ELECTRONIC THESES AND DISSERTATIONS ETDS

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ELECTRONIC THESES AND DISSERTATIONS (ETDS)

• Implementation of ETDs
• at the
• University at Buffalo
• Myron A. Thompson, Ph.D.
• The Graduate School
• March 2004

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Presentation Outline

• What is an ETD?
• What are the benefits of ETDs?
• Which institutions currently use ETDs?
• What is Proquest/UMI?
• What is UBs anticipated plan for ETDs?
• Summary and next steps

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What is an ETD?

• A means for a graduate student to convey
  electronically the product of his/her research
  and scholarly activity.
• A masters 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.

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WHAT ARE THE BENEFITS OF ETDs?

• For Students
• Knowledge and skills for the Information Age
• Richer tools for creative expression
  (multi-media)
• For Universities
• Expansion of capabilities in the digital library
  field and its many advantages for students and
  scholars
• For the World
• Global digital library a growing array of
  useful works
• For all
• Save time and money
• Increased visibility for all associated with
  research

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The UB Libraries thesis and dissertation stacks
are filled to the gills and rarely accessed
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UBs Masters Theses are local only

• Unlike many other institutions, UBs masters
  theses are not presently published by
  Proquest/UMI or any other outlet.
• Scholars worldwide lack easy access to the
  research of our masters students.
• UBs masters students and their supervising
  faculty are denied the visibility and recognition
  they deserve.
• Our reputation as a graduate institution is
  hampered by such underexposure.

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Specific Advantages of ETDs

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

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Many institutions worldwide already require
ETDs. U.S. examples include

• California Institute of Technology
• Drexel University
• Duquesne University
• University of Florida
• University of Georgia
• East Tennessee State University
• Georgia Institute of Technology
• Louisiana State University
• North Carolina State University
• Ohio State University

• Texas AM 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

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What Options Are Available for Processing and
Management of ETDs?

• Home-grown software solutions that initially
  accommodate uploaded ETDs 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
  ETDs substantial ongoing maintenance and
  operation costs.
• Web-based student uploading of ETDs directly to
  Proquest/UMI (1-step handling process).
• More efficient and timely processing of ETDs.
• Campus controls the look and feel of its
  presence at Proquest/UMI.
• Campus controls all steps in the management of
  its ETDs once they arrive at Proquest/UMI.
• Campus avoids the costs of establishing and
  maintaining its own technical systems and
  services.

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What is Proquest/UMI and why are more and more
institutions using it as their ETD agent?

• The worlds 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
  masters theses from institutions across North
  America and around the world.
• Over 99 of U.S. doctoral institutions already
  utilize Proquest/UMI for other services.

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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.
• 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.
• 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.

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What is UBs anticipated plan for ETDs?

• 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 ETDs.

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What is UBs anticipated plan for ETDs?

• 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.
• 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.
• Use budget savings from ETDs to support
  additional library holdings and services for the
  benefit of faculty and students alike.

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What is UBs anticipated plan for ETDs?

• In essence, the submission of an ETD will simply
  consist of the students 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.

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What is UBs anticipated plan for ETDs?

• UB currently processes approximately 300
  dissertations and 350 theses annually.
• Phase-in timetable for introduction of mandatory
  ETDs at UB
• 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
• Little or no additional cost to students

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What is UBs anticipated plan for ETDs?

• Roles and responsibilities of stakeholders
• Students
• Faculty
• Department Staff
• Graduate School
• UB Libraries
• Proquest/UMI

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Summary and Next Steps

• 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 ETDs.
• Graduate School develops program of ETD training
  and consultation services for students and
  faculty.

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Open Discussion

• Questions, comments and suggestions may be
  directed to
• The UB Graduate School
• Dr. Myron A. Thompson
• Associate Provost and Executive Director
• Phone [phone] or e-mail to mick_at_buffalo.edu
• The UB Libraries
• Mr. David J. Nuzzo
• Head of Acquisitions Department and Acting
  Director of Central Technical Services
• Phone [phone] or e-mail to dnuzzo_at_buffalo.edu