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ETDs at the University of FloridaUnited States Electronic Thesis and Dissertation Association Conference 2012

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WELCOMERobert ParkerETD Coordinator, George A. SmathersLibraries at the University of Florida Stacy Wallace Coordinator, Editorial Office University of Florida Graduate School

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ETDs and UF• Pilot project began in the fall of 1998. • Mandated for all submissions fall of 2001 • Last paper submission received was in 2007. • Over 10,000 ETDs currently in our repository

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Units coming together• Graduate School • Application Support Center • George A. Smathers Libraries • Digital Library Center (DLC) • Florida Center for Library Automation (FCLA)

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Graduate School Editorial Office Coordinates Graduate Curriculum Committee Reviews Thesis and Dissertation Format Coordinates Graduate Catalog

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The Graduate SchoolEditorial Office: Ensures theses and dissertations meet UF Graduate School’s standards http://graduateschool.ufl.edu/ graduation/thesis-and-dissertation

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Graduate School Editorial Office • Three staff members review well over 1800 documents each year • Ensure these documents meet formatting guidelines set by the Graduate School • Verify hyperlinks are working properly • Confirm Graduate School “milestones” have been met, passing this information onto Graduate Records • Assure all ETD requirements have been met • Transfers electronic document and all related objects and forms to the library for processing and transfer to FCLA, DLC, ProQuest, etc.

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Application Support Center https://asc.helpdesk.ufl.eduASC’s primary mission is to advise and guide graduate students through the technical challenges they face when formatting their electronic theses or dissertations.

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Data Management:Maintains online Electronic Document Management (EDM) System http://edm.gradschool.ufl.edu/

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EDM System (Editorial Document Management)• Tracks submission of data related to ETD process– For student – For editorial staff workflow• Communication mechanism – between editorial staff and student; – also faculty advisor• Records data, mapping it into GIMS • Transfers all ETDs to library

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Editorial Document Management System

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Communication history with student

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Life Cycle of an ETD: Part I

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Theses and DissertationsMajor advisor & committee responsibilities– Content – Grammar/“professional publication quality” Template, guidelines, and checklists – Available through Editorial Office webpage – Enumerates all forms tracked by Editorial Application Support Center services for template and pdf conversion– Provides guidance with templates and pdf conversions – Formerly known as the “ETD Lab”

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Supervisory Committee• Plans the course of study • Guides the research efforts • Promotes scholarly growth

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Editorial Office Reviews • Margins, hyperlinks, headings, and subheadings • Table of Contents • List of Tables and List of Figures pages • Academic Abstract and Biographical Sketch • General formatting guidelines for tables, figures, lists, citations, references, etc.

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Successful Submission1. Student writes document – Works with the Application Support Center for help with formatting and the template – Consults format guidelines on the Editorial Office’s website

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Successful Submission2. Student submits to Editorial Office – Paper or electronic version delivered to Editorial Office – Submission date: • Throughout the semester • No later than the date listed as “Last day to submit thesis or dissertation” on academic calendar and deadline link

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Successful Submission• Thesis students must defend before making this submission • Doctoralstudents must defend prior to final submission deadline • Separate checklists ( thesis or dissertation ) for required submission documents available from the Editorial Office’s website

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Successful Submission3.Editorial staff receives document – Editorial accepts or rejects – Status e-mail sent to student, Chair, and graduate staff sent via GATORLINK email with further instructions on how to complete

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Successful Submission4. Editorial staff reviews document – Review document and comments are e-mailed to student, Chair, and graduate staff – If originally submitted as a paper copy, student arranges for pick up of hard copy from our office(Handwritten changes will be noted on copy corresponding to the e-mail recommendations previously sent.)

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Successful Submission5. Student revises document and prepares final pdf – Works with an Application Support Center Consultant to upload and submit the pdf for review through the EDM system by Final Submission Deadline – Will get an e-mail with required revisions noted and the timeline for completing these revisions in order to achieve clearance by the Final Clearance Deadline

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Achieving Final Clearance1. Editorial Office notifies student, Chair, and graduate staff by GATORLINKe-mail that the PDF document has been accepted for publication.

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Achieving Final Clearance2.Student and Graduate School Editorial Office verifies that all doctoral dissertation and/or thesis defense forms have been logged by “Last Day to Achieve Final Clearance” date as provided on the UF academic calendar. (Deficiencies will be indicated both in their EDM record and in GIMS)

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Achieving Final ClearanceFor record to be complete and to achieve Final Clearance status: 3. Student’s status must read “Final Clearance” in the EDM 4.Student and staff must see a date in the “Thesis/Dissertation Clearance with Graduate School Editorial Office” field in GIMS

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Now they are…

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Life Cycle of an ETD: Part II

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Relationship of EDM,GIMS, and Degree Certification Departments: input data into GIMS EDM: harvests selected data elements from GIMS EDM: records editorial “milestones” which map into GIMS GIMS: continues with degree certification process for thesis and dissertation students

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GIMSIntegrates data elements fromUniversity Directory/PeopleSoft Office of the University Registrar Graduate SchoolProvides transaction interface betweenColleges and departments Graduate School

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GIMS -Net effectAllows transactional and reporting elements to present a unified perspective ofA student’s degree program Faculty activity Degree program growth Attrition and retention rates

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GIMSStudent records Academic milestones Graduate Faculty information Department information and student deficiency reports

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Application Drivers Allows for easy transfer of files to the library et al.:• Select the semester • Generate XML • Validate XML • FTP to FCLAet al.

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“Milestone” Reports

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What is included in the ETD file? Editorial “milestones” pdf document•Title page: name, degree, term of degree award •Copyright •Dedication/Acknowledgments •Abstract •Text of thesis or dissertation including hyperlinks •References •Biographical Sketch Separate files for objects•Acceptable file formats •Movies, audio, pictures, databases

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Transfer to the Library Data files and reports are created in the EDM system These Files are transferred to library Library :•Ensures they have received every document and all of their disparate pieces are intact; •The data on the meta reports matches all data in the paper forms and reports provided.

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Transfer of data to FCLA .xml file is created by the EDM system File is transferred to FCLA FCLA:•Verifies they have received the ETDs and the attached object and meta files are intact; •Ensures ach package contains necessary metadata; •Confirms attached object files are functional (e.g.,movie, audio, some types of pictures, databases)

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George A. Smathers Libraries at UFPreservation: • Paperwork, coordinate between Graduate School, FCLA, DLC, and ProQuest • Cataloging and Metadata: Aleph updates • http://web.uflib.ufl.edu/committees/etd/ (Policies and Procedures) • http://www.uflib.ufl.edu/etd.html (OPAC)

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Digital Library Center• Maintains Institutional Repository • Ingests digital Projects in Lieu of Theses

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Florida Center for Library Automation• Receives and creates Aleph records • posts files to Aleph • Tracks release dates • Monitors shipment of dissertations to UMI according to release date • Maintains Florida Digital Archives

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UF ETD Committee• Meets three times a year to discuss policies and procedures • Consists of members from Grad School, Library, Florida Center for Library Automation, Digital Library Center, Application Support Center • Internal listserv to discuss issues between meetings

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Campus wide workflow• Metadata and files from EDM system are transferred to FCLA from Grad School • Preservation staff perform Quality Control. • Aleph records for theses and dissertations created from metadata supplied from EDM System. • Immediate worldwide release titles made available via UF catalog.

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Campus wide workflow• ProQuest Agreement forms separated by release date • Immediate release agreement forms and PDF files sent to ProQuest • Restricted agreement forms and PDF files held back until release date is reached

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Lessons Learned: Bad• Version control of documents • Vendor accuracy can be an issue • Read the fine print on all forms • Google

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Lessons Learned: Good• Up-to-date documentation is key. • Must foster excellent working relationships campus wide. • Communicate, Communicate, Communicate!

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Current UF ETD Usage Over 10,000 ETDs 5/13/2011

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Thank you!