1. 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

2. June 23, 2002
ETDs for CNI/JISC

3. June 23, 2002
Don’t link: 41 Mb
Simulation
ETDs for CNI/JISC

4. June 23, 2002
ETDs for CNI/JISC

5. June 23, 2002
ETDs for CNI/JISC

6. 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
ETDs for CNI/JISC

7. June 23, 2002
ETDs for CNI/JISC

8. 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

9. 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

10. 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

11. Library Responsibilities
June 23, 2002
Library Responsibilities
Hardware: server
Maintenance and security
Started small: NeXt 3.3 (HP; )
Grew: Sun dual-processor Enterprise 250 (Solaris 2.7; to date)
Software
Submission scripts
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: )
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
ETDs for CNI/JISC

12. 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
ETDs for CNI/JISC

13. 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 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
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

14. 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:
Programmers:
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

15. 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
Use VT programs, scripts, etc.
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 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

16. June 23, 2002
Accesses to VT’s ETDs
VT theses approved , combined average circulation per copy: 2.24/yr
VT dissertations approved , combined average circulation per copy: 3.2/yr
Paper theses and dissertations relatively inaccessible and under utilized.
: ETD circulated 270/yr
: paper TD circulated 2-3/yr
VT theses submitted : combined average circulation was 2.24/yr per copy
VT dissertations submitted : 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

17. 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

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

19. 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

20. 4107 VT ETDs What are Authors Making Available?
June 23, 2002
4107 VT ETDs What are Authors Making Available?
ETDs for CNI/JISC

21. 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

22. 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

23. 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

24. 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

25. 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
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

26. 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

27. Available at Virginia Tech
June 23, 2002
Available at Virginia Tech
Information
Automated submission system ready for customization
Student guidelines, training materials, FAQ's, multimedia educational materials
NDLTD: Network educational institutions
Annual Conferences: Berlin 2003, U of Kentucky 2004
ETDs for CNI/JISC

28. 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
ETDs for CNI/JISC