June 23, 2002 ETDs: Electronic Theses and Dissertations Building an Institutional Asset Gail McMillan Digital Library and Archives, University Libraries Virginia Polytechnic Institute and State University What is an ETD? What it can look like: It can have the appearance of a paper document. It can contain thumbnail pages and links to aid navigation. It can have a unique layout. It can have photomicrographs. It can contain a simulation. It can contain a video clip. It can contain sound. ETDs for CNI/JISC

June 23, 2002 http://scholar.lib.vt.edu/theses/available/etd-2227102539751141/ ETDs for CNI/JISC

June 23, 2002 http://scholar.lib.vt.edu/theses/available/etd-32498-21232/ Don’t link: 41 Mb http://scholar.lib.vt.edu/theses/available/etd-32498-21232/unrestricted/Motion1-Deploy.mov Simulation ETDs for CNI/JISC

June 23, 2002 http://scholar.lib.vt.edu/theses/available/etd-4220121649751351/ ETDs for CNI/JISC

June 23, 2002 http://scholar.lib.vt.edu/theses/available/etd-32498-21232/unrestricted/DyPPir.mov ETDs for CNI/JISC

June 23, 2002 What is an ETD? Contemporary Turkish Coffeehouse Design Based on Historic Traditions Timur Oral MS, Interior Design, April 1997 College of Human Resources and Education, VT http://scholar.lib.vt.edu/theses/available/etd-2227102539751141/unrestricted/Ali_Pasa.QT ETDs for CNI/JISC

June 23, 2002 ETDs for CNI/JISC

June 23, 2002 The Current Situation Basic and substantial applied research in U.S. takes place in universities Primary sources for this research are theses and dissertations A portion of valuable data and material published Theses and dissertations relatively inaccessible and underutilized Most of the basic research and substantial applied research in the US is done in our universities. The primary sources for this research are theses and dissertations. Derivative publications contain only a portion of the valuable data and material in theses and dissertations Paper theses and dissertations are relatively inaccessible and underutilized. ETDs for CNI/JISC

June 23, 2002 The Vision for ETDs 400,000 masters and PhD candidates annually exposed to e-publishing in US Faster and better information transfer Empower students to convey richer message through use of multimedia Universities publish their scholarship Improve graduate education through more effectively sharing information What are we doing? Using computer-based technology to improve the content and availability of TDs Educating future scholars so they can publish electronically and effectively use digital libraries Helping students be more creative in their scholarship Providing access to the knowledge contained in ETDs so its is easily and widely available What is the goal for digital thesis and dissertation submission? Graduate students become information literate. Research and scholarship produced by universities is more effectively communicated More widely shared among scholars regardless of their ability to pay. Educate future scholars to publish electronically and effectively use digital libraries by providing training opportunities for graduate students to improve information literacy by having all the TDs produced by research universities available through an integrated world wide library system Students can be more creative in their scholarship: Using computer-based technology to improve the content and availability of theses and dissertations The knowledge contained in TDs is more easily and widely available ETDs for CNI/JISC

Vision for ETDs: Library Goals June 23, 2002 Vision for ETDs: Library Goals Improve services and resources Reduce work Save space and money Improve services and resources Available more quickly Always available Outreach to faculty and students Faculty Outreach includes: Overview of process and access From student’s submission to public access Virtual tour of ETD web sites Reduce work Catalog from etext Eliminate handling: mailing to UMI, bindery prep, check-out, check-in, reshelving, etc. Space savings: 166 ln. ft. shelf space (2000 1” TDs/yr) Graduate School stopped shipping 3000 copies of paper TDs/year to the library Library stopped handling (binding, shelving, circulating, etc.) 3000 copies of TDs/year Cost savings: Immediately reduced processing expenses by 73.3% with ETDs, by eliminating binding, security stripping, marking, shelving, and circulating Student Expenses/Savings with ETDs   Expense: $25.00   purchase Adobe Acrobat (or, use in one of 12 campus computer labs)   Savings: 7¢/page saved by not reproducing multiple copies, $35/ream saved by not purchasing rag paper   $105 = 3 copies of a 250-page dissertation submitted in paper or $63 = 3 copies of a 100 page thesis submitted in paper ETDs for CNI/JISC

Library Responsibilities June 23, 2002 Library Responsibilities Hardware: server Maintenance and security Started small: NeXt 3.3 (HP; 1989-97) Grew: Sun dual-processor Enterprise 250 (Solaris 2.7; to date) Software Submission scripts Email notifications: authors, advisors, UMI Logs, surveys Search Engine Started small: freeWAIS Grew: InfoSeek’s ULTRASEEK Access points Browsable topics: author and department All words are access points through ULTRASEEK search engine, including words in PDF files Libraries with ETDs Improve Access to Information Resources Server maintenance and archiving Library provides, maintains, backs-up Faculty concerns Initially: Does the Library have enough server space? Network response time might be too slow. Persistent: Future publication potential, copyright Public access equipment, software Information seekers need Internet/Web: access ETD database and OPAC Authors need Internet workstations: create, access Library Responsibility: ETD Server Provides, maintains, backs-up Upgrades hardware/software Started small: NeXt 3.3 (running HP: 1989-1997) Grew: Sun dual-processor Enterprise 250 (running Solaris 2.7 to date) Authoring workstations Web browsers, MS Office-type tools: word processing, etc. Photoshop, and more Scanners, digital video/audio production, etc. Helpful, knowledgeable staff New Media Center in ACITC: 50 Macs www.nmc.vt.edu ETDs for CNI/JISC

Financial Concerns At VT: start-up costs = $0 June 23, 2002 Financial Concerns At VT: start-up costs = $0 On-hand staff, equipment, software, freeware From zero base: estimate $65,000 $24,000 STAFF (part time) $36,000 EQUIPMENT $15,000 SOFTWARE http://scholar.lib.vt.edu/theses/data/setup.html ETDs for CNI/JISC

From Authoring to Public Access through Library Services/Resources June 23, 2002 From Authoring to Public Access through Library Services/Resources 1. Graduate student submits ETD Directly to library server/permanent archive Archiving fee replaces binding fee 2. Graduate School approves ETD Automatic email notifications: author, faculty, UMI 3. ETD immediately accessible Per author/advisor’s notification Public has appropriate level of access ETD database, library’s catalog, OCLC Internet Workstations--for Student ETD Authors (and others) Netscape, Acrobat, Word, PowerPoint, Photoshop, and much more Scanners, digital video/audio production, etc. Helpful, knowledgeable staff New Media Center -- ACITC: 50 Macs http://www.nmc.vt.edu Through OCLC and through OPAC as a result of typical cataloging procedures, but this is after immediate access via Web upon Graduate School approval Programmatic notification to author, advisor, and UMI--title, author, URL (for downloading and typical processing e.g., print, microfilm, store) Browsable by author and department Search--all words ETDs for CNI/JISC

Status of ETDs at Virginia Tech June 23, 2002 Status of ETDs at Virginia Tech Partnership of the Library, Graduate School, Faculty Approved through university governance (Mar.1996) for full implementation Jan.1997 Web submission Students: http://etd.vt.edu Programmers: http://scholar.lib.vt.edu/ETD-db/) Workshops for students (and faculty) Over 4,107 ETDs approved One of 125 universities, 18 associations in the NDLTD (Networked Digital Library of Theses and Dissertations) ETDs for CNI/JISC

Benefits: Increased Access June 23, 2002 Benefits: Increased Access 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/ Online vs. circulation of copies VT didn’t add staff or equipment Libraries already handling electronic journals incorporate with existing equipment and staff duties $24,000:STAFF (part time); $36,000: EQUIPMENT; $15,000: SOFTWARE VT has programs that automated workflow, incorporate security measures, and automatically generate email to author/committee, UMI. With ETDs libraries improve services and add value to information resources for many more clients without increasing budget for staff, equipment. ETDs for CNI/JISC

June 23, 2002 Accesses to VT’s ETDs VT theses approved 1990-1994, combined average circulation per copy: 2.24/yr VT dissertations approved 1990-1994, combined average circulation per copy: 3.2/yr Paper theses and dissertations relatively inaccessible and under utilized. 1996-1999: ETD circulated 270/yr 1990-1994: paper TD circulated 2-3/yr VT theses submitted 1990-94: combined average circulation was 2.24/yr per copy VT dissertations submitted 1990-94: combined average circulation was 3.2/yr per copy GeoSciences TDs: Looking at all 500 GS ETDs, the average circulation is .5. 18.8 % have zero circulation counts 32.9 % have 11 or greater circulations ETDs for CNI/JISC

Access to VT ETDs: USA 2001 June 23, 2002 These are logged domains. Additionally, we have a survey that readers (people who access our ETDs) can voluntary complete. From these (about 550 completed this fiscal year, 2001/02), they tell us, for example, that 11% are from industry. ETDs for CNI/JISC

International Access to VT ETDs June 23, 2002 International Access to VT ETDs ETDs for CNI/JISC

Why are ETDs so popular? Accessible June 23, 2002 Why are ETDs so popular? Accessible Alternative means of conveying information Attractive as well as informative colorful images movement and sound display for on-screen viewing Expanded network of research colleagues Surveys: authors, readers, alumni Author surveys Conversion and submission processes less difficult than anticipated. Over half plan to public articles from their ETDs Why restrict access: User surveys 67% found VT ETDs easily 53% downloaded 1 or more ETDs 61% found them by searching 22% browsed by department; 16% browsed by author ETDs for CNI/JISC

4107 VT ETDs What are Authors Making Available? June 23, 2002 4107 VT ETDs What are Authors Making Available? ETDs for CNI/JISC

Challenges to Creating and Sustaining ETD Collections June 23, 2002 Challenges to Creating and Sustaining ETD Collections Information literacy Access Publishing Copyright Archiving Making information literacy an expectation of graduate (and undergraduate) education. Many other aspects of ETDs stimulate a lot of discussion. ETDs for CNI/JISC

Accessibility and ETDs June 23, 2002 Accessibility and ETDs Inaccessible ETDs Patents pending Future publication fears Broken links Quality of work remains Similar to out-of-print articles Media standards Faculty were particularly concerned with whether the library server would have enough space and would network response time would be fast enough. We were able to allay these fears, but these remain. Changing university P&T systems to reclaim research and scholarship produced by students and faculty ETDs for CNI/JISC

Publishing and ETDs Authors Faculty: prior publication? June 23, 2002 Publishing and ETDs Authors Retain some rights, e.g., link to curriculum vitae, online course materials Faculty: prior publication? Protective of future academics Surveys of publishers No specific policies Consider individually VT ETD Alumni No problems publishing Changing the attitudes of publishers about publishing manuscripts derived from ETDs ETDs and Publishing Authors have ambitious publication plans 85%: articles, proceedings, chapters, books, etc. 43% of surveyed alumni published How many encountered resistance from publishers because ETD was online? Zero. Early controversies waning slowly American Chemical Society, Elsevier. IEEE Computer Society, Entomological Society of America, Association of Computing Machinery Transfer all authors’ rights? Many publishers will share if asked ETDs for CNI/JISC

Copyright and ETDs Author’s rights Author’s obligations: fair use June 23, 2002 Copyright and ETDs Author’s rights Reproduction, modification, distribution, public performance, public display Retain rights Share non-exclusive rights Permit library to store and to provide access Publishers Author’s obligations: fair use Balance factors or get permission Notification: optional Copyright 2002 by Gail McMillan ALL RIGHTS RESERVED Registration: optional Possibly receive greater compensation, with less documentation if filing infringement law suit Inform students and faculty of their rights as holders of copyright to ETDs and their original work. Inform graduate students and faculty of their responsibilities associated with use of copyrighted work in ETDs 4 factors: Purpose and character of use: profit or not? Commerce or education? Degree of transformation/value added. Criticism/commentary/news reporting/scholarship? Nature of the copyrighted work: fact or fiction? Worthy of extensive protection? Amount, substantiality Effect: harm to potential market or value of the work after a portion of it has been used separate from the whole ETDs for CNI/JISC

Archiving and ETDs Concerns: Access without paper Addressed Concerns June 23, 2002 Archiving and ETDs Concerns: Access without paper Long term preservation Standard multimedia formats http://scholar.lib.vt.edu/theses/archive.html Addressed Concerns Frequent, regular back-ups available on, off-site PDF: an open source program Cooperatives OhioLink Why not: OCLC, NDLTD? Commercial options UMI: traditional microfilming Establish preservation system for electronic documents which is accepted to be as dependable as paper or microfilm Archiving Digital format only Frequent back-ups: alive, not just taped and stored Copies on multiple servers at multiple sites Collaborate to mirror sites At VT we’ve had the support of our Information Systems and frequent reassurances from VT computer scientists that it will be doable. We know there will be expenses: time, resources, etc. Worried not paranoid because we are in good company. Others who will be rolling their numerous PDFs include the US government, UMI, many journal publishers. ETDs for CNI/JISC

Lessons from ETDs Implementation of new formats slower than expected June 23, 2002 Lessons from ETDs Implementation of new formats slower than expected Text oriented Not planning for online readers Requiring institutions slower than expected If you build it, it will get used. access exceeded expectations disappointing number are inaccessible Remarkable increase in exposure to graduate student research No longer experimental increase in number and diversity of NDLTD institutions Implementation of new formats slower than expected still text oriented (faculty influence) new graduate students can plan for ETDs Requiring institutions slower/few than expected If you build it, it will get used. access exceeded expectations disappointing number are inaccessible No longer experimental increase in number and diversity of NDLTD institutions Remarkable increase in exposure to graduate student research ETDs for CNI/JISC

Available at Virginia Tech June 23, 2002 Available at Virginia Tech 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 NDLTD: Network educational institutions Annual Conferences: Berlin 2003, U of Kentucky 2004 http://www.ndltd.org ETDs for CNI/JISC

Digital Library and Archives, University Libraries, Virginia Tech June 23, 2002 ETDs: Electronic Theses and Dissertations Building an Institutional Asset Gail McMillan Digital Library and Archives, University Libraries, Virginia Tech gailmac@vt.edu ETDs for CNI/JISC