1. Survey of US ETD Programs: Progress and State of Acceptance - Preliminary Findings Joan Lippincott and Clifford Lynch Coalition for Networked Information ETD 2008 Aberdeen, Scotland

2. Overview CNIs Role in ETDs US Higher Education Institutions Uptake of ETD Programs General Characteristics of US ETD Programs Factors Motivating and Inhibiting US Establishment of ETD Programs Next steps

3. Coalition for Networked Information (CNI) Founded in 1990 by Association of Research Libraries, Educom, and CAUSE (EDUCAUSE) To advance the transformative promise of networked information technology for scholarly communication and intellectual productivity Institutional membership, primarily North American Executive Director Clifford Lynch Co-sponsored early work on ETDs (1993) and continue involvement www.cni.org

4. Profile of US Higher Education Institutions Approximately 4300 institutions of higher education Approximately 1200 granting degrees beyond bachelors degree 60 US members of Association of American Universities (leading research universities in NA) 574,618 Masters degrees awarded in 2005 52,631 Doctoral degrees awarded in 2005 (References on final slide)

5. CNI ETD Survey Sent to 143 US higher education institutions, all members of CNI in spring, 2008 83 (58%) responses as of mid-May Includes 36 of 60 US members of AAU (60%) E-mail request for completion and follow-ups Survey available on surveymonkey.com Following data are preliminary results

6. Does your institution have an ETD Program? Yes 73.5% No 26.5%

7. Is your ETD program mandatory? 43.1% Yes, for all Masters and Ph.D. students 31% Optional for students 13.8% Mandatory only for some departments/schools 10.3% Mandatory only for Ph.D. students 3.4% Mandatory only for Masters students Note: Respondents could check all that apply

8. Is your institution adding scanned theses and dissertations (produced in years prior to the ETD program) to the collection of ETDs? 34.5% Yes 41.4% No 24.1% Other

9. ETDs and Repositories 72.2% ETD collection is part of the institutional repository 16.7% ETD collection is part of a consortial repository 29.6% Other Note: Respondents could check all that apply

10. Who took leadership in establishment of the ETD program? (can check all that apply) 93.1% Librarians 50% Grad school administrators 12.1% Provost/academic administrators 3.4% Individual faculty 3.4% Students 1.7% Specific schools/departments 0% Faculty senate 17.2% Other

11. What factors encouraged implementation of an ETD program for your institution? 50% or more rated these factors Important Potential of increased access to student-produced work Library interest in content for institutional repository Potential of increased visibility for the institution, schools, or departments

12. What factors encouraged implementation of an ETD program for your institution? In addition, over 50% rated these as Somewhat Important or Important Ability to include non-text features Use of ETDs as a learning opportunity for future digital authors (students) Potential of decreasing costs for students and/or institution Promotion of open access principles

13. What factors encouraged implementation of an ETD program for your institution? Respondents did NOT choose these factors as Important or Somewhat Important Legal mandate by the state Means of demonstrating accountability to external groups

14. What factors discouraged implementation of an ETD program for your institution? Concerns by faculty about public access to ETDs limiting future publication opportunities - rated Important by 38.1% of respondents

15. What factors discouraged implementation of an ETD program for your institution? Ranked Somewhat Important or Important by 40% or more of respondents General disinterest in change Concerns about digital preservation Lack of consensus about embargo policies

16. What factors discouraged implementation of an ETD program for your institution? Respondents did NOT choose this factor as Important or Somewhat Important Concerns about potential additional costs to students or institution

17. Institutions without an ETD program What factors discouraged implementation of an ETD program for your institution? Top concerns (rated Somewhat Important or Important by at least 45% of respondents) Adequate technical support Digital preservation Faculty concerns about limiting future publications General disinterest in change Lack of consensus about embargo policies

18. Institutions without an ETD Program Other comments 5 institutions indicated they are actively exploring setting up an ETD program

19. Next Steps Gather additional data Continue analysis Disseminate results through various venues, including CNI meetings

20. Thanks to: Gail McMillan, Virginia Tech Joan Cheverie, Georgetown University Diane Goldenberg-Hart, CNI Sharon Adams, CNI

21. Resources http://www.census.gov/compendia/statab/cats/education /higher_education_institutions_and_enrollment.html http://www.census.gov/compendia/statab/cats/education /higher_education_institutions_and_enrollment.html http://www.census.gov/compendia/statab/cats/education /higher_education_degrees.html http://www.carnegiefoundation.org/classifications/index. asp?key=801