1. BY JOHN K. THUKU KENYATTA UNIVERSITY, NAIROBI, KENYA. thukujk@yahoo.com; thuku.john@ku.ac.ke PRESENTED AT 14 TH INTERNATIONAL SYMPOSIUM ON ELECTRONIC THESES AND DISSERTATIONS, CAPE TOWN, SOUTH AFRICA, 12-17 SEPTEMBER 2011 TOWARDS NATIONAL ETD DATABASE: RESPONSIBILITIES FOR LIBRARIES IN KENYA

2. Outline Background. Indicators to the need for National Repository in Kenya. Responsibilities for Libraries/Librarians. The INAR Model Approach. Role of National Repositories. Conclusions.

3. Background Recently there has been a marked increase in the number of theses and dissertations from universities in Kenya.  NB: “Kenya” in this context may mean any other AAU member state and particularly those participating in DATAD program. Scholarly research use enormous public resources and do build to national wealth, however the results of research :  Poorly visible to new researchers and other scholars, also  Not accessible to industry and/or business community who need them to improve their products and services. Many initiatives however exist that attempt to enhance visibility:  Library OPACs, lists, catalogues, IRs, … but are limited. But how can research be made visible and accessible?  Can libraries have a role?  Is it the ICT specialists OR librarians (the experts in knowledge management) to provide the a sustainable solution?  -

4. Indicators to Theses and Dissertations The research-based knowledge in Universities is indicated by 3 parameters: I. Number of Universities in the country. II. Post graduate programs offered. III. Students presenting theses and dissertations. Lack of a central database of theses and dissertations presents researchers with numerous challenges in finding what research is taking place in Kenyan Universities. Therefore new research may not be acknowledged appropriately and there a high chance for duplication.

5. I. Growth of Universities in Kenya 2000200120022003200420052006200720082009 Public6666667777 Private9111317 21 24 Total15171923 2428 31 Source: Kenya. Economic Survey Reports 2005, 2010 Currently (2011) there are 50 Universities recognized by Commission of Higher Education (CHE)

6. II. Post Graduate Programmes In 2008 the directory of approved programmes by CHE listed 17 postgraduate programmes. 5 of these programmes were offered in five or more universities, thus:  Doctor of Philosophy (5)  Master of Education (7)  Master of Business Administration (8)  Master of Science (11)  Master of Arts (14). In order to know the extent of research undertaken in Kenyan universities and minimize possible duplication a common database is justified.

7. III. Graduating Students University of Nairobi has the highest enrollment of post graduate students followed by Kenyatta University in the country. Recent statistics on post graduate students graduating show a gradual rise: 20092010 University of Nairobi14202022 Kenyatta University510545

8. Responsibilities for Libraries University libraries are required to organize and make accessible information materials, which include theses and dissertations. Libraries are expected to innovatively adapt new technology in fulfilling their mandate. Control and access to theses and dissertations, in whatever format, remain a responsibility of libraries. Thus establishment of a mechanism to manage and access to documents is essentially a role of libraries. Therefore a national database of theses and dissertations is a necessary and effective tool for libraries to locate and facilitate these publications.

9. INAR MODEL for ETD MANAGEMENT INAR is Institutional, National and African-based Repository. INAR is a 3-tier hierarchal model for management of theses and dissertations.  Institutional repositories at the bottom  National ETD at the middle.  Regional DATAD at the top. At each level there are defined processes to build the data. Records should adherence to established international metadata standards, and should be shareable across and between levels.

10. THREE TIER – INAR MODEL

11. AIM of INAR Model The overall aim is to effectively control research emanating from Universities in Africa. In this model: Librarians, as experts in information management, should provide stewardship in planning and building the institutional repositories. Further responsibilities for librarians:  Encourage researchers deposit new information in the IR.  Facilitate access through established indexing services and repositories so as to enhance visibility of research. Libraries should take responsibility for custody and management of IR.

12. Metadata Creation Process The library should ensure that standards in metadata and other controls are adhered to during creation.  Ideally the input of metadata should be done at the bottom level (the institutional repository)  Data is then harvested into the national repository where it is verified and modified to meet the requirements of DATAD database.  Lastly, upload to the top level – DATAD online.

13. Storage of Fulltext ETD Whereas records can be shared well across all levels, storage of full text ETD present many challenges.  Issues about copyright and intellectual property rights remain unresolved and hinder progress towards hosting fulltext documents beyond institutional boundaries.  Libraries have different priorities, capacities and competences and this also presents additional challenges. It is important to have acceptable practices that enhance sense of ownership and build data that can later be harvested in other platforms in the hierarchy.

14. Options to Storage of ETDs Towards building national ETDs, there are three options suggested:  First, the institutions are the custodians of their ETDs. Have developed their own IR policies. The ETD metadata is passed on to the national repository before dispatch to DATAD. This is quite acceptable.  Second option is where the national repository takes the responsibility for acquisition, organization, storage and facilitates access. This is the most efficient and suitable method.  Third, ETDs are managed at DATAD headquarters. Obvious benefits include experience, access to suitable equipment, advocacy and sustainable budget.

15. Role of National Repository In implementing INAR model, a national repository is crucial and its primary roles will be: Maintain record of all theses and dissertations produced in the country. Provide a single reference tool to scholarly research in the country. Play advocacy roles towards establishment of IR. Train and steer the development of IRs at all levels. Ensure that the ETD metadata conforms to the acceptable international standards. Facilitate assignment of Digital Object Identifier (DOI) to ETDs, and Collaborate with national and regional services that work towards visibility and accessibility to scholarly work.

16. Conclusion The need to control scholarly research from the universities at national level is very important because it represents great wealth for the country. It benefits not only the scholars but also policy makers and business community. Individual universities are encouraged to establish institutional repositories and link them with national and regional repository to enhance visibility. The concept for institutional, national and African-based repository described here promises a better and sustainable solution for enhancing visibility and control of research from African universities.

17. References Commission of Higher Education. 2008. Directory of Approved Programmes in Kenyan Universities. Drake, M. A. 2004. Institution repositories: hidden treasures, Searcher, 12(5). Genoni, P. 2004. Content in Institutional Repositories a Collection Management Issue, Library Management, 25(6/7). Jain, P., Bentley, G., Oladiran, M.T. 2009. The role of institutional repository in digital scholarly communications, in African Digital Scholarship and Curation Conference 2009, 12-14 May, CSIR Conference Centre, Pretoria, Kenya. Ministry of Planning and National Development 2010. Economic Survey. Kenya. Ministry of Planning and National Development 2005. Economic Survey. Kenyatta University. 2010. The Tribune. Robinson, M. 2009. Promoting the Visibility of Educational Research through an Institutional Repository. Serials Review, 35(3). University of Nairobi. 2009. Alumni Hit 110,000 as 41st Graduation is Marked. Available http://archive.uonbi.ac.ke/news-and-events/id=180 http://archive.uonbi.ac.ke/news-and-events/id=180 University of Nairobi. 2009. 3994 Awarded at the 42nd Graduation Ceremony. Available http://archive.uonbi.ac.ke/news-and-events/id=194 http://archive.uonbi.ac.ke/news-and-events/id=194 University of Nairobi. 2010. 43rd Graduation Ceremony, Chancellor’s Court. Available http://archive.uonbi.ac.ke/news-and-events/id=257 http://archive.uonbi.ac.ke/news-and-events/id=257 University of Nairobi. 2010. 4500 Graduands Feted in Lively Celebrations. Available http://archive.uonbi.ac.ke/news-and-events/id=273. http://archive.uonbi.ac.ke/news-and-events/id=273

18. Thank you.