Taking the Plunge: Requiring the ETD

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Taking the Plunge Requiring the ETD

• Presented by Kimberly Douglas
• Caltech Library System
• library_at_caltech.edu
• by Kimberly Douglas, George Porter, Betsy Coles
  Eric Van de Velde
• ETD 2003 Humboldt University, Berlin, Germany

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Caltech

• 285 Tenure-track faculty
• 1000 Postdoctoral researchers
• 900 Undergraduates
• 1100 Graduate students
• 450M Annual Operating Budget
• 2000 Peer-Reviewed Papers/Yr.

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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)

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Library Structure

• University Librarian
• 5 Departments
• Information Technology
• Technical Information Services (Liaison,
  Reference and Library Branch Management)
• Technical Processing (Acquisitions and
  Cataloging)
• Circulation and Document Delivery Services
• Business Office

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Caltech Theses at a Glance

• 150 PhD Theses per year
• 42 Engineering 23 Chemistry 12 Physics 10
  Biology 8 Geology 2 Math 2 Political
  Science 1 Economics
• Theses Decision-makers
• Dean of Graduate Studies
• Graduate Studies Committee
• Individual faculty members

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ETD ImplementationPhase One Voluntary Submission

• Preparation
• Institute-wide
• Grad Dean permission
• Library
• Library management commitment
• Application implementation ETD-db
• Creation of unique identifier and persistent
  resolver http//resolver.caltech.edu/CaltechETDe
  td-11252001-103911

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Phase One Results

• Experience
• Announcement by (a new!) Dean June 2001
• Timeframe for voluntary submission
• June 15, 2001 through June 30, 2002
• 63 of 299 theses submitted as ETDs
• Conclusion
• None to very limited problems
• Proceed

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Phase Two Requiring the ETD

• Library Preparation
• Timeframe June 2001 to June 2002
• Create website for information and guidance
• http//library.caltech.edu/etd/
• Develop orientation/briefing sessions for
  students
• Establish internal collaborations
• Tailor etd-db application
• Revise internal library procedures
• Purchase and support additional productivity
  software
• Institute-wide
• Graduate Studies Committee approval May 2002
• Graduate Studies Dean announced requirement
  effective July 2002

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Phase Two Requiring the ETD

• Experience
• Graduate students wanted assurance of safety net
• Handling of large files gt200MB must be part of
  orientation and guidance
• Be ready to answer and help all inquiries

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Conclusions

• One year from voluntary to required ETD
• Decoupled requirement of ETD from copy of record
  issue
• Spread workload by leveraging librarians and
  document delivery staff
• Did not burden Grad Deans office staff
• Library leadership indicated institutional
  commitment
• Didnt wait for complete solution to all issues
• Established mechanisms for prompt response to
  questions or problems

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and the beat goes on

• July 2002 - (another new!) Dean
• All 150 theses will be submitted by commencement
  June 2003
• Librarians and Grad Office developed cooperative
  communication
• Adding data sets raised as a new area of
  application

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OAIS Functional Entities
Preservation Planning
P R O D U C E R
C O N S U M E R
Data Management
queries
result sets
Ingest
Access
orders
Archival Storage
Administration
MANAGEMENT
From D. Sawyer April 2002