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We deserve better journals

May 11, 2024 5 comments

By and large, math journals treat the authors like a pesky annoyance, sort of the way a local electric company treats its customers. As in — yes, serving you is our business, but if you don’t like our customer service where else are you going to go? Not all editors operate that way, absolutely not all referees, but so many it’s an accepted norm. We all know that and all play some role in the system. And we all can do better, because we deserve better.

In fact, many well meaning mathematicians do become journal editors, start new journals, and even join the AMS and other professional societies’ governing bodies which oversee the journals. This helps sometimes, but they quickly burn out or get disillusioned. At the end, this only makes second order improvements while the giant sclerotic system continues its descent from bad to worse.

Like everyone else, I took this as a given. I even made some excuses: evil publishers, the overwhelming growth of submissions, everyone stressed and overworked, papers becoming more technical and harder to referee, etc., etc. For decades I watched many math journals turn from friendly if not particularly warm communal endeavors, to zones of hostility.

Only most recently, it occurred to me that it doesn’t have to be this way. We should have better journals, and we deserve a better treatment (I was really off the mark in my first line of this post). Demanding better journals is neither a fantasy nor a manifesto. In fact, physicists have already figured it all out. This post is largely about how they do it, with some lessons and suggestions.

What we have

If you don’t know what I am talking about, walk to any mathematician you see at a conference. If you have a choice, choose the one who looks bored, staring intensely at their shoes. Ask them for their most frustrating journal publishing story. You may as well sit down — the answer might take awhile. Even if they don’t know you (or maybe especially if they don’t know you), they will just unload a litany of the most horrifying stories that would make you question the sanity of people staying in this profession.

Then ask them why do they persevere and keep submitting and resubmitting their papers given that the arXiv is a perfectly fine way to disseminate their work. You won’t hear a coherent answer, but rather the usual fruit salad of practical matters: something about jobs, CVs, graduate students, grants, Deans, promotions, etc. Nobody will ever mention that their goal is to increase their readership, verify the arguments, improve their presentation style, etc., ostensibly the purpose of mathematical journals.

While my personal experience is a relatively happy one, I do have some scars to show and some stories to tell (see this, that and a bit in that blog posts on publishing struggles). There is no need to rehash them. I also know numerous stories of many people because I have asked them these questions. In fact, every time I publish something like this blog post (about the journals’ hall of shame), I get a host of new horror stories by email, with an understanding that I am not allowed to share them.

The adversarial relationship and countless bad experiences make it is easy to lose sight of the big picture. In many ways we are privileged in mathematics to have relatively few bad and for-profit actors. Money and grant funding matters less. We don’t have extreme urgency to publish. We have some relatively objective ways to evaluate papers (by checking the proofs). One really can work on the Moon, as long as one has a laptop and unlimited internet (and breathable air, I suppose).

We have it good, or at least we did when we started sliding into abyss. Because the alarms are not ringing, the innovation in response has stuttered. We are all just chugging along. Indeed, other than a few new online journals, relatively little has changed in the past two decades.

This is in sharp contrast with physics, which had very few of the advantages that math has (depending on the area). Besieged on all sides, physics community was forced to adapt faster and arguably better in response to changes in the publishing landscape. In fact, the innovations they made are so natural to them, their eyes open wide in disbelief when they hear how we continue to publish math papers.

The following is a story of the Physical Review E (PRE), one of the journals of the American Physical Society (APS). I will start with what I learned about the PRE and APS inner working, their culture, successes and challenges, some of which ring very familiar. Only afterwards I will get back to math publishing, the AMS and how we squandered our advantages.

What’s special about PRE?

I chose to write about the PRE because I published my own paper there and enjoyed the experience. To learn more about the journal, I spoke to a number of people affiliated with PRE in different capacities, from the management to members of the Editorial Board, to frequent authors and reviewers. These interviews were rather extensive and the differences with the math publishing culture are much too vast to summarize in a single blog post. I will only highlight things I personally found remarkable, and a few smaller things that can be easily emulated by math journals.

PRE’s place in the physics journal universe

PRE is one of five similarly named “area journals”: PRA, PRB, etc. More generally, it is one of 18 journals of the APS. Other journals include Physical Review Letters (PRL is APS’s flagship journal which published only very short papers), Physical Review X (PRX is another APS’s leading journal, online only, gold open access, publishes longer articles, extremely selective), Reviews of Modern Physics (APS’s highest cited journal which publishes only survey articles), and a number of more specialized journals.

The APS is roughly similar to the the AMS in its prominence and reach in the US. APS’s main publishing competition include the Institute of Physics (IOP, a UK physics society with 85 titles, roughly similar to the LMS), Nature Portfolio (a division of Springer Nature with 156 titles only a few of them in physics), and to a lesser extent Science by AAAS, various Elsevier, SIAM journals, and some MDPI titles.

Journal structure

The PRE editorial structure is rather complicated. Most of the editorial work is done by an assortment of Associate Editors, some of whom are employed full time by the APS (all of them physics PhD’s), and some are faculty in physics or adjacent fields from around the world, typically full time employed at research universities. Such Associate Editors receive a 2 year renewable contract and sometimes work with the APS for many years. Both professional and part time editors do a lot of work handling papers, rejecting some papers outright, inviting referees, etc.

The leadership of PRE is currently in flux, but until recently included Managing Editor, a full time APS employee responsible for running the journal (such as overseeing the work of associate editors), and a university based Lead Editor overseeing the research direction. The APS is currently reviewing applications for a newly created position of Chief Editor who will presumably replace Managing Editor, and is supposed to oversee the work of the Lead Editor and the rest of the editorial team (see this ad).

There is also an “Editorial Board”, whose name might be confusing to math readers. This is really a board of appeals (more on this later), where people serve a 3 year term without pay, giving occasional advice to associate editors and lending their credibility to the journal. Serving on the Editorial Board is both a service to the community and minor honor.

Submissions

The APS is aware of the role the arXiv plays in the community as the main dissemination venue, with journals as an afterthought. So it encourages submissions consisting of arXiv numbers and subject areas. Note that this makes it different from Nature and Science titles, which forbid arXiv or other online postings both for copyright reasons and so not to spoil future headline worthy press releases.

The submissions to all APS journals are required to be in a house two column style with a tiny font. Тhere are sharp word count limits for the “letters” (short communications) and the “articles”. These are rather annoying to calculate (how do you count formulas? tables?), and the journals’ online software is leaves much to be desired.

Desk rejections

At PRE, about 15-20% of all papers are rejected within days after the initial screening by managing or associate editors, who then assign the remaining papers according to research areas. Some associate editors are reluctant to do this at all, and favor at least one report supplemented by initial judgement. This percentage is a little lower than at the (more selective) PRL where it is reported to be 20-25%. Note that all APS journals pay special attention to the style, so it’s important to make an effort to avoid being rejected by a non-expert just because of that.

Curiously, before 2004, the percentage was even lower at PRL, but the APS did some rather interesting research on the issue. It concluded that such papers consume a lot of resources and rarely survive the review process (see this report). Of course, this percentage is relatively low by math standards — several math journals I know have about 30-50% desk rejections, with another 30-40% after a few quick opinions. On the other hand, at Science, over 83% papers get rejected without an external review.

Review process

Almost all the work is handled by associate editors closest to the area. The APS made a major overhaul of its classification of physics areas in 2016, to bring it to modern age (from the old one which resembles the AMS MSC). Note aside: I have been an advocate for an overhaul of MSC for a while, which I called a “historical anachronism” in this long MO answer (itself written about 14 years ago). At the very least the MSC should upgrade its tree structure (with weird horizontal “see also…” links) to a more appropriate poset structure.

Now, associate editors start with desk rejections. If the paper looks publishable, they send it to referees with the goal of obtaining two reports. The papers tend to be much shorter and more readable by the general scientific audience compared with the average math paper, and good style is emphasized as a goal. The reviewers are given only three weeks to write the report, but that time can be extended upon request (by a few more weeks, not months).

Typically, editors aim to finish the first round in three months, so the paper can be published in under six months. Only few papers lag beyond six months at which point, the editors told me, they get genuinely embarrassed. The reason is often an extreme difficulty in finding referees. Asking 4-8 potential referees is normal, but on rare occasions the numbers can be as high as 10-20.

Acceptance rate

In total, PRE receives about 3,500-4,000 submissions a year, of which about 55-60% get accepted, an astonishingly high percentage when compared to even second tier math journals. The number of submissions has been slowly decreasing in recent years, perhaps reflecting many new publications venues. Some editors/authors mentioned MDPI as new evil force (I called MDPI parasitic rather than predatory in this blog post).

For comparison, PRL is an even bigger operation which handles over twice as many papers. I estimate that PRL accepts roughly 20-25% of submissions, probably the lowest rate of all APS journals. In a more extreme behavior, Nature accepts about 8% submissions to publish about 800 papers, while Science accepts about 6% submissions to publish about 640 papers per year.

It is worth putting number published paper in perspective by comparing them with other journals. PRE and PRL publish about 1,800 and 2,100 papers per year, respectively. Other APS journals publish even more: PRD publishes about 4,000, and PRB close to 5,000 papers a year.

For math journals true acceptance ratios are hard to find and these numbers tend to be meaningless anyway due to self-selection and high cost of waiting for rejection. But numbers of published papers are easily available: Jour. AMS publishes about 25, Mathematika about 50, Proc. LMS about 60, Forum Math. Sigma in the range of 60-120, Bull. LMS in the range of 100-150, Trans. AMS about 250, Adv. Math. about 350, IMRN in the range of 300-500, and Proc. AMS about 450 papers per year. These are boutique numbers compared to the APS editorial machine. In the opposite extreme, MDPI Mathematics recently achieved the output of about 5,000 papers a year (I am sure they are very proud).

Publication

When a paper is accepted at PRE, it is sent to production which APS outsources. There are two quick rounds of approval of LaTeX versions compiled in the house style and proofread by a professional. It then gets published online with a unique identifier, usually within 2-3 weeks from the date of acceptance. Old fashioned volumes and numbers do exist, but of no consequence as they are functions of the publication date. There is zero backlog.

Strictly speaking there is still a print version of the PRE. I was told it is delivered to about 30 libraries worldwide that apparently are unconcerned with deforestation and willing to pay the premium. In truth, nobody really wants to read these paper versions. The volumes are so thick and heavy, it is hard to even lift them up from a library shelf. Not to dwell on this too much, but some graduate students I know are unaware even which building houses our math library at UCLA. It’s hard to blame them, especially after COVID…

Appeals

When a paper is rejected, the authors have the right to appeal the decision. The paper is sent to a member of the Editorial Board closest to the area. The editor reads both the paper and the referee reports, then writes their own report, which they sign and send to the authors. More often than not the decision is confirmed, but reversals do happen.

Since what’s “important” is ultimately subjective, appeals serve an important check on Associate Editors and helps keep peace in the community. Numerically, only about 3-5% of rejected papers are sent for an appeal, about 2-3 papers per Editorial Board member each year.

Embarrassingly for the whole field, I cannot think of a single math journal with an appeals process (except, interestingly, for MDPI Mathematics, which famously has the selectivity of a waste bucket). Even Nature has an appeals process, and nobody ever thinks of them as too friendly.

Note: some math journals do allow resubmissions of previously rejected papers. These papers tend to be major revisions of previous versions and typically go the same editor, defeating the point of the appeal.

Editorial system

The APS has its own online editorial system which handles the submissions, and has an unprecedented level of transparency compared to that of math journals I am familiar with. The authors can see a complete log of dates of communications with (anonymized) referees, the actions of editors, etc. In math, the best you can get is “under review” which brings cold comfort.

The editors work as a team, jointly handling all incoming email and submission/resubmission traffic. Routine tasks like forwarding the revision to the first round referees are handled by first person available, but the editorial decisions (accept/reject, choices of referees), are made by the assigned Associate Editor. If an Associate Editor has a week long backlog or is expecting some inactivity, his queue is immediately redistributed between other editors.

Relations between APS journals

Many PRE papers first arrive to PRL where they are quickly rejected. The editorial system allows editors from one journal see all actions and reports in all other APS journals. If the rejected PRL paper fits the scope of PRE and there are reports suggesting PRE might be suitable, PRE editors try to invite such papers. This speeds up the process and simplifies life to everyone involved.

For longer papers, PRE editors also browse rejections from PRX, etc. From time to time, business oriented managers at the APS raise a possibility of creating a lower tier journal where they would publish many papers rejected from PRA–PRE (translation: “why shouldn’t APS get some of MDPI money?”), but the approach to maintain standards keep winning for now. From what I hear, this might change soon enough…

Note: In principle, several editorial systems by Elsevier and the like, do allow transferring papers between math journals. In practice, I haven’t seen this feature ever used (I could be wrong). Additionally, often there are firewalls which preclude editors in one journal from see reports in the other, making the feature useless.

Survey articles

The APS publishes Reviews of Modern Physics, which is fully dedicated to survey articles. Associate Editors are given a budget to solicit such articles and incentivize the authors by paying them about $1,500 for completion within a year, but only $750 is the project took longer. The articles vary in length and scope, from about 15 to about 70 pages (when converted from APS to the bulky AMS style, these pages numbers would more than double). There are also independent submissions which very rarely get accepted as the journal aims to maintain its reputation and relevance. Among all APS publications, this journal is best cited by a wide margin.

We note that there are very few math journals dedicated to surveys, despite a substantial need for expository work. Besides Proc. ICM and Séminaire Bourbaki series which are by invitation only, we single out the Bull. AMS, EMS Surveys and Russian Math Surveys (in Russian, but translated by IOP). Despite Rota’s claim “You are more likely to be remembered by your expository work“, publishing surveys remains difficult unless you opt for a special issue or a conference proceedings. In the last two years I wrote two rather long surveys — on combinatorial interpretations and on linear extensions. Word of advice: if you want to have an easy academic life I don’t recommend doing that — they just eat up your time.

At PRE, there are no surveys, but the editors occasionally solicit “perspectives”. These are forward looking articles suggesting important questions and directions (more like public NSF grant applications than surveys). They publish about five such articles a years, hoping to bring the number up to about ten in the future.

Profiled articles

In 2014, following the approach of popular magazines, PRE started making “Editors’ Suggestions”. These are a small number of articles the editors chose to highlight, both formally and on the website. They are viewed as minor research award that can be listed on CVs by the authors.

Outstanding referee award

The APS instituted this award in 2008, to encourage quick and thorough refereeing. This is a lifetime award and comes with a diploma size plaque which can be hang on the wall. More importantly, it can be submitted to your Department Chair and your friendly Dean as a community validation of your otherwise anonymous efforts.

Each year, there are a total of about 150 awardees selected across all APS journals (out of tens of thousands referees), of which about 10 are from PRE. This selection is taken very seriously. The nominations are done by Associate Editors and then discussed at the editorial meetings. For further details, see this 2009 article about the award by the former Editor-in-Chief of Physical Reviews, which ends with

We feel that the award program has been most successful, and we will be continuing it at APS. [Gene D. Sprouse, Recognizing referees at the American Physical Society]

Note that such distinguished referee awards are not limited to APS or even physics. It’s a simple idea which occurred to journals across “practical” disciplines: accounting, finance, economic geography, economics, public management, regional science, etc., but also e.g. in atmospheric chemistry and philosophy. Why wouldn’t a single math journal have such an award?? Count be flabbergasted.

Community relations

As we mentioned above, in much of physics, the arXiv is a preferred publication venue since the field tends to develop at rapid pace, so strictly speaking the journal publications are not necessary. In some areas, a publication in Nature or Science is key to success, especially for a junior researcher, so the authors are often willing to endure various associated indignities (including no arXiv postings) and if successful pay for the privilege. However, in many theoretical and non-headline worthy areas, these journals are not an option, which is where PRL, PRE and other APS journals come in.

In a way, PRE operates as a digital local newspaper which provides service to the community in the friendliest way possible. It validates the significance of papers needed for job related purposes, helps the authors to improve the style, does not bite newcomers, and does not second guess their experimental finding (there are other venues which do that). It provides a quick turn around and rarely rejects even moderately good papers.

When I asked both the editors and the authors how they feel about PRE, I heard a lot of warmth, the type of feeling I have not heard from anyone towards math journals. There is a feeling of community when the editors tell me that they often publish their own papers at PRE, when the authors want to become editors, etc. In contrast, I heard a lot of vitriol towards Nature and Science, and an outright disdain towards MDPI physics journals.

It could be that my sample size was too small and heavily biased. Indeed, when I polled the authors of MDPI Mathematics (a flagship MDPI journal), most authors expressed high level of satisfaction with the journal, that they would consider submitting there again. One of my heroes, Ravi P. Agarwal who I profiled in this blog post, published an astounding 37 papers in that journal, which clearly found its target audience (so much that it stopped spamming people, or maybe it’s just me).

Note aside: Personally, the only journal I actually cared about was the storied JCTA where my senior colleague Bruce Rothschild was the Editor in Chief for 25 years, and where I would publish my best combinatorics papers. In 2020, the editorial board resigned in mass and formed Combin. Theory. I am afraid, my feelings have not transferred to CT, nor have they stayed with JCTA which continues to publish. They just evaporated.

Money matters

Despite a small army of professional editors, the APS journals provide a healthy albeit slowly decreasing revenue stream (about $43 mil. in 2022, combined from all journals, see 2022 tax disclosures on ProPublica website). The journals are turning a profit for the APS (spent on managers and various APS activities) despite all the expenses. They are spending more and making more money than the AMS (compare with their 2022 tax disclosures on ProPublica). There is much more to say here, but this post is already super long and the fun part is only starting.

Back to math journals

In the 20th century world with its print publishing, having a local peer review print journals made sense. A university of a group of universities would join forces with a local publisher and starts the presses. That’s where local faculty would publish their own papers, that’s where they would publish conference proceeding, etc. How else do you explain Duke Mathematical Journal, Israel Journal of Mathematics, Moscow Mathematical Journal, Pacific Journal of Mathematics, and Siberian Journal of Mathematics? I made a lot of fun at the geographical titles in this blog post, and I maintain that they sound completely outdated (I published in all five of these, naturally).

Now, in the 21st century, do we really need math journals? This may sound like a ridiculous question, with two standard replies:

  1. We need peer review, i.e. some entity must provide a certificate that someone anonymous read the paper and takes responsibility for its validity (sound weak isn’t it?).
  2. We need formal validation, i.e. we need to have something to write on our CVs. Different journals have different levels of prestige associated with them leading to distinctions in research recognition (and thus jobs, promotions, grants, etc.)

Fair enough, but are you sure that the journals as we have them are the best vehicles for either of these goals? Does anyone really believes that random online journals do a serious peer review? Where is this idea coming from, that the journals with its obvious biases should be conferring importance of the paper?

How are we supposed to use journals to evaluate the candidates, if these journals have uncertain rankings and in fact the relative rankings of two journals can vary depending on the area? Shouldn’t we separate the peer review aspect which makes multiple submission costly and unethical, from the evaluation aspects which desperately needs competition between the journals?

Again, this all sounds ridiculous if you don’t step back and look objectively at our publishing mess where a math paper can languish in journals for over a year, after which it is returned without a single referee report just because someone decided that at the end the paper is not good enough to be refereed. This happened to me multiple times, and to so many other people I lost count (in one instance, this happened after 3 years of waiting!)

Publishing utopia

Now, I know a lot of people whose dream publishing universe is a lot of run-by-mathematicians not for profit small online publications. It’s great to rid of Elsevier and their ilk, but it would not solve the issues above. In fact, this would bring a lot of anarchy and further loss of standards.

From my perspective, in a perfect world, “the people” (or at least the AMS), would create one mega journal, where the arXiv papers could be forwarded by the authors if they wish. Hundreds of editors (some full time, some part time) divided into arXiv subject areas, would make the initial screening, and keep say 30-40% of them to be send for review. Based on my reading of the arXiv stats, that gives about 10-15K papers a year to be refereed, a number way below what APS handles. The mega journal would only check validity and “publish” only based on correctness.

Publication at the mega journal would already be a distinction albeit a minor one. To ensure some competition, we would probably need to break this mega journal into several (say, 3-5) independently run baby megas, so the authors have a choice where to submit. In the utopia I am imagining, the level of rigor would be the same across all baby megas. It would also be a way to handle MDPI journals which would be left with a reject pile.

This wouldn’t take anything away from the top journals (think Annals) who would not want to outsource their peer review. In fact, I heard of major Annals papers studied by six (!) independent teams of referees, that’s above and beyond. But I also heard of Annals papers which seem to had no technical check at all (like this one by this guy), so the quality is maybe inconsistent.

So what about distinctions? The remnants of the existing general journals would be free from peer review. They would place bids on the best papers attracting them “modulo publication in the mega journal” with some clear set deadlines. The authors would accept the best bid, like graduate admissions, and the paper will be linked to the journal website in the “arXiv overlay” style.

Alternatively, some specialized or non-exclusive journals will make their own selections for best papers in their areas, which could be viewed as awards. One paper could get multiple such awards, and “best journal where the paper could be accepted” optimization issue would disappear completely. This would make a better, more fair world. At the very least, such awards would remove the pressure to publish in the top journals if you have a strong result.

Even better, one can imagine a competitive conference system in the style of CS theory conferences (but also in some areas of Discrete Math) emerging in this scenario. The conference submission could require a prior arXiv posting and later keep track of “verified” papers (accepted to the mega journal). When disentangled from the peer review, these conference could lead to more progress on emerging tools and ideas, and to even the playing field for researchers from small and underfunded universities across the world.

Note that there are already some awards for math papers given by third parties, but only a handful. Notably, AIM has this unusual award. More recently, a new Frontiers of Science Award was introduced for “best recent papers” (nice cash prize for a paper already published in the Annals and the like). Of course, most CS theory conferences have been giving them for decades (the papers later get published by the journals).

Would it work? Wouldn’t the mega journal be just another utility company with terrible service? Well, I don’t know and we will probably never get to find out. That’s why I called it a utopia, not a serious proposal. But it can hardly get any worse. I think pure math and CS theory are unique in requiring true correctness. When correctness is disentangled from evaluating novelty and importance, the point of the mega journal would be to help the authors get their proofs right and the papers accepted. Until then, journal editors (and referees to a smaller degree) have a conflict of interest — helping the authors might mean hurting the journal and vice versa. Guess who usually gets hurt at the end?

Back to reality

Obviously, I have no hopes that the “mega journal” would ever come to life. But NOT because it’s technically impossible or financially unsound. In other fields, communities manage somehow. The APS is a workable approximation of that egalitarian idea. Recently, eLife made another major experiment in publishing — we’ll see how that works out.

But in a professional society such as the AMS where new leadership handpicks two candidates for future leadership in a stale election? With a declining membership? Which claims the Fellow of the AMS award as it biggest achievement? Oh, please! Really, the best we can hope for is for a large “lower tier” journals with a high acceptance ratio. Why would AMS want that? I am glad you asked:

Case for higher acceptance rates at AMS journals

One argument why so few papers get published in good (think top 100) math journals is that math papers can be much longer than typical physics papers, so they take more print space and take longer to referee. However, this argument does not translate well into the digital age. Nor does that apply to Bull. LMS or Proc. AMS, of course, which publish mostly short papers. We mention in passing that while greater length is unavoidable sometimes, mathematicians tend to forget that brevity is a feature, not a bug.

Of course, math editors’ main argument in favor of low acceptance ratios is that this allows one to maintain high quality of papers. While true on its face, when applied uniformly this approach has major negative implications to the community.

Think of college acceptance rates. It’s true that Harvard maintains its prestige by having a ridiculously low acceptance ratio, and being private it’s hard to blame it (not that I am fan of the choices they make either, but this post is about something else). But should major public universities like UCLA do the same? What about community colleges? You see what I mean.

There is an obvious public good in AMS maintaining a large, free, friendly but thorough publication venue for papers that don’t meet the Trans. AMS threshold. This might not be the “mega journal” utopia, but it would be a major step forward. If SIAM, EMS, LMS and other major math societies set up something similar, we would actually be in a good place as the middle tier small journals would start changing their publishing model in response.

Short list of minor suggestions

As you can probably tell by now, in my opinion most math publishers are behind the curve in innovation and community relations. Let me summarize some basic ideas based on the discussion above that seem more approachable:

  1. Stop wasting paper and fully move to electronic publishing.
  2. Do not limit numbers of papers or pages. Rather, aim for as many good papers as you can.
  3. Improve your electronic editorial system to make it more transparent.
  4. Help editors work as a team, and incentivize them financially. Pay for 20% employment to experts across the world to help you run the journal.
  5. Set up new math journals fully dedicated to survey articles, both solicited and contributed.
  6. Create an appeals procedure and add a new type of senior editors who would take the job seriously.
  7. Institute a number of awards: for best long, short and survey articles in your journal, and for best referees. Make an effort to be fair by taking input from all editors.

Journal studies

If you read up to this point, you are probably wondering why most of these simple ideas hadn’t been widely discussed. Clearly, somebody is asleep at the wheel. Or, perhaps, doesn’t want to rock the boat (I am mixing my metaphors here, sorry). In case of for profit publishers like Springer and Elsevier, I can see why — they know all this stuff from their journals in other areas, but are very busy counting the money.

But the AMS Council can sure use a “Chair of journal innovation” whose job would be to conduct journal studies (like the many APS studies I mentioned above), or at least read other publishers’ studies. An amateur like me shouldn’t be able to tell you anything new that you couldn’t learn by googling. Perhaps, start by subscribing to an excellent newsletter Journalology fully dedicated to these ideas.

Acknowledgements.

I am extremely grateful to editors Dirk Jan Bukman, Alexander Kusenko, Valerio Lucarini, Mason Porter and Uwe Täuber, for kindly agreeing to be interviewed on the subject and for being so generous with their time. I am also thankful to several frequent APS contributors who wished to remain anonymous. If I misstated or misunderstood anything, the fault is all mine, obviously.

P.S. Mark Wilson kindly invited me to write a column for the AMS Notices on the issue of publishing. This prompted me to spend many hours thinking about the subject and talking to many physicists. At the end, I submitted a very short and non-polemical version of this blog post. If it ever gets accepted and published I will link it here.

UPDATE (August 14, 2024): The note has been accepted to the AMS Notices, and is available here. It is likely to appear in the January 2025 issue.

The status quo of math publishing

March 18, 2019 6 comments

We all like the status quo.  It’s one of my favorite statuses…  The status quo is usually excellent or at least good enough.  It’s just so tempting to do nothing at all that we tend to just keep it.  For years and years which turn into decades.  Until finally the time has come to debate it…

Some say the status quo on math publishing is unsustainable.  That the publishers are much too greedy, that we do all the work and pay twice, that we should boycott the most outrageous of these publishers, that the University of California, German, HungaryNorway and Swedish library systems recent decisions are a watershed moment calling for action, etc.  My own institution (UCLA) is actually the leader in the movement.  While I totally agree with the sentiment, I mostly disagree with the boycott(s) as currently practiced and other proposed measures.  It comes from a position of weakness and requires major changes to the status quo.

Having been thinking about this all for awhile, I am now very optimistic.  In fact, there is a way we can use our natural position of strength to achieve all the goals we want while keeping the status quo.  It may seem hard to believe, but with a few simple measures we can get there in a span of a few years.  This post is a long explanation of how and why we do this.

What IS the current status quo?

In mathematics, it’s pretty simple.  We, the mathematicians, do most of the work:  produce a decent looking .pdf file, perform a peer review on a largely volunteer basis (some editors do get paid occasionally), disseminate the results as best as we can, and lobby our libraries to buy the journal subscriptions.  The journals collect the copyright forms, make minor edits to the paper to conform to their favorite style, print papers on paper, mail them to the libraries, post the .pdf files on the internet accessible via library website, and charge libraries outrageous fees for these services.  They also have armies of managers, lawyers, shareholders, etc. to protect the status quo.

Is it all good or bad?  It’s mostly good, really.  We want all these basic services, just disagree on the price.  There is an old Russian Jewish proverb, that if a problem can be solved with money — it’s not a real problem but a business expense (here is a modern version).  So we should deal with predatory pricing as a business issue and not get emotional by boycotting selective journals or publishers.  We can argue for price decreases completely rationally, by showing that their product lost 90%, but not all its value, and that it’s in our common interest to devalue it, but not kill it.

Why keep the status quo?

This is easy.  We as a community tend to like our journals more than we hate them.  They compete for our papers.  We compete with each other to get published in best places.  This means we as a community know which journals are good, better or best in every area, or in the whole field of mathematics.  This means that each journal has composed the best editorial board it could.  It would be a waste to let this naturally formed structures go.

Now, in the past I strongly criticized top journals, the whole publishing industry, made fun of it, and more recently presented an ethical code of conduct for all journals.   Yet it’s clear that the cost of complete destruction of existing journal nomenclature is too high to pay and thus unlikely to happen.

Why changing the status quo is impractical?

Consider the alternatives.  Yes, the editorial board resignations do happen, most recently in the Journal of Algebraic Combinatorics (JACO) which resigned in mass to form a journal named Algebraic Combinatorics (ALCO) But despite laudations, the original journal exists and doing fine or at least ok.  To my dismay and mild disbelief, the new Editorial Board of JACO has some well-known and wildly respected people.  Arguably, this is not the outcome the resigners aimed for (for the record, I published twice in JACO and recently had a paper accepted by ALCO).

Now, at first, starting new journals may seems like a great idea.  Unfortunately, by the conservative nature of academia they always struggle to get off the ground.  Some survive, such as EJC or EJP, have been pioneers in the area, but others are not doing so well.  The fine print is also an issue — the much hyped Pi and Sigma charge $1000 per article for “processing”, whatever that entails.   Terry Tao wrote that these journals suggest “alternatives to the status quo”.  Maybe.  But how exactly is that an improvement?  (Again, for the record, I published in both EJC, EJP, and recently in Sigma.  No, I didn’t pay, but let me stay on point here — that story can wait for another time.)

Other alternatives are even less effective.  Boycotting selective publishers gives a free reign to others to charge a lot, at the time when we need a systemic change.  I believe that it gives all but the worst publishers the cover they need to survive, while the worst already have enough power to survive and remain in the lead.  There is a long argument here I am trying to avoid.  Having had it with Mark Wilson, I know it would overwhelm this post.  Let me not rebut it thoroughly point-by-point, but present my own vision.

What can we do?

Boycott them all!  I mean all non-free journals, at all times, at all cost.  By that I don’t mean everyone should avoid submission, refereeing, being on the editorial board.  Not at all, rather opposite.  Please do NOT boycott anyone specifically, proceed with your work, keep the status quo.

What I mean is this.  Boycott all non-free journals as a consumer!  Do NOT download papers from journal websites.  I will give detailed suggestions below, after I explained my rationale.  In short, every time you download a paper from the journal website it gives publishers leverage to claim they are indispensable, and gives libraries the fear of faculty revolt if they unsubscribe.  They (both the publishers and the libraries) have no idea how little we need the paid journal websites.

Detailed advice on how to boycott all math journal publishers

Follow the following simple rules.  On your side as an author, make every(!) paper you ever wrote freely accessible.  Not just the latest – all of them!  Put them on the arXiv, viXra, your own website, or anywhere you like as long as the search engines can find them.  If you don’t know how, ask for help.  If you can read this WP blog post, you can also post your papers on some WP site.  If you are afraid of the copyright, snap out of it!  I do this routinely, of course.  Many greats have also done this for all their papers, e.g. Noga Alon and Richard Stanley.  Famously, all papers by Paul Erdős are online.  So my message for all of you reading this: if you don’t have all your papers free online, go ahead, just post them all!  Yes, that means right now!  Stop reading and come back when you are done.

Now, for reading papers the rules are more complicated.   Every time you need to download an article, don’t go to MathSciNet.  Instead, google it first.  Google Scholar usually gives you multiple options on the download location.  Choose the one in the arXiv or author’s website.  Done.

If you fail, but feel the paper could be available from some nefarious copyright violating websites, consider using Yandex, DuckDuckGo, or other search engines which are less concerned about the copyright.

Now, suppose the only location is the journal website.  Often, this happens when the paper is old or old-ish, i.e. outside the 4 year sliding window for Elsevier.  As far as I am concerned, this part of the publisher is “free” since anyone in the world can download it without charge.  Make sure you download the paper without informing your campus library.  This is easy off campus — use any browser without remote access (VPN).  On campus, use a browser masking your ip address, i.e. the Opera.

Now, suppose nothing works.  Say, the paper is recent but inaccessible for free.  Then email to the authors and request the file of paper.  Shame them into putting the paper online while you are at it.   Forward them this blog post, perhaps.

Suppose now the paper is inaccessible for free, but the authors are non-responsive and unlikely to ever make the paper available.  Well, ok — download it from the journal website then via your library.  But then be a mensch.  Post the paper online.  Yes, in violation of copyright.  Yes, other people already do it.  Yes, everyone is downloading them and would be grateful.  No, they won’t fight us all.

Finally, suppose you create a course website.  Make sure all or at least most of your links are to free version of the articles.  Download them all and repost them on your course website so the students can bypass the library redirect.  Every bit helps.

Why would this work?  I.  Shaming is powerful.

Well, in mathematics shaming is widespread and actually works except in some extreme cases.  It’s routine, in fact, to shame authors for not filling gaps in their proofs, for not acknowledging priority, or for not retracting incorrect papers (when the authors refuse to do it, the journals can also be shamed).  Sometimes the shaming doesn’t work.  Here is my own example of shaming fail (rather extreme, unfortunately), turned shaming success on pages of this blog.

More broadly, public shaming is one of the key instruments in the 21st century.  Mathbabe (who is writing a book about shaming) notably shamed Mochizuki for not traveling around to defend his papers.   Harron famously shamed white cis men for working in academia.  Again, maybe not in all cases, but in general public shaming works rather well, and there is a lot of shaming happening everywhere.  

So think about it — what if we can shame every working mathematician into posting all their papers online?  We can then convince libraries that we don’t need to renew all our math journal subscriptions since we can function perfectly well without them.  Now, we would still want the journal to function, but are prepared to spend maybe 10-15% of the prices that Springer and Elsevier currently charge.  Just don’t renew the contract otherwise.  Use the savings to hire more postdocs, new faculty, give students more scholarships to travel to conferences, make new Summer research opportunities, etc.

Why would this work?  II.  Personal perspective.

About a year ago I bought a new laptop and decided to follow some of the rules above as an experiment.  The results were surprisingly good.  I had to download some old non-free papers from  publisher sites maybe about 4-5 times a month.  I went to the library about once every couple of months.  For new papers, I emailed the authors maybe the total of about once every three months, getting the paper every time.  I feel I could have emailed more often, asking for old papers as well.

Only occasionally (maybe once a month) I had to resort to overseas paper depositaries, all out of laziness — it’s faster than walking to the library.  In summary — it’s already easy to be a research mathematician without paying for journals.  In the future, it will get even easier.

Why would this work?  III.  Librarian perspective.

Imagine you are a head librarian responsible for journal contracts and purchasing.   You have access to the download data and you realize that many math journals continue to be useful and even popular.  The publishers bring you a similar or possibly more inflated date showing their products in best light.  Right now you have no evidence the journals are largely useless are worried about backslash which would happen if you accidentally cut down on popular journals.  So you renew just about everything that your library has always been subscribing and skip on subscribing to new journals unless you get special requests for the faculty that you should.

Now imagine that in 2-3 years your data suggests rapidly decreasing popularity of the journals.  You make a projection that the downloads will decrease by a factor of 10 within a few more years.  That frees you from worrying about cancelling subscriptions and gives you strong leverage in negotiating.  Ironically that also helps you keeps the status quo — the publishers slash their price but you can keep most of the subscriptions.

Why would this work?  IV.  Historical perspective.

The history is full of hard fought battles which were made obsolete by cultural and technological changes.  The examples include the “war of the currents“, the “war” of three competing NYC subway systems, same with multiple US railroads, the “long-distance price war“, the “browser war” and the “search engine war“.  They were all very different and resolved in many different ways, but have two things in common — they were ruthless at the time, and nobody cares anymore.  Even the airlines keep slashing prices, making services indistinguishably awful to the point of becoming near-utilities like electric and gas companies.

The same will happen to the journal publishing empires.  In fact, the necessary technology has been available for awhile — it’s the culture that needs to change.  Eventually all existing print journals will become glorified versions of arXiv overlay publications with substantially scaled down stuff and technical production.  Not by choice, of course — there is just no money in it.  Just like the airline travel — service will get worse, but much cheaper.

The publishers will continue to send print copies of journals to a few dozen libraries worldwide which will be immediately put into off-campus underground bunker-like storages as an anti-apocalyptic measure, and since the reader’s demand will be close to nonexistent.  They will remain profitable by cutting cost everywhere since apparently this is all we really care about.

The publishers already know that they are doomed, they just want to prolong the agony and extract as much rent as they can before turning into public utilities.  This is why the Elsevier refuses to budge with the UC and other systems.  They realize that publicly slashing prices for one customer today will lead to an avalanche of similar demands tomorrow, so they would rather forgo a few customers than start a revolution which would decimate their journal value in 5 years (duration of the Elsevier contract).

None of this is new, of course.  Odlyzko described it all back in 1997, in a remarkably prescient yet depressing article.  Unfortunately, we have been moving in the wrong direction.  Gowers is right that publishers cannot be shamed, but his efforts to shame people into boycotting Elsevier may be misplaced as it continues going strong.  The shaming did lead to the continuing conversation and the above mentioned four year sliding window which is the key to my proposal.

What’s happening now?  Why is Elsevier not budging?

As everyone who ever asked for a discount knows, you should do this privately, not publicly.  Very quietly slashing the prices by a factor of 2, then trying to play the same trick again in 5 years would have been smarter and satisfied everybody.  To further help Elsevier hide the losses from shareholders and general public, the library could have used some bureaucratic gimmicks like paying the same for many journals but getting new books for free or something like that.  This would further confuse everybody except professional negotiators on behalf of other library systems, thus still helping to push the prices down.

But the UC system wanted to lead a revolution with their public demands, so here we are, breaking the status quo for no real reason.  There are no winners here.  Even my aunt Bella from Odessa who used to take me regularly to Privoz Market to watch her bargain, could have told you that’s exactly what’s going to happen…

Again, the result is bad for everybody — the Elsevier would have been happier to get some money — less than the usual amount, but better than nothing given the trivial marginal costs.  At the same time, we at UCLA still need the occasional journal access while in the difficult transition period.

AMS, please step up!

There is one more bad actor in the whole publishing drama whose role needs to change.  I am speaking about the AMS, which is essentially a giant publishing house with an army of volunteers and a side business of organizing professional meetings.  Let’s looks at the numbers, the 2016 annual report (for some reason the last one available).  On p.12 we read: of the $31.8 mil operating revenue dues make up about 8%, meetings 4%, while publishing a whopping 68%.  No wonder the AMS is not pushing for changes in current journal pay structure — they are conflicted to the point of being complicit in preserving existing prices.

But let’s dig a little deeper.  On p.16 we see that the journals are fantastically profitable!  They raise $5.2 mil with $1.5 mil in operating expenses, a 247% profit margin.  With margins like that who wants to rock the boat?  Compare this with next item — books.  The AMS made $4.1 mil while spent $3.6 mil.  That’s a healthy 14% profit margin.  Nice, but nothing to write home about.  By its nature, the book market is highly competitive as libraries and individuals have option to buy them or not on a per title basis.  Thus, the competition.

If you think the AMS prices are lower than of other publishers, that’s probably right.  This very dated page by Kirby is helpful.  For example, in 1996, the PTRF (Springer) charged $2100, the Advances (Academic Press, now Elsevier) $1326, the Annals (Princeton Univ. Press) $200, while JAMS only $174.  Still…

What should be done?  Ideally, the AMS should sell its journal business to some university press and invest long-term the sale profits.  That would free it to pursue the widely popular efforts towards free publishing.  In reality that’s unlikely to happen, so perhaps some sort of “Chinese wall” separating journal publishing and the AMS political activities.  This “wall” might already exist, I wouldn’t know.  I am open to suggestions.  Either way, I think the AMS members should brace themselves for the future where the AMS has a little less money.  But since the MathSciNet alone brings 1/3 of the revenue, and other successful products like MathJobs are also money makers, I think the AMS will be fine.

I do have one pet peeve.  The MathSciNet, which is a good product otherwise, should have a “web search” button next to the “article” button.  The latter automatically takes you to the journal website, while the former would search the article on Google Scholar (or Microsoft Academic, I suppose, let the people choose a default).  This would help people circumvent the publishers by cutting down on clicks.

What gives?

I have always been a non-believer in boycotts of specific publishers, and I feel the history proved me more right than wrong.  People tend to avoid boycotts when they have significant cost, and without the overwhelming participation boycotts simply don’t work.  Asking people not to submit or referee for the leading journals in their fields is like asking to voluntarily pay higher taxes.  Some do this, of course, but most don’t, even those who generally agree with higher taxes as a good public policy.

In fact, I always thought we need some kind of one-line bill by the US Congress requiring all research made at every publicly funded university being available for free online.  In my conspiratorial imagination, the AMS being a large publisher refused to bring this up in its lobbying efforts, thus nothing ever happened.  While I still think this bill is a good idea, I no longer think it’s a necessary step.

Now I am finally optimistic that the boycott I am proposing is going to succeed.  The (nearly) free publishing is coming!  Please spread the word, everybody!

UPDATE (March 19, 2019):  Mark Wilson has a blog post commenting and clarifying ALCO vs. JACO situation.