Open Access, Open Data, and Open Educational Resources

Tag Archives: ETDs

OA Week Event: A Panel on ETDs and Open Access

Our first event of Open Access Week 2013 provided plenty of interesting discussion yesterday. “ETDs and Open Access” (ETDs are electronic theses and dissertations) was led by Gail McMillan (Director, Center for Digital Research and Scholarship Services, University Libraries), Jordan Hill (ASPECT Ph.D. candidate), and Karen DePauw (Vice President and Dean for Graduate Education).

ETDs and Open Access

ETDs and Open Access (from left, Gail McMillan, Jordan Hill, Karen DePauw)

Gail McMillan began the session with her ETD survey data presentation. One survey queried universities about their ETD policies, and the other surveyed publishers on their willingness to consider revised work based on an openly available dissertation or thesis. About 95% of U.S. institutions have embargoed some ETDs. An interesting finding from the publisher survey was that on the whole, publishers in the humanities and social sciences are actually more willing to consider revised work based on an openly available ETD than science publishers.

Jordan Hill gave a brief overview of his own research (an oral history of memorials for mass murders) and the American Historical Association’s statement on ETD embargoes. Given the unique (and less-revisable) nature of his research, he is understandably concerned that its open availability could affect the chances of publication as a book, and therefore his job/tenure prospects. Rather than the 6-year embargo in the AHA statement, Jordan suggested the possibility of a 3 or 4 year embargo.

Karen DePauw gave an overview of ETDs at Virginia Tech. The university was the first to require them in 1997, prior to her arrival. A one-year embargo is available to students with renewal possible by request. One exception is a 5-year embargo for those in a Master of Fine Arts program (for creative work such as poetry and stories that would not normally be revised for publication). For those doing classified research, the graduate school requires that the research be publicly defended and some part of the research be made available.

These brief presentations by the panelists were followed by an open discussion. I was interested in knowing if any details beyond “case by case” publisher considerations were available (it primarily means a judgement of quality) and the distinction between “published” and “unpublished” (it signifies editorial review). The discussion was pretty wide-ranging, but to me the heart of it is that many early career academics like Jordan support open access but but recognize that it is not rewarded in the criteria for hiring, tenure, and promotion. It is not surprising that despite their approval of openness, they must be conservative and pragmatic in their approach because academic evaluation is not changing as fast as scholarly publishing.

Academic success in the humanities and social sciences is currently dependent on monograph publishing (another criticism of the AHA statement), which is in turn dependent on publishers who evaluate manuscripts based on how many books they think will sell. In particular, publishing an academic monograph is dependent on university presses, who in turn are (mostly) dependent on academic libraries to buy books. But libraries are buying fewer books due to the serials crisis (primarily in STEM fields), which puts stress on university presses, who in turn are less receptive to manuscripts from early career academics. In my view, universities and their libraries need to devote more resources to publishing monographs (such as using Open Monograph Press and implementing an external review process) so that academic work can be evaluated on its quality rather than its saleability. In addition, there’s no reason why this can’t work on the freemium model, with the full text available online but print versions for sale, with royalties going back to the author.

A big thank you is due to Jordan, Karen, and Gail for this thought-provoking session.

Thanks to the University Libraries’ Event Capture Service for the video below [Edit 2/28/14].

Later in the day, Gail and I presented Introduction to Open Access and Copyright. Lots of links inside that presentation for those who want to do some exploration. Interestingly, a graduate student raised similar concerns as Jordan Hill earlier in the day: young scholars are faced with a dilemma between open access and prestige. I pointed out that it’s not always an either-or choice since there are increasingly prestigious open access journals, and self-archiving is a valid option that is often overlooked. But when it comes to getting or keeping a job, it’s hard to fault young academics for publishing behind a paywall when promotion and tenure guidelines reward it.

Brief and Late Thoughts on AHA

There has been extensive commentary on the American Historical Association’s statement on 6-year dissertation embargoes and I’ve only read a little of it.

But I really liked Dr. Jason Kelly’s essay Open Access and the Historical Profession, which spurred further thoughts which may or may not have been mentioned in this debate (as well as enlightened me on the copyright perspectives of Leo Tolstoy and Woody Guthrie).

I doubt it is a new issue for the profession, but if one must publish a book to be a historian, and publishers will only publish books that will sell, why is saleability allowed to determine what history is written? Surely there is history worth writing that wouldn’t necessarily sell many books. In this sense, the market as a driver seems analogous to basic vs. applied research in the sciences.

For publishers, distributing knowledge is still a financial decision, and this means that the information contained in them is a commodity.

It doesn’t seem advantageous to a discipline to hide its research, or to limit it to topics with popular appeal.

Second, publishers of history books seem to be unaware of the increasingly prevalent “freemium” model. While this isn’t an exact analogy, because a dissertation isn’t the same as a book, it seems entirely possible that an openly available dissertation would drive book sales, not weaken them.

Finally, the difficulty in publishing a book today might have been ameliorated if the profession had engaged with open access earlier (or at least taken more interest in the serials crisis). It’s now generally accepted that the reason libraries buy fewer books, thereby putting university presses in difficulty, is that serials costs (particularly in the “big deals”) have eaten up an increasing percentage of library budgets. Libraries could afford a lot more history books from university presses if STEM journals transitioned to open access.

…a deeper intervention into the ecology of knowledge production and exchange is necessary.


Worth Reading: Decision Trees, Copyright and ETDs, Open Virginia, and iCalendar

I haven’t been following open access developments in the UK, but apparently publishers are weakening the proposed policy there. I haven’t seen their decision tree, but Mike Taylor proposes one that should work globally. While authors are more likely to follow the publisher’s guidelines on archiving (if that), Taylor does have a point about manuscript ownership. Most authors won’t be so assertive, though I don’t know of any cases of publishers asking for the material to be taken down.

Graduate students apparently don’t know much about copyright for their ETDs, and part of the cause may be bad information from their universities, according to the latest post on Free US ETDs. An upcoming Part 2 will offer guidance on providing better copyright information for ETDs.

Virginia Tech alumnus Waldo Jaquith posts on the launch of the Open Virginia data repository, bringing various datasets together in one place. The data repository uses CKAN, an open data solution from the Open Knowledge Foundation that, you guessed it, is also open source.

Many of you will remember Microsoft’s Jon Udell from his visit to Virginia Tech a couple of years ago as Distinguished Innovator in Residence. He’s now working with communities in the Hampton Roads area on a community calendar, which will use iCalendar, an open standard. It’ll be interesting to see the results.

New Video from Harvard

Here’s a great short video (8:30) with two Harvard professors talking about open access issues, including dissertations and altering publication agreements:

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