1. UK Electronic Theses On-line Service (EThOS) Project infrastructure, business model and IPR Anthony Troman British Library EThOS workpackage leader

2. History of thesis supply in the UK BL service since early 80s Vast majority of UK HE involved Supplied on paper or microfilm – sales & loans Researcher pays But, despite dedicated staff: Out of date supply formats Long supply times Heavily administrative at BL & Institution – expensive Meaning: Serious decline in use of the service = lack of awareness of UK research output

3. JISC drives change JISC initiatives: 3 thesis projects ending late 2004 (or thereabouts) Funding to take findings and develop a UK thesis service EThOS partnership selected to develop service Project Aims: A one-stop shop for all UK theses Open Access to all theses, yet financially viable and sustainable

4. The Project Team Partners Also involved:

5. Workpackages WorkpackageLead Institution 1. Project ManagementGlasgow 2. Central Hub DevelopmentBritish Library 3. InterfacesCranfield 4. DigitisationBritish Library 5. Intellectual Property RightsEdinburgh 6. Institution ToolkitRobert Gordon University 7. Business ModelGlasgow/British Library 8. Dissemination & advocacyBirmingham/Warwick

6. Project Issues 500,000 UK Theses since 1700s Stored on: -Paper – distributed across UK Institutions -Microfilm – 200,000 theses held at BL for supply -E-theses – small number held on Institutional Repositories Supply to the Researcher by download or on paper or CD/DVD Open Access

7. Infrastructure – Central Hub

8. EThOS

9. Digitisation – why? Not many e-theses yet! 80% of theses ordered via BL are from last 13 years – peak usage is 2 year old theses i.e. Researchers WANT the information held on paper theses Institutions will continue to produce paper theses for years to come Current service MUST be updated Service needs to offer content of paper theses to attract Researchers and encourage e- submission (the critical mass)

10. Central Hub - modules

11. Business model options Author [but if they can supply an e-version of their thesis…] Thesis (charge to the Researcher based on age/subject/source..) HEI (Open Access) - do all HEIs want to offer Open Access? Researcher (commercial/HE/contributor..) ? - Download no charge (Open Access) - Added value services (print/bind/CD) charge EThOS practical definition of Open Access: - Supply of the intellectual content of a thesis is free. - Manual work undertaken to digitise the intellectual content from a physical format will be charged to the HEI. - Manual work undertaken to prepare the intellectual content into the desired supply format will be charged to the Researcher. - If HEIs opt out of Open Access supply, digitisation will be charged to the first Researcher ordering the item.

12. In practical terms… A cost recovery only service i.e. every penny raised will be spent on the service and digitisation of UK Theses. Digitisation of each individual thesis must be paid for, but once paid for the thesis will be available Open Access to all subsequent Researchers. HEIs offering content Open Access via EThOS have the choice of relationship type (see below). Any thesis supplied to the EThOS in e-format, or digitised as part of a digitisation project (see below) will be supplied Open Access to a Researcher. Added value services will be offered for delivery and will be chargeable to the Researcher. Note that HEIs buy theses from the current service The proposed service will save effort at the HEI by centralising services such as copying, packaging, etc.

13. Institution relationships Open Access Sponsor: Sponsorship flat fee with a minimum initial commitment: 3 years (paid annually) Guaranteed number of theses digitised from paper and microfilm per annum including those ordered on-demand by Researchers HEI choice of additional paper/microfilm theses to digitise should flat fee value not be delivered on-demand. HEI commitment to cover additional digitisation costs should the flat fee value be exceeded i.e. if your theses are very popular! Open Access Associate: No sponsorship flat fee Digitisation paid for on a piecemeal basis with no minimum number guaranteed Monthly/quarterly invoicing for theses digitised on-demand Associate: Institution supplies theses to the service – Researcher pays for digitisation Collaborator: Supplies metadata only – all orders are routed to the institutions

14. Sponsorship

15. Why sponsor? Support Open Access Service is expensive to run (staff, technical infrastructure, admin, etc.) – but cheaper than alternatives! Set-up of digitisation studio and infrastructure represents a large risk to public money Guarantee a secure financial basis for the service and support Associates and Collaborators in making their theses available For your money: GUARANTEED no. theses digitised All monies directly support the service (no profit!)

16. Intellectual Property Rights Current system (opt-in) is time consuming and administrative (i.e. expensive) involving forms from authors and from researchers - legal recommendation is that this continues, but that wont allow us to meet the expectations of a modern e-commerce aware Researcher For future submissions (paper or e-) this can be streamlined using workflow and technology For existing theses (500,000) seeking permissions to digitise would be difficult and very expensive Many authors use 3 rd party copyrighted material – BL has edited in the past – this will not be possible in future

17. IPR - proposals Adopt an opt-out solution but: Offer a quick take-down option Ask institutions to contact as many authors as possible Publicise intentions via appropriate communication media Take out insurance Note: there is no intention to abuse any IPR. The BL has been described as a trusted public organisation and is not making any money out of supplying theses. Theses are supplied in order to support UK HE and the authors.

18. Benefits Project A one-stop shop for all UK theses (or all HEIs which wish to take part) Open Access to all theses, yet financially viable and sustainable (provided UK HE buys in). Increasing store of Open Access theses for immediate download. Author Thesis made available to the world (if wanted) HEI A shop window to research effort Options on level of involvement Inclusive - support for smaller institutions Reduction in load on Institutional Repository (where applicable) Service Provider (British Library) Meets its remit as a public body Cost-recovery, cost-effective service Researcher Easy to find and obtain information in the format required Clear delivery timetables and costs (if any) UK PLC Demonstrates the quality of primary research going on in the UK Attracts overseas investment

19. ETDs: An American Sampler Gail McMillan Director, Digital Library and Archives Virginia Polytechnic Institute &State University JISC/CNI: YorkJuly 6, 2006

20. Networked Digital Library of Theses and Dissertations 233 members worldwide 94 universities,13 associations, consortia, etc. in the United States 32 require ETDs 32 Association of Research Libraries 13 require 71 Council of Graduate Schools 29 require http://www.ndltd.org/

21. Key Issues for ETD Initiatives 1. Getting started 2. Software ETD-db: submission and management IRs: institutional repositories 3. Accessibility Authors choices OAI: Open Archives Initiative 4. Training Tutorials online ETD Guide 5. Copyright 6. Preservation

22. ETD Issue: Getting Started University of Washington Library Space needs Institutional repository Initiated Graduate School Policy changes Procedural adaptations Golden Promise to faculty Students Timely online availability

23. ETD Issue: SOFTWARE ETD-db: submission and management http://scholar.lib.vt.edu/ETD-db/ http://scholar.lib.vt.edu/ETD-db/developer/ IRs: institutional repositories http://repositories.tdl.org/handle/2249.1/1 http://etd.lib.fsu.edu/ http://eidr.wvu.edu/

24. ETD-db http://scholar.lib.vt.edu/ETD-db/ Web pages, perl scripts interact with MySQL Standard interface for web users, authors, graduate school, library personnel Enter and manage files and metadata http://scholar.lib.vt.edu/ETD-db/developer/ Software and hardware requirements Instructions on downloading, installing, and customizing scripts Improvements coming: September 2006 Timed release Merged databases Improved OAI

25. ETD-db Hardware Requirements VT uses a dual-processor Sun Enterprise 250 with 384 Mb of RAM, running Solaris 2.7. 18Gb drive is allocated solely for the ETD collection. Web server (e.g., UNIX-based server platform) Disk space for submissions VT averages 2.5 Megabytes per submission ETD-db is not designed to span multiple drives. Memory for web server, database server, other tasks Software Requirements Mysql Perl and CGI, DBI, DBD, and Tie-IxHash modules Web server software, e.g., Apache Web Server

26. Florida State University ETD-db Workflow advantages for Graduate School DigiTool (ExLibris) Search engine DSpace Missing functionality Programming personnel needed

27. West Virginia University http://eidr.wvu.edu/ eIDR: Electronic Institutional Document Repository ETDs since 1998 Digital library system: collections serve entire university community

28. Texas Digital Library http://repositories.tdl.org/handle/2249.1/1 More than 40 campuses, 375,000 students; over 4,000 theses and dissertations in 2004. ETDs with MODS XML based, web friendly, transportable, processible, configurable, sufficiently descriptive without being too complex, extensible Why not MARC: isnt XML based, cant easily be output from web forms, requires special cataloging knowledge and systems to implement. Why not Dublin Core: insufficient specificity, doesnt specify a syntax and is inconsistently applied, isnt extensible. Manakin: enables communities and collections to establish a unique look and feel that is distinct from the default installation of DSpace.

29. ETD Issue: ACCESSIBILITY Universities offer options http://di.tamu.edu/bsurratt/ETDPolicies/ Authors make choices http://scholar.lib.vt.edu/theses/data/ OAI: Open Archives Initiative http://www.ndltd.org/join/union.en.html

30. ETD Access Policies at ARL Institutions: A Preliminary Study 4% Non-exclusive right to reproduce 4% Open access only 46% Open access or withhold for limited time 42% Open access; restrict and withhold for limited time 4% Restrict and withhold for limited time Brian Surratt, Texas A&M http://adt.caul.edu.au/etd2005/papers/0555Surratt.pdf http://di.tamu.edu/bsurratt/ETDPolicies/

31. Snapshot of Availability May 2000-2006

32. 13. If you restricted access to your ETD, on what did you base your decision?

33. NDLTD develops global resource discovery services to promote the visibility of ETDs. http://rocky.dlib.vt.edu/~etdunion/ http://www.ndltd.org/join/union.en.html http://alcme.oclc.org/ndltd/ http://zippo.vtls.com/cgi-bin/ndltd/chameleon Union Catalog Project: distributed members collections appear as one digital library of ETDs. Built by harvesting metadata from Open Archives of electronic theses and dissertations OCLCs NDLTD Union Catalog 247,390 NDLTD from >60 entities (135,166 US)

34. Ohio Library and Information Network Worldwide ETD Search: 162,057 http://search.ohiolink.edu/etd/world.cgi Internet-available ETDs collected by OhioLINK OIA harvesting per NDLTD Union Catalog Crawls handful of sizeable ETDs collections…which run on ETD-db software. Indexes only if full text and freely available online. OhioLINK ETD Search: 8,968 http://search.ohiolink.edu/etd/

35. Key ETD Issue: TRAINING Tutorials http://www.adobe.com/education/etd/tutorials.html http://gradsch.osu.edu/Depo/ETD_Tutorial/ETD_Tutorial.pdf ETD Guide http://www.etdguide.org/ http://flexwiki.etdguide.org/

36. Online ETD Tutorial Modular program stepping authors through series of 5 lessons PDF with text, images, audio, movies 2-7 interactive exercises linked to movie demonstrations Usability tested including compatibility with 3rd-part screen readers PSU: Acrobat how-to for ETD authors: http://cac.psu.edu/etd/howto/acrobat/

37. Lesson 1: Read an ETD: download, browse, navigate, search within Lesson 2: Create a PDF File Use Acrobat PDFMaker within Microsoft Word Use Print Command in a word processing application Combine two or more PDF files into a single document Lesson 3: Modify a PDF File Change page numbering Move a page Insert new pages; delete, rotate pages Lesson 4: Add PDF Navigation to an ETD: bookmarks, page and destination links Lesson 5: Add Multimedia: movie and sound clips

38. ETD Guide http://www.etdguide.org/ UNESCO French, Spanish, Greek http://flexwiki.etdguide.org/ Share best practices Celebrate exemplary ETDs

40. ETD Issue: PUBLISHING and COPYRIGHT I hereby grant to [university] and its agents the non- exclusive license to archive and make accessible…in whole or in part in all forms of media, now or hereafter known. I retain all ownership rights to the copyright of the thesis, dissertation, or project report. I also retain the right to use in future works (such as articles or books) all or part of this thesis, dissertation, or project report.

41. Authors inadequately understand © Rights as copyright holders Responsibilities when using others materials Future rights before signing publishers agreements Works for a dissertation Reusing materials for teaching or book chapter

42. Pennsylvania State University Promotes intellectual property rights through ETDs Library teaches law seminars to graduate students Limitations on exclusive rights http://www.etd.psu.edu/faq_pub.html 1.Others may excerpt portions of your thesis for scholarly work or research without obtaining your permission; they must credit you as the source. (fair use) 2.ProQuest/UMI receives authors permissions to sell copies. 3.Penn State has the right to make single copies of the thesis for nonprofit purposes. Copyright Law and the Doctoral Dissertation: Guidelines to Your Legal Rights and Responsibilities www.ifla.org/documents/infopol/copyright/crews.txt

43. Bowling Green State University Conflict of interest Worldwide access ETD prior publication Extended negotiations Graduate College Creative Writing Programs MFA: 21 of 22 do not have ETD initiatives Publication-dependent careers Scientific & Technical Communication

44. ETD Issue: PRESERVATION Preservation Strategies Dark archives Replication w/geographic dispersion Verification Format migration

45. 6 Association of SouthEastern (US) Research Libraries Adapted LOCKSS to a private, independent network using OAI-PMH Crawled and collected web content based on permissions Each university cached every other universities ETDs Audited file integrity Addressed policy issues: dark archiving, removing files, adding programs LOCKSS tutorial http://scholar.lib.vt.edu/lockss/introduction.htm

46. Dark Archive In The Sunshine State Digital preservation repository application (open source license) developed by Florida Center for Library Automation with: Ingest functions Data management and dissemination Format normalization Mass format migration Migration on ingest http://www.fcla.edu/digitalArchive/

47. An American ETD Sampler Thank you! Questions? Comments? JISC/CNI: YorkJuly 6, 2006 Gail McMillan Director, Digital Library and Archives Virginia Polytechnic Institute &State University