Survey of US ETD Programs: Progress and State of Acceptance - Preliminary Findings

Joan Lippincott and Clifford LynchCoalition for Networked Information

ETD 2008Aberdeen, Scotland

OverviewCNI’s Role in ETDsUS Higher Education InstitutionsUptake of ETD ProgramsGeneral Characteristics of US ETD ProgramsFactors Motivating and Inhibiting US

Establishment of ETD ProgramsNext steps

Coalition for Networked Information (CNI)

Founded in 1990 by Association of Research Libraries, Educom, and CAUSE (EDUCAUSE)

To advance the transformative promise of networked information technology for scholarly communication and intellectual productivity

Institutional membership, primarily North American

Executive Director Clifford LynchCo-sponsored early work on ETDs (1993) and

continue involvementwww.cni.org

Profile of US Higher Education Institutions

Approximately 4300 institutions of higher education

Approximately 1200 granting degrees beyond bachelor’s degree

60 US members of Association of American Universities (leading research universities in NA)

574,618 Master’s degrees awarded in 200552,631 Doctoral degrees awarded in 2005 (References on final slide)

CNI ETD SurveySent to 143 US higher education institutions,

all members of CNI in spring, 200883 (58%) responses as of mid-MayIncludes 36 of 60 US members of AAU (60%)E-mail request for completion and follow-upsSurvey available on surveymonkey.comFollowing data are preliminary results

Does your institution have an ETD Program?

Yes 73.5% No 26.5%

Is your ETD program mandatory?43.1% Yes, for all Masters and Ph.D. students31% Optional for students13.8% Mandatory only for some

departments/schools10.3% Mandatory only for Ph.D. students3.4% Mandatory only for Masters students

Note: Respondents could check all that apply

Is your institution adding scanned theses and dissertations (produced in years prior to the ETD program) to the collection of ETDs?

34.5% Yes41.4% No24.1% Other

ETDs and Repositories72.2% ETD collection is part of the institutional

repository16.7% ETD collection is part of a consortial

repository29.6% OtherNote: Respondents could check all that apply

Who took leadership in establishment of the ETD program? (can check all that apply)

93.1% Librarians50% Grad school administrators12.1% Provost/academic administrators3.4% Individual faculty3.4% Students1.7% Specific schools/departments0% Faculty senate17.2% Other

What factors encouraged implementation of an ETD program for your institution?

50% or more rated these factors ImportantPotential of increased access to student-

produced workLibrary interest in content for institutional

repositoryPotential of increased visibility for the

institution, schools, or departments

What factors encouraged implementation of an ETD program for your institution?

In addition, over 50% rated these as Somewhat Important or ImportantAbility to include non-text featuresUse of ETDs as a learning opportunity for

future digital authors (students)Potential of decreasing costs for students

and/or institutionPromotion of open access principles

What factors encouraged implementation of an ETD program for your institution?

Respondents did NOT choose these factors as Important or Somewhat ImportantLegal mandate by the stateMeans of demonstrating accountability to

external groups

What factors discouraged implementation of an ETD program for your institution?

Concerns by faculty about public access to ETDs limiting future publication opportunities - rated Important by 38.1% of respondents

What factors discouraged implementation of an ETD program for your institution?

Ranked Somewhat Important or Important by 40% or more of respondentsGeneral disinterest in changeConcerns about digital preservationLack of consensus about embargo policies

What factors discouraged implementation of an ETD program for your institution?

Respondents did NOT choose this factor as Important or Somewhat ImportantConcerns about potential additional costs to

students or institution

Institutions without an ETD programWhat factors discouraged implementation of an ETD program for your institution?

Top concerns (rated Somewhat Important or Important by at least 45% of respondents)Adequate technical supportDigital preservationFaculty concerns about limiting future

publicationsGeneral disinterest in changeLack of consensus about embargo policies

Institutions without an ETD ProgramOther comments

5 institutions indicated they are actively exploring setting up an ETD program

Next StepsGather additional dataContinue analysisDisseminate results through various venues,

including CNI meetings

Thanks to:Gail McMillan, Virginia TechJoan Cheverie, Georgetown UniversityDiane Goldenberg-Hart, CNISharon Adams, CNI

Resources http://www.census.gov/compendia/statab/cats/ed

ucation/higher_education_institutions_and_enrollment.html

http://www.census.gov/compendia/statab/cats/education/higher_education_degrees.html

http://www.carnegiefoundation.org/classifications/index.asp?key=801