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Impact of Publishers' Policy on Electronic Thesis and Dissertation (ETD) Impact of Publishers' Policy on Electronic Thesis and Dissertation (ETD) Distribution Options within the United States A dissertation presented to the faculty of the College of Education of Ohio University In partial fulfillment of the requirements for the degree Doctor of Philosophy Angela M. McCutcheon June 2010 © 2010 Angela M. McCutcheon. All Rights Reserved. 2 This dissertation titled Impact of Publishers' Policy on Electronic Thesis and Dissertation (ETD) Distribution Options within the United States by ANGELA M. MCCUTCHEON has been approved for the Department of Educational Studies and the College of Education by David R. Moore Assistant Professor of Educational Studies Renée A. Middleton Dean, College of Education 3 ABSTRACT MCCUTCHEON, ANGELA M., Ph.D., June 2010, Curriculum and Instruction, Instructional Technology. Impact of Publishers' Policy on Electronic Thesis and Dissertation (ETD) Distribution Options within the United States (226 pp.) Director of Dissertation: David R. Moore The purpose of this study was to determine if large circulation journal publishers were rejecting articles submitted for publication because the submitted articles were derived from Electronic Theses and Dissertations (ETDs). In this study, 403 universities were found to file ETDs in university repositories or in the ProQuest/UMI commercial repository. ETD university personnel were surveyed online and asked to report the number of graduate student alumni who reported publisher rejections for articles submitted for publication, because the articles were derived or taken directly from ETDs. In addition, other data were collected from ETD university personnel regarding ETD program policies and practices to determine if these policies and practices influenced the number of publisher rejections. The results of this study show that two ETD universities reported three publisher rejections for articles that were submitted for publication because the articles were derived from ETDs. Since a small number of ETD universities personnel reported publisher rejections (1.8% = 2 universities/109 responses), ETD university policies and practices were examined to determine if they were assisting students in avoiding publisher rejections. Several ETD program policies and practices are aiding students in avoiding publisher rejections. The ETD university distribution options and publication delays offering were flexible enough to allow students to publish from their theses and 4 dissertations even when the students selected the wrong distribution option at the time of graduation. ETD universities within the United States appear to be doing exceptional job at assisting students in publishing articles and books that have been derived from ETDs. Current ETD programs can move forward with confidence that they have found ways to assist students in avoiding publisher rejections through the types of distribution options offered, publication delays, and through the flexibility in changing distribution options for graduate student alumni when they have difficulties publishing from their ETDs. They can also feel more at ease that publishers appear to be considering ETDs pre- prints in many cases. Yet, ETD universities should remain aware that many publishers are resistant to allowing students to place previously published articles inside their ETDs. Approved: _____________________________________________________________ David R. Moore Assistant Professor of Educational Studies 5 DEDICATION To my large, loving and supportive family 6 ACKNOWLEDGMENTS I would like to acknowledge the faculty of the Department of Educational Studies and the College of Education staff for their exceptional instruction and guidance. I would like to especially acknowledge to my advisor, Dr. David R. Moore and College of Education committee members, Dr. Valerie Martin Conley, Dr. George Johanson and Dr. Candice Maddox. A special thank you goes to John Hagen (of West Virginia University), who sat on my committee as an External Reviewer, for his exceptional guidance regarding ETDs, library technologies and support throughout this research project. I would also like to acknowledge my parents, family and friends who have supported me throughout my educational studies and career, especially my parents, who have been a great source of wisdom and pride for me. I could not have come so far without their loving support and encouragement. And most importantly, thank you Lord, for the great support you provide me daily and the awesome opportunities you have afforded me to learn and teach throughout my career in higher education. May I always be a trusting and faithful servant. 7 TABLE OF CONTENTS Page Abstract ............................................................................................................................... 3 Dedication ........................................................................................................................... 5 Acknowledgments............................................................................................................... 6 List of Tables .................................................................................................................... 11 List of Figures ................................................................................................................... 13 Chapter 1: Introduction ..................................................................................................... 14 Background of the Study ........................................................................................... 15 Traditional Dissertation Publishing .................................................................... 15 Local Library Thesis and Dissertation Repositories .......................................... 17 What is an ETD? ................................................................................................ 19 ETDs Provide More Control over Access to Theses and Dissertations ............. 19 Statement of the Problem ........................................................................................... 21 Research Hypothesis .................................................................................................. 27 Significance of the Study ........................................................................................... 30 Limitations and Delimitations of the Study ............................................................... 32 Definition of Terms ................................................................................................... 33 Chapter 2: Review of Literature ....................................................................................... 36 The History of Print and Electronic Theses and Dissertations .................................. 36 Origin of Theses and Dissertations in the U.S. .................................................. 36 History of ProQuest/UMI Publishing in the U.S. ............................................... 37 Local Library Thesis and Dissertation Repositories .......................................... 39 Open Access Initiatives that Impact on ETDs .................................................... 42 Issues that Cause a Fear of ETDs ....................................................................... 43 Distribution Methods of Theses and Dissertations ............................................. 45 ETD Institutional Repository Adoption Rate ..................................................... 47 Publishing from Theses and Dissertations ......................................................... 51 Surveys of Publishers’ Opinions and Policies Regarding Online Documents .......... 54 Networked Digital Library of Theses and Dissertations (NDLTD) Publisher Surveys ............................................................................................................... 54 8 Surveys of Publishers Opinions and Policies for Online Documents ................ 60 Evidence of ETD Publisher Rejections ..................................................................... 64 American Chemical Society (ACS) Policy for ETDs ........................................ 70 ETD Distribution Options .......................................................................................... 71 Terms Used to Describe ETD Distribution Options ........................................... 75 Copyright Concerns for Online Documents .............................................................. 76 ETD Intellectual Property Rights Concerns ....................................................... 82 ETD Plagiarism Concerns .................................................................................. 85 ETD Stakeholders ............................................................................................... 86 Conclusion ................................................................................................................. 87 Chapter 3: Methodology ................................................................................................... 90 Research Design ........................................................................................................ 90 Pilot Study ................................................................................................................. 91 Survey Instrument ...................................................................................................... 92 Population .................................................................................................................
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