Influencing the Deposit of Electronic Theses in UK HE : A sector wide survey Kathy Sadler UCL Library Services UCL Library Services

Project Aims JISC funded short project Landscape view of postgraduate research theses in UK Universities and HEIs: –Snapshot of present and planned deposit practices –Identify potential barriers and their extent –Identify how barriers are addressed UCL Library Services

Participation Online survey conducted during June 2010 Targeted s to named person at every UK University and HEI awarding doctoral degrees 93% response rate UCL Library Services

Survey Content Deposit Open Access Policies and practices Barriers UCL Library Services

Present Thesis Deposit How does your institution accept deposit of theses?

UCL Library Services Planned Thesis Deposit Electronic thesis deposit across UK Universities and HEIs in 2010

Staying with print “I doubt we have more than 10 new doctoral theses a year, which... probably explains why there isn't any great urgency to move to mandated electronic submission - the volumes are a bit low.” Within five years less than 0.05% of theses submitted across the UK* will be stored solely in print format *HESA figures: 17,650 theses in ; 19 institutions staying with print max 10 theses per year UCL Library Services

Open Access Metadata widely available in library catalogues Presently 69% of HEIs with e-theses place them on open access (repository or website) 90% of formal e-deposit mandates are “opt out” : open access to full text by default unless author requires a restriction

UCL Library Services Formal Policies

UCL Library Services Workflow Typical workflow for print theses: Two print copies handed in to a central administrative office. One hard copy sent to the academic department. One hard copy sent to the library for cataloguing and storage. E-theses workflow very diverse: Thesis may be uploaded by library, departmental administrator, central graduate office or author themselves Variation in steps to accommodate checking permissions, copyright compliance, embargos, metadata creation.

UCL Library Services Metrics

UCL Library Services Sample Metrics Average e-thesis access 200 times per year compared with print copy ILL requests of up to 10 times for best theses (Russell Group University) 80% of access originates from overseas and elsewhere in the UK (Unaffiliated University)

Barriers to electronic thesis deposit Impact on future publication Third party copyright Plagiarism Sensitive content Practical barriers & other concerns UCL Library Services

Impact on Future Publication : Concerns UCL Library Services “I want my students to be able to publish in journals and this is prior publication"

Impact on Future Publication : Mitigating actions UCL Library Services

Impact on Future Publication : Comments “The data and text of a thesis may need to undergo considerable review prior to publication” “Most students and supervisors don't understand these areas and are confused/worried. Normally when there has been an opportunity to explain the worries fade” “Some research suggests that publishers are more likely to publish theses if they are being well accessed online” “We also have students who published theses and were given permission by their publishers to deposit e-theses” UCL Library Services

Impact on Future Publication : Occurrences UCL Library Services

Third Party Copyright : Concerns UCL Library Services “Not sure that students and supervisors are aware of the implications of including third party copyright material in what is essentially a published work.”

Third Party Copyright : Mitigating actions UCL Library Services

Third Party Copyright : Comments “We strongly suggest that a good copyright habit is a good academic skill and goes beyond etheses.” “Exhaustive education and training, thorough checking, tight policies and a rigorous Take Down policy” “Seek publisher permission as you go along - don't leave until end” “This is a relatively low risk educational environment but not to be complacent.” UCL Library Services

Third Party Copyright : Occurrences UCL Library Services

Plagiarism : Concerns UCL Library Services “General fears that open access means free for all on student's IPR”

Plagiarism : Mitigating actions UCL Library Services

Plagiarism: Comments “Deposition serves to "date-stamp" the author's claim to priority” “Easier to detect if work has been copied from an online source than from a hard copy hidden in a basement” “We advertise such services as TurnItIn and do not shy away from fact that copying is a real risk.” “It was felt by the relevant committee that the benefits far outweighed the concerns” UCL Library Services

Plagiarism : Occurrences UCL Library Services

Sensitive Content : Concerns UCL Library Services  “Commercially sensitive information”  “Health theses contain patient information”  “Author considered life would be at risk”  “Contain animal experimentation”  “Relevant to court case”

Sensitive Content : Mitigating actions UCL Library Services

Sensitive Content : Comments “Removing sensitive material to an appendix and embargoing that separately so that the main body of research is still available publicly” “Students should be following good practice in these areas in any case (regardless of electronic access).” “Students should notify their subjects that the output from their study may be placed in a digital archive, which is available globally.” “Research inappropriate if none of it can be made publicly available or not available at all” UCL Library Services

Sensitive Content : Occurrences UCL Library Services

Other Barriers UCL Library Services Resistance by management and departments: low Lack of priority and policy making: comparatively high Insufficient staffing seen as the largest barrier Financial resources and technical infrastructure seen as minor barrier only Need for streamlining of procedures raised as main other concern

Conclusion Electronic deposit of doctoral theses is healthy and growing Over two-thirds of e-theses are open access Libraries are managing the potential barriers actively and effectively UCL Library Services

Recommendations Open access ‘opt-put’ electronic deposit policies Usage analysis in repository software Standards and workflows for non text media Research into thesis publishers’ attitudes (eg extension of SHERPA-RoMEO?) Curation and digital preservation UCL Library Services

Thank you! UCL Library Services