The RACI is proud to have joined our voice with the Australian Physics, Astronomy, Chemistry, Mathematics and Statistics communities to express grave concern about a recent change to Australian Research Council (ARC) rules to forbid reference to preprints anywhere in a grant application. Below is a copy of the letter sent to the ARC.
Published 24 August 2021
The Australian Physics, Astronomy, Chemistry, Mathematics and Statistics communities express grave concern about a recent change to Australian Research Council (ARC) rules to forbid reference to preprints anywhere in a grant application. We are particularly concerned about the impact on early career researchers whose ARC fellowship applications have recently been ruled ineligible because of a violation of this new rule.
We are not aware of any consultation with our scientific communities about this change. We urge the ARC to rescind this rule, as it is unworkable and inconsistent with standard practice in our disciplines.
Preprints are vital for the rapid dissemination of knowledge in physics, astronomy, chemistry, mathematics and statistics. This is particularly important in fields where there is a long lead-time between journal submission and publication. Citing preprints in publications, reports, or grant applications is an entrenched disciplinary norm in these fields. Experts and referees who encounter such citations know that preprints are not peer reviewed and are experienced in assigning them appropriate weight.
Preprint servers are also used to store other important scientific documents including white papers, PhD theses, software and instruction manuals, experimental design reports, and other technical documents. Although never intended for publication in a regular journal, it is common for such documents to be definitive references on certain topics and cited many hundreds of times.
Forbidding references to preprints prevents applicants from giving appropriate credit to the authors of ideas that informed their proposal. This constitutes academic misconduct. Doing so is contrary to the Australian Code for the Responsible Conduct of Research 2018, which requires researchers to both “Present information truthfully and accurately in proposing … research” (Principle 1) and “Appropriately reference and cite the work of others” (Principle 4).
Preprint servers, such as the physical sciences arXiv server, pioneered the development of open access publishing. They are an established part of the publishing landscape. Their use is fully consistent with the ARC Open Access Policy.
Major science funding agencies around the world permit or encourage preprints to be cited in grant proposals and funding reports. This includes the US funding agencies such as the Department of Energy (DOE), the National Science Foundation (NSF), NASA and the National Institutes of Health (NIH), the European Research Council (ERC), the French National Research Agency (ANR) and the UK funding agencies for Engineering and Physical Sciences (EPSRC), Biological Sciences (BBSRC) and Medical Sciences (MRC).
We are dismayed that promising research careers have been impacted and perhaps even ended because fellowship applicants cited preprints and other documents housed on preprint servers. We encourage the ARC to explore avenues to support the researchers affected.
We strongly recommend the ARC reverse its rule change as a matter of urgency, and permit authors to cite any relevant material in accordance with disciplinary conventions. We further recommend that any future proposed changes that represent a significant departure from disciplinary norms be subject to wider consultation with researchers and peak scientific bodies.
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