Does the "blindness" of peer review influence manuscript selection efficiency?
Piette, Michael J.
The results of the experiment do indicate, contrary to the
expectation of some (including myself), that the refereeing process does
have an effect on which papers we decide to publish. I believe it was
this finding, despite the ambiguous findings regarding the nature of any
biases in the decisions, which motivated the vote by our Board of
Editors.
Orley Ashenfelter |1, 594~
I. Introduction
According to Ashenfelter |1~, the recent decision by the Board of
Editors of the American Economic Review to adopt a double-blind review
policy was based, in his option, on the findings reported by Blank |3~.
In her words:
. . . there are significant differences in acceptance rates and
referee ratings between single-blind and double-blind papers. Most
strikingly, double-blind papers have a lower acceptance rate and lower
referee evaluations. In addition, double-blind reviewing results in
different patterns of acceptance rates and referee ratings by
institutional rank of author |3, 1042~.
Although we find Blank's results compelling, it is difficult to
draw solid conclusions from them. Perhaps this is what Ashenfelter meant
when he referred to the "ambiguous" findings regarding the
nature of any biases. The issue of scientific concern vis-a-vis type of
review process employed by journal editors is the severity of type-I and
type-II errors. Do editors employing a single-blind review process
systematically publish more papers that have little or no impact on the
profession and/or fail to publish more truly good papers than do editors
of double-blind journals?
Blank's findings do not provide certain relevant information
with respect to the type-I/type-II error problem that arguably plagues
single-blind reviewing but not double-blind reviewing. One must have
information regarding how the marketplace for scientific ideas responds
to published papers in order to gauge the severity of both types of
errors. Without knowing the fate of manuscripts rejected for publication
in Blank's (or any other researcher's) sample, the severity of
the type-II error problem cannot be determined. However, drawing from a
large sample of papers published in the top economics journals in 1984,
we are able to investigate the degree to which journals employing a
single-blind review process suffer from the type-I error problem (i.e.,
publish papers that are revealed not to have the impact that might
reasonably have been expected).
Both types of errors might characterize a single-blind review process
for at least two reasons. First, a reviewer with knowledge of the
author's identity might economize on his (her) refereeing costs by
substituting the already-revealed value of the author's average
contribution in previous papers for his evaluation/forecast of the
marginal contribution contained in the paper under consideration.
Second, personal characteristics of the author (gender, institutional
affiliation, friendship with the reviewer, race, intellectual conformity
with the reviewer, etc.) may weigh more heavily in a reviewer's
evaluation of the publishability of a manuscript than the
reviewer's forecast of the marginal contribution contained
therein.(1)
H. Data, Methodology and Findings
Data
We compiled detailed information on 1,051 articles (excluding
comments, replies, notes and book reviews) published in 28 top economics
journals in 1984.(2) Specifically, we identified citations to each
article, as listed in the Social Sciences Citation Index for the five
years following publication; article-specific characteristics (length in
AER-equivalent pages and whether or not it was published as a lead
article); characteristics of the authors (age and professional
affiliation at the time the paper was published, their Ph.D.-granting
institution, gender, and cumulative stock of citations (to all previous
work) in the five years prior to 1984, as a proxy for author reputation
or quality); characteristics of editors, co-editors and associate
editors (institutional affiliations and Ph.D.-granting institutions);
and the type of review process employed by each journal. Variable means
and standard errors for the entire sample and the samples of
double-blind and single-blind reviewed papers are reported in Table
I.(3)
Table I. Means and Standard Errors for All Variables by Review Process
Entire Double-Blind Single-Blind
Variable Sample(*) Review(*) Review(*)
Citations 1985-89 7.057 6.733 7.333
(11.173) (10.520) (11.704)
Length 11.721 10.929 12.396
(7.301) (5.552) (8.461)
Lead Article 0.091 0.099 0.085
(0.288) (0.299) (0.279)
Author(s)Stock of Citations 1979-83 132.382 109.537 151.882
(302.683) (259.188) (334.374)
Authors' Mean Age 38.221 37.982 38.425
(7.737) (7.543) (7.900)
Review Process, Double-Blind = 1 0.461 1.000 0.000
(0.499)
Gender, Woman = 1 0.081 0.072 0.088
(0.273) (0.259) (0.284)
Journal Quality Index 49.370 38.543 58.612
(23.926) (14.028) (26.613)
N 1051 484 567
* Standard errors in parentheses.
We note, without comment at this stage, that papers published in
double-blind reviewed journals are shorter and attract fewer citations,
on average, than papers published in single-blind reviewed journals. In
addition, the average citation stock of authors of papers published in
single-blind journals is nearly 50 percent greater than for authors of
papers published in journals employing a double-blind review process.
Methodology
Part of the difficulty in interpreting findings that different
editorial practices result in different outcomes for authors is that
there is no well-articulated theory of the editorial process. We suspect
that most academic scientists believe that editors should attempt to
maximize the expected impact that articles published in their journals
have on subsequent scientific thought within the relevant community of
scholars. This implies that a scientific manuscript be evaluated solely
on the basis of expected marginal contribution to scientific knowledge,
not on the basis of non-substantive criteria.
On the other hand, one could well imagine a theory of the editorial
process that is governed by the principle of editorial favoritism
towards former and current graduate students, colleagues, faculty at the
"elite" schools, etc. Indeed, charges of editorial favoritism
have been raised in many a private conversation among economists.
Individual scholars may entrepreneur (and, in so doing, become editors
of) scientific journals as a means of maximizing their own influence
within a personally-relevant community of scholars. In this world,
editors selectively supply page-space in their journals to prospective
authors in exchange for past, present and/or future considerations that
both parties agree upon. Editors include personal well-being, as well as
the value of scientific knowledge produced in their decision calculus.
Manuscripts are not necessarily, or even probably, evaluated on the
basis of the expected marginal scientific contributions contained
therein.
Yet a third possibility, suggested by the reviewer, is that journal
editors have certain idiosyncratic biases/preferences regarding what
they feel are important areas of scientific investigation. Their current
and former graduate students tend to work on these issues, in part
because their mentors accept disproportionately papers written in their
pet areas of interest.
We are troubled by the lack of any well-specified,
widely-acknowledged objective function for journal editors, because this
lacuna reduces our ability to evaluate differences in performance across
alternative types of review process. Nonetheless, without knowing the
specific objective functions maximized by the editors in our sample of
journals, we assume that they act as agents of their respective
communities of scholars and that these scholars want editors to function
as "gatekeepers" of knowledge |4~. This assumption permits us
to evaluate the desirability of review processes on the basis of
observed differences with respect to type-I and/or type-II errors.
Our procedure is to examine the impact of the type of review process
on citations to published articles, controlling for author, article, and
journal-specific characteristics that might influence citations. This
methodology permits us to evaluate whether one type of review process is
superior to the other in terms of either: (1) identifying papers that
will attract more citations than would be predicted by author and
article-specific characteristics, or (2) failing to identify papers that
will be cited less than would be predicted by author and
article-specific characteristics.
One problem with our methodology is that for any of a variety of
reasons a reviewer may be able to identify the author(s) of a paper
(s)he has been sent to review even though the editor nominally employs a
double-blind review process.(4) Thus the same biases that theoretically
plague journals employing a single-blind review process may likewise
plague journals employing a double-blind review process. This is true
regardless of whether the reviewer is able to successfully discern the
identity of the author(s). The mere fact that the reviewer substitutes
personalistic criteria (whether correctly attributed or not) for a
concrete evaluation of the content of the particular paper under review
introduces bias into the double-blind review process. However, the
greater the incidence of this sort of "contamination" of
double-blind reviewing, the less real distinction there is between the
two review processes vis-a-vis reviewer treatment of papers. This
implies a lower likelihood of finding statistically significant
differences in citations to papers published by single-blind journals
versus papers published by double-blind journals.
We employed ordinary least squares regression and nonlinear
regression to estimate numerous alternative specifications of the
following model of the determinants of citations to an article:
|Citations.sub.i~|a.sub.0~ + |a.sub.1~|Length.sub.i~ + |a.sub.2~|Lead
Article.sub.i~ + |a.sub.3~|Gender.sub.i~ + |a.sub.4~|Authors' Mean
Age.sub.i~
+ |a.sub.5~|Review Process.sub.i~ + |a.sub.6~|Author(s).sub.i~ Stock
of Citations 1979-83
+ |a.sub.7~|Journal Quality.sub.i~ + |e.sub.i~, (1)
where
|Citations.sub.i~ = citations to article i listed in the Social
Sciences Citation Index from 1985-89, inclusive, but excluding self
citations;
|Length.sub.i~ = length of article i in AER-equivalent sized pages,
|Lead Article.sub.i~ = 1 if article i was printed as the lead article
in the journal, 0 otherwise;
|Gender.sub.i~ = 1 if the sole author of article i was female or if
all of the coauthors of article i were female;
|Authors' Mean Age.sub.i~ = the actual age of the author of
article i in the case of sole-authored papers and the mean age of all
authors of a coauthored paper, as calculated from the 1989 American
Economic Association Membership Directory;
|Review Process.sub.i~ = 1 if article i was published in a journal
employing a double-blind review process, 0 otherwise;
|Author(s).sub.i~ Stock of = the cumulative citations listed for the
author(s) of article i in the
Citations 1979-83 1979-83 editions of the Social Sciences Citation
Index to all previous work, excluding self-citations;
|Journal Quality.sub.i~ = a normalized measure of the relative
prestige of the journal in which article i was published, using
citations per character, as reported by Liebowitz and Palmer |12~;
|e.sub.i~ = a random disturbance term.
Following Laband |8~, we expect signs on |a.sub.1~, |a.sub.6~, and
|a.sub.7~ to be positive. More substantive scientific contributions,
will plausibly require greater elucidation than less substantive
contributions, with possibly diminishing effect. Thus, citations should
be a positive function of article length.
Citations to a scientific paper may be influenced by the reputation
of the author(s), for at least two reasons. First, readership of a paper
depends on author reputation. That is, this paper would be more
widely-read if George Stigler had been the author (or at least a
coauthor).(5) Second, the fact that a scientist is highly-cited
undoubtedly bears some positive relationship to the caliber of past
contributions (s)he has made to the corpus of scientific knowledge and,
moreover, to the expected caliber of future contributions.(6) For
similar reasons, citations of a scientific article are likely to be
influenced by journal of publication. Readership of a scholarly journal
is related to the readers' expected value of articles published.
Readers probably base their forecasts of the expected value of current
contributions in a scholarly journal on the actual value of past
contributions, as revealed by subsequent citations. Those journals that
are routinely cited heavily may attract greater readership than those
journals that are not.
Conventional wisdom (and the behavior of journal editors) suggests
that lead articles are published in that position precisely because the
editors expect these articles will have special relevance to the
readership.(7) We therefore expect lead articles to be cited more than
other articles; |a.sub.2~ should sign positive.(8)
We have no strong feeling a priori about the impact of authors'
mean age on subsequent citations. Younger scientists typically employ
state-of-the-art methods to a greater degree than do older scientists,
which implies a degree of precision and rigor on the part of the former
that may not characterize the work of the latter. However, older
scientists are more likely than younger ones to have developed a sense
of perspective that enables them to identify and tackle the truly
incisive questions that other members of the profession will find
relevant. This may be offset, in some measure, by the tendency of older,
more established scholars to occasionally trade on their reputational
capital by publishing papers that are not quite up to the authors'
previous standards of excellence. Without prior insights into the
strengths of these various effects, we have no expectations regarding
the effect of age.
Likewise, we have no strong expectations about the predicted sign on
gender. If female economists are implicitly held to a higher publication
standard than male economists, their contributions to the professional
journal literature should routinely attract more citations per article
than those written by men, ceteris paribus, unless, of course, male
scientists simply do not cite the work of female scientists at the same
rate they cite the work of other male scientists. Professor Blank found
no significant evidence of differences in the evaluations of submissions
of male versus female authors by type of review process employed. Laband
|9~ previously found no evidence of differences in citations to
male-authored and female-authored scientific work.
We expect journals employing a single-blind review process to be
plagued by both type-I and type-II errors to a greater extent than
journals employing a double-blind review process, for reasons outlined
previously. Thus, in a ceteris paribus environment, we expect articles
published in the latter to attract more citations than articles
published in the former. The sign on |a.sub.5~ should therefore be
positive.
Both the distribution of citations to articles and the distribution
of citations to authors are non-normal. The vast majority of scholarly
papers in economics are cited infrequently, if at all |8~; this finding
holds across scientific disciplines generally |6; 7~. A relatively small
number of papers and authors are truly influential; most offer marginal
contributions to the stock of scientific knowledge. To account for this
acknowledged skewness in the distribution of citations, we:
(a) logged the citations variables on both sides of equation (1) and
conducted an ordinary least squares regression analysis;(9) and
(b) estimated equation (1) using the ordered probit nonlinear
regression methodology (our software package was LIMDEP).(10) Our
dependent variable, citations in 1985-89 to a TABULAR DATA OMITTED paper
published in 1984, was distributed in such a manner that quintiles were
easy to identify. Finer analysis by decile was impossible because some
21 percent of all papers received no citations at all during the 1985-89
period.
Results
Following Leamer |10; 11~, numerous alternative specifications of
equation (1) were estimated, including models with linear and squared
terms of several variables and models that included a variety of
interaction terms. Table II reports the OLS and Ordered Probit
estimation results; standard errors of the coefficient estimates are
reported in parentheses. Table III reports the estimated marginal impact
of each explanatory variable on the probability of a paper falling into
a specific quintile of the citations distribution, other than the lowest
quintile (zero citations).
In contrast to the lower mean citations of papers reviewed
double-blind, reported in Table I, articles published in journals using
the double-blind review process attract more citations than TABULAR DATA
OMITTED those published in journals employing a single-blind review
process, controlling for the other reported attributes. As expected,
article length, author reputation and relative quality of publishing
journal all demonstrate positive and statistically significant
explanatory power with respect to subsequent citation of an article. We
found no gender-based differences in citations to the articles in our
sample, whether defining female authorship as at least one woman on a
coauthored paper or all women on a coauthored paper. These results were
consistent across all of our regression and ordered probit
estimations.(11)
Citations to an article are inversely related to the mean age of the
authors. In separate, unreported regressions, we included an interaction
term between Mean Age and Authors' Stock of Citations. With the
inclusion of this variable the coefficient estimate of Mean Age is
statistically insignificantly different from zero, while the coefficient
estimate of the interaction term is negative and statistically
significant. This suggests that the negative impact of Mean Age on
citations derives from more heavily cited scholars.
Discussion
What can we conclude about the impact of the review process? First,
papers published by single-blind journals are, on average, better papers
than those published in double-blind journals. The former attract nearly
10 percent more citations per paper than the latter. In part, at least,
this is due to the fact that the single-blind journals seem to attract
submissions from more accomplished authors, judging by the difference in
mean citation stocks of authors publishing in double-blind versus
single-blind journals.
These differences notwithstanding, estimated citations to papers
refereed under a double-blind review process exceed those of papers
refereed under a single-blind review process, given the author, article
and journal characteristics we are able to control for in each case. The
coefficient TABULAR DATA OMITTED estimate reveals what the residual
impact of the review process is on citations. The double-blind review
process generates statistically significantly more citations per article
than predicted by author, article and journal characteristics as
compared to the residual citations received by articles receiving
single-blind reviews.
To investigate the size of the impact of double-blind reviewing, we
split our sample by review process and estimated equation (1) separately
for the two samples. We then calculated the predicted mean citations of
the single-blind reviewed papers, using the coefficient estimates of the
double-blind sample. That is, we assigned each explanatory variable a
value equal to the mean value for the single-blind sample and calculated
the predicted value of logged citations using the coefficient estimates
of the double-blind sample. We then compared the predicted mean value of
logged citations for papers having the same characteristics as our
sample of single-blind reviewed papers had they been reviewed
double-blind against the actual mean citations for the single-blind
sample. Actual mean logged citations for the set of single-blind
reviewed papers was 0.8653. If papers with the same characteristics were
reviewed double-blind, the predicted mean citations would equal 0.9194.
The estimated impact of double-blind reviewing is to increase predicted
citations of otherwise identical papers by 5.6 percent. By the same
token, if papers with the same characteristics as the double-blind
sample were reviewed single-blind, they would receive roughly 18 percent
fewer citations than the double-blind reviewed papers actually received
(on average).
The results reported in Table IV indicate that articles published by
journals employing a double-blind review process systematically attract
more citations than would be predicted on the basis of author
characteristics, length, prestige of journal, etc., while articles
published in journals employing a single-blind review process attract
fewer citations than would be predicted on the basis of those same
characteristics. These findings suggest that under a double-blind review
process, where referees' lack of knowledge about the author(s)
makes substitution of expected average caliber of contribution for
expected marginal contribution very difficult, submissions are judged on
their own merit and referees do a good job of picking high-quality
papers for publication. By contrast, some substitution of expected
average impact for expected marginal impact evidently does occur under a
single-blind review process. Indeed, the proportion of papers accepted
for publication that are characterized by marginal contributions that
fall below expected average contributions must swamp the proportion
accepted for publication whose marginal contribution equals or exceeds
the expected average contribution.
III. Concluding Comments
Our findings indicate that the double-blind review process
outperforms the single-blind review process. Specifically, we found that
papers with the characteristics of the single-blind reviewed papers in
our sample would receive 5.6 percent more logged citations if reviewed
double-blind, while papers with the characteristics of the double-blind
reviewed papers in our sample would receive nearly 18 percent fewer
logged citations if reviewed single-blind. These findings suggest a
specific interpretation of Professor Blank's finding that
referees' evaluations, and acceptance rates, of manuscripts
reviewed double-blind are lower than those of manuscripts reviewed
single-blind. The single-blind review process apparently suffers from a
type-I error bias to a greater extent than the double-blind review
process.
We emphasize that the only impact of double-blind refereeing is on
outside referee reports, not on editors' decisions. However, there
is some evidence that editors rely heavily upon referee reports in their
decision-to-publish calculus. One interpretation of our results, which
is also consistent with Professor Blank's findings, is that editors
really do use the information contained in outside reviews, and
"knowing the editor," by itself, usually is not enough to
overcome a set of bad, or even lukewarm, referee reports.
Why aren't journal editors stampeding to adopt double-blind
review? We suspect the answer has something to do with the costs
associated each type of review process. Holding caliber and timeliness
of reviews constant, it may be cheaper for editors to secure refereeing
services from the desired number of individuals through use of a
single-blind review process than a double-blind process. The loss
implied by publication of occasional bad papers may be more than made up
for by the cost savings in contracting with referees.
Journals employing single-blind review may have significantly faster
review times than journals employing double-blind review. To the extent
processing speed matters to authors, authors with significant research
findings will prefer to submit their papers to single-blind reviewed
journals, to help ensure speedy definition of intellectual property
rights. Even allowing for the type-I error problem, such a journal may,
on balance, publish better papers than one employing a double-blind
review process, by virtue of having attracted better papers there in the
first place. In a world in which intellectual property rights determine
recipients of rewards (such as Nobel prizes), competitive journal
editors may find it impossible to ignore the speed of handling margin.
We obviously do not know whether the single-blind review process is
associated with significantly faster reviews than the double-blind
process. There are plausible reasons to think that such might be the
case. Whether or not speed of handling is what attracts the most capable
of scholars to consistently submit their work to single-blind reviewed
journals is not a question we are able to answer at the present time.
Nor need we do so. The point is, something associated with journals that
employ the single-blind review process apparently does attract the best
scholars. The mean citation stock of authors of papers published in
single-blind refereed journals was some 50 percent greater than the mean
citation stock of authors of papers published in double-blind refereed
journals. Although these data for published papers do not reveal
information with respect to submissions, they are suggestive. While
residual citations to a (rare) bad paper written by a Nobel laureate would indeed be negative, even their bad papers probably have a greater
total impact than the avenge economist's (even rarer) good papers,
which would be characterized by positive residuals. To the extent
submissions of the highest-caliber economists are skewed in favor of journals employing the single-blind review process, for reasons that are
beyond the purview of this paper, these journals may actually outperform journals employing the double-blind review process, in terms of impact
on the profession. It seems unlikely that the noted difference in mean
stocks of authors' citations that favors single-blind reviewed
journals over double-blind reviewed journals derives specifically from
the review process employed. Our findings in this regard may: (1) be
coincidental, (2) result from historical accident, and/or (3) be
sensitive to the journals included in our sample or to the specific
years covered by our data.
1. Beyer |2, 75~ described the potential harm resulting from
reviewers' use of authors' personal characteristics vis-a-vis
publishability of manuscripts:
. . . any factors that increase the probability of particularistic decisions or increase their consequences are not likely to benefit the
majority of scientists. A relatively small proportion of such decisions
spread over time may serve to give some groups and individuals
substantial cumulative advantage, because publication itself is
convertible into the scarce "evidence" of competence that
makes future selection for further advantage then based upon competence,
and therefore universalistic. Thus, a particularistic advantage can soon
be transformed into a universalistic one.
2. These journals are: American Economic Review, American Journal of
Agricultural Economics, Brookings Papers on Economic Activity, Canadian
Journal of Economics, Econometrica, Economic Inquiry, Economic Journal,
Economica, International Economic Review, Journal of Econometrics,
Journal of Economic Literature, Journal of Finance, Journal of Financial
Economics, Journal of Human Resources, Journal of International
Economics, Journal of Law and Economics, Journal of Mathematical
Economics, Journal of Monetary Economics, Journal of Money, Credit and
Banking, Journal of Political Economy, Journal of Public Economics,
National Tax Journal, Quarterly Journal of Economics, Rand Journal of
Economics, Review of Economic Studies, Review of Economics and
Statistics, Scandinavian Journal of Economics, and Southern Economic
Journal.
3. Our sample of 1,051 articles consists only of those articles for
whom complete information on all variables was available. Thus, for
example, if we were unable to locate an author in the AEA Directory in
an effort to obtain age and affiliation information, the article
(co)written by the individual was dropped from the data set. We concede that this may ultimately bias our results one way or another, but it is
unclear a priori in which direction any such biases, if present, would
run. The total number of full articles published in the 28 journals in
1984 was 1490.
4. For example, in the case of our paper, although the Southern
Economic Journal employs a double-blind review process, the reviewer was
able to discern the identity of one of the authors.
5. The observation that the professional reward/recognition system in
science is self-reinforcing (i.e., past recognition influences current
recognition and past lack of recognition begets current lack of
recognition) has been remarked upon by a number of authors. See,
especially, Merton |14~.
6. We acknowledge the possibility of additional impacts of reputation
on citations, such as signalling by citing scholars. However, even
though one occasionally hears of this sort of thing, there is no
concrete evidence of the extent to which young scientists engage in this
practice |5~. We believe that citations to a particular paper are
influenced by an author's reputation because of time-independent
differences with respect to the quality of contributions made by
different scientists. Baumol, Mincer, Becker, and other top economists
routinely advance the frontiers of knowledge more than most of us do. We
can with confidence predict that future contributions will follow this
same pattern.
7. For example, the editors of Economic Inquiry published
"Economical Writing," as a lead article in 1985, and continue
to emphasize their commitment to the message contained therein in their
style guidelines to authors. Several top journals routinely publish
Nobel lectures and presidential addresses as lead articles.
8. An anonymous referee suggested that the greater visibility of lead
articles may lead to their being cited more than non-lead articles,
irrespective of any implied qualitative judgements by the editor(s). We
agree.
9. Since the log of zero is undefined, and we were reluctant to throw
away the information derived from the 21 percent of our sample with
article citations and/or authors' stock of citations equal to zero,
we generated new variables for article citations and authors' stock
of citations by adding one citation to the actual numbers for those two
variables. We used the incremented citations variables in our regression
analyses.
10. A detailed discussion of the ordered probit technique is
presented by Maddala |13~.
11. We investigated the possibility that the impact of some or all of
our control variables differs by type of review process employed, by
estimating separate regressions for the single-blind and the
double-blind papers. Although large differences in coefficient estimates
on certain variables were apparent, the only statistically significant
difference, as determined by estimating equation (1) with review process
interaction terms to all other explanatory variables, was on journal
quality. The estimated impact of journal quality on citations was
approximately twice as great for articles reviewed double-blind as for
those reviewed single-blind. These results are available upon request.
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