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UK Electronic Theses On-line Service (EThOS)Project infrastructure, business model and IPR
Anthony Troman
British Library
EThOS workpackage leader
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of UK HE involved• Supplied on paper or microfilm – sales & loans• Researcher paysBut, despite dedicated staff:• Out of date supply formats• Long supply times• Heavily administrative at BL & Institution –
expensiveMeaning:• Serious decline in use of the service = lack of
awareness of UK research output
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
The Project Team
Partners
Also involved:
Workpackages
Workpackage Lead Institution1. Project Management Glasgow
2. Central Hub Development British Library
3. Interfaces Cranfield
4. Digitisation British Library
5. Intellectual Property Rights Edinburgh
6. Institution Toolkit Robert Gordon University
7. Business Model Glasgow/British Library
8. Dissemination & advocacy Birmingham/Warwick
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
Infrastructure – Central Hub
Metadata + content
Institutional Repository
Consortium
Metadata + content
EThOS
direct
direct
Institutional Repository
Metadata + contentMetadata
only
Web Service
Metadata + content
Metadata + content
Metadata + content
Scan
Copy?
Scan
Scan
EThOS
Host institution
Electronic theses
Host institution
Papertheses
British Library
Microfilmtheses
EThOS
Researcher
Paper (soft bound)
Researcher
Paper(hard bound)
Researcher
CD/DVD
Researcher
Paper(loose leaf)
Researcher
Electronicdownload
digitisedigitise
harvest
HEI
Storage Location & Format
Requested Delivery Format
Hub
Added ValueOpen
Access
Researcher
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’)
Central Hub - modules
Researcher Interface
Order Management
Delivery
Storage Finance
HEI (metadata only participation)
supply
order(email)
HEI (metadata & content participation)
job sheet for microfilm
thesis
register/login
search/results
order
Digitisation
BL microfilm
store
pape
r th
esis
ret u
rne d
the s
is
mic
rofil
m th
esis
retu
rned
thes
is
digitised thesisand metadata
order
request for paper thesis
(email)
HEI Repository
metadata & e-thesis
metadataorder
(alreadydigitisedThesis)
British LibraryThesis Unit
extract
inform
downloadAdded Value Processing
download
physicalmedia
authorisecredit card
take payment
£
EThOS HEI funds
credit
confirm despatch
update
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.
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.
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-demandAssociate:• Institution supplies theses to the service – Researcher pays for digitisationCollaborator:• Supplies metadata only – all orders are routed to the institutions
Sponsorship
HEIOpen Access
Sponsor
$
EThOSFunds
Researcher
£sponsorannual
Ch
arge
Deliver
EThOSServer
Load
1. The HEI credits a sponsorship payment to EThOS at the start of the financial year
Order
2. A Researcher orders one of the HEI’s
theses
Request
Supply
3. The thesis is requested from the
HEI and is supplied for digitising
4. The thesis is digitised and the HEI’s
credit is reduced by the appropriate sum
SponsorshipModel
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!)
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 won’t 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 3rd party copyrighted material – BL has edited in the past – this will not be possible in future
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 insuranceNote: 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.
BenefitsProject• 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 serviceResearcher• 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
ETDs: An American Sampler
Gail McMillan
Director, Digital Library and Archives
Virginia Polytechnic Institute &State University
JISC/CNI: York July 6, 2006
Networked Digital Libraryof 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/
Key Issues for ETD Initiatives1. Getting started2. Software
ETD-db: submission and management IRs: institutional repositories
3. Accessibility Authors’ choices OAI: Open Archives Initiative
4. Training Tutorials online ETD Guide
5. Copyright6. Preservation
ETD Issue: Getting StartedUniversity of Washington
Library • Space needs • Institutional repository • Initiated
Graduate School • Policy changes• Procedural adaptations• “Golden Promise” to faculty Students• Timely online availability
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/
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
ETD-dbHardware 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
Florida State University
ETD-db• Workflow advantages for Graduate School
DigiTool (ExLibris)• Search engine
DSpace• Missing functionality• Programming personnel needed
West Virginia Universityhttp://eidr.wvu.edu/
eIDR: Electronic Institutional Document Repository• ETDs since 1998• Digital library system: collections serve
entire university community
Texas Digital Libraryhttp://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: isn’t XML based, can’t easily be output from web
forms, requires special “cataloging” knowledge and systems to implement.
• Why not Dublin Core: insufficient specificity, doesn’t specify a syntax and is inconsistently applied, isn’t extensible.
Manakin: enables communities and collections to establish a unique look and feel that is distinct from the default installation of DSpace.
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
ETD Access Policies at ARL Institutions: A Preliminary Study
4% Non-exclusive right to reproduce 4% Open access only46% Open access or withhold for limited time42% Open access; restrict and withhold for
limited time 4% Restrict and withhold for limited time
Brian Surratt, Texas A&Mhttp://adt.caul.edu.au/etd2005/papers/0555Surratt.pdf
http://di.tamu.edu/bsurratt/ETDPolicies/
0% 10% 20% 30% 40% 50% 60% 70% 80%
2006
2005
2004
2003
2002
2001
2000
No accessMixed accessVT-only--scannedVT-only born-digitalWorldwide access
Snapshot of Availability May 2000-2006
13. If you restricted access to your ETD, on what did you base your decision?
55%
20%17%
4% 3% 2%
46%
10%
23%
10%
6% 5%
Advice offaculty
Other Personal choice Advice ofothers
Advice ofpublisher
Patent pending
2004/20052000/2001
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• OCLC’s NDLTD Union Catalog
247,390 NDLTD from >60 entities (135,166 US)
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/
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/
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/
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
ETD Guide
http://www.etdguide.org/• UNESCO• French, Spanish, Greek
http://flexwiki.etdguide.org/• Share best practices• Celebrate exemplary ETDs
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.
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
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
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
ETD Issue: PRESERVATION
Preservation Strategies • Dark archives• Replication w/geographic dispersion• Verification• Format migration
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
QuickTime™ and aTIFF (Uncompressed) decompressor
are needed to see this picture.
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/
An American ETD SamplerThank you!
Questions? Comments?
JISC/CNI: York July 6, 2006
Gail McMillanDirector, Digital Library and Archives
Virginia Polytechnic Institute &State University