Statement on Policies Regarding the Embargoing of Completed History PhD Dissertations
AHA Council, September 2013
At its June 2013 meeting, the AHA Council drafted a statement on policies regarding best practices for embargoing completed history PhD dissertations. We welcome further discussion on this issue either online at the AHA Today blog, or in letters to the editor of Perspectives.
The American Historical Association strongly encourages graduate programs and university libraries to adopt a policy that allows the embargoing of completed history PhD dissertations in digital form for as many as six years. Because many universities no longer keep hard copies of dissertations deposited in their libraries, more and more institutions are requiring that all successfully defended dissertations be posted online, so that they are free and accessible to anyone who wants to read them. At the same time, however, an increasing number of university presses are reluctant to offer a publishing contract to newly minted PhDs whose dissertations have been freely available via online sources. Presumably, online readers will become familiar with an author's particular argument, methodology, and archival sources, and will feel no need to buy the book once it is available. As a result, students who must post their dissertations online immediately after they receive their degree can find themselves at a serious disadvantage in their effort to get their first book published; it is not unusual for an early-career historian to spend five or six years revising a dissertation and preparing the manuscript for submission to a press for consideration. During that period, the scholar typically builds on the raw material presented in the dissertation, refines the argument, and improves the presentation itself. Thus, although there is so close a relationship between the dissertation and the book that presses often consider them competitors, the book is the measure of scholarly competence used by tenure committees.
In the past, most dissertations were circulated through inter-library loan in the form of a hard copy or on microfilm for a fee. Either way, gaining access to a particular dissertation took time and special effort or, for microfilm, money. Now, more and more university libraries are archiving dissertations in digital form, dispensing with the paper form altogether. As a result, an increasing number of graduate programs have begun requiring the digital filing of a dissertation. Because no physical copy is available, making the digital one accessible becomes the only option. However, online dissertations that are free and immediately accessible make possible a form of distribution that publishers consider too widespread to make revised publication in book form viable.
History has been and remains a book-based discipline, and the requirement that dissertations be published online poses a tangible threat to the interests and careers of junior scholars in particular. Many universities award tenure only to those junior faculty who have published a monograph within six years of receiving the PhD. With the online publication of dissertations, historians will find it increasingly difficult to persuade publishers to make the considerable capital investments necessary to the production of scholarly monographs.
Students who choose to embargo their dissertations should be required to deposit a hard copy of their dissertation in the university library (or two if required as a condition for inter-library loan). Alternatively, if university libraries no longer provide any way to archive physical dissertations, students should be permitted to embargo the digital copy for up to six years, with access being provided only on that campus or with the student's explicit permission off campus.
By endorsing a policy that allows embargos, the AHA seeks to balance two central though at times competing ideals in our profession—on the one hand, the full and timely dissemination of new historical knowledge; and, on the other, the unfettered ability of young historians to revise their dissertations and obtain a publishing contract from a press. We believe that the policy recommended here honors both of these ideals by withholding the dissertation from online public access, but only for a clearly stated, limited amount of time, and by encouraging other, more traditional forms of availability that would insure a hard copy of the dissertation remains accessible to scholars and all other interested parties.
—Adopted July 19, 2013
This statement originally appeared on AHA Today.