The Signal and the Noise on Dissertation Embargoes


Audrey Truschke over at Dissertation Reviews recently posted up a lengthy essay to junior scholars worried about the impact of letting their dissertations roam about, unfettered, in the wild. And various people seem to think it’s something we should all pay attention to. Well-written it is, and chock-full of data as well. The crux of Truscke’s argument (though you should go read it yourself): newly minted PhDs who worry about letting their research live in open-access land while they furiously try to turn their dissertation into a first book are wasting their mental time and energy. There’s no reason to worry. Unfortunately, little persuasive proof is marshaled in defense of this position, while simultaneously–and here’s the kicker–nothing is done whatsoever to show that embargoing one’s dissertation is detrimental to one’s status as a junior scholar.

Much of her discussion will be familiar to those of us who follow this topic with some measure of regularity. Truschke’s ace-in-the-hole here is that she spoke to “university press editors” themselves to ascertain how they operate–both in theory and praxis–from first books. To be fair she manages to glean some useful information from pressing her interviewees. We discover, for instance, that this lingering sense of “it’s already out there so folks won’t buy it” plagues university press editors just like the rest of us dialed into this conversation. This itself remains a potent data point. We learn some specific bits about how the dissertation and first book are very different animals (“cut the literature review, reduce the notes by one-third, spend less time directly quoting other scholars, write better, have a punchier and broader argument, and make the introduction and conclusion more dynamic”). We learn also a little about the behind-the-scenes operations of the book contract itself, which is interesting but really not all that relevant.

The problem with Truschke’s piece is that she manages to minimize those data that are cause for concern, ignore any kind of cost-benefit analysis, fails to critically analyze the other side of the equation, and in general mucks up this conversation further with a bunch of white noise.

For instance, she cites a 2011 study:

“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 . . . [though] there is good reason to question whether even that seven percent actually act as they claim.”

I disagree vehemently with the word “mere” in there. 7% is plenty high enough in this current academic climate (just as it was when I first read this study three years ago) to be worried about, acted upon or not. If I can do something as little as click a button and dramatically increase my chances at a book contract with 7% of editors with nothing on the debit side of that balance sheet, and you think I won’t do it, you have an ill-informed sense of the pressures I currently face in the academic job market. But let’s go along with Truschke for a moment, and entertain her larger point: that even if these editors say they don’t consider open-access dissertations for first books, in practice they often won’t look for it/compare them. At this moment, even if I concede she’s right in ninety percent of cases, that still means I can increase my chances with .7% very easily. I’ve done a lot more for a lot less.

Secondly, her evidence to the contrary ends up boiling down to: these editors told me they don’t bother looking at the online version of a then-dissertation and now-manuscript, because it would be a waste of time. They’d rather trust their own judgment that what sits in front of them remains substantially changed from its original form. Something about years of experience that the revision process from both ends will substantially change any work (certainly true to an extent, I’m sure). But that’s where Truschke stops, and ultimately its what’s left unsaid that jumps off the page. There’s a prominent negative space which puts the reader in the difficult position of concluding either dissertations and first books actually are so dissimilar that it really would be a waste of time (something in History, especially, we pretty much know not to be true in a significant enough percentage to make this claim), or that university press editors are too [insert uncomfortable adjective here] to make use of a resource that would directly and without question assist them in their job of sifting through stacks of book proposals (the preponderance of) which have all been polished enough to get the job done (something I refuse to believe).

Truschke goes on to offer a couple other reasons embargoing your dissertation is a waste of time.

There’s something in here about a two-year embargo being the norm anyway which isn’t enough time to produce a monograph so why bother? To which I say “Interesting. Love to see your data there.” My university allowed any period you could name, and I think you’d be hard-pressed to find an historian who wants to go up for a TT position unable/unwilling to revise and submit a proposal in four to six years (which is the real norm in practice, as far as I am aware). Plus, you can always extend the embargo.

There’s a long tangential section about the current economic climate of library acquisitions, which doesn’t share anything new until it gets to Truschke’s discussion of a company called YPB which apparently flags first books that began their lives as dissertations. We don’t really get any of the data required to assess just how significant this is, however: not how prevalent YPB’s presence is in the total academic publishing pie, not how they know a book is a revised dissertation, not how many university libraries use/know about/care about their existence. This is a throwaway section for me (though it’s also important, I think, to note that Wikipedia lists a hundred and two university presses in the United States, eight of which serve as the basis for her article. Truschke says she interviewed big ones. Considering the difference between Duke UP (120 titles and 40 journals annually) and Kent State UP (30-35 titles annually) is so disparate, I might expect market forces to act on them differently: this study has some data on p. 372 regarding this).

Equally unhelpful is this little gem towards the end:

“[S]ome university press editors that are concerned with an online dissertation adversely affecting book sales favor takedowns over embargoes . . . Ten years ago, Harvey said, taking down the dissertation from ProQuest was required for authors publishing with Stanford University Press . . .  I wonder, however, if many junior scholars underestimate their ability to disagree with the press publishing their book and perhaps feel pressured to take down the dissertation when they would prefer not to do so.”

The issue here isn’t what to do once you’ve got a UP book contract. Embargoes are enacted to increase our chances on the front end–to get the offer in the first place. Plus, if Harvey wants to publish my first book but our dealbreaker is that I want my dissertation to remain online, I’m not going to be all that concerned about finding another home for the manuscript in the near future. Which Harvey clearly understands: “These days, however, the press concedes that authors hold varying views, and they will not insist on a takedown.”

The larger problem here, of course, is the murkiness of the whole enterprise of academic publishing. There has yet to be (to my knowledge) any robust statistical evaluation of the interaction between the open-access phenomenon and university press contracts that moves beyond “lets talk to the UP editors/directors/someone ‘in the know.'” Let alone one that is able to account for all the other forces acting in the field (which Truschke mentions at different times)–the contraction of library budgets, the reductions in and changing criteria for TT hirings at universities, piracy, etc., etc.

In the end, then, here’s the clearest formulation of Truschke’s argument: embargoing your dissertation doesn’t seem, in most of the cases university press editors were willing to share with me so I could write this piece about a practice that directly comments upon their access to the very material that would allow them to do their job to its fullest, to have any negative or positive benefits. Because even when seven percent tell you it matters whether your dissertation is freely available, their not really telling the truth. Except for right now, to me.

What we are left with is either a) statistical evidence like the kind Truschke (or this study she cites) is using, which mostly doesn’t tell us anything all that useful for those considering embargoing their dissertations, and b) anecdotal evidence like the kind Truschke offers which says not to worry. Well, you have your anecdotal evidence. I have my own. And until someone comes along with some more persuasive data I’ll keep my embargo, thank you very much.



One thought on “The Signal and the Noise on Dissertation Embargoes

  1. Do you find the history of science does not get sufficient media attention, compared to, say, military history or political history? And, that military or political events have been impacted by science more than one would therefore be led to believe?

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