Caltech Library System

Introduction

Definition of ETD

ETD Examples (from Virginia Tech)

ETD FAQ

1.  Why must I submit an ETD?

2.  How does the ETD project relate to UMI?

3.  How does UMI get their copy for filming and copyrighting?

4.  What if I want to write a book related to my thesis or dissertation?

5.  What are the options regarding electronic access?

6.  What do I need to know about signing agreements with publishers?

7.  What if I want to have a journal article as a chapter in my thesis?

8.  How do I correct my ETD after it appears on the library server?

9.  How do I cite an ETD?

10.  Is there a limit to the size of the files we submit as a part of our ETDs?

11.  What is a “multimedia object”?

1.  Why must I submit an ETD?

By preparing an ETD and submitting it electronically you learn about electronic document preparation and about digital libraries. These skills will help prepare you for your future role in the Information Age, whether you teach, research, or use the research results of others.  Furthermore, you may be able to better convey the message of your thesis or dissertation in an electronic as opposed to a paper document. Thus, you can easily have color diagrams, color images, hypertext links, and even include audio, video, animations, spreadsheets, databases, simulations, virtual reality worlds, etc. in your appendices.  

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2.  How does the ETD project relate to UMI?

UMI is a corporation in Ann Arbor, Michigan that maintains a microform archive of about 1.5 million dissertations, as well as an online service called Dissertation Abstracts. Most dissertations written in the US are submitted to UMI for archiving on microfilm, from which microform or paper copies can be produced. UMI functions as an on-demand book publisher that eliminates the editorial process. One of the services they offer is to help you regarding copyright and working with publishers.

They accept electronic submissions as well as paper submissions. The latter are scanned in and OCR'ed, but in most cases current technology does not yield as good a result as would come from an electronic submission. UMI plans to make available online electronic versions of all works they receive after 1996.  

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3.  How does UMI get their copy for filming and copyrighting?

When you pay your $55 UMI fee, the Graduate Schools sends UMI a signed title page and the "UMI form." UMI, then:

You get a 10% commission when they sell copies of your dissertation, paid on the "sevens" (7, 17, 27, ...).  UMI issues a royalty check when they sell the 7th copy and then with each additional 10 copies sold.

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4.  What if I want to write a book related to my thesis or dissertation?

We realize that some students, especially in the humanities, prepare books related to their theses or dissertations. In general it appears to be the case that electronic release of early versions of a book leads to greater sales of such books. Indeed, having an electronic work made available on the Internet, and telling a publisher that there have been a large number of electronic accesses to that work, may help you land a book contract.

Usually, books that relate to theses or dissertations turn out to be significantly changed as part of the editorial process. This makes it likely that those interested in your work will buy your book when it comes out, even if they have reviewed your ETD.

However, since publishers vary widely in their policies, it may be wise to share this documentation about the ETD initiative with publishers to which you are likely to submit your work.  

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5.  What are the options regarding electronic access?

Caltech gives you three options regarding affording electronic access to your ETD. The Caltech Electronic Submission Approval Form, that must be signed by you and your committee when you turn in the your final work, indicates your choice.

1. The first option, which we recommend (see above) is to make it freely available worldwide.
2. The second option, which we hope will be needed rarely, is to make the ETD freely available to the Caltech community but at the same time disallow access by others. So that these others will gain access as soon as appropriate, this restriction on access is only for a period of one year. To protect you, the Institute will allow the period to be extended, a year at a time, as long as necessary, and will not release your work until you and your advisor provide written authorization.
3. The third option is to restrict access for a period of a year, even disallowing access by the Caltech community. This option addresses situations such as when a patent application is planned, or when proprietary interests are at stake.
4. The fourth option is to release the entire work for Caltech access only, at the same time parts of the work will be released for worldwide access. Also some other parts of the work will be completely withheld from access.

You should consider these options carefully. Feel free to ask Caltech Intellectual Property or Legal Counsel for advice, and to discuss this with your advisor. If you intend to work with a publisher regarding journal or book publications, be sure you understand their policies and any agreements you would sign.

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6.  What do I need to know about signing agreements with publishers?

When you have your research published in a conference, book, or journal, you usually sign some type of agreement with the publisher. You should read that agreement carefully before signing, making sure you understand AND AGREE with the terms and conditions. If you don't, you may want to change the agreement in connection with discussion/negotiation with the publisher, and possibly with advice of legal or other counsel. The agreement should be explicit about what future rights of use you retain. If you want to include the materials in a dissertation or to reuse the materials for teaching or a book chapter, say so.

As the author you are entitled to discuss your plans with the publisher. We encourage you to obtain an agreement that allows you to include your research in a freely available electronic thesis or dissertation.

During these negotiations you may want to discuss matters of timing and revision. You have the right to negotiate with a publisher to reduce access to your ETD to the Caltech community only for a limited amount of time, if they request this as a condition on publishing your article. However, most publishers consider a thesis or dissertation to be quite different from a journal article. Typically the article is much shorter than the chapter or full work, has been revised as a result of the editorial process and peer review, and sometimes has several authors, resulting in many publishers having no concern regarding fully accessible ETDs.

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7.  What if I want to have a journal article as a chapter in my thesis?

If you have published an article or articles before you turn in your thesis or dissertation, and you wish credit for that for your graduate requirements, you have a number of options. These should be discussed with your committee, and possibly with your publisher. First, you can simply cite that publication in your references. Second, if the publisher has the publication online, you can link or point to it (with permission of the publisher, who usually has protection so that paying customers or subscribers are the only ones allowed access). Third, if the publisher gives you a signed release, you can include the publication in your thesis or dissertation as allowed in that release. If the publisher restricts access in that release, say to the Caltech community, you may want to have 2 versions of your thesis or dissertation--one with and one without the chapter (e.g., published article) in question.

This matter may be avoided if your thesis or dissertation talks about your research in a very different way from the published article. That often makes sense, since articles are typically short, and your thesis or dissertation may be the only place where all the details, data, tables, and other aspects of your research are made available.

Remember that preparing a thesis or dissertation is part of your graduate experience, one aim of which is to prepare you to be a part of the world of research and publication.  We hope you will treat your ETD submission as part of your educational experience, and will take steps when you deal with publishers to help other students gain the widest possible access to your research.

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8.  How do I correct my ETD after it appears on the library server?

Once your committee and the graduate school have approved the ETD, that version is a matter of University record and will be archived as such. You may not make any corrections.  For this reason, you and your committee must check the ETD thoroughly before submitting it.  

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9.  How do I cite an ETD?

These suggestions are derived from the Chicago Manual of Style (14th ed.)... here we have merely added the URL.

Velayudhan, Nirmalkumar. "Analysis of Thermally Diffused Single Mode Optical Fiber Couplers." Master's thesis, Virginia Tech, 1997. http://scholar.lib.vt.edu/theses/materials/public/etd-51697-144745/etd-title.html

Sampan, Samkiat. "Neural Fuzzy Techniques In Vehicle Acoustic Signal Classification." Ph.D. diss., Virginia Polytechnic Institute and State University, 1997. http://scholar.lib.vt.edu/theses/materials/public/etd-5733142539751141/etd-title.html  

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10.  Is there a limit to the size of our files we submit as a part of our ETDs?

We set no limit to the size of any of the files you submit for your ETDs. Consider splitting large files into smaller pieces to make it easier for readers to download.  NOTE: If your submission is very large (i.e., >100 megabytes), please send us a message so that we may expect it.  

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11.  What is a “Multimedia Object”?

Multimedia is the art of combining several channels to convey information (visual + aural, textual + visual, etc.).  Multimedia data are usually stored as a working unit---as a multimedia object.  In the computer, a multimedia object can be pasted into a word processor document, or stored in its own file that has its own suffix (e.g., house.gif, forest.jpg, tstorm.mpg).

An internal multimedia object is included directly in an ETD. Any object drawn or pasted into an ETD from another application is an “Internal Multimedia Object.''  An external multimedia object is not pasted into an ETD. Rather, it lives in its own file. It is linked by a hyperlink from an ETD.