1. To Restrict or not to Restrict Access: The PhD Candidate’s Intellectual Property Dilemma By Kimberly Douglas Caltech Library System library@caltech.edu 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 150 PhDs per year

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)

4. Scope of Study Learn how graduate students make decisions regarding global access to their theses. Based on set of submitted ETDs during the voluntary phase at Caltech, ask the authors why they restricted or withheld access to their ETD.

5. Questions posed 1a What was the specific concern that you addressed by restricting access to your ETD to within the Caltech network only? OR 1b. What was the specific concern that you addressed by withholding access to your ETD 2. Was the action to restrict (or withhold) a joint decision with your thesis advisor? 3. Do you have a date in mind to release access to your whole thesis? If so, what date? If not, what reason? Please feel free to make any other comments regarding the treatment of your electronic thesis.

6. Quantitative Data Total # Theses # Withhld # Restrictd Whole Thesis # Restrictd Portion Total Withhld or Restrictd Survey Respond Biol 93 30 Chem 12221 53 Eng 2241 54 Geol 811 21 Math 11 11 Phys 111 10 Total 632123 179

7. Quantitative Data Total # Theses # Withhld # Restrictd Whole Thesis # Restrictd Portion Total Withhld or Restrictd Survey Respond Biol 93 30 Chem 12221 53 Eng 2241 54 Geol 811 21 Math 11 11 Phys 111 10 Total 632123 179

8. Q1: Why withhold or restrict? 2 – Fear of theft of unpublished work currently in patent process 4 – Waiting for publication of peer- reviewed paper 1 – Couldn’t remember why 1 – Do not have permission to publish date in electronic format

9. Q2: Advisor involvement Chemistry yes (3) Engineeringno(3) Geologyyes (1) Mathno(1)

10. Q3: When will thesis be fully released? Chemistry 1 yr / after patent / when paper is published Engineering5 years “to be safe” / can be done now / no answer Geologyin a few months Mathin March or April 2003

11. Conclusions Graduate Students want to share results –Need education as to the rights of authors Advisors play major role where patents are involved –Involve Technology Transfer and faculty in ETD sessions with graduate students, esp. in Chemistry Proactive management of withheld and restricted theses would result in release of more papers