1. Presented by Christy Shorey chrshor@uflib.ufl.edu Retrospective Dissertation Scanning at the University of Florida

2. Overview History of ETDs and Retrospective Dissertation Scanning(RDS) at UF Basic questions to consider How UF answered these questions Changes to the project New contact point with authors Move to off-site scanning New copyright policy = from opt-in to opt-out Money Cost of project How it’s covered UF workflows, then and now

3. Electronic Thesis and Dissertations and Retrospective Dissertation Scanning at UF 1998 – ETD pilot project 2001 – Fall catalog requires incoming students submit ETDs 2007 – Last print dissertation submitted 2008 – Retrospective Dissertation Scanning (RDS) pilot project 2009 – RDS project scanning moves off-site 2011 – Article informs new copyright policy for dissertations 2012 – Move to opt-out procedure for RDS project

4. Looking at Retrospective Digitization: Some Basic Questions 1. What is the goal of your project? Why digitize? 2. What to digitize? 3. Do you contact authors for permission (copyright consideration) ?  How get author info? 4. Digitize onsite or through vendor? 5. How to capture and convert?

5. Looking at Retrospective Digitization: Some Basic Questions (continued) 6. How deliver and display?  Who can access? 7. Who are the stakeholders?  Internal and External 8. How to manage quality control? 9. How much does it cost? Where get funding for project?

6. Original RDS Project Concept Goal: quick and easy worldwide access of UF’s dissertation scholarship Dissertations Treat all titles as if in copyright Digitize only with author permission Contact info from Alumni Association E-mail where available Domestic Snail Mail address 3 points of contact Scan in-house, sheet-feed scanner Post in IR (powered by SobekCM) Build tracking database List of dissertations from library catalog List of PhD contact information from Alumni Association 12,11416,078 8,730

7. Then things began to change…

8. Change 1 - Additional Contact Originally had 3 contact points with authors 1. Permission Form 2. Thank You sent upon receipt of Permission Form 3. Final Thank You sent when digital version was created, includes URL Added a 4 th point of contact 4. Letter from Development Officer seeking funds to continue the project ; sent 1 month after Final Thank You

9. Change 1 - Additional Contact (continued) Implications: Send contact information to development office 1 month after final letter sent Additional correspondence to track in database Incoming funds to help with continuation of project Results: Letters sent June 2011 - April 2012: 1,065 Donations Received: 26 Total Donations: $3,400

10. Change 2 – Where We Scan Scan In-HouseScan at Internet Archive 1 Month 300 Dissertations 13 months 300 Dissertations

11. Change 2 – Where We Scan (continued) ProsCons Could scan higher volume / faster rate Housed, and searchable on Internet Archive website Neutral Continue with sheet-feed to avoid blank pages Less control over quality control and corrections Additional steps to track in our database Must ingest copy into IR Must Add Internet Archive URL to catalog Additional time for author requested corrections

12. How Much Does It Cost? (some things we noticed from scanning at UF) External shipping there and back cost per page and cost per foldout Internal Building, maintaining, updating list / tracking system Cost to contact authors for permission Time spent on quality control

13. How Much Does It Cost? (2011 / opt-in procedure) Vendor figures rely mostly on student-staff for pre- and post-scanning procedures; this was a shift from full-time staff for some steps when scanning was done in-house. Average dissertation: 185 pages; average shipment to IA: 50 books “Scanning” with vendor includes shipping costs, and rate of $0.10/page and $2.00/foldout One-time costs for building Database: $6,560.64 Annual cost to maintain tracking database: $250 In House (UF’s Digital Library Center) Scanning with Vendor (Internet Archive [IA]) Pre-scanning Steps: $14.93Pre-scanning Steps: $10.94 Scanning: $12.14Scanning: $19.81 Post-scanning Steps: $ 2.96Post-scanning Steps: $ 2.44 Total per volume: $30.02Total per volume: $33.18

14. Change 3: New Copyright Policy 2011, Gail Clement and Melissa Levine publish article “Copyright and Publication Status of Pre-1978 Dissertations: A Content Analysis Approach” The gist of this is that pre-1978 dissertations are considered published for copyright purposes Leads to new copyright policy – change from opt-in to opt-out procedures For more information, see the Copyright Considerations in the University of Florida Retrospective Dissertation Scanning Project poster by Christine Ross and Christy Shorey

15. Copyright Policy Created at request of Dean of Libraries by Scholarly Communications Librarian in conjunction with UF Legal Counsel Dissertations Deemed Out-of-Copyright Scan and make it available online for public access Keep digital master for preservation purposes

16. Copyright Policy (continued) Dissertations Deemed In-Copyright Make diligent efforts to locate the author and advise them of intention to scan and make it available online for public access Contact Information Found: Author given 60 days from second written notice to reply; if no reply, scan and post dissertation If author declines permission (opts-out) for public access, dissertation scan solely for preservation No Contact Information Located: Publically post a list of the authors and works intended for digitization Post for minimum of 90 days If author does not respond within 90 days, scan and post the dissertation

17. Copyright Policy (continued) Subsequent Contact by Copyright Holder If author contacts us after dissertation has been scanned and placed publicly online, seek permission If permission denied, promptly remove public access; retain the digital files for preservation purposes

18. Change 3: New Copyright Policy (continued) Implications: Need to track copyright status Need to re-contact all no-answers from opt-in (2,349) Need to conduct reasonable efforts to find contact information (2,813) Manual check against Alumni List Directed Internet searches, based on techniques learned from our Digital Library Center Beyond Google: Authoritative Resources for Locating Copyright Holders poster by Dina Benson and Matthew Mariner

19. Change 3: New Copyright Policy (continued) Implications (continued) : Post on public forum for 90 days to give chance to opt out www.uflib.ufl.edu/mydissertation www.uflib.ufl.edu/mydissertation Update database to track all the new information

20. How Much Does it Cost: Additional Costs of new Opt-Out Procedures Development and maintenance of webpage Expansion of tracking database Increased Pre-Scan time Verifying copyright status Manual search of data sets for contact information Concentrated Internet search to find contact information Per item Scanning and Post Scanning steps don’t change, just increase in volume as scope of project grows

21. Funding Library Binding Fee / Library Processing Fee – Collected with each dissertation, even when moved to ETDs Used to pay student assistants Carry-forward in library budget $7,000 to pilot project with digitizing at Internet Archive $200,000 contracted with Internet Archive for scanning, (primarily, but not limited to, retrospective dissertations) Some donations from authors to continue project Will seek allotment from budget and/or carry-forward to continue project when current contract is exhausted

22. Comparing workflows, then and now…

23. Gather Contact InformationTracking Database Contact Authors 1.E-mail 1.Snail Mail 2.Postcard 1.Snail Mail 2.Postcard OR Signed Permission Form Arrives Opting In Dissertations in library catalog PhD contact info from Alumni Association Permissions and Notifications

24. Gather Contact Information Tracking Database Contact Authors with Deadline OR Deadline Arrives Computer Matches Manual Search Internet Search 1.E-mail 2.Snail Mail 3.Postcard 30 Days 1.Snail Mail 2.Postcard 45 Days No Reply Form Returned Opt Out Seeking updates OR No Thanks URL Please Print Tracking Form and Proceed Contact Info Found OR No Contact Info 1.Copyright Check 2.Post on Website for 90 days Permissions and Notifications

25. Physical Processing and Digitization Dissertations to Internet Archive 100 % Page Collation Permission Form In Hand Ship Dissertations to be Scanned Disbind Dissertations Retrieve Dissertation from Stacks

26. Ship Dissertations to be Scanned Dissertations to Internet Archive Disbind Dissertations 100 % Page Collation Retrieve Dissertation from Stacks Form In Hand: Public Access Option Form Requesting Update Opt-Out Copyright Form Out of copyright, no contact info Generic Tracking Form In copyright, contacted but no reply In copyright, no contact info, no web reply Physical Processing and Digitization

27. Post-Scanning Processing Internet Archive Scanning Complete 100 % Quality Control Digital Version Box, Rebind or Withdraw Local Holdings Update Catalog Download copy to IR Add to Florida Digital Archive Thank you with URL to Dissertation Request for Donation Notify Author

28. Internet Archive Scanning Complete 100 % Quality Control Digital Version Box, Rebind or Withdraw Local Holdings Update Catalog Download copy to IR Add to Florida Digital Archive Notify Author Thank you with URL to Dissertation Request for Donation Yes / No Reply Opt- Out Yes / No Reply Opt- Out Omitted Dark Requested Updates No Reply / Opt- Out Post-Scanning Processing

29. Quick and easy worldwide access of UF’s dissertation scholarship

30. References Articles Gail Clement. and Melissa Levine. "Copyright and Publication Status of Pre-1978 Dissertations: A Content Analysis Approach." portal: Libraries and the Academy 11.3 (2011): 813-829. Posters Copyright Considerations in the University of Florida Retrospective Dissertation Digitization Project : Christine Ross and Christy Shorey (ufdc.ufl.edu/IR00000920)ufdc.ufl.edu/IR00000920 Beyond Google: authoritative resources for locating copyright holders: Dina Benson and Matthew Mariner (ufdc.ufl.edu/AA00011438)ufdc.ufl.edu/AA00011438

31. Contact Christy Shorey Retrospective Dissertation Scanning Project Coordinator University of Florida George A. Smathers Libraries chrshor@uflib.ufl.edu