Instructions:
- EDITORS - please answer the questions using the enterprise identified in the cover email as your point of reference.
- PUBLISHERS / PUBLISHING COMMITTEE CHAIRS - please refer to policies governing the journals or books published by your society, organization or company.
- The word ENTERPRISE is used throughout this survey to refer to a journal, a press, or a publishing company.
- By providing Personal Information (at the end of the survey), you will be entered into a drawing for a $50 gift certificate from Amazon.
Q1. Please choose the appropriate answer to the following questions as a means of identifying participants in broad categories:
1A. My affiliation with the enterprise identified in the email request for participation is as:
Other (14/53 responses) 
Publisher (7/53 responses) 
Editor (32/53 responses) 95.83% of the people who took this survey
(46 / 48) answered this question.
Other Responses (14 for this question) "Administrative Assistant" "editorial asst. (acquisitions)" "Managing Editor"( 3 ) responses "ntelligent Control techiques in electrical energy conversion system" "other"( 7 ) responses "Research Assistant"
1B. The enterprise identified is:
For Profit (11/46 responses) 
Not-for-Profit (35/46 responses) 95.83% of the people who took this survey
(46 / 48) answered this question.
1C. The broad subject area(s) covered by the enterprise(s) are: (select as many as appropriate)
Social Sciences (22/131 responses) 
Life Sciences, Health and Medicine (15/131 responses) 
Other (56/131 responses) 
Psychology (5/131 responses) 
Physics (4/131 responses) 
Mathematics & Statistics (3/131 responses) 
Engineering (7/131 responses) 
Environmental Studies (9/131 responses) 
Chemistry (5/131 responses) 
Biology & Biochemistry (5/131 responses) 97.92% of the people who took this survey
(47 / 48) answered this question.
Other Responses (56 for this question) "Biotechnology, Nanotechnology, Infotechnology" "Education; Technology" "Feminism" "gender studies" "General Medicine" "history"( 2 ) responses "history of behavioral and social sciences" "History of Medicine"( 2 ) responses "history of science" "history of technology" "humanities"( 4 ) responses "humanities [philosophy and Religious Studies]" "Humanities, Law" "Humanities; also regional/general interest books" "other"( 25 ) responses "Phil of Sci" "Philosophy"( 3 ) responses "Philosophy (Humanities)" "Philosophy of Science" "Philosophy of Technology" "Philosophy, Ethics, Public Policy, Culture Studies" "Philosophy/Technology" "politics" "Science Policy" "Science, Technology & Society" Q2. Traditionally, the submission of a manuscript for publication implies that the paper has not been published elswhere and is not currently under consideration for publication elsewhere.
2A. Does the identified enterprise have policies on prior publication and simultaneous submission?
Yes - Proceed to Q 2B (33/47 responses) 
In some, but not all cases - Proceed to Q 2B (11/47 responses) 
No (Thank you for participating in the survey.) (2/47 responses) 
Don't know (Thank you for participating in the survey.) (1/47 responses) 97.92% of the people who took this survey
(47 / 48) answered this question.
2B Is the policy specifically stated in the 'Guidelines to Contributors' or as a statement of Editorial Policy which is readily available to submitting authors?
No - Proceed to Q3 (14/44 responses) 
Yes - Proceed to Q 2C (25/44 responses) 
In some, but not all cases - Proceed to Q 2C (5/44 responses) 91.67% of the people who took this survey
(44 / 48) answered this question.
2C. Does the policy specifically refer to work which may have been made electronically accessible on the Web?
No - Proceed to Q 2E (26/35 responses) 
In some, but not all cases - Proceed to Q 2D (4/35 responses) 
Yes - Proceed to Q 2D (5/35 responses) 72.92% of the people who took this survey
(35 / 48) answered this question.
2D. At what level was the policy set with respect to work accessible on the Web?
Don't know (2/17 responses) 
Parent Organization or Society (1/17 responses) 
Publisher (5/17 responses) 
Editorial Board (4/17 responses) 
Senior Editor (0/17 responses) 
Editor-in-Chief (5/17 responses) 35.42% of the people who took this survey
(17 / 48) answered this question.
2E. Why has specific reference to Web-based publications NOT been mentioned in the policy?
Don't know (1/37 responses) 
Manuscripts are handled on an individual basis with regard to this policy (9/37 responses) 
It is implied that the policy extends to Web-based publications (7/37 responses) 
Editorial policy has not yet been set on this issue (10/37 responses) 
Other - please elaborate (10/37 responses) 66.67% of the people who took this survey
(32 / 48) answered this question.
Other Responses (10 for this question) "it has been an issue" "No official web site for publication as yet in our field" "other"( 5 ) responses "Policy was just set by the editors recently." "the policy varies -- more formal websites need to be approved case by case; we consider websites for dissertations a non-publication in the same way that Ann Arbor U Microfilms are a non publication. This partly because of the informality of the site an" "Web-published pieces are viewed as published pieces by the journal." Q3. According to the editorial policy governing the identified enterprise, which of the following would constitute 'prior publication' in electronic format?
3A. Please indicate by selecting as many as are applicable.
Online thesis or dissertation with access limited to campus or institution (4/92 responses) 
Other - please elaborate (27/92 responses) 
None of the above (15/92 responses) 
Conference proceedings available through a Web-based server (14/92 responses) 
All of the above (3/92 responses) 
Research results available on a personal homepage prior to peer-review (7/92 responses) 
Research results available through a pre-print server (e.g., Los Alamos) (9/92 responses) 
Online thesis or dissertation widely available through a Web-based archive (13/92 responses) 93.75% of the people who took this survey
(45 / 48) answered this question.
Other Responses (27 for this question) "determined on individual basis" "don't know--new issue" "finished or nearly finished article on public publication style website" "I would consult with the parent organization regardin the questions on research results. Dissertations are too long for published articles and must be rewritten, thus would not necessarily count as previously published." "if the electronic format included a copyright commitment" "not discussed/settled" "other"( 14 ) responses "publication in an electronic journal--such as mine" "Publication in an on-line journal" "Publication in electronic journal" "Publication of the submitted paper in an E-Journal" "Regarding research results, it would depend what proportion of the submitted manuscript was composed of the results. If the results formed only the basis of the written paper, it would be acceptable." "The policy of the journal is that anything may be submitted as long as it has not been made generally public (in that order)" "We don't have policy about any form of e-publication, so this is just my guess about where we'd come down: Of the items on your list, only the first (online thesis or disseration widely available ...) might count as prior publication in our view. And even that much prior exposure might be acceptable to us, or at least eligible for consideration on a case-by-case basis."
3B. Does your personal opinion on this question differ in any significant way from the policy of the journal or society/organization? (If Yes, please elaborate)
Yes (3/42 responses) 
No (39/42 responses) 87.5% of the people who took this survey
(42 / 48) answered this question.
Text Responses (6 for this question) "Before publication, a thesis undergoes extensive revisions. The resulting book is an entirely new work and, therefore, e-posting of the original thesis does not constitute publication." "But see comment in 3A." "don't know--it hasn't come up" "I consulted with the society's board prior to answering the survey, and this was the consensus." "In many ways the policy has yet to be determined in full. I think policy has not been set yet because most of members still seek publishing in conventional (traditional) formats." "This is the first time it has come up--I've forwarded question to the press"
Q4. Dissertations have traditionally been available IN PRINT through interlibrary loan requests or by purchasing copies from University Microforms International (UMI).
4A. According to the editorial policy governing the identified enterprise(s), under which circumstances would a manuscript derived from a PRINT dissertation be considered for publication?
Manuscripts derived from print dissertations are welcome for submission. (24/46 responses) 
Manuscripts derived from print dissertations are considered on an individual basis. (16/46 responses) 
Only if the contents and conclusions in the manuscript were substantially different from the dissertation in print. (2/46 responses) 
Other - please elaborate (3/46 responses) 
Under no circumstances. Research published as part of a dissertation is considered previously published, regardless of format. (1/46 responses) 91.67% of the people who took this survey
(44 / 48) answered this question.
Other Responses (3 for this question) "A lot has to do with the size of the potential market for the book. Also, most web-based previously published material is free whereas most print previously published material has a price to the user. That makes a big difference." "Need to be condensed and contextualised." "other"
4B. Does your personal opinion on this question differ in any significant way from the policy of the journal or society/organization? (If Yes, please elaborate)
Yes (1/43 responses) 
No (42/43 responses) 89.58% of the people who took this survey
(43 / 48) answered this question.
Q5. Initiatives to make theses and dissertations accessible through Web-based archives are receiving growing support. It is common practice to set the level of accessibility according to the wishes of the doctoral candidate, who may have concerns about subsequent publication opportunities.
5A. According to the editorial policy governing the enterprise(s) identified, under which circumstances would a manuscript derived from a Web-based dissertation be considered for publication?
Manuscripts derived from Web-based dissertations are considered on an individual basis (15/51 responses) 
Only if the online dissertation has access limited to the campus or institution where it was completed (0/51 responses) 
Manuscripts derived from Web-based dissertations are welcome for submission (16/51 responses) 
Only if the contents and conclusions in the manuscript were substantially different from the dissertation (5/51 responses) 
Under no circumstances. Manuscripts derived from research made widely available via the Web are considered previously published. (1/51 responses) 
Other - please elaborate (13/51 responses) 
Under no circumstances. Manuscripts derived from research published as part of a dissertation are considered previously published, regardless of format. (1/51 responses) 91.67% of the people who took this survey
(44 / 48) answered this question.
Other Responses (13 for this question) "Again, we've yet to set policy on this. My guess is that how we'll come down depends on our assessment of (1) whether our review process involves substantially more peer review than is typically applied to dissertations, and (2) the difference between the amount of exposure afforded by the prior availability of the dissertation online and the amount of exposure any derivative paper would receive via publication in our journal. It might turn out that our policy would be to decide on a case by case basis." "Issue under discussion; my personal preference is that they are welcome" "Never arisen, but cannot see any a priori objections" "No definitive policy on these questions as yet. At this point, manuscripts would be considered individually." "other"( 5 ) responses "Please note "derived from" - it does not have to be substanitally different, but it must be reworked" "They do need to be taken off the web" "time is running out and I don't understand the question" "We would expect the highest level possible of restrictions on access to the web diss, before we would agree to publication"
5B Does your personal opinion on this question differ in any significant way from the policy of the journal or sociey/organization? (If Yes, please elaborate)
Yes (1/43 responses) 
No (42/43 responses) 89.58% of the people who took this survey
(43 / 48) answered this question.
Text Responses (1 for this question) "But see comment in 5A."
Additional Comments:
Text Responses (17 for this question) "1. It is a condition of publication in this journal that authors vest copyright in their articles, including abstracts, in the foundation that owns the journal. 2. We reserve the right to alter our policy on prior publication in the light of changing technology." "A thesis or disseration is significantly different in structure and purpose than a book. We do not considered unrevised theses or dissertations for publication" "Any book that we publish goes through an extensive review process, often with several rounds of revision. In cases where the project originated as a dissertation, the final book is generally three or four years of work away from that dissertation. A dissertation is written with the author knowing the entire audience, and with the assurance that the audience will read it (indeed they are paid to do so by the institution). The whole structure of argument in a book, where the audience is anything but assured, is completely different." "For work of innovative quality to move from one context to another is, necessarily, important - as long as it is innovative or promotes innovation." "FYI: We are not a scientific journal. We are a consumer magazine with articles written by journalists, not scientists. We do not publish dissertations or theses. However, we are interested in hearing about new technologies in the areas of nanotech, biotech, and infotech and would welcome leads for stories about research in any of these areas. thanks." "I appreciate the need to further research and scholarship, however, i would like the researchers to understand just how busy folks in the publishing industry are these days. In other words, it is extremely difficult to justify the time spent on such activities as this, even though it takes "only 10 minutes." Good luck." "I consider papers based on chapters of a thesis or dissertation to be appropriate submissions to my journal. Chapters in theses and dissertations invariably need a lot of additional work to turn them into publishable papers. Typically a chapter submitted as a paper is not adequately self-contained. References to other chapters, for example, need to be removed and some substantial amount of of discussion or argument needs to be put in their places. The author may also wish to rewrite simply because new ideas, arguments, or perspectives came up after the thesis or dissertation was written. Submitting papers based on chapters in theses and dissertations is a good first step in a young scholars career. The appearance of a paper on the web is irrelevant since such postings are unlikely to be permanent. The exception might be refereed electronic journals. However, young scholars should focus on print journals at least in their first years." "i wavered between the choices of "are welcome" and "are considered on an individual basis" - bacause both are true. The word "derived" is also very important, because we would not publish a thesis or dissertation in its raw form. A significant portion of our articles, however, are BASED on research that originally appeared in dissertations, and we will continue to welcome them regardless of whether the dss. have been "published" electronically, or in the traditional way." "I'm afraid that my answers are perhaps not as definitive as you might like. That's simply a consequence of our not having adopted policy on this issue. I hope I've least given you an indication of what I take to be the relevant considerations for us. I can see that we ought soon to get clearer about this issue." "In history of science, technology and medicine, as in history, dissertations are available through UMI and can be ordered through libraries. If UMI were to arrange to have them accessible on the web as "loans" for a rental fee, I don't believe they not considered published materials--just the same material sent via a new medium. These are not published materials technically, although they are covered by copyright meaning that the ideas and data have to be cited by anyone who uses them in other publications; however, not all universities allow dissertations to be sent to UMI. Harvard is an example. The terminology you are using creates a problem where distinctions have recognized the difference between the raw dissertation and the revised book that ads and amends it which comes later. Mass marketing of dissertations will cause innumerable problems in the nature of scholarship, the process of graduate education, the refinement and clarification of argument, etc., that will harm the scholarly enterprise." "In short. Thesis are just being published if they are exceptionally good and form a true contribution to the scholarly debate on the highest level. They get refereed by us anyway and usually the author needs to amend the thesis in order to make it a bit more interesting to read. Furthermore the printrun of these thesis are usually only for internal use and quite small so this would not effect our market significantly. Good luck with the work, Rudolf Rijgersberg" "In the emerging electronic environment, the very meaning of "publication" is obviously undergoing significant change. Nevertheless, the central issue is public access to the finished work. If that is available, then the work does not require another outlet - hence it is published. Virginia Tech is doing it's students concisderable harm by ignoring the central concept behind publication." "Issue also needs to be addressed--article already published before thesis concluded, so journal owns copyright; does copyright then have to be released to allow for electronic publication? I don't know." "Manuscripts derived from dissertations, web or print form, would be sent for peer review, and revisions would be expected prior to publication." "we always expect an article submitted to be a bit different from a dissertation chapter bybut manyy submissions are based on them" "We are dealing with a universe of people with limited means. If they can get something for free on the web, why should they buy it? Maybe for readability, but in a couple of years screens will be easier to read on and even more portable. These web disserations seriously cut into the market for books by presses that are hanging on, financially, by their fingernails, even now." "You are raising something which to my knowledge has never arisen (thank you for bringing it to my attention), but as we have never obvjectyed to publishing papers based on UMI theses (which as you say are effectively in print), I cannot see that we would object to apaper based on a web-available dissertation. Indeed, it might make for a better paper as readers could be referred to the web-thesis for the fine details or additional data. However, my journal is ninthe history of chemistry and, in contrast to scientific theses, material from theses in this field are usually substantially reworked before publication anyway."
CONCLUSION: Thank-you for taking the time to contribute your valued opinions on this matter. Your further participation would be most welcome at the upcoming Fourth International Symposium on Electronic Theses and Dissertations to be held at the California Institute of Technology, Pasadena, CA, March 22-24, 2001. The planning committee is organizing a panel of publishers and editors to discuss the issues touched upon in the survey and other issues inherent in the complex environment of electronic scholarship. If you are interested in contributing to the discussion at the Symposium, please contact me (Nan Seamans) or Gail McMillan at Virginia Tech.
Further Reading: Publishers and the NDLTD may be of particular interest to survey participants who wish to read some early responses from the publishing community to the Electronic Theses & Dissertations initiative.
Are you willing to be quoted by name?
Yes (23/46 responses) 
No (23/46 responses) 95.83% of the people who took this survey
(46 / 48) answered this question.
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http://lumiere.lib.vt.edu/surveys/results/view_results.php3
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