Complex FRONT END MACHINE RS/6000, 1G RAM, 4 Proc. Nanoserver Service Machine 1 Service Machine 2 Service Machine 3 Service Machine 4

79. Enhancements F Dublin Core spec, MARC crosswalk F DTDs for SGML, XML(+ ML) F Annotation system (author, friends, notes) F Routing system (based on Sift) F Multilingual WWW site, training materials F Better federated search (w. Z39.50, planned with Dienst and Harvest - using MARIAN) F Integrate SFX, CiteSeer (citation database and linking, plagiarism detection)

80. Future Work - 1 of 2 F Working with publishers to increase level of access as much as possible F Interoperability tests among universities and with UMI to provide integrated services F Study with testbed that emerges, to improve information retrieval, browsing, interface, and other types of user support F Evaluation, improving learning experience, spread to worldwide initiative, sustainable support and coordination

81. Future Work - 2 of 2 F Adding services currently prototyped –annotation and SDI (routing) capabilities –Dublic Core metadata, crosswalk to MARC –support with IBM DL, OCLC SiteSearch F Adding other services planned –building and using citation database (w. SFX) –implementing plagiarism check (like “SCAM”) F Developing NUDL as a sustainable self governing global institution (w. committees)

82. Remember! F DLs (technology base on campuses) F ETDs (growing initiative – act now!) F NDLTD (focus on improved graduate education! federation to join! support!) F NUDL, OAI (help establish international cooperative and new era in scholarly communication)