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The case of electronic theses and dissertations", "creators": [ { "creatorType": "author", "firstName": "Joachim", "lastName": "Schöpfel" }, { "creatorType": "author", "firstName": "Hélène", "lastName": "Prost" } ], "abstractNote": "Abstract: The open access (OA) principle requires that scientific information be made widely and readily available to society. Defined in 2003 as a “comprehensive source of human knowledge and cultural heritage that has been approved by the scientific community”, open access implies that content be openly accessible and this needs the active commitment of each and every individual producer of scientific knowledge. Today, the success of the open access initiative cannot be denied. Yet, in spite of the growing success of the open access initiative, a significant part of scientific and technical information remains unavailable on the web or circulates with restrictions. Even in institutional repositories (IR) created to provide access to the scientific output of an academic institution and central vector of the so-called green road to open access, more or less important sectors of the scientific production are missing. This is because of lack of awareness, embargo, deposit of metadata without full text, confidential content etc. This problem concerns in particular electronic theses and dissertations (ETDs) that are disseminated with different statuses – some are freely available, others are under embargo, confidential, restricted to campus access (encrypted or not) or not available at all. While other papers may be available through alternative channels (journals, monographs etc.), ETDs most often are not. Our paper describes a new and unexpected effect of the development of digital libraries and open access, as a paradoxical practice of hiding information from the scientific community and society, partly while sharing it with a restricted population (campus). We try to explain these different shades of grey literature in terms of different degrees of secrecy related to intellectual property, legitimate interests, expected exploitation and trade secrets, and suggest some ways of increasing availability of ETDs in an open environment (inter-lending loan and document supply, alternative format etc.). The study builds on a review of recent papers on ETDs in institutional repositories and provides empirical evidence on this reality. The study also includes an overview of the thesis mandate policies of IR as mentioned in the ROARMAP directory and an evaluation of the availability of ETDs in a small panel of European and American academic IR, networks and institutions. Keywords: electronic theses and dissertations, scientific information, open access, secrecy, embargo *** Résumé : Le principe du libre accès exige que l'information scientifique soit largement et facilement disponible pour la société. Défini en 2003 comme une « source de la connaissance humaine et du patrimoine culturel qui a été approuvé par la communauté scientifique », le libre accès implique que les contenus soient librement accessibles, ce qui nécessite l'engagement actif de chaque producteur de la connaissance scientifique. Aujourd'hui, le succès de l'initiative d'accès ouvert est indéniable. Pourtant, en dépit du succès grandissant de l'initiative du libre accès, une partie importante de l'information scientifique et technique reste indisponible sur le web ou circule avec des restrictions. Même dans les dépôts institutionnels (IR) créés pour fournir un accès à la production scientifique  académique et considérés comme le vecteur central de la « voie verte » pour ouvrir l'accès, des pans  plus ou moins importants de la production scientifique sont portés disparus. Cette situation s’explique du fait d’un manque de prise de conscience, d’un embargo, d’un contenu confidentiel ou du dépôt de métadonnées sans lien vers le texte intégral, etc. Ce problème concerne en particulier les thèses et mémoires électroniques (ETD) qui sont diffusés sous différents statuts - certains sont disponibles gratuitement, d'autres sont sous embargo, confidentiels, en accès restreint sur le campus (crypté ou non) ou ne sont pas du tout disponibles. Alors que d'autres documents peuvent être disponibles via d'autres canaux (journaux, monographies, etc.), les thèses et mémoires électroniques le plus souvent ne le sont pas. Notre article décrit un effet nouveau et inattendu du développement des bibliothèques numériques et du libre accès : nous arrivons à une situation paradoxale où l’information est cachée aux yeux de la communauté scientifique et de la société, alors qu’elle est partiellement disponible pour une population restreinte (campus). Nous essayons d'expliquer ces différents visages de la littérature grise en termes de différents degrés de confidentialité, liés à la propriété intellectuelle, aux intérêts légitimes, aux restrictions d’exploitation commerciales. Nous suggérons quelques pistes pour accroître la disponibilité des thèses et des mémoires électroniques dans un environnement ouvert (prêt entre bibliothèques et fourniture de documents, autre format, etc.) L'étude s'appuie sur une analyse des études récentes relatives aux thèses et mémoires dans des archives institutionnelles et fournit des données empiriques illustrant  cette réalité. L'étude comprend également un aperçu des politiques de dépôt des thèses dans les archives institutionnelles, d’après les informations fournies par le répertoire ROARMAP, puis l’article propose une évaluation de la disponibilité des thèses électroniques au sein d’un petit panel rassemblant des archives institutionnelles, des réseaux et des établissements américains et européens. 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Défini en 2003 comme une ' source complète de la connaissance humaine et du patrimoine culturel approuvés par la communauté scientifique' , le libre accès implique que le contenu soit librement accessible et ceci nécessite l'engagement actif de chacun des producteurs de la connaissance scientifique . Pourtant , malgré le succès croissant de l'initiative du libre accès , une partie importante de l'information scientifique et technique reste indisponible sur le web ou circule avec des restrictions d'accès . Même dans les dépôts institutionnels créés pour fournir un accès à la production scientifique d'un établissement d'enseignement , des secteurs plus ou moins importants de la production scientifique sont absents . Plusieurs raisons expliquent ce phénomène : le manque de prise de conscience , les embargos , le dépôt de métadonnées sans texte intégral , un contenu confidentiel etc .Ce problème concerne en particulier les thèses et mémoires électroniques qui sont diffusés sous différents statuts - certains sont disponibles gratuitement , d'autres sont sous embargo , sont confidentiels , ont un accès limité au campus ( chiffré ou non ) ou sont totalement indisponibles . Alors que d'autres documents peuvent être disponibles via d'autres canaux ( revues , monographies , etc ) , les thèses électroniques, le plus souvent, ne le sont pas . Notre communication décrit un effet nouveau et inattendu du développement des bibliothèques numériques et du libre accès : cette pratique paradoxale qui consiste à cacher l'information scientifique , tout en la partageant auprès d'une population restreinte ( campus ) . 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