Sociologists: Amend your agreements with ASA/Sage

open

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:

sage amendment

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.

Grand challenges for open scholarship

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

scihubinabox
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.

Authority, openness, and the soft sciences

Photo of water drop splashing
Openness is beautiful but also vulnerable (photo PNC)

At our O3S conference, Tina Fetner said something that struck me, and with her permission I’m elaborating on it here.

Why is open scholarship more advanced, as a movement and as a set of norms, in the non-social sciences? The most important preprint archive is Arxiv, which started in math and physics. The biggest new preprint archive is bioRxiv, for the biological sciences, which is currently adding about 40 papers per day. There are important developments in the social sciences, including of course SocArXiv, but also PsyArxiv for psychology (although they are a pretty sciency social science); but these are still incipient relative to the big archives. And in open access academic publishing, the leader is PLOS (the Public Library of Science) which covers “all areas of science and medicine,” but doesn’t handle much social science (out of 190,000 papers, I count 14% tagged as social science, and 4% are tagged sociology, many of which are about health topics).

Of course not all scientists, or scientific disciplines, are leading the open movement. In chemistry and medicine, for example – and other fields where there is major commercial gain to be made from secrecy – openness is not all the rage.

But in the case of biology, where openness is taking off, could it be that the scientists are more oriented toward scientific processes than social scientists are, and so the issues of reproducibility and transparency are closer to the philosophy of their training? Or that they are more used to collaborating in teams that evolve over the course of their careers, so they are used to sharing? I don’t know, but I’d like to hear suggestions.

We hear you

Tina offered this suggestion: Maybe social scientists – and especially those in the softer social sciences – are reluctant to open up their work because they risk more by engaging with people outside their fields. This might be because our authority is more precarious.

Think about language. When physicists or engineers use language that only they understand, it’s not “jargon,” it’s “technical.” But social scientists are usually talking about things that are meaningful and interpretable to people outside of their disciplines. When sociologists use fancy words they seem obnoxious to lay readers. If a female social scientists refers to how “gender is socially constructed,” or uses the term “neoliberalism,” a dozen men with maybe one undergraduate course in sociology between them will gladly step in to explain why she’s an idiot (and worse). This doesn’t happen to mathematicians. (It also happens to White men much less than it does to women and minority scholars, which works in the average mathematician’s favor.)

When social scientists take their work public – which many of us are extremely keen to do – the risks we face are different from those in the sciency sciences. Our authority is more tenuous the more our work approaches intelligibility to non-experts. And the incentive to attack us increases as our work becomes more critical, and more critical of those with more to lose from our work.

One response to this weaker authority is to lean more heavily on formal legitimacy. Sociologists may be more insistent on formal titles than mathematicians for this reason (again, plus gender and race/ethnicity). And they might be more trepidatious about sharing work widely that has not been peer reviewed, or published by a high status journal or academic publishing house. These are reasonable responses.

It is our mission through SocArXiv to open up the research process and its products. But we know that this goal entails risks, and that those risks are not equitably distributed. We persist despite this recognition not because we discount the risks and concerns, but because we think social science is too important to give up in the face of them.

We want to help

Our approach to openness needs to be flexible and inclusive. It’s good to be tenacious, but not dogmatic. We believe that openness makes our work better, faster, more efficient, and more inclusive. The challenge is to move in that direction without incurring costs that are greater than those benefits. And we think we can do that.

Opening up our work allows us to better build collaborative networks for intellectual, social, and political support. By sharing with each other, we can make the enterprise of social science stronger partly because the work will be better, and partly because we will have a greater pool of shared resources on which to draw in response to the opposition we may face from skeptical or hostile publics. Of course, this is easier said than done, but that’s the basis for our optimism on openness.

That’s why we created SocArXiv, but SocArXiv is not a social movement or a political party; there is no ideological test for entry. It’s a tool and a platform that we can use to make our work better. We want to help you use it to make your work better, too, and we’d love to hear from you how we can do that together.

The next stage of SocArXiv’s development: bringing greater transparency and efficiency to the peer review process

SocArXiv’s Philip Cohen has published an essay about the future of peer review on the LSE Impact blog. Here is the intro:

Almost 1,500 papers have been uploaded to SocArXiv since its launch last year. Up to now the platform has operated alongside the peer-review journal system rather than seriously disrupting it. Looking ahead to the next stage of its development, Philip Cohen considers how SocArXiv might challenge the peer review system to be more efficient and transparent, firstly by confronting the bias that leads many who benefit from the status quo to characterise mooted alternatives as extreme. The value and implications of openness at the various decision points in the system must be debated, as should potentially more disruptive innovations such as non-exclusive review and publication or crowdsourcing reviews.

Read the whole essay here.

How should I license my work on SocArXiv?

You don’t have to be a librarian or an attorney to make the right choices for your work.

9531893288_b9e07065df_z
Open is better. (PNC photo: https://flic.kr/p/fwirMJ)

By Judy Ruttenberg and Krista Cox

When you upload a paper to SocArXiv, you’re given the option to attach a public domain waiver or an open license: CC-0 1.0 Universal or CC-BY Attribution 4.0 International to your work. A license (or waiver), while not required, is recommended because it communicates to readers how they can use your work. Both of these CC options are excellent choices that allow reuse, adaptation, copying, and distribution, including commercially. The difference is in the permissions-seeking—a CC-0 option is a donation of the work to the public domain (no permission required) whereas CC-BY allows the author to retain copyright, and requires the reader to give credit to the source and to provide a link to the license terms. Both licenses promote openness, efficiency and progress by providing certainty to the user as to what reuses or adaptations can be made.

Copyright and copyright licensing are complicated, and to the uninitiated researcher, at least two things immediately seem strange about this practice. The first is allowing work to be used commercially. Aren’t we trying to make scholarship more open, accessible, and free? The second is the word “attribution” in the license. Don’t the norms of scholarship require attribution of work, regardless of a license? Is something extra required with CC-BY, or worse, does the use of CC-0 somehow exempt readers of my work from giving me proper credit? Yes, yes, and no.

When work is in the public domain or openly licensed, it can be commercialized by a third party through (for example) inclusion in an anthology or database. That third party (any third party) is free to make money from your public domain work, but it will still be available for free through SocArXiv. As long as your work is still available free, the mission of getting it out to more people is not harmed by someone selling it as well. That also means there is not much money to be made selling academic papers from an open-access preprint server. The more compelling (and frankly more likely) reason to choose the most open license is to facilitate the kind of aggregation that encourages distant reading, or computation across a body of work too large for a human reader. Some scholars may be hesitant to engage in activities like text and data mining (a fair use in the United States) without seeking permissions first, but the use of a CC-0 license removes any doubt around the pursuit of this kind of meta-scholarship in the U.S., and enables text and data mining in countries that require a license to do so. (For more on this, see: ARL Issue Brief: Text and Data Mining and Fair Use in the United States.)

And there is no license that exempts other students and scholars from the norms of academic citation and attribution of work used in subsequent scholarship. Appropriating work without attribution is considered fraud or plagiarism, and scholarly communities and institutions enforce those rules of conduct wholly independently of copyright law. Publishing your work in SocArXiv arguably protects you against fraud or plagiarism by time-stamping your work, under your name, in a permanently available platform for verification. Publishing it with an open license means that people don’t have to waste a lot of time and resources trying to get permissions. It makes the reuse and creation of new works faster and more efficient. And it means that people also don’t have to engage in individualized negotiations.

Scholarly communications librarians have long advocated for authors to retain copyright to their work or waive that copyright to the public domain, rather than sign author agreements that often cede that exclusive right (to copy and distribute) to publishers. Ownership (or lack thereof) of scholarly intellectual property is at the center of the mess we’re in with respect to academic publishing and inaccessibility. Open licenses are an important part of taking back the publishing process. To get up to speed and involved in that story, which is far from resolved, follow @ARLpolicy , @SPARC_NA, @IOIntheOpen, @FarbThink, @CopyrightLibn, to name a few. This kind of expertise informs and guides the Creative Commons, so you don’t have to be a librarian, an attorney, or a policy expert in order to openly license your work for maximum dissemination and reuse.

Q&A with Richard Poynder on SocArXiv and #OA

With a great introduction and a long interview on where we stand and where we’re going.

I did an interview with Richard Poynder for his OA Interviews series. He added an excellent introductory essay on the state of open access and the potential role of services like SocArXiv. Well worth a read. This is his conclusion:

The good news is that if the preprint movement flourishes, and manages to maintain an existence independent of traditional publishers, it has the potential to complete the revolution the OA movement began. And if all else fails, it could seek to cut publishers out of the loop altogether and take back ownership of scholarly communication.

Alternatively, of course, it may – like the OA movement more generally – end up captured and exploited by legacy publishers, who will seek to use it in a way that props up the outdated and inefficient model of scholarly communication that currently allows them to make excessive profits from the public purse. Not only would this be a waste of taxpayers’ money, but it would hobble and hold back the global research endeavour.

In the long interview that followed, I provide an update on the status of SocArXiv and our plans, working with the Center for Open Science, and our upcoming conference, as well as offering my own opinions about the place of our efforts in the (potential) future of scholarly communication. I hope you will read the whole thing here.

 

Social science without walls

All the reasons we became social scientists seem more important than ever before in our careers.

social-science-without-walls

From the SocArXiv Steering Committee:

As many social scientists prepare for the March for Science on April 22, here is a reflection on the moment we’re in.

This is a time in which many social scientists feel a greater urgency in our work, and a heightened motivation to solve the problems we knew we faced already. All the reasons we became social scientists seem more important than ever before in our careers. That’s why we’re glad to have SocArXiv, which is here for social scientists to realize our goals:

  • We want our work to be better, to benefit from the knowledge and collaboration of our peers as well as experts and concerned people outside of academia, and around the world.
  • We want our work to be more efficient, to get more done with less money, to produce better results while moving more quickly from insight through publication.
  • We want our work to me more relevant, to bring our expertise to bear on the issues of today — and tomorrow — without being blocked by national, disciplinary, or financial barriers.
  • We want our work to be less hierarchical, to be more democratic in its development, more open in its dissemination, and more responsive to the people we study and serve.

Open scholarship is how we approach these goals. Open source, open access research infrastructure allows us to make the best use of our resources, improve the process and products of our work, bring it to more people faster, and dissolve the obstacles to interaction that plague our industry. In short, we want a social science without walls.

SocArXiv is a key part of our plan to build that future social science. If you’re feeling the imperative to raise your voice, to tell your communities that social science is real, to express that we are part of the solution, and to draw more people into the world of research and the search for knowledge, we hope you will agree.

Upload a paper or browse the archive now at SocArXiv.org. Follow us on Twitter or Facebook for updates, email to get involved, check out our YouTube videos, or make a contribution through the University of Maryland.