Electronic Theses and Dissertations @ Baylor University: Embargoes

At Baylor University we provide graduate students with 2 options for embargoing their theses:

• 2-year embargo -- This option is best used if you have a pending journal publication and the publisher requests that you delay access to your thesis or if you have patent and/or similar proprietary reasons for withholding your thesis from open access. This option restricts access to your work for a period of two years from the graduation date.
• 5-year embargo -- This option is best used if you are (or will be) submitting material to a journal or book publisher. Some publishers prefer not to publish material that has been openly accessible. This option restricts access to your document for five years from the graduation date.

Additional information about embargo options at Baylor University:

• The creator of the work can contact libraryquestions@baylor.edu and request that the embargo be extended.
• We have a one-semester grace period before we make the thesis openly accessible.  In other words, if a student graduates in December 2014 and has requested a 2-year embargo, we would make that thesis openly accessible at the end of the spring semester, May 2017 -- unless we had communciation from the creator of the work to extend the embargo.

The issue of embargoes of electronic theses and dissertations is a complex one and often fraught with emotional energy.  Below are some resources from varied perspectives that may help provide some insight on these issues.

• Association of Research Libraries. (2014) "AAU-ARL Prospectus for an Institutionally Funded First-book Subvention".
• American Historical Association. (2013) "American Historical Association Statement on Policies Regarding the Embargoing of Completed History PhD Dissertations".
• American Historical Association. (2013) "Statement on Policies Regarding the Embargoing of Completed PhD Dissertations: Frequently Asked Questions".
• Anderson, R. (2013) "Dissertation Embargoes and the Rights of Scholars: AHA Smacks the Hornet's Nest". The Scholarly Kitchen.
• "Can't Find It, Can't Sign It: On Dissertation Embargoes". (2013) Harvard University Press Blog.
• Cirasella, J & Thistlethwaite, P. (2017) "Open Access and the Graduate Author: A Dissertation anxiety Manual". In K. L. Smith & K. A. Dickson (Eds.), Open Access and the Future of Scholarly Communication: Implementation (pp. 203-224). Lanham, MD: Rowman & Littlefield. 
• Gilliam, C. & Daoutis, C. (2019) "Can Openly Accessible E-Theses Be Published as Monographs? A Short Survey of Academic Publishers". The Serials Librarian 75:1-4, 5-12.
• Guilliano, J. (2013) "I'll See Your Open Access and Raise You Two Book Contracts: or Why the AHA Should Re-think Its Policy".
• Harwell, J. (2013) "ATG Hot Topics of the Week: ETD’s, AHA, YBP, etc."  Against the Grain.
• Hattem, Michael D. (2015) "Debating the History Dissertation Embargo Policy at the Annual [American Historical Association] Meeting".
• Hawkins, A. R., Kimball, M. A., & Ives, M. (2013) "Closing the Deal: Coercion, Ethics, and the Enthusiasms for Open Access ETDs". The Journal of Academic Librarianship 39:1, 32-60.
• Henry, G.. (2014) "Guide to Access Levels and Embargos of ETDs". In Guidance Documents for Lifecycle Management of ETDs, 2-1 - 2-15. 
• Howard, J. (2011) "The Road from Dissertation to Book has a New Pothole: The Internet". Chronicle of Higher Education.
• Jaschik, S. (2013) "Embargoes for Dissertations?".  Insider Higher ED.
• Koh, A. (2013) "Publishing Your Dissertation Online: What's a New Ph.D. to Do?".  Chronicle of Higher Education .
• McCutcheon, A. (2010) Impact of Publishers' Policy on Electronic Thesis and Dissertation (ETD) Distribution Options Within the United States. Ohio University.
• Medieval Academy of America. (2014) "Medieval Academy of America Statement on Online Dissertation Embargoes".  
• Patton, S. (2013) "Embargoes Can Go Only So Far to Help New PhD's Get Published, Experts Say". Chronicle of Higher Education.
• Patton, S. (2013) "Scholarly Group Seeks Up to 6-year Embargoes on Digital Dissertations". Chronicle of Higher Eeducation.
• ProQuest/UMI. (2009) "Open Access Compared to Traditional Publishing".
• Ramirez, ML; Dalton, JT; McMillan, G; Read, M; Seamans. (2013)  "Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Social Sciences and Humanities? Findings from a 2011 Survey of Academic Publishers". College & Research Libraries 74:4, 368-380.
• Ramirez, M., McMillan, G., Dalton, J. T., Hanlon, A,, Smith, H. S., and Kern, C.. "Do Open Access ETDs Effect Publishing Opportunities in the Sciences?" (2014) College and Research Libraries 75:6, 808-821. 
• Sinor, J.  "One Size Does Not Fit All in Open Access". (2014) Chronicle of Higher Education.
• Smith, K.  "ETDs, Publishing & Policy Based on Fear".  (2013) Scholarly Communications @ Duke.
• Smith-Cruz, S.  "Dissertation Dilemma: To Embargo or Not to Embargo?".  (2014) City University of New York Graduate Center Library Blog.
• Straumsheim, C. (2014) "Accidental Exposure". Inside Higher Education.
• Stern, D. (2014) "Student Embargoes Within Institutional Repositories: Faculty Early Transparency Concerns".  Journal of Librarianship and Scholarly Communication  2:2:eP1080.
• Thatcher, S. (2007) "Dissertations into Books? The Lack of Logic in the System". Against the Grain.
• Thatcher, S. (2008) "Foreword to Revising Your Dissertation: Advice from Leading Editors". Berkeley, CA: University of California Press.
• UCLA Libraries. (2014) "Dissertation to Book: Separating Truth from Fiction".
• University of Guelph. (2010) "Scholarly Publishing in the Humanities and Social Sciences". In particular, look at Part 4, "Turning a Thesis into a Book; Protocols for Publication; Ethics of Consideration".
• Wissoker, K. (2013) "The Relationship Between Research and Publication, Or Why Libraries Should Buy More First Books Than Any Others". Scholarly Kitchen .