and the Publishing Landscape Gail McMillan Director Digital Research and Scholarship Services Professor University Libraries Virginia Tech UCSB May 5 2014 Comprehensive Study of National ETD Practices Gail McMillan Shannon Stark and Martin Halbert US ETD Association Confer ID: 538189
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Slide1
ETDs and the Publishing Landscape
Gail McMillan
Director, Digital Research and Scholarship Services
Professor, University Libraries, Virginia Tech
UCSB, May 5, 2014Slide2
“Comprehensive Study of National ETD Practices.” Gail McMillan, Shannon Stark, and Martin Halbert. US ETD Association Conference, Claremont, CA, July 24, 2013. “
Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the
Sciences?”
Marisa L.
Ramirez,
Gail McMillan,
Joan T. Dalton, Ann Hanlon, Heather S. Smith, Chelsea Kern. Accepted for publication by
College & Research
Libraries,
anticipated publication date: Jan. 1, 2014. Preprint:
http://crl.acrl.org/content/early/2013/09/20/crl13-524.abstract?sid=6bdd5bb4-a0da-48ef-829f-10923ded4183
“Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Social Sciences and Humanities? Findings from a 2011 Survey of Academic Publishers.” Marisa L. Ramirez, Joan T. Dalton, Gail McMillan, Max Read, and Nancy H. Seamans.
College & Research Libraries,
July 2013, 368-380
.
http://crl.acrl.org/content/74/4
Earlier (2000-2003) publications about
p
ublishers attitudes
towards
ETDs:
http
://scholar.lib.vt.edu/copyright/cprtetd.htmlSlide3
2013 Comprehensive Study of ETD Practices161 institutions73% US27% International
93% have ETD programs
69% mandatory ETD submission
Will be a repeated every two yearsSlide4
Are surveyed institution’s ETDs publically available?Slide5
Do surveyed institutions temporarily limit ETDs to university-only access?Slide6
Why do surveyed institutions limit ETDs to university-only access?Slide7
Do surveyed institutions embargo ETDs?“withholding an ETD from all access”Slide8
How long do surveyed institutions embargo ETDs?Slide9
Why do surveyed institutions embargo ETDs?Slide10
2011-2012 Publishers’ SurveysThe Primary Research Question
Which of the following statements best reflects the editorial policy or practice governing your enterprise?
Manuscripts
that are revisions derived from openly accessible electronic theses and dissertations (ETDs) are
…
Always welcome for submission. Slide11
2011 Social Sciences, Arts and Humanities ETD Survey75 (12% of 615) social sciences and arts and humanities journal editors
53 (40% of 131) AAUP press directors
17% response rate (128/764
)Slide12
SoSci/Arts/Hum publishers’ responses to “Manuscripts which are revisions derived from openly accessible ETDs are...”Slide13
sible ETDs are… SoSci/Arts/Hum Journal and Press Responses:
“Manuscripts which are revisions derived from openly accessible ETDs are...”Slide14
“We normally consider theses or dissertations for publication only if the author is willing to revise them for a broader audience; this is our practice regardless of the availability of an ETD.”
“
All essays go through extensive review and revision process, so even if the starting point is out there, the final product is not.
”
“
A chapter of a thesis or dissertation will virtually never be suitable as an article in my journal. Authors will often have to contextualize their discussion and explain the implications of their conclusions. And authors will often find that, after completing a dissertation, they are able to refine the argumentation a bit as well.
”
“The
editorial review and publication process entails substantial refinement and revision of works that originate as part of doctoral work and thus we do not consider raw dissertations as competing with the works eventually published under our imprint.
”
Comments: Social Sciences/Humanities SurveySlide15
“We do not consider the dissertation to be the equivalent of a book. It is student work; a book is professional work.
”
“
Dissertations have never counted as publications… A pdf of an unpublished work is still an unpublished work.
”
“
Prior availability through an IR is not usually the deciding factor. We are more interested in the quality of the work, how well it fits with our list, and whether it deserves wider dissemination and promotion.
”
“
The American Psychological Association, which publishes over 40 journals across psychology, has an official policy that theses/dissertations, even if archived at a university site, are not counted as prior publication.
”
Comments: Social
Sciences/Humanities
SurveySlide16
ETDs make author anonymity difficult. “
Easy to determine who the author is and thus undermines the strength and reliability of peer review. This could, ultimately, disadvantage young scholars.
”
“
I never thought about it until just now
”
…
“
We ask authors to stop distribution of their ETD when we agree to publish their REVISED material.
”
ETDs include already published articles.
New Concerns about ETDsSlide17
2012 Science Journal Editors’ ETD Survey27.9% response rate53 original SurveyMonkey respondents28 non-respondents phone interviews
17% response rate for 2011 SoSci/Hum survey
1 follow-up emailSlide18
Science editors reported that manuscripts which are revisions derived from openly accessible ETDs are… Slide19
“A peer-reviewed publication that comes out of a dissertation or thesis should not only be encouraged but is crucially important for the scholar's development and advancement of scientific knowledge.”
“
Our journal has essentially ignored any potential conflict arising from publication of ETDs, because
the situation is really not different from the days of hard copy thesis
holdings by University libraries. They … are simply more easily available now…”
“
It is our job to archive and publish the best research. Thus we are quite happy to publish material which otherwise would sit languishing on an online archive.
”
Comments: Science
Editors’ SurveysSlide20
“While we recognise theses as legitimate and citeable publications, they are considered gray literature because they do not go through blind external peer review and are not published in a recognized peer reviewed outlet. They are not considered prepublication...
”
“
Work which has not been published in archival peer reviewed journals is considered appropriate for submission, even if it is accessible elsewhere.
”
Comments: Science Editors’ SurveysSlide21
ETD Policies of Science
vs.
Hum/SoSci
JournalsSlide22
Publishers’ ETD Policies 2011/2012Slide23
2002 and 2011 SoSci/Hum Journal PoliciesSlide24
Additional Data2000: 166 VT graduate alumni surveyed29% had publishedNone encountered
problems with publishers
2010: McCutcheon Dissertation
Angela
M. McCutcheon, “Impact of Publishers’ Policy on
ETD
Distribution Options within the United States” (PhD diss., Ohio
University)
,
139.
http
://etd.ohiolink.edu/view.cgi?acc_num=
ohiou1273584209
1.8% of graduate alumni
reported publisher
rejections
2011: ProQuest
.2% of 70,000 requested access
to their
ETDs be removedSlide25Slide26
Virginia Tech’s Mission StatementVirginia Polytechnic Institute and State University is a public land-grant university serving the Commonwealth of Virginia, the nation, and the world community.
The discovery
and dissemination
of new knowledge
are central to its mission.
Through its focus on teaching and learning, research and discovery, and outreach and engagement, the university creates, conveys, and applies knowledge to expand personal growth and opportunity, advance social and community development, foster economic competitiveness, and improve the quality of life
.
http://www.president.vt.edu/mission_vision/mission.htmlSlide27
University of VirginiaStatement of PurposeThe central purpose of the University of Virginia is to enrich the mind by stimulating and sustaining a spirit of free inquiry directed to understanding the nature of the universe and the role of mankind in it. Activities designed to quicken, discipline, and enlarge the intellectual and creative capacities, as well as the aesthetic and ethical awareness, of the members of the University and to record, preserve, and
disseminate
the results of intellectual discovery and creative endeavor
serve this purpose. In fulfilling it, the University places the highest priority on achieving eminence as a center of higher learning
.Slide28
UCSB’s MISSION STATEMENTThe University of California, Santa Barbara is a leading research institution that also provides a comprehensive liberal arts learning experience. Because teaching and research go hand in hand at UC Santa Barbara, our students are full participants in an educational journey of discovery that stimulates independent thought, critical reasoning, and creativity. Our academic community of faculty, students, and staff is characterized by a culture of interdisciplinary collaboration that is responsive to the needs of our multicultural and global society.
Our commitment to public service is manifested through the creation and
distribution of knowledge
that advances the well-being of our state, nation, and world. All of this takes place within a living and learning environment like no other, as we draw inspiration, opportunity, and advantage from the beauty and resources of UC Santa Barbara's extraordinary location at the edge of the Pacific Ocean.
http://www.ucsb.edu/campus/mission.shtmlSlide29
Submit works based on your ETDs.Most p
ublishers
will consider them
.
89% SoSci/Humanities; 80% Sciences
Harvard Press acquisitions editor: “If you can’t find it, you can’t sign it.”
Quality is the
publishers
’
main
concern.
Adapt them
for the
new readership
.
Peer review is radically different
.
Based on the data
from editors/publishers’ surveysSlide30
THANK YOU!ETDs and the Publishing Landscape
Gail McMillan
Director, Digital Research and Scholarship Services
Professor, University Libraries, Virginia Tech
UCSB, May 5, 2014