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CIDL Activities 2000Consultation Session on Electronic Theses December 4, 2000On December 4, 2000, a consultation session on Electronic Theses was held at the National Library of Canada in Ottawa. This activity was co-sponsored by the Canadian Initiative on Digital Libraries, the Canadian Association of Research Libraries, the Canadian Association of Graduate Students, and the National Library of Canada. The day included the presentation of various models currently in use, a discussion of the issues surrounding the electronic dissemination of theses and dissertations, and recommendations for future action. This final point was further addressed in break-out sessions. The creation of a national advisory committee on the subject of electronic theses was agreed upon, and the steps leading to the formation of this committee are underway.
E-Theses Consultation Final ReportA Consultation Session on Electronic Theses was held at the National Library of Canada on December 4, 2000. This event was co-sponsored by the Canadian Initiative on Digital Libraries, the Canadian Association of Research Libraries, the Canadian Association for Graduate Studies and the National Library of Canada. Participants Participants came from across the country, and represented the range of interested bodies: deans of graduate schools, university administrators and professors, library professionals and students. The objective was to provide a forum for an exchange of views and to discuss the National Theses Program in the electronic environment as well as whether an advisory committee for the program should be created. Roch Carrier, the National Librarian opened the Consultation Session and introduced the moderator for the day, John Lennox, Dean of Graduate Studies, York University. Panel Discussion The first session presented various models for electronic theses currently being implemented. This provided insight into best practices, issues and problems which have arisen during the development and implementation of e-theses programs at various academic institutions across Canada. International Partnerships The next topic addressed international partnerships. Issues such as interoperability and training were discussed, and an overview of some of the projects that are currently in use, or being developed in foreign universities was presented. Canada's place in the international arena and the potential for the National Theses Program was discussed in this context. Representatives from Academia We were fortunate to have the opportunity to hear from a range of representatives from the academic world: The Canadian Association of University Teachers, the National Graduate Council - Canadian Federation of Students, la Fédération étudiante universitaire du Québec. Please see further details regarding these presentations. Afternoon Session - Break-out Groups The afternoon was intended to provide participants with the opportunity to incorporate the ideas and questions raised during the morning sessions into small group discussions. Each group discussed one of five questions pertaining to the development of a Canadian Program on E-Theses. The ideas and recommendations generated during these sessions will inform the continuing development of the National Theses Program. For this reason, notes from the group discussions been included in some detail. The final plenary session permitted these recommendations to be shared discussed. Conclusion An Advisory Committee for the National Canadian Theses (E-Theses) Program should be established.
E-Theses Panel Discussion PresentationsWilliam Maes - Dalhousie University Christine Jewell - University of Waterloo Guy Teasdale - Bibliothèque, Université Laval W. Maes, Dalhousie University: Consultation on Electronic Theses The question of electronic theses is only incidental to the issues that bring us here today. The main issue, brought to the fore by questions surrounding the production and distribution of electronic theses, is whether or not the national thesis program continues to meet the needs of authors, researchers and libraries. In light of new methods of creation and distribution, is there room for improvement in the current system or does it perhaps even render the whole system redundant? Why do we want a national thesis program? Library perspective: Libraries are the main proponents of a national program. This stems from their mandate to acquire, organize, preserve and distribute scholarly information in all its forms. Before a national program was instituted a great deal of time and effort was spent by both researchers and libraries in identifying and acquiring unique and relatively scarce works (typically 5 to 10 copies) of value to the scholarly community. In many instances, theses contain material that will never be published but is yet useful. In other cases, they are the only sources of information in a particular area of study. Despite the fact, that while many theses are formally published in some form or other, a great deal of scholarly value remains in those that are only seen as part of the process towards obtaining a degree or professional certification. Libraries, in other words, subscribe to the notion that theses have sufficient value to collect and preserve in a systematic way. The user community by and large, endorses this view. A national program was created in response to a need perceived by libraries to: 1. provide wide and easy accessibility to theses by
2. preserve them through a microfilm preservation program which establishes an archive of all theses in the National Library, and local archives of local theses in each participating institution 3. preserve the integrity of the work by ensuring a copy of the original submission is always available 4. do so economically and efficiently with a minimum burden of cost and resources to the participating libraries The collection of theses microfilmed by the Service currently features more than 150,000 doctoral and masters' theses, to which 9,000 to 10,000 items are added annually. "For researchers, this represents a corpus of important academic works, rich sources of knowledge and original thinking that are often at the cutting edge of a discipline's research. The masters' theses, which make up approximately 65 % of the collection, accurately reflect the vitality of academic research at Canadian universities, while the doctoral theses present the results of research at is most advanced level. Together, these works constitute an important part of our intellectual and cultural heritage." This is the National Library perspective as quoted in one of their National Library News issues and one to which most university libraries as partners with the Canadian Association of Graduate Studies would subscribe. CAGS perspective: The Canadian Association of Graduate Studies has supported the program very much on the basis of the same principles enunciated for the libraries. Whereas the libraries support the program for all theses CAGS has, however, on occasion, partially because of cost and partially because of the perceived scholarly value of the content, been slightly more hesitant about a national program for theses at the Masters' level. They have rightly asked if the costly process of identifying and preserving these works is really worthwhile given their purpose, or is it sufficient to simply leave these works with the institutions where they were produced. This question has been difficult to settle because other players including the libraries see value in these works and not all Masters' theses are created equal. For example, in some disciplines or areas of study such as Fine Arts or Architecture, the theses or project, which is captured in a thesis for archival purposes, is the terminal degree and often of a significantly different character than theses emanating from other Masters' programs. In essence, CAGS believes in the program but is more supportive of some aspects of it than others. CAGS also needs very much to be assured, as do the libraries, that the program is cost effective, viz., that the aspects of convenience, accessibility, and preservation are delivered as economically and expeditiously as possible without compromising the scholarly enterprise and the values under which it operates. Student perspective: It is not clear if students have ever been asked as to what kind of treatment should be accorded to their work after it is presented in a thesis defence. Preliminary views expressed at the annual CAGS conference and in their public document are very supportive. The students are in favour of a program which makes their work widely available and easily accessible. The Contentville controversy, however, suggests that support for such a program is not unconditional. Both the libraries and Faculties of Graduate Studies must be aware that their enthusiasm and methods for providing ready access and wide dissemination of theses is not boundless. The students are rightly concerned about how certain treatment of their work affects future prospects of publication or the ability to maintain appropriate moral and intellectual property rights over their works. Making works available on the Internet, or electronically, is in their minds quite a different undertaking than producing a few copies and making them available through interlibrary loan or the traditional service provided by Bell and Howell. With the reflection that takes place here today, most of us will perhaps come to agree. The Scholarly Community / the user community perspective: Again we assume, that the scholarly community likes what we, the library community, has been doing with theses. We constantly strive to improve access and think the things we do suit the needs of our clients. If asked, however, would our clients agree that greater access takes precedence over all considerations for author's rights or the increased potential for abuse of those rights? Have we ever really asked our users if they are satisfied with the program, how they think it could be improved or what we should be prepared to expend on such a program? Would this community be in favour of having access only in electronic form as opposed to print form and under what conditions? Does the community feel it is appropriate for all theses? In an article by Bill Savage at Bell and Howell, he points out that many scholars would perhaps not be overly enthused by the cost and prospect of printing off a 400 page doctoral thesis in the humanities at their own expense. If electronic theses are simply published on the web, apart from a library-managed environment will they be as accessible and as useful? Certainly, we need to be more aware of user needs and conscious that not all theses in all disciplines readily translate into one format or another despite some of the perceived benefits. What is wrong and what brings us here? In my previous remarks I intimated that certain groups within the scholarly community, although by and large supportive of a national program, have some reservations and some suggestions on how a program can be improved. The potential, positive and negative, of e-theses, actualized to a limited degree in the Contentville issue, has caused us to take pause and reflect upon the system as it is and as it could become. The issues surrounding the program have always been there but it is only with the prospect of yet wider dissemination and new methodologies of preservation and access, that they have become clear and more urgent. The students have caused us to think about several latent issues. They have questioned the rights of both Graduate Studies and the libraries with respect to the disposition of their theses. To put it in another way, since it is their work they feel they should have a voice in its disposition for very good reason. As the Contentville issue demonstrates there is potential for uses with which they are not in agreement. In their representations the students also remind us that one of the chief obligations we have is to ensure freedom of access to scholarly information. Their contention is that the Bell and Howell arrangement violates that core value by selling their work, as well as their intellectual property rights. It is important for us together to examine this challenge and its validity because it does strike directly at our values and the purpose of what we do. Does the current commercial arrangement lead us down a path which eventually restricts access to the very things we produced. This issue is not that different from our current situation with journal publication where authors freely give up their rights in order to be published, while the very reason for publishing is thwarted by the high cost of getting that information back. It is believed, and one can logically deduce, that electronic theses heighten the possibility of abuse of their works. In a media release the students protest: "graduate students have the right to decide how our work should be distributed (Duff)" Contentville, also brings to the forefront another basic question with the national program--is it still appropriately resourced.? Apart from the question of whether or not collaboration with a commercial publisher in some sense restricts access to intellectual content owned by the authors, are we forced into what is perceived by some to be an undesirable circumstance because we do not have the resources to run the program totally in-house? Part of today's discussion emanates from a belief that electronic theses will bring down costs and allow us to take back ownership of the distribution and preservation of our own works. Whether this is true or false remains to be seen, but it reflects a certain unspoken unease most of us have with the current system and a desire to take advantage of what new technologies can presumably provide to take back control. The current players do not see themselves as having sufficient funds for carrying out a program without the help of Bell and Howell nor, until the advent of electronic theses, have they had reason to suspect that the current arrangement was not the best possible with the monies available. As stated at the beginning, libraries and librarians saw a need for a national program. One was created under the leadership of the National Library. However, the process of acquiring, organizing, disseminating and archiving (microfilming) is an expensive one and over time as resources decreased for both university libraries and the National Library, the approach was taken to "outsource" some of the work. There is nothing essentially wrong with this as long as the needs of all parties can be met without undue interference into the scholarly process. The Contentville issue has helped to bring into focus the fact that the students are subsidizing the program, without being asked, through the sale of their theses. If the sale of theses by Bell and Howell is essential to the libraries maintaining an affordable program, then perhaps this is a clear indication that it is insufficiently resourced or that another solution is necessary. In the end, the issues which bring us here today are less about technologies than about a program and the policies which support it. In today's session we need to begin to consider a number of questions which have lain dormant as the program incrementally evolved to what it is today: 1. Is the program still worthwhile? Should we have a national program? (we are relatively unique in this regard)
2. What are the rights of the stakeholders?
3. Not all theses are created equal and not all theses will be amenable to one solution. How do we accommodate this?
The Contentville issue and this consultation have presented a real opportunity to re-examine our national theses program, its goals and how they are best achieved. New technologies present possibilities for reform and improvement. Laval University and the University of Montreal are already demonstrating alternatives or additions to the current program. Let us seize the moment and capitalize on these initiatives. Thank you. Christine Jewell, Librarian University of WaterlooThe University of Waterloo Electronic Thesis ProjectUW Electronic Thesis Project Homepage: www.lib.uwaterloo.ca/ETD Early Development The UW Electronic Thesis Project Team formed in the fall of 1996. The Team consisted of members from Graduate Studies Office, the Library, and the Information Systems and Technology Department, as well as several graduate students and faculty. To learn about the issues involved, we began with an information-gathering phase. We conducted a survey to discover progress and concerns of other institutions. Issues investigated included submission and access issues, preservation and storage issues, and governance and philosophical issues. In the second phase of the project we conducted a pilot project. We built a searchable database of abstracts from 17 theses previously submitted, and provided access to these theses in PDF. The report on the pilot project included a set of recommendations brought to UW's Senate Graduate Council. These recommendations were accepted. In the fall of 1999, the electronic submission option was made available to UW graduate students. Current Status of the Project Waterloo graduate students who want to submit their theses electronically complete a Web-based abstract form. They provide basic bibliographic information as well as their abstract. A second form, the Thesis Form, allows them to upload a PostScript version of their thesis. A PostScript file is created when you choose to print to a file instead of a printer. We require PostScript as the submission format because it includes no more and no less than what would appear on paper. This is an interim requirement for this phase of the project, and allows traditional standards to be maintained. When the thesis in PostScript is received, the Graduate Studies Office checks it. When approved, the thesis is converted to PDF and made available to Bell & Howell and the Library. The abstracts form the searchable portion of the database. The Open Text search engine allows a search by author, title, department, year, or keyword. The results are a list of titles that satisfy the request. A view of the full record includes the link to the full text of the thesis in PDF. There are currently 48 theses in the database. The database is available at this URL: Other Sources on the Project Jewell, Christine. Campus Collaboration: The University of Waterloo Electronic Thesis Project, Paper, presented at the Third International Symposium on Electronic Theses and Dissertations, March 200, St. Petersburg, Florida. A Canadian Example: Cyberthèses - www.cyberthèses.orgDescription and History The Cyberthèses portal provides online thesis indexing using a metadata model. The program's primary objective is to ensure the free distribution of theses. The Cyberthèses dissemination portal is the result of a joint project between l'Université de Montréal and l'Université Lumière Lyon 2, funded by the Fonds Francophone des Inforoutes. For now, only French- and Spanish-speaking institutions are participating in the program. Cyberthèses is open to all graduate schools. Cyberthèses is also a toolbox for implementing a [processing chain/channel] developed in Canada and based on the XML standard for producing electronic versions of theses. However, theses listed with Cyberthèses do not necessarily have to be in XML, the lowest common denominator being metadata. One of the engines behind the program's implementation is the academic circle's re-appropriation of the methods and tools for disseminating research results, including theses. Main Facts about Cyberthèses Complete and free online dissemination of theses over the Internet. The Cyberthèses portal (103 online theses) contains thesis metadata for participating institutions. Theses are archived and disseminated by each institution. Only the metadata are centralized. Metadata (Dublin Core) are used to link the collections of participating institutions, which does not necessarily involve using the XML standard for all institutions. Uses a [processing chain/channel] based on XML to produce electronic theses supporting the use of free programs. Pooling of research, programs and documentation between Cyberthèses partners, thus creating a "toolbox" allowing institutions to participate in the program. UNESCO and the Fonds Francophone des Inforoutes have recognized the importance and quality of the project. Both founding partners are members of the NDLTD Steering Committee. Notes from afternoon break-out sessionsCreation and Production The university environment defines the context for this question, as they are the institutions concerned with generating the product in question - theses. This environment is dynamic and evolving. Accordingly, any effective model would have to embody the same qualities. Topics for discussion and exploration:
Recommendations:
Preservation and Access Current archiving methods are not adequate anymore to preserve the new formats used for theses. Questions:
Recommendations:
Standards The National Library of Canada has a leadership role in guaranteeing access and preservation to the Canadian dissertation and theses record. The National Library should continue in its leadership role in defining protocols for data transfer.Topics for discussion and exploration:
Recommendations:
Access and Distribution Topics for discussion and exploration:
Recommendations:
Partnerships Topics for discussion and exploration:
Recommendations:
New projectsBell & Howell www.umi.com Background The Bell & Howell Company began its microfilm activities in 1938. With the acquisition of University Microfilms International in 1985, it became, under the name Bell & Howell Information and Learning, the most important commercial distributor of theses and dissertations. The Dissertation Abstracts Database (1861-) Dissertation Abstracts contains 1.6 million theses and dissertations that have been submitted since 1861 by over 1,000 universities or graduate schools. This number is increased by 47,000 theses and 12,000 dissertations each year. The thesis record has had a 350-word summary by the author since 1980. The dissertation record, on the other hand, has had a 150-word summary since 1988. Digitizing Dissertations - Proquest Digital Dissertations (Pqdd) (1997 -) All theses submitted to Bell & Howell Information and Learning after 1996 are numbered in image format and captured in PDF files. The PQDD service allows for the publication, indexation, sale, and delivery, via the Internet, of theses and dissertations. However, we must not forget that, because of the size of the PDF files, this service is made for high-speed Internet servers on university campuses. All universities have free access to PQDD's last two years, with an option to consult, on line, the first 24 pages of each thesis, as well as the opportunity of ordering them (at a cost of U.S. $21.50 for the PDF file and up to U.S. $46. for a bound paper format). As well as free access to the records of the last two years, B & H offers two access options to PQDD. The first option is the equivalent of Dissertation abstracts: access to all records since 1861, but, also, access to the first 24 pages of the theses submitted in electronic form since 1997. This allows for informed decision-making before ordering. The second option gives complete access to all records since 1861, with free downloading of complete theses texts submitted since 1997 at all universities. This last option, however, is too expensive for most Canadian universities. Advantages of participating in the Canadian storage program: The libraries in institutions participating in theses storage at Bell & Howell may, at no cost:
For example: Laval University has access to 8,950 records of theses and dissertations through Current Research@. Of this number, 2,493 were published after 1996 and are thus available free of charge to members of Laval University in PDF-image format (1,850 MA and 643 PhD). Links could be created between the cataloguing records of Laval University's library and the theses and dissertations. The tape would have to be studied to analyze the impact of adding 2,500 hyperlinks on such large files. Working Toward Smaller Files Submitting files by electronic transfer (FTP) is now possible. Thus, Canadian universities that have electronic theses programs can, if they wish, submit their files by FTP in PDF format, without having to handle any paper documents. PDF files produced by universities with word processing software should be in PDF-text format. This will make the downloading and handling much more interesting. The PDF files submitted by FTP will be treated by Bell & Howell in the same way as those theses submitted on paper, i.e. microfilming of conservation, indexation, publication in Dissertation Abstracts, etc. That way, the FTP transmission will not lower the Bell & Howell rates for each thesis. Conclusion Because of their large-scale resources, the Bell & Howell databases are indispensable to Canadian university researchers. These databases also interface with electronic business with a view to selling these theses and dissertations. Moreover, we have observed that services are not as good for French theses and dissertations. They are buried in the English documentation and are less easily retrieved. Finally, governments, universities, and researchers must dip into their pockets several times to benefit from this service: 1. to have theses microfilmed and indexed. In addition to the commercial services offered by Bell & Howell and the activities of Virginia Tech and the NDLTD, which we described in more detail, several other projects are in progress. Rapport sur la diffusion électronique des thèses by Claude Joly for Ministère de l'éducation nationale français: The Australian Digital Theses Project piloted by the University of Melbourne Digitale Dissertationen by Humboldt University in Berlin The Joint Electronic Thesis and Dissertation Project by York University and University of Toronto Electronic Theses and Dissertations Initiative by UNESCO. CIDL Membership Survey 2000In preparation for the Open Meeting of CIDL members on October 2, 2000 in Ottawa the Secretariat developed a questionnaire with three principal objectives:
A response rate of approximately 33% was returned and an overview the survey results were presented at the meeting. Survey results Training needs Numeric scores were calculated using the rank assigned to the topic. For example, items ranked 1st were given the value of 1; items ranked 5th were attributed with the value of 5. Accordingly, low scores represent topics of greater importance than those with higher scores.
Other topics for exploration: Online reserves programs Priorities for CIDL activity Numeric scores were calculated using the rank assigned to the topic. For example, items ranked 1st were given the value of 1; items ranked 5th were attributed with the value of 5. Accordingly, low scores represent topics of greater importance than those with higher scores.
Funding Numeric values represent the number of respondents using a given funding resource.
Other sources of funding & project resources
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