On sharing work in progress and anonymity

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Photo Flickr / CC https://flic.kr/p/HtERrC

This essay is reposted with permission from the scatterplot sociology blog (where you can read some comments in response).


by Pam Oliver

I got involved in a debate over at orgtheory about the pluses and minuses of putting working papers on line at SocArXiv (or elsewhere). That debate was tangled up with a variety of issues around the proposal to require public posting of papers that win (or are submitted to) section paper award competitions.

In this post I want to avoid that tangle of other issues and open discussion/debate on the narrower question of whether the discipline of sociology as a field should do all it can to move toward the model of other fields, where working papers are routinely placed on public archives before they go through peer review for ultimate publication.

The sociology model as it is generally practiced involves writing a paper, presenting it at conferences and circulating drafts of it around for a year or more, submitting it to a journal, going through several iterations of rejections and R&Rs, and finally getting it published maybe 4 or 5 years after it the work was originally done. In the meantime, some people (those you were at conferences with or to whom you sent the paper) know about the work, while others working in the same area may not know about it and thus will not cite it or be influenced by it, junior scholars worry that their work will be scooped by a more senior person who gets the idea from a circulating PDF or as an anonymous reviewer, and knowledge as a whole bogs down.

The alternative model practiced in many fields is: (1) Do the work and present it at conferences as the work evolves.  Be known as the person/team working on problem X because you have talked about it at multiple conferences. (2) Post a working paper on ArXiv or SSRN etc. as soon as you think  you have something to report. (3) Other people cite and debate your work based on the ArXiv or SSRN etc version. If it is wrong it gets called out and fixed. If it is novel and correct, you get invited to more conferences to discuss it and you learn about the work others are doing in the same field. (4) Your paper slogs its way through peer review and ultimately gets published; then you link to the published version from the working paper site. 

I advocate moving from our current model to the open model. I think the academic field as a whole wins when the work is made public and accessible as soon as possible: the author wins from getting their work noticed, and knowledge wins from everybody knowing about it. This is also the best model for influencing public debate outside the academy. I think it is also best for young scholars. The best way to have some protection against others plagiarizing your work (or some recourse if they do) is to be able to prove when you did the work, and the best way to do that is with a time-stamped public archive. Additionally, it allows young scholars to get known while their work is still making its way to peer review and publication.

Changing models does involve some real issues. Here are the important issues and my thoughts about them:

(1) Issue: Posting work too early will make me look stupid, as the work will improve over time. Alternate version: other people posting work too early gives me too much bad work to read. Response: Don’t post work you think is stupid. But as the work improves you can: a) replace the paper with an updated/corrected version; b) make the paper unavailable if you realize it is wrong (i.e. basically retract it). My own evolving strategy has been to use the abstract on a working paper to state that this is a paper in process subject to revision. In one case, when I found an error in the paper, I annotated the corrected upload to note that it corrected an error in the earlier version. As far as other people’s work, you and I know that there is already a lot of published work that isn’t worth reading. Do what you do now: look at abstracts, skim possibly useful pieces, read closely only the ones that seem worth your time.

(2) Issue: Posting the work publicly will let other people know my name! I won’t be anonymous. Response: Yes, that is exactly the point. How else do you expect to build a career? Response to response: But what if Important People get mad at me or try to hurt me because I criticized them or said something that is politically unpopular? Or think my paper is stupid or wrong and look down on me? Response to response to response: These are real issues. If you write something with your name on it, your are held accountable for it. That is the price you pay if you want to be a scholar. Science accumulates from known individuals who stake their personal reputations on the veracity of what they write. You can be fired from a tenured professorship for falsifying your research reports. Fiction writers can be anonymous, but academics cannot. Anonymous blogs and social media accounts are another way to express opinions without being accountable (although it is getting harder and harder to stay anonymous).

(3) Issue: A standard practice of posting working papers before publication means that peer review will not be blind to the name of the author. Response: This is the biggest institutional change and needs some serious discussion. Does our current practice of removing the author’s name from publications undergoing peer review add enough value to outweigh the advantages of public posting of working papers? Does double-blind reviewing eliminate or at least mitigate the known biases against women, minorities, junior scholars?  This is a complicated issue. First, blinding the author’s name is already often a charade, a ritual practice in which reviewers pretend that they do not know who the author is, when they actually do. Competent reviewers will automatically recognize the work of the key people in their field and many reviewers Google a paper they are asked to review. (For the record, my own practice is to wait to Google until after I have written the review.) Additionally, the editors of journals, who are the ones who actually make the decisions, are never blind to the author. Most of us believe that the integrity of the review process depends upon the anonymity of the peer reviewer, as any journal editor or frequent reviewer will tell you that people are quite willing to criticize their friends under the cloak of anonymity. Most people who review value their integrity as scholars too much to lie about what they think about a paper. At the same time, the matter of conscious or unconscious discrimination by reviewers should not be rejected out of hand. I do think there is symbolic value in leaving the author’s name off the paper because it signals that their status, gender etc. ought not to be a factor. The forms that reviewers fill out could also include questions: Have you read this paper prior to being asked to review it? Do you know who the author is? Do you suspect who the author is? Is the author a friend? An enemy?

(4) Issue: Publishing working papers destroys the value of the peer-reviewed journals. And what about books? Publishers cannot afford to print materials that people can get for free on the Internet. Response: This is where we dig into the core of the open science debate. The current model is that universities pay twice for science, first by paying the professors and other staff to do the research, and again by paying publishers so they can put the work in a library.  Private publishers, who did not found journals nor do the entrepreneurial and academic work to build their reputations and prestige, have purchased the rights to journals and are extracting rents from them. Professional associations have taken a cut of these rents and so work to protect the publishers. This is the core of the fight. I will note that math and physics both rely on the ArXiv model (working paper before publication) and both fields still have private publishers extracting rents from them, so it is not clear that posting working papers actually hurts publishers, as long as the peer-reviewed article remains the gold standard for tenure.

The economics of the book publishing business is different and I am less certain how to address the book issues. It has become the case that many PhDs now embargo their dissertations and do not send them to Dissertation Abstracts as part of protecting the publishability of the book. This seems bad to me, as the record of dissertations (who did them, when, where, under which advisor) is itself of scholarly value. I will leave it to more knowledgeable people to debate the book business.

UPDATE: An additional issue: A journal will not accept my article if it has previously been posted on line. Response: This is one of the ongoing issues in open science. Journals vary in their policies, and disciplines vary in the mix of journal policies. I’ve heard that biology  and medical science are more closed, for example. Most sociology journals do not consider this to be prior publication [this is ASA policy –ed.], but there certainly is a risk that the defense of journal rents could go down this path. This is a link to a site that tells you the policies of specific journals. I think I saw a blog somewhere that pulled the sociology journals from this list, but I don’t have the link right now. It gets complicated because federal law increasingly requires that scientists who have received funding put their results in an open access place, so we are all facing pressures that go in different directions. In general, most sociology journals treat the paper you sent to them before review as yours to do what you want to with, and only restrict your use of the copy of the published version; some even let you post that.

SocArXiv grants seven Sociology Open Access Recognition Awards

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Photo pnc / Flickr CC https://flic.kr/p/2ard8ch

by Kelsey Drotning

This year, in recognition of a commitment to open access publishing and research excellence, SocArXiv granted the Sociology Open Access Recognition (SOAR) award to the authors of seven papers. Each paper was shared on SocArXiv, and then won a section award from the American Sociological Association (ASA). These authors elected to make their important research accessible to researchers, practitioners, legislators, students.

Each paper won a $250 travel prize for attending the 2018 ASA meetings.

We want to thank every scholar who shared a paper on SocArXiv, and encourage all researchers to keep posting papers on SocArXiv. Showcasing award-winning papers on SocArXiv helps us get the word out and motivates others to share their work. We don’t have the money to grant the awards again next year (unless someone makes a donation for this purpose!), but we believe that openly sharing research is good for both the field and for the scholars who participate. The practice produces more interested readers, quicker feedback and citations, and more connections between scholars and those they’re trying to reach. Thank you!

If your ASA section or other scholarly community would like to use SocArXiv as a platform for your award submissions, please contact us; we’re happy to help.

Here are the 2018 SOAR award recipients, with links to the papers:

 

Sociologists: Amend your agreements with ASA/Sage

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By Philip N. Cohen

This is a followup to a previous post, and contains some duplication.

I have spoken well of the policy that permits authors to post preprint versions of their papers before submitting them to journals of the American Sociological Association. That means you can get your work out more broadly while it’s going through the review process. The rule says:

ASA authors may post working versions of their papers on their personal web sites and non-peer-reviewed repositories. Such postings are not considered by ASA as previous publication.

The policy goes on to ask that authors modify their posted papers to acknowledge publication if they are subsequently published. That’s all reasonable. This is why SocArXiv and other services offer authors the opportunity to link their papers to the DOI (record locator) for the published version, should it become available. This allows citation aggregators such as Google Scholar to link the records.

The problem

Unfortunately, the good part of this policy is undermined by the ASA / Sage author agreement that authors sign when their paper is accepted. It transfers the copyright of the paper to ASA, and sets conditions under which authors can distribute the paper in the future. The key passage here is this:

1. Subject to the conditions in this paragraph, without further permission each Contributor may …

  • At any time, circulate or post on any repository or website, the version of the Contribution that Contributors submitted to the Journal (i.e. the version before peer-review) or an abstract of the Contribution.
  • No sooner than 12 months after initial publication, post on any non-commercial repository or website the version of the Contribution that was accepted for publication.

This is not good. It means that if you post a paper publicly, e.g., on SocArXiv, and then submit it to ASA, you can’t update it to the revised version as your paper moves through the process. Only 12 months after ASA publishes it can you update the preprint version to match the version that the journal approved.

This policy, if followed, would produce multiple bad outcomes.

One scenario is that people post papers publicly, and submit them to ASA journals for review. Over the course of the next year or so, the paper is substantially revised and eventually published, but the preprint version is not updated until a full year after that, often two years after the initial submission. That means readers don’t get to see the improved version, and authors have to live with people reading and sharing their unimproved work. This discourages people from sharing their papers in the first place.

In the other scenario, people update their preprints as the paper goes through the revision process, so they and their readers get the benefit of access to the latest work. However, when the paper is accepted authors are expected to remove from public view that revised paper, and only share the pre-review version. If this were feasible, it would be terrible for science and the public interest, as well as the author’s career interests. Of course, this isn’t really feasible — you can’t unring the bell of internet distribution (SocArXiv and other preprint services do not allow removing papers, which would corrupt the scholarly record.) This would also discourage people from sharing their papers in the first place.

The individual solution

Fortunately, you are a volitional agent in a free market information ecosystem, and you don’t have to just sign whatever PDF some corporate conglomerate puts in front of you. My suggestion is that you amend the agreement before you sign it. After receiving your acceptance, when the managing editor sends you the author agreement for your signature, politely notify the editor that you will be happy to sign the agreement with a minor amendment. Then strike through the offending text and add the amendment. I recommend the following text:

  • No sooner than 12 months after initial publication, post on any non-commercial repository or website the version of the Contribution that was accepted for publication.
  • At any time, post to SocArXiv (a non-commercial, open-access repository) the version of the Contribution that was accepted for publication, with a DOI link and bibliographic reference to the published Contribution.

Then sign the agreement and return it. Here’s a visual depiction of the amendment:

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Don’t panic! Yes, this publication may be the last thing standing between you and tenure or a better job. But the journal will not cancel your publication when you do this. The very worst thing that will happen is they will say “No!” Then you can roll over and accept the original agreement. (After the dust settles, I’d love it if you let me know this happened.) People amend these agreements all the time. Give it a try!

Here’s the relevant passage in “Alice’s Restaurant” (@ 14:32)

And the only reason I’m singing you this song now is cause you may know somebody in a similar situation, or you may be in a similar situation,

And if you’re in a situation like that there’s only one thing you can do and that’s walk into The shrink wherever you are, just walk in say “Shrink, You can get anything you want, at Alice’s restaurant.” And walk out.

You know, if one person, just one person does it they may think he’s really sick and they won’t take him. And if two people, two people do it, in harmony – they may think they’re both faggots and they won’t take either of them. And three people do it, three, can you imagine, three people walking in singing a bar of Alice’s Restaurant and walking out. They may think it’s an organization. And can you, can you imagine fifty people a day, I said fifty people a day walking in singin a bar of Alice’s Restaurant and walking out.

And friends they may think it’s a movement And that’s what it is, the Alice’s Restaurant Anti-Massacree Movement, and all you got to do to join is sing it the next time it comes around on the guitar. With feeling.

Fix the policy

So, what possible reason can there be for this policy? It is clearly intended to punish the public in order to buttress the revenue stream of Sage, which returns some of its profits to ASA, at the expense of our libraries, which pay for subscriptions to ASA journals.

I assume this policy is never enforced, as I’ve never heard of it, but I don’t know that for a fact. It’s also possible that whoever wrote the Publications policy I linked above didn’t realize that it contradicted the Sage author agreement, which basically no one reads. I also assume that such a policy does not in fact have any effect on Sage’s profits, or the profits that it kick backs to ASA. So it’s probably useless, but if it has any effects at all they’re bad, by discouraging people from distributing their work. ASA should change this author agreement.

I just got elected to the ASA Publications Committee, so I will add making this change to my platform, which I outlined here. I’m not optimistic about making policy changes at ASA in the current environment, but I am sure that the more people who join in the individual efforts, the greater our chances will be.

Call for Papers: Open Scholarship for the Social Sciences, 2018

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October 18-19, 2018

University of Maryland, College Park

SocArXiv will host the second O3S: Open Scholarship for the Social Sciences symposium on October 18 and 19, 2018 at University of Maryland, College Park. The symposium will (a) highlight research that uses the tools and methods of open scholarship; (b) bring together researchers who work on problems of open access, publishing, and open scholarship; and (c) facilitate exchange of ideas on the development of SocArXiv.

The symposium will feature two keynote speakers: Elizabeth Popp Berman, associate professor of sociology at University at Albany, SUNY; and April Hathcock, Scholarly Communications Librarian at New York University.

We invite social science papers or presentations related to the following themes:

  1. Research on any topic that includes open scholarship components. This may entail a demonstration case showing how to do an open scholarship project, providing data and code for results, working with collaborators, or other examples of open scholarship in practice.
  2. Research about open scholarship itself. This may include mechanisms for making data and code public, workflow processes, publication considerations, citation metrics, or the tools and methods of open scholarship.
  3. Research about replication and transparency. This includes both replication studies and research about replication and reproducibility issues.

Submissions are due by June 30, 2018.

Submissions may include papers or other project materials. E-mail presentation information to socarxiv@gmail.com. Include the following information:

  • Names of author(s)/presenter(s) and contact information.
  • For non-paper presentations, include a brief description and rationale explaining how the paper fits within the themes and goals of the O3S Symposium.
  • For paper submissions, upload your paper to SocArXiv and tag it #O3S18.
  • Any AV needs beyond a laptop/projector.
  • Travel stipends of $1,000 will be available to a limited number of presenters. Please indicate whether you would like to be considered for a travel award.

Presenters will be notified of the status of their submission via e-mail.

Visit the conference page and follow us on Twitter and Facebook for information and updates. Anyone interested in open scholarship and SocArXiv is welcome to attend O3S. Registration will include a nominal fee. Information will be coming soon!  

O3S is generously sponsored by the College of Behavioral and Social Sciences, the Department of Sociology, the Department of Psychology,  and the University Libraries at the University of Maryland.

What Is SocArXiv?

SocArXiv, open archive of the social sciences, is a partner of the nonprofit Center for Open Science (COS) and is housed at the University of Maryland. SocArXiv provides a free and publicly accessible platform for social scientists to upload working papers, pre-prints, published papers, data, and code. SocArXiv is dedicated to opening up social science, to reach more people more effectively, to improve research, and build the future of scholarly communication.  Since the development of SocArXiv was first announced in July 2016, researchers have deposited more than 2,100 papers.

Committee on Publication Ethics offers supportive preprint recommendations

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The Committee on Publication Ethics (COPE) has released a discussion document on preprints. It offers a useful synopsis on the context and rationale for preprints, as well as some common challenges and ethical issues.

I hope journals and publishers will read and follow their guidance here. In particular the ethical notes that:

  • Preprints are generally not considered “publications,” so the papers can be submitted to journals.
  • However, preprints do establish “precedence,” so they should be cited by authors who are aware of them.

COPE doesn’t go so far as to recommend that journals accept preprinted papers, but they urge journals to make their policies explicit:

As the preprint landscape continues to evolve, journals may also wish to raise awareness of preprints among their editorial teams, authors, reviewers, and readers via editorials, webinars, etc. Clear policies in author and reviewer guidelines will not only clarify expectations but also provide a framework for handling submissions consistently.

As we note on our FAQ page, American Sociological Association journal policy allows consideration of papers that have been publicly posted, as long as they are not peer-reviewed:

ASA authors may post working versions of their papers on their personal web sites and non-peer-reviewed repositories. Such postings are not considered by ASA as previous publication.

By our accounting, the top sociology journals all currently allow prepublication archiving of papers.

The COPE advice for authors is also good. In short:

  • Be aware of preprint server and journal policies.
  • Read your copyright agreements.
  • When posting preprints, follow standard ethical practices for research integrity and author attribution.

Our advice goes further, advising researchers to: post papers on SocArXiv or another preprint server, publish in journals that permit distribution of papers before and after publication (we provide DOI linking to facilitate discovery and metrics), use unrestricted licenses to maximize distribution of your work, and link your papers to publicly available research materials (here’s a basic tutorial).

Grand challenges for open scholarship

MIT Libraries’ Grand Challenges will help set a research agenda for the development of open scholarship.

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In his keynote address, Joi Ito showed a picture of a briefcase holding the contents of Sci-Hub (tens of millions of papers), en route to India, where they may end up being legally distributed to teachers and students.

MIT Libraries just hosted a Grand Challenges summit on Information Science and Scholarly Communication. It comprised three 1.5-day workshops on (1) scholarly discovery, (2) digital curation and preservation, and (3) open scholarship (described here). The director of MIT Libraries, Chris Bourg, is on SocArXiv’s steering committee, and I was invited to participate in the open scholarship workshop, so we were well represented (participant list).

The workshops focused on defining core challenges and proposing a research agenda to address them in a 7- to 10-year time frame. This builds on MIT’s Task Force of the Future of Libraries report, among other efforts. The organizers and participants will produce a report on this agenda in the next few months; we’ll report back.

In the meantime, I wanted to highlight one of the recommended readings, a paper by Micah Altman (the libraries’ director of research) and Marguerite Avery, “Information wants someone else to pay for it: Laws of information economics and scholarly publishing.” It’s an excellent introduction to the problem of markets in scholarly publishing, very approachable for social scientists interested in the political economy of what the jargon calls the “scholarly communication ecosystem.”

In general, the trends in scholarly communication are more, more and more. In 2011, the value of the market in 2011 was estimated to be $23.5 billion. But there is one area in which the trend is “less” and that is in market competition. Although the number of publications and journals is expanding at approximately three percent a year, and the market is expanding at four percent, the number of mergers and acquisitions over the past three decades have dramatically decreased the diversity of and competition among publishers. Today, following the recent merger of MacMillan and Springer, the market is dominated by a handful of companies: Pearson, Reed Elsevier, Springer, Taylor & Francis, Thomson/Reuters and Wolters Kluwer. These companies happen to be the top four publishing companies globally as well. And this is the culmination of a long-term trend: over the last three decades, there has been dramatic consolidation in the scholarly publishing industry. Profit margins are commensurately high, with some credible estimates of Elsevier’s profit margin as high as thirty-seven percent. Thus far, there are no signs that the general expansion of the content, contributors, and audience for scholarly outputs has countered this decline in competition.

The paper offers explanations for this failure of market competition, concluding:

Even in the long run, economic theory itself predicts that left to the market, too little knowledge will be created, too little used, and access to too much of what is available will be controlled by a small group of distributors.

They further caution that openness itself — especially defined only as free-to-read, does not a guarantee a system of “robust, sustainable scholarly communication.”

We may reach the point when the small number of for-profit companies that control academic publishing are able to describe their publishing output as “open access,” while simultaneously cementing their control over knowledge.

Finally, Altman and Avery offer a list of the “affordances” offered by current academic publications — the uses that different groups or institutions expect from them — and propose using new technology to unbundle these tasks, rather than presume they will remain bundled in the current, relatively ancient system of publication. This is a useful exercise for imagining future scholarly communication systems. Here is their table of affordances:

Table 1 from Altman & Avery 2015: DOI 10.3233/ISU-150775

One of my goals for the next year is assembling a curriculum on academic publishing, suitable for beginning social scientists and others interested in learning how this system works, the better to change it. This paper, and the work coming out of the MIT Grand Challenges summit, will be on the list. Please feel free to add your suggestions in the comments, or send them to me at pnc@umd.edu.

SocArXiv media spotlight: Excess mortality in Puerto Rico

People walking in flood waters in Condado, San Juan, Puerto Rico, Sept. 22, 2017.
Condado, San Juan, Puerto Rico, Sept. 22, 2017. Puerto Rico National Guard photo by Jose Ahiram Diaz-Ramos.

A paper by Alexis Santos and Jeffrey T. Howard, posted on SocArXiv, has received wide media attention, highlighting some of the advantages of using SocArXiv. The paper, “Estimates of excess deaths in Puerto Rico following Hurricane Maria,” was posted as a preprint before peer review.

The abstract reports a “descriptive finding” on excess deaths following Hurricane María for September and October. Using historical data from the Puerto Rico Vital Statistics system, the authors estimated expected deaths for each month. Then, using statements from the Puerto Rico Department of Public Safety, they compared the number of deaths for September and October 2017 to those from previous years, taking variability into account. The difference between their estimates of actual deaths in 2017 and the high-end estimates for those months was 518 deaths for September and 567 deaths for October. They conclude that mortality on the island “may exceed the current official death toll by a factor of 10.”

The preprint has been cited and linked from articles in the New York Times, Vox, and Huffington Post, and other media sources. As of December 10 it has been downloaded from SocArXiv 1,333 times (and viewed in the browser window many more times than that).

Santos, who goes by @AppDemography on Twitter, is an active public scholar who previously posted a paper on SocArXiv about possible climate change effects on life expectancy in Europe.

This is a good best-practices story for several reasons.

  • There is an urgent need to understand the impact of the hurricane on Puerto Rico. The paper is not peer-reviewed, but it is ready to be distributed widely. The methods are clear and transparent. The media reporting now permits other scholars the opportunity to read and react to the paper publicly. It now appears the Santos and Howard estimates are in line with other calculations, and the paper contributes to an emerging consensus about the storm’s impact.
  • By posting the paper on SocArXiv and sharing it with the media from there, Santos was able to provide a persistent link to an open paper, time-stamped and linked with his profile page (which includes links to his ORCID ID, Google Scholar, and other accounts).
  • In addition to the persistent link on SocArXiv, the paper has a DOI associated with it. The Google Scholar link takes readers directly to the SocArXiv version, and is now recording citations to the paper. SocArXiv also preserves and makes availale the version record for the paper.
  • As a project on the Open Science Framework (which each SocArXiv paper automatically becomes), the paper may be easily associated with supporting documentation and research materials.
  • Finally, if the paper in some later version is published in a journal, the authors will have the opportunity of providing a forward-linking DOI on the SocArXiv page, so that readers will be directed to the journal site.

We’re delighted to see SocArXiv working as intended!