1. Taking the Plunge: Requiring the ETD Presented by Kimberly Douglas Caltech Library System library@caltech.edu by Kimberly Douglas, George Porter, Betsy Coles & Eric Van de Velde ETD 2003 Humboldt University, Berlin, Germany

2. Caltech 285 Tenure-track faculty 1000 Postdoctoral researchers 900 Undergraduates 1100 Graduate students $450M Annual Operating Budget ~2000 Peer-Reviewed Papers/Yr.

3. Caltech Library System 53 FTEs (14 Librarians, 6 IT Staff) 4 Libraries 600,000 Volumes 3556 Paid Print- Journal Subscriptions 2500 Paid E-Journal Subscriptions $7,100,000 Annual Budget (FY 03)

5. Library Structure University Librarian 5 Departments –Information Technology –Technical Information Services (Liaison, Reference and Library Branch Management) –Technical Processing (Acquisitions and Cataloging) –Circulation and Document Delivery Services –Business Office

7. Caltech Theses at a Glance 150 PhD Theses per year –42% Engineering; 23% Chemistry; 12% Physics; 10% Biology; 8% Geology; 2% Math; 2% Political Science; 1% Economics Theses Decision-makers –Dean of Graduate Studies –Graduate Studies Committee –Individual faculty members

8. ETD Implementation Phase One: Voluntary Submission Preparation –Institute-wide Grad Dean permission –Library Library management commitment Application implementation – ETD-db Creation of unique identifier and persistent resolver http://resolver.caltech.edu/CaltechETD:etd-11252001-103911

9. Phase One: Results Experience –Announcement by (a new!) Dean: June 2001 –Timeframe for voluntary submission June 15, 2001 through June 30, 2002 –63 of 299 theses submitted as ETDs Conclusion –None to very limited problems –Proceed

10. Phase Two: Requiring the ETD Library Preparation –Timeframe: June 2001 to June 2002 –Create website for information and guidance http://library.caltech.edu/etd/ –Develop orientation/briefing sessions for students –Establish internal collaborations –Tailor etd-db application –Revise internal library procedures –Purchase and support additional productivity software Institute-wide –Graduate Studies Committee approval May 2002 –Graduate Studies Dean announced requirement effective July 2002

11. Phase Two: Requiring the ETD Experience –Graduate students wanted assurance of safety net –Handling of large files >200MB must be part of orientation and guidance –Be ready to answer and help all inquiries

12. Conclusions One year from voluntary to required ETD –Decoupled requirement of ETD from copy of record issue –Spread workload by leveraging librarians and document delivery staff –Did not burden Grad Dean’s office staff –Library leadership indicated institutional commitment Didn’t wait for complete solution to all issues Established mechanisms for prompt response to questions or problems

13. …and the beat goes on July 2002 - (another new!) Dean All 150 theses will be submitted by commencement June 2003 Librarians and Grad Office developed cooperative communication Adding data sets raised as a new area of application

14. OAIS Functional Entities Administration PRODUCERPRODUCER CONSUMERCONSUMER queries result sets MANAGEMENT Ingest Access Data Management Archival Storage Preservation Planning orders From: D. Sawyer April 2002