I'm writing a paper where I'm citing an unpublished paper. It's by a relatively junior author, available on the internet, and it has been already cited, for example, I recently saw a citation to it in a published paper that's already in print for several years (that paper is very well known in the subject matter I'm writing about now – it is unsurprisingly by a far more senior author at a high-ranking institution).

I talked to the author of the unpublished draft a few months ago, and they said that the paper had been under review a couple of times, once in a top journal where it was under review for over a year until eventually the editor decided 'no'. They are now resubmitting this paper for the nth time. 

Upon learning this paper is unpublished, my first reaction was to avoid citing it. And I was frustrated with my own initial reaction – was I trying to use my citations strategically (not implausible, see e.g., here) to cite the papers that are deemed "central" in this discussion? Was I not willing to cite because I have often tried to track down, in vain, unpublished papers that are cited in the works of others and I am trying to avoid this frustration in my potential audience?

It is very frustrating. I really admire this paper – it makes a bold, original contribution to the field. I like it better than some of the published stuff on this topic by senior authors. But it cannot become part of the central discussion because the author cannot place the paper in a journal. Since its title was already slightly altered compared to a few years ago (as is clear from the citation I mentioned earlier), the paper does not have a stable "handle" we can conveniently cite. I'm really frustrated that reviewers don't see the merits of this paper and that it still hasn't found a home.

This is not the first time I see an unpublished manuscript that is trail-blazing, read and actually cited frequently, an accomplishment given that the author isn't senior and the paper doesn't have the brand-name tag of a journal at it. Recall that most papers that are published in respectable journals aren't cited. But it's rare that unpublished pieces become central in a debate, even if they are cited sometimes. They can die a slow death by multiple submissions, reincarnated each time to appease the whims of different reviewers until the final piece becomes a lot more intricate, finally get published when the discussion has moved on, or not get published at all and sink into obscurity. 

As I was discussing this case on FB, Trent Dougherty remarked that this case illustrates "why it is a good idea to put such papers on the Internet and for us to solidify the practice of citing them in that format. If we keep doing this, circumventing the system could become routine. We don't always need some random referee to tell us what we should read. Peer review includes our own judgment." I think this is exactly right. We should rely on our own judgment when citing and reading, and by citing unpublished papers we can change suboptimal practices tied to prestige, journals, long review times.

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11 responses to “Why we should cite unpublished papers”

  1. Anon Avatar
    Anon

    There are, however, lots of reasons why junior authors won’t want to put things on the internet before they are accepted for publication.
    For one thing, they may not want (esp. when junior, perhaps even before having a TT job) to suffer the embarrassment of being refuted or taken to task for making a mistake, at least before gaining the imprimatur of being forthcoming in some respectable journal. Second, they may not want to put it on the web and then be cited for saying X when in the final version, in fact, they end up not saying X. (Would you, or Dougherty, before being tenured, have put up new trail-blazing work for the whole world to see before it got into a journal?)
    In my experience, unpublished work that is cited tracks pretty well some institutional/advisor prestige, or the indirect prestige of being networked in such circles. And having things out there on the web before being published may itself circumvent the anonymous review process, which many think is important for combating the ‘old boys’ network of said prestige: those who work, or do a PhD, at elite depts can presumably help their cause (at least a bit) toward publication simply by making it widely known that they have a paper on some topic… and many find that problematic. So it’s not clear to me that junior scholars putting unpublished stuff on the web will help “change suboptimal practices tied to prestige.”

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  2. Helen De Cruz Avatar

    Hi Anon: I’m not saying it isn’t risky to put one’s papers freely online – possibly compromising the chances of the paper of getting accepted b/c people will google it and anonymous review will be difficult. I’m just saying, if one benefits from the research one reads in an unpublished paper, why not cite it?

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  3. Roberta L. Millstein Avatar

    Excellent post, Helen – thanks. If we think about this purely in terms of content, then of course we should cite papers that are relevant regardless of where they appear. I am becoming increasingly frustrated with lazy citations in papers that I review, making the ones that do cite well stand out as lovely exemplars. I don’t know why people think that fewer citations make their own papers look better. I think it makes them look worse.
    I think the problem of changed titles, moved locations, etc., highlights one of the reasons why services like Phil-Sci Archive are so important — they provide a stable location for unpublished papers and a way to link different versions of the same paper to one another. It would be great to see other areas of philosophy take up similar projects. You can upload papers to Phil Papers, of course, but it’s not quite the same as a pre-print archive.

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  4. Helen De Cruz Avatar

    Hi Roberta – I love the Phil-Sci archive and it would be great to have a venue like this for other philosophical works. PhilPapers allows one to upload drafts, but there is – to the best of my knowledge – no separate heading for unpublished papers. This could easily be added to PhilPapers and it would be preferable to, for instance, academia.edu, since academia doesn’t give stable URLs (I’ve shifted from kuleuven.academia.edu to Oxford.academia.edu to vu-nl.academia.edu). So a pre-print archive that provides stable urls and maybe also allows for comments, statistic tracking etc.
    As for the paucity of citations – it is unfortunate feature of our discipline. I used to cite lots and have drastically revised that downwards (although I still have many more citations more than the average philosophy paper). As Marcus Arvan says, it makes entry into debates more difficult for specialists (compared for instance with cognitive science papers where there’s often a citation-dense introduction to the literature at the start of the paper), it makes citations a scarce good, favors to be bestowed on people sparingly, and it skews the citation rates of star academics to run-of-the-mill philosophers even further (if you can only cite a few, one might feel compelled to cite big names so as to anticipate reviewers’ concerns)

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  5. Roberta L. Millstein Avatar

    Is the paucity of citations an unfortunate feature of our discipline? Despite my griping above, I do mostly see papers with lots of citations in philosophy of science papers. And since we are the ones who do the peer reviewing, we are the ones who are in a position to make changes. If we think that papers should have more citations — or have left out specific papers that ought to be cited — we need to say so when we referee. That is what I do.

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  6. Allen Stairs Avatar
    Allen Stairs

    In philosophy of physics, it’s pretty common to cite unpublished papers that appear on the archive (arxiv.org). And in fact, there are important papers that only appear on the arxiv. It’s also very common in philosophy of physics for people to put things on the archive before they’re even submitted, let alone published.

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  7. Paul Gowder Avatar

    Why not go all the way and create an actual journal for often cited but unpublished work that reaches out to the authors of these orphan papers and solicits them? Make it an e-journal, have open and sensible policies about the conditions under which work will be solicited to build credibility (eg., cited N times in peer-reviewed journals by people who are not in the author’s department)…

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  8. Gordon Avatar
    Gordon

    I put my papers up on SSRN.com (“Social Sciences Research Network;” this is where all law articles go, too, which is how I know about it). They have categories/tags not just for humanities, but for philosophy and its subdisciplines. Your paper gets a stable URL, which sends people to the abstract (which then links to the paper, if you put it up). The author includes publication information. Papers are considered “working” or “accepted.” For the latter, you give the publication data as you have it. Working papers can retain that status forever, as far as I know. It also keeps up with how many times the paper has been downloaded.
    I like it a LOT better than academia.edu.

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  9. Elisa Freschi Avatar

    Helen, the url of articles on Academia.edu does not change even if your home page may change. They are stored with an independent url.

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  10. r Avatar
    r

    I share concerns similar to anon above. I find myself rather resentful, lowly peon that I am, dutifully citing unpublished papers by big names–papers which are not, in my view, very good, and which have never passed peer review, but which are online and now part of the conversation just by force of name brand. I would hence be leery of circumventing the old system in the way Dougherty is approvingly quoted as endorsing.

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  11. Helen De Cruz Avatar

    Hello, r – I acknowledge this is a concern. The paper I am talking about is by someone who is untenured at a relatively small institution. But there are other papers that are unpublished and available online by senior people that can enjoy the name brand of their authors (which is an important form of branding too, next to the reputation of the journal). I’m not sure what would happen in philosophy if we moved to a system where it was de rigueur to put pieces online as is the case now in physics which makes anonymous review next to impossible. However, I don’t think it’s a problem to cite papers by big names (as well as small names) that are unpublished if I deem them good – if I think they are not very good and they do not substantially contribute to discussion I see no reason to cite them.

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