CFP Call for Preservation Results and discussion of

CFP: Call for Preservation! Results and discussion of a survey on the preservation of ETDs Kelsey Libner North Carolina State University Libraries Raleigh, North Carolina / USA

Introduction • Goal – Make a directed inquiry into links between practical aspects of ETD management and the stewardship responsibility. • Overview – Introduce survey and report results – Identify themes – Raise open questions (“Next Steps!”) ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 2

Participating institutions California Institute of Technology East Tennessee State University The Ohio State University Pennsylvania State University of Florida University of Georgia University of Kentucky University of Pittsburgh University of South Florida ETD 2003 University of Tennessee University of Texas at Austin University of Virginia University of Waterloo Virginia Polytechnic Institute and State University West Virginia University Worcester Polytechnic Institute CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 3

Results ETD policy • e. Dissertation and e. Thesis required 7 institutions • e. Dissertation required; no e. Thesis option 3 institutions • e. Dissertation and e. Thesis optional 5 institutions ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 4

Results Electronic file format (main document) • PDF required for main document 9 institutions • PDF or HTML only for main document 4 institutions (two convert HTML to PDF) • Others Postscript or PDF (1 institution) PDF, HTML, XML, or XHTML (1 institution) No restrictions, but PDF most common (1 institution) ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 5

Results Electronic file backup • Selected general strategies: Include ETDs in existing backup plan for digital publications or library files Use statewide or national entity for backup • Backup measures include: RAID (Redundant Array of Independent Disks) Back up files to two off-site locations Tapes; CDs; fireproof storage for CDs ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 6

Results Paper copies • Paper copy for archival purposes 2 institutions • Paper copy for non-archival purposes 4 institutions • No mention of paper copies 10 institutions ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 7

Results Physical copies • Submission to UMI required – additional physical copy retained 7 institutions (5 microfiche, 2 paper) – no additional physical copy retained 7 institutions • Submission to UMI not required and no local physical copy retained 2 institutions ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 8

Results Preserving e. Dissertations vs. e. Theses • Same preservation measures for e. Dissertations and e. Theses 7 institutions • Weaker preservation measures in place for e. Theses 5 institutions ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 9

Results Migration plans • Plans include – Making a commitment to migrating specific file type(s) as necessary – Charging students $10 per document (over and above UMI processing fee) for future migration costs – Making an inventory of file formats “as a first step” – Delegating migration responsibility to a government-sponsored library agency ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 10

Themes • Preservation policies: works in progress • Redundancy of storage medium (production server, backup server, CD, tape, microfilm) • File formats – Main document: Much attention to XML vs. PDF – Supplementary files: Concerns and limitations reported • Additional theme: importance of workflow and coordination ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 11

Open questions 1. Archival electronic copy of main document – PDF/A? – Also keep native file format and TIFF images? 2. Supplementary files – Relation to main document: Enhancement or integral part? – Concern regarding multimedia files embedded in PDF files – “Liberal” and “conservative” policies; multi-tiered approach ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 12

Open questions 3. Transition from page-presentation model to… – a content/formatting separation model (XML + DTD + rendering) – perhaps a functionality model ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 13

Open questions 4. From preservation measures to a preservation program – Importance of lifecycle view (compare functional model and workflow model) – Preservation metadata (e. g. , METS) 5. Integration of ETDs into larger plans for digital document management and preservation – Benefits of a single infrastructure for document management and preservation – OAIS Reference Model – Institutional repositories ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 14

Review Goal: Make a directed inquiry into links between practical aspects of ETD management and the stewardship responsibility • Survey results • Themes • Open questions Concluding point: ETD policies, document genres, archival format, backup plan, workflow, administrative structure, and parallel digital library activities are all tightly interrelated. ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 15

Danke für Ihre Aufmerksamkeit! Contact information: Kelsey Libner Digital Library Initiatives NCSU Libraries Raleigh, North Carolina / USA E-mail: kelsey_libner@ncsu. edu ETD 2003 CFP: Call for Preservation! Kelsey Libner / NCSU Libraries 16