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More Chutzpah

Aug 8, 2017 by

In my last post I described how Atila Abdulkadiroglu, Parag Pathak, and Christopher Walters (APW) released an evaluation of the 1st year results from Louisiana’s voucher program through NBER dated December 2015 (although actually released in January 2016) that failed to cite or provide appropriate credit to earlier conference presentations by Jonathan Mills and Patrick Wolf and a dissertation by Mills.  In response APW issued a statement that raises many issues, but fails to address the heart of the matter. Before replying to some of those extraneous issues, let’s focus on the key questions:

  1. Did Jon and Pat conduct analyses, write papers, and present findings to the academic community of the same program using the same basic methodology and data as APW prior to their December 2015 NBER paper?
  2. Were APW aware of this prior work?
  3. Did APW fail to cite and give appropriate credit to that prior work in their December 2015 NBER paper?

If you read their statement closely you will see that APW do not deny the existence of prior work, do not deny being aware of that work, and do not deny failing to cite it. Let’s take a look at what they did say.

The No Prior Working Papers Claim

APW do not deny that Jon and Pat had multiple conference papers, starting with one to the Association for Public Policy Analysis and Management on November 8, 2013 followed by 8 more during 2014 and 2015.  Instead they focus on whether there were prior working papers: “Mills and Wolf released a working paper in February 2016. This is the first working paper by the Arkansas team that we are aware of.” Christopher Walters reiterates this point in a comment on the blog: “We would have cited a public working paper had we known of one in December 2015.”

There are two problems with this no prior working paper argument.  First, a working paper is not the only format of prior academic work that requires citation.  There is no exemption to the scholarly obligation to credit prior work if that work is in the form of conference papers and presentations.  In fact, the American Economics Association helpfully provides guidance on the appropriate way to cite “Lectures and Papers Presented at Meetings.”

Second, there is a very good reason why Jon and Pat did not have a working paper for APW to cite and APW are almost certainly aware of that reason: The Louisiana Department of Education (LDE) asked Jon and Pat not to widely disseminate their findings until after the second year of results were complete. LDE had made the same request of APW, who similarly complied with that request before deciding that it would take them too long to finish the 2nd year analyses.  As APW describe it in their statement: “We postponed the release of our paper because the LDE promised us additional data in exchange for delaying public disclosure of our results. We released the paper when we judged that this data was not forthcoming.”

While Jon and Pat did not widely publicize the results of their 1st year evaluation by issuing a working paper online, they did not keep their findings a secret.  They presented their results at numerous conferences and in a dissertation, and they solicited feedback and suggestions from colleagues (including from Abdulkadiroglu).  And they took that time to resolve missing data issues, complete the 2nd year analyses, and release both 1st and 2nd year results in a working paper only a month after APW released their 1st year results.

By contrast, APW operated in a different manner.  As far as I can tell they did not present their work at any meeting of a professional association prior to December 2015.  They did not disclose to Pat and Jon that they were planning to conduct or were already conducting their own study, even when Pat and Jon discussed the research with Abdulkadiroglu.  They also did not take the time to work out data issues with LDE and wait for the 2nd year of results before releasing their NBER report. And the failure of that report to cite and credit the work produced by Jon and Pat cannot be excused because Jon and Pat didn’t put a working paper online.

The Data Sharing Agreement Claim

APW’s statement does not deny being aware of prior work by Jon and Pat.  In Walter’s comment on the blog, however, he does say “We were not aware of the Mills dissertation chapter …”  But Abdulkadiroglu, not Walters, was at the lunch with Jon and Pat in June 2015.  The statement they issued together does not deny that Abdulkadiroglu was told about Jon’s dissertation work at that lunch.  Instead it denies that Jon’s dissertation was the origin of APW’s work: “This conversation centered on the use of school assignment mechanisms for program evaluation. The conversation occurred more than two years after we signed our data agreement to evaluate the LSP using lotteries, so it was clearly not the inspiration for our work.”

Whatever inspired their work does not obviate their scholarly obligation to cite and give appropriate credit to academic work on the same program that had been produced prior to their December 2015 NBER report. The existence and date of APW’s data sharing agreement with LDE is irrelevant to whether they failed to cite and give appropriate credit to previously produced work.

But in a comment on the blog, Walters offers a novel interpretation of what “prior work” means: “Your team’s research is not ‘prior work.’ As shown by the date on the data agreement provided in our response, the two projects were in progress simultaneously.” By prior work I mean research findings that had been produced and shared with the academic community before December 2015.  The fact that both research teams had data sharing agreements does not erase the fact that Jon and Pat had produced, presented, and published (in a dissertation) results prior to the December 2015 NBER report.

In addition, it should be noted that Walters’ description that “the two projects were in progress simultaneously” is very different from APW’s characterization of Jon and Pat’s work as a “followup analysis” in the footnote they added to their NBER report after Jon and Pat released their February 2016 working paper with the 1st and 2nd year results. It should be further noted that even that amended paper does not provide a proper citation because Jon and Pat’s work is missing from the reference section.

Even though the existence and date of the data sharing agreements is irrelevant to the scholarly obligation to cite prior work, the suggestion that APW had an agreement that pre-dated Jon and Pat’s by two years is incorrect.  Jon and Pat started negotiating a data sharing agreement with LDE during the fall of 2012, around the same time as APW, and concluded that agreement on January 8, 2013, two months after APW.  Jon and Pat were completely unaware of the existence of APW’s data sharing agreement or that APW were pursuing a similar line of research with the same data.

The data sharing agreements are further irrelevant because they do not establish when the research teams actually started the research in earnest.  We know that Jon and Pat had started their research during 2013 because they presented preliminary findings at the APPAM conference in November 2013. The earliest we know APW had written-up results, according to reporting by The 74 Million, was in October 2015, when they presented them to LDE.  And when Jon and Pat discussed their research with Abdulkadiroglu in June 2015, it is unclear whether he failed to disclose that they were working on a similar study because APW had not actually started that work yet.

The You Didn’t Cite the Dissertation Either Claim

Finally, the APW statement seems to suggest that they are somehow absolved of the responsibility of citing Jonathan Mills’ dissertation because Jon and Pat also failed to cite that dissertation in some of their subsequent papers, including the February 2016 working paper with 1st and 2nd year results. First, it is an entirely different thing to deny oneself credit than to deny someone else credit.  Whether Jon and Pat made an error in failing to credit all of their own prior work does not excuse APW in making that error about someone else’s work.  This is especially the case because Jon and Pat’s failure to cite Jon’s dissertation does not mislead the reader about who had been the first to produce these results.  Second, Jon and Pat’s February 2016 working paper did cite a series of their own prior conference papers from 2014 and 2015, so they did clearly establish that they had been presenting results on the Louisiana program well before December 2015. APW might have noticed those references and acknowledged that record of prior work when they added the footnote in an update to their December 2015 NBER paper mentioning Jon and Pat’s February 2016 working paper.

Raising this issue is certainly not pleasant.  In fact, it’s down-right nerve-wracking and I can completely understand why Jon was reluctant to press this matter earlier.  But I think credit is being given to other researchers for being the first to produce an evaluation of achievement effects from the Louisiana voucher program that properly belongs to Jon and Pat.  I actually tried to resolve this amicably with Parag Pathak when he came to give a lecture at the University of Arkansas in 2016.  Parag had been invited prior to the December 2015 NBER report and his visit was uncomfortable.  It would have been more uncomfortable if either Jon or Pat were there, but Jon had already left for a post-doc at Tulane and Pat had another obligation.  Contrary to the APW statement, I did raise the bruised feelings over credit and data access with Parag and suggested that he might smooth things over with Jon and Pat and perhaps regain access to LDE data if he were to suggest collaboration on some future project with them.  I suggested at the very least he should call Pat and talk to him.  He never did.

Source: More Chutzpah | Jay P. Greene’s Blog

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