Tenth Annual Instructional Technology Conference
Middle Tennessee State University

Building Communities of Learners
“Creating the First eDissertation at the University of Memphis”
Monday, April 4, 1:15pm, 2005


Jeffrey W. Kirk, Ed.D. Assistant Professor of Music; College of Visual and Performing Arts, Belmont University; Director of Events Administration/Coordinator of Commercial Music
James I. Penrod, Ed.D. Professor of Leadership; College of Education, University of Memphis; AT&T Fellow, Advanced Learning Center, FedEx Institute of Technology                            Senior Fellow, EDUCAUSE Center for Applied Research
Roy W. Bowery; Center for Academic Excellence, University of Memphis;                     Academic Technology Consultant II


Abstract
The first electronic dissertation was completed at the University of Memphis in the Fall of 2004. This session provides insight into the process of its creation from the perspective of the student, faculty and technical staff. Procedures were modified requiring cooperation between the Provost’s office, Graduate School, College and Department, Library, the Information Technology Division, the dissertation committee, and the student.

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Creating the First eDissertation at The University of Memphis





Introduction

      	Drucker (1995) writes, “In the next 50 years schools and universities will change more and more drastically than they have since they assumed their present form more than 300 years ago. . . every organization has to prepare for the abandonment of everything it does” (p. 79). The present economy is driven—and it is predicted will be driven in the future—by knowledge, the knowledge our students must have to be successful in their chosen career paths and lives (Oblinger & Katz, 1999, p. 302). To help prepare for the inevitable changes referred to by Drucker and utilize a new research presentation format to help provide students an alternative to current methods, the first eDissertation at the University of Memphis was developed.  
      The new format included the use of multi-media, online 24/7 access to the research, and a purposely planned move away from the current format used to present research. The student researcher began by examining alternative methods for creating and presenting research. This was followed by the identification of an appropriate presentation format and creation of a team to support this defined alternative research presentation method. To begin the process, a definition of the proposed alternative method was presented to the team by the student researcher. According to Francis Hesselbein (1997), editor-in-chief of Leader to Leader, you should “define success before you start.” The completed study followed Hesselbein’s advice and used the necessary factors for creation of the eDissertation identified through research and through input from team members to create the eDissertation.
      
      
      Historical Perspective
      	In 1987 a meeting in Ann Arbor was arranged by UMI (originally known as University Microfilms) to discuss Electronic Theses and Dissertations (ETD). Representatives of Virginia Tech, University of Michigan, SoftQuad, and ArborText were in attendance. Virginia Tech funded the first Standardized General Markup Language (SGML) Document Type Definition (DTD) development that was created by SoftQuad. Virginia Tech has continued to be a front runner in the area of electronic thesis and dissertation since the 1987 meeting (NDLTDA, 2005). 
      “While a number of universities have explored this idea to some degree in the intervening years, only recently has technology been available to support a federated effort in this direction” (NDLTD, 2003). An initiative to develop a “Networked Digital Library of Theses and Dissertations (NDLTD)” (NDLTD, 2005) was led by Virginia Tech. The library created will ultimately “include millions of full-text or even hypermedia documents” (NDLTD, 2005). 
	Support has been provided by IBM, Microsoft, Adobe, NSF, World Bank, National Library of Canada, SOLINET, CIC (Big 10), and the University Thesis Online Group in the United Kingdom (NDLTD, 2005).  
	Due to the large and detailed nature of dissertations, publishers will not be hurt through the free access to EDTs, according to Fox & McMillan (NDLTD, 2005). According to the Chronicle of Higher Education:
Virginia Tech says that if enough institutions adopt the idea, the improved access should lead to greater use of the hundreds of thousands of theses and dissertations completed each year, establishing them as a "new genre" of widely distributed research. Electronic submissions also would jazz up graduate work, officials here say, by allowing students to include sound and video clips, interactive simulations, and more color illustrations than are possible on paper. (Chronicle of Higher Education, 2003a). 
      While initial concerns regarding potential diminished abilities by authors to publish using work in the new medium resulted in a combination of traditional dissertations and ETDs, the project at Virginia Tech has proved to be successful. “The university has put about 700 theses and dissertations on line, and a few titles have been flying off the digital shelves” (Chronicle of Higher Education, 2003). A form was developed by Virginia Tech to allow students and their committee’s control of how each eDissertation is published. The form includes: limited publishing to the local academic community; limited publishing to the committee, student, and appropriate administrators; and open access to anyone anywhere.
      Additional concerns included concern for the increase in plagiarizing students’ dissertations. This was addressed by William A.T.Clark, Associate Dean of the Graduate School at Ohio State University. Clark stated that “. . . Publishing the dissertations online will help foil plagiarists because more people will have access to the dissertations and be able to recognize when portions of them are copied elsewhere” (Chronicle of Higher Education, 2003b). 
What is an ETD?
	When the ETD was initially examined by Virginia Tech, the creation of an appropriate definition was the first objective. The current definition is as follows:
* An ETD [Electronic Theses and Dissertations] is an electronic document that explains the research of a graduate student. 
* The ETD is similar to its paper predecessor. It has figures, tables, footnotes, and references. It has a title page with the authors' name, the official name of the university, the degree sought, and the names of the committee members. 
* It documents the author's years of academic commitment. 
* It describes why the work was done, how the research relates to previous work as recorded in the literature, the research methods used, the results, the interpretation and discussion of the results, and a summary with conclusions (ETD, 2005). 
   The differences between a traditional thesis and an eDissertation include three main points. An eDissertation, (a) provides more access for research and is available 24/7 worldwide; (b) is less expensive to authors and libraries due to no paper costs and no need for physical storage space; and (c) provides expanded possibilities for presentation of research including use of multimedia, hyperlinks, and many diverse opportunities for presentation of data (ETD, 2005). 
The Student Researcher’s Driving Force
	Traditional dissertations have been created and formatted to conform to a process implemented long ago based on the use of the typewriter. This format did not provide for inclusion of multimedia such as video and audio presentations, dynamic tables and flow charts that include imbedded links and color highlights, virtual creations from computer-based programming, and PDF files that allow for rapid access to specific information via bookmarks. The invention and application of the computer has radically changed the options for the presentation of information. Opportunities provided by this technology did not exist when the initial dissertation format was conceived. The options have changed to reflect the great strides in technology, but the process for the creation of a dissertation still reflects the use of an antiquated machine. If the dissemination of new and important information to enhance the field is the goal of doctoral research, then the use of all available technology to present the data needs to be considered. The use of the internet can provide instant access to knowledge 24 hours a day and seven days a week at the touch of a mouse. Information can be easily accessible and the presentation can be enhanced by using tools that have developed over time through continuing evolution of the information technology field.
	The student researcher of this first eDissertation at the University of Memphis discovered the ETD process after reading an article in the Chronicle of Higher Education. The researcher immediately examined the work done at Virginia Tech referred to in the article. Two impressive studies were found. The first was created by an architectural doctoral student. This student utilized a computer enhanced program that created a virtual building based on his research. The completion of the dissertation revealed a virtually created finished building reflecting the tremendous potential of this new technological methodology (Chronicle Higher Education). 
	The second student was a doctoral music student. This student discussed the implications of works for the French horn on a variety of musical selections. At the close of each musical example, an audio file could be accessed to provide the listener an opportunity to “hear” the piece. Her inclusion of audio files with the research data provided a greatly enriched experience for the reader (Chronicle Higher Education).
	The project undertaken in Memphis was to include video footage of several Music Industry Leaders from the Nashville, Tennessee area. The information was transcribed and analyzed using quantitative and qualitative methods. The transcriptions provided valuable information, but the body language of each interviewee could not be examined without access by the reader to the video footage. In addition, various charts and graphs used color to assist the reader in gaining immediate information easily and in a user-friendly environment. The use of enhanced visual and aural presentation material created the potential for deep learning probably not achievable with a traditional dissertation. The decision to move into the eDissertation area was a simple one for the student researcher. The implications of this decision, however, were broad reaching and will be discussed next.
The Decision Making Process 
Creation of the Process
	The student researcher discussed possible creation of the eDissertation with his committee chair. The chair, at that time, was Vice President of Information Technology and CIO of the University as well as a Professor in Higher and Adult Education Leadership. This dual role enabled the decision making process to move somewhat smoother than would have been possible otherwise. The chair discussed the possibility of the project with the Provost who was very supportive of the idea. The Provost, in turn, talked with the Dean of Libraries and the Associate Vice Provost of the Graduate School. Between the Provost and the CIO authority rested enabling approval to proceed with the development of the first eDissertation at the University of Memphis.  
      After giving support to move ahead with the eDissertation, the committee chair helped identify a team of individuals at the university that could further examine the feasibility of the project and provide necessary institutional support. The team included the Associate Vice Provost of the Graduate program, two members from the Information Technology Department (ITD) representing basic technological support and advanced logistical support, a member from the library, the format editor for the graduate school, the committee chair, and the student.
	Several meetings were held and many issues discussed including format, organization of the files and chapters, creation of a front matter grid, team members and areas of involvement, and the interaction with ITD. The revised format would include the use of (a) global page settings; (b) page numbering as per APA; (c) one inch margins; (d) single spacing to adhere to a more electronic journal format; (e) 12 pt. Times New Roman font; and (f) APA headings. In addition, spacing between headings and paragraphs would be double spaced to follow the electronic journal format.
The role of ITD in the Process
	To manage the development of technology for providing UofM’s eDissertation service, the Information Technology Division (ITD) developed a task force of four members from the following departments:
1. Web Services (the unit manager): Setup of web server to accommodate dissertation documents
2. Internet2 (an Internet2 technician): Setup of media server to accommodate digital media
3. Advanced Learning Center (two Academic Technology Consultants): coordinating eDissertation setup between Provost, doctoral candidate and chair, and ITD task force. 
	The ITD task force determined the document and media format, the transfer of such files to the appropriate Internet servers, and the testing of documents and media through web connections to those servers. After extensive experimentation, the following format was selected as the best for this particular dissertation (but not necessarily for most dissertations). The dissertation would consist of five elements:
1. Electronic Thesis & Dissertation (ETD) Repository front piece: The front piece would serve as a description of the eDissertation with an interactive table of contents hyperlinked to the database of web contents. Macromedia Dreamweaver HTML editor was used to create the front piece, which can be found at http://etd.memphis.edu/etd_display.php?ref_id=20040001. Said document will serve as a template for future eDissertations, which will reside on the UofM Electronic Thesis & Dissertation (ETD) server (etd.memphis.edu)
2. eDissertation Document: The actual paper was originally created with Microsoft Word and converted to Portable Document Format (PDF) by the candidate. Each chapter became a separate PDF file. All related chapter PDFs were transferred to the ETD server. 
3. Interview Videos: The interview digital videos were transferred to a QuickTime format, using Final Cut Pro video editing software. The final video settings used were MPEG 4, 30 frames per second (TV quality), 90 key frame rate, 320x240 screen resolution and hinted streaming (i.e., self-contained). Audio settings were 44 kHz, stereo and 16 bit per second. Total data flow was 512 kilobyte per second (kps), which meant the intended audience would need a broadband connection for proper viewing. Such media was loaded onto UofM’s existing streaming media server (media.memphis.edu).
4. Interview Audio Files: Each video was converted to an audio only file for viewing by those not on broadband connections. Such files were in QuickTime format, hence would be played using the same QuickTime player.
5. Media Reference Files: Because the media was in QuickTime format, our media server (Helix Universal Media Server) required a type of meta file called a reference file to instruct the viewer’s browser how to play the media using the QuickTime player. These files also had to be loaded on the media server and were the targeted files of the front piece’s hyperlinks.
	After all elements were loaded on the appropriate servers, extensive testing was conducted using PC computers with Windows XP platform and Macs using OS X. Various users viewed the files with various browsers (i.e., Internet Explorer, Netscape Navigator, Safari and Opera). Upon successful completion of field testing and making appropriate corrections in the server and file formats, the eDissertation was confirmed to the candidate as ready for presentation.
The team determined that each file would be individually placed into the UMDrive by the student. The final version of the files including video would be uploaded into the server. Access to the UMDrive was created for the student and a workable URL for the server including assigned space was created by ITD. A grid was initially created by the student based on the Virginia Tech model for the front matter. This grid was then placed into an electronic domain for eventual access by future students. The grid would allow future students to simply fill in the applicable areas without creating a new format.
Administration of the Process
	The administration of the process included input from all team members by area. All operations were monitored by the committee chair. The format editor worked with the student to identify problem areas that would need new solutions to meet the electronic standards. This included spacing, table configuration, and headings. ITD representatives worked to create appropriate formats for the video. The student would eventually send a partially formatted hard drive to ITD for downloading of the video to the UMDrive. The final process for downloading required financial assistance from the Associate Provost and the Graduate School.
	The library representative researched and provided information to the format editor regarding UMI guidelines. The student filled out appropriate forms to assure that copyright and all formal UMI requirements were met. UMI required the final submitted eDissertation to be in one document. The use of a new feature of the PDF format allowed the individual chapters to be merged and solved this problem. If this solution had not been possible, format issues were at risk and experimentation with the merging of documents proved to be complicated and disastrous to given formats.
Additional Aspects
	Many seemingly simple aspects of the eDissertation required additional time and effort by the team. The student identified the appropriate cameral icon seen throughout the project that would denote access to the video. The process of identification required research using multiple websites. This icon was then made active by ITD, a process not easily completed. Creation of bookmarks in the various PDFs were researched and implemented. Support of essential but mundane tasks such as downloading video files proved to be time consuming and required multiple hours of technician management. This required the assistance of additional technicians from an academic department and raised the initial cost of the project. ITD and the Graduate School provided the additional funds needed to complete the project.
The Final eDissertation
The Goal
	The goal was to create a document that was user-friendly and that maintained all aspects of a scholarly work. The final eDissertation was a product of teamwork that required multiple interactions between the student and all constituents. It was a product where questions were answered as the questions were discovered many times without clear or straight-forward solutions. Finally, it was a new beginning that begins to position The University of Memphis as one of relatively few universities capable of and willing to embrace ETD creation and usage. 


Questions which Remain to be Answered
	There are still questions that must be answered by the university or by any higher education institution which may wish to undertake this process. These questions include:
* How will the ETD process be funded?
* Will video or any other multimedia be allowed?
* What are the specific guidelines for graduate students for document submission and multimedia submission?
* Will appropriate computer programs be available to students for use or low price purchase as needed to provide proper submission documents?
* How will graduate students who wish to create ETDs receive training and who will train these students?
* Who will oversee the process?
* What are the responsibilities of ITD?
* The creation of the access form is still needed to address publishing concerns. What will be the look of this form?
Conclusions
	Higher education institutions have a great opportunity to support the creation of new and innovative electronic theses and dissertations that include cutting edge technology and are limited only by the imagination and research of the student. What is needed is proper support and a plan that will utilize a basic format that encourages innovation while acknowledging the inevitable change that will come over time. The need for a carefully thought out planning process in any higher education institution can not be underestimated when moving from traditional dissertations to eDissertations and theses. Without a plan involving key stakeholders, the process will not likely succeed. Given such a plan and good implementation of it eDissertations hold the promise of addressing at least a half dozen of the 16 principles that promote learning (Kline and Saunders, pp. 16-19, 1998).  These include:
1. There must be willingness to rework organizational systems and structures of all types. Few structures are more rigid than those that have historically been utilized by academic institutions for many years. An eDissertation is a major reworking of an organizational system.
2. Accomplish as much transfer of knowledge and power from person to person as possible. Dissertations in general are designed for this—eDisertations should do it even better.
3. Encourage and teach learners to structure their own learning, rather than structure it for them. Creating an eDissertation certainly is a meaningful process of a learner structuring their own learning.
4. Recognize and accept as a goal the complete liberation of all human intelligence everywhere.  An eDissertation provides opportunities for the liberation of intelligence of the doctoral learner not available traditionally.
5. Recognize that different learning preferences are alternate tools for approaching and accomplishing learning. Maximum allowance for one to learn in their own most effective manner is offered with an eDissertation. 
6. Encourage people to discover their own learning and thinking styles and make them accessible to others. The more learning styles are shared with each other, the more a basis for better communication is built. Optimal learning is a process of self management of one’s own learning. Creating an eDissertation directly addresses both of these observations.
	The advantages in the use of an eDissertation are many. The challenges also are many. Final decisions must include an examination of the purpose of the dissertation. If the business of higher education is human development (Chickering, 1981, p. 11) and the encouragement of life-long learning is part of the vision of higher education institutions, then the use of eDissertations should help the student present research in a unique manner. This format is suited to immediate access to information that would be a part of the conceptual plan for encouraging these goals. Drucker’s (1995) comments regarding change and the need for abandonment of what has come before must be considered when reflecting on the use of new technologies to enhance the presentation of data and research. The University of Memphis has taken a significant first step with the creation of its first eDissertation toward enabling the student to access the world with opportunities to share findings to encourage learning.
      
      
      
      
      
      
      
      
      
      
      
      
References
Chickering, A. W. (1981). Introduction: The modern American college. San Francisco: Jossey-Bass.
Chronicle of Higher Education (2003a). Retrieved April 29, 2003, from http://chronicle.com/colloquy/98/thesis/background.htm
Chronicle of Higher Education (2003b). Retrieved May 16, 2003, from http://chronicle.com/daily/2003/05/2003051502t.htm 
Drucker, P.F. (1995). Managing in a time of great change. Dutton, NY: Truman Talley Books.
ETD (2005). Retrieved February 26, 2005, from http://etd.vt.edu/background/whatis.html 
Hesselbein, F., & Cohen, P.M. (1997). Organizations of the future. San Francisco: Jossey-Bass.
Kline, P. & Saunders, B. (1998) Ten Steps to a Learning Organization, Second Edition, Arlington, VA: Great Ocean Publishers.
NDLTD (2003). Retrieved April 29, 2003, from http://www.ndltd.org/info/descr.htm
NDLTD (2005). Retrieved February 26, 2005, from http://www.ndltd.org/info/description.en.html 
Oblinger, D.G., & Katz, R.N. (1999). Renewing Administration: Preparing Colleges and Universities for the 21st Century. Bolton, MA: Anker Publishing Company, Inc. 



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