Communicating Research to the Public through ETDs 5/27/2018 Communicating Research to the Public through ETDs Gail McMillan orcid.org/0000-0001-8817-3819 Director, Scholarly Communication Professor, Virginia Tech Libraries Mayank Khurana & Vivek Prasad, April 26, 2016 http://vtechwork.lib.vt.edu Call attention to CC license Exercises What Creative Commons license would you put on your ETD? Test the Fair Use Analyzer tool. Find an unrestricted ETD in VTechWorks. Find a restricted access ETD in VTechWorks. Find an ETD on a topic related to yours in another digital repository.

Open Access Scholarly Communication VT 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. Peter Suber is as a leading voice in the open access movement for over a decade. He specializes in the philosophy of law; is director of the Harvard Office for Scholarly Communication and fellow at the Berkman Center for Internet & Society . http://legacy.earlham.edu/~peters/fos/brief.htm, A Very Brief Introduction to Open Access by Peter Suber. “..OA offers a potential unprecedented public good, building on the capacity of the Internet for free sharing with everyone… (Guédon, 2008).” oa-apcs-artcile-2014-october-171.pdf Virginia Tech: http://www.president.vt.edu/about-the-office/mission-vision/index.html … 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.

University Mission Statements 5/27/2018 University Mission Statements “Disseminate knowledge” “Free exchange of ideas” “Advancement of society through… development of new knowledge” “A knowledge resource to the public” Many universities have similar goals “Disseminate knowledge” Washington University https://wustl.edu/about/ George Washington University https://www.gwu.edu/~ire/mission_statement.htm Indiana University Bloomington https://www.indiana.edu/about/mission.html University of North Texas http://www.unt.edu/mission.html “Free exchange of ideas” University of Tennessee Knoxville http://www.utk.edu/aboutut/vision/ “Advancement of society through… development of new knowledge” University of Texas Austin https://www.utexas.edu/about/mission-and-values “A knowledge resource to the public” University of Houston http://www.uh.edu/about/mission/

Intellectual Property 5/27/2018 Intellectual Property Copyright Law: U.S. Code, Title 17, Sect. 102 “original works of authorship fixed in any tangible medium of expression" Copyright is automatic (© not required) Registration is not required Payment is not required VT Policy 13000: Intellectual Property “Traditional results of academic scholarship” … “the presumption of ownership is to the author(s)" “University rights are limited to free (no cost) use in teaching, research, extension, etc. in perpetuity” Who owns the copyright to your ETD? What do you own and what does the university own? Intellectual properties in the first (traditional) group are considered to make their full contribution to the University's benefit by their creation and by continued use by the University in teaching, further development, and enhancement of the University's academic stature; the presumption of ownership is to the author(s). Thus, unless there is explicit evidence that the work was specifically commissioned by the University, the IP rights remain with the author(s) and the University rights are limited to free (no cost) use in teaching, research, extension, etc. in perpetuity. “The University will not generally claim ownership of IP created by students. However, in the matter of course generated IP, including courses for research or independent credit, the student(s) shall have ownership only if they made use of resources that are a) made available by the College /Department administering the University course to all students enrolled in the course; and b) provided to all students enrolled in the course for academic credit when there are no pre-existing obligations for the University in connection with such course generated intellectual property, and/or the student(s) are not paid by the University in the scope of such course.” Who owns the copyright to your ETD? The GS; not your advisor or committee chair; not the university.

Copyright owners rights: 5/27/2018 Copyright owners rights: Reproduction Modification Distribution Public performance Public display Except… Public Domain: Intellectual property not owned or controlled It’s well aged. 70 years after the creator passed on 95 years after the work-for-hire was published 120 years after the creation of a work-for-hire Tools to help http://www.unc.edu/~unclng/public-d.html http://librarycopyright.net/resources/digitalslider/ US government documents Does not mean publicly accessible Web/Internet

5/27/2018 Fair Use Before using someone else's work without permission, weigh ALL 4 Fair Use FACTORS. 1. Purpose and character of use 2. Nature of the work 3. Amount and substantiality 4. Effect [or potential effect] on the market Tools to help VT Fair Use Analyzer ALA Fair Use Evaluator Submit results of Analyzer with your ETD to the GS. If the scales don’t tip in favor of fair use: Modify your use Ask for permission Use openly licensed materials Give notice that others may use your works — on conditions of your choice. Wouldn’t it have been nice if the copyright owner had told you up front how you could use their work?

Creative Commons Licenses http://creativecommons.org/ 5/27/2018 Creative Commons Licenses http://creativecommons.org/ CC BY: Attribution Others can copy, distribute, display, perform and remix your work if they give you credit CC BY SA: Share Alike After attribution, others can distribute your work only under a license identical to the one you chose for your work CC BY NC: Non-Commercial After attribution, others can copy, distribute, display, perform or remix your work only for non-commercial purposes. CC BY ND: No Derivatives After attribution, others can only copy, distribute, display or perform copies of your work verbatim. Q: How many of your have heard of Creative Commons licenses? International not-for-profit organization Improve clarity about what people can do with copyrighted content Legal/social framework in the form of licenses Put a CC license on your ETD-–title page and supplemental files. CC licensed works can be found, among other places, at: http://search.creativecommons.org Google Advanced search

Traditional ETD or not so much? 5/27/2018 Traditional ETD or not so much? Traditional structure Manuscript style Introduction Articles, chapters, conference papers: published or prepared for submission Literature review Methodology At least 1: Master’s, 2: Doctorate Analysis Findings Research conducted @ VT Sole author or major contributor Other Copyright http://etd.vt.edu/guidelines/ Mss.: The graduate student is the major contributor and writer of the manuscript(s), as usually represented by sole author. In the case of multiple authorship, the contribution of each author is detailed in the Introduction or separate Attribution section. The graduate student provides the Graduate School with a letter of copyright release for previously published and/or copyrighted material. Whether previously published or to be reviewed, the manuscript is formatted to fit within the margins acceptable by the Graduate School and satisfies all requirements for ETD submission. Q: how many of you are doing traditional ETDs? Q: how many of you are doing Mss. ETDs? RETAIN YOUR COPYRIGHT There is no limit on the types of file formats or size. Comes to the library as a zip file. Contact Andi Ogier (alop@vt.edu) for help curating your data.

Trending: Manuscript or Composite ETDs 5/27/2018 Trending: Manuscript or Composite ETDs Publish original work(s) first Pull it all together in your ETD Incorporate articles, book chapters, and the like to replace some of the standard chapters --previously published, to be published, or in preparation for submission At least one manuscript (i.e., article, chapter) for the Master’s degree, or at least two manuscripts for Doctoral degree. The manuscript(s) should be based on research done at Virginia Tech The graduate student is the major contributor and writer of the manuscript(s). In the case of multiple authorship, the contribution of each author is detailed. Copyright release for previously published and/or copyrighted material. Includes a summary section As you can see, this still assumes that the ETD is closer to a book than an innovative work that may not be linear and may be interactive. We’ll look at some of these later. The assessment of the thesis is not based on the number, or on the type of articles, but on the contribution of each article and the scientific contribution of the thesis as a whole. Hanken University in Helsinki: http://www.hanken.fi/sites/default/files/atoms/files/2015_01_20_composite_thesis_exs15.pdf

Access to Your ETD Worldwide Access University-only 5/27/2018 Access to Your ETD Worldwide Access Available to the public immediately through VTechWorks University-only Available only to current VT community for 1 year Secured (withheld, embargoed) ETD held in a dark (i.e., inaccessible) archive for 1 year Copyright Holders decide how their ETDs will be distributed. The Goals of ETDs: Worldwide Access: ALL will move to public access eventually. Limitations of university-only: when authors/advisors leave the university, they lose access. Usually Off-campus access with ID and password WITHHELD: Often nothing about the ETD is available After embargo period: publicly available in university IR Use SECURED wisely: Sensitive materials, e.g., ethical obligations to human subjects Patent applications What is your uni IP policy? VT 13000: “Ownership of IP developed by students: The University will not generally claim ownership of IP created by students. Unless they are employees

vtechworks .lib.vt.edu 5/27/2018 Click and browse VT ETDs. Point out symbols for open and restricted works, supplemental files, etc.

How are universities meeting their goals? 5/27/2018 How are universities meeting their goals? International ETD survey, 2015 298 institutions 75% N. America 72% only accept ETDs 52% mandatory for all applicable PhD and Masters programs Purpose of the biennial surveys: Identify general practices of academic institutions worldwide Chart the longitudinal progress of ETD initiatives Discover any updates and advances in the field. 298 institutions responded. We reached them through ETD G Groups/listservs; CGS and regionals 85% more than in 2013 75% N. American institutions North America 72% only accept ETDs 21% accept ETD and Print 7% require ETD and print I will report International findings when North American responses are very similar. When NoAmer findings are very different from international findings, I will report No Amer findings.

ETDs are publicly available 5/27/2018 ETDs are publicly available Q31 Fewer institutions worldwide make their entire ETD collections publicly available in 2015 than in 2013.

ETDs have university-only access 5/27/2018 ETDs have university-only access Q32. North America: 46% none 52% some 2% all Why

Reasons for restricting access to ETDs 5/27/2018 Reasons for restricting access to ETDs

ETDs are withheld—inaccessible, secured, etc. 5/27/2018 ETDs are withheld—inaccessible, secured, etc. North American institutions Some: 92% None: 8% Overall, 79% make metadata available for withheld ETDs. Reasons for Withholding ETDs Permission 2% Sensitive information 51% Patent/commercialization 15% Copyright issues 10% Creative writing 7% Publishing concerns 15%

Reasons for Withholding Access to ETDs 5/27/2018 Reasons for Withholding Access to ETDs When to delay public access Sensitive materials, e.g., ethical obligations to human subjects Patent applications Research is underdeveloped Audrey Truschke, Andrew W. Mellon Postdoctoral Fellow, Stanford University

Public Access is NOT a Red Flag for Publishers 5/27/2018 Public Access is NOT a Red Flag for Publishers Open Access and Dissertation Embargoes Published yet Unpublished: The Dual Rise of Open Access and Dissertation Embargoes /11861 Publishing a Revised Dissertation Defusing the Fear: Publishing A Book Based on a Non-Embargoed Dissertation /11904 To Embargo Your Dissertation, or Not? To Embargo or Not to Embargo? Strategically Disseminating the Dissertation /11995 http://dissertationreviews.org/archives/ Audrey Truschke: audrey.truschke@gmail.com Andrew W. Mellon Postdoctoral Fellow, Stanford University April 2015. That embargoes are necessary for publication is contradicted by research. In two of the 3 articles she sites our surveys and publications #2 “The core claim of this article is [that]: not embargoing one’s dissertation immediately upon deposit is unlikely to harm an early career scholar’s chances of landing a book contract. …five scholars conducted a survey of journal and university press editors in 2011 and found that a mere seven percent of university press editors said they would refuse to consider a book based on a thesis that had been made previously available in an electronic repository. Based on my conversations with acquisitions and senior editors at numerous university …there is good reason to question whether even that seven percent actually act as they claim.”

Data paint an accurate picture of open ETDs 5/27/2018 Data paint an accurate picture of open ETDs “Do Open Access ETDs Diminish Publishing Opportunities in the Sciences?” Marisa L. Ramirez, Gail McMillan, Joan T. Dalton, Ann Hanlon, Heather S. Smith, Chelsea Kern. College & Research Libraries 75/6 (Nov, 2014): 808-821. doi: 10.5860/crl.75.6.808 “Do Open Access ETDs 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, 74/4 (July 2013): 368-380. doi: 10.5860/crl-356 Earlier (2000-2003) publications about publishers attitudes towards ETDs http://scholar.lib.vt.edu/copyright/cprtetd.html 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… Not considered under any circumstances. Other (please elaborate)

5/27/2018 Science editors reported that manuscripts which are revisions derived from openly accessible ETDs are… Therefore, 80% will accept articles from OA ETDs. The ”other” category/responses, those who Not encountered/Don’t know/Not applicable Larger % that Hum/SoSci won’t consider Mss. based on OA ETDs

Comments: Science Editors’ Surveys 5/27/2018 Comments: Science Editors’ Surveys “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…” “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...”

5/27/2018 SoSci/Hum editors reported manuscripts which are revisions derived from openly accessible ETDs are… This is the result of the combined journal editors’ and university press directors’ responses. 89% want to consider Mss. based on OA ETDs. Only 4% said don’t bother sending us your Mss. based on OA ETDs.

5/27/2018 SoSci/Arts/Hum Journal and Press Responses: “Manuscripts which are revisions derived from openly accessible ETDs are...” Here is a look at journal editors’ and press directors’ responses in 2011. Journal editors are more enthusiastic about receiving submissions based on ETDs. 66% said they always welcome Mss. derived from ETDs, but only a few press directors agreed. This is not to say the university presses discourage submissions based on ETDs. More than half welcome or consider ETD-based Mss. submissions on a case-by-case basis. Only university press directors find access restrictions necessary, which is interesting to me because it is in response to journal editors that we made limiting access to ETDs at VT an option. But over 80% of the journal editors and the press directors will consider Mss. based on your OA ETDs. The subject areas of the majority of press directors who responded that they would never consider ETD-based manuscripts were: romance literature, applied and social psychology, and mathematical methods in the social sciences.

Comments: Social Sciences/Humanities Survey 5/27/2018 Comments: Social Sciences/Humanities Survey “All essays go through extensive review and revision process, so even if the starting point is out there, the final product is not.” “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.” “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.” Nearly half of our survey respondents volunteered comments and they are perhaps as telling as the numbers. A frequent comment was that a T or D would need to be revised prior to submission to a university press or a journal in order to fit their publications’ guidelines. And, the rhetoric used in a T or D is usually not the appropriate writing style for a journal or the broader readership of a book. A journal editor commented: “We treat Ts and Ds as unpub’d material… Readers will consider our article to be the version of record, the version they should read and cite, because (a) it will have been vetted by our double-blind peer review process, (b) it will have been professionally edited, and (c) it will be the most up-to-date version of the material.”

5/27/2018 University press editors are invested in the book as an entity unto itself Evaluating a revised ETD is identical with methods for assessing subsequent books by more senior scholars Substantial revisions Structurally significantly different from the dissertation University press editors are generally invested in the book as an entity unto itself Just as theses covers are radically different, the content of these two works is radically different. It began as a publicly available but very traditional traditional WVU ETD that became a popular book available on Amazon and from the author’s website. Bringing Down the Mountains by Shirley Stewart Burns “None of the university press editors with whom I spoke actually compare book manuscripts to the dissertations on which they are based when assessing book manuscripts. On the contrary, when I asked editors who said they demanded revisions how they knew if a thesis had been revised, nearly all professed to rely exclusively on the book proposal and their own judgment.” Audrey Truschke, Mellon Postdoctoral Fellow http://dissertationreviews.org/archives/11904

Most publishers will consider publicly available ETDs. 5/27/2018 Based on the data from editors’/publishers’ surveys, submit works based on your ETD. Most publishers will consider publicly available ETDs. 89% SoSci/Humanities; 80% Sciences Make an informed decision: Which journals do you want to publish your articles? Select a book-friendly topic, but write your ETD as an ETD. Quality is the publishers’ main concern. Adapt your ETD manuscript for a new readership. Peer review is radically different. Which journals do you want to publish your articles? Q how many of you are familiar with Sherpa/Romeo: open access DB of journals’ and pub’rs policies

The case for making ETDs immediately accessible Scholarship on a particular topic is easily findable and accessible Early career scholars are visible. Cultivate a significant scholarly profile Garner additional readers, feedback Professional opportunities Networking Publishing prospects: Harvard Press acquisitions editor: “If you can’t find it, you can’t sign it.” Invited lectures Inherent value in openly sharing scholarly work Scholars working outside the Western academy Truschke To Embargo or Not to Embargo? Strategically Disseminating The Dissertation http://dissertationreviews.org/archives/11995 Goals of Ts/Ds Original research Original contribution to scholarship Continuing contribution to scholarship Writing ability Discoverable Integrity of content Readable or viewable into the future Non-proprietary formats Data behind graphs, charts, and conclusions

NDLTD* Awards http://www.ndltd.org/ndltd-awards/ 5/27/2018 NDLTD* Awards http://www.ndltd.org/ndltd-awards/ ETD Innovation Award Recognizes students’ efforts to transform the genre of the thesis/dissertation through the use of innovative research data management techniques and software to create multimedia ETDs. For current students working on their theses or dissertations Nominations accepted through online form 3 awards at $1000 each Assists with preparing and publishing their ETDs *Networked Digital Library of Theses and Dissertations Another reason to create an open ETD

What You Can Do Now Make your ETD publicly accessible. Read publisher’s contracts and retain your copyright. Publish in open access journals. VT Open Access Subvention Fund $1500.00 per article; $3000.00 per author per year https://aqua.lib.vt.edu/oa-subvention.php Authors: retain rights Use and develop your ETD without restrictions Deposit in your institutional repository (VTechWorks) Increase access for education/research Receive proper attribution when your work is used SPARC Author Addendum Publishers: receive non-exclusive rights Publish/distribute and receive financial return Receive proper attribution/citation Migrate works to future formats; include in collections VT OASF supports article processing charges at reputable open access journals. All at VT are eligible. There may soon be a fund at VT that will support open monograph publishing too. VT is participating in a program with the AAUP and ARL.