New Frontiers of Electronic Theses and Dissertations

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Peer Reviewed

This is a peer-reviewed entry published in Encyclopedia Journal, full entry can be found at 10.3390/encyclopedia5010006

(1) Background: Since the 1990s, theses and dissertations—a key part of scientific communication—have evolved significantly with advances in information and communication technologies. (2) Methods: This study reviews 99 publications examining these changes, drawing insights from international conferences and empirical studies in the field. (3) Results: Historically, a major challenge in managing PhD theses has been the shift to electronic formats, resulting in the creation of electronic theses and dissertations (ETDs). This shift involves four main tasks: adopting new digital formats, updating institutional workflows between departments, graduate schools, and academic libraries, implementing updated bibliographic standards (such as metadata and identifiers), and utilizing new tools and channels for distribution. With open science becoming a widespread research policy across many countries and institutions, ensuring open access for ETDs is an added challenge—though a substantial portion of ETD content remains restricted to institutional or library networks. Today, ETD management is on the brink of a new era, with advancements in data-driven science and artificial intelligence. (4) Conclusions: The development of ETDs varies significantly across different countries, regions, and institutions due to technological, organizational, and legal differences. It is essential for academic libraries and other stakeholders to address the challenges identified while considering these variations.

electronic theses and dissertations digitization open access institutional repositories research data metadata artificial intelligence academic libraries higher education institutions library and information science

After the emergence of the first universities in the 12th and 13th centuries, scholastic education and having a degree became a pathway to career opportunities ^[1]. However, assessing students for qualifications and degree attainment posed a challenge. Various methods were employed to evaluate students, including asking questions ^[2]. Another approach involved requiring a comprehensive scientific investigation known as a thesis or dissertation. While the first theses and dissertations (TDs) were written in Europe, the first dissertation in America was completed in 1861 at Yale University ^[3].

TDs, created at the culmination of a period of study and research, remain a core requirement for higher academic degrees, particularly the PhD and Masters. Being the outcome of “focused, extensive and in-depth research work of several years, involving intellectual labour by scholars and their supervisors” ^[4], they are rich and unique sources of scholarly information, a vital part of the historical record of graduate education at higher education institutions, and regarded as the “bedrock of graduate education” ^[4]^[5]^[6].

Twenty-five years ago, the worldwide production of TDs was estimated at at least 100,000 each year and up to 200,000 when considering all countries ^[7]. Yet, precise estimates are difficult. The ProQuest Dissertations and Theses Global database increases in size by 250,000 works each year (PQDT: https://about.proquest.com/en/products-services/pqdtglobal/, accessed on 13 November 2024), while the Bielefeld Academic Search Engine references annually 170,000 to 180,000 doctoral and postdoctoral theses (BASE: https://www.base-search.net/about/en/index.php, accessed on 13 November 2024).

Despite the significant number of TDs created annually and their valuable content, these works have often been difficult for academic communities to find and access. Many TDs remain locked away in library shelves or published in formats that are not easily discoverable. Peter Suber described TDs as “the most invisible form of useful literature and the most useful form of invisible literature” ^[8]. In their print form, “the vast majority of these works languish in obscurity in college and university libraries and archives” ^[5]. This lack of visibility limits their potential impact on research and society.

However, both the form and content of TDs have evolved significantly since the 1990s, presenting new challenges where the electronic format plays an important role ^[9]. The move from print to electronic theses and dissertations (ETDs) has been described as a “global move” with significant advantages for all stakeholders, like a “better preparation for the up-and-coming community of young researchers […]; increased visibility of individual as well as university research […]; and broader collaboration inside and among universities”—in short, “a ‘win-win’ situation (where) everyone saves money and receives benefits” ^[10].

The shift from print to digital was enabled by decades of effort from academic librarians, computer scientists, scholars, and students. This transition sparked conversations about format, workflows, metadata, preservation, and dissemination, with significant support from professional and academic networks such as NDLTD (Networked Digital Library of Theses and Dissertations: https://ndltd.org/, accessed on 13 November 2024) and USETDA (United States Electronic Thesis and Dissertation Association: https://www.usetda.org/, accessed on 13 November 2024). Numerous conferences, seminars, workshops, and training materials have contributed to these discussions ^[3]. Also, there is a growing body of research on ETDs, articles, conference papers, and other sources especially in the fields of computer and social sciences, with a focus on digital libraries and institutional repositories, which are useful in understanding ETDs ^[11]^[12].

For more than 15 years, the digital world has become the “new normal” ^[13]. Also, the environment and the challenges for the production, management, and usage of TDs have fundamentally changed. This review offers an analysis of the evolution of ETDs across three key phases: the transition from print to digital, the shift toward open access, and the growing significance of data. The conclusion presents recommendations for future practice and research on ETDs, with a particular focus on the role of artificial intelligence (AI).

References

Haskins, C.H. The Rise of Universities; Cornell University Press: New York, NY, USA, 1957.
Moxley, J.M. Universities Should Require Electronic Theses and Dissertations. Educ. Quaterly 2001, 3, 61–63.
Loan, F.A.; Shah, U.Y. Global electronic thesis and dissertation repositories—Collection diversity and management issues. Insights UKSG J. 2020, 33, 22.
Fineman, Y. Electronic Theses and Dissertations. Portal Libr. Acad. 2003, 3, 219–227.
Hartsock, R.; Alemneh, D.G. Electronic Theses and Dissertations (ETDs). In Encyclopedia of Information Science and Technology, 4th ed.; Mehdi Khosrow-Pour, D.B.A., Ed.; IGI Global: Hershey, PA, USA, 2018; pp. 6748–6755.
Fox, E.A.; McMillan, G.; Eaton, J.L. The Evolving Genre of Electronic Theses and Dissertations. In Proceedings of the 32nd Annual Hawaii International Conference on Systems Sciences (HICSS-32), Maui, HI, USA, 5–8 January 1999.
Suber, P. Open Access to Electronic Theses and Dissertations. DESIDOC J. Libr. Inf. Technol. 2008, 28, 25–34.
Bostock, W.W. The Challenge of the Paperless Thesis: Issues in the Implementation of a Regime of Electronic Theses and Dissertations. In Virtuality and Education. A Reader; Preston, D.S., Nguyen, T.H., Eds.; Brill Academic Pub: Oxford, UK, 2004; pp. 68–71.
Fox, E.A.; McMillan, G.; Srinivasan, V. Electronic Theses and Dissertations: Progress, Issues, and Prospects. In Putting Knowledge to Work and Letting Information Play: The Center for Digital Discourse and Culture; Luke, T.W., Hunsinger, J.W., Eds.; Center for Digital Discourse and Culture, Virginia Tech: Blacksburg, VA, USA, 2009; pp. 124–148.
Bailey, C.W., Jr. Electronic Theses and Dissertations Bibliography, Version 4; Digital Scholarship: Houston, TX, USA, 2009; Available online: http://eprints.rclis.org/13679/ (accessed on 12 November 2024).
Bansal, M.; Bansal, J. Electronic Theses and Dissertations (ETDs): A Scientometric Evaluation of Global Publications Output during 1996-2017. Int. J. Libr. Inf. Netw. 2019, 4, 2455–5207.
Hinssen, P. The New Normal. Explore the Limits of the Digital World; Across Technology: Gent, Belgium, 2010.

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