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Abstract
The Rudd government has announced a new system for recognition and quantification of research in Australian universities. The ERA (Excellence in Research for Australia) system is slated to replace the struggling Research Quality Framework (RQF) of the previous Howard government. Subject to the Australian Research Council approval of a consultation document, the ERA proposal will be circulated to universities and research stakeholders for comment. In this context, it is timely to consider one of the central tenets of the research process: peer reviewing.
Historical development of the peer review process The peer review process has its genesis in scientific journals. Henry Oldenburg, the founding editor of the pioneering British scientific journal The Philosophical Transactions of the Royal Society established in 1665, is recognised as the earliest journal editor to articulate the need for peer review: 'Oldenburg wrote of grappling with the vexing problems of ensuring authors' intellectual property and vetting their contributed papers' (Zuckerman and Merton 1986). Prior to this, secrecy characterised seventeenth-century scientific publishing:
Oldenburg's method used the judgement of peers in the Royal Society as
a validating mechanism and also as an official record of original authorship.
From its inception peer review was used as an instrument to distinguish
scientific journals from book publishing, ensuring
quality control and standards had been met before publication actually
took place (Tobin 2002). Exactly how peer review further developed appears sketchy. American historian JC Burnham has found:
The development of scientific research was based on several key values within the context of seventeenth-century research. These values made up a system described by Merton as the 'scientific ethos' (see Merton 1949) upon which research was validated. The values - universalism, systematic scepticism, ethical neutrality, communalism and disinterestedness - underpinned this ethos. However, in his article titled 'A dissenting view on the scientific ethos', published in the British Journal of Sociology, Rothman suggested a questioning of these values' strengths, arguing that they are flawed (Rothman 1972). His argument may be summarised thus:
As part of his critique of the scientific ethos, Rothman notes an insightful observation made in a letter to a 1966 edition of the journal Science:
This perception, made 40 years ago, is still relevant in the competitive, pressurised research environment of the Australian Research Quality Framework (RQF) and the new ERA (Excellence in Research for Australia) to follow it. The idea that there has been a shift 'from acts of discovery to the work of quick publication' resonates in the current system that requires researchers annually to publish peer-reviewed pieces as journal articles, book chapters and monographs. Indeed, it has been argued (of scientists) 'without the production of scientific papers, a scientist ceases to be a scientist' (Price cited Lindsey, 1979). Academics in all fields are now subject to the requirement to publish.
Contemporary peer review Emerging alongside the importance of peer-reviewed publications has been
the growth in the importance of the peer reviewer her/himself - the peer
who must evaluate, critically review and respond to the work of another.
By definition, they too will be a researcher and author, with their own
work in the publication cycle. Judson notes of the role: 'although peer
review and refereeing seem rational, indispensable, and immutable, the
histories demonstrate that they are social constructs of recent date.
They are not laws of nature, nor of epistemology. They have changed and
evolved' (Judson 1994). They are subject to the pressures
of the contexts of the time. The peer review has changed and evolved yes, but not, it would seem, in any systematic way. Analysts (e.g. Burnham 1990, Tobin 2002) agree that guidelines and processes have emerged ad hoc.
So new academic writers face difficulties in having their work reviewed
and in reviewing the work of others particularly because the review process
is done in isolation - i.e., it is carried out away from the journal,
as a private confidential activity, and then submitted. Compounding this
is the pace required within the strictures of the publishing process which
comprises: researching, writing, sending for submission, journal editors'
screening and identifying the best reviewers, seeking review from reviewer,
receiving feedback from reviewer, sending back to the author and quite
possibly beginning the cycle again because feedback from the reviewer
requires change to the piece. New reviewers - and new contributors - are faced with an array of challenges,
not least of which is their limited writing experience. Putting one's
work forward for refereeing is like playing chess with one's ego - advancing
one's pawn into the maw of scholarly battle. Busy old-hand reviewers are
not necessarily blessed with a generosity of spirit, and may treat pieces
harshly. On the other hand, newly engaged referees may find their reports
ignored by editors, for reasons of lack of skill. Writing a review, as
with receiving one, involves skills of astuteness and nuancing. This is
due to the complexity of the academic publishing process and its professed
responsibility to the advancement of knowledge. A very useful article, 'How to review a paper' in Advances in Physiology Education, provides the following etiquette:
There are many anecdotes to prove this advice often goes unheeded. Take
for example the following comment, offered in response to a paper written
by a PhD student in a Queensland university on her second attempt at academic
publishing: 'The paper serves no purpose'. The comment, along with the
rejection in the summary section of the reviewer's form, came complete
with a typo that indicated the haste in which the review had been put
together and sent. (The PhD student has since become a tenured academic
at a leading university and learnt much about how not to peer review from
this response.) But this case begs the question: how closely is reviewers' feedback monitored?
If reviewers are tardy in their responses, or worse, nasty and unhelpful,
are they cast from the list of a journal's future reviewers? One view
is that the online system of internet publication has enhanced the rigour
of peer review. Editor of the American Journal of Respiratory and Critical
Care Medicine Martin Tobin notes that the journal has 5,600 reviewers
on their database, covering 172 fields of research, with new reviewers
regularly added and 'delinquent or superficial reviewers' noted. He adds
that the timeline between submission and the first review is 33 days for
online peer review and applauds this move to electronic expediency. 'The
internet is revolutionising the speed of processing manuscripts
but the bedrock of science has not changed since the 1660's: experiments
are converted into science only after the results have been published
in a peer-reviewed journal' (Tobin 2002). In 2005 the developing RQF system in Australia (to be replaced by ERA from 2008) cautiously asserted the importance of peer review in validating research in the academic publishing process:
This questioning of the peer review process in journals led to the following:
We await guidelines for 'a more consistent and comprehensive approach to assessing the quality and impact of research' and 'the development of more sophisticated quality measures for research than currently exists'. In the meantime, we offer the following discussion and make some suggestions regarding the next phases in the development of peer reviewing.
The peer review process There are four elements that make up the total picture of the peer review process in the contemporary research environment:
The writer of the article must go through all the filters - numbers 2 through 4 above - in seeking publication. The journal sets the benchmark for the writer and the reviewer and often reflects the wider community of the discipline, although all three are closely entwined. We will deal with each of these points in an order that identifies the journal (number 3) as a crucial pivot point in the mix. Journal: The philosophy of the journal
Regarding points 1 through 4, it is apparent that most academic journals
spring up because an individual or group see 'a gap in the market' with
regards to publication coverage of an established discipline or field,
or a need to represent a newly-emerging field/discipline. Standards and
modus operandi vary according to the priorities or whims of the
editors and committees/administrators who run journals. Journals can change
their profiles and motivations radically and suddenly, or slowly over
time, in accordance with the desires of the personnel who run them. However,
many journals establish an individual style, ethos and character - an
expectation in the readership - which is difficult to change. Regarding points 5 through 8, there are matters in the operation of a
journal that are significantly the domain of the editors. Editors have
noteworthy power in determining how the day-to-day editorial operations
of a journal are handled. A look at the journal Hermes provides
insights especially regarding points 7 and 8 above. The journal of language and communication studies
Hermes is based in the Aarhus School of Business (ASB) in Denmark.
Journal editor Helle V Dam has provided an insightful analysis (Dam
2005) because, she says, the journal focuses on communications/language
and also because she wished to raise issues regarding the journal's balance
between fostering young researchers while gaining international status
and credibility. Dam explains that Hermes, founded in 1988, was created as a vehicle for the publication of local researchers and young scholars and, while it has grown into an international journal, it has nevertheless maintained its 'local roots' and continued its philosophy of nurturing scholarly development. Significantly, editors had initially been drawn from ASB and reviewers had been local until the journal took a strategic change of direction. In 2005, a policy change was taken to include 'external' referees as well as locals. The rationale for this is explained:
Nevertheless, the journal remained committed to publishing the work of
up-coming researchers, fostering the development of less experienced scholars.
The editorial board of Hermes lists three main ambitions:
With a policy of 'thorough-reviews-rather-than-immediate-rejection' and three rounds of revisions sometimes being required for inexperienced scholars, the second and third ambitions could be seen to counteract each other. Dam notes that this has been overcome by two strategies:
The philosophy of prioritising the output of young scholars - irrespective of the extra work this may place on the journal and the discipline - is central to the role of some journals, particularly in emerging disciplines where the journal itself is a major contributor to the development and growth of the discipline (e.g. also TEXT in Australia). Writer: The researcher/author seeking peer review
These issues can arise out of hasty submission, laziness, professional
pressures to publish, immaturity of the researcher, prematurity of the
research write-up, or a mixture of these. Manuscripts are sometimes sent hastily to a journal, perhaps to meet
a deadline, with the writer relying on the astute reviewers to plug the
argument gaps, or the editors to fill in from the style guides. Anecdotal
evidence supports this contention. However, the reverse is also argued.
Gannon says that authors tend to raise the standard
of their work knowing it will be scrutinised by another (Gannon
2001). Both contentions are correct, and can be correct for the same researcher
at different times in her/his career. The editors at TEXT have
seen every quality of submission from the most perfectly polished and
refined academic pieces (which evoked only gasps of praise from the referees)
to the high-school level mishmash (so poor, in fact, the work was rejected
before being sent for review). Oddly enough, submissions also arrive which
are clearly not suitable for the journal - not even dealing with the journal's
disciplinary focus - and therefore provide evidence that some writers
don't read the journal they submit to. Having a strong knowledge of the range of articles published by the targeted journal is of prime importance. This not only provides an understanding of the preferred style of the publication, it also leads to avoiding that embarrassing reviewer report which says: 'Previous articles in this journal have already covered this topic'. Reviewer: The role of the reviewer The reviewer's role is to some extent circumscribed by the philosophy
of the journal (as outlined above). Individual reviewers can be selected
because the journal editors know these reviewers are likely to agree with
each other or with the submission, or on the other hand, because opposing
views are sought. Reviewers known for writing tough or aggressive reports
might be engaged for particular submissions, while referees with a lighter
touch employed on others (e.g. from new researchers). Often in the case
of research entering a new area, the reviewers are not fully expert in
the matter under scrutiny, and here the reviewer must be equipped to be
perceptive and flexible. Some reviewers are ideal for the job of nurturing
new ideas, and for providing useful responses in the circumstance; some
aren't. Editors often canvass a spectrum of views by sending a submission
to two or more very differently-oriented reviewers. The key role of the reviewer/referee is to interpret and represent the
interests of the journal's readership. However, reviewers differ in their
responses for individual, political, philosophical, cultural, school of
thought and other academic reasons. Klopffer and Heinrich note how, in
young, multidisciplinary academic fields such as communications or creative
writing - which don't have the decades of experience in publishing enjoyed
by the sciences - reviewers may come to opposite conclusions
because of the lack of an accumulated archive of research in the field
(Klopffer and Heinrich 1999). In older fields, of course,
the very massiveness of that archive can create difference in reviewers'
interpretations and opinions. Why do referees referee? Journal editors may sometimes think it an imposition
on busy academics' time. But there is an element of being 'ahead of the
game' when a referee sees new research at its earliest manifestation.
And there is an element of power involved because the privileged reviewer
is given an opportunity to have an influence on the new work. Referees
are frequently given the opportunity to be at the cutting edge of the
discipline. The combination of privilege and responsibility involved in the peer reviewer's work is not often enough articulated. Reviewers hold in their hands keys to success for all three levels - for the writer, the journal and the discipline. It is important work, not to be taken lightly, especially because a reviewer also lays her/his own reputation on the line in delivering a review. Discipline: The expectations of the discipline Disciplines are shifting, convoluted arrangements. Expectations within
them involve the multitude and range of the expectations of the individuals
involved. A good discipline for a researcher to work in is one where open,
fair discourse prevails. A discipline should expect that its peer reviewers
- along with its researchers and the journals themselves - will cultivate
open, fair discourse. Good journal editors are acutely aware of the positioning of their publication within its discipline; much time is spent orienting and steering a journal in accordance with the discipline's compass points and the winds of change. When editors make decisions they set a course for their journal and for the discipline. Good peer reviewers also need to be aware of the currents, the shoals, and the goals within the discipline.
Anonymity in the process There are two aspects which set the peer review process apart from more general reviewing such as that done in the popular media. These are:
The second of these aspects is the more contentious. Anonymity is seen
as a critical element of peer reviewing: Klopffer and Heinrich, editors
of the International Journal of Life Cycle Assessment argue that
'the anonymous and strictly confidentially-performed review procedure
is the backbone of this process, and we take care of it with our
minds and souls' (Klopffer and Heinrich 1999: 61). However, this is not a universal point of view, especially in light of
changes within the contemporary academic environment which has moved toward
openness and transparency: 'Many view the powerful role that reviewers
play in scientific publishing with suspicion, and feel that the anonymity
of the process is contrary to the current demands for transparency' (Gannon
2001). Young and upcoming researchers have their own perspective on the process. Writing on behalf of the World Academy of Young Scientists (a forum created under the auspices of UNESCO in 2003), Mainguy, Motamedi and Mietchen (2005) identify problems with single-blind peer reviewing (SBPR) of young researchers. Basing their views on work done by Wenneras (1997), Laband et al (1994), Katz et al (2002) and others, they suggest:
Mainguy et al propose two means to eliminate bias from the peer-review process: open peer review (OPR) and double-blind peer review (DBPR).
As a concept, OPR is as bold as it is fascinating. Although an obvious
device, it is not an accepted part of the research publishing ethos for
journals or for monographs (where anonymous - and sometimes paid - readers
are employed to assess). Academics' general acceptance of the anonymity
of the reviewer is surprising in a culture where striving to reveal truths
is the principal motivation. Some research journal editors would surmise
that revealing the identities of reviewers could lead to bloodshed. Still,
there is an unusual contradiction in the veiling of the process which
monitors the drive towards unveiling new knowledge. On the other hand, the Young Scientists also canvass the possibilities of DBPR, a method now prevalent in several disciplines including computer science, philosophy, economics, communications and media studies:
In its earlier years, TEXT used SBPR but has moved more recently towards greater use of DBPR. No significant difference in the two techniques has been noticed by the editors, except that with DBPR established scholars are probably given a harder time in terms of their use of punctuation! It goes without saying that the old game of the writer guessing at the identity of the referee is now also played by the referee guessing at the identity of the writer.
The next phases of peer review It seems that the major critics of the peer review
process are those who defined it in first place: the scientists. Linkov
et al (2007), scrutinising peer reviewing in medical education for
online publication, note that until we have properly defined the objectives
of peer review, it will remain almost impossible to assess or improve
its effectiveness: 'The research needed to understand the broader effects
of peer review poses many methodological problems and would require the
cooperation of many parts of the scientific community' (Linkov et al 2007:
250). And Benos et al concede that: 'Very little definitive research into
the practice and effectiveness of peer review has been done' (Benos et
al 2003). Yet, while it is acknowledged to be a flawed process, it appears to remain
the best way we have to ensure quality through checks and balances. As
Gannon notes: 'The benefits of peer review are real, whereas the alternative
- giving up peer review in favour of a scientific "freedom of expression"
- would create many problems of its own' (Gannon 2001). In the sciences,
engineering and economics this could result, at the extreme, in errors
in patient treatment, collapsed buildings and unjustified stock market
impacts. In the humanities and creative disciplines, it might undo the
democratisation of ideas that persists there. So how can these issues be dealt with and problems overcome? Benos et
al (2003) make the point that 'reviewing is both a privilege and responsibility'.
Gannon supports this, arguing that we must devote time to the process
of reviewing others' work and, while he raises the question of payment
as an incentive, dismisses this for non-profit journals (Gannon 2001). With this in mind, and for advancement within the non-scientific disciplines, we might review the centuries-old scientific ethos indicators raised earlier - universalism, systematic scepticism, ethical neutrality, communalism and disinterestedness - and reconsider their principles:
And to these might be added, reflecting the requirements of monitoring in new and emerging disciplines:
List of works cited Benos, DJ, KL Kirk & JE Hall 2003
'How to review a paper', Advances in physiology education 27, 47-52,
http://advan.physiology.or/cgi/content/full/27/2/47 (accessed 7 March
2008) return to text Burnham, JC 1990 'The evolution of editorial
peer review', Journal of the American Medical Association 263.10
(March), http://jama.ama-assn.org/cgi/content/abstract/263/10/1323 (accessed
6 March 2008) return to text Committee on Science, Engineering and
Public Policy 2005 'Publication and openness', On being a scientist:
responsible conduct in research, National Academy of Sciences / National
Academy of Engineering / Institute of Medicine, Washington DC, National
Academy Press, http://books.nap.edu/readingroom/books/obas/contents/publication.html
(accessed 9 March 2008) return to text Commonwealth of Australia 2005 Research
Quality Framework: assessing the quality and impact of research in Australia.
Advanced Approaches Paper. Endorsed for discussion at the National Stakeholder
Forum, Canberra, 2 June 2005 by the Expert Advisory Group for an RQF,
Department of Education, Science and Training, http://www.dest.gov.au/NR/rdonlyres/B851C4B4-7F66-4F91-964B-76ECBB527E7A/5618/adv_approach.pdf
(accessed 7 March 2008) return to text Dam, HV 2005 'Editing TS journals',
European Society for Translation Studies, http://www.est-translationstudies.org/Research%20issues/Ghent%20Helle.htm
(accessed 7 March 2008) return to text Gannon, F 2001 'The essential role of
peer review', EMBO reports 2.9, 743, http://www.nature.com/embor/journal/v2/n9/full/embor333.html
(accessed 6 March 2008) return to text Judson, HF 1994 'Structural transformations
of the sciences and the end of peer review', International congress
on biomedical peer review and scientific publication, http://www.ama-assn.org/public/peer/7_13_94/pv3112x.htm
(accessed 6 March 2008) return to text Klopffer, W & A Heinrich 1999 'Peer
reviewing in a new journal: experiences from the first three years', The
international journal of life cycle assessment 4.2, 61, scientificjournals.com
www.scientificjournals.com/sj/lca/pdf/ald/1426 (accessed 31 January 2005)
return to text Laband, DN & MJ Piette 1994 'A citation
analysis of the impact of blinded peer review' International Congress
on biomedical peer review and scientific publication, http://www.ama-assn.org/public/peer/7_13_94/pv3106x.htm
(accessed 8 March 2008) return to text Lindsey, D 1979 'The editorial review
process: is it a sacred cow?' Contemporary sociology 8.6, The Major
Journals in American Sociology (Nov 1979), 819-24, JSTOR: The Scholarly
Journal Archive, http://links.jstor.org/sici?sici=0094-3061(197911)8%3A6%3C819%3ATERPII%3E2.0.CO%3B2-X
(accessed 6 March 2008) return to text Linkov, F, M Lovalekar & R LaPorte
2007 'Quality control of epidemiological lectures online: scientific evaluation
of peer review' Croation Medical Journal 48 (January): 249-45,
http://www.cmj.hr/2007/48/2/17436390.htm (accessed 8 March 2008) return
to text Mainguy, G, MR Motamedi & D Mietchen
2005 'Peer review - the newcomers' perspective', PLoS Biology 3.9
(September): e326, http://www.pubmedcentral.nih.gov/articlerender.fcgi?artid=1201308
(accessed 8 March 2008) return to text Merton, RK 1949 Social theory and
social structure, New York: Free Press return to text Rothman, RA 1972 'A dissenting view
on the scientific ethos', British journal of sociology 23.1 (March):
102-108, http://links.jstor.org/sici?sici=0007-1315%28197203%2923%3A1%3C102%3AADVOTS%3E2.0.CO%3B2-%23
(accessed 9 March 2008) return to text Tobin, MJ 2002 'Rigor of peer review
and the standing of a journal', American journal of respiratory and
critical care medicine 166: 1013-1014, http://ajrccm.atsjournals.org/cgi/content/full/166/8/1013
(accessed 7 March 2008) return to text Zuckerman, H & Merton, RK 1986 'Patterns
of evaluation in science: institutionalization, structure and functions
of the referee system', Eugene Garfield, PhD 'This week's citation
classic' 32, 11 August [orig Minerva 9: 66-100, 1971], http://www.garfield.library.upenn.edu/classics1986/A1986D405000001.pdf
(accessed 6 March 2008) return to text
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Dr Jane Johnston teaches journalism and public relations at Griffith University, Gold Coast. Her most recent book is Media Relations: Issues and Strategies (Allen & Unwin 2007) and she is currently co-editing (with Clara Zawawi) a third edition of Public Relations: Theory and Practice (forthcoming Allen & Unwin). Associate Professor Nigel Krauth teaches writing at Griffith University, Gold Coast. With Jen Webb he is co-editor of TEXT www.textjournal.com.au and with Tess Brady is co-editor of Creative Writing: Theory beyond Practice (Post Pressed 2006).
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| TEXT Vol 12 No 1 April 2008 http://www.textjournal.com.au Editors: Nigel Krauth & Jen Webb Text@griffith.edu.au |