ETDs & the Landscape of Open Access Publishing

ETDs & the Landscape of Open Access Publishing
12/4/2017 ETDs & the Landscape of Open Access Publishing My take on the conference these, “Transforming Libraries for Graduate Students: Services, Instruction, Spaces“ has to do with Electronic Theses and Dissertations. Today talk about why graduate programs require students to submit theses and dissertations Gail McMillan Director, Scholarly Communication Professor, University Libraries, Virginia Tech Kennesaw State University, April 1, 2016 McMillan4Kennesaw.pptx

Goals of Traditional Theses and Dissertations
12/4/2017 Goals of Traditional Theses and Dissertations Original research Original contribution to scholarship Continuing contribution to scholarship Writing ability This is a traditionally structured thesis with an Introduction; literature review; methodology; analysis; and findings. It meets the traditional goals of a thesis where the Candidate demonstrates she knows how to conduct and convey original research according to the norms of the subject discipline Candidate demonstrates she has promise to make a continuing contribution to scholarship Communicates research results Shows writing ability Makes an original contribution to scholarship from Allen, G. R. (1973). The Graduate Students’ Guide to Theses and Dissertations: A Practical Manual for Writing and Research. San Francisco: Jossey-Bass, in Carol Tenopir’s “Technological Opportunities McMillan4Kennesaw.pptx

Plus Goals of ETDs Discoverable Integrity of content
12/4/2017 Plus Goals of ETDs Discoverable Integrity of content Readable or viewable into the future Non-proprietary formats Data behind graphs, charts, and conclusions Add to the traditional goals the goals of ETDs Some institutions require Self-contained, so as to avoid dead links ETDs easily include enhanced non-textual content such as video, audio, executable programs, modeling, and interactivity, still mostly used as supporting evidence for findings. Technical Opportunities and Human Realities for Dissertations in The Future” in CGS Future of the Dissertation Workshop (1/28/16) McMillan4Kennesaw.pptx

Trending: Manuscript or Composite ETDs
12/4/2017 Trending: Manuscript or Composite ETDs Publish original work first Create a cohesive research stream Pull it all together in the dissertation 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: McMillan4Kennesaw.pptx

University Mission Statements
12/4/2017 University Mission Statements “Disseminate knowledge” “Free exchange of ideas” “Advancement of society through… development of new knowledge” “A knowledge resource to the public” “Disseminate knowledge” Virginia Tech: Washington University George Washington University Indiana University Bloomington University of North Texas “Free exchange of ideas” University of Tennessee Knoxville “Advancement of society through… development of new knowledge” University of Texas Austin “A knowledge resource to the public” University of Houston McMillan4Kennesaw.pptx

How are universities meeting these goals?
12/4/2017 How are universities meeting these goals? 2015 ETD Survey 298 institutions 85% more than 2013 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. McMillan4Kennesaw.pptx

Training Graduate Students
12/4/2017 Training Graduate Students Q15-16 Left: topics covered. Right: who does the training is very different. International responses: Library: 57% GS: 25% Other: 18% McMillan4Kennesaw.pptx

Authors include published articles, etc. in ETDs
12/4/2017 Authors include published articles, etc. in ETDs Q21 55% yes. Chart above shows % of responses by continent 45% no McMillan4Kennesaw.pptx

ETD authors also submit supplemental files, e.g., data, etc.
12/4/2017 ETD authors also submit supplemental files, e.g., data, etc. Q22 Yes: 66% No: 34% Q20 68% of reporting institutions accept ETDs only if a single file 32% accept multiple files (103 of 319) Occasionally the supplemental file is actually the ETD as we’ll see at the end of this presentation. You may have heard about Renee Babcock’s presentation, “One Size Does not Fit All: ETD Submission of Creative Works” describes UT Austin experiences. (US ETDA 2015) McMillan4Kennesaw.pptx

ETDs include a variety of file formats
12/4/2017 ETDs include a variety of file formats Q23 Includes File formats from VT multi-file ETDs Fewer PDFs and more of the other formats. These ETD authors may be taking skirting around the PDF requirement by submitting supplemental files that enrich the reader’s experience. Or, perhaps future researchers may use these files to jump start their research. Next: Accessibility of ETDs McMillan4Kennesaw.pptx

12/4/2017 ETD Fees Q39: 96% of of the institutions responding YES to the Q: Are graduate students at your institution required to pay fees associated with ETDs? Came from N. American institutions. If your institution's ETDs are available through ProQuest, is it optional or required for ___authors? Q41 75% require GS to give DISS to PQ Q42 61% require GS to give THESIS to PQ Q43 Who pays PQ fees? GS or No fee because institutions uses PQ ETD administrator . McMillan4Kennesaw.pptx

Access to Your ETD Worldwide Access
12/4/2017 Access to Your ETD Worldwide Access Available to the public immediately through university IR University-only Available only to current university community for 1 Year Secured (withheld, embargoed) ETD held in a dark 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 Research is underdeveloped 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 McMillan4Kennesaw.pptx

ETDs are publicly available
12/4/2017 ETDs are publicly available Q31 Fewer institutions worldwide make their entire ETD collections publicly available in 2015 than in 2013. McMillan4Kennesaw.pptx

ETDs have university-only access
12/4/2017 ETDs have university-only access Q32. North America: 46% none 52% some 2% all Why McMillan4Kennesaw.pptx

Reasons for restricting access to ETDs
12/4/2017 Reasons for restricting access to ETDs McMillan4Kennesaw.pptx

ETDs are withheld—inaccessible, secured, etc.
12/4/2017 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% McMillan4Kennesaw.pptx

Reasons for Withholding Access to ETDs
12/4/2017 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 McMillan4Kennesaw.pptx

Anxieties, trepidation, fears
12/4/2017 Anxieties, trepidation, fears Association of Writers and Writing Programs University access to abstracts only American Historical Association 6 year restricted access “This assertion is contradicted by research” Audrey Truschke, Andrew W. Mellon Postdoctoral Fellow, Stanford University These organizations have contradicted the goals of T&Ds and universities. Without a single citation Without references to research on digital scholarship Without indicating basis for alleging that embargoes help junior scholars to publish their first books AHA: The 2013 AHA statement on dissertation embargoes is useful in one respect: it succinctly captures standard thinking in today’s academy about dissertation embargoes. In a preliminary survey run by Dissertation Reviews, a majority of junior academics (184 out of 336 respondents) cited their intention to use their dissertation as a basis for their first book as a consideration in whether to release or embargo their thesis. The next most commonly named issue (concerns about the quality of the work) was raised by less than half as many early career scholars. In 2012 Association of Writers and Writing Programs Director’s Handbook recommends that ETDs be limited to abstracts to the home university only. McMillan4Kennesaw.pptx

12/4/2017 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 Audrey Truschke: Andrew W. Mellon Postdoctoral Fellow, Stanford University #1 He sites our articles “The 2013 AHA statement on dissertation embargoes includes not a single citation. It makes no references to research on digital scholarship. It gives no indication of the basis for alleging that embargoes help junior scholars to publish their first books, despite the fact that this assertion is contradicted by research” #2 “The core claim of this article is this: not embargoing one’s dissertation immediately upon deposit is unlikely to harm an early career scholar’s chances of landing a book contract. Many researchers before me have reached this conclusion using different methods. For example, 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 presses (discussed below), there is good reason to question whether even that seven percent actually act as they claim.” #3 Published April 2015 McMillan4Kennesaw.pptx

Data tell a different story
12/4/2017 Data tell a different story “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): doi: /crl “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): doi: /crl-356 Earlier ( ) publications about publishers attitudes towards ETDs McMillan4Kennesaw.pptx

12/4/2017 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. McMillan4Kennesaw.pptx

12/4/2017 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 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. McMillan4Kennesaw.pptx

Comments: Social Sciences/Humanities Survey
12/4/2017 Comments: Social Sciences/Humanities Survey “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.” 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.” McMillan4Kennesaw.pptx

Comments: Social Sciences/Humanities Survey
12/4/2017 Comments: Social Sciences/Humanities Survey “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.” “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.” A uni press director wrote: “whether in hard or e-copy, we expect the dissertation [or thesis] to be completely revised before we will consider a manuscript. We do not consider the dissertation to be the equivalent of a book. It is a student work; a book is a professional work.” A journal editor wrote: …”we do not consider raw [theses and] dissertations as competing with the works eventually published under our imprint.” One university press director commented, “some manuscripts, even if published electronically as dissertations, are appealing regardless of their electronic availability because the audience for them in print form is substantial enough that it does not matter. There is a substantial market for certain works [for example] of Civil War history, for instance, that is quite broad. The lay readership for Civil War history, for instance, wants to have the book and would not likely know or have access to the text in dissertation (electronic) form. Even if they knew, they would likely still want the book.” McMillan4Kennesaw.pptx

New Concerns about ETDs
12/4/2017 New Concerns about ETDs 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. We learned that Journal Editors and Academic Press Directors have new Concerns about ETDs. “The one problem this creates, which I and the editorial board have not resolved, is that this makes anonymity in review difficult [and] easy to determine who the author is, and thus undermines the strength and reliability of peer review. This could, ultimately, disadvantage young scholars...” (18) We were reminded that not all publishers are familiar with the issues surrounding publications derived from ETDs. One journal editor commented: My first thought on this matter, and I never thought about it until just now, was “why should anything derived from a dissertation be excluded?”—but thinking further—if dissertations can be as readily accessed by computer as is becoming the case with journals—then perhaps I need to consider some form of restriction...” [#4 Q5] This comment may well indicate that either the publishers are out of touch with authors’ concerns, or it hasn’t yet been brought up as an issue by their authors or editors. Very few editors or directors seem to be aware that ETDs are also beginning to include published articles. [See comments #22, 44, 51 Q6] Known as Mss style VT. “We would prefer that students work with their major advisors to design thesis [sic] chapters for submission as research articles and review papers as part of the dissertation process to ensure a good fit with the journal. Ideally, the dissertation when completed will contain chapters that have already been published or accepted for publication so that the journal does not have to compete with content that is already freely available.” [comment #51 Q6] McMillan4Kennesaw.pptx

12/4/2017 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 McMillan4Kennesaw.pptx

Comments: Science Editors’ Surveys
12/4/2017 Comments: Science Editors’ Surveys “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.” McMillan4Kennesaw.pptx

Comments: Science Editors’ Surveys
12/4/2017 Comments: Science Editors’ Surveys “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.” McMillan4Kennesaw.pptx

ETD Policies of Science vs. Hum/SoSci Journals
12/4/2017 ETD Policies of Science vs. Hum/SoSci Journals While more Science editors always welcome OA ETD-based articles, the So Sci and Hum editors are actually more accepting overall of OA ETD-based articles. McMillan4Kennesaw.pptx

Publishers’ ETD Policies 2011/2012
12/4/2017 Publishers’ ETD Policies 2011/2012 Most survey respondents will consider publications based on openly accessible ETDs. However, in the particulars, Uni Presses and J eds vary among the options the survey offered. Among the So Sci/Hum survey respondents, the option to “Considered ONLY IF the ETD has access limited to the campus or institution where it was completed” was never selected by journal editors. About 3% of the university presses directors prefer ETDs to have access restricted to the home institutions and only 2% of the science editors do. McMillan4Kennesaw.pptx

12/4/2017 Based on the data from editors/publishers’ surveys, submit works based on your ETDs 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 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 McMillan4Kennesaw.pptx

12/4/2017 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 McMillan4Kennesaw.pptx

2015 North American academic presses
12/4/2017 2015 North American academic presses Fresh and compelling argument, perhaps something counter-intuitive that takes the reader in an unexpected direction Clear, forceful argument that will change a field Elegant prose and a good narrative that is ‘engagingly told’ Good fit with other books that they have published Audrey Truschke, Mellon Postdoctoral Fellow [Dissertation Reviews survey followed by} 8 Interviews North American academic presses Audrey Truschke, Andrew W. Mellon Postdoctoral Fellow “When asked what they look for in a good first book based on a dissertation, university press editors give a fairly consistent set of responses. They want a book with a fresh and compelling argument, perhaps something counter-intuitive that takes the reader in an unexpected direction. As Ken Wissoker, Editorial Director at Duke University Press, puts it, he is “looking for something that is going to do something.” Mary Francis, Executive Editor at the University of California Press, seeks “a clear, forceful argument that will change a field.” Acquisitions editors also prize elegant prose and a good narrative that is “engagingly told,” according to Emily Andrew, Senior Editor at the University of British Columbia Press.” “All the university presses that I contacted currently accept first books that are revised dissertations and plan to continue doing so.” “At least one acquisitions editor acknowledged that she frequently relies on senior scholars to recommend junior academics whose work is worthy of publishing attention. Senior scholars also wield influence by serving as editors of book series focused on specific topics. Academia is a social place, and who one knows can be critical for publishing." McMillan4Kennesaw.pptx

The case for making ETDs immediately accessible
12/4/2017 The case for making ETDs immediately accessible Scholarship on a particular topic Visibility of early career scholars Professional opportunities Inherent value in openly sharing scholarly work Eligible for NDLTD awards Truschke To Embargo or Not to Embargo? Strategically Disseminating The Dissertation Make it easily findable and accessible by others searching for scholarship on a particular topic Visibility of early career scholars 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 formal Western academy McMillan4Kennesaw.pptx

NDLTD* Awards http://www.ndltd.org/ndltd-awards/
12/4/2017 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 Assists with preparing and publishing their ETDs 3 awards at $1000 each Winner(s) submit acceptance speech (preferably by video) Nominations accepted through online form *Networked Digital Library of Theses and Dissertations McMillan4Kennesaw.pptx

NDLTD’s ETD Leadership Award
12/4/2017 NDLTD’s ETD Leadership Award Recognizes members of the university community whose leadership and vision has helped raise awareness of the benefits of open access ETDs and whose efforts have improved graduate education and research through the use of technology. Nominations accepted through online form Winners not required to be NDLTD members Non-members receive 1 year complimentary membership $500 travel reimbursement to NDLTD annual symposium Complimentary symposium registration Winner(s) submit acceptance speech (or submit video) McMillan4Kennesaw.pptx

Beyond the NDLTD Awards
12/4/2017 Beyond the NDLTD Awards Coal Country, Bringing Down the Mountains: powerful documentary film on which it is based MTR Writing/publications: Dr. Burns was also a co-editor, with Kentucky author Silas House and filmmaker Mari-Lynn Evans, of Coal Country (2009), a companion book for the nationally recognized feature-length film of the same name. Helen J. Burgess is a member of the Department of English at the University of Maryland Baltimore County and is coauthor of Red Planet: Scientific and Cultural Encounters with Mars, also published by the University of Pennsylvania Press. Highways of the Mind was a dissertation by Helen J. Burgess that is available as a PDF and as a website Highways of the Mind: Biofutures: McMillan4Kennesaw.pptx

ETDs & the Landscape of Open Access Publishing
12/4/2017 ETDs & the Landscape of Open Access Publishing Additional References Revising the Terrible, Horrible, No Good, Very Bad Dissertation, by Rachel Herrmann, CHE: Academe Today, 3/29/16. A book does not just emerge fully grown from the ugly chrysalis of the dissertation. One Size Does Not Fit All: ETD Submission of Creative Works, by Renee E. Babcock, US ETDA, Gail McMillan Director, Scholarly Communication Professor, University Libraries, Virginia Tech Kennesaw State University, April 1, 2016 McMillan4Kennesaw.pptx

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