Managing ETDs and Evolution of the Repository Thirteen Years of Case Studies at West Virginia University IV Simposio de Repositorios y Tesis Digitales Lima, Perú

West Virginia United States of America

West Virginia University Morgantown, WV – population 100,000+ WVU Established 1867 Total Enrollment: 30,000 Undergraduate Enrollment: 23,000 Graduate Enrollment: 7, colleges and schools 191 degree programs

Introduction Program implementation background –Overview of the WVU institutional repository evolution & marketing WVU ETD experience Costs & benefits IR Infrastructure, maintenance, preservation, migration ETD submission process Statistical profiles Student profiles in success Information Literacy: Open access & intellectual property issues Recommendations

Why ETDs? Students learn about electronic publishing and digital libraries Timely technology and knowledge sharing Universities unlock the potential of their intellectual property and products Improve library services

Importance of Grey Literature, ETDs & Open Access Often reveals the latest research findings Offers rich detail often not available in published articles OA, ETD & IR programs provide immediate access OA increases citation impact factor for ETDs and peer-reviewed publications

Background and Support Top down support Student programs success History of collaboration Create expectation of IR submission IR is work in progress

WVU 2010 Strategic Plan “A University that understands the nature of permeable boundaries looks simultaneously inward and outward as it considers ways to foster a vital intellectual climate. Permeable boundaries value the influx of new ideas and new people, invite collaboration across disciplines, and extend knowledge and ideas beyond the walls of the institution. Such sharing and exchange of ideas and the people who possess them are important to advance learning and foster innovation.”

WVU 2020 Strategic Plan Mission As a land-grant institution in the 21st century, West Virginia University will deliver high-quality education, excel in discovery and innovation, model a culture of diversity and inclusion, promote health and vitality, and build pathways for the exchange of knowledge and opportunity between the state, the nation, and the world. Vision By 2020, West Virginia University will attain national research prominence, thereby enhancing educational achievement, global engagement, diversity, and the vitality and well-being of the people of West Virginia. GOAL Excel in research, creative activity, and innovation in all disciplines. Objectives Increase scholarly activity and research that addresses the challenges faced by the state of West Virginia, the nation, and the world. Improve and expand graduate education and strengthen its connection to the University’s research enterprise. Encourage interdisciplinary activity in research, scholarship, and creativity. Actions Establish an effective research infrastructure that facilitates the pursuit of research, and links research with education, global engagement, and economic development throughout the state. Invest in the hiring and retention of high-quality faculty and research staff who are committed to research success, and mentor staff and faculty to a high level of achievement.

WVU Participants University Libraries Office of Academic Affairs and Research / Provost Office of Graduate Education Office of Extended Learning Office of Information Technology Office for Institutional Advancement Office of Technology Transfer Honors College ETD / IR Task Force NDLTD Consortium WVU Faculty, Students and Staff

WVUScholar Institutional Repository Theses & Dissertations (eTD Program) Graduate Research Honors Theses (eHT Program) Undergraduate Research Electronic Scholarly Research Archive (eSRA) Faculty Research, Administrative Reports, Student Programs West Virginia University Institutional Repository - University Libraries - Collections added sequentially (1998 – 2011)

Electronic Theses and Dissertations (eTD) Required electronic submission since 1998 (WVU is 2 nd in world) Over 13 million ETDs served (1.2 million hits average / year) Over 100 countries access WVU research ETDs are accessed thousands times more than print documents Over 5,000 documents in the collection (500 / year) 85% of the collection is available without restriction Most popular ETD accessed over 120,000 times Excellent promotional tool for students and departments

Electronic Honor’s Theses (eHT) Undergraduate senior projects, technical reports, capstone experiences Over 900 students in WVU Honors College Required open access e-thesis submission required as of Fall 2005 eHT program will use online submission process to create digital collection Excellent promotional tool for students and departments

Electronic Scholarly Research Archive (eSRA) Faculty technical reports / white papers, pre-prints, post- prints Conference / Symposium proceedings Departmental Showcase Venue E-Portfolios Administrative Reports Excellent promotional tool for faculty and departments Electronic Scholarly Research Archive

Campus-Wide IR Integration Effective public relations & marketing campaign Promote ETD successes Engage faculty with educational forums Build the momentum Ride the wave

Justification and Goals SCOPE (S cholarly C ommunications O utreach P rogram for E -Documents ) Promote enhanced scholarly communication –Information Literacy / Marketing Strategies Enhance record-keeping & accountability Provide infrastructure for integrated approach to digital collections on campus

Research & Economic Impact Generate & disseminate new knowledge, techniques, scholarly & creative works Promote economic development through technology transfer

Outreach & Engagement

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The WVU ETD Experience

WVU Team Collaboration Office of Academic Affairs and Research  Provost & Office of Graduate Education ETD Task Force  Planning, Policy, Administration, Education, & Technology Issues Academic Computing / OIT  Student technical support, labs, workshops, Web resources, database implementation, archiving University Libraries  Student advising, Web resources, submissions review, cataloging, reference & document delivery services, archiving

Program Information Website

Student Guide Website

Costs & Benefits Graduate School Library Office of Information Technology

Graduate School Submissions  1.0 fte; existing personnel utilized:  Library Technical Consultant and occasional backup  Library ETD Program Coordination & Task Force Liaison  Equivalent to submission & review by graduate school  Administration  1.0 fte  Associate Vice President for Graduate Affairs and Life

Education ETD Workshops / Consultants OIT (technical consultants)  1.0 fte; rotates among 5 consultants existing personnel utilized  ETD Document Preparation and Conversion  Many students need lack basic word processing and multimedia skills ETD Graduate Seminars University Libraries (submissions consultant)  Many students complained initially, now accepted and exploring new formats

Libraries Technical Services Cataloging  1.5 fte; existing personnel utilized:  Cataloging Librarian, Library Technical Assistant  Cost reductions for binding, handling, etc:  $6.00/ dissertation unit; Library formally subsidized ½ of cost; savings of at least $1,000 per year.  Handling: no book processing labor required  Shelving: no additional shelving space required; savings of over 500 linear feet per year.

Libraries Public Services Reference / Document Delivery:  Existing personnel utilized; minimal impact; required initial training, augmented use of electronic delivery & copy services

Repository Infrastructure and Maintenance (V ) WVU Academic Computing (original server)  Server and maintenance:  0.3 fte; existing personnel utilized  Dell 20 GB hard drive, Windows NT, Cold Fusion  Initial database programming setup & archiving routine required  Daily back-up of new submissions  Weekly back-ups of entire ETD collection via WVNET’s robot cartridge tape  Periodically write entire database to CD-ROM  ETDs sent to ProQuest for digital and microfilm backup: Academic Computing / University Libraries

WVU ETD Database V.1 (1998 – 2003)

Repository Infrastructure and Maintenance (V ) WVU OIT (New server)  Server implementation and maintenance:  1.0 fte shared; existing personnel utilized  X-Terabyte storage space  Migration to Oracle platform (1 year)  Required database programming & archiving routine (team of 8)  Daily back-up of new submissions – parallel server  Weekly back-ups of entire ETD collection via robotic cartridge tape  Periodically backup to CD-ROM  ETDs sent to ProQuest for digital and microfilm backup: OIT / University Libraries

eIDR Electronic Institutional Document Repository V.2 (2004)

WVU IR V.2 (2004 – 2008)

Migration to Ex Libris DigiTool (V.3 - Spring 2009) Migration and implementation on commercial based IR system –Standards compliance –Avoid over-dependency on in-house operation and key personnel –RFP distributed 2008; vendor bid selected

Repository Infrastructure and Maintenance (V ) DigiTool / wvuScholar  WVU OIT  Store & maintain server, network, backups, DBA functions; interface with Library Systems, vendor  Daily back-up of new submissions – parallel server – disaster recovery contingency  Weekly back-ups of entire ETD collection via robotic cartridge tape  Periodically backup to CD-ROM  Library Systems Dept.  Interface repository manager, OIT, vendor  Digital Projects / Scholarly Comm. Librarian added 2010  Server implementation and maintenance:  1.5 fte shared (Library Systems / OIT); existing personnel utilized  X-Terabyte storage space  ETDs sent to ProQuest for digital and microfilm backup: OIT / University Libraries

Digital Preservation Initiatives LOCKSS (MetaArchive Cooperative) ARKive National Digital Information Infrastructure and Preservation Program (U.S.) Persistent Digital Archives and Library System (PeDALS) Project Portico FDsys Elsevier Science digital archive JHOVE Baggit iRODS New media art preservation DuraSpace British Library PLANETS PROTAGE PROMETHEUS DigitalPreservationEurope, CASPAR, Digital Preservation Coalition PADI (Australia) Ex Libris Rosetta DAITSS (Florida State System)

WVU ETD Submission Process Submit forms and fee(s) Create pdf, etc. files Submit ETD file(s) online –Access rights Library review and approval Collection automatically indexes approved ETDs Library processing

Deliver ETD Submission Packet to Library Completed ETD Submission Packet ETD Submission Signature Form Submission Fee (UMI + $15.00 archiving fee) $40.00 for Master’s Thesis or Doctoral Dissertation Completed UMI Agreement Form Printed Copy of Title Page & Abstract Copyright Fee: $55.00 (optional) Completed Survey of Earned Doctorates (Doctorate Only)

Student Prepares Final Document for Submission Office of Information Technology –Student technical support and labs Software from department, college lab or online conversion Purchase software  Document conversion to approved format (i.e. pdf & multimedia files)

Student Submits ETD Document & Data Online Web based submission process

WVU ETD Web Distribution Options ETD is made available according to student’s Web Distribution choice. 1. World 2. Campus Only 3. Campus Encrypted 4. No Access A. Embargo 1 year, then open access B. Embargo 1 year, then campus access 4 years

WVU ETD Web Distribution Options 2009-

Policy Conditions Campus Access –Total restriction period up to 5 years –MFA Creative Writing theses may have unlimited campus access restriction upon request; encourage eventual open access

ETD Review Process Committee Chair may review online – 5 working days to approve Library reviews format Library approves submission upon: – Receipt of completed ETD Submission Packet – Approval of ETD document format

Library Processing Upload file to Proquest, mail agreement forms for archiving and Dissertation Abstracts publication Monitor and update automatic access rights expiry dates Compile collection statistics Library catalogs ETD: – MountainLynx – OCLC

Library Access to ETDs Citation from the – Links to Online Full-text documents in –Direct Search / BrowseSearch / Browse Document delivery services (ILL)

Library Access to Restricted ETDs Campus Access –Electronic files free via Inter-Library Loan service Print copies for $15.00 via ILL Document Delivery service –Campus Encrypted (phased out 2009); Available in print format only via ILL No Access – ETD file(s) embargoed from access for patent / proprietary concern; only metadata publicly available

ETD Exemptions Master’s Theses: 2 bound copies –2 original committee approval signature sheets –Approved ETD Exemption Form Doctoral Dissertations: 2 unbound copies –2 original committee approval signature sheets –Approved ETD Exemption Form –Submission Fee: $75.00 –Completed UMI Agreement Form –Printed Copy of Title Page & Abstract –Copyright Fee: $65.00 (optional) –Completed Survey of Earned Doctorates –Library provides signed Approval Form to student

Realities of Digital Publishing Most publishers say:  “Campus-Only” Web distribution of ETD is acceptable, and will not harm prospects for publishing. Many publishers say:  Thesis or dissertation normally considered as a preliminary work, not a magnum opus.  “Self-acknowledged archiving” via open access IRs can enhance the peer review process. University IP output  Electronic publishing is beginning to be recognized as basis for granting tenure and promotion to university faculty.

Open Access / Citation Impact Factor Self-Acknowledged Archiving of Research = 2-5 Times Increase in Scholarly Citations

Statistical Profile - Important numbers to track Paper Thesis and Dissertation Circulation (Pre-ETD) Monthly, Annual & Total ETDs Accesses Total Number of ETDs in Collection ETD accesses by domain Most Popular ETD Web Distribution Type Format Types in Collection Number of Submissions per Year

- Over one million downloads annually

Profiles in ETD WVU STEM Humanities Arts –Open Access Debate ETD Award Winners

Non-destructive technique to evaluate composite material degradation Applications now in wide use in highway and bridge safety inspections Over 115,000 cumulative hits

Over 120,000 cumulative hits EPA Issues New Guidance on MTR Permits

Open Access Creative Writing Sara Pritchard’s “Cabbage Over Wine” open access M.F.A. thesis

Chronicle of Higher Education May 2008

Creative Writing & ETDs AWP: Paper or Campus Restricted ETD WVU Case Study –½ filed open access / ½ filed campus access –69% of OA students were more successful in publishing & career endeavors –ETD submission is graduation requirement / ETD is examination document –ETD as cultural history –Policy Recommendation: ETD requirement enforced; indefinite campus access restriction allowed

Data Sets V i d e o C l i p s 3-D Animated Simulations Source Code S p r e a d s h e e t s

NDLTD Innovative ETD Award Winners from WVU 2011: Tomislav Dimov – D.M.A. Musical Arts (Vibrato singing styles) 2010: Andrew Barnes – M.S. Journalism (Sex Trade) 2009: Kelly Barkhurst – M.F.A. Art (Disease Education) 2008: –Aaron Steele – Ph.D. Physics (Particle Interaction) –Ana Torres – M.F.A. Art (Interactive Theater) 2007: Tomasz Kosalka: M.S. Industrial Engineering (Simulation Models) 2006: Tim Broadwater: M.F.A. Art (Video Game Design) 2005: Rachel Gurvitch: Ed.D. Physical Education (Interactive Pedagogy) 2004: Hilary Attfield: Ph.D. English Literature (John Brown / American Civil War Online)

Information Literacy Open Access Intellectual Property

Open Access Education

Open Access… “And by the year 2000, I predict that it’s going to arrive. People suddenly are going to understand the meaning of what they need to do. This means they are going to share information freely with one another. People who are now holding information to themselves[…] they’re going to give it all because other people are looking for that information so that something can be developed to heal our world.” - Chief Jake Swamp, Mohawk Nation (from Schein, Anna M., ed. White Pine Spirit of Peace: The WVU Peace Tree, 73)

Education Open Access Benefits Intellectual Property Rights –New Publishing Options and Models

IR WVU Open Access Journal Memberships –PLOS –BioMed Central –Hindawi Legal Compliance –NIH Mandate Models –Harvard, Berkeley, Humanities OA Press

Potential IR Services Hit Counters mapped out to scholar’s collection / document / collection / department / college / institution Citation Tracking Administrative Tracking Tools for Promotion & Tenure Documentation

Self-Acknowledged Archiving of Research = 2 to 5 Times + Increased Scholarly Citations CitationImpactAdvantage

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Intellectual Property Education Author rights Copyright law Fair use Alternatives to copyright

Creative Commons defines the spectrum of possibilities between full copyright — all rights reserved — and the public domain — no rights reserved. Our licenses help you keep your copyright while inviting certain uses of your work — a "some rights reserved" copyright.

WVU Libraries Plagiarism Tutorial

Institute on Scholarly Communications

Recommendations Survey the Landscape - Work with your system Secure top level buy-in Mandate ETDs for students Initial voluntary phase for faculty Information literacy campaign on scholarly communications Faculty & student champions in departments Set the expectation of open access IR submissions Work toward eventual required submission policy for faculty P&T Web 2.0 & beyond {semantic Web} Listen to what they want –Each discipline has their own traditions Engage students & faculty with useful resources

ETD, IR & OA Program Resources NDLTD SPARC

WVU Institutional Repository Program Resources WVU ETD Program WVU Guide to the Preparation of Theses and Dissertations WVU Institutional Repository

Presented by John H. Hagen, West Virginia University Libraries IV Simposio de Repositorios y Tesis Digitales Peruvian University of Applied Sciences Lima, Perú 21 October 2011