ETD embargoes: Brief survey

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Emory University

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Bailey, Jody Elizabeth

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Sep 30, 2024, 9:52:10 AM9/30/24

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Hello,

This message is a reminder of the 8-question, informal survey I’m conducting about embargo lengths and expiration reminders (please see below for the original message). Many thanks to the 64 colleagues who have responded so far! If you haven’t already completed this survey, I’d greatly appreciate it if you could do so by midnight this Thursday, Oct. 3. Thank you in advance if you are able to share information about practices at your institution.

Best regards,

Jody

Jody Bailey, MA, MLIS (she, her)

Emory University

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Bailey, Jody Elizabeth

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Nov 8, 2024, 4:29:14 PM11/8/24

to irman...@googlegroups.com, e...@ndltd.org, aserlsc...@aserl-lists.org

Hello,

I recently created and shared an informal survey on ETD embargo expiration reminder notices (see below). It was open from September 23 to October 3, 2024. Invitations to participate in the survey were sent to irman...@googlegroups.com e...@ndltd.org, aserlsc...@aserl-lists.org, and two ALA Connect groups: ACRL Digital Scholarship Section and Scholarly Communication Discussion Group (ACRL). The survey received 91 responses. If you took the time to respond, thank you! I greatly appreciate your time and feedback.

The most important question and the one that was the impetus for this survey was Question 5: “Do you send reminders to alumni authors when their ETD embargo is expiring so they can consider requesting an embargo extension?” Out of 91 respondents, 75 (82.4%) said that they do not send reminders about embargo expirations to their alumni authors, and the other 6 respondents should probably be in this category (they selected the “other” response and commented things like, “I’m not sure”). If we include those 6 in the “no” category, that percentage increases to 89%. Only 10 respondents (11%) said that they do send reminders.

The rest of the survey responses are difficult to share since I told respondents I would not share comments or anything that might ID them, and all other questions had a lot of comments. I have not yet decided whether I will expand this pilot survey to gather more data, but if I do, I will share it here.

Best regards,

Jody

Jody Bailey, MA, MLIS (she, her)

Emory University

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From: Bailey, Jody Elizabeth
Sent: Monday, September 23, 2024 9:30 AM
To: irman...@googlegroups.com; e...@ndltd.org; aserlsc...@aserl-lists.org
Subject: ETD embargoes: Brief survey

Hello,

Bailey, Jody Elizabeth

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Nov 14, 2024, 12:30:49 PM11/14/24

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Hello,

Regarding the recent survey on ETD embargo expiration reminder notices (see the email thread below), I received a suggestion to summarize and anonymize comments on this survey using AI, which I have done and am now sharing the results below. Comments were extensive, and many of the 91 respondents contributed robust responses. Once again, if you took the time to respond, thank you! I greatly appreciate your time and feedback.

First, here’s the demographic data: 84 respondents (92%) work at doctoral-degree-granting institutions, 4 (4%) work at master’s-degree-granting institutions, and 3 (3%) work at bachelor’s-degree-granting institutions. Regarding the location of these institutions, 82 (90%) are in the United States, 4 (4%) are in Canada, 2 (2%) are in India, and each of the following countries had 1 respondent (1%): India, Nigeria, Afghanistan, and Bangladesh.

The final two questions were open-ended, so they received the most informative comments. Here’s the summary that Chat GPT provided.

Question 7: Why do you not send [embargo expiration] reminders? (74 responses)

The survey comments reveal a variety of perspectives on embargo management for electronic theses and dissertations (ETDs), but they share common themes:

1. Responsibility on Students: Many institutions emphasize that it is the student's responsibility to track their embargo dates and request extensions if needed. Several comments indicate that reminders or automatic systems are not in place, and students are expected to manage this themselves, especially after graduation when contact details may no longer be available or up-to-date.

2. Staff and Resource Limitations: Numerous respondents mention the lack of resources, staff, or infrastructure to send reminders or track embargoes. Several libraries and institutions point out that the workload is too heavy, particularly at large institutions with many students, and they do not have the capacity to monitor embargo dates manually.

3. Automated Systems and Limitations: Some institutions have automated systems that lift embargoes after a set period (e.g., 5 years), but these systems generally don't include functionality for sending reminders or tracking expiry dates. A few libraries also mention that their systems do not integrate well with other departments, making it difficult to maintain up-to-date contact information or manage embargo requests.

4. Graduate School Responsibility: In many cases, the Graduate School or equivalent body is responsible for managing embargo policies and decisions. Libraries generally follow the Graduate School's guidelines and are not involved in sending reminders. The Graduate School is often seen as the point of contact for students who want to extend an embargo.

5. Emphasis on Open Access: Some institutions express a preference for open access to theses and dissertations, which can conflict with the practice of embargoing content. As a result, embargoes are not actively encouraged, and extensions are considered rare or unnecessary. When extensions are requested, libraries tend to accommodate them but don't generally take proactive steps to manage or remind students of expiration dates.

6. No Current Mechanism for Reminders: Many respondents report that they do not have a system or process for sending reminders about embargo expiry. In some cases, it was simply never considered or discussed, and in others, it was deemed too resource-intensive to implement, given the limited staff and workload concerns.

In summary, while some institutions make it clear to students that they must manage their embargoes independently, there is a general lack of automated systems or staff resources to track and remind students about embargo expirations. Most institutions view embargoes as a personal responsibility for students, with limited intervention or follow-up from library staff.

Question 8: Please provide any comments, additional clarifications, or more information you'd like me to know. (41 responses)

The survey responses provide insights into institutional practices and evolving policies regarding embargoes for electronic theses and dissertations (ETDs). Here’s a summary of the key themes:

1. Changes and Variations in Embargo Policies:

· Increased Duration: Some institutions have recently extended the default embargo period. For example, one institution moved from a 1-year to a 2-year embargo for campus-only access, with the goal of reducing extension requests.

· Campus-Only vs. Full Embargoes: Some institutions have shifted from allowing "campus-only" access to full embargoes, requiring authors to justify their requests with validation information such as publishing agreements or patent applications.

· Extended Embargo Periods: A few institutions offer extended embargo options, often up to 5 years, especially for specific disciplines (e.g., creative writing, biomedical sciences). However, requests for embargoes beyond this, especially permanent ones, are rare and require special approval.

2. Approval and Extension Requests:

· Graduate School Oversight: Embargoes typically require approval from the Graduate School or relevant academic body. Many institutions emphasize that extension requests are reviewed on a case-by-case basis and must often be justified by valid reasons, such as journal publication or intellectual property protection.

· Manual Processes: Several responses indicate that the approval and extension process is still manual, with students needing to request changes directly. Some libraries expressed a desire for more automated systems to handle embargo expiration and extensions.

3. Challenges with Embargo Management:

· Lack of Automation: Many libraries do not have automated systems to track embargo expirations or send reminders. While some have flexible systems for embargo durations, tracking and notifying authors of upcoming expirations is often a manual process that is not consistently implemented due to staffing or resource limitations.

· Staffing Limitations: Several responses highlight that libraries do not have the staffing to actively manage embargo extensions or send reminders about expiration dates. This is particularly true for institutions with large graduate populations or limited library resources.

4. Student Responsibility:

· Author’s Responsibility: A common theme is that it is ultimately the student's responsibility to manage their embargo and request extensions as needed. Institutions often provide clear instructions and guidelines for students to follow, but they do not take on the burden of actively monitoring or reminding students about embargo expiration dates.

· Limited Communication: Some institutions send an initial email when an ETD is added to the repository, informing authors of their embargo dates and the fact that no reminder will be issued when it expires. However, this responsibility remains with the student to track and request any changes.

5. Open Access vs. Protection of Intellectual Property:

· Open Access Focus: Many institutions emphasize the importance of making ETDs publicly accessible and do not encourage long embargo periods unless there are clear and valid reasons (e.g., journal publication, patents). Some respondents voiced strong support for open access, arguing that authors from public institutions should share their work as a public good.

· Protection of Intellectual Property: Embargoes are more commonly requested in fields like creative writing, arts, engineering, and biomedical sciences, where intellectual property concerns such as publishing rights or patents are a priority. Creative writing and arts students are often allowed extended or even permanent embargoes, reflecting the value placed on protecting their work.

6. Requests for Reminders or Better Systems:

· Interest in Expiring Reminders: Several respondents expressed interest in systems that would automatically alert authors when their embargo is nearing expiration. However, they noted that implementing such a system would require automation, which is not currently in place or feasible given staffing constraints.

· Policy Revisions: Some libraries are actively revising their embargo policies to better address the needs of students, especially in response to requests for longer embargo periods or concerns about intellectual property. There is also interest in surveying student motivations for choosing embargoes to better understand the underlying reasons behind these requests.

7. Takedown Requests:

· Takedown and Withdrawal Requests: Some institutions face challenges with alumni or former students who request that their works be taken down after being published online, often when they realize their work is publicly available. This is particularly common in fields with strong intellectual property concerns. There is some confusion and inconsistency in how these requests are handled, with some institutions still working on clear policies regarding takedowns and withdrawal requests.

8. Special Circumstances:

· Exceptions for Creative Disciplines: Creative writing students, especially in MFA programs, are often given more flexibility in terms of embargo lengths and are sometimes allowed permanent campus-only access. This flexibility is largely driven by faculty concerns over protecting intellectual property or concerns about prior publication.

Summary Conclusion:

The key takeaway from these responses is that while most institutions have structured embargo policies, there is variation in how they are applied, tracked, and communicated. Many libraries struggle with the administrative burden of managing embargoes and extensions due to resource limitations, and there is a general reluctance to implement automated systems for managing embargo expiration. Students are typically expected to take responsibility for their embargoes, though some institutions are considering changes or improvements to their processes in response to evolving needs and challenges.

I hope this information is helpful. Please let me know if you have any questions.

Best regards,

Jody

Jody Bailey, MA, MLIS (she, her)

Emory University

I sometimes work flexibly and send emails outside normal office hours.

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Bailey, Jody Elizabeth

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Nov 15, 2024, 4:06:01 PM11/15/24

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Hi Marianne,

You’re welcome! There was actually a question on the survey that relates to your question but doesn’t contain exactly the information you’re seeking. It was, “What types of embargoes do you offer to your students? Check all that apply.” Responses:

The thesis or dissertation is closed to external audiences but open to campus users (either because they are logged into the repository or their request originates from a campus IP address): n = 25 (41%)
The thesis or dissertation is closed to all audiences: n = 51 (84%)

There was also an “Other” response option, and 6 people selected it. Here’s the Chat GPT rewrite of their comments:

The survey responses indicate a range of embargo options offered to students for theses and dissertations:

1. Metadata Availability: One institution makes metadata publicly available immediately but restricts access to the document until the embargo expires.

2. No Embargoes: One institution does not allow embargoes.

3. Campus-only Access: One institution allows no access to the document during the initial embargo period and optional campus-only access afterward. Students are responsible for notifying the institution that they want to take advantage of this option.

4. Specialized Embargoes: Specific policies exist, such as a 7-year embargo for creative writing students, with physical copies available in Special Collections afterward (onsite viewing only).

5. Legacy Policies: Some institutions maintain a mix of campus-only, closed, and timed embargoes due to legacy policies that are no longer actively offered but remain honored.

The policies vary in terms of duration, accessibility, and handling of the document post-embargo.

There was not a response choice for not making metadata available until after the embargo period, and no one commented that they engage in this practice.

Hope this helps,

Jody

Jody Bailey, MA, MLIS (she, her)

Emory University

I sometimes work flexibly and send emails outside normal office hours.

No need to respond to my emails outside yours.

From: irman...@googlegroups.com <irman...@googlegroups.com> On Behalf Of Reed, Marianne A.

Sent: Thursday, November 14, 2024 2:57 PM
To: irman...@googlegroups.com; e...@ndltd.org; aserlsc...@aserl-lists.org

Subject: RE: [External] [irmanagers] RE: ETD embargoes: Brief survey

Jody, thank you for sharing the results of your survey!

Do you have any sense from the survey responses the percentage of institutions that do embargoes that allow campus-only full online access to the work vs. those that do either metadata-only online access for everyone or that don’t make the metadata/file(s) available at all until the embargo expires?

Best,

Marianne Reed

Marianne Reed (she/her/hers)

Digital Publishing & Repository Manager

Watson Library, Room 470-G

University of Kansas Libraries

mr...@ku.edu

785-864-8913

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Bailey, Jody Elizabeth

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Nov 15, 2024, 7:01:12 PM11/15/24

to Jonah McAllister-Erickson, irman...@googlegroups.com, e...@ndltd.org, aserlsc...@aserl-lists.org

Hi Jonah,

I did not ask about platforms at all. At Emory, we have a locally developed repository for ETDs that uses Hyrax (here’s a case study on the creation and 2017 launch of our ETD repository, which took place before I arrived at Emory in 2018). It does provide an option to restrict files to campus-only access, but we have not offered that option to users in the past. Our non-ETD repository, OpenEmory, which until about a year ago was strictly for faculty research but has been opened up to include works from all campus researchers including students, is undergoing redevelopment. The current version is ancient in technology terms. It was launched in 2012 and still uses Fedora 3, which has been deprecated. The new OpenEmory will also use Hyrax, and my office and our IT colleagues working on the development will launch it in March 2025. More than you wanted to know, I’m sure.

If I decide to further develop this research and do a more formal survey, I will bear in mind what you describe below and attempt to be very clear in the language I use since “embargo” can have different meanings in different user communities.

Best,

Jody

Jody Bailey, MA, MLIS (she, her)

Emory University