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Viewing Results for Digital Preservation of ETDs

1. Does your institution accept electronic theses and dissertations (ETDs)?
If not, please go to no. 9 below.

19.79%\% No (19/96 responses)
80.21%\% Yes (77/96 responses)
96% of the people who took this survey
(96 / 100) answered this question.

1a. If so, does your institution accept only electronic versions?

59.74%\% No (46/77 responses)
40.26%\% Yes (31/77 responses)
77% of the people who took this survey
(77 / 100) answered this question.

1b. If so, does your institution also maintain print copies?

42.67%\% No (32/75 responses)
57.33%\% Yes (43/75 responses)
75% of the people who took this survey
(75 / 100) answered this question.

2. Please estimate the current size of your ETD collection in kilobytes.

Text Responses (60 for this question)
".01 k"
"0 now; begin in 1 month"
"1,000,000 KB"
"1.21 GB"
"10 Gb"
"12,000,000K (12GB)"
"24" - ( 2 responses)
"2540416 KB"
"3,000,000 kb"
"3,972,449 KB"
"3.4 gigabytes"
"3000000" - ( 2 responses)
"33" - ( 2 responses)
"37,500 MB"
"4 865 392"
"4,320,000 KB"
"567627 Kb"
"6,782,464 KB"
"825,904,522 bytes"
"870,000 KB"
"9,636,213 kB"
"?? - ETDs are on CD and DVD, not server"
"I don't know"
"Just started, so none present yet"
"very small, just started"

3. Please estimate the number of ETDs currently in your collection.

Text Responses (72 for this question)
"0 now; begin in 1 month"
"1200" - ( 3 responses)
"150" - ( 2 responses)
"1600" - ( 2 responses)
"2" - ( 2 responses)
"200 volumes"
"2000 "
"300 open access; 800 altogether"
"33" - ( 2 responses)
"35" - ( 2 responses)
"42" - ( 2 responses)
"45" - ( 2 responses)
"63" - ( 2 responses)
"67" - ( 2 responses)
"700" - ( 2 responses)
"8" - ( 2 responses)
"900" - ( 2 responses)
"don't know - small, just started 2 months ago"
"I don't know"
"Only test theses so far"

4. Please estimate the annual growth of your ETD collection in kilobytes.

Text Responses (61 for this question)
"1 Gb"
"1 gigabyte per year"
"1,000,000 KB"
"1,787,201 KB"
"1.6 GB"
"100 GIGabytes"
"175,000 KB"
"175,000-200,00 KB"
"1GB" - ( 2 responses)
"2,253,300 KB"
"200,000 KB"
"315,000,000 kilobytes or 315 Gigobytes"
"33" - ( 2 responses)
"382688 KB"
"500,000 kb"
"600 MB"
"approx. 267,402 kB/year"
"don't know"
"First year; NA"
"hard to determine, submission becomes mandatory in 2009, perhaps one gigabyte per year"
"not yet known"
"unknown" - ( 3 responses)

5. Please estimate the number of ETDs added to your collection annually.

Text Responses (73 for this question)
"1 or 2"
"10" - ( 2 responses)
"100" - ( 5 responses)
"1000" - ( 3 responses)
"150" - ( 4 responses)
"150 volumes"
"190" - ( 2 responses)
"20" - ( 2 responses)
"200" - ( 3 responses)
"25" - ( 2 responses)
"300" - ( 6 responses)
"33" - ( 2 responses)
"350" - ( 2 responses)
"40" - ( 2 responses)
"45" - ( 2 responses)
"5" - ( 2 responses)
"50" - ( 2 responses)
"500" - ( 2 responses)
"600" - ( 2 responses)
"67 in 2007, 200 in 2008, 300 in 2009 when mandatory"
"750" - ( 3 responses)
"800" - ( 2 responses)
"900 to 1,000"
"approx. 550/year"
"Approximately 350"
"est 100"
"First year; NA"
"too soon to say"

6. What file formats do you support for your ETDs?
Select all that apply, and/or provide additional formats.

2.27%\% .ppt (7/309 responses)
1.94%\% .qt (6/309 responses)
4.85%\% .tif (15/309 responses)
4.21%\% .xml (13/309 responses)
6.15%\% .wav (19/309 responses)
5.18%\% Any format (16/309 responses)
5.5%\% Other formats (17/309 responses)
3.24%\% .png (10/309 responses)
19.74%\% .pdf (61/309 responses)
4.85%\% .mpg (15/309 responses)
5.18%\% .mp3 (16/309 responses)
2.59%\% .aif (8/309 responses)
5.5%\% .avi (17/309 responses)
4.53%\% .doc (14/309 responses)
6.15%\% .gif (19/309 responses)
5.5%\% .html (17/309 responses)
7.44%\% .jpg (23/309 responses)
5.18%\% .mov (16/309 responses)
75% of the people who took this survey
(75 / 100) answered this question.

Other Responses (17 for this question)
".dwt, .xls,.mix,.csv,.zip"
".txt, .midi, on special request: .exe, .jar"
"Graduate Office prefers PDFs"
"No policy yet"
"other"( 7 ) responses
"primary file must be either .pdf, ps or html"
"Unfortunately, we lack standards to govern this, and the oversight to monitor what comes in on CD / DVD"

7. How do you currently structure your ETD collection (i.e., do you separate them into collections based on discipline, year, or other criteria)?

Text Responses (72 for this question)
"33" - ( 2 responses)
"All ETDs are together in one database/collection."
"All in one collection. Metadata allows searching by year, department, program, etc."
"All items of the digital collection are together ont he digital library system. Programs that perform specific queries on the database allow ETDs to be retrieved by graduate program, author, supervisor, research area, institutions, etc."
"All Ph.D. and masters theses grouped together."
"Autor, Area, Year of Publication and Academic Grade (Under and Post graduate)"
"By 'Closed' or 'Open'. Authors opt into 'Closed'. Closed ETDs revert to 'Open' after five years."
"By academic department"
"By author and department"
"by college"
"By discipline and degree"
"by name and by department"
"by year"
"By year and semester"
"Collection based on discipline and year"
"Collection can be browsed by year or discipline. Currently we deposit only the open access ETD's, but this decision is being revised. We allow an embargo period of up to 5 years."
"Collections structured by faculty and department, degree, subject (Proquest UMI subject categories)"
"Currently inserted into the library catalog. Also, there is a provider for the Open Archives Initiative. In addition we provide a site where on campus folks can brwose and sort by student last name or be department."
"currently no structure"
"Department, College, Advisor, Year"
"Discipline and keywords"
"discipline and year" - ( 2 responses)
"Documents are cataloged by standard meta data captured by libraries. The electronic collection is in a single database capturing all collection data."
"don't know"
"ETDs on CD and DVD are stored in the circulating stacks alongside prints T&Ds. These print and electronic holdings are separated by discipline and organized chronologically."
"Folders stored by semester, and then author. A database indexes a meta information sheet, and works are then searchable by author, title, discipline, degree, etc."
"Index on author, department, advisor, last name, date, abstract keyword, title"
"level masters, phd"
"no particular structure; end user can select preferred browse / view mode"
"No we do not impose a structure"
"nope, one big free for all"
"One collection for theses and one collection for dissertations"
"One single collection"
"One single collection, currently plan to separate by year, school, etc. as collection grows"
"part of the searchable database in the library by usual criteria"
"Ph.D or MA thesis then year, department, author's name"
"Probably will be in a full-text searchable collection by year."
"Quarter and Year"
"Searching by author, title, university department, and year"
"Separate based on year and classification (i.e. 2003-Present and undergraduate honors, respectively)"
"Separate collection for ETDs with sub-collections grouped according to University hierarchy."
"separate them into collections at a departmental level."
"Separate them into discipline (browse). Search can be done by year, by full-text"
"Separated into 'Available on Campus Only' versus Unrestricted Access"
"single collection, divided into theses and dissertations"
"Storage of bitstreams is by year. Browsing is by department name or author name."
"The are searchable by all data elements in bibliographic record including LC subjects, keywords from title, abstracts. Also browsable by year and author."
"The collection is organized by access type (world-wide/campus only, restricted), but a user may search the database by keyword."
"Theses and dissertations are in separate collections divided by year. ETDs are also divided by discipline within our IR."
"They are initially stored in 2 directories: available and withheld, with all eventually moving into availabl--in no particular order."
"They are not separated."
"they are treated the same as our print - categorized by discipline"
"We are currently in transition to an Institutional Repository that is under construction. In that system, ETDs will be in one collection but searchable by criteria such as discipline, year, etc. In our current system, however, we simply have a web page that lists them alphabetically in groups by graduation month and year (e.g. May 2006, Aug. 2007)."
"we are just beginning, so this has not been discussed yet"
"we can browse by degree, dept/program. We can search, and limit by year, degree, dept/program & language"
"We catalog them like other monographs, and identify them as such in the appropriate MARC field."
"We do not separate our ETD collection; however, the user may browse by department or author and search by many different search criteria."
"We have not a structure specified for the collection but rather set up a special ETD portal for multiple search functions."
"We just add them as we get them and find them by searching."
"We keep a dark archive copy of files that are submitted to ProQuest. Access is through ProQuest Digital Disserations until institutional repository is operational."
"We use a modified VA Tech ETDdb system, so the primary file structure division is by access restriction ('available/unrestricted','available/restricted' and 'withheld'). Although ETD's for all years and disciplines are stored in the same file structure, the search interface allows filtering by Graduate School, Program, Degree, etc."
"will be tagged with year & discipline; in online catalog primary arrangement is chronological"
"year" - ( 3 responses)
"Year and Degree Type"
"Year and ETD type (i.e. BSc thesis, MSc thesis, Ph.D. thesis)"
"You can browse by department or author."

8. Does your institution have a formalized preservation plan for its ETDs?
If so, and you are willing to share, please send it to

71.88%\% No (69/96 responses)
28.13%\% Yes (27/96 responses)
96% of the people who took this survey
(96 / 100) answered this question.

9. Do you have experience with or knowledge of LOCKSS -based preservation networks?

29.79%\% No (28/94 responses)
70.21%\% Yes (66/94 responses)
94% of the people who took this survey
(94 / 100) answered this question.

10. Would your institution be interested in participating in an ETD-specific LOCKSS-based collaborative distributed digital archive sponsored by the NDLTD?
If not, please go to no. 11 next.

50%\% Maybe (48/96 responses)
8.33%\% No (8/96 responses)
41.67%\% Yes (40/96 responses)
96% of the people who took this survey
(96 / 100) answered this question.

10a. If yes, would there be a preference for
(select only one)

20.25%\% Dark archiving (i.e., inaccessible to the public) (16/79 responses)
40.51%\% Open archiving with public access (32/79 responses)
39.24%\% Dim archiving (i.e., designated files inaccessible but others available to the public) (31/79 responses)
79% of the people who took this survey
(79 / 100) answered this question.

10b. If yes, what level of participation might your institution support?
(select only one)

48%\% Contributing: have your ETDs preserved by a distributed network without sharing preservation responsibilities for other institutions (36/75 responses)
24%\% Sustaining: preserve your ETDs in the distributed network, share preservation responsibilities by running a secure server for the network, and contribute to the growth and maintenance of this network both technically and organizationally (18/75 responses)
28%\% Preservation: both preserve your ETDs in the distributed network and share preservation responsibilities by running a secure server for the network (21/75 responses)
75% of the people who took this survey
(75 / 100) answered this question.

11. What platform or repository structure are you using to collect, disseminate, and store your ETDs?
Select all that apply.

10%\% ETDdb (13/130 responses)
22.31%\% In-house solution (29/130 responses)
1.54%\% Eprints (2/130 responses)
2.31%\% Fedora (3/130 responses)
43.85%\% Other platform or repository (57/130 responses)
20%\% DSpace (26/130 responses)
85% of the people who took this survey
(85 / 100) answered this question.

Other Responses (57 for this question)
"bepress / digital commons"
"CONTENTdm"( 3 ) responses
"Digital Commons"
"Digital Comons"
"DigiTool"( 3 ) responses
"Millennium Online Catalog"
"not applicable"
"OhioLINK and locate CDs"
"other"( 27 ) responses
"ProQuest"( 2 ) responses
"ProQuest - will be a Fedora-based solution in approx 1 year"
"Sesame in-house Java code"
"UMI ProQuest"
"VTLS Vital"
"We are getting ready to implement a ProQuest hosted solution."
"we're still in the planning stages"
"will be moving to DSpace"

12. What information would your institution need to make a decision about participating in an ETD preservation network?

Text Responses (67 for this question)
"(1) Our Director have reservations about making our full text available for harvesting: will each institution preserve just their own content, or will all participating institutions preserve all available collections? (2) we are not sure about 10b. possible involvement will depend on availability of disk space and other hardware requirement; we are already running a LOCKSS server for journals"
"--Costs --Service level agreements for guaranteed recovery of data"
"33" - ( 2 responses)
"Administrivia, policies & procedures, costs, and long-term goals."
"Cost (human resources as well as other), benefits (including accessibility), any migration strategies for materials, information about metadata required"
"cost and how we would access the data when needed"
"cost and other committments required"
"Cost and staff resources."
"Cost and staff time."
"Cost and staffing expectations"
"Cost in terms of fees and staff time required."
"Cost, access methods, system requirements"
"Cost, expectations related to metadata and other standards"
"Cost, operating agreement terms, expectations for participants."
"cost, organization, staffing implications"
"Cost, responsibilities, access to content, submission process, long-range preservartion plan"
"cost, scope"
"Cost, server space required, other technical issues"
"Cost, software and hardware needs, expertise of staff required"
"cost, technical requirements & level of technical difficulty involved"
"cost, work in preparing archives, security of information."
"Cost. Timing. Liability."
"Costs associated"
"costs, other commitments"
"costs; terms"
"Defined responsibilities; frequency of harvesting; costs; targets; hardware specifications"
"Equipment and staffing costs required to support ETDs. Are honors theses eligible for inclusion in network?"
"Especially information on the legal aspects of the preservation network, access scenarios and the like."
"Hardware, software and staffing requirements for our institution."
"Hardware/software requirements"
"How does question 10a relate to a LOCKSS environment? What is the access versus preservation intent of this dbs? What resources are required for participation?"
"How it would work intra country, NZ participates in the ADT Australasian Digital Theses, the joint group CONZUL has not renewed membership of NDLTD because of the cost."
"In principal we would be interested in exploring this possibility. Obviously we would need a clear understanding of the resources - both monetary and technical - required to participate in such a program."
"Info about costs; info about staffing, workflows, and program plans from participating institutions; strategic plans for the network's future."
"information on cost - initial and on-going, other details of requirements, etc."
"Legal consultation re copyright"
"Letter of invitation"
"Level of work involved, relationship to other activity (via British Library) and relationship between LOCKSS and Fedora"
"LOCKSS and NDLTD importance documentation"
"Much more detail on the implementation strategies for this peoject."
"Need preservation and access policy from you."
"Need to know the data storage requirements for the LOCKSS box. Need a LOCKSS plug-in to work with ETDdb software. Will one be developed?"
"Not applicable we are a community college and don't get ETDs."
"Not sure - someone from UBC library will probably answer this survey; they'd know"
"Not sure at this stage"
"requirements for submission, sustainable preservation, annual cost"
"resource commitment required (staffing, system, monetary)"
"resource commitments, business plan, intellectual property issues"
"resource requirements"
"Scope, membership, technical requirements, monetary investment, lots more."
"Server, server platform, and price."
"specific responsibilities and technical details"
"Staff, technical, support, financial etc. resource demands for the institution"
"Technical details of how it would work. Our actual content is not in a dspace or eprints like repository. We would probably have to contribute content or setup another server potentially."
"Technical requirements, choice of platforms, data transfer methods, etc"
"The benefits, the cost, staffing requirements, commitments"
"Time and cost and training involved."
"We have heard that Library and Archives Canada is planning to become a Trusted Digital Repository. So, we would first discuss such an initiative with Theses Canada Portal."
"We would need hardware specifications as well as the programming needed to integrate with our system."
"We would need to know what the cost (one time, on-going, etc.)would be, the procedures for participation, institutional requirements, etc."
"What kind of resources (people, equipment & money) commitment would this involve?"
"What skills would we need to participate? Amount of time ? Buy-in from administration. Cost ? Staffing ? Access to other institutions' theses and dissertations."
"what the preservation strategy will be for e-theses, who will do the work, and what the business model will be for the archive. also what sort of access control is available."
"Would there be additional responsibilites beyond digital storage?"

13. How did you learn about this survey?
Select all that apply, or enter another source.

7.58%\% CGS: Council of Graduate Schools (10/132 responses)
10.61%\% ASERL: Association of Southeastern Research Libraries (14/132 responses)
12.12%\% ARL: Association of Research Libraries (16/132 responses)
18.94%\% NDLTD: Networked Digital Library of Theses and Dissertations (25/132 responses)
9.09%\% DLF: Digital Library Federation (12/132 responses)
41.67%\% Another source (55/132 responses)
93% of the people who took this survey
(93 / 100) answered this question.

Other Responses (55 for this question)
"email message to VIVA members"
"ETD list"
"ETD ListServ"( 2 ) responses
"ETD-L"( 5 ) responses
"etd-l discussion list"
"ETD-L mailing list"
"forwarded by grad school"
"Forwarded from CGS by Grad Office Dean"
"Gail's email to me"
"Graduate School"
"MetaArchive list serve and FSU Library director via forwarded ASERL email"
"NDIIPP MetaArchive"
"other"( 27 ) responses
"Virginia Tech NDLTD project"
"VIVA"( 3 ) responses
"VIVA colleague"

14. We would like to receive your comments and concerns about digital preservation of ETDs, particularly the distributed (i.e., LOCKSS ) model that the MetaArchive Cooperative is considering.

Text Responses (38 for this question)
"33" - ( 2 responses)
"A welcome opportunity for academia to regain control of its intellectual properties, and cost-saving through cooperation. Our institution is committed to LOCKSS."
"All that LOCKSS does is to help with saving bit-strings. This is far from sufficient for digital preservation! What about ensuring that what is retrieved is authentic? How about ensuring that is intelligible?"
"Currently using LOCKSS on local servers for some eResources (journals)."
"Currently, we are doing our own preservation by burning a CDs at the end of each quarter of a Word and PDF file for each student. When we were smaller (2000-2005), they required the student to place the final documents on a diskette, CD, or Zip Disk. We are not considering moving these to CD media, because as the media becomes outdated, so does our ability to retrieve the documents. I am interested in your survey results. Thanks, Angie McCutcheon Director of Electronic Thesis and Dissertation Ohio University 44 University Terrace Athens, OH 45701"
"dont really know very much about it"
"generally, I think distributed models for preservation are the best way to go"
"have no opinion as have no knowledge"
"How would confidential ETDs be handled, such as those with patents pending?"
"I am the Dean and only able to answer some of these questions. I am sending the survey to the person in our library who handles the ETDs"
"I would like to know more about your logic preservation strategies (renderable, readable) for multiple types of file formats."
"I'm glad that MetaArchive is also exploring migrational archiving techniques"
"I'm very concerned about how to migrate materials to archival quality formats while enabling students to work with a variety of formats. Are you extracting text alone into XML? Creating tiffs? Our oldest ETDs are PDF version 1.3 and already display badly. What good is maintenance of the bitstream without migration to supportable formats?"
"I've been told that this is not a library priority at this point. (As the Preservation Administrator, I don't necessarily agree)."
"Issues of viability of LOCKSS as a true preservation model: bitstreams are maintained and "single point of failure" concerns addressed; provision to fully understand and migrate file formats [etc.] not currently in place. Would want a clear plan or model for improving LOCKSS functionality before relying on it for long-term digital preservation."
"It was somewhat difficult for us to separate out LOCKSS preservation from the larger question of a TDR... is that even part of this model? Question 10a. seems to be about both embargoed files and the branding of institutional content.... In Question 10b. It is our experience that the technology currently recommended for LOCKSS boxes is insufficient for actually serving up the content."
"It would be great to be able to access them electronically."
"Keep our institution informed of any developments."
"LOCKSS would provide for the replication of e-theses (an aspect of a preservation strategy) but much more is needed to preserve them for the long-term, so that strategy will need to be public to make this service a viable alternative to local solutions based directly on our IR."
"LSU is currently considering various alternatives for off-site digital repositories. A repository specifically run for ETD's would be most appropriate."
"Note from question 1 -- if student submits electronically, no paper version is submitted. When ETD is mandatory in 2009, no paper copy will be submitted. For preservation, we store a dark copy on a secure, backed up server and students submit a copy to ProQuest."
"Students retain copyright to their dissertations as a basis for future publication and allow universities to make the dissertaions per se available. However, the shared archiving does have some ifs that I believe need to be addressed on behalf of our students."
"The library doesn't have electronic copies, only paper copies. However, individual departments do have electronic copies - kept on cds for the most part. My guess is that the Graduate Studies office would be in charge of preservation."
"The national ETD project for South Africa is in the beginning phases. We don't know if the LOCKSS model can be applied to national projects like ours. In other words, do we participate as individual instutions if our country has a national project? (Hussein Suleman is the expert for the national project); Another concern is that we are not yet convinced that the LOCKSS model is working well for archiving journals; based on our experience with participating in the LOCKSS-SA project."
"this looks interesting, but I'm not sure we need it as we have a preservation repository."
"We beleive that it is a very useful solution, especially for institutions that do not have specific and formalized preservation plan."
"We don't feel like it's necessary because Bepress is providing the back up for our ETDs and they are submitted to UMI as well."
"We have a LOCKSS box running currently. Re: formats, we are asking for PDF, but are open to any format if requested. We are also working on an ETD preservation plan in coordination with the British Library EThOS service development."
"We have been talking with MetaArchive about LOCKSS networks and are interested in finding out more."
"We have limited Systems Staff so would want to minimize demands on their time."
"We may be interested later but are trying to avoid scattering our efforts currently. The other issue is that we're not a LOCKSS institution. We're currently involved with Portico."
"We need to do this for our own institution but I'd also like to help institution sin less developed countries."
"We'd be interested in knowing how the project would handle embargoed ETDs. Also, does this address any kind of file migration, or are you thinking about the static preservation of the original submitted formats? We anticipate having to move files to different formats as standards change."
"We're in the process of negotiating with our Graduate School about how best to transition to a digital-only program managed collaboratively by the libraries and the graduate school. We have some limited experience with LOCKSS but I think we're still a ways from implementation."
"We're interested in exploring a LOCKSS-based preservation network for ETDs. But what we could really use help with is choosing a repository platform."
"We've already begun using VTLS' VITAL for our digital photographic archive and are planning on expanding its use into other areas of our collections such as our theses."
"We've been part of the ASERL pilot project to preserve ETDs with the LOCKSS model and are very encouraged that it will work."
"What is the relationship between NDLTD, MetaArchive Cooperative, and LOCKSS?"

Below, in the Personal Information, please provide the contact information for the person who is/will be responsible for your institution�s ETD initiative, and your contact information, if different, in case we need any follow-up information. This information will not be publicly available.

Thank you for taking the time to contribute to this survey.

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