Our Post-Publication Name Change Policy, Explained

By Sam Perkins

SAGE Publishing has recently implemented a post-publication name change policy, which allows updates to an individual’s name for any reason, without requiring provision of supporting documentation and without publication of a correction notice.

The policy was created to address the needs of transgender (trans) and gender non-conforming people who, if unable to update their name, are at an increased risk of harassment and assault, as well as exposure to professional biases (e.g. relating to citation, tenure, and promotion). In recognition that individuals should have complete authority over their names and other social identities, we now permit name change requests for any reason, including indigeneity, marriage, divorce, and religion.

Our decisions were informed by the principles outlined in “A vision for a more trans-inclusive publishing world” and the formative work of organizations such as COPE and the  “Joint Commitment for action on inclusion and diversity in publishing,” organized by the Royal Society of Chemistry and 35 other publishers.

In particular, we would like to acknowledge the efforts of the trans scholars who have brought about this change, often exposing themselves to direct and indirect transphobia in the process. SAGE acknowledges that the absence of a formal policy has been harmful and discriminatory to trans and other marginalised groups within academia. We have recently redoubled our efforts to address this issue, and are committed to helping create a more inclusive culture within scholarly publishing.

In order to contextualise SAGE’s policy for scholars who may wish to update their name in a SAGE publication, and to further support the publishers who are yet to implement their own inclusive name change policies, some of the key considerations that informed SAGE’s approach are detailed below.

Comprehensiveness

Because SAGE’s current procedure for handling name change requests does not guarantee removal of the author’s previous name from all public-facing records (contrary to the guidance in the previously mentioned COPE publication), we had to decide whether it was better to implement the policy as soon as possible or to wait until we could offer a more comprehensive update to our records. We opted for the former, noting the limitations of the current process in the policy itself. 

Authentication

‘Authorship for sale’ is a form of authorship fraud in which non-authors buy authorship of a manuscript, often after the paper has been invited for revision or provisionally accepted. In line with ICMJE guidance, SAGE’s editors and publishing professionals take extensive steps to minimise occurrences of this: for example, by requesting the submission of authorship change forms that detail the amendments made.

By now allowing updates to be made to names post-publication without requiring authentication or publication of a correction notice, SAGE acknowledges that there may be an additional opportunity for attempts to be made to manipulate the publication process. However, as outlined in this white paper, if a publisher’s existing policies do not accommodate inclusivity while minimising fraudulent behaviour then those policies are inadequate, and alternative measures to ensure integrity must be sought.

SAGE is, therefore, dedicated to maintaining an authentication-free process for trans and gender non-conforming academics. Should we discover evidence of authorship fraud via manipulation of our name change policy in the future, we will seek alternative, yet still inclusive, methods for protecting the scholarly record.

Informing co-authors

Notifying co-authors of a name change exposes trans and gender non-conforming authors to potential harassment and discrimination, yet not informing them risks the publication being cited incorrectly in the future. Some publishers have taken the decision not to notify co-authors of such changes, as this is the least burdensome option for trans and gender non-conforming authors. SAGE has decided to ask authors updating their name to select one of three options (SAGE notifies co-authors, author notifies co-authors or co-authors are not notified) so that individuals can make an informed decision after consideration of the potential implications.

Ownership of identity

By publishing this policy, SAGE is asserting its belief that an author is the sole authority over their social identity, including their name. Furthermore, while the scholarly record is being updated, the scholarly contribution from that individual is unchanged.

Preserving the integrity of the Version of Record

Recognizing a published article as a finalized Version of Record establishes the expectation that it can be relied upon as accurate, complete, and citable. Failure to update an author’s name creates inaccuracies, incompleteness, and inhibits correct citation. As with other Corrections, updates to author names should be encouraged, in support of accuracy and accountability, cornerstones of research integrity.

Correction notices

As documented by other publishers (see here and here), changes to the academic record have traditionally been difficult to implement because they required publication of an accompanying notice. This is no longer needed for individual name changes in SAGE publications, which is essential for protecting individuals’ privacy.

Proof-checking

SAGE’s name change process includes a stage in which the author is sent a proof to check prior to ‘republication,’ which is intended to ensure accuracy in the revision, and which we hope is not onerous. We appreciate that this represents an additional step for authors, which we are working towards making optional.

SAGE is currently exploring potential systems and infrastructure improvements that could enable more complete updates in the future, and is committed to developing its name change policy as industry-wide guidance and infrastructures develop. If challenges arise, we will endeavour to find inclusive and equitable solutions that protect the privacy of, and minimize the burden for, trans, gender non-conforming, and other individuals wishing to update their names.

To make a name change and/or pronoun update, please read the policy in full before emailing authorproductionqueries@sagepub.co.uk to request the change.

We are collecting feedback and suggestions for the SAGE name change policy anonymously via this form. We are particularly interested in hearing from those who have, or may wish to, update(d) their name. More generally, we are also looking for, establishing, and improving efforts across the board to create a more diverse, equitable and inclusive publishing environment and to connect DEI-supporting research with those who can use it to improve society. Anyone with feedback or ideas is encouraged to send them to info@sagepub.com.

 About the author