Notes
Outline
Electronic Theses and Dissertations:
 Benefits, Issues, and the University of Waterloo Approach

http://www.lib.uwaterloo.ca/ETD/
Christine Jewell
Librarian and Chair of the UW E-thesis Project Team
cjewell@library.uwaterloo.ca
May 2002
Benefits of ETDs
 Electronic Theses and Dissertations
Researchers
Remote access
Searchable metadata and full text.
Student/Authors
Save photocopy and binding costs
Multimedia allow wider range of expression
Remote submission
Research receives greater exposure.
Benefits of ETDs
Librarians
Provide increased access to research
Save shelf space.
Graduate Studies
Speed up checking of submissions
Reduce moving and handling of paper.
Issues
Submission
What formats should be accepted?
Access & Distribution
 How will the ETD be provided and delivered?
Storage & Preservation
What is an acceptable ETD lifespan?
Intellectual Property
Is plagiarism facilitated?
Publishers may refuse articles based on a thesis that is freely available on the Web.
Submission Issues
What formats should be accepted?
Students create theses with a variety of wordprocessing programs, but the graduate and the library cannot support all varieties.
PDF is suitable for display, but the package is not free, it might include aspects that cannot be checked in the graduate office or preserved on fiche, and the reader is proprietary, hence is a concern for future access.
Electronic Submission at UW
A thesis must be submitted in a single Postscript file
A PostScript file results when a document is printed to file rather than paper
It can be checked with procedures analogous to checking a paper thesis.
Students wishing to submit a thesis with hyperlinks or multimedia can submit an enhanced thesis.
The primary PostScript submission can be supplemented with an author created PDF version (an “enhanced thesis”) that may include hyperlinks and multi-media as appendices.
Access & Distribution Issues
How will the ETD be provided and delivered?
Should the ETDs be mounted on the Web?
What format should be used for delivery?
Can we make a link in the catalogue?
Should we maintain a local database or rely on UMI for distribution?
Access & Distribution at UW
ETDs are publicly accessible on the Web in PDF
The Graduate Office converts the PostScript submission to PDF
The Library installs the PDF in a local database.
Metadata submitted by the author make up the searchable portion of the database
The metadata record includes a link to the full text of the thesis in PDF
The library catalogue also links to the thesis
The PhD theses can also be purchased from UMI.
They are included in Dissertation Abstracts International, UMI’s index to theses and dissertations.
Storage & Preservation Issues
What is an acceptable ETD lifespan?
Digital preservation may not be feasible at a local level
Should we accept theses that contain components that cannot be captured on fiche?
Should we take advantage of multimedia even if long term preservation is problematic?
Storage & Preservation at UW
The PDF version is backed up on a local server
The purpose is to maintain an access copy rather than support an electronic archive
Supplementary enhanced theses with multimedia files are backed up locally but are not treated to preservation procedures or submitted to UMI.
The PostScript is also backed up on a local server
PostScript is an established format, unlikely to become obsolete; as a last resort it can easily be converted to TIFF, a format that any image reader can access.
The content of a PostScript file can be preserved on fiche
It is converted to PDF then sent to UMI where it is filmed and preserved in the NLC fiche archive.
Intellectual Property Issues
Placing theses on the Web may provide plagiarizing students with a convenient supply.  Do libraries have an obligation to discourage plagiarism by limiting access?
Some publishers have objected to ETDs that are free on the Web, arguing that they are a form of prior publication. Yet many publishers agree that a publishable article is substantially different from a thesis and cannot be considered prior publication of the article.
Intellectual Property at UW
Plagiarism
It may be facilitated when material is freely available on the Web, but the Web also facilitates detection
Adobe software has a function to disable copying, editing, or printing. At UW we have experimented with this function, but have decided not to implement it.
Publisher policies
We advise authors to investigate the policies of publishers in their field before they take the electronic submission option
If we move to mandatory electronic submission, we will likely allow students to restrict their theses to the UW domain.
Sources of Information on the UW Project
UW Electronic Thesis Project homepage
http://www.lib.uwaterloo.ca/ETD/index.html
University of Waterloo ETD Flowchart
http://www.lib.uwaterloo.ca/ETD/flowchart/
Submitting Your Thesis Online: Course Notes
http://www.ist.uwaterloo.ca/ew/ethesis/ethesis.html
Graduate Studies: Electronic Thesis Submissions
http://www.grad.uwaterloo.ca/General_info/Thesis_Regs/EThesis/index.html