Subject and Bibliographic Access to ETDs in the Sciences and Technology in Digital Repositories and Online Catalogues: Perspectives from US and UK Science.

Subject and Bibliographic Access to ETDs in the Sciences and Technologyin Digital Repositories and Online Catalogues:

Perspectives from US and UK Science Librarians

Main Authors

Simon Bevan (Cranfield Univ., UK)Sophie Bogdanski (West Virginia Univ., USA)

Anne Christie (Univ. of Alaska Fairbanks, USA)Bryna Coonin (East Carolina Univ., USA)

Susan Copeland (The Robert Gordon Univ., UK)

Outline

Project origins Research methodology Response profile The big picture Tools for accessing ETDs Metadata Searchability Observations

Project Origins

Bursary for study tour Volunteer group

little funding Professional Library Associations

ALA/ACRL/STS CILIP

Research Methodology

Targeted survey population – Science & Technology Librarians

Different responses from ‘normal’ respondents (eg IR managers)

Specifically Science & Tech ETDs Focus on tools – bib record metadata, content,

search mechanisms Institutions and respondents

USTLG Carnegie list

Omitted own institutions Survey instrument – Survey Monkey

Response Profile

How many postgraduates are enrolled at your institution?

8%

25%

31%

35%

18%

32%

46%

4%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

Fewer than 1,000 1,000 - 2,499 2,500 - 5,000 More than 5,000

US

UK

The Big Picture

Are your institution's theses/dissertations available electronically?

14%

77%

2% 5% 2%0%

16% 16%

24%

44%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

All Some None Not yet, but planto 1-3 years

Not yet, butconsidering

US

UK

Primary reasons for making your institution's theses/dissertations available electronically

4.934.6

4.13.8 3.68

4.36 4.44

2.88

2.29

3.13

0

1

2

3

4

5

6

Access To increasevisibility of the

research

To provideembedded digital

formats

Preservation To save space

US

UK

Is your institution doing (or planning to do) any retrospective digitisation of theses or dissertations?

26%

16%

9%

21%

28%

8%

21%

13%

33%

25%

0%

5%

10%

15%

20%

25%

30%

35%

Yes No Not yet, butwithin 1-3 years

Not yet, butconsidering

I don't know

US

UK

Factors of importance when deciding to digitise

4.61 4.56

3.914.3

3.87

4.54 4.54

3.774.08

3.15

0

1

2

3

4

5

Most recent Most requested Most enthusiasticacademic

departments

Recognisedresearch strengths

of the institution

No embeddedcopyright material

(e.g. media)

US

UK

Is ETD submission mandatory for students at your institution?

37% 37%

7% 7%

12%

0%

48%

14%

33%

5%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

Yes No Varies bydiscipline

Will bemandatory within

1-3 years

I don't know

US

UK

TOOLS FOR ACCESSING ETDs

Is there an institutional repository at your institution?

49%

24%

12% 12%

2%

38%

21%17%

21%

3%

0%

10%

20%

30%

40%

50%

60%

Yes No Not yet, butwithin 1-3 years

Not yet, butconsidering

I don't know

US

UK

When was your IR established?

14%

0%

21%

0%

7%

14%

0%

29%

14% 14%

0% 0%

43%

0%0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

2007 2006 2005 2004 2003 2002 2001 prior to2001

US

UK

Which platform (software) is being used for your institution's IR?

6%

38%

6%

13%

32%

13%

0% 0% 0% 0%

43%

71%

0%

10%

20%

30%

40%

50%

60%

70%

80%

Commercial Dspace E-prints VT ETD Don't know Other

US

UK

How many ETDs are in your IR?

27%

20%

0%

13%

27%

13%

43%

29%

14% 14%

0% 0%0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

None Fewer than 50 50 - 99 100 - 500 More than 500 I don't know

US

UK

Which types of ETDs are included in your IR?

83%

50%

25%

0%

25%

100%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Doctoral Masters Other (please specify)

US

UK

Which Integrated Library System (ILS) is being used at your institution?

36%

16%

3%

16%

29%

0%

10%

24%

10%

29%

14% 14%

0%

5%

10%

15%

20%

25%

30%

35%

40%

Voyager

/Exl

ibris

Aleph/E

xlibris

Horizon

/Sirs

i/Dyni

x

Unicorn

/Sirs

i/Dyn

ix

Mill

eniu

m/In

novativ

eTal

is

US

UK

Which types of theses and dissertations are included in your OPAC?

47%43%

67%

10% 10%

100%93%

100%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Doctoral (print) Masters (print) Doctoral (electronic) Masters (electronic)

US

UK

Comparison of ETDs in IR and OPACs

25%

0% 0% 0%

50%

25%

43%

10%

83%

100%

10%

47%

0%

20%

40%

60%

80%

100%

120%

Bachelors

Masters

Ph.D.

Bachelors 25% 0% 0% 0%

Masters 50% 25% 43% 10%

Ph.D. 83% 100% 47% 10%

US UK US UK

IR OPAC

Metadata

Which metadata scheme is being used to catalogue ETDs in your IR?

25%

8%

0%

58%

8%

0%

25% 25%

0%

50%

0%

10%

20%

30%

40%

50%

60%

70%

Dublin Core ETD-MS (NDTLD metadata

set)

MODS (Library ofCongress)

Don't know Other

US

UK

Other than author and title, what other information is displayed in the bibliographic

record in the IR?

83%75%

59%50%

25% 25%17%

42%

100% 100% 100%

75%

50%

0%

25% 25%

75%

17% 17%

33%

50%

75%

25%25%

0%

20%

40%

60%

80%

100%

120% US

UK

US 83% 75% 59% 33% 75% 50% 25% 25% 17% 17% 17% 42%

UK 100% 25% 50% 75% 100% 100% 75% 50% 0% 25% 25% 25%

School/ Dept.

Advisor Date SeriesAbstract/Summar

y

Hyperlink to full text

IP/ Copyrigh

t

Subject Headings

,(L.C.)

Descrip-tors

Link to collectio

n

Link to college

Other

Other than author and title, what other type of information is included in the

bibliographic record in the OPAC?

15%

37%41%

8%

44%

7%

41%

11%

30%

37%

4%0%

64%

46%

9%

27%

9%

36%

9% 9%

63%

55%

36%

27%

0%

10%

20%

30%

40%

50%

60%

70%

US

UK

US 63% 15% 37% 41% 8% 44% 7% 41% 11% 30% 37% 4%

UK 55% 0% 64% 46% 9% 27% 9% 36% 9% 27% 36% 9%

College/ Dept.

Advisor Date Series Abstract/Summary

Link to full text

IP/ Copyrigh

t

Subject Headings

(L.C.)

Descript-ors

Call number

In-house call

number

Link to a collection (PhD list)

Which is the archival (definitive) copy?

51%

15%

2%

17%

0%

15%

40%

10%

0%

30%

10% 10%

0%

10%

20%

30%

40%

50%

60%

Paper Electronic Microform Not declared anarchival copy

Not applicable Don't know

US

UK

Searchability

Which access points are hyperlinked within the bibliographic record in the IR to find “more of the

same” ?

8%

17%

8% 8%

58%

25%

0%

25%

0%

50% 50%

0%0%0%

10%

20%

30%

40%

50%

60%

70%

Author Advisor College/Dept. Series Subject/topic None Other

US

UK

Which access points are hyperlinked within the bibliographic record in the OPAC to find "more of

the same"?

43%

7%10%

7%

40%37%

17%

0% 0%

6% 6%

72%

0%

10%

20%

30%

40%

50%

60%

70%

80%

Author Advisor College/Department Series Subject None

US

UK

Can you search for your ETD collection as a separate group?

Yes, 54%Yes, 60%

Yes, 11%

No, 89%

Yes, 52%

No, 48%No, 40%

No, 31%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

US UK US UK

IR OPAC

Effective resources for finding sci-tech ETDs at your own institution

32%

8%

4%

0%

43%

29%

7%

0%

7%

56%

0%

10%

20%

30%

40%

50%

60%

Own OPAC Own IR ProQuest Google GoogleScholar

US

UK

Other resources for finding sci-tech ETDs at your own institution

Federated search engine NDLTD union catalogue FirstSearch/WorldCat Amazon Scirus (Elsevier)

Effective resources for finding sci-tech ETDs from other institutions

12%

62%

0%

19%

4%0%

33%

22%

6%

0%

6% 6%

0%0%

10%

20%

30%

40%

50%

60%

70%

Other

inst

OPAC

Other

inst

IR

ProQue

st

NDLTD u

nion

cata

log

First S

earc

h/W

orldC

at

Googl

e

Googl

e Sch

olar

US

UK

Comparison of frequency of searching for sci-tech ETDs between own and other institutions

Weekly Weekly Weekly Weekly

Monthly

MonthlyMonthly

Monthly

Less than Monthly

Less than Monthly

Less than Monthly

Less than Monthly

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

US UK US UK

Own Institiution Other Institutions

Satisfaction with current resources for finding ETDs

12%

15%

39%

31%

4%

20% 20%

55%

5%

0%0%

10%

20%

30%

40%

50%

60%

Not satisfied Neutral Very satisfied

US

UK

Observations

Observations (1)

ETDs are still in the development stage in both countries

US - theses and dissertations available electronically commercial database not necessarily available in IRs or available via open access room for IR growth in US

UK - universities have plans for developing ETDs They will be available via open access

Retrospective digitisation in both US and UK - will expand the amount of material available

Observations (2)

Access to ETDs End-users seem to be finding ETDs by themselves –

but are they searching for them efficiently? Electronic access raises the visibility of theses

resulting in improved collaboration Front line librarians (subject specialists) are not

serving as intermediaries in the search for ETDs; according to our survey public services librarians are seldom asked to search for ETDs

Observations (3)

IRs vs OPACs for ETD access?

Science & Technology Librarians not satisfied with current tools due to:

Lack of appropriate bibliographic control (esp. in consistency, accuracy, granularity)

Not enough ETDs available in one central location so have to search too many different databases

High expectation for precision and recall -- Subject Specialists are more demanding of search results than end-users – They desire more flexibility in searching than do end-users

Search differently from end-users; use more traditional methods?

Observations (4)

Education and Training of Front-Line Librarians

How informed are sci-tech librarians about their insitution's ETD program?

Are front line librarians being kept in the loop as IRs are being developed and ETDs are being included?

What is the role of public services librarians in the new world of ETDs? Is it searching? Is it training end-users to search effectively?

Is searching for ETDs being included as searching for primary source material in information literacy tutorials?

Future Developments and Research

Future Developments of ETDs In the survey, one US librarian expressed

frustration at not being able to do a topical search for ETDs across institutions and also about not being able to search the IR and OPAC together.

Federated searching for ETDs?

Will centralized locations for ETDs, such as consortiums, help end-users and front line librarians search for ETDs efficiently and effectively?

Future Developments and Research

Role for Sci-tech Librarians in ETD world

Help IR Managers develop ETD collection IR managers need to communicate with librarians –

sharing wisdom Sci-tech librarians will then recruit for content Train authors to deposit content Train end-users to be effective searchers Help to create better designed systems for end users so

no intervention needed.Future work ETD development is moving fast – repeat survey to

compare progress in other disciplines and different countries

Further investigation of sci-tech librarians involvement in ETD programmes

Many Thanks For Helping To:

Beth Blanton Kent (University of Virginia)Susan Braxton (Illinois Natural History Survey)Judith Emde (University of Kansas) Jin Ma (Baruch College, CUNY) Richard Sarcia (Yale University)Katherine Szigeti (Temple University)Kathy Wheeler (University of South Alabama)Linda Yamamoto (Stanford University)John Harrington (Cranfield University)