The Submission Period
Let's suppose that our would-be author is a tenured professor of humanities at a small mid-western college. He has already published his doctoral thesis and numerous articles in professional journals.
He has never published fiction. Now he is writing his first novel, which takes place in post-World War II Germany, a period and place of special interest to him.
Since his proposal has already been turned down at his own university press, and realizing that most fiction is placed with publishers through literary agents, the professor begins a solicitation of thirty agents, sending them each a ten-page outline of the novel, his bio (brief autobiographical sketch), his dissertation, and reprints of some of his articles.
After months with no success, an agent from New York, whom the professor had met briefly at a professional conference, expresses interest in the book. The agent suggests a meeting in New York (at the professor's expense), where the project can be discussed more fully. During lunch at the Algonquin Hotel, a celebrated authors' hangout, the agent confirms to the professor that she thinks she can sell the book, but will need to see certain changes in the outline that will make the book more salable to the publisher. The professor disagrees in principle, but finally agrees to submit a revised outline in a few weeks.
About a month after the agent's receipt of the revised outline, the professor receives a call from her with the good news that a major trade book publisher is very interested in the book but wants to see two completed chapters before making a commitment. The professor is reluctant to comply without a contract but agrees when the agent says that it's common practice.
Because the professor had done several rough drafts of the whole book a year before these discussions, it takes him only a few months to complete the chapters. The publisher reads the chapters, is impressed with the quality, and agrees to publish the book on the next year's fall list, which will give the professor about fourteen months to write the book.
(A few words about lists and seasons: Most publishers have three principal seasons-winter, spring/summer, and fall-when they issue catalogs showing their "list." The list includes some of the publisher's list of books already in print-the backlist-as well as its forthcoming titles for that season-the frontlist. The frontlist, of course, receives greater emphasis.)
Before a decision can be made on a submission, the project must first be approved by the publisher (the titular editorial head of the company) and by other editorial and marketing brass. Any strong negative arguments, such as poor sales of similar novels, can kill a book proposal. In this case, the publisher's enthusiasm for the plot and the professor's fluid writing style win out.
The agent handles the deal with the publisher's acquisition editor, and after some negotiation, they agree to an advance of $8,000, half on signing and half on completion of the accepted manuscript, a respectable figure for a first-time novelist. The author idealized an advance of $25,000, but this was not to be.
One must understand the precariousness of publishing a work of fiction, particularly one by a new author. In a given year, American publishing houses put out more than three thousand new fiction titles to a booksellers' market that can't absorb that many works. Further, much of what sells is commercial "good read" fiction of the Judith Krantz, Jackie Collins, and Sidney Sheldon variety. Literary fiction, such as the professor's book, appeals to a much smaller market.
After the agent and the publishing house's editor-in-chief have agreed on all points and a contract has been signed, the professor is invited to New York to meet with the publisher's staff on procedures, coordination, scheduling, a possible author's tour, and similar details.
The Author Meets the Publisher
At his visit to the publishing house, consisting of a two-hour lunch with his assigned editor and a few hours chatting with other people, the author is a bit disappointed. Somehow he thought his book would be greeted with more fanfare, more enthusiasm. He is, however, impressed with his own editor, who conveys the feeling that the book will be a success if the style, tone, and pace of the first chapters carry through. She is the author's primary contact throughout the writing stage.
The author/editor relationship is key to the writing process, with the editor assuming many roles. At various times, she may goad, cajole, question, and praise. Often the simple comment, "What do you really mean?" or "You can do better than that" may be all that's needed to shore up a shaky section. The editor's firm hand-holding is particularly important when working with a first-time novelist.
In our hypothetical situation, the professor goes home and settles down to the meticulous and rigorous task of writing the book. As with most authors, there are infertile periods and many distractions, but with stamina and self-discipline, the professor perseveres, and fifteen months after his meetings in New York, he submits the first of several drafts of the manuscript.
When the manuscript is finally accepted, the laborious regimen of development and copyediting begin at the publishing house. After being read for content, the manuscript is checked and rechecked for style, usage, grammar, and punctuation. When this process is completed, the manuscript is ready for typesetting, the first stage in the manufacturing process.
The Marketing Stage
During the editing period, the editorial and marketing people have been meeting to plan the marketing campaign for this book and others on their fall list. Catalogs for the trade are being printed. On the strength of what the marketing people have seen of this novel, they budget a paltry $15,000 for a marketing campaign and agree to a ten thousand-copy first printing. The campaign will include small ads in the Village Voice Literary Supplement and in a half-dozen literary journals. The publicity department plans a four-city author's tour.
When the professor/author first visited the publisher, he met with the promotion and publicity managers who learned that the author had been in military government, stationed in Germany, after World War II. The book will be somewhat autobiographical, as are many first novels.
The central character of the novel is an American military governor who becomes involved with a half-Jewish German woman who was able to survive the Holocaust by hiding her true identity. The emotional aspect and the author's involvement are deemed to be sufficient ammunition for a promotional thrust.
However, the publisher will not commit to best-seller promotion until there are favorable reviews and good early sales results. The book receives only a quarter-page in the publisher's spring catalog, not indicative of a great deal of optimism. One positive factor-the marketing people have come up with a new catchy title that should bolster its sales. The author shudders at the new title, but as a firsttime novelist, he is not given a choice.
While the book is being copyedited, the design team at the pub-lisher has been making decisions on the book's typeface, page layouts, and the artwork for the cover. The company's publisher and editor-in-chief approve the design, but it is not shown to the author until it is a fait accompli.
As soon as the cover is color-proofed, a simulated book is pre-pared. It consists of bound type galleys with a cover wraparound. The galleys are the complete text of the book, but are usually uncorrected at this time. Bound galleys are sent to reviewers early enough to make their deadlines. They are also sent to other authors and celebrities, inviting testimonials that can be used on the book's back cover and for promotional purposes.
The subsidiary rights people submit the bound galleys to the major book clubs. Although the two largest clubs, Book-of-the-Month and Literary Guild, do not buy it, a small scholarly club elects to make the book its principal monthly selection. Book club selection conveys prestige to a book and is a definite advantage in promoting sales.
The book goes to press about three months before its publication date, allowing adequate time for it to be distributed to wholesalers and bookstores.
When the first books come off the press and are delivered to the publisher, most of the staff agrees that it is indeed an accomplished novel, one destined for success. The editor-in-chief and the author's editor send him special congratulatory notes. At this point, general good feeling abounds.
Meanwhile, the author begins preparation for his tour. Although a practiced speaker, he is tense about the media interviews.
The book receives mixed reviews. It doesn't make The New York Times Book Review, but the Village Voice review says it is "marked by extraordinary psychological insight." A review in the LosAngelesTimes refers to the author as "an emerging talent." Still another review says that the author "writes in the shadow of Saul Bellow." In general, the reviews are optimistic, but not the stuff that makes books run off the shelves.
The Tour
The author begins his tour. As an unknown, he must establish rapport with the interviewers. Unfortunately, he finds himself saying the same thing to three or four interviewers in the same city. The rigors of traveling and interviews prove exhausting. He is further frustrated when he appears at book signings and only a few dozen people show up. The author complains to his editor about the poor promotion, but to no avail. Particularly distressing is the sight of a book superstore not stocking the book.
The subsidiary rights manager makes a pitch to the major movie studios for possible movie rights. She is unsuccessful, being told generally that the story is not high-concept enough to make a movie.
Foreign sales rights are pursued early in the process of a book's publication. Large publishers maintain ongoing relationships with certain publishers in foreign countries that receive first refusal on a publisher's properties.
In our hypothetical situation, a major publisher in Germany buys the rights for a $4,000 advance and a six-thousand-copy first hardbound printing. Of course, the story takes place in Germany, which explains the interest. Publishers in other countries take a wait- and-see attitude by passing on the rights until the book has a U.S. sales history.
The subsidiary rights people are not too disappointed because the book will be on sale for a few months by the time the Frankfurt Book Fair begins in October. Then, if the book is successful in the States, there will be dozens of opportunities for foreign rights sales.
The Aftermath
When all the returns from bookstores are taken, the book sells about seven thousand copies, the rest are to be remaindered. Remainders are unsold books disposed of by a publisher below cost to bookstores that, in turn, offer them for sale to their customers at a fraction of the book's original price. The book never goes to paperback and is not optioned as a movie.
Here is the story of a potential bestseller-at least in the author's mind-but it doesn't happen. The book is well written, but perhaps the publisher didn't support it enough. In fairness to the publisher, however, this novel is just another piece of literary fiction that is difficult to propel to the top. In the end, the publishing house doesn't quite make back its expenses on the book. Other than his advance, the author/professor receives no additional income. He returns to the serenity of academia somewhat disillusioned. He is not prepared to accept that only a few dozen of the three thousand novels published each year make the best-seller list. Or, in another sense, only an insignificant number of authors get rich from their craft.
After initial disappointment, the professor begins thinking about his next novel, this one about a lusty, fortyish English professor and her affair with a twenty-year-old track star. Maybe this one will make it.
