谁会在双盲同行评议中胜出?

B. Garvalov
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Indeed, in some branches of academia, such as the social sciences, double-blind peer review has become an accepted system perhaps because social scientists are better aware of the ubiquity and pitfalls of human bias. In the natural sciences, however, by far the dominant form of research evaluation is single-blind review, whereas the double-blind practice is exceedingly uncommon. So why is there such a profound rift between the way in which the ‘hard sciences’ are conducted and the way in which they are evaluated? It is certainly not due to insufficient popularity of double-blind review. Researcher surveys regularly reveal double-blind review as the method of research assessment that is most highly favoured by scientists across disciplines (7 11). Yet, journal editors, the group most supportive of the reigning single-blind system, have largely resisted the introduction of double-blind review (12, 13). Different justifications have been put forward for this policy for example, the burden of concealing the authors’ identities or the fact that knowing who the authors are helps to check the novelty of their work and to identify conflicts of interest (12 15). These arguments, however, do not stand up to scrutiny. Electronic submission systems can be designed to automatically exclude the author information in the manuscript received by reviewers; the novelty of the work should be judged against all previous publications, not only those by the authors themselves; conflicts of interest arise from the subject matter of the manuscript, not from its authors and in cases when the conflicts are of a personal nature, double blinding can only reduce their occurrence. The most frequent objection against the double-blind model is that masking the authors’ identities will not always be successful (16, 17). This is undoubtedly true for instance, the reviewer may have seen the data in the manuscript at a meeting. But this cannot argue against double-blind peer review any more than the inability to fully blind some treatment and control groups (e.g. due to characteristic side effects of the drug) can argue against the use of double-blind clinical trials. Importantly, research has shown that in most cases reviewers cannot divine the authors’ identities (16 18). Whenever they manage to do it, double-blind review is reduced to the single-blind form, but this still leaves a majority of cases in which the authors will have a better chance of impartial evaluation. The logic and data behind this thinking should seem clear, but the vast majority of life science and biomedical journals remain unmoved by such arguments and persist in their refusal to implement double-blind review. I therefore wonder if there may be some other, less palatable and thus less widely advertised reasons for this attitude. 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There are some who would dispute that ‘serious’ scientists can have any bias at all, be it in their role as reviewers or as authors, but this can hardly be taken as anything more than wishful thinking. Bias is at the core of human nature. Indeed much of basic research methodology is designed to neutralise our inevitable biases in interpreting our data. Moreover, pervasive even if subtle and unconscious bias among researchers with respect to gender, race, country of origin or affiliation has been consistently documented (1 6). As long as research is carried out by humans, bias will be here to stay, and instead of denying it, we should try to reduce it. In doing so, there is no need to reinvent the wheel, as a gold standard approach for minimising bias in situations involving human interactions is well established: double blinding. For example, in a clinical trial setting, neither the doctors nor the patients know who belongs to the placebo control group and who gets the drug, impeding biased data reporting, collection or analysis. One might thus reasonably expect that a similar double-blind approach would be standard fare for the peer-review process. Indeed, in some branches of academia, such as the social sciences, double-blind peer review has become an accepted system perhaps because social scientists are better aware of the ubiquity and pitfalls of human bias. In the natural sciences, however, by far the dominant form of research evaluation is single-blind review, whereas the double-blind practice is exceedingly uncommon. So why is there such a profound rift between the way in which the ‘hard sciences’ are conducted and the way in which they are evaluated? It is certainly not due to insufficient popularity of double-blind review. 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引用次数: 7

摘要

《再生生物学进展》的发行值得庆祝,不仅因为它是生命科学这个激动人心的领域里一本有前途的新杂志,而且还因为它采用了一种引人注目的手稿评估方法:双盲同行评议。这种方法主要因其在自然科学期刊上的罕见而引人注目,尽管它得到了研究界的压倒性支持。在这里,我总结了在我看来双盲同行评议相对于其他选择的主要优势,并讨论了研究和研究人员如何从其更广泛的实施中受益。提出了三种主要的出版前同行评议制度,它们在审稿人是否知道作者身份方面有所不同,反之亦然:开放、单盲和双盲。在公开的同行评议中,双方都知道自己是谁,在单盲制度下,只有审稿人知道作者的身份,而在双盲制度下,双方的身份在评议过程中都不透露。掩盖作者和审稿人的身份是为了尽量减少偏见。例如,审稿人可能会根据作者是谁、在哪里以及与谁一起工作来评估作者的工作;同样,对批评性评论不满的作者可能会在未来与评论者的互动中产生偏见。有些人会质疑,“严肃的”科学家可能会有任何偏见,无论是作为审稿人还是作为作者,但这几乎只能被视为一厢情愿的想法。偏见是人性的核心。事实上,很多基础研究方法的设计都是为了消除我们在解释数据时不可避免的偏见。此外,研究人员在性别、种族、原籍国或隶属关系方面普遍存在的偏见,即使是微妙的和无意识的偏见,也一直被记录下来(16)。只要研究是由人类进行的,偏见就会一直存在,我们不应该否认它,而是应该努力减少它。在这样做的过程中,没有必要重新发明轮子,因为在涉及人类互动的情况下,最小化偏见的黄金标准方法已经得到了很好的确立:双盲法。例如,在临床试验环境中,医生和患者都不知道谁属于安慰剂对照组,谁得到了药物,这阻碍了有偏见的数据报告、收集或分析。因此,人们可能会合理地期望,类似的双盲方法将成为同行评审过程的标准方案。事实上,在一些学术分支,如社会科学,双盲同行评议已经成为一种公认的制度,也许是因为社会科学家更清楚人类偏见的普遍性和陷阱。然而,在自然科学中,迄今为止,研究评估的主要形式是单盲审查,而双盲做法极为罕见。那么,为什么在进行“硬科学”的方式和评估“硬科学”的方式之间存在如此深刻的分歧呢?这当然不是由于双盲评价不够普及。研究人员的调查经常显示,双盲评价是最受各学科科学家青睐的研究评估方法(7 11)。然而,期刊编辑,最支持现行单盲系统的群体,在很大程度上反对引入双盲审查(12,13)。对于这一政策,人们提出了不同的理由,例如,隐瞒作者身份的负担,或者知道作者是谁有助于检查其工作的新颖性和识别利益冲突(12 15)。然而,这些论点经不起推敲。电子投稿系统可以设计为自动排除审稿人收到的稿件中的作者信息;作品的新颖性应该与所有以前的出版物进行比较,而不仅仅是作者自己的作品;利益冲突产生于稿件的主题,而不是作者,在冲突属于个人性质的情况下,双重盲法只能减少其发生。对双盲模型最常见的反对意见是,掩盖作者的身份并不总是成功的(16,17)。这无疑是正确的,例如,审稿人可能在会议上看到了手稿中的数据。但是,这不能作为反对双盲同行评议的理由,就像不能让一些治疗和对照组完全失明(例如,由于药物的特征性副作用)不能作为反对使用双盲临床试验的理由一样。重要的是,研究表明,在大多数情况下,审稿人无法判断作者的身份(16 18)。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
Who stands to win from double-blind peer review?
T he launch of Advances in Regenerative Biology deserves to be celebrated not only for being a promising new journal in an exciting field of the life sciences but also for adopting a notable approach of manuscript evaluation: double-blind peer review. This approach is primarily notable for its exceptional rarity in natural science journals, despite overwhelming support for it from the research community. Here, I summarise what in my view are the key advantages of double-blind peer review over the alternatives and discuss how research and researchers can benefit from its wider implementation. Three main systems of pre-publication peer review have been proposed, which differ with respect to whether the reviewers know the identity of the authors and vice versa: open, single-blind and double-blind. In open peer review both sides know who they are, in the single-blind system only the reviewers know the identities of the authors, whereas in the double-blind approach the identities of both sides are not revealed during the review process. The masking of author and reviewer identities is intended to minimise bias. For example, reviewers may be biased in evaluating the authors’ work based on who they are, where and with whom they work; similarly, authors disgruntled by critical reviews may be biased in their future interactions with the reviewers. There are some who would dispute that ‘serious’ scientists can have any bias at all, be it in their role as reviewers or as authors, but this can hardly be taken as anything more than wishful thinking. Bias is at the core of human nature. Indeed much of basic research methodology is designed to neutralise our inevitable biases in interpreting our data. Moreover, pervasive even if subtle and unconscious bias among researchers with respect to gender, race, country of origin or affiliation has been consistently documented (1 6). As long as research is carried out by humans, bias will be here to stay, and instead of denying it, we should try to reduce it. In doing so, there is no need to reinvent the wheel, as a gold standard approach for minimising bias in situations involving human interactions is well established: double blinding. For example, in a clinical trial setting, neither the doctors nor the patients know who belongs to the placebo control group and who gets the drug, impeding biased data reporting, collection or analysis. One might thus reasonably expect that a similar double-blind approach would be standard fare for the peer-review process. Indeed, in some branches of academia, such as the social sciences, double-blind peer review has become an accepted system perhaps because social scientists are better aware of the ubiquity and pitfalls of human bias. In the natural sciences, however, by far the dominant form of research evaluation is single-blind review, whereas the double-blind practice is exceedingly uncommon. So why is there such a profound rift between the way in which the ‘hard sciences’ are conducted and the way in which they are evaluated? It is certainly not due to insufficient popularity of double-blind review. Researcher surveys regularly reveal double-blind review as the method of research assessment that is most highly favoured by scientists across disciplines (7 11). Yet, journal editors, the group most supportive of the reigning single-blind system, have largely resisted the introduction of double-blind review (12, 13). Different justifications have been put forward for this policy for example, the burden of concealing the authors’ identities or the fact that knowing who the authors are helps to check the novelty of their work and to identify conflicts of interest (12 15). These arguments, however, do not stand up to scrutiny. Electronic submission systems can be designed to automatically exclude the author information in the manuscript received by reviewers; the novelty of the work should be judged against all previous publications, not only those by the authors themselves; conflicts of interest arise from the subject matter of the manuscript, not from its authors and in cases when the conflicts are of a personal nature, double blinding can only reduce their occurrence. The most frequent objection against the double-blind model is that masking the authors’ identities will not always be successful (16, 17). This is undoubtedly true for instance, the reviewer may have seen the data in the manuscript at a meeting. But this cannot argue against double-blind peer review any more than the inability to fully blind some treatment and control groups (e.g. due to characteristic side effects of the drug) can argue against the use of double-blind clinical trials. Importantly, research has shown that in most cases reviewers cannot divine the authors’ identities (16 18). Whenever they manage to do it, double-blind review is reduced to the single-blind form, but this still leaves a majority of cases in which the authors will have a better chance of impartial evaluation. The logic and data behind this thinking should seem clear, but the vast majority of life science and biomedical journals remain unmoved by such arguments and persist in their refusal to implement double-blind review. I therefore wonder if there may be some other, less palatable and thus less widely advertised reasons for this attitude. The ‘never-change-a-winningteam’ type of mindset may be one such reason. But I advances in REGENERATIVE BIOLOGY
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