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Australian Higher Degree Theses on the National Bibliographic Database |
Survey of Australian Theses Contributions to the National Bibliographic Database
Final Report
November 2002
Survey of Australian Theses contributions to the NBD final report
The National Bibliographic Database aims to cover all Australian library materials including theses, in any published format and currently includes over 1138,000 Australian theses records on the NBD. By providing bibliographic records in the NBD that represent the theses output of all Australian universities, it supports the retrieval of all Australian materials in a single search on the NBD, and it enables searching for theses within all Australian universities, with the provision to search for Australian theses in general or more specifically for theses by subject area, authors or titles.
In 1996 Australian university libraries were surveyed to determine the coverage of theses on the National Bibliographic Database. The results from this survey were updated in 1998 and are available on the National Library's web site at: austtheses.html
In 2002 the National Library set out to update the information on contributions of theses records to the NBD. However, recognising the increasing trend for academia to accept and provide theses in digital or electronic form, for the first time the survey also asked libraries to indicate whether they contributed cataloguing that described electronic format theses.
The 1996 survey aimed to determine the level and dates of coverage for print theses only on the NBD. For example institutions were asked whether their contribution of theses records to the database was complete, partial or non-existent and also specify the dates corresponding to the reported level of coverage e.g. 'Complete coverage from 1994' or 'Partial coverage from 1988-1992, Complete coverage from 1993 onwards'.
For the 2002 survey, the questionnaire was extended to ascertain not only the level of coverage for both print and electronic theses on the NBD, but also to determine causes for partial or non-reporting, identify other metadata repositories libraries were using and identify trends that might affect reporting in the future.
The survey questionnaire was distributed to university librarians via the CAUL list in early October. The official deadline for responses was October 31 but additional time was provided for libraries to respond. All Australian universities responded to the survey. Attachment 1 lists the tabulated results from the survey.
Survey findings
Print theses
30 of the 39 libraries recorded all their higher degree print theses on the NBD. Many libraries also recorded minor or undergraduate theses on the NBD. Some questioned the appropriateness of recording lower level theses on the NBD and others chose not to record minor or undergraduate thesis.
8 libraries indicated that they recorded some of their print theses on the NBD. The most common reasons provided for partial reporting related to retrospective backlogs that could not be cleared due to insufficient resources or current backlogs caused by delays in implementing new ILMS software.
The survey indicated that 1 library did not record their print theses on the NBD as they had not established a pattern of routine bibliographic contributions to the NBD.
Electronic theses
For electronic theses it was evident that most university libraries did not yet collect or receive electronic theses in their collection.
10 of the 39 respondents reported that all of their electronic theses were on the NBD and 3 indicated that they recorded only some of their electronic theses on the NBD. Where the library was also participating in the Australian Digital Theses (ADT) Program there was some indication that the practice was to provide a URL for the electronic version in the record for the print theses.
With only three libraries partially reporting electronic theses it was difficult to draw firm conclusions on the reasons for non-reporting. However, of these, the inhibitors appeared to be clearance to digitise papers and the level of resources available to digitise and catalogue.
26 libraries did not record electronic theses on the NBD, primarily because their institutions (23 in total) did not yet collect or receive electronic theses. In a few instances libraries were unable to supply records due to technical or policy constraints. For example, some were unable to batch upload bibliographic records due to new system implementations or other system restrictions, and others had yet to determine policy and procedures for recording electronic theses.
Future trends
Libraries were asked to comment on future trends affecting record contribution, for example, whether they were adopting Dublin Core or other metadata formats, or moving to XML or OAI for data storage, harvest and transmission.
14 of the 39 respondents are currently contributing to the ADT Program, which was established to provide a distributed and web-accessible database of digital versions of theses produced by postgraduate research students at their participating institutions. Another 7 libraries plan to participate in this program in the near future. The ADT database currently holds 2710 theses.
As part of this program libraries create Dublin Core metadata, and many libraries indicated that the Open Archives Initiative Protocol will be deployed in future.
Other models were also under investigation such as mounting theses on a local server for online access, and involvement in the AraDA: Arafura Digital Archive project, which aims to digitally preserve and make available online material relevant to the lands bordering the Arafura Sea.
Contributing to other aggregators
Libraries were also asked if they contributed theses metadata to other aggregators, commercial or otherwise for example, UMI, OCLC, etc. If they did, they were asked to record which services they contributed to, the metadata that they provided and whether theses were available from these services.
The ADT program was included as an aggregator of theses and as stated above a number of libraries will be involved in this program by 2003. OCLC and UMI (ProQuest) were also mentioned with 3 libraries contributing either bibliographic descriptions and/or abstracts to these services. The other source mentioned by 2 respondents was the Bibliography of Education Theses in Australia.
Comparison to earlier survey results
Libraries were also asked if they contributed theses metadata to other aggregators, commercial or otherwise for example, UMI, OCLC, etc. If they did, they were asked to record which services they contributed to, the metadata that they provided and whether theses were available from these services.
The ADT program was included as an aggregator of theses and as stated above a number of libraries will be involved in this program by 2003. OCLC and UMI (ProQuest) were also mentioned with 3 libraries contributing either bibliographic descriptions and/or abstracts to these services. The other source mentioned by 2 respondents was the Bibliography of Education Theses in Australia.
Comparison to earlier survey results
The status of theses contributions to the NBD remained unchanged for most libraries. Those libraries that had been full contributors tended to remain so, providing complete coverage of their theses on the NBD.
A number of libraries improved their reporting of theses since 1998. These were predominantly libraries that had previously not supplied theses records to the NBD but were now contributing some or all of their theses.
In a very few instances some libraries had lost ground, mainly due to technical issues such as the implementation of new local systems, or problems uploading bibliographic records from local systems to the NBD. As libraries resolve these issues we expect that contributions to the NBD will resume.
Australian Theses on the National Bibliographic Database
| Name of University | Printed Thesis on the NBD | Printed Thesis in Collection | 1998 survey response | Electronic Thesis on the NBD | Electronic Thesis in Collection | Future trends and plans | Contributions to other aggregators |
|---|---|---|---|---|---|---|---|
| Adelaide University | Complete coverage | 11,702 | Complete coverage from 1983 | Complete coverage | 26 | Expect to maintain MARC records for all theses. Also supplying metadata to the ADT Program | ADT - Bibliographic records, abstracts, and full text |
| Australian Catholic University | Partial coverage | N/A | No theses reported | None in collection | 0 | None | |
| Australian Defence Force Academy | Complete coverage to July 2000 | 538 | Pre 1990 partial coverage. Complete coverage from 1990 | No theses reported | 7 | None | |
| Australian National University | Complete coverage | 7,463 | No theses reported | Complete coverage | 50 | Dublin Core & OAI included on ADT records but not on records sent to Kinetica or OCLC | ADT - Dublin Core OCLC - Bibliographic |
| Bond University | Partial coverage. Major theses before 2000 not recorded | 69 major (c.335 minor) | No theses reported | None in collection | 0 | None | |
| Central Queensland University | Partial coverage. Pre-1990 are not on the NBD | 650 | Complete coverage from 1993 | Complete coverage | 2 | Continue to create MARC records. Have begun participation in the ADT program where OAI applies. In the future could use the metadata elements from these e-docs to constitute a catalogue record. | ADT - Bibliographic records and abstracts |
| Charles Sturt University | Complete coverage | 256 | Coverage unknown. Periodic update | Complete coverage | 1 (PhD) | None | |
| Curtin University of Technology | Complete coverage from 1992 | 3,066 | Complete coverage of theses from 1992 to 1993. Periodic updates from 1993 | No theses reported | c200 | Longer term intention to contribute theses records but contribution of other records has been given a priority. Digitising doctoral theses and have contributed c200 to the Australian Digital Theses Project; anticipate contributing another 100 such theses to ADT next year | ADT |
| Deakin University | Complete coverage | 700 | Complete coverage | None in collection | 0 | Records for Kinetica will be MARC for foreseeable future. Local digital theses may be controlled via other metadata format (within 1-2 years). Relationship of this database with Innopac and Kinetica is not yet determined. Dublin Core records to ADT and these will soon be OAI format. | 3 ADT -Bibliographic records and abstracts. |
| Edith Cowan University | Complete coverage | 1,260 | Complete coverage | None in collection | 0 | Compatibility with the ADT program, ARLIN portal project and Pre & Post print repository projects will be major considerations. | None |
| Flinders University of South Australia | Complete coverage | 8,050 | Complete coverage | None in collection | 0 | No change envisaged. | Bibliography of Education Theses in Australia - Abstracts and Bibliographic details only. |
| Griffith University | Complete coverage | 4,372 | Coverage unknown | Complete coverage | 41 | Digital theses are included as part of the ADT project. | ADT |
| James Cook University | Partial coverage | 2,700 | Coverage unknown | None in collection | 0 | In the process of developing digital collections strategies. | None |
| La Trobe University | Complete coverage | 5,169 | Complete coverage | None in collection | 0 | Will participate in the ADT Program next year. Print theses will be the only official form for submission. Will acquire them and add records to ILMS database for them. OPAC still the single search engine for all of the library's "owned" resources. The digital versions will be deposited to ADT voluntarily, possible will incomplete coverage. | None |
| Macquarie University | Complete coverage | 5,500 | Complete coverage | None in collection | 0 | Involved in the ADT program - looking at the issues of metadata and storage issues. Would not do anything independently but would work within the ADT project to develop standards and requirements. | ADT |
| Monash University | Complete coverage | 12,528 | From 1981 to 1984, eighty percent coverage. Complete coverage from 1984. | None in collection | 0 | No definite plan yet but if the NBC move to XML format, for example, we may consider it. | None |
| Murdoch University | Complete coverage | 4,012 | Complete coverage from 1987 | None in collection | 0 | Have just joined the ADT Program, and will be following their standards from 2003 onwards. Will require students to submit on digital and one print thesis. | None |
| Northern Territory University | Complete coverage | 574 | Complete coverage | None in the collection | 0 | Planning to use Dublin Core for the digitisation projects that are being planned for e-reserve and AraDA, a digital archive. Planning to do encoding in XML and will probably use RDF for providing metadata on the Web. | None |
| Queensland University of Technology | Complete coverage | 1,079 | Complete coverage | Complete coverage | 9 | Will stay with print versions of theses and obtain as many of these in electronic form on ADT site. No plans to offer another form of access to theses via OAI at this stage. Continue to provide catalogue records of print theses on Kinetica and for their electronic versions on ADT. | ADT |
| Royal Melbourne Institute of Technology | Complete coverage | 1,240 | Complete coverage from 1978 | Non in collection | 0 | It is highly likely that with a new ILMS we will be cataloguing our theses on our local system and uploading to Kinetica. We are also looking towards receiving electronic versions of our theses. | |
| Southern Cross University | Complete coverage | 587 | Complete coverage from 1989 to 1994 (includes Masters theses from former UNE Northern Rivers Campus) | None in collection | 0 | No projected change away from paper as archival copy. Will contribute bibliographic records for these to the UNILINC database and therefore the NBD. | ADT (PhDs and Masters ; Only brief abstract-type information in medadata) |
| Swinburne University of Technology | Complete coverage | 1762 (Undergraduate & Higher Degree) | No theses reported | None in collection | 0 | In the process of joining the ADT Program. Will still receive a printed copy of any electronic thesis. The printed thesis will be the primary copy, which will be added to the NBD in the usual way, but with an 856 field for e-copy | ADT |
| University of Ballarat | Complete coverage | 462 | Complete coverage | None in collection | 0 | Will be looking to join ADT (Australian Digital Theses) Program in the near future and will be tailoring metadata descriptions to those required for the program | None |
| University of Canberra | Complete coverage | 1,086 | Complete coverage | None in collection | 0 | Dublin Core | None |
| University of Melbourne | Complete coverage | 15,500 | Almost complete coverage | Partial coverage | 91 - digitised theses are represented in the NBD by 856 in the print version. | Electronic theses are part of the ADT program. These are in Dublin Core. | ADT |
| University of New England | Complete coverage to Nov 2001 | 3,204 | Coverage unknown | Non in collection | 0 | Have accepted Dublin Core as standard for web pages and anticipates applying this standard to electronic theses, but at this stage the University has not accepted e-theses submission - will participate in ADT Program when it does | Australian Council for Educational Research for all education-related theses/PhDs. Bibliographic records and abstracts as in Bibliography of Education Theses in Australia. |
| University of New South Wales | Complete coverage | 9,316 | Complete coverage | Complete coverage | 104 | No plans to migrate to other formats. Will be adding a DC metadata database within ILMS in view of exploring possibilities of multiple formats. The future development of the ADT may also be determining factor on formats | ADT - Dublin Core UMI (now ProQuest) Abstracts only for PhDs |
| University of Newcastle | Complete coverage | 2,419 | Complete coverage | Partial coverage | 2 | ||
| University of Queensland | Complete coverage | 16,355 | Complete coverage | Complete coverage | 150 | Library system will continue to be MARC-based, with possibilities for importing and exporting in XML, as well as harvesting in XML format. Not sure whether the latter will be OAI compliant | ADT- Dublin Core. OCLC - Bibliographic records records |
| University of South Australia | Complete coverage | 7,900 | Almost complete coverage | Complete coverage | 4 | No change envisaged. | None |
| University of Southern Queensland | Partial coverage | Unknown | Complete coverage | None in collection | 0 | Will become involved in ADT Program | None |
| University of Sydney | Complete coverage | Unknown | Complete coverage | Complete coverage | Unknown | No change envisaged | None |
| University of Tasmania | Partial coverage | 4,790 | Complete coverage | None in collection | 0 | No change envisaged. | None |
| University of Technology, Sydney | Partial coverage | 1,479 | Partial coverage from 1985 to 1994. Complete coverage from 1995 | None in collection | 0 | No change envisaged. | None |
| University of Sunshine Coast | No theses reported | 5 | Not previously available | No these reported | 6 | Expect to implement Dublin Core metadata standards/format, and XML data storage options, by mid 2003. Transmission options have not yet been reviewed | None |
| University of Western Australia | Complete coverage | 6,359 | Complete coverage from 1980 | None in collection | 0 | Currently investigating the design and cost of a system to mount UWA theses online. This investigation includes determining technical requirements and metadata standards. | None |
| University of Western Sydney | Partial coverage | 600 | Coverage unknown. Periodic updates | None in collection | 0 | Will be participating in the ADTP using Dublin Core to describe electronic theses. Will also continue to catalogue theses locally, to provide multiple access points. These records will be regularly uploaded to the NBD | None |
| University of Wollongong | Complete coverage | 1,723 | Complete coverage from 1983. Partial coverage of pre 1983 | Partial coverage | 7 | Records will continue to be added to Kinetica. Expect to add more electronic theses to ADT. For use as a research resource would like Kinetica records to be searchable by a discipline and department within a University. | ADT |
| Victoria University of Technology | Complete | 804 (post 100 (u-grad.) | Complete coverage | None in collection | 0 | No change envisaged | ADT - Abstract, keywords, title, author, supervisor |
1. Figure represents the number of NBD records that have the dissertation note field (502) and a country of publication code or Australian content indicator code. The 502 field is present in more records than the thesis code, which is in one of the character positions in the 008 field (positions 24 through 27)
2. Figure provided on ADT website http://www.library.unsw.edu.au/thesis/adt-ADT/info/news.html on 28 October 2002.
Figure 3 Deakin University is not yet included in the list of ADT distributed databases on the ADT website at http://www.library.unsw.edu.au/thesis/adt-ADT/info/news.html