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Dec21

Why did the moth fly into the flame?

In: own data • Tags: decision-making, Drosophila, photopreference, phototaxis

Few insect behaviors are more iconic than the proverbial moths circling the lamps at night.

Artist: Dave McKean

Artist: Dave McKean

These observations are prime examples of the supposedly stereotypic insect responses to external stimuli. In contrast, in our new paper that just appeared today, we describe experiments suggesting that insects appear to make a value-based decision before approaching the light. However, compared to us, an insect’s decisions can take very different aspects into account. For instance, when a fruit fly (Drosophila) decides whether to approach light, it takes its flying ability into account. If any parameter of flight is sufficiently compromised, it is better to hide in the shadows, whereas the full ability to fly emboldens the animal to seek out the light. In a way, these results are reminiscent of the confidence with which a certain cartoon bee approaches a window:

Perhaps the most beautiful result of this work is the first investigation into the neurobiological mechanisms underlying the different valuation of light (or dark) stimuli in flying and non-flying flies. We found that the tendency of flies to approach or avoid light is not an all-or-nothing decision, but that different fly strains and different manipulations of flying ability show different degrees of approach/avoidance as well as indifference. Experiments with transgenic flies showed that we can push the flies’ preference back and forth along this ‘photopreference’ gradient by activating or inhibiting neurons that secrete either dopamine or octopamine, respectively. Octopamine and Dopamine are so-called neuromodulators, known to be responsible for valuation processes in other experiments across animals and in the case of dopamine also humans. Commonly, they do this by modulating the activity of neurons involved in processing sensory stimuli, such that the value of these stimuli to the animal changes after the modulator is applied.

In our case, activating dopamine neurons made flightless flies which would otherwise avoid light, approach it. Activating octopamine neurons, on the other hand, made normal flies, which approach light, hide in the shadows, despite the manipulation leaving their flying capabilities intact. The results obtained after inhibiting these neurons were mirror symmetric: blocking dopamine neurons from firing made the flies seek darkness without affecting their flying ability. Wingless flies with their octopamine neurons blocked approached the light as if they could fly. These results inspired the following illustration of how these neuromodulators may cooperate to orchestrate the evolutionarily advantageous decision for insects when faced with a light/dark choice:

Illustration of the hypthetical balance between octopaminergic/tyraminargic (OA/TA) and dopaminergic (DA) neurons stabilzing the valuation of light/dark stimuli in fruit fly photopreference experiemnts.

Illustration of the hypothetical balance between octopaminergic/tyraminargic (OA/TA) and dopaminergic (DA) neurons establishing the valuation of light/dark stimuli in fruit fly photopreference experiments.

Future research will show whether these same neurons indeed change their activity when the flying ability is manipulated, as one would expect from these results.

It is possible that the evolutionary origin and ultimate ethological relevance may be found in the behavior of flies which have just emerged from their pupal case. The wings of these young adults are still folded up as the insect first needs to pump blood into the veins of the wings to expand them. During this time, the flies perch underneath horizontal surfaces and avoid light. Even when the wings are fully expanded, but not capable of supporting flight just yet, this behavior persists. Only once the wings are ready for flight, do the flies perch on top of horizontal surfaces and approach light.

newly eclosed fly

Source: hawaiireedlab.com

Adult flies in the wild that live on rotting fruit probably face the challenge of the sugary liquid of the fruit occasionally gumming up their wings, only for the next rain to wash them clean again. We mimicked this situation in one of our experiments by gluing the wings together with sucrose solution and subsequently removing the sugar glue from the flies’ wings with water. As expected, the flies approached the light before the treatment, avoided it when the wings were unusable and approached it again after the ‘shower’.

The first mention in the literature of adult flies with compromised wings being less attracted by light was by Robert McEwen in 1918. In the intervening 49 years, we could not find any mention of this phenomenon in the scholarly literature. Only in 1967, one of the founding fathers of Drosophila neurogenetics, Seymour Benzer, published work mentioning adult flies with deformed wings being less phototactic, but without any insight into the underlying neurobiology. It took yet another 49 years after Benzer’s work without any mention in the literature, before our paper described the first neurobiological components of this case of insect behavioral flexibility, 98 years after the original discoverer McEwen. Our postdoc, E. Axel Gorostiza, the first author of the paper, will start his own laboratory on this topic, so it seems unlikely that it will take yet another 49 years for the fourth publication on this topic to appear.

Of course, all our raw data are available from figshare. This was also the first paper from our laboratory where all authors were listed with their ORCID IDs and all materials and protocols were referenced with their RRIDs and protocols.io DOIs, respectively. All previous versions of the article are available as biorxiv preprints as well.


Original research article:

A Decision Underlies Phototaxis in an Insect. Royal Society Open Biology

E Axel Gorostiza, Julien Colomb, Björn Brembs

Freie Universität Berlin, Universität Regensburg, Germany.

Abstract:

Like a moth into the flame – Phototaxis is an iconic example for innate preferences. Such preferences likely reflect evolutionary adaptations to predictable situations and have traditionally been conceptualized as hard-wired stimulus-response links. Perhaps therefore, the century-old discovery of flexibility in Drosophila phototaxis has received little attention. Here we report that across several different behavioral tests, light/dark preference tested in walking is dependent on various aspects of flight. If we temporarily compromise flying ability, walking photopreference reverses concomitantly. Neuronal activity in circuits expressing dopamine and octopamine, respectively, plays a differential role in photopreference, suggesting a potential involvement of these biogenic amines in this case of behavioral flexibility. We conclude that flies monitor their ability to fly, and that flying ability exerts a fundamental effect on action selection in Drosophila. This work suggests that even behaviors which appear simple and hard-wired comprise a value-driven decision-making stage, negotiating the external situation with the animal’s internal state, before an action is selected.

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Posted on December 21, 2016 at 09:30 Comments Off on Why did the moth fly into the flame?
Dec20

So your institute went cold turkey on publisher X. What now?

In: science politics • Tags: open access, publishing, subscriptions

With the start of the new year 2017, about 60 universities and other research institutions in Germany are set to lose subscription access to one of the main STEM publishers, Elsevier. The reason being negotiations of the DEAL consortium (600 institutions in total) with the publisher. In the run-up to these negotiations, all members of the consortium were urged to not renew their individual subscriptions with the publisher and most institutions apparently followed this call. As the first Elsevier offer was rejected by DEAL and further negotiations have been postponed until 2017, the participating institutions whose individual contract runs out this year will be without continued subscription access – as long as they don’t cave in and broker new individual contracts.

At first, this may seem like a massive problem for all students and faculty at these institutions. However, there are now so many alternative access strategies, that the well-informed scholar may not even notice much of a difference. Here are ten different options, in no particular order (feel free to offer more in the comments):

Keep trying to access the publisher’s site: In many cases, the institutions have signed subscription contracts with archival rights, meaning you have access to content that once was subscribed. Moreover, many journals offer a ‘hybrid’ option, meaning that some articles are made available open access by the authors paying an extra fee. In both cases, the publisher site will still provide you with access to the article in question, even though your institution has not extended the subscription.

LOCKSS: This is a solution for libraries which did not obtain archival rights with the publisher. It keeps local copies of subscribed content precisely for such cases. Ask your friendly librarian if you encounter content that you know was once accessible but is now inaccessible – your library will likely be able to assist you to get access via LOCKSS

Google Scholar: Most entries in a GScholar search come not only with a non-publisher version of the article, but even with several different access options.

PubMed: For those of you who use PubMed, they link to various versions, including the PMC version in their search results. I’ve also asked them if they can link to other freely available versions. In many cases, these version only become available after some embargo period.

DOAI / oaDOI: You can copy and paste the digital object identifier (DOI) of any article into services which locate a freely available version for you. DOAI and oaDOI search preprint archives, researchgate or institutional repositories for accessible versions.

#icanhazpdf: For Twitter users, this hashtag attached to a link to the article will alert other users of your need for this article. If someone has access, they can send you the article.

Article payment: For quick (but not free!) access to an article, just grit your teeth and pay for the article (buy or rent). Some institutions are already reimbursing such costs.

Contact author: A less speedy option is to contact the corresponding author and ask them for a copy of the article. I remember doing this via snail mail in the days before the internet – and receiving “offprint-requests” as pre-printed postcard forms (filled in with type-writer) for my articles. That’s how old I am.

Inter-library-loan: Even if more and more institutions are dropping their big deal subscriptions, there are still many subscriptions around. Your library can likely get you the article via the many different versions of inter-library-loan (“Fernleihe” in German. In Germany, there is also a fee-based library service called subito which operates on a network of libraries. Very convenient and effective – and cheap if your institution is paying for it). If you don’t know how to use this service, ask your friendly librarian for assistance.

Sci-Hub: If all else fails, there still is the option of obtaining the article from Sci-Hub. It covers roughly 50% of all articles, so there is a pretty good chance you’ll get what you need there. I have written before why I find Sci-Hub to be a necessary and effective form of civil disobedience. There is a catch, however. In many countries Sci-Hub is considered illegal as it offers copyrighted content for download. While there is no definitive, generally accepted decision, there is a lawsuit pending brought by Elsevier against Sci-Hub. Legal opinions vary, but an early consensus seems to emerge according to which individual downloads, while infringing, are unlikely to be prosecuted, but institutions which fail to follow up on publisher complaints may at some point become liable. Use at your own risk.

These are ten different options (9 of them completely legal) to obtain scholarly content without a current subscription to the scholarly journal in question. The statistics on article availability as well as my personal experience suggest that almost every article will be available via at least one or more of these options.

Importantly: if you find that you can indeed access most of the content you need to read via such means, let your librarian know that you are fine with dropping subscriptions – it will eventually allow your institution to be able to afford providing you with a modern digital infrastructure.

UPDATE (Dec. 21, 2016): There were several questions as to the legality of #icanhazpdf. Sharing of scholarly articles among scholars has been standard practice for decades, if not centuries. Hence, sending individual articles to individual scholars has never been illegal and still is not to this day. The Twitter hashtag merely brings two scholars togather for this age-old standard practice. Even Elsevier explicitly allows such sharing (PDF):

Scholarly sharing of articles [8 above]
Current ScienceDirect subscription agreements permit authorized users to transmit excerpts of subscribed content, such as an article, by e-mail or in print, to known research colleagues for the purpose of scholarly study or research. Recipients of such scholarly sharing do not themselves have to be affiliated with an institute with a ScienceDirect subscription agreement.

h/t to Jochen Johannsen and Bernhard Mittermaier for the source.

UPDATE II (Jan.27, 2017): The latest version of the Open Access Button also retrieves publicly available versions  of paywalled articles, much like DOAI or oaDOI. However, it comes with a critical improvement over these two services: it allows you to send a request for any articles that isn’t already covered and the OAButton team will try to make it available. In that way, the OAButton not only provides you with the articles, but also expands the coverage of publicly accessible research, such that ever more content becomes available without subscriptions.

This is a wonderful development. More and more services providing you with scholarly articles without a subscription. Remind me again, why do we even have subscriptions? Subscriptions probably are the worst value for money of any subsidized service our scholarly institutions provide us with. We should cancel all subscriptions now, there is no need for them and paying them constitutes fiscal irresponsibility, as far as I’m concerned.

UPDATE III (Feb 16, 2017):

It’s now more than six weeks since the German institutions lost all access to the journals of publisher giant Elsevier. You may wonder how they have fared? According to a news report:

The loss of access to Elsevier content didn’t overly disturb academic routines, researchers say, because they found other ways to get papers they needed

It’s official. It works. We don’t need subscriptions.

UPDATE IV (Mar 17, 2017):

Impactstory has come out with their browser add-on “Unpaywall” that lets you find open versions of paywalled articles with the click of a button. It’s never been easier to drop subscriptions than now!

UPDATE V (Mar 25, 2017):

On twitter, I’ve been sent two more methods of accessing paywalled scholarly content. On is called OpenDOAR and somewhat similar to DOAI/oaDOI or the open access button in that it accesses content in ‘green’ repositories. The other is Scholar on Reddit and works similarly to #icanhazpdf on twitter: you post a request and some good soul with access provides the content. So many ways to get access and it just keeps getting better. Have you already talked to your librarian and told them that you are ok with subscription cancellations?

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Posted on December 20, 2016 at 14:37 6 Comments
Dec06

Should public institutions not be choosing the lowest responsible bidder?

In: science politics • Tags: publishers, subscriptions

Public institutions the world over are required to spend their funds responsibly. Commonly, this is done by requiring them to host bids for purchases or services above a certain threshold. If you work at a public institution and have wondered, e.g., why you are only allowed to buy a computer from your computing facility which only sells one particular brand, then the answer likely is that this brand won the bidding contest.

The idea here is, to quote from an old (1942) document from the US:

The awarding of contracts by municipal and other public corporations is of vital importance to all of us, as citizens and taxpayers. Careless and inefficient standards and procedures for awarding these important community commitments have increased unnecessarily the tax burdens of the public. To secure a standard by which the awarding of public contracts can be made efficiently and economically, and with fairness to both the community and the bidders, the constitutions of some states, and the statutes regulating municipal and public corporations provide for the award of public contracts to the lowest responsible bidder.

As far as I know, most countries have such purchasing rules in place for essentially every service or purchase. However, it seems one area of services is exempt from this rule: scholarly publishing services, in particular journal article publishing (not sure about books). While every major plumbing operation, every ventilation improvement and every cleaning contract needs to be signed after a competitive bidding procedure, we negotiate subscription deals behind closed doors and the signed contracts are often hidden behind non-disclosure agreements. It seems to me that the second sentence in the quote above describes the consequences of these back-room dealings quite accurately. What evidence is there to support this view?

If one looks at the costs of these subscription deals, one finds that they amount to about US$5,000 per published subscription article. However, open access publishing costs (not article processing charges, APCs!) range from below US$100 to around US$500, depending on a variety of factors. Hence, publishing services which let everybody access our literature would blow out any subscription publisher if a competitive bidding process would take place! (Note that some publishers charge their customers much more than their bare-bones publishing costs for a variety of reasons)

As everyone knows, the justification for subscriptions purchases is that the subscribed content can only be obtained at this one publisher, so there cannot be any bidding. The subscription business is essentially one of monopolies, obviously. This argument is about as superficial as it is vacuous. Institutions currently spend huge sums acquiring large collections of journals only few of which are heavily used. From a single article perspective, these collections provide a massive oversupply: institutions pay for access to many more articles than their faculty actually read. If our institutions were instead to focus on serving their faculty’s publishing rather than reading needs, the money would arguably be spent much more effectively.

For quite some time now, we have observed the development new business models such as those of Ubiquity or Scholastica. These service providers allow their clients to switch services if they are not satisfied. Let’s say we, University of XYZ,  find Scholastica’s US$100/article service is the lowest responsible bidder. After a year or two we get so many complaints from our faculty about what a horrible service this is, that we decide to have another round of bidding, where we include a more extended range of services. Let’s say the US$500 per article service of Ubiquity wins the bidding this time. University of XYZ can easily switch, without losing access to any of the published articles, simply because the articles remain under the control of University of XYZ. From one year to the next, the service provider switches and our faculty are much happier than before. University of XYZ can make a good case that it is getting a better value for money now than it did with the nominally cheaper option, because it still went with the lowest responsible bidder. Such a situation would create a truly competitive service market (as long as anti-trust regulations remained in effect).

Conversely, does this technical possibility mean that public institutions who are still negotiating with individual subscription publishers without a competitive bidding process could now be sued ?

Phrased differently, now that we no longer have to hand over our manuscripts to publishers for them to create a monopoly with our work, aren’t we legally required to make sure there can be a competition?

Phrased yet differently: Every single subscription to scholarly journals can be seen as an anti-competitive act that keeps a new business model that allows for competitive bidding from emerging. Shouldn’t there be some legal pushback against this perpetuation of tax-waste?

UPDATE – an analogy due to online questions:

Suppose University of XYZ needed all their windows cleaned. For some historical reason, faculty decided to all sign over their rights to access their windows to any company of their choosing, such that no other company could come and clean them. Afterwards, the university had to pay outrageous fees for the various cleaners chosen by faculty, because only they had the rights to clean the particular windows the faculty had given to them. You could only get Window X cleaned by Cleaner Y. This is analogous to how we currently publish scholarly works. Shouldn’t we instead keep the rights to our works and have ‘publishers’ compete for our business?

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Posted on December 6, 2016 at 14:38 8 Comments
Nov13

Do flies in groups make individual choices?

In: own data • Tags: decision-making, Drosophila, photopreference

This is our first poster at this year’s SfN meeting in San Diego. It’s about decision-making in fruit flies. We find a probabilistic form of decision-making that suggests that without understanding the mechanisms behind this fundamental uncertainty, we will never fully understand decision-making.

gorostizasfn2016Clicking on the image will let you download the PDF Version of the poster. This is our abstract:

In every behavioral population paradigm where groups of animals are being exposed to forced-choice situations, there is the question whether or not the individual animals can be assumed to make their own choices. We approach this hypothesis by testing Drosophila fruit flies for their photopreference in a light/dark T-maze. Approximately 75% of a randomly chosen group of wild type flies decide to approach the bright arm of the T-Maze, while the remaining 25% walk into the dark tube. Taking these subgroups of flies and re-testing them revealed a similar 75-25 distribution in each subgroup.
In order to increase the number of choices each subgroup makes without losing too many flies in the process, we used the classic phototaxis experiment developed by Seymour Benzer in the 1960s. In this experiment, flies are exposed to a light source while they are confined in transparent tubes aligned with the direction of light. Each round of the experiment consists of 5 consecutive choices were the animal can either stay or walk towards the light (positive phototaxis). At the end of a round the original group is split into 6 subgroups according to their sequence of choices.
We discovered that while the test/re-test distributions were similar, there was a tendency of the extremely phototactic animals (positive and negative) to skew their distributions towards their respective end.
These results are consistent with observations in single-animals where individual choice probability was discovered to be itself distributed over a population of flies (Kain et al., 2012). To test for potentially confounding effects of general activity and walking speed, we tested individual flies after their phototaxis experiments in Buridan’s Paradigm, where flies walk between two opposing black stripes. We detected small walking speed and general activity differences, suggesting a quantitative interaction between general and light-specific processes contributing to the performance scores in Benzer’s phototaxis experiment.
Kain JS, Stokes C, de Bivort BL (2012) Phototactic personality in fruit flies and its suppression by serotonin and white. Proc Natl Acad Sci U S A 109:19834–19839.

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Posted on November 13, 2016 at 17:46 Comments Off on Do flies in groups make individual choices?
Sep29

Practical roads to infrastructure reform

In: science politics • Tags: infrastructure, publishing, reforms, subscriptions

A recurrent topic among faculty and librarians interested in infrastructure reform is the question of whose turn it is to make the next move. Researchers rightfully argue that they cannot submit their work exclusively to modern, open access journals because that would risk their and their employees’ jobs. Librarians, equally correctly, argue that they would cancel subscriptions if faculty wouldn’t complain about ensuing access issues. And so the discussions usually keep turning around and around, not getting anywhere.

Both groups are correct, of course, and so it boils down to which of the two obstacles is easier to overcome.

As tenured faculty myself, the only way to solve the problem on our side is to remove or at least decrease the pressure to publish in subscription journals. Many have realized this, for instance there is DORA, the REF explicitly excludes impact factors for evaluation and my colleagues and I have published a review of how top-ranked journals publish the least reliable science. I would argue that we have taken all the steps we currently can reasonably take. However, there is still a long and tedious road ahead of us where many important factors are out of our control. For one, the hypercompetition for positions and funding, due, in large part, to allocation of funds on a project rather than ongoing basis, leading to an overproduction of early career scientists and cash-strapped labs, is largely beyond faculty control. Second, even if public statements eventually were to manage to effectively devalue journal rank, in an atmosphere of hypercompetition, the obvious risk-averse strategy is to keep assuming that journal rank is instead used on an informal basis: having a paper in a top journal would never hurt, while one in a ‘lesser’ journal could. Hence, as long as there are journals and hypercompetition, faculty will continue to risk their own jobs, their employees’ jobs or the lights going out in their labs if they refuse to submit to subscription journals.

In brief, the obstacles for faculty radically changing their submission strategy are a) human nature, b) government-induced hypercompetition and c) the existence of journals.

While all three obstacles can (and perhaps should) be overcome in principle, there is probably a decent argument to be made that c) may be easier to master than either a) or b). Which brings us to the obstacles for eliminating journals by simply starving them of money. As all agree that paywalls have to go, subscriptions will have to run out at some point. The discussion is no longer about “if”, it’s about “when”. As it appears, for the above reasons, unlikely that scholars will substantially change their ways within my lifetime, I would argue that right now is the time to let subscriptions run out as the logical next step. I have two reasons for my argument, one is technical and one is logistical.

The technical argument, spelled out in more detail elsewhere is that we now have a whole slew of solutions at our disposal to create something jokingly referred to as “legal Sci-Hub”. Much as the actual Sci-Hub, it would provide convenient but patchy access to the scholarly literature, only this version would be legal (with, as now, actual Sci-Hub filling the patches not covered by legal Sci-Hub). As the current subscription-based system is also patchy, but often inconvenient, there is little reason for faculty to complain if they instead get something similarly patchy but maybe more convenient. Moreover, as the change entails an upgrade that comes with massive savings, faculty need not even be involved in the decision, as hardly any of them would know any of the involved technicalities anyway – faculty hardly know the publishers behind their journals, let alone what a link-resolver, DOAI or LOCKSS is. The only thing required is, of course, to inform them that there are a few upgrades running behind the scenes and that they are asked to pardon the dust for a while. In the same letter, faculty would also be informed that the upgrades come with such savings, that they will receive a whole host of new services that such a modern infrastructure will enable.

The logistical argument involves looking at the number of people who have to be convinced to act. If researchers are asked to act next, this would entail convincing just under 8 million researchers at ~10,000 institutions to risk their jobs. What are the number of infrastructure experts who need to be convinced that now is the time to bring their institutional infrastructure from the 20th into the 21st century? A large fraction of subscriptions are by now bundled up in so-called “Big Deals“. These Big Deals, in turn, are often negotiated by regional, national or supra-national consortia. These consortia constitute existing collaborations between institutions in order to solve an infrastructure problem: paying for increasingly overpriced subscriptions. There are currently about 200 of these consortia organized in the “International Coalition of Library Consortia“. Hence, one would have to convince the leading individuals at only a few hundred organizations that now is the time to shift their infrastructure from subscription-based solutions to modern solutions. Clearly, this would not cover all subscriptions, but it would be so widespread, that every institution on the planet would contribute in some way or another and hence all institutions would at least receive notice of the upgrade. Starting with these consortial Big Deals should bring in several billions (US$ or €) annually, which would easily cover implementing the more advanced components one would expect from a modern scholarly infrastructure during this transition period. Any individual researcher who would still like to read a subscription-based journal (who would submit to these journals to make them worth reading?) can still subscribe with their own funds, just as they can still write their manuscripts on type-writers or dictate them to their secretary, if they so choose. Subscriptions simply do not belong to the canon of solutions any more, that tax-funded public institutions can afford to subsidize.

Condensing these estimates to an (admittedly very simplified, but rather pointed) dichotomy, asking researchers to  submit exclusively to OA journals entails convincing just under 8M individuals at ~10k institutions to risk their jobs, while asking librarians to let subscriptions run out entails asking maybe 1k individuals at ~200 organizations to do their job.

While I wouldn’t dare to imply that any of these two options were trivial or even just easy, from my faculty perspective, the second option seems to be the technically and logistically less difficult one.

This insight of course does not entail shifting responsibility for change away from me personally or any of my colleagues, towards librarians. Librarians and faculty are fundamentally on the same side in this issue and share the same interests in a scholarly commons. As such, there is no way around symbiotic cooperation if we strive to overcome the significant social hurdles set up by a self-reinforcing system towards a major shift in the overall research culture. We all need to change and adjust and here I have laid out just a few of many reasons why libraries are in a unique position to now take the second step – after faculty have started to boycott publishers like Elsevier, created OA journals, are submitting more and more of their manuscripts to them, created preprint servers and are constantly increasing their preprint-deposition. At this point, there is very little further action I can see faculty can take. Librarians have already embraced the open access movement many years ago by creating repositories at almost every institution, a vital component of a modern infrastructure. Librarians have a many centuries-long tradition of providing services for faculty. Now is the time for maybe their most critical service yet, completing the modernization of our scholarly infrastructure, a necessary next step to halt further commodization of scholarship and to keep working towards a scholarly commons.

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Posted on September 29, 2016 at 11:03 11 Comments
Aug01

What interacting with publishers felt like for this open access proponent

In: science politics • Tags: esposito, publishers

At various meetings I get often asked by early career researchers, librarians or other colleagues what my interactions with publishers felt like. I usually answer that my last twelve years campaigning for infrastructure reform felt like academia was receiving the big middle finger from publishers:

No matter what you try, academia, we'll still get your money, suckers!

No matter what you try, academia, we’ll still get your money, stupid suckers! Gotta go, need to cash that check you just gave me, so I can spend the money before you give me the next one.

Given how often I have been asked to convey my experience, I have often contemplated on how to best bring that message across in a blog post. There was this one time, in a podium discussion, when one of the vice-presidents of Elsevier in all seriousness exclaimed that indeed they add value – when their embargoes and their funding of the RWA showed they did not themselves believe in such value and everybody, including other publishers, already publicly agreed that today’s academic publishers add little, if any, value. At too many other instances to recount, publishers talked of “our content” when referring to scholarly works – in the presence of academics. Again other instances are less personal, but equally direct, for instance when they issue “sharing policies” telling us what we are allowed to do with our works, or citing “because we can” when raising prices, or insulting our intelligence when defending their practice of stealing our copyright.

Today, however, I found a post by publisher advisor Joseph Esposito which I now just have to cite to make my point:

Double-dipping is not a dark blemish on one’s character but an emergent property of current open access (OA) practices.

Apparently, by asking for public access, we just forced publishers to increase their profitability and we should stop blaming them for taking advantage of us.

whatever the benefits of OA, reduced costs are not among them.

A subscription article currently costs the taxpayer on average about ~US$5000. An open access article, published with modern technology and on a non-profit basis typically incurs costs of less than US$500. Stating the above essentially means that the author thinks his audience lacks fundamental algebra.

But the hybrid or pockmarked journal is also an irritant, as tracking all the rules for what should and should not be OA is a pain in the neck.

Again, academics are infecting the publishers’ beautiful money-making scheme with the pocks of public access. How dare they give publishers a neck ache and then even have the gall to complain if publishers sooth their ache with wads of cash straight out of the taxpayers’ pockets!

The invisible overhead continues to tick upward, increasing costs (while adding no value), prompting publishers to look for ways to offset that growing expense — or even, if they are shrewd, to turn it into a profit center.

We should not blame publishers if shrewd managers find ways to extort even more than the already record-setting profit margins from the public purse! After all, we brought this whole access nightmare on ourselves. Had we just kept quiet as cash cows ought to be and been content with getting a 17th century infrastructure for a 24th century price tag, then none of this would have had to happen.

The obvious way to do this is to increase the price of the journal, which is relatively easy to do since not many libraries pay retail prices for journals; rather, journals are mostly purchased as part of large packages in which the cost of an individual journal is obscured. The sleight of hand here is that the increase in retail price is immediately offset by a discount.

Of course we raise prices only to then discount you the price hike, because

This is such a common marketing tactic in our society that it surprises me when it has to be explained to anyone. Those men’s polo shirts at Brooks Brothers are “on sale” for $49, reduced from $75. But when were they ever $75? They were put “on sale” the day they arrived at the store. At $49 the store owner may be working with a 50% margin. What’s not to like? The retailer makes money and the consumer goes home wearing a new shirt, smiling smugly for having gotten such a good deal.

It is quite obvious why Mr. Esposito joins the publishers he advises in their impression that they need to explain such basic tenets to academics, in particular inasmuch as it serves to rub it in how sheepishly academic institutions have let themselves be ripped off for the last half century or more.

This will make it easier to maintain double-dipping. It is here to stay, though its form will evolve, the better to ensure the revenue of the publishers, as long as journals’ brands carry weight with tenure and promotion committees (not to mention scholars’ sense of themselves).

And as if the previous paragraph wasn’t already insulting enough, let’s pile it on and double down on how academics are so much more stupid than their inflated egos tell them, which makes them such easy prey for scammers like academic publishers.

So now you know what publishers think of you, you snotty little academic brat! Publishers take your work for free, sell it for an insane profit and use some the proceeds not spent on yachts and private jets not only to counteract any reform you might envision, but also to insult you at the same time with actions and words.

My next post will likely be about what I think academia might be going to do about this. It’ll probably be a very, very short post.

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Posted on August 1, 2016 at 13:24 34 Comments
Jul26

Peer-review is not free – it’s a subsidy for publishers

In: science politics • Tags: peer-review, scholarly communication

At seemingly every possibility in a discussion on peer-review, people apparently feel the need to emphasize that in the current model reviewers (or most academic editors handling peer-review) are not being paid.

Inasmuch as the reviewer is employed at some academic institution or another (as I’d assume the vast majority of reviewers are, with only few exceptions, on the whole), participating in scholarly communication is part of the job description. This means reviewers are, in fact, being paid: it’s our job to review.

Conversely, if we got paid for every review we did, it would have at least two, not very attractive consequences (likely more):

  1. Academics with decent salaries will stop reviewing, as it obviously isn’t part of the job any more, while those with less decent salaries will review at the expense of other, less lucrative academic tasks.
  2. Tax advisors will make a fortune by collating a myriad of bills/receipts for the academics who peer-review too much to do their own taxes.

None of this looks like a desirable future to me, so can we please stop pretending peer-reviewers are donating their time to a higher cause? If scholarly communication were a higher cause, is doing experiments or teaching a lesser cause and if so why?

The vast majority of reviewers are being paid for their work – just not by publishers, but that is an entirely different question. From some weird perspective, peer-review looks like free labor for publishers. However, it is not free labor it is subsidized labor, subsidized by the public whose taxes pay our salaries as well as the subscriptions keeping the publishers afloat. Subsidizing private companies is a separate discussion. What could be the value in singling out this particular subsidy by calling it ‘free’ and leave the others unmentioned? If anything, peer-review is one of several public subsidies that publishers receive. Saying that reviewers aren’t paid obscures this fact, so stop it already.

UPDATE: Thinking about this some more, an amusing argument would be to not pay the already paid reviewers some more, but instead tax publishers for the value they receive. First of all, each manuscript is a tremendous value. I suggest one dollar/euro for each word in taxation. Moreover, tax the publisher for each reviewer one credit per word they have to read, including the invitation and instruction letters. For each word of review the editor has to read, also tax the publisher one unit of money, plus a fixed rate per manuscript. The extra tax income then goes towards institutions giving their adjuncts proper jobs, increasing the number of authors, reviewers and editors. Imagine the hilarious incentives it creates on all sides and the circularity of it all! 🙂

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Posted on July 26, 2016 at 21:52 23 Comments
Jul25

Recommendations for future #scifoo invitees

In: personal • Tags: scifoo

I received an invitation to SciFoo (a “Science Friends of O‘Reilly” meeting) in the beginning of April this year. I was aware of the hype around this “unconference” and several people I knew had already participated, so at first I was rather excited and flattered about the invitation. However, I was in Germany, the meeting was at Google headquarters in Palo Alto, California and the flight was not covered. This meant anything from 1500-2000€ from my meager research budget would have to be spent on this trip. I didn’t know enough to justify that expense. This is my account to help others in this situation make an informed decision.

The invitation sure didn’t pull any punches in making sure I understood what an honor it was to be invited to this event:

Sci Foo Camper Lord Martin Rees, Astronomer Royal, remarked, “Well I suppose it’s what you call a happening or a sort of mini Woodstock of the Mind as it were, and what I learnt from this is exciting developments in a whole range of subjects, particularly from people whom one doesn’t normally encounter. I think it’s very important to realize that intellectual activity is not just what one’s academics do, it’s what many other people do.”
[…]
The Sci Foo format creates a unique opportunity to explore topics that transcend traditional boundaries, and discussions are of a kind that happens at the best conferences during breaks and late into the night.

I started looking around for reports of how previous attendees described the meeting. I found this one, who seemed to confirm my suspicions:

Sci Foo Camp embodies this tension between openness and exclusivity. Once there, everyone is equal, but few are called to what is a select networking opportunity. Ask people why they came and, if they are honest, they talk about being flattered.

Absolutely: SciFoo reeks sufficiently of Glam that you should definitely attend if you don’t have tenure (Nature Magazine and their digital technology branch Digital Science are listed among its sponsors). Moreover, there are many really smart and interesting, some famous and a whole bunch of very well-connected attendees at scifoo, which can be very helpful on the road towards tenure. So in that case, it’s a no-brainer:

But the invitation to attend also seems like an opportunity to enter a secret society, an inner circle of thinkers selected by a cadre of rich and powerful players in the online world. […] Without the networking incentive, I’m not sure I would have been able to justify the huge expense of jetting out to California.

Moreover, you get to participate in the creation of the program, since this is an unconference: you get to claim one (or several) spots on the agenda and fill it with whatever you are passionate about. This means an unconference is a perfect opportunity for self-promotion: perform well in a couple of exciting sessions you organize and you have the opportunity to impress yourself into the memory of a whole bunch of potential future employers or other powerful enablers for future support.

However, I have tenure and the money spent on the trip will be missing both for my experiments and for those of my postdoc, my graduate student and the undergraduates. So neither the Glam factor nor the networking opportunity is a prime directive any more. On the other hand:

campers are invited to Sci Foo only because they have their own specialisations. Depth is what you bring, breadth is what you take away. The whole premise of these intense intellectual mash-ups is that people are doing all sort of interesting things but, because they work within their own fields, there is not enough cross-fertilisation.

That sounds very enticing and the entire article is generally very positive and upbeat, despite the criticism it contains. So I went and asked our technician what the budget had to say. Her answer was that the budget looked great and I shouldn’t worry about the 2k€ and have a good time over there. My wife also said it may be an interesting experience and since I was curious to form my own opinion rather than reading about scifoo, I booked the flight after a total of 20 days of deliberation. However, to be sure I definitely would get plenty of real science out of the trip no matter how scifoo turned out to be, I set up visits to the Clandinin and Poldrack labs at Stanford.

Don’t expect to take a whole lot of new information back home from scifoo. The description of scifoo in the invitation mentioned that it’s a conference of coffee-break discussions, so expect more fun intellectual titillation than deep, novel insights. The instructions and descriptions you find about scifoo are dead on and the organizers are experienced in delivering the scifoo look and feel. Scifoo certainly was very well organized. A big thank you to the many people who helped make this event so perfectly orchestrated.

The meeting certainly was intellectually stimulating with a diverse group of scientists from astrophysics to psychology, rendering every session, every break and every meal making you feel like you’re participating in the recording of one of those science podcasts I so love to listen to. Like in a podcast, you will see very little actual scientific data: presentations are frowned upon and interactive discussions encouraged. Maybe only 2-3 of the dozen or so hour-long sessions I attended had any form of data in them, and that’s on purpose. You still get to hear a lot about all kinds of exciting discoveries and developments. If you thirst for more cold, hard data than short accounts of ‘super awesome’ discoveries, scifoo is not for you.

While the unconference format is a great way to let the attendees determine what they want to spend their time on and hence allow those in need to network and market themselves, there is an in hindsight rather obvious flip side, which I only realized when I attempted to participate in the creation of the program.

On the evening before the conference, the 250 or so attendees all flock to panels on which to paste post-it notes with their titles and names for sessions. I ellbowed my way through the knot of people in front of the panels and stuck my title on one of the few remaining empty slots. Every hour, there are about 6-8 parallel 1h sessions, so there was genuine competition for attendees. Only then dawned it on me that this automatically entails that those desperate for self-promotion will inevitably come to dominate the program. Not exclusively, of course, but when the program started to coalesce, the association I had when reading a lot of the titles was more that of clickbait than that of an intellectual delicacy: life extension, cold fusion, big data, aliens, social media, origami. I decided to take my session off to not stand in the way for those who had more urgent things to discuss.

I tried to stay away from what I judged to be the most ‘clickbaity’ titles and with the exception of the 2-3 sessions with data which I enjoyed the most, the other sessions fitted the scifoo description perfectly: heated discussions, brain storming, discoveries, science politics and some poking at deep problems all occurred in and between the sessions. In that respect, scifoo was exactly as described and I cannot say I was bored very often.

In hindsight also to be expected (and in my opinion an unavoidable price worth paying) was that some of the sessions felt like unprepared committee meetings with faculty where the first five minutes are really productive until someone accidentally mentions something that derails the meeting. Once the hour is over the participants are all left to wonder what this sessions now had actually been about.

Similarly, in sessions where deep question do start to be tackled, no significant inroads can be made in the short time frame of an hour – but also that is intentional, as far as I understood. This format is bound to be diverse in all kinds of ways, with sessions varying a lot. This is not necessarily a bad thing.

One of my favorite parts at meetings with a heavy digital slant is to meet people in person which I have so far only met online. I always thoroughly enjoy the inevitable discrepancy between how I thought the people may look like and their actual appearance. Being able to immediately connect with someone one has met for the first time because of the common foundation built online sometimes over years is a kick I can’t get enough of. Also at scifoo I’ve had the privilege to meet several individuals whose opinions, work or intelligence I admire, always a priceless opportunity. In addition, I also met several exciting scientists from other fields with whom I would love to stay in touch, but I guess this does not come to anyone’s surprise at this point?

In total, only a single one of the sessions I attended was truly unbearable. As I work on spontaneous behavior in the absence of external stimuli, I was intrigued by a session titled “what is the smallest unit of creativity?”. On the occasion of an invited article for an art exhibition, I had previously contemplated about the potential connection between an artist in front of an empty canvas and our animals in a homogeneously white environment, so I thought this might be interesting.

The person running the session couldn’t have started out any worse: while mentioning something about his molecular DNA work, he exclaimed that the work of his lab had been on Playboy recently. After a slightly too long pause to observe the effect these obviously awe-inspiring news would have on us mere mortals, he hastened to state that before that this work had of course been in Science (capital S). I had to bite my lips to not interject “and tomorrow on Retractionwatch?”. In the ensuing monologue, he kept pontificating without any real arguments that he thought chance was actually ruling the world and that biology/evolution/brains were always trying to move way from determinism towards randomness. That sort of sounded like this may lead down my alley after all and since I’m such a sucker for confirmation bias I felt I needed to cut the fella some slack. However, I grew increasingly uneasy when he went on to proclaim that ideas must be some sort of chemical, because everything in biology is some chemical (looking for affirmation from the audience that never came).  It didn’t help that his next assertion was that the most energy gets released when two thoughts from different domains collide. At about halfway through the session I finally had to leave at the point where he detailed that in the many instances when he would have a brilliant idea (his demeanor implying that he was referring to those ideas too brilliant for the riffraff in his audience to ever experience), he always just had to laugh. In order to make us intellectually challenged understand the profoundness of what he had just said, he had to let out the longest, loudest, most embarrassingly awkward false laugh I have ever heard and top it off with a “oh, it’s just so brilliant!”.

Obviously, this session is not representative, but maybe it’s not completely unexpected in an environment that combines self-promotion with the explicit encouragement to organize sessions on topics you have no expertise whatsoever in.

In total, I don’t regret coming at all. It was a little like an exclusive, weekend-long cocktail party, with smart people who always had something intelligent, witty and novel to contribute. All in all, I had a lot of fun and some of the science here and in the labs in Stanford probably justify the dent in our research budget. If I were based in the Bay Area (or they covered the flights), I’d even accept a second invitation, if ever there were one (probably not after this post, lol). Given the immense effort it takes to come to scifoo from Germany on my own budget, I think once would be enough for me, though.

I hope I’ve been able to cover both the pros and cons of this event from my perspective in a way that does justice to the honorable intentions of the organizers and generous sponsors while helping future invitees make up their mind about attending.

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Posted on July 25, 2016 at 04:42 1 Comment
May20

Why haven’t we already canceled all subscriptions?

In: science politics • Tags: infrastructure, money, subscriptions

The question in the title is serious: of the ~US$10 billion we collectively pay publishers annually world-wide to hide publicly funded research behind paywalls, we already know that only between 200-800 million go towards actual costs. The rest goes towards profits (~3-4 billion) and paywalls/other inefficiencies (~5 billion). What do we get for overpaying such services by about 98%? We get a literature that essentially lacks every basic functionality we’ve come to expect from any digital object:

  • Limited access
  • Link-rot
  • No scientific impact analysis
  • Lousy peer-review
  • No global search
  • No functional hyperlinks
  • Useless data visualization
  • No submission standards
  • (Almost) no statistics
  • No content-mining
  • No effective way to sort, filter and discover
  • No semantic enrichment
  • No networking feature
  • etc.

Moreover, inasmuch as we use the literature (i.e., in terms of productivity and/or journal rank) to help us select the scientists for promotion and funding, we select the candidates publishing the least reliable science.

Taken together, we pay 10 billion for something we could have for 200 million in order to buy us a completely antiquated, dysfunctional literature that tricks us into selecting the wrong people. If that isn’t enough to hit the emergency brakes, what is?

We may not be able to buy paradise with 10b annually, but with such a low bar, it’s easy to get anything that’s at least not equally abysmal. The kind of modern technology we can buy would probably solve most of the most pressing issues with our literature, cover all our needs in terms of data and make sure we can cite and reuse all scientific code in a version-controlled manner – and then leave a few billion to play around with every year.

With the fruits of our labor firmly in our own control, we would have a flourishing market of services, such that whenever our digital infrastructure would lack the functionalities we expect or becomes too expensive, we can either switch service providers or hire our own experts without loosing our content.

As an added benefit, cutting the steady stream of obscene amounts of money to a parasitic industry with orthogonal interests to scholarship would prevent further buyouts of scholarly ventures such as Mendeley or SSRN and with it the disappearance of valuable scholarly data in the dark underbelly of international corporations.

One reason often brought up against canceling subscriptions is that faculty would complain about the lack of access subscription cancellations would entail. However, already published literature can in principle (although substantial technical hurdles still need to be overcome) be accessed via a clever combination of services such as automated, single-click inter-library loan, LOCKSS and Portico. Moreover, some libraries have seen substantial cost-savings by canceling subscriptions and instead supporting individual article downloads. Finally, institutional repositories as well as pre-print archives need to be leveraged whenever the publisher-version isn’t available. After all, we have DOAI and the pre-print versions are almost identical to the final article. With such an effort, most users likely wouldn’t experience more than maybe a few hiccups, but they’re already used to patchy access anyway, so it wouldn’t look vastly different from what people are experiencing now. In fact, if subscriptions were canceled, there would be a substantial incentive to get the most modern access tools and to keep them up to date, so for many institutions this might actually increase the spread and ease of access, compared to the current largely subscription-only access model. Thus, it is technically feasible to cancel all subscriptions in a way that most users probably wouldn’t even notice it. Essentially, all we’d have to manage is replacing one patchy access system with another patchy access system. While this may not exist out-of-the-box, yet, it should not be too complicated to assemble from existing technologies. One could call this a “legal Sci-Hub“. Add to that an information campaign that alerts users that while no major disruption is anticipated during the transition, some minor problems may arise, and everyone will support this two decades overdue modernization.

Another reason often provided is that the international cooperation between institutions required for such a system-wide cancellation to be effective were impossible to accomplish. That is a problem less easily dismissed than the supposed lack of access to the literature. After all, some governments explicitly don’t want their institutions to cooperate, they want them to compete, and even to develop “world-class competitiveness” (page 17):

competitiveness

In this regard, I recently listened to a podcast interview with Benjamin Peters, author of “How not to network a nation“. His description of the failure to develop the internet in the Soviet Union (compared to the successful developments in the West) reads like an account of how not to make open access a reality:

the American ARPANET took shape thanks to well-managed state subsidies and collaborative research environments and the Soviet network projects stumbled because of unregulated competition among self-interested institutions, bureaucrats, and others.

We need the same collaborative spirit if institutions are to abandon subscriptions, just as they cooperated to spend money to draw cables between institutions, even though they were separated by borders and even oceans. If in the 1980s, our institutions collaborated across nations and continents to spend money on a research infrastructure nobody yet knew, can’t they collaborate now to save money being wasted on an obviously outdated infrastructure? Has neoliberal worship of competition poisoned our academic institutions to such a degree, that within 25 years they went from cooperating even if it means spending money to never cooperating even if it means saving money? I refuse to believe that, even though that’s what some try to tell me.

Instead of trying to tell scholars to behave ethically in spite of the downsides to them personally, maybe we ought to tell institutions that our infrastructure is outdated and that we need the functionalities everybody else but academics are enjoying? We need to get the same mechanisms going that in the 1980s got our universities to invest in networking hardware and cables, despite a functioning telephone and snail mail system. Cancelling subscriptions doesn’t mean losing access, so nobody can tell me that canceling subscriptions is more difficult than installing compatible networking hardware across the globe. I’m now paying for my phone bills out of my budget, while my skype calls are provided by my university. Maybe rather than trying to convince scholars to choose the ethical over the advantageous, it would be more effective to ask our institutions to provide us with modern technology and have those who still want to use the legacy version pay for it themselves?

Framing our issue as an ethical one (“the public needs access to publicly funded research!”) may work, but it is a slow, ineffective and uncertain approach. Framing it as merely a technical modernization strikes me as potentially quicker, straightforward and effective.

UPDATE (May 23, 2016):

Some people have asked for evidence that canceling subscriptions and instead relying on individual downloads can save money. Besides hearsay from several libraries, this is a piece of evidence which should be quite convincing that this can work for some publisher/library combinations (click for larger version):

wiley tokensSo if libraries were to cooperate in identifying more such opportunities and then cleverly combine this action with LOCKSS and/or Portico as well as smart (single-click) ILL between those libraries whose Big Deals have already run out and those which are still running, given enough participants, almost all of the already published literature ought to be accessible. It may not be trivial, but it’s definitely feasible and the technical problems are not the main obstacle – it’s the collaboration that needs to be established. Moreover, this only needs to work for a relatively short time, until most of the journals have run dry of funding and ceased to exist.

Update to the update (June 8, 2016): Similar to the example above, other libraries have canceled big deals and come out ahead. Also here, providing previously subscribed content combined with rapid ILL from collaborating institutions worked just fine. (Link thanks to Micah, in the comments)

Indeed, the OA Tracking project at Harvard is collecting such examples under their own oa.cancellations tag. Quite a nice list of cancellations there. It’s a fact, canceling subscriptions can be done without faculty revolt and with substantial savings.

UPDATE II

Triggered by online discussions, a few hypothetical use cases:

  1. A user is requesting an older document from a journal that their institution longer subscribes to, but was accessible in the past. The link resolver checks if it can be served via LOCKSS or Portico. If not (weird that LOCKSS/Portico would not serve if content was already purchased before!?), then the resolver extracts the article meta-data (importantly, the DOI for use with DOAI) and screens the institutional repositories or places such as PubMedCentral, arXiv/bioarxiv or ResearchGate for the document. If all that fails, the link resolver checks for ILL availability with an institution whose Big Deal has not expired, yet. If none of these 3/4 services can serve the document, then ask user if they want to send copy request to author (single click) or download individual article and pay the fee (faculty get informed about their usage/costs!).
  2. A user is requesting a brand new article from a journal that their institution is not subscribing to. The link resolver extracts the article meta-data (importantly, the DOI for use with DOAI) and checks for availability in repositories. If unavailable, check for ILL. Both not available, ask user if they want to send copy request to author (single click) or download individual article and pay the fee (faculty get informed about their usage/costs!).
  3. A user is requesting an older document from a journal their institution never subscribed to. The link resolver extracts the article meta-data (importantly, the DOI for use with DOAI) and checks all relevant repositories, then ILL. If both fail ask user if they want to send copy request to author (single click) or download individual article and pay the fee (faculty get informed about their usage/costs!).

UPDATE III (Jan 17, 2017):

I’ve collected a short list of ten different ways to access journal articles without a subscription, nine of them completely legal. Clearly, canceling subscriptions (or not renewing them) is not the big deal it once was. If we used the saved funds to invest it in our digital infrastructure, by the time all subscriptions had run out, we would look back and wonder what took us so long.

UPDATE IV (Feb 16, 2017):

Since the start of 2017, about 60 German institutions lost all access to the journals of publisher giant Elsevier. According to a news report:

The loss of access to Elsevier content didn’t overly disturb academic routines, researchers say, because they found other ways to get papers they needed

It’s official. It works. We don’t need subscriptions.

UPDATE V (May 2, 2017):

In addition to the long list of reports about successful and painless subscription cancellations, there is now an evaluation of an informal survey of 31 US-based libraries. 24 of the sample had cancelled Big Deal subscriptions and the author’s conclusion was that “relatively few libraries that actually do cancel their Big Deals end up regretting it”. Obviously, more and more libraries realize that subscriptions are bad value for money and do just fine without them.

UPDATE VI (December 14, 2017):

SPARC is now also tracking big deal cancellations across the globe. It can be done, the evidence is out there for all to see.

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Posted on May 20, 2016 at 17:32 59 Comments
May12

On the productivity of scientists

In: science politics • Tags: competition, neoliberalism, productivity

“an academic career, in which a person is forced to produce scientific writings in great amounts, creates a danger of intellectual superficiality”

Albert Einstein

Isaacson W (2008) Einstein (His Life and Universe) (Simon and Schuster, New York), 1st Ed, p 79

 

Ever since Reagan and Thatcher made neoliberal ideas palatable to an unsuspecting public, concepts such as “New Public Management” or the more general notion that competition between institutions and individuals are key to eliminating the (probably nonexistent or at least negligible) problem of “dead wood”, have slowly crept into academia as well.

The consequences on the institutional level are quite well documented: The increase of the precariat of (adjunct) faculty without benefits or tenure, a growing layer of administration and bureaucracy, or the increase in student debt. In part, this well-known corporate strategy serves to increase labor servility. The student debt problem is particularly obvious in countries with tuition fees, especially in the US where a convincing argument has been made that the tuition system is nearing its breaking point. The decrease in tenured positions is also quite well documented (see e.g., an old post).

On the individual level, tenure, promotion and funding in many places now depend on the number of publications (in certain journals; i.e., “publish or perish”) or one’s creativity in designing the most expensive way to do their research (i.e., amount of grant income). While the incentives to waste tax-funds are rather obvious, it is probably more difficult to immediately see anything wrong with rewarding productivity. After all, researchers live off the public teat, shouldn’t they provide something tangible in return?

The issue lies, of course, in how to measure productivity. In many areas, not only science, Einstein’s dictum holds: “not everything that can be counted counts and not everything that counts can be counted”. There are at least two main issues with exerting selection pressure on scientists by using a count of research papers.

  1. It is likely only of specific value to some positions/institutions to hire/promote/fund researchers who excel at milking the most publications out of a given research question. In other words, while we should not exclude this kind of research, it is probably not to a general benefit if we primarily select those scientists who are especially gifted for identifying the fields of inquiry where a research paper is always just a fortnight away. Applied across the board, this strategy leaves the more challenging research questions without adequate staffing.
  2. In the experimental sciences, there is a statistical risk that the most productive researcher is also the one producing the least reliable publications. The point was made in great detail by Daniel Lakens in his paper “Sailing From the Seas of Chaos Into the Corridor of Stability: Practical Recommendations to Increase the Informational Value of Studies”. In brief, the argument is that a research strategy that aims at many low-powered studies (rather than fewer adequately powered ones) yields more statistically significant (and hence publishable) results. The figure (Fig. 1 in Daniel’s paper) below exemplifies this very nicely, I think:
power

Ratio of false-to-true positives and false-to-true negatives for the two researchers performing studies at 80% or 35% power. Both Researcher 1 and Researcher 2 conduct 200 experiments in which they examine 100 true ideas (in white) and 100 false ideas (in gray). Squares represent significant results, and circles represent nonsignificant results

In the above example, if one were to assume that researcher B would be able to do, say, 100 studies, researcher A would be able to accomplish 44 studies in the same time, all else being equal. In this hypothetical scenario, Researcher B would end up with 21 significant results, while Researcher A would only obtain 19.

We obviously don’t really know many of the parameters required to accurately estimate how successful any such strategies would be in our current research settings. [UPDATE: A modeling study (adequately titled “the natural selection of bad science“) recently confirmed that the above scenario is indeed quite realistic.] However, the fact that one can conceive of plausible situations where productivity is an indicator of sloppiness ought to ring alarm bells, especially in times when the reliability of science is becoming a major concern.

Hence, for these two reasons alone, be wary of the competence of anyone who uses ‘productivity’ as a criterion to evaluate researchers.

Together with the fact that we also reward scientists who publish in journals with a track record of unreliability, we should not discard concerns off-hand that we ourselves have contributed to the current situation by falling prey to the neoliberal idea that measurable performance is the prime criterion by which we can justify our selection of faculty. If the available data are correct indicating that we may have been selecting those researchers who publish the least reliable science for several decades now, we ought not to be surprised if we find that the reliability of science has been slipping.

P.S.: A similar argument has been made today in an editorial (easier to read with less data and statistics). See also this relevant post from 2013.

P.P.S.: On Facebook, Aaron Blaisdell from UCLA commented that counting papers is “a great way to measure whether a scientist puts ambition ahead of curiosity, scientific rigor and the quest for knowledge and understanding.” In this discussion, Bill Hooker was quick to point out that it may also measure how caught up in the system early career researchers have become.

Of course, the basic idea behind this argument isn’t all that new:

measure performance

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Posted on May 12, 2016 at 11:01 68 Comments
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