1. ELECTRONIC THESES AND DISSERTATIONS (ETD’S) Implementation of ETD’s at the University at Buffalo Myron A. Thompson, Ph.D. The Graduate School March 2004

2. Presentation Outline What is an ETD? What is an ETD? What are the benefits of ETD’s? What are the benefits of ETD’s? Which institutions currently use ETD’s? Which institutions currently use ETD’s? What is Proquest/UMI? What is Proquest/UMI? What is UB’s anticipated plan for ETD’s? What is UB’s anticipated plan for ETD’s? Summary and next steps Summary and next steps

3. What is an ETD? A means for a graduate student to convey electronically the product of his/her research and scholarly activity. A means for a graduate student to convey electronically the product of his/her research and scholarly activity. A master’s thesis or doctoral dissertation in electronic, rather than paper, format. A master’s thesis or doctoral dissertation in electronic, rather than paper, format. Can be identical to, or significantly different from, the “look and feel” of traditional paper- based theses and dissertations. Can be identical to, or significantly different from, the “look and feel” of traditional paper- based theses and dissertations.

4. WHAT ARE THE BENEFITS OF ETD’s? For Students: For Students: Knowledge and skills for the Information Age Knowledge and skills for the Information Age Richer tools for creative expression (multi-media) Richer tools for creative expression (multi-media) For Universities: For Universities: Expansion of capabilities in the digital library field and its many advantages for students and scholars Expansion of capabilities in the digital library field and its many advantages for students and scholars For the World: For the World: Global digital library – a growing array of useful works Global digital library – a growing array of useful works For all: For all: Save time and money Save time and money Increased visibility for all associated with research Increased visibility for all associated with research

5. The UB Libraries’ thesis and dissertation stacks are “filled to the gills” and rarely accessed

6. UB’s Master’s Theses are “local only” Unlike many other institutions, UB’s master’s theses are not presently published by Proquest/UMI or any other outlet. Unlike many other institutions, UB’s master’s theses are not presently published by Proquest/UMI or any other outlet. Scholars worldwide lack easy access to the research of our master’s students. Scholars worldwide lack easy access to the research of our master’s students. UB’s master’s students and their supervising faculty are denied the visibility and recognition they deserve. UB’s master’s students and their supervising faculty are denied the visibility and recognition they deserve. Our reputation as a graduate institution is hampered by such underexposure. Our reputation as a graduate institution is hampered by such underexposure.

7. Specific Advantages of ETD’s Expanded opportunities for creative expression of research and scholarship Expanded opportunities for creative expression of research and scholarship Addition of multimedia files (audio, video, simulations, etc.) Addition of multimedia files (audio, video, simulations, etc.) More dynamic presentation of data/results More dynamic presentation of data/results Hyperlinks Hyperlinks Spreadsheets and databases Spreadsheets and databases Less expense to authors and universities Less expense to authors and universities No paper or paper handling costs No paper or paper handling costs No physical shelf space needed No physical shelf space needed Reduced cataloging costs Reduced cataloging costs More access to research and its outcomes More access to research and its outcomes Research is readily available on campus Research is readily available on campus Research can be made readily accessible worldwide Research can be made readily accessible worldwide

8. Many institutions worldwide already require ETD’s. U.S. examples include: California Institute of Technology California Institute of Technology Drexel University Drexel University Duquesne University Duquesne University University of Florida University of Florida University of Georgia University of Georgia East Tennessee State University East Tennessee State University Georgia Institute of Technology Georgia Institute of Technology Louisiana State University Louisiana State University North Carolina State University North Carolina State University Ohio State University Ohio State University Texas A&M University Texas Tech University University of North Texas University of South Florida University of Texas at Austin University of Texas Medical Branch University of Virginia Virginia Tech West Virginia University Western Kentucky University Worcester Polytechnic University

9. What Options Are Available for Processing and Management of ETD’s? “Home-grown” software solutions that initially accommodate uploaded ETD’s at the campus level for subsequent forwarding to Proquest/UMI (a 2-step handling process). “Home-grown” software solutions that initially accommodate uploaded ETD’s at the campus level for subsequent forwarding to Proquest/UMI (a 2-step handling process). Requires campus-based computer programming; robust and “mission- critical” local computer hardware for receipt, management and storage of ETD’s; substantial ongoing maintenance and operation costs. Requires campus-based computer programming; robust and “mission- critical” local computer hardware for receipt, management and storage of ETD’s; substantial ongoing maintenance and operation costs. Web-based student uploading of ETD’s directly to Proquest/UMI (1-step handling process). Web-based student uploading of ETD’s directly to Proquest/UMI (1-step handling process). More efficient and timely processing of ETD’s. More efficient and timely processing of ETD’s. Campus controls the “look and feel” of its presence at Proquest/UMI. Campus controls the “look and feel” of its presence at Proquest/UMI. Campus controls all steps in the management of its ETD’s once they arrive at Proquest/UMI. Campus controls all steps in the management of its ETD’s once they arrive at Proquest/UMI. Campus avoids the costs of establishing and maintaining its own technical systems and services. Campus avoids the costs of establishing and maintaining its own technical systems and services.

10. What is Proquest/UMI and why are more and more institutions using it as their ETD agent? The world’s oldest (65 years) and largest provider of dissertation publishing services, global online access to dissertations, and the digital archiving and access program. The world’s oldest (65 years) and largest provider of dissertation publishing services, global online access to dissertations, and the digital archiving and access program. The company publishes, films, archives, indexes, and distributes doctoral dissertations and master’s theses from institutions across North America and around the world. The company publishes, films, archives, indexes, and distributes doctoral dissertations and master’s theses from institutions across North America and around the world. Over 99% of U.S. doctoral institutions already utilize Proquest/UMI for other services. Over 99% of U.S. doctoral institutions already utilize Proquest/UMI for other services.

11. What is Proquest/UMI and why are more and more institutions using it as their ETD agent? Proquest/UMI is the designated digital dissertation archive for the U.S. Library of Congress. Proquest/UMI is the designated digital dissertation archive for the U.S. Library of Congress. First time the Library of Congress has recognized an external site as its repository for a key collection. First time the Library of Congress has recognized an external site as its repository for a key collection. The Library of Congress uses Proquest as its access portal for dissertations. The Library of Congress uses Proquest as its access portal for dissertations. If Proquest were ever to cease operation, it will contractually surrender all holdings to the Library of Congress, thereby assuring continued access and preservation. If Proquest were ever to cease operation, it will contractually surrender all holdings to the Library of Congress, thereby assuring continued access and preservation. Proquest is the exclusive publishing agent for the National Library of Canada. Proquest is the exclusive publishing agent for the National Library of Canada.

12. What is UB’s anticipated plan for ETD’s? The Graduate School Executive Committee, the Academic Deans, the Dean of the Graduate School and the Provost have all approved the concept of ETD usage at UB. The Graduate School Executive Committee, the Academic Deans, the Dean of the Graduate School and the Provost have all approved the concept of ETD usage at UB. Based on a careful analysis of alternative approaches and existing models, the Graduate School, in partnership with the UB Libraries, has developed a detailed institutional two-stage strategy to implement ETD’s. Based on a careful analysis of alternative approaches and existing models, the Graduate School, in partnership with the UB Libraries, has developed a detailed institutional two-stage strategy to implement ETD’s.

13. What is UB’s anticipated plan for ETD’s? Given its proven experience and expertise, utilize Proquest/UMI as our ETD processing agent. Given its proven experience and expertise, utilize Proquest/UMI as our ETD processing agent. As early as feasible, require all theses and dissertations to be submitted electronically. As early as feasible, require all theses and dissertations to be submitted electronically. To avoid additional budget costs, administrative complexity and unnecessary administrative workload, do not maintain concurrent electronic and paper-based systems of submission. To avoid additional budget costs, administrative complexity and unnecessary administrative workload, do not maintain concurrent electronic and paper-based systems of submission. Provide appropriate initial and ongoing ETD training and support for students, faculty and staff. Provide appropriate initial and ongoing ETD training and support for students, faculty and staff. Use budget savings from ETD’s to support additional library holdings and services for the benefit of faculty and students alike. Use budget savings from ETD’s to support additional library holdings and services for the benefit of faculty and students alike.

14. What is UB’s anticipated plan for ETD’s? In essence, the submission of an ETD will simply consist of the student’s electronic “upload” of the final thesis or dissertation instead of his/her submission of a paper- based version to the Graduate School. In essence, the submission of an ETD will simply consist of the student’s electronic “upload” of the final thesis or dissertation instead of his/her submission of a paper- based version to the Graduate School. Should they choose to do so, students and faculty can follow existing patterns and modes of paper-based document preparation, sharing and review up until the concluding step of actual submission of the final document. Should they choose to do so, students and faculty can follow existing patterns and modes of paper-based document preparation, sharing and review up until the concluding step of actual submission of the final document.

15. What is UB’s anticipated plan for ETD’s? UB currently processes approximately 300 dissertations and 350 theses annually. UB currently processes approximately 300 dissertations and 350 theses annually. Phase-in timetable for introduction of mandatory ETD’s at UB: Phase-in timetable for introduction of mandatory ETD’s at UB: For doctoral dissertations, effective with those who will receive their degrees June 1, 2005 For doctoral dissertations, effective with those who will receive their degrees June 1, 2005 For masters theses, effective with those who will receive their degrees September 1, 2005 For masters theses, effective with those who will receive their degrees September 1, 2005 Little or no additional cost to students Little or no additional cost to students

16. What is UB’s anticipated plan for ETD’s? Roles and responsibilities of stakeholders Roles and responsibilities of stakeholders Students Students Faculty Faculty Department Staff Department Staff Graduate School Graduate School UB Libraries UB Libraries Proquest/UMI Proquest/UMI

17. Summary and Next Steps Graduate School contracts with Proquest/UMI for appropriate ETD services and partnership arrangements. Graduate School contracts with Proquest/UMI for appropriate ETD services and partnership arrangements. UB Libraries prepare new methods and operating procedures for receipt and management of ETD’s. UB Libraries prepare new methods and operating procedures for receipt and management of ETD’s. Graduate School develops program of ETD training and consultation services for students and faculty. Graduate School develops program of ETD training and consultation services for students and faculty.

18. Open Discussion Questions, comments and suggestions may be directed to: Questions, comments and suggestions may be directed to: The UB Graduate School The UB Graduate School Dr. Myron A. Thompson Associate Provost and Executive Director Phone 645-6227 or e-mail to mick@buffalo.edu mick@buffalo.edu The UB Libraries The UB Libraries Mr. David J. Nuzzo Head of Acquisitions Department and Acting Director of Central Technical Services Phone 645-2305 or e-mail to dnuzzo@buffalo.edu dnuzzo@buffalo.edu