Five years ago today I wrote a post called “Basic self promotion” on here. There has been a lot of work and advice on this subject in the intervening years (including books, some of which I reviewed here). So this is not as necessary as it was then. But it holds up pretty well, with some refreshing. So here is a lightly revised version. As always, happy to have your feedback and suggestions in the comments — including other things to read.
If you won’t make the effort to promote your research, how can you expect others to?
These are some basic thoughts for academics promoting their research. You don’t have to be a full-time self-promoter to improve your reach and impact, but the options are daunting and I often hear people say they don’t have time to do things like run a Twitter account or write for blogs and other publications. Even a relatively small effort, if well directed, can help a lot. Don’t let the perfect be the enemy of the good. It’s fine to do some things pretty well even if you can’t do everything to your ideal standard.
It’s all about making your research better — better quality, better impact. You want more people to read and appreciate your work, not just because you want fame and fortune, but because that’s what the work is for. I welcome your comments and suggestions below.
Present yourself
Make a decent personal website and keep it up to date with information about your research, including links to freely available copies of your publications (see below). It doesn’t have to be fancy. I’m often surprised at how many people are sitting behind years-old websites. (I recently engaged Brigid Barrett, who specializes in academics’ websites, to redesign mine.)
Very often people who come across your research somewhere else will want to know more about you before they share, report on, or even cite it. Your website gives your work more credibility. Has this person published other work in this area? Taught related courses? Gotten grants? These are things people look for. It’s not vain or obnoxious to present this information, it’s your job. I recommend a good quality photo, updated at least every five years.
Make your work available
Let people read the actual research. For work not yet “published” in journals, post drafts when they are ready for readers (a good time is when you are ready to send it to a conference or journal – or earlier if you are comfortable with sharing it). This helps you establish precedence (planting your flag), and allows it to generate feedback and attract readers. It’s best to use a disciplinary archive such as SocArXiv (which, as the director, I highly recommend) or your university repository, or both. This will improve how they show up in web searches (including Google Scholar) indexed for things like citation or grant analysis, and archived. You can also get a digital object identifier (DOI), which allows them to enter the great stream of research metadata. (See the SocArXiv FAQ for more answers.)
When you do publish in journals, prefer open-access journals because it’s the right thing to do and more people can read your work there. If a paper is paywalled, share a preprint or postprint version. On your website or social media feeds, please don’t just link to the pay-walled versions of your papers, that’s the click of death for someone just browsing around, plus it’s elitist and antisocial. You can almost always put up a preprint without violating your agreements (ideally you wouldn’t publish anywhere that won’t let you do this). To see the policies of different journals regarding self-archiving, check out the simple database at SHERPA/RoMEO, or, of course, the agreement you signed with the journal.
I oppose private sites like Academia.edu, ResearchGate, or SSRN. These are just private companies making a profit from doing what your university and its library, and nonprofits like SocArXiv are already doing for the public good. Your paper will not be discovered more if it is on one of these sites.
I’m not an open access purist, believe it or not. (If you got public money to develop a cure for cancer, that’s different, then I am a purist.) Not everything we write has to be open access (books, for example), but the more it is the better, especially original research. This is partly an equity issue for readers, and partly to establish trust and accountability in all of our work. Readers should be able to see our work product – our instruments, our code, our data – to evaluate its veracity (and to benefit their own work). And for the vast majority of readers who don’t want to get into those materials, the fact they are there increases our collective accountability and trustworthiness. I recommend using the Open Science Framework, a free, nonprofit platform for research sharing and collaboration.
Actively share your work
In the old days we used to order paper reprints of papers we published and literally mail them to the famous and important people we hoped would read and cite them. Nowadays you can email them a PDF. Sending a short note that says, “I thought you might be interested in this paper I wrote” is normal, reasonable, and may be considered flattering. (As long as you don’t follow up with repeated emails asking if they’ve read it yet.)
Social media
If you’re reading this, you probably use at least basic social media. If not, I recommend it. This does not require a massive time commitment and doesn’t mean you have to spend all day doomscrolling — you can always ignore them. Setting up a public profile on Twitter or a page on Facebook gives people who do use them all the time a way to link to you and share your profile. If someone wants to show their friends one of my papers on Twitter, this doesn’t require any effort on my part. They tweet, “Look at this awesome new paper @familyunequal wrote!” (I have some vague memory of this happening with my papers.) When people click on the link they go to my profile, which tells them who I am and links to my website.
Of course, a more active social media presence does help draw people into your work, which leads to exchanging information and perspectives, getting and giving feedback, supporting and learning from others, and so on. Ideally. But even low-level attention will help: posting or tweeting links to new papers, conference presentations, other writing, etc. No need to get into snarky chitchat and following hundreds of people if you don’t want to. To see how sociologists are using Twitter, you can visit the list I maintain, which has more than 1600 sociologists. This is useful for comparing profile and feed styles.
Other writing
People who write popular books go on book tours to promote them. People who write minor articles in sociology journals might send out some tweets, or share them with their friends on Facebook. In between are lots of other places you can write something to help people find and learn about your work. I still recommend a blog format, easily associated with your website, but this can be done different ways. As with publications themselves, there are public and private options, open and paywalled. Open is better, but some opportunities are too good to pass up – and it’s OK to support publications that charge subscription or access fees, if they deserve it.
There are also good organizations now that help people get their work out. In my area, for example, the Council on Contemporary Families is great (I’m a former board member), producing research briefs related to new publications, and helping to bring them to the attention of journalists and editors. Others work with the Scholars Strategy Network, which helps people place Op-Eds, or the university-affiliated site The Society Pages, or others. In addition, there are blogs run by sections of the academic associations, and various group blogs. And there is Contexts (which I used to co-edit), the general interest magazine of ASA, where they would love to hear proposals for how you can bring your research out into the open (for the magazine or their blog).
For more on the system we use to get our work evaluated, published, transmitted, and archived, I’ve written this report: Scholarly Communication in Sociology: An introduction to scholarly communication for sociology, intended to help sociologists in their careers, while advancing an inclusive, open, equitable, and sustainable scholarly knowledge ecosystem.
The ritualistic invocation of “policy implications” in sociology writing is puzzling. I don’t know its origin, but it appears to have come (like so much else that we cherish because we despise ourselves) from economists. The Quarterly Journal of Economics was the first (in the JSTOR database) to use the term in an abstract, including it 11 times over the 1950s and 1960s before the first sociology journal (Journal of Health and Social Behavior) finally followed suit in 1971.
That 1971 article projected a tone that persists to this day. In a paragraph tacked onto the end of the paper, Kohn and Mercer speculated that inflated claims about the dangers of marijuana “may actually contribute to dangerous forms of drug abuse among less well-educated youth” (although the paper was a survey of college students). “If this is the case,” they continued, “then the best corrective may be to revise law, social policy, and official information in line with the best current scientific knowledge about drugs and their effect.” The analysis in the paper had nothing to do with anti-drug policy, instead pursuing an interesting empirical examination of the relationship of ideology (rebellious versus authoritarian) and drug use. The “implications” are vague and unconnected to any actually-existing policy debate (and none is cited). Being in this case both banal and hopelessly idealistic — intellectual bedfellows that find themselves miserably at home in the sociological space many in the public deride as “academic” — it’s hard to imagine the paper having any policy effect. Not that there’s anything wrong with that.
Fifty years later, “policy implications” has become an institution in academic sociology — by no means universal, but a fixed feature of the landscape, demanded by some editors, reviewers, advisors, and funders. The prevalence of this trope coincides with the imperative for “engagement” (which I’ve written about previously) driven both by our internal sense of mission and our capitulation to external pressure to justify the existence of our work. These are admirable impulses, but they’re poorly served by many of our current practices. I hope this discussion of “policy implications,” and the suggestions that follow, help push us toward more productive responses.
How it’s done
Most sociologists don’t do a lot of policy work. It’s not our language or social or professional milieu, and often not part of our formal training. So what do we mean, in theory and practice, when we offer “policy implications” for our research? There is a very wide range of applications, from evaluations of specific local policies to critiques of state power itself. I collected a lot of examples which I’ll describe, but first a very prominent one, from “Social Conditions as Fundamental Causes of Health Inequalities: Theory, Evidence, and Policy Implications, by Phelan, Link, and Tehranifar (2010). Their promise of policy implications is right in the title. From the policy implications section, here is a list of policies intended to reduce inequality in social conditions:
“Policies relevant to fundamental causes of disease form a major part of the national agenda, whether this involves the minimum wage, housing for homeless and low-income people, capital-gains and estate taxes, parenting leave, social security, head-start programs and college-admission policies, regulation of lending practices, or other initiatives of this type.”
Then, in the conclusion, they explain that in addition to leveling inequalities in social condition, we need policies that “minimiz[e] the extent to which socioeconomic resources buy a health advantage” — in the U.S. context, this is interpretable as universal healthcare.
These are almost broad enough — considered together — to constitute a worldview (or perhaps a party platform) rather than a specific policy prescription. If this were actual policy analysis, we would have to be concerned with, for example, the extent which policies to raise the minimum wage, raise taxes, house the homeless, and expand educational opportunity actually produce reductions in inequality, and which of these is most effective, or important, or feasible, and so on. But this is not policy analysis, and none is cited. These are one step down from documenting wage disparities and offering socialism as “policy implications.” This is a review paper, mostly theory and summarizing existing evidence — which makes it more suitable than the implications attached to many narrow empirical papers (see below). It has been very influential, influencing thousands of students and researchers, and maybe people in policy settings as well (one could try to assess that), by helping to establish the connection between health inequality and inequality on other dimensions. Important work. But the way I read the term, this is too broad to be reduced to “policy implications” — it’s more like social implications, or theoretical implications.
127 more examples
To generalize about the practice of “policy implications,” I collected some data. I used a “topic” search in Web of Science, which searches title, abstract, and keywords, for the phrase “policy implications,” in articles from 2010 to 2020. This tree map from WoS shows the disciplinary breakdown of the journals with the search term, which remains dominated by economics.
I chose the sociology category, then weeded out journals that were very interdisciplinary (like Journal of Marriage and Family), and some articles that turned out to be false positives, and ended up with 127 articles in these 52 journals.*
First I read all the abstracts and came up with a three-category code for abstracts that (1) had specific policy implications, (2) made general policy pronouncements, or (3) just promised policy implications. Here are some details.
Of the 127 abstracts, only two had what I read as specific policy implications. Martin (2018) wrote, “for dietary recommendations to transform eating practices it is necessary to take into account how, while cooking, actors draw on these various forms of valuation.” And Andersen and van de Werfhorst (2010) wrote, “strengthening the skill transparency of the education system by increasing secondary and tertiary-level differentiation may strengthen the relationship between education and occupation.” These aren’t as specific as particular pieces of legislation or policies, but close enough.
I put 29 papers in the general pronouncements category. For example, I put Phalen, Link, and Tehranifar (2010) in this category. In another, Wiborg and Hansen (2018) wrote that their findings implied that “increasing equal educational opportunities do not necessarily lead to greater opportunities in the labor market and accumulation of wealth” (reading inside the paper confirmed this is the extent of the discussion). This by Stoilova, Ilieva-Trichkova, and Bieri (2020) is archetypal: “The policy implications are to more closely consider education in the transformation of gender-sensitive norms during earlier stages of child socialization and to design more holistic policy measures which address the multitude of barriers individuals from poor families and ethnic/migrant background face” (reading inside the paper, there are several other statements at the same level). I read three other papers in this category and found similar general implications, e.g., “if the policy goal is to enhance the bargaining position of labour and increase its share of income, spending policy should prioritise the expenditures on the public sector employment” (Pensiero 2017).
“Policy implications are discussed”
The largest category, 97 papers (76%) offered no policy implications in the abstract, but rather offered some version of “policy implications are discussed.” It is an odd custom, to mention the existence of a section in the paper without divulging its contents. Anyway, to get a better sense of what “policy implications are discussed” means, I randomly sampled 10 of the papers in this category to read the relevant section. (I have no beef with these papers or their authors, they were selected randomly, and I’m only commented on what may be the least important aspect of their contributions.)
The first category among these, with 5 of the 10 papers, are those without substantive policy contributions. Some have banal statements at the end, which the author and most readers probably already believed, such as, “If these results are replicated, programs should be implemented that will solicit the help of grandparents in addition to parents” (Liu 2016). I also include here Visser et al. (2013), who conclude that their “findings show general support for basic ecological perspectives of fear of crime and feelings of unsafety,” e.g., that reducing crime in the absence of better social protection will not improve levels of fear and feelings of unsafety. I code this one as without substantive policy contribution because that’s a big claim about the entire state policy structure, which would require much more evidence to adjudicate, much less implement, and the paper offers only a small empirical nudge in one direction (which, again, is fine!).
Several in this category offered essentially no policy implications. This includes Wang (2010) who states at the outset that, “the question of motives for private transfers is one with important policy implications” for public transfer programs like food stamps and social security, but never comes back to discuss policies relevant to the results. And Barrett and Pollack (2011), who recommend that health practitioners develop better understanding of the issues raised and that “contemporary sexual civil rights efforts” pay more attention to sexual discrimination. Finally, Lepianka (2015), reports on media depictions of poverty and related policy, but doesn’t offer any implications of the study itself for policy. So, half of these had abstracts that were overpromising in terms of policy.
The other 5 papers do include substantive policy implications, explored to varying degrees. One is hard-hitting but brief: Shwed et al. (2018), whose analysis has direct implications which they do not thoroughly discuss. Their “unequivocal” result is that “multicultural schools, with their celebration of difference, entail a cost in terms of social integration compared to assimilationist schools—they enhance ethnic segregation in friendship networks. … While empowering minorities, it enhances social closure between groups.” The empirical analysis they did could no doubt be used as part of a policy analysis on the question of cultural orientation of schools in Israel.
Three offer sustained policy discussions, including the very specific: an endorsement of prison-based dog training programs (Antonio et al. 2017); a critique of sow-housing policy in the European Union (de Krom 2015); and recommendations for environmental lending practices at the World Bank (Sommer at al. 2017). The last one qualifies, albeit at a very macro level: Gauchat et al.’s (2011) analysis of economic dependence on military spending in metropolitan areas, the implications of which surpass everyday policy debates but are of course relevant.
To summarize my reading, with percentages based on extrapolating my subsample (so, wide confidence intervals): 23% of papers promising policy implications had none, and 38% had either vague statements or general statements that did not rely on empirical findings in the paper. The remaining 40% had substantive policy discussion and/or specific recommendations.
This is a quick coding and not validated. Others might treat differently papers that report an effect and then recommend changing the prevalence of the independent variable — e.g., poverty causes poor health; policies should reduce poverty — which I coded as not substantive. For example, I coded this from Thoits (2010) as not substantive or specific: “policies and programs should target children who are at long-term health risk due to early exposure to poverty, inadequate schools, and stressful family circumstances.” You could say, “policies should attempt to make life better,” but it’s not clear you need research for that. Anyway, my own implications (below) don’t depend on a precise accounting.
Implications
I am really, really not saying these are bad papers, or wrong to do what they did. I am not criticizing them, but rather the institutional convention that classifies the attempt to make our research relevant as “policy implications,” even when we have nothing specific to say about real policies, and then rewards sociologists for shoehorning their conclusions into such a frame.
Let me give an example of an interesting and valuable paper that is burdened by its policy implications. “The impact of parental migration on depression of children: new evidence from rural China,” by Yue et al. (2020) used a survey of families in China to assess the relationship between parental migration, remittances, household labor burdens, parent-child communication, and children’s symptoms of depression. After regression models with direct and indirect effects on children’s depression, including both children who were “left behind” by migrating parents and those who weren’t, they conclude: “non-material resources (parent-child communication, parental responsiveness, and self-esteem) play a much more important role in child’s depression than material resources (remittances).” Interesting result. Seems well done, with good data. The policy suggestions that follow are to encourage parent-child communication (e.g., through local government programs) and teach children in school that they are not abandoned by parents who migrate.
What is wrong with this? First, Yue et al. (2020) is an example of a common model that amounts to, “based on our regressions, more of this variable would be good.” It seems logical, but a serious approach to the question would have to be based on evidence that such programs actually have their intended effect, and that they would be better than directing the money or other resources toward something else. That would be an unreasonable burden for the authors, and slow the production of useful empirical results. So we’re left with something superficial that distracts more than it adds. Further (and here I hope to win some converts to my view), these policy implication sections are a major source of of peer review friction — reviewers demanding them, reviewers hating them, authors contorting themselves, and so on. Much better, in my view, would be to just add the knowledge produced by papers like this to the great hopper of knowledge, and let it contribute to a real policy analysis down the road.
Empirical peer-reviewed sociology articles should be shorter, removing non-essential parts of the paper that are major sources of peer review bog-down. Having different kinds of work reviewed and approved together in a single paper — a lengthy literature review, a theoretical claim, an empirical analysis, and a set of policy implications — creates inefficiencies in the peer review process. Why should a whole 60-page paper be rejected because one part of it (the policy implications, say) is rejected by one out of three reviewers? This is very wasteful. It puts reviewers in a position to review aspects of the work they aren’t qualified to judge. And it skews incentives by rewarding the less important parts of our work. Of course it’s reasonable to spend a few paragraphs stating the relevance of the question in the paper, but not a whole treatise (in the front and back) of every paper.
Advice for sociologists
1. Don’t try to pin big conclusions on a single piece of peer reviewed empirical research. That’s a sad legacy of a time when publishing was hard, sociologists had few opportunities to do so, and peer reviewed journals were the source of validation we were expected to rely on. So you devoted years of your life to a small number of “publications,” and those were the sum total of your intellectual production. We have a lot of other ways to express our social and political views now, and we should use them. The fact that you have a PhD, a job, and have published peer reviewed research, are all sources of legitimacy you can draw on to get people to pay attention to your writing.
2. Write for the right audience. If you are serious about influencing policy, write for staffers doing research for advocacy organizations, activists, or campaigns. If you want to influence the public, write in lay terms in venues that draw regular people as readers. If you want to set the agenda for funding agencies, write review pieces that synthesize research and make the case for moving in the right direction. These are all different kinds of writing, published in different venues. Crucially, none of them rely only on the empirical results of a single analysis, nor should they. The last three paragraphs of your narrow empirical research paper — excellent, important, and cutting-edge as it is — will not reach these different audiences.
3. Stop asking researchers to tack superficial policy implications sections onto the end of their papers. If you are a reviewer or an editor, stop demanding longer literature reviews and conclusions. Start rewarding the most important part of the work, the part you are qualified to evaluate.
4. If you are in an academic department, on a hiring committee, or on a promotion and tenure committee, look at the whole body of work, including the writing outside peer-reviewed journals. No one expects to get tenure from writing an op-ed, but people who work to reach different audiences may be building a successful career in which peer-reviewed research is a foundational building block. Look for the connections, and reward the people who make them.
*The full sample (metadata and abstracts) is available on Zotero. Some are open access, some I got through my library, but all are available from from Sci-Hub (which steals them so you don’t have to).
References mentioned in the text:
Andersen, Robert, and Herman G. van de Werfhorst. 2010. “Education and Occupational Status in 14 Countries: The Role of Educational Institutions and Labour Market Coordination.” British Journal of Sociology 61(2):336–55. doi: 10.1111/j.1468-4446.2010.01315.x.
Antonio, Michael E., Rosalyn G. Davis, and Susan R. Shutt. 2017. “Dog Training Programs in Pennsylvania’s Department of Corrections Perceived Effectiveness for Inmates and Staff.” Society & Animals 25(5):475–89. doi: 10.1163/15685306-12341457.
de Krom, Michiel P. M. M. 2015. “Governing Animal-Human Relations in Farming Practices: A Study of Group Housing of Sows in the EU.” Sociologia Ruralis 55(4):417–37. doi: 10.1111/soru.12070.
Gauchat, Gordon, Michael Wallace, Casey Borch, and Travis Scott Lowe. 2011. “The Military Metropolis: Defense Dependence in U.S. Metropolitan Areas.” City & Community 10(1):25–48. doi: 10.1111/j.1540-6040.2010.01359.x.
Kohn, Paul M., and G. W. Mercer. 1971. “Drug Use, Drug-Use Attitudes, and the Authoritarianism-Rebellion Dimension.” Journal of Health and Social Behavior 12(2):125–31. doi: 10.2307/2948519.
Lepianka, Dorota. 2015. “Images of Poverty in a Selection of the Polish Daily Press.” Current Sociology 63(7):999–1016. doi: 10.1177/0011392115587021.
Liu, Ruth X. 2018. “Physical Discipline and Verbal Punishment: An Assessment of Domain and Gender-Specific Effects on Delinquency Among Chinese Adolescents.” Youth & Society 50(7):871–90. doi: 10.1177/0044118X15618836.
Martin, Rebeca Ibanez. 2018. “Thinking with La Cocina: Fats in Spanish Kitchens and Dietary Recommendations.” Food Culture & Society 21(3):314–30. doi: 10.1080/15528014.2018.1451039.
Pensiero, Nicola. 2017. “In-House or Outsourced Public Services? A Social and Economic Analysis of the Impact of Spending Policy on the Private Wage Share in OECD Countries.” International Journal of Comparative Sociology 58(4):333–51. doi: 10.1177/0020715217726837.
Phelan, Jo C., Bruce G. Link, and Parisa Tehranifar. 2010. “Social Conditions as Fundamental Causes of Health Inequalities: Theory, Evidence, and Policy Implications.” Journal of Health and Social Behavior 51:S28–40. doi: 10.1177/0022146510383498.
Shwed, Uri, Yuval Kalish, and Yossi Shavit. 2018. “Multicultural or Assimilationist Education: Contact Theory and Social Identity Theory in Israeli Arab-Jewish Integrated Schools.” European Sociological Review 34(6):645–58. doi: 10.1093/esr/jcy034.
Sommer, Jamie M., John M. Shandra, and Michael Restivo. 2017. “The World Bank, Contradictory Lending, and Forests: A Cross-National Analysis of Organized Hypocrisy.” International Sociology 32(6):707–30. doi: 10.1177/0268580917722893.
Stoilova, Rumiana, Petya Ilieva-Trichkova, and Franziska Bieri. 2020. “Work-Life Balance in Europe: Institutional Contexts and Individual Factors.” International Journal of Sociology and Social Policy 40(3–4):366–81. doi: 10.1108/IJSSP-08-2019-0152.
Thoits, Peggy A. 2010. “Stress and Health: Major Findings and Policy Implications.” Journal of Health and Social Behavior 51:S41–53. doi: 10.1177/0022146510383499.
Visser, Mark, Marijn Scholte, and Peer Scheepers. 2013. “Fear of Crime and Feelings of Unsafety in European Countries: Macro and Micro Explanations in Cross-National Perspective.” Sociological Quarterly 54(2):278–301. doi: 10.1111/tsq.12020.
Wang, Jingshu. 2010. “Motives for Intergenerational Transfers: New Test for Exchange.” American Journal of Economics and Sociology 69(2):802–22. doi: 10.1111/j.1536-7150.2010.00725.x.
Wiborg, Oyvind N., and Marianne N. Hansen. 2018. “The Scandinavian Model during Increasing Inequality: Recent Trends in Educational Attainment, Earnings and Wealth among Norwegian Siblings.” Research in Social Stratification and Mobility 56:53–63. doi: 10.1016/j.rssm.2018.06.006.
Yue, Zhongshan, Zai Liang, Qian Wang, and Xinyin Chen. 2020. “The Impact of Parental Migration on Depression of Children: New Evidence from Rural China.” Chinese Sociological Review 52(4):364–88. doi: 10.1080/21620555.2020.1776601.
When a piece of scholarship is first published it’s not possible to gauge its importance immediately unless you are already familiar with its specific research field. One of the functions of journals is to alert potential readers to good new research, and the placement of articles in prestigious journals is a key indicator.
Since at least 1927, librarians have been using the number of citations to the articles in a journal as a way to decide whether to subscribe to that journal. More recently, bibliographers introduced a standard method for comparing journals, known as the journal impact factor (JIF). This requires data for three years, and is calculated as the number of citations in the third year to articles published over the two prior years, divided by the total number of articles published in those two years.
For example, in American Sociological Review there were 86 articles published in the years 2017-18, and those articles were cited 548 times in 2019 by journals indexed in Web of Science, so the JIF of ASR is 548/86 = 6.37. This allows for a comparison of impact across journals. Thus, the comparable calculation for Social Science Research is 531/271 = 1.96, and it’s clear that ASR is a more widely-cited journal. However, comparisons of journals in different fields using JIFs is less helpful. For example, the JIF for the top medical journal, New England Journal of Medicine, is currently 75, because there are many more medical journals publishing and citing more articles at higher rates, and more quickly than do sociology journals. (Or maybe NEJM is just that much more important.)
In addition to complications in making comparisons, there are problems with JIFs (besides the obvious limitation that citations are only one possible evaluation metric). They depend on what journals and articles are in the database being used. And they mostly measure short-term impact. Most important for my purposes here, however, is that they are often misused to judge the importance of articles rather than journals. That is, if you are a librarian deciding what journal to subscribe to, JIF is a useful way of knowing which journals your users might want to access. But if you are evaluating a scholar’s research, knowing that they published in a high-JIF journal does not mean that their article will turn out to be important. It is especially wrong to look at an article that’s old enough to have citations you could count (or not) and judge its quality by the journal it’s published in — but people do that all the time.
To illustrate this, I gathered citation data from the almost 2,500 articles published in 2016-2019 in 15 sociology journals from the Web of Science category list.* In JIF these rank from #2 (American Sociological Review, 6.37) to #46 (Social Forces, 1.95). I chose these to represent a range of impact factors, and because they are either generalist journals (e.g., ASR, Sociological Science, Social Forces) or sociology-focused enough that almost any article they publish could have been published in a generalist journal as well. Here is a figure showing the distribution of citations to those articles as of December 2020, by journal, ordered from higher to lower JIF.
After ASR, Sociology of Education, and American Journal of Sociology, it’s hard to see much of a slope here. Outliers might be playing a big role (for example that very popular article in Sociology of Religion, “Make America Christian Again: Christian Nationalism and Voting for Donald Trump in the 2016 Presidential Election,” by Whitehead, Perry, and Baker in 2018). But there’s a more subtle problem, which is the timing of the measures. My collection of articles is 2016-2019. The JIFs I’m using are from 2019, based on citations to 2017-2018 articles. These journals bounce around; for example, Sociology of Religion jumped from 1.6 to 2.6 in 2019. (I address that issue in the supplemental analysis below.) So what is a lazy promotion and tenure committee, which is probably working off a mental reputation map at least a dozen years old, to do?
You can already tell where I’m going with this: In these sociology journals, there is so much noise in citation rates within the journals, compared to any stable difference between them, that outside the very top the journal ranking won’t much help you predict how much a given paper will be cited. If you assume a paper published in AJS will be more important than one published in Social Forces, you might be right, but if the odds that you’re wrong are too high, you just shouldn’t assume anything. Let’s look closer.
Sociology failure rates
I recently read this cool paper (also paywalled in the Journal of Informetrics) that estimates the odds of this “failure probability,” the odds that your guess about which paper will be more impactful based on the journal title turns out to be wrong. When JIFs are similar, the odds of an error are very high, like a coin flip. “In two journals whose JIFs are ten-fold different, the failure probability is low,” Brito and Rodríguez-Navarro conclude. “However, in most cases when two papers are compared, the JIFs of the journals are not so different. Then, the failure probability can be close to 0.5, which is equivalent to evaluating by coin flipping.”
Their formulas look pretty complicated to me, so for my sociology approach I just did it by brute force (or if you need tenure you could call it a Monte Carlo approach). I randomly sampled 100,000 times from each possible pair of journals, then calculated the percentage of times the article with more citations was from a journal with a higher impact factor. For example, in 100,000 comparisons of random pairs sampled from ASR and Social Forces (the two journals with the biggest JIF spread), 73% of the time the ASR article had more citations.
Is 73% a lot? It’s better than a coin toss, but I’d hate to have a promotion or hiring decision be influenced by an instrument that blunt. Here are results of the 10.5 million comparisons I made (I love computers). Click to enlarge:
Outside of the ASR column, these are very bad; in the ASR column they’re pretty bad. For example, a random article from AJS only has more citations than one from the 12 lower-JIF journals 59% of the time. So if you’re reading CVs, and you see one candidate with a two-year old AJS article and one with a two-year-old Work & Occupations article, what are you supposed to do? You could compare the actual citations the two articles have gotten, or you could assess their quality of impact some other way. You absolutely should not just skim the CV and assume the AJS article is or will be more influential based on the journal title alone; the failure probability of that assumption is too high.
On my table you can also see some anomalies, of the kind which plague this system. See all that brown in the BJS and Sociology of Religion columns? That’s because both of those journals had sudden increases in their JIF, so their more recent articles have more citations, and most of the comparisons in this table (like in your memory, probably) are based on data from a few years before that. People who published in these journals three years ago are today getting an undeserved JIF bounce from having these titles on their CVs. (See the supplemental analysis below for more on this.)
Conclusion
Using JIF to decide which papers in different sociology journals are likely to be more impactful is a bad idea. Of course, lots of people know JIF is imperfect, but they can’t help themselves when evaluating CVs for hiring or promotion. And when you show them evidence like this, they might say “but what is the alternative?” But as Brito & Rodríguez-Navarro write: “if something were wrong, misleading, and inequitable the lack of an alternative is not a cause for continuing using it.” These error rates are unacceptably high.
In sociology most people won’t own up to relying on impact factors, but most people (in my experience) do judge research by where it’s published all the time. If there is a very big difference in status — enough to be associated with an appreciably different acceptance rate, for example — that’s not always wrong. But it’s a bad default.
In 2015 the biologist Michael Eisen suggested that tenured faculty should remove the journal titles from their CVs and websites, and just give readers the title of the paper and a link to it. He’s done it for his lab’s website, and I urge you to look at it just to experience the weightlessness of an academic space where for a moment overt prestige and status markers aren’t telling you what to think. I don’t know how many people have taken him up on it. I did it for my website, with the explanation, “I’ve left the titles off the journals here, to prevent biasing your evaluation of the work before you read it.” Whatever status I’ve lost I’ve made up for in virtue-signaling self-satisfaction — try it! (You can still get the titles from my CV, because I feel like that’s part of the record somehow.)
Finally, I hope sociologists will become more sociological in their evaluation of research — and of the systems that disseminate, categorize, rank, and profit from it.
Supplemental analysis
The analysis thus far is, in my view, a damning indictment of real-world reliance on the Journal Impact Factor for judging articles, and thus the researchers who produce them. However, it conflates two problems with the JIF. First is the statistical problem of imputing status from an aggregate to an individual, when the aggregate measure fails to capture variation that is very wide relative to the difference between groups. Second, more specific to JIF, is the reliance on a very time-specific comparison: citations in year three to publications in years one and two. Someone could do (maybe already has) an analysis to determine the best lag structure for JIF to maximize its predictive power, but the conclusions from the first problem imply that’s a fool’s errand.
Anyway, in my sample the second problem is clearly relevant. My analysis relies strictly on the rank-ordering provided by the JIF to determine whether article comparisons succeed or fail. However, the sample I drew covers four years, 2016-2019, and counts citations to all of them through 2020. This difference in time window produces a rank ordering that differs substantially (the rank order correlation is .73), as you can see:
In particular, three journals (BJS, SOR, and SFO) moved more than five spots in the ranking. A glance at the results table above shows that these journals are dragging down the matching success rate. To pull these two problems apart, I repeated the analysis using the ranking produced within the sample itself.
The results are now much more straightforward. First, here is the same box plot but with the new ordering. Now you can see the ranking more clearly, though you still have to squint a little.
And in the match rate analysis, the result is now driven by differences in means and variances rather than by the mismatch between JIF and sample-mean rankings (click to enlarge):
This makes a more logical pattern. The most differentiated journal, ASR, has the highest success rate, and the journals closest together in the ranking fail the most. However, please don’t take from this that such a ranking becomes a legitimate way to judge articles. The overall average on this table is still only 58%, up only 4 points from the original table. Even with a ranking that more closely conforms to the sample, this confirms Brito and Rodríguez-Navarro’s conclusion: “[when rankings] of the journals are not so different … the failure probability can be close to 0.5, which is equivalent to evaluating by coin flipping.”
These match numbers are too low to responsibly use in such a way. These major sociology journals have citation rates that are too variable, and too similar at the mean, to be useful as a way to judge articles. ASR stands apart, but only because of the rest of the field. Even judging an ASR paper against its lower-ranked competitors produces a successful one-to-one ranking of papers just 72% of the time — and that only rises to 82% with the least-cited journal on the list.
The supplemental analysis is helpful for differentiating the multiple problems with JIF, but it does nothing to solve the problem of using journal citation rates to evaluate individual articles.
*The data and Stata code I used is up here: osf.io/zutws. This includes the lists of all articles in the 15 journals from 2016 to 2020 and their citation counts as of the other day (I excluded 2020 papers from the analysis, but they’re in the lists). I forgot to save the version of the 100k-case random file that I used to do this, so I guess that can never be perfectly replicated; but you can probably do it better anyway.
Twelve days ago I posted my paper on the COVID-19 epidemic in rural US counties. I put it on the blog, and on the SocArXiv paper server. At this writing the blog post has been shared on Facebook 69 times, the paper has been downloaded 149 times, and tweeted about by a handful of people. No one has told me it’s wrong yet, but not one has formally endorsed it yet, either.
Until now, that is. The paper, which I then submitted to the European Journal of Environment and Public Health, has now been peer reviewed and accepted. I’ve updated the SocArXiv version to the journal page proofs. Satisfied?
It’s a good question. We’ll come back to it.
Preprints
The other day (I think, not good at counting days anymore) a group of scholars published — or should I say posted — a paper titled, “Preprinting a pandemic: the role of preprints in the COVID-19 pandemic,” which reported that there have already been 16,000 scientific articles published about COVID-19, of which 6,000 were posted on preprint servers. That is, they weren’t peer-reviewed before being shared with the research community and the public. Some of these preprints are great and important, some are wrong and terrible, some are pretty rough, and some just aren’t important. This figure from the paper shows the preprint explosion:
All this rapid scientific response to a worldwide crisis is extremely heartening. You can see the little sliver that SocArXiv (which I direct) represents in all that — about 100 papers so far (this link takes you to a search for the covid-19 tag), on subjects ranging from political attitudes to mortality rates to traffic patterns, from many countries around the world. I’m thrilled to be contributing to that, and really enjoy my shifts on the moderation desk these days.
On the other hand some bad papers have gotten out there. Most notoriously, an erroneous paper comparing COVID-19 to HIV stoked conspiracy theories that the virus was deliberately created by evil scientists. It was quickly “withdrawn,” meaning no longer endorsed by the authors, but it remains available to read. More subtly, a study (by more famous researchers) done in Santa Clara County, California, claimed to find a very high rate of infection in the general population, implying COVID-19 has a very low death rate (good news!), but it was riddled with design and execution errors (oh well), and accusations of bias and corruption. And some others.
Less remarked upon has been the widespread reporting by major news organizations on preprints that aren’t as controversial but have become part of the knowledge base of the crisis. For example, the New York Times ran a report on this preprint on page 1, under the headline, “Lockdown Delays Cost at Least 36,000 Lives, Data Show” (which looks reasonable in my opinion, although the interpretation is debatable), and the Washington Post led with, “U.S. Deaths Soared in Early Weeks of Pandemic, Far Exceeding Number Attributed to Covid-19,” based on this preprint. These media organizations offer a kind of endorsement, too. How could you not find this credible?
Peer review
To help sort out the veracity or truthiness of rapid publications, the administrators of the bioRxiv and medRxiv preprint servers (who are working together) have added this disclaimer in red to the top of their pages:
Caution: Preprints are preliminary reports of work that have not been certified by peer review. They should not be relied on to guide clinical practice or health-related behavior and should not be reported in news media as established information.
That’s reasonable. You don’t want people jumping the gun on clinical decisions, or news reports. Unless they should, of course. And, on the other hand, lots of peer reviewed research is wrong, too. I’m not compiling examples of this, but you can always consult the Retraction Watch database, which, for example, lists 130 papers published in Elsevier journals in 2019 that have been retracted for reasons ranging from plagiarism to “fake peer review” to forged authorship to simple errors. The database lists a few peer-reviewed COVID-19 papers that have already been retracted as well.
This comparison suggests that the standard of truthiness cannot be down to the simple dichotomy of peer reviewed or not. We need signals, but they don’t have to be that crude. In real life, we use a variety of signals for credibility that help determine how much to trust a piece of research. These include:
The reputation of the authors (their degrees, awards, twitter following, media presence)
The institutions that employ them (everyone loves to refer to these when they are fancy universities reporting results they favor, e.g., “the Columbia study showed…”)
Who published it (a journal, an association, a book publisher), which implies a whole secondary layer of endorsements (e.g., the editor of the journal, the assumed expertise of the reviewers, the prestige or impact factor of the journal as a whole, etc.)
Perceived conflicts of interest among the authors or publishers
The transparency of the research (e.g., are the data and materials available for inspection and replication)
Informal endorsements, from, e.g., people we respect on social media, or people using the Plaudit button (which is great and you should definitely use if you’re a researcher)
And finally, of course, our own assessment of the quality of the work, if it’s something we believe ourselves qualified to assess
As with the debate over the SAT/GRE for admissions, the quiet indicators sometimes do a lot of the work. Call something a “Harvard study” or a “New York Times report,” and people don’t often pry into the details of the peer review process.
Analogy: People who want to eat only kosher food need something to go on in daily life, and so they have erected a set of institutional devices that deliver such a seal (in fact, there are competing seal brands, but they all offer the same service: a yes/no endorsement by an organization one decides to trust). The seals cost money, which is added to the cost of the food; if people like it, they’re willing to pay. But, as God would presumably tell you, the seal should not always substitute for your own good judgment because even rabbis or honest food producers can make mistakes. And in the absence of a good kosher inspection to rely on altogether, you still have to eat — you just have to reason things through to the best of your ability. (In a pinch, maybe follow the guy with the big hat and see what he eats.) Finally, crucially for the analogy, anyone who tells you to ignore the evidence before you and always trust the authority that’s selling the dichotomous indicator is probably serving their own interests as least as much as they’re serving yours.
In the case of peer review, giant corporations, major institutions, and millions of careers depend on people believing that peer review is what you need to decide what to trust. And they also happen to be selling peer review services.
My COVID-19 paper
So should you trust my paper? Looking back at our list, you can see that I have degrees and some minor awards, some previous publications, some twitter followers, and some journalists who trust me. I work at a public research university that has its own reputation to protect. I have no apparent way of profiting from you believing one thing or another about COVID-19 in rural areas (I declared no conflicts of interest on the SocArXiv submission form). I made my data and code available (even if no one checks it, the fact that it’s there should increase your confidence). And of course you can read it.
And then I submitted it to the European Journal of Environment and Public Health, which, after peer review, endorsed its quality and agreed to publish it. The journal is published by Veritas Publications in the UK with the support of Tsinghua University in China. It’s an open access journal that has been publishing for only three years. It’s not indexed by Web of Science or listed in the Directory of Open Access Journals. It is, in short, a low-status journal. On the plus side, it has an editorial board of real researchers, albeit mostly at lower status institutions. It publishes real papers, and (at least for now) it doesn’t charge authors any publication fee, it does a little peer review, and it is fast. My paper was accepted in four days with essentially no revisions, after one reviewer read it (based on the summary, I believe they did read it). It’s open access, and I kept my copyright. I chose it partly because one of the papers I found on Google Scholar during my literature search was published there and it seemed OK.
So, now it’s peer reviewed.
Here’s a lesson: when you set a dichotomous standard like peer-reviewed yes/no and tell the public to trust it, you create the incentive for people to do the least they can to just barely get over that bar. This is why we have a giant industry of tens of thousands of academic journals producing products all branded as peer reviewed. Half a century ago, some academics declared themselves the gatekeepers of quality, and called their system peer review. To protect the authority of their expertise (and probably because they believed they knew best), they insisted it was the standard that mattered. But they couldn’t prevent other people from doing it, too. And so we have a constant struggle over what gets to be counted, and an effort to disqualify some journals with labels like “predatory,” even though it’s the billion-dollar corporations at the top of this system that are preying on us the most (along with lots of smaller scam purveyors).
In the case of my paper, I wouldn’t tell you to trust it much more because it’s in EJEPH, although I don’t think the journal is a scam. It’s just one indicator. But I can say it’s peer reviewed now and you can’t stop me.
Aside on service and reciprocity: Immediately after I submitted my paper, the EJEPH editors sent me a paper to review, which I respect. I declined because it wasn’t qualified, and then they sent me another. This assignment I accepted. The paper was definitely outside my areas of expertise, but it was a small study quite transparently done, in Nigeria. I was able to verify important details — like the relevance of the question asked (from cited literature), the nature of the study site (from Google maps and directories), the standards of measurement used (from other studies), the type of the instruments used (widely available), and the statistical analysis. I suggested some improvements to the contextualization of the write-up and recommended publication. I see no reason why this paper shouldn’t be published with the peer review seal of approval. If it turns out to be important, great. If not, fine. Like my paper, honestly. I have to say, it was a refreshing peer review experience on both ends.
UPDATED to include Sci-Hub data from six months: September 2015–February 2016, and correcting a coding error that inflated download counts.
Well, they might not have lost the downloads, but they didn’t get them.
Sci-Hub is a pirate operation that uses stolen university login credentials to harvest, store, and distribute for free virtually every academic article published anywhere. It is a simple, if criminal, solution to a very big problem: the lack of access to published research for people who can’t pay for it. When someone goes to the Sci-Hub site and requests an article, by simply pasting in the DOI or URL, the system either serves them the paper, or goes and steals it for them and then keeps a copy for the next user. For us university people who are used to dealing with the maze of logins and forwarding and proxies that come between us and the information we seek, it’s unbelievably fast and almost never fails.
Their most recent claim is an archive of 76 million papers and 400,000 users per day.
Today is 5 September and Sci-Hub is 8 years old. In eight years, the website grew from zero to 76,000,000 research articles available for free reading, and from 2,000 users per day to 400,000.
Currently available at sci-hub.se or –.tw, it sometimes moves, but this site always lists where you can find it now. Naturally, both civil and criminal authorities are trying to shut it down, preferably by catching its mastermind, Alexandra Elbakyan, the elusive student programmer from Kazakhstan.
That picture is from the excellent (free streaming) documentary Paywall: The Business of Scholarship. Chris Bourg, the Director of Libraries at MIT (and a sociologist), also interviewed in the movie, said of Sci-Hub:
Those of us who work in scholarly communications, writ large, really have to look at Sci-Hub as sort of a poke in the side that says, “Do better.” We need to look to Sci-Hub to say, “What is it that we could be doing differently about the infrastructure that we developed to distribute journal articles, to distribute scholarship?” … I think we need to look at what’s happening with Sci-Hub, how it evolved, who’s using it, who’s accessing it, and let it be a lesson to us for what we should be doing differently.
Sociology’s stolen papers
Science magazine writer John Bohannon reached Elbakyan in 2016, and she turned over to him a 6-month cache of Sci-Hub server logs for a piece titled, “Who’s downloading pirated papers? Everyone.” He analyzed 28 million downloads, and Science made the data available for analysis, here. Eight million of those hits were from India and China, and the busiest location was Tehran.
The data archive includes only the time and date, the DOI number of each paper downloaded, and the location of the user. I’m not expert in DOI analysis, but Bohannon included a guide that shows the prefix 10.1177 is associated with Sage Publications, which publishes the American Sociological Association’s journals. Looking at the entire six-month series, September 2015 — February 2016, I found 171,000 Sage items, downloaded 377,000 times. Of those (if I got the DOIs right), 805 titles downloaded 1628 times came from the ASA research journals (my Stata code is here).
ASA / Sage downloads from Sci-Hub, Sept 2015 – Feb 2016
Articles
Downloads
American Sociological Review
239
693
Teaching Sociology
221
269
Journal of Health and Social Behavior
94
188
Social Psychology Quarterly
77
152
Sociology of Education
73
157
Sociological Methodology
57
76
Sociological Theory
44
93
Total
805
1628
On an annualized basis, that would be 750,000 Sage downloads, and 3,200 from ASA journals specifically. For comparison, the most popular article in ASR in 2017 was downloaded about 10,000 times from the Sage site, so it’s a small share of the legitimate traffic. So over the life of Sci-Hub it cost (and saved) ASA thousands of downloads, probably a few tens of thousands. [Note in the first version of this post, I had a coding error that multiplied the counts, and this read “hundreds of thousands”. I regret the error.]
The most-downloaded ASR paper for the entire period was:
Mears, Ashley. 2015. “Working for Free in the VIP: Relational Work and the Production of Consent.” American Sociological Review 80 (6): 1099–1122. (downloaded 33 times)
The most-downloaded from a different journal was:
Kanazawa, Satoshi. 2010. “Why Liberals and Atheists Are More Intelligent:” Social Psychology Quarterly, February. (29 times)
I looked at a couple of them in more detail, and found, for example, that Paula England’s 2015 ASA Presidential Address was downloaded by users in Seoul (South Korea), Durban (South Africa), New Delhi, London, Chicago, Washington, and Virgie (Kentucky).
Interestingly, at least one of the popular papers, Lizardo et al.’s introduction to their editorial tenure at ASR, is already ungated on the Sage site, so you don’t need to use Sci-Hub to get it. This suggests, as Bohannon also noted, that some Sci-Hub users are just using the site because it’s convenient, not because they don’t have access to the papers.
Do you Sci-Hub?
I use Sci-Hub a lot, often for things that I also have subscription access to. (I do not, however, contribute anything to the system; I free-ride off their criminality.) Why? I’m not in the paywall game business, I’m in the information business. I am always behind on my work, and adding a few seconds or minutes of hunting for the legitimate way to get each of the many articles I look at every day is not worth it. (And when I find my university doesn’t subscribe? Interlibrary loan is wonderful, but I don’t want to spend more time with it than necessary.) Does my choice cost the American Sociological Association a few cents, by reducing legitimate downloads, which somehow factors into the profits that get kicked back to the association from Sage? I don’t know.
Of course, one of the dumb things about the paywall system is that it’s expensive and time-consuming to manage who has access to what information — it’s not a small task to keep information from reaching millions of determined readers from all around the world. (I assume one of the reasons my university recently introduced two-factor authentication — requiring me to click a pop-up on my phone every time I log in to university resources [even when I’m in my office] — is because of Sci-Hub. Ironic!)
Chris Bourg is right: “let it be a lesson to us for what we should be doing differently.” Elbakyan may have committed the most efficient product theft in history, in terms of list price of stolen goods per unit of effort or expense on her part. Her archive has been copied and distributed to different sites around the world (it fits in a large suitcase). And it was made possible by the irrational, corrupt nature of the scholarly communication infrastructure. Her success is the system’s failure.
Update 1: I submitted a resolution to the ASA Committee on Publications, for consideration at our January meeting. You can read and comment on it here.
Update 2: The Committee on Publications on January 23 voted to approve the following statement: “The ASA Committee on Publications expresses our opposition to the decision by the ASA to sign the December 18, 2019 letter.”
The American Sociological Association has signed a letter that profoundly betrays the public interest and goes against the values that many of us in the scholarly community embrace.
The letter to President Trump, signed by dozes of academic societies, voices opposition to a rumored federal policy change that would require federally funded research be made freely available upon publication, rather than according to the currently mandated 12-month embargo — which ASA similarly, bitterly, opposed in 2012. ASA has not said who made the decision to sign this letter. All I know is that, as a member of the Committee on Publications, I wasn’t consulted or notified. I don’t know what the ASA rules are for issuing such statements in our name, but this one is disgraceful.
The argument is that ASA would not be able to make money selling research generated by federal funding if it were required to be distributed for free. And because ASA would suffer, science and the public interest would suffer. Like when Trump says getting Ukraine to help him win re-election is by definition in the American interest — what helps ASA is what’s good for science.
The letter says:
Currently, free distribution of research findings is subject to a 12-month embargo, enabling American publishers to recover the investment made in curating and assuring the quality of scientific research content. … The current 12-month embargo period provides science and engineering society publishers the financial stability that enables us to support peer review that ensures the quality and integrity of the research enterprise.
That is funny, because in 2012 ASA director Sally Hillsman (since retired) said the 12-month embargo policy “could threaten the ability of scholarly societies, including the ASA, to continue publishing journals” and was “likely to seriously erode and eventually jeopardize our financial ability to perform the critical, value added peer review and editorial functions of scientific publishing.”
The current letter, at least with regard to ASA, tell this whopper: “we support open access and have a strong history of advancing open access through a broad array of operational models.” They literally oppose open access, including in this letter, and including the current, weak, open access policy.
The ASA-signed letter is very similar to one sent about the same time by a different (but overlapping) large group of publishers, including Elsevier, and the U.S. Chamber of Commerce, claiming the rumored policy would hurt ‘merica. But there are subtle differences. The ASA letter refers to “the current proven and successful model for reporting, curating and archiving scientific results and advancing the U.S. research enterprise,” which should not be tampered with. The other letter warns of the danger of “step[ing] into the private marketplace” in which they sell research. Knowledge philosopher Peter Suber offered an excellent critique of the market claims here in this Twitter thread:
1/ Many of the new publisher lobbying statements use the standard rhetoric that government #openaccess policies interfere with the market. Many go a step further and assert that the market is working well.
ASA and the other money-making societies really want you to believe there is no way to do curation and peer review without them. If we jeopardize their business model, ASA says, the services they provide would not happen. In fact, the current subscription models and paywalls stand in the way of developing the cheaper, more efficient models we could build right now to replace them. All we need to do is take the money we currently devote to journal subscriptions and publisher profits, and redirect it to the tasks of curation and peer review without profits and paywalls — and free distribution (which is a lot cheaper to administer than paywalled distribution).
The sooner we start working on that the better. In this effort — and in the absence of leadership by scholarly societies — the university libraries are our strongest allies. This is explained by UNC Librarian Elaine Westbrooks in this Twitter thread:
People in the US are getting all worked up over the threat that articles produced as a result of federally funded research could be open.
Compare this forwarding thinking librarian’s statement with Elsevier. In proudly sharing the publishers’ statement, Elsevier vice president Ann Gabriel said, “Imagine a world without scientific, medical societies and publishers who support scholarship, discovery and infrastructures for peer review, data archiving and networks.” Notice two things in this statement. First, she does not mention libraries, which are the academy-owned institutions that do literally all this as well. And second, see how she bundles publishers and societies. This is the sad reality. If instead of “societies and publishers” we had “societies and libraries” maybe we’d be getting somewhere. Instead, our societies, including the American Sociological Association, are effectively captured by publishers, and represent their interests instead of the public interest, and the values of our community.
I remain very pessimistic about ASA, which is run by a professional group with allegiance to the paywall industry, along with mostly transient, naive, and/or ineffectual academics (of which I am certainly one). But I’m torn, because I want to see a model of scholarly societies that works, which is why I agreed to serve of the ASA Committee on Publications — which mostly does busy work for the association while providing the cover of legitimacy for the professional staff.
Letter of opposition
So I posted a letter expressing opposition to the ASA letter. If you are a sociologist, I hope you will consider sharing and signing it. We got 100 signatures on the first day, but it will probably take more for ASA to care. To share the letter, you can use this link: https://forms.gle/ecvYk3hUmEh2jrETA.
It reads:
In light of a rumored new White House Open Access Policy, the American Sociological Association (ASA), and other scholarly societies, signed a letter to President Trump in support of continued embargoes for federally-funded research.
We are sociologists who join with libraries and other advocates in the research community in support of federal policy to make the results of taxpayer-funded research immediately available to the public for free. We endorse a policy that would eliminate the current 12-month waiting period for open access to the outputs of taxpayer-funded scientific research. Ensuring full open access to publicly-funded research contributes to the public good by improving scientific productivity and equalizing access — including international access — to valuable knowledge that the public has already paid for. The U.S. should join the many other countries that already have strong open access policies.
We oppose the decision by ASA to sign this letter, which goes against our values as members of the research community, and urge the association to rescind its endorsement, to join the growing consensus in favor of open access to to scholarship, including our own.
“The Coming Divorce Decline, ” which I first posted a year ago, has now been published by the journal Socius. Three thousand people have downloaded it from SocArXiv, I presented it at the Population Association, and it’s been widely reported (media reports), but now it’s also “peer reviewed.” Since Socius is open access, I posted their PDF on SocArXiv, and now that version appears first at the same DOI or web address (paper), while the former editions are also available.
Improvement: Last time I posted about it here I had a crude measure of divorce risk with one point each for various risk factors. For the new version I fixed it up, using a divorce prediction model for people married less than 10 years in 2017 to generate a set of divorce probabilities that I apply to the newly-wed women from 2008 to 2017:
…the coefficients from this model are applied to newly married women from 2008 to 2017 to generate a predicted divorce probability based on 2017 effects. The analysis asks what proportion of the newly married women would divorce in each of their first 10 years of marriage if 2017 divorce propensities prevailed and their characteristics did not change.
The result looks like this, showing the annual probability falling from almost 2.7% to less than 2.4%:
The fact that this predicted probability is falling is the (now improved) basis for my prediction that divorce rates will continue to decline in the coming years: the people marrying now have fewer risk factors. (The data and code for all this is up, too).
Prediction aside: The short description of study preregistration is “specifying your plan in advance, before you gather data.” You do this with a time-stamped report so readers know you’re not rejiggering the results after you collect data to make it look like you were right all along. This doesn’t always make sense with secondary data because the data is already collected before we get there. However, in this case I was making predictions about future data not yet released. So the first version of this paper, posted last September and preserved with a time stamp on SocArXiv, is like a preregistration of the later versions, effectively predicting I would find a decline in subsequent years if I used the same models — which I did. People who use data that is released on a regular schedule, like ACS, CPS, or GSS, might consider doing this in the future.
Rejection addendum: Sociological Science rejected this — as they do, in about 30 days, with very brief reviews — and based on their misunderstandings I made some clarifications and explained the limitations before sending it to Socius. Since the paper was publicly available the whole time this didn’t slow down the progress of science, and then I improved it, so I’m happy about it.
Just in case you’re worried that this rejections means the paper might be wrong, I’m sharing their reviews here, as summarized by the editor. If you read the current version you’ll see how I clarified these points.
* While the analyses are generally sensible, both Consulting Editors point out the paper’s modest contribution to the literature relative to Kennedy and Ruggles (2014) and Hemez (2017). The paper cites both of these papers but does not make clear how the paper adds to our understanding derived from those papers. If the relatively modest extension in the time frame in this paper is sociologically consequential, the paper does not make the case clearly.
* There is more novelty in the paper’s estimates of the annual divorce probability for newly-married women (shown in Table 3 and Figure 3), based on estimating a divorce model for the most recent survey year, and then applying the coefficients from that model to prior years. This procedure was somewhat difficult for the readers to follow, but issues were raised, most notably the question of the sensitivity of the results to the adjustments made. As one CE noted, “Excluding those in the first year of marriage is problematic as newlyweds have a high rate of divorce. Also, why just married in the last 10 years? Consider whether married for the first time vs remarried matters. Also, investigate the merits of an age restriction given the aging of the population Kennedy and Ruggles point to.”
My term on the American Sociological Association Committee on Publications begins in January, so I drafted the first proposal from my platform.
This is for ASA to adopt the Transparency and Openness Promotion Guidelines from the Center for Open Science, and to start using their Open Science Badges, which recognize authors who provide open data, open materials, or use preregistration for their studies.
I put the proposal up in Google Docs, where you can read and comment on it if you like: here.
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:
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.
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 link the records.
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.
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 will be on the ballot for the ASA Publications Committee this spring. If elected, I will add making this change to my platform, which I outlined here. If I’m not elected, I’ll try to do this anyway.
