ETDs: An American Sampler Gail McMillan Director, Digital Library and Archives Virginia Polytechnic Institute &State University JISC/CNI: YorkJuly 6, 2006

Networked Digital Library of Theses and Dissertations 233 members worldwide 94 universities,13 associations, consortia, etc. in the United States 32 require ETDs 32 Association of Research Libraries  13 require 71 Council of Graduate Schools  29 require

Key Issues for ETD Initiatives 1.Getting started 2.Software ETD-db: submission and management IRs: institutional repositories 3.Accessibility Authors’ choices OAI: Open Archives Initiative 4.Training Tutorials online ETD Guide 5.Copyright 6.Preservation

ETD Issue: Getting Started University of Washington Library Space needs Institutional repository Initiated Graduate School Policy changes Procedural adaptations “Golden Promise” to faculty Students Timely online availability

ETD Issue: SOFTWARE ETD-db: submission and management IRs: institutional repositories

ETD-db Web pages, perl scripts interact with MySQL Standard interface for web users, authors, graduate school, library personnel Enter and manage files and metadata Software and hardware requirements Instructions on downloading, installing, and customizing scripts Improvements coming: September 2006 Timed release Merged databases Improved OAI

ETD-db Hardware Requirements VT uses a dual-processor Sun Enterprise 250 with 384 Mb of RAM, running Solaris Gb drive is allocated solely for the ETD collection. Web server (e.g., UNIX-based server platform) Disk space for submissions VT averages 2.5 Megabytes per submission ETD-db is not designed to span multiple drives. Memory for web server, database server, other tasks Software Requirements Mysql Perl and CGI, DBI, DBD, and Tie-IxHash modules Web server software, e.g., Apache Web Server

Florida State University ETD-db Workflow advantages for Graduate School DigiTool (ExLibris) Search engine DSpace Missing functionality Programming personnel needed

West Virginia University eIDR: Electronic Institutional Document Repository ETDs since 1998 Digital library system: collections serve entire university community

Texas Digital Library More than 40 campuses, 375,000 students; over 4,000 theses and dissertations in ETDs with MODS XML based, web friendly, transportable, processible, configurable, sufficiently descriptive without being too complex, extensible Why not MARC: isn’t XML based, can’t easily be output from web forms, requires special “cataloging” knowledge and systems to implement. Why not Dublin Core: insufficient specificity, doesn’t specify a syntax and is inconsistently applied, isn’t extensible. Manakin: enables communities and collections to establish a unique look and feel that is distinct from the default installation of DSpace.

ETD Issue: ACCESSIBILITY Universities offer options Authors’ make choices OAI: Open Archives Initiative

ETD Access Policies at ARL Institutions: A Preliminary Study 4% Non-exclusive right to reproduce 4% Open access only 46% Open access or withhold for limited time 42% Open access; restrict and withhold for limited time 4% Restrict and withhold for limited time Brian Surratt, Texas A&M

Snapshot of Availability May

13. If you restricted access to your ETD, on what did you base your decision?

NDLTD develops global resource discovery services to promote the visibility of ETDs Union Catalog Project: distributed members’ collections appear as one digital library of ETDs. Built by harvesting metadata from Open Archives of electronic theses and dissertations OCLC’s NDLTD Union Catalog  247,390 NDLTD from >60 entities (135,166 US)

Ohio Library and Information Network Worldwide ETD Search: 162,057 Internet-available ETDs collected by OhioLINK  OIA harvesting per NDLTD Union Catalog  Crawls “handful of sizeable ETDs collections…which run on ETD-db software.”  Indexes only if full text and freely available online. OhioLINK ETD Search: 8,968

Key ETD Issue: TRAINING Tutorials ETD Guide

Online ETD Tutorial Modular program stepping authors through series of 5 lessons PDF with text, images, audio, movies 2-7 interactive exercises linked to movie demonstrations Usability tested including compatibility with 3rd-part screen readers PSU: Acrobat how-to for ETD authors:

Lesson 1: Read an ETD: download, browse, navigate, search within Lesson 2: Create a PDF File Use Acrobat PDFMaker within Microsoft Word Use Print Command in a word processing application Combine two or more PDF files into a single document Lesson 3: Modify a PDF File Change page numbering Move a page Insert new pages; delete, rotate pages Lesson 4: Add PDF Navigation to an ETD: bookmarks, page and destination links Lesson 5: Add Multimedia: movie and sound clips

ETD Guide UNESCO French, Spanish, Greek Share best practices Celebrate exemplary ETDs

ETD Issue: PUBLISHING and COPYRIGHT I hereby grant to [university] and its agents the non- exclusive license to archive and make accessible…in whole or in part in all forms of media, now or hereafter known. I retain all ownership rights to the copyright of the thesis, dissertation, or project report. I also retain the right to use in future works (such as articles or books) all or part of this thesis, dissertation, or project report.

Authors inadequately understand © Rights as copyright holders Responsibilities when using others materials Future rights before signing publishers’ agreements Works for a dissertation Reusing materials for teaching or book chapter

Pennsylvania State University Promotes intellectual property rights through ETDs Library teaches law seminars to graduate students Limitations on exclusive rights 1.Others may excerpt portions of your thesis for scholarly work or research without obtaining your permission; they must credit you as the source. (fair use) 2.ProQuest/UMI receives authors’ permissions to sell copies. 3.Penn State has the right to make single copies of the thesis for nonprofit purposes. Copyright Law and the Doctoral Dissertation: Guidelines to Your Legal Rights and Responsibilities

Bowling Green State University Conflict of interest Worldwide access ETD ≈ prior publication Extended negotiations Graduate College Creative Writing Programs  MFA: 21 of 22 do not have ETD initiatives  Publication-dependent careers Scientific & Technical Communication

ETD Issue: PRESERVATION Preservation Strategies Dark archives Replication w/geographic dispersion Verification Format migration

6 Association of SouthEastern (US) Research Libraries Adapted LOCKSS to a private, independent network using OAI-PMH Crawled and collected web content based on permissions Each university cached every other universities’ ETDs Audited file integrity Addressed policy issues: dark archiving, removing files, adding programs LOCKSS tutorial

Dark Archive In The Sunshine State Digital preservation repository application (open source license) developed by Florida Center for Library Automation with: Ingest functions Data management and dissemination Format normalization  Mass format migration  Migration on ingest

An American ETD Sampler Thank you! Questions? Comments? JISC/CNI: YorkJuly 6, 2006 Gail McMillan Director, Digital Library and Archives Virginia Polytechnic Institute &State University