Category Archives: helping

How to review a paper

Including a Checklist for Hypothesis Testing Research Reports *

See https://osf.io/6cw7b/ for a pdf of this post

 

Academia critically relies on our efforts as peer reviewers to evaluate the quality of research that is published in journals. Reading the reviews of others, I have noticed that the quality varies considerably, and that some reviews are not helpful. The added value of a journal article above and beyond the original manuscript or a non-reviewed preprint is in the changes the authors made in response to the reviews. Through our reviews, we can help to improve the quality of the research. This memo provides guidance on how to review a paper, partly inspired by suggestions provided by Alexander (2005), Lee (1995) and the Committee on Publication Ethics (2017). To improve the quality of the peer review process, I suggest that you use the following guidelines. Some of the guidelines – particularly the criteria at the end of this post – are peculiar for the kind of research that I tend to review – hypothesis testing research reports relying on administrative data and surveys, sometimes with an experimental design. But let me start with guidelines that I believe make sense for all research.

Things to check before you accept the invitation
First, I encourage you to check whether the journal aligns with your vision of science. I find that a journal published by an exploitative publisher making a profit in the range of 30%-40% is not worth my time. A journal that I have submitted my own work to and gave me good reviews is worth the number of reviews I received for my article. The review of a revised version of the paper does not count as a separate paper.
Next, I check whether I am the right person to review the paper. I think it is a good principle to describe my disciplinary background and expertise in relation to the manuscript I am invited to review. Reviewers do not need to be experts in all respects. If you do not have useful expertise to improve the paper, politely decline.

Then I check whether I know the author(s). If I do, and I have not collaborated with the author(s), if I am not currently collaborating or planning to do so, I describe how I know the author(s) and ask the editor whether it is appropriate for me to review the paper. If I have a conflict of interest, I notify the editor and politely decline. It is a good principle to let the editor know immediately if you are unable to review a paper, so the editor can start to look for someone else to review the paper. Your non-response means a delay for the authors and the editor.

Sometimes I get requests to review a paper that I have reviewed before, for a conference or another journal. In these cases I let the editor know and ask the editor whether she would like to see the previous review. For the editor it will be useful to know whether the current manuscript is the same as the version, or includes revisions.

Finally, I check whether the authors have made the data and code available. I have made it a requirement that authors have to fulfil before I accept an invitation to review their work. An exception can be made for data that would be illegal or dangerous to make available, such as datasets that contain identifying information that cannot be removed. In most cases, however, the authors can provide at least partial access to the data by excluding variables that contain personal information.

A paper that does not provide access to the data analyzed and the code used to produce the results in the paper is not worth my time. If the paper does not provide a link to the data and the analysis script, I ask the editor to ask the authors to provide the data and the code. I encourage you to do the same. Almost always the editor is willing to ask the authors to provide access. If the editor does not respond to your request, that is a red flag to me. I decline future invitation requests from the journal. If the authors do not respond to the editor’s request, or are unwilling to provide access to the data and code, that is a red flag for the editor.

The tone of the review
When I write a review, I think of the ‘golden rule’: treat others as you would like to be treated. I write the review report that I would have liked to receive if I had been the author. I use the following principles:

  • Be honest but constructive. You are not at war. There is no need to burn a paper to the ground.
  • Avoid addressing the authors personally. Say: “the paper could benefit from…” instead of “the authors need”.
  • Stay close to the facts. Do not speculate about reasons why the authors have made certain choices beyond the arguments stated in the paper.
  • Take a developmental approach. Any paper will contain flaws and imperfections. Your job is to improve science by identifying problems and suggesting ways to repair them. Think with the authors about ways they can improve the paper in such a way that it benefits collective scholarship. After a quick glance at the paper, I determine whether I think the paper has the potential to be published, perhaps after revisions. If I think the paper is beyond repair, I explain this to the editor.
  • Try to see beyond bad writing style and mistakes in spelling. Also be mindful of disciplinary and cultural differences between the authors and yourself.

The substance of the advice
In my view, it is a good principle to begin the review report by describing your expertise and the way you reviewed the paper. If you searched for literature, checked the data and verified the results, ran additional analyses, state this. It will allow the editor to adjudicate the review.

Then give a brief overview of the paper. If the invitation asks you to provide a general recommendation, consider whether you’d like to give one. Typically, you are invited to recommend ‘reject’, ‘revise & resubmit’ – with major or minor revisions, or ‘accept’. Because the recommendation is the first thing the editor wants to know it is convenient to state it early in the review.

When giving such a recommendation, I start from the assumption that the authors have invested a great deal of time in the paper and that they want to improve it. Also I consider the desk-rejection rate at the journal. If the editor sent the paper out for review, she probably thinks it has the potential to be published.

To get to the general recommendation, I list the strengths and the weaknesses of the paper. To ease the message you can use the sandwich principle: start with the strengths, then discuss the weaknesses, and conclude with an encouragement.

For authors and editors alike it is convenient to give actionable advice. For the weaknesses in the paper I suggest ways to repair them. I distinguish major issues such as not discussing alternative explanations from minor issues such as missing references and typos. It is convenient for both the editor and the authors to number your suggestions.

The strengths could be points that the authors are underselling. In that case, I identify them as strengths that the authors can emphasize more strongly.

It is handy to refer to issues with direct quotes and page numbers. To refer to the previous sentence: “As the paper states on page 3, [use] “direct quotes and page numbers””.

In 2016 I have started to sign my reviews. This is an accountability device: by exposing who I am to the authors of the paper I’m reviewing, I set higher standards for myself. I encourage you to think about this as an option, though I can imagine that you may not want to risk retribution as a graduate student or an early career researcher. Also some editors do not appreciate signed reviews and may take away your identifying information.

How to organize the review work
Usually, I read a paper twice. First, I go over the paper superficially and quickly. I do not read it closely. This gets me a sense of where the authors are going. After the first superficial reading, I determine whether the paper is good enough to be revised and resubmitted, and if so, I provide more detailed comments. After the report is done, I revisit my initial recommendation.

The second time I go over the paper, I do a very close reading. Because the authors had a word limit, I assume that literally every word in the manuscript is absolutely necessary – the paper should have no repetitions. Some of the information may be in the supplementary information provided with the paper.

Below you find a checklist of things I look for in a paper. The checklist reflects the kind of research that I tend to review, which is typically testing a set of hypotheses based on theory and previous research with data from surveys, experiments, or archival sources. For other types of research – such as non-empirical papers, exploratory reports, and studies based on interviews or ethnographic material – the checklist is less appropriate. The checklist may also be helpful for authors preparing research reports.

I realize that this is an extensive set of criteria for reviews. It sets the bar pretty high. A review checking each of the criteria will take you at least three hours, but more likely between five and eight hours. As a reviewer, I do not always check all criteria myself. Some of the criteria do not necessarily have to be done by peer reviewers. For instance, some journals employ data editors who check whether data and code provided by authors produce the results reported.

I do hope that journals and editors can get to a consensus on a set of minimum criteria that the peer review process should cover, or at least provide clarity about the criteria that they do check.

After the review
If the authors have revised their paper, it is a good principle to avoid making new demands for the second round that you have not made before. Otherwise the revise and resubmit path can be very long.

 

References
Alexander, G.R. (2005). A Guide to Reviewing Manuscripts. Maternal and Child Health Journal, 9 (1): 113-117. https://doi.org/10.1007/s10995-005-2423-y
Committee on Publication Ethics Council (2017). Ethical guidelines for peer reviewers. https://publicationethics.org/files/Ethical_Guidelines_For_Peer_Reviewers_2.pdf
Lee, A.S. (1995). Reviewing a manuscript for publication. Journal of Operations Management, 13: 87-92. https://doi.org/10.1016/0272-6963(95)94762-W

 

Review checklist for hypothesis testing reports

Research question

  1. Is it clear from the beginning what the research question is? If it is in the title, that’s good. In the first part of the abstract is good too. Is it at the end of the introduction section? In most cases that is too late.
  2. Is it clearly formulated? By the research question alone, can you tell what the paper is about?
  3. Does the research question align with what the paper actually does – or can do – to answer it?
  4. Is it important to know the answer to the research question for previous theory and methods?
  5. Does the paper address a question that is important from a societal or practical point of view?

 

Research design

  1. Does the research design align with the research question? If the question is descriptive, do the data actually allow for a representative and valid description? If the question is a causal question, do the data allow for causal inference? If not, ask the authors to report ‘associations’ rather than ‘effects’.
  2. Is the research design clearly described? Does the paper report all the steps taken to collect the data?
  3. Does the paper identify mediators of the alleged effect? Does the paper identify moderators as boundary conditions?
  4. Is the research design waterproof? Does the study allow for alternative interpretations?
  5. Has the research design been preregistered? Does the paper refer to a public URL where the preregistration is posted? Does the preregistration include a statistical power analysis? Is the number of observations sufficient for statistical tests of hypotheses? Are deviations from the preregistered design reported?
  6. Has the experiment been approved by an Internal or Ethics Review Board (IRB/ERB)? What is the IRB registration number?

 

Theory

  1. Does the paper identify multiple relevant theories?
  2. Does the theory section specify hypotheses? Have the hypotheses been formulated before the data were collected? Before the data were analyzed?
  3. Do hypotheses specify arguments why two variables are associated? Have alternative arguments been considered?
  4. Is the literature review complete? Does the paper cover the most relevant previous studies, also outside the discipline? Provide references to research that is not covered in the paper, but should definitely be cited.

 

Data & Methods

  1. Target group – Is it identified? If mankind, is the sample a good sample of mankind? Does it cover all relevant units?
  2. Sample – Does the paper identify the procedure used to obtain the sample from the target group? Is the sample a random sample? If not, has selective non-response been dealt with, examined, and have constraints on generality been identified as a limitation?
  3. Number of observations – What is the statistical power of the analysis? Does the paper report a power analysis?
  4. Measures – Does the paper provide the complete topic list, questionnaire, instructions for participants? To what extent are the measures used valid? Reliable?
  5. Descriptive statistics – Does the paper provide a table of descriptive statistics (minimum, maximum, mean, standard deviation, number of observations) for all variables in the analyses? If not, ask for such a table.
  6. Outliers – Does the paper identify treatment of outliers, if any?
  7. Is the multi-level structure (e.g., persons in time and space) identified and taken into account in an appropriate manner in the analysis? Are standard errors clustered?
  8. Does the paper report statistical mediation analyses for all hypothesized explanation(s)? Do the mediation analyses evaluate multiple pathways, or just one?
  9. Do the data allow for testing additional explanations that are not reported in the paper?

 

Results

  1. Can the results be reproduced from the data and code provided by the authors?
  2. Are the results robust to different specifications?

Conclusion

  1. Does the paper give a clear answer to the research question posed in the introduction?
  2. Does the paper identify implications for the theories tested, and are they justified?
  3. Does the paper identify implications for practice, and are they justified given the evidence presented?

 

Discussion

  1. Does the paper revisit the limitations of the data and methods?
  2. Does the paper suggest future research to repair the limitations?

 

Meta

  1. Does the paper have an author contribution note? Is it clear who did what?
  2. Are all analyses reported, if they are not in the main text, are they available in an online appendix?
  3. Are references up to date? Does the reference list include a reference to the dataset analyzed, including an URL/DOI?

 

 

* This work is licensed under a Creative Commons Attribution 4.0 International License. Thanks to colleagues at the Center for Philanthropic Studies at Vrije Universiteit Amsterdam, in particular Pamala Wiepking, Arjen de Wit, Theo Schuyt and Claire van Teunenbroek, for insightful comments on the first version. Thanks to Robin Banks, Pat Danahey Janin, Rense Corten, David Reinstein, Eleanor Brilliant, Claire Routley, Margaret Harris, Brenda Bushouse, Craig Furneaux, Angela Eikenberry, Jennifer Dodge, and Tracey Coule for responses to the second draft. The current text is the fourth draft. The most recent version of this paper is available as a preprint at https://doi.org/10.31219/osf.io/7ug4w. Suggestions continue to be welcome at r.bekkers@vu.nl.

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Revolutionizing Philanthropy Research Webinar

January 30, 11am-12pm (EST) / 5-6pm (CET) / 9-10pm (IST)

Why do people give to the benefit of others – or keep their resources to themselves? What is the core evidence on giving that holds across cultures? How does giving vary between cultures? How has the field of research on giving changed in the past decades?

10 years after the publication of “A Literature Review of Empirical Studies of Philanthropy: Eight Mechanisms that Drive Charitable Giving” in Nonprofit and Voluntary Sector Quarterly, it is time for an even more comprehensive effort to review the evidence base on giving. We envision an ambitious approach, using the most innovative tools and data science algorithms available to visualize the structure of research networks, identify theoretical foundations and provide a critical assessment of previous research.

We are inviting you to join this exciting endeavor in an open, global, cross-disciplinary collaboration. All expertise is very much welcome – from any discipline, country, or methodology. The webinar consists of four parts:

  1. Welcome: by moderator Pamala Wiepking, Lilly Family School of Philanthropy and VU Amsterdam;
  2. The strategy for collecting research evidence on giving from publications: by Ji Ma, University of Texas;
  3. Tools we plan to use for the analyses: by René Bekkers, Vrije Universiteit Amsterdam;
  4. The project structure, and opportunities to participate: by Pamala Wiepking.

The webinar is interactive. You can provide comments and feedback during each presentation. After each presentation, the moderator selects key questions for discussion.

We ask you to please register for the webinar here: https://iu.zoom.us/webinar/register/WN_faEQe2UtQAq3JldcokFU3g.

Registration is free. After you register, you will receive an automated message that includes a URL for the webinar, as well as international calling numbers. In addition, a recording of the webinar will be available soon after on the Open Science Framework Project page: https://osf.io/46e8x/

Please feel free to share with everyone who may be interested, and do let us know if you have any questions or suggestions at this stage.

We look forward to hopefully seeing you on January 30!

You can register at https://iu.zoom.us/webinar/register/WN_faEQe2UtQAq3JldcokFU3g

René Bekkers, Ji Ma, Pamala Wiepking, Arjen de Wit, and Sasha Zarins

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Global Giving: Open Grant Proposal

Here’s an unusual thing for you to read: I am posting a brief description of a grant proposal that I will submit for the ‘vici’-competition of the Netherlands Organization for Scientific Research 2019 later this year. You can download the “pre-proposal” here. It is called “Global Giving”. With the study I aim to describe and explain philanthropy in a large number of countries across the world. I invite you to review the “pre-proposal” and suggest improvements; please use the comments box below, or write to me directly.

You may have heard the story that university researchers these days spend a lot of their time writing grant proposals for funding competitions. Also you may have heard the story that chances of success in such competitions are getting smaller and smaller. These stories are all true. But the story you seldom hear is how such competitions actually work: they are a source of stress, frustration, burnouts and depression, and a complete waste of the precious time of the smartest people in the world. Recently, Gross and Bergstrom found that “the effort researchers waste in writing proposals may be comparable to the total scientific value of the research that the funding supports”.

Remember the last time you saw the announcement of prize winners in a research grant competition? I have not heard a single voice in the choir of the many near-winners speak up: “Hey, I did not get a grant!” It is almost as if everybody wins all the time. It is not common in academia to be open about failures to win. How many vitaes you have seen recently contain a list of failures? This is a grave distortion of reality. Less than one in ten applications is succesful. This means that for each winning proposal there are at least nine proposals that did not get funding. I want you to know how much time is wasted by this procedure. So here I will be sharing my experiences with the upcoming ‘vici’-competition.

single-shot-santa

First let me tell you about the funny name of the competition. The name ‘vici’ derives from roman emperor Caesar’s famous phrase in Latin: ‘veni, vidi, vici’, which he allegedly used to describe a swift victory. The translation is: “I came, I saw, I conquered”. The Netherlands Organization for Scientific Research (‘Nederlandse organisatie voor Wetenschappelijk Onderzoek’, NWO) thought it fitting to use these names as titles of their personal grant schemes. The so-called ‘talent schemes’ are very much about the personal qualities of the applicant. The scheme heralds heroes. The fascination with talent goes against the very nature of science, where the value of an idea, method or result is not measured by the personality of the author, but by its validity and reliability. That is why peer review is often double blind and evaluators do not know who wrote the research report or proposal.

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Yet in the talent scheme, the personality of the applicant is very important. The fascination with talent creates Matthew effects, first described in 1968 by Robert K. Merton. The name ‘Matthew effect’ derives from the biblical phrase “For to him who has will more be given” (Mark 4:25). Simply stated: success breeds success. Recently, this effect has been documented in the talent scheme by Thijs Bol, Matthijs de Vaan and Arnout van de Rijt. When two applicants are equally good but one – by mere chance – receives a grant and the other does not, the ‘winner’ is ascribed with talent and the ‘loser’ is not. The ‘winner’ then gets a tremendously higher chance of receiving future grants.

As a member of committees for the ‘veni’ competition I have seen how this works in practice. Applicants received scores for the quality of their proposal from expert reviewers before we interviewed them. When we had minimal differences between the expert reviewer scores of candidates – differing only in the second decimal – personal characteristics of the researchers such as their self-confidence and manner of speaking during the interview often made the difference between ‘winners’ and ‘losers’. Ultimately, such minute differences add up to dramatically higher chances to be a full professor 10 years later, as the analysis in Figure 4 of the Bol, De Vaan & Van de Rijt paper shows.

matthew

My career is in this graph. In 2005, I won a ‘veni’-grant, the early career grant that the Figure above is about. The grant gave me a lot of freedom for research and I enjoyed it tremendously. I am pretty certain that the freedom that the grant gave me paved the way for the full professorship that I was recently awarded, thirteen years later. But back then, the size of the grant did not feel right. I felt sorry for those who did not make it. I knew I was privileged, and the research money I obtained was more than I needed. It would be much better to reduce the size of grants, so that a larger number of researchers can be funded. Yet the scheme is there, and it is a rare opportunity for researchers in the Netherlands to get funding for their own ideas.

This is my third and final application for a vici-grant. The rules for submission of proposals in this competition limit the number of attempts to three. Why am I going public with this final attempt?

The Open Science Revolution

You will have heard about open science. Most likely you will associate it with the struggle to publish research articles without paywalls, the exploitation of government funded scientists by commercial publishers, and perhaps even with Plan S. You may also associate open science with the struggle to get researchers to publish the data and the code they used to get to their results. Perhaps you have heard about open peer review of research publications. But most likely you will not have heard about open grant review. This is because it rarely happens. I am not the first to publish my proposal; the Open Grants repository currently contains 160 grant proposals. These proposals were shared after the competitions had run. The RIO Journal published 52 grant proposals. This is only a fraction of all grant proposals being created, submitted and reviewed. The many advantages of open science are not limited to funded research, they also apply to research ideas and proposals. By publishing my grant proposal before the competition, the expert reviews, the recommendations of the committee, my responses and experiences with the review process, I am opening up the procedure of grant review as much as possible.

Stages in the NWO Talent Scheme Grant Review Procedure

Each round of this competition takes almost a year, and proceeds in eight stages:

  1. Pre-application – March 26, 2019 <– this is where we are now
  2. Non-binding advice from committee: submit full proposal, or not – Summer 2019
  3. Full proposal – end of August 2019
  4. Expert reviews – October 2019
  5. Rebuttal to criticism in expert reviews – end of October 2019
  6. Selection for interview – November 2019
  7. Interview – January or February 2020
  8. Grant, or not – March 2020

If you’re curious to learn how this application procedure works in practice,
check back in a few weeks. Your comments and suggestions on the ideas above and the pre-proposal are most welcome!

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Research internship @VU Amsterdam

Social influences on prosocial behaviors and their consequences

While self-interest and prosocial behavior are often pitted against each other, it is clear that much charitable giving and volunteering for good causes is motivated by non-altruistic concerns (Bekkers & Wiepking, 2011). Helping others by giving and volunteering feels good (Dunn, Aknin & Norton, 2008). What is the contribution of such helping behaviors on happiness?

The effect of helping behavior on happiness is easily overestimated using cross-sectional data (Aknin et al., 2013). Experiments provide the best way to eradicate selection bias in causal estimates. Monozygotic twins provide a nice natural experiment to investigate unique environmental influences on prosocial behavior and its consequences for happiness, health, and trust. Any differences within twin pairs cannot be due to additive genetic effects or shared environmental effects. Previous research has investigated environmental influences of the level of education and religion on giving and volunteering (Bekkers, Posthuma and Van Lange, 2017), but no study has investigated the effects of helping behavior on important outcomes such as trust, health, and happiness.

The Midlife in the United States (MIDUS) and the German Twinlife surveys provide rich datasets including measures of health, life satisfaction, and social integration, in addition to demographic and socioeconomic characteristics and measures of helping behavior through nonprofit organizations (giving and volunteering) and in informal social relationships (providing financial and practical assistance to friends and family).

In the absence of natural experiments, longitudinal panel data are required to ascertain the chronology in acts of giving and their correlates. The same holds for the alleged effects of volunteering on trust (Van Ingen & Bekkers, 2015) and health (De Wit, Bekkers, Karamat Ali, & Verkaik, 2015). Since the mid-1990s, a growing number of panel studies have collected data on volunteering and charitable giving and their alleged consequences, such as the German Socio-Economic Panel (GSOEP), the British Household Panel Survey (BHPS) / Understanding Society, the Swiss Household Panel (SHP), the Household, Income, Labour Dynamics in Australia survey (HILDA), the General Social Survey (GSS) in the US, and in the Netherlands the Longitudinal Internet Studies for the Social sciences (LISS) and the Giving in the Netherlands Panel Survey (GINPS).

Under my supervision, students can write a paper on social influences of education, religion and/or helping behavior in the form of volunteering, giving, and informal financial and social support on outcomes such as health, life satisfaction, and trust, using either longitudinal panel survey data or data on twins. Students who are interested in writing such a paper are invited to present their research questions and research design via e-mail to r.bekkers@vu.nl.

René Bekkers, Center for Philanthropic Studies, Faculty of Social Sciences, Vrije Universiteit Amsterdam

References

Aknin, L. B., Barrington-Leigh, C. P., Dunn, E. W., Helliwell, J. F., Burns, J., Biswas-Diener, R., … Norton, M. I. (2013). Prosocial spending and well-being: Cross-cultural evidence for a psychological universal. Journal of Personality and Social Psychology, 104(4), 635–652. https://doi.org/10.1037/a0031578

Bekkers, R., Posthuma, D. & Van Lange, P.A.M. (2017). The Pursuit of Differences in Prosociality Among Identical Twins: Religion Matters, Education Does Not. https://osf.io/ujhpm/ 

Bekkers, R., & Wiepking, P. (2011). A Literature Review of Empirical Studies of Philanthropy: Eight Mechanisms That Drive Charitable Giving. Nonprofit and Voluntary Sector Quarterly, 40: https://doi.org/10.1177/0899764010380927

De Wit, A., Bekkers, R., Karamat Ali, D., & Verkaik, D. (2015). Welfare impacts of participation. Deliverable 3.3 of the project: “Impact of the Third Sector as Social Innovation” (ITSSOIN), European Commission – 7th Framework Programme, Brussels: European Commission, DG Research. http://itssoin.eu/site/wp-content/uploads/2015/09/ITSSOIN_D3_3_The-Impact-of-Participation.pdf

Dunn, E. W., Aknin, L. B., & Norton, M. I. (2008). Spending Money on Others Promotes Happiness. Science, 319(5870): 1687–1688. https://doi.org/10.1126/science.1150952

Van Ingen, E. & Bekkers, R. (2015). Trust Through Civic Engagement? Evidence From Five National Panel Studies. Political Psychology, 36 (3): 277-294. https://renebekkers.files.wordpress.com/2015/05/vaningen_bekkers_15.pdf

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Resilience and Philanthropy

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With the year 2020 on the horizon, the recently published work programme for Research & Innovation from European Commission for the years 2016-2017 is organized around a limited set of Societal Challenges. Europe defined these challenges after a long process of lobbying and consultation with many stakeholders. Going through the list I could not help thinking that something was missing. I do not mean that the list of challenges is a result of a political process and does not seem to reflect an underlying vision of Europe. I am thinking about the current refugee crisis. The stream of refugees arriving at the gates of Europe poses new challenges to Europe, in many areas: humanitarian assistance, citizenship, poverty, inclusion, access to education, and jobs. The stream of refugees also raises important questions for philanthropy. How will Europe deal with these challenges? How resilient is Europe? Will governments, nonprofit organizations and citizens be able to deal with this challenge? In the definition of the Rockefeller Foundation, resilience is the capacity of individuals, communities and systems to survive, adapt, and grow in the face of stress and shocks, and even transform when conditions require it. I define resilience as the mobilization of resources for the improvement of welfare in the face of adversity.

Among refugees, who are seeking a better future for themselves and their children, we see resilience. Threatened by adversity in their home countries, they take grave risks by placing their fate in the hands of human traffickers, foreign police officers. They rely on each other and their inner strength, hoping that what they left behind is worse than their future. We see a lack of resilience in Europe. The continent was not ready for the large stream of refugees. Some member states pass on the stream to each other by closing their borders. Other national governments try to accommodate refugees seeking asylum, but face barriers in finding housing, and resistance from groups of citizens who oppose accommodation of refugees in their communities. At the same time we see a willingness to help among other citizens, who offer assistance in the form of volunteer time, food and other goods. Perhaps the response of citizens is related to their own levels of resilience.

Resilience is not just the ability to withstand adversity or change by not changing at all. Resilience is not just sitting it out, or a strategy based on a rational computation of risks, the avoidance of risks, or flexibility and absorption of shocks. The resilient actor adapts to new situations and grows.  Neither is resilience an immutable trait of individuals, a matter of luck in the genetic lottery. Resilience has often been studied at the individual level in psychology. Resilience requires will power, perseverance, self-esteem, creativity, a proactive attitude, optimism, intrinsic motivation, inner strength, a long term orientation to the future, willingness to change for the better, risk-taking, using the force of your opponent, problem solving ability, and intelligence.

The questions for research on resilience require social scientists to study not only the response of individual citizens, but also of social systems: informal networks of citizens, social groups, nonprofit organizations, nations, and supra-national institutions. How are resilience-related traits related to philanthropy at the level of groups and systems? How can resilience among organizations be fostered? How do nonprofit organizations build and on resilience of target groups? Resilience is a very useful concept to apply to each of the societal challenges of Europe. The classic welfare state was a system that created resilience for society as a whole, reducing the need for resilience among individual citizens. The modern activating welfare state requires resilience among citizens as a condition for support. Welfare state support becomes more like charity: we favor victims of natural disasters that try to make the best of their lives and welfare recipients that are actively seeking a job.

As nonprofit organizations are trying to respond to the refugee crisis, they are also facing adversity themselves. In the United Kingdom, fundraising practices by charities have recently come under attack. In the Dutch nonprofit sector, cuts in government funding to arts and culture organizations have been a major source of adversity in the past years. Further cuts have been announced to organizations in international relief and development. In our research at the Center for Philanthropic Studies at VU Amsterdam we have asked: how willing are Dutch citizens to increase private contributions to charities when the government is lowering their financial support? Not much, is what our research shows. While some may have believed that citizens would compensate lower income from government grants through increased donations, this has not happened. When the cuts to the arts and culture organizations were announced, the minister for Education, Arts and Science said that cultural organizations should do more to raise funds from private sources and should rely less on government grants. The culture change in the cultural sector is taking place, slowly. Some organizations were not ready for this change and simply discontinued their activities. Most have decided to do with less, and see what opportunities they may have to increase fundraising income. Some have done well. On the whole, the increase in private contributions is marginal, and much less than the loss in government grants.

For nonprofit organizations, the refugee crisis poses a challenge, but also an opportunity to mobilize citizen support in an effective manner. By offering their support to the government, working together effectively, and channeling the willingness to volunteer they can demonstrate the societal impact that nonprofit organizations may have. This would be a much needed demonstration when trust in charitable organizations is low.

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Vrijwilligerswerk in Nederland neemt af

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Het percentage van de Nederlanders dat vrijwilligerswerk doet is de afgelopen jaren afgenomen. In 2010 deed nog 41% vrijwilligerswerk, in 2014 is dat gedaald naar 37%. Ook het aantal uren dat vrijwilligers actief zijn is gedaald, naar 18 uur per maand. In 2012 was dit nog 21 uur. Dit blijkt uit uit het onderzoek Geven in Nederland 2015, dat op 23 april op de Dag van de Filantropie verschijnt. Het onderzoek is uitgevoerd door de Werkgroep Filantropische Studies van de Vrije Universiteit Amsterdam.

Minder uren

Het meest actief zijn vrijwilligers die trouw zijn aan de organisatie waar zij zich voor inzetten. Zij besteden bijna 24 uur per maand aan vrijwilligerswerk. Nieuwe vrijwilligers en vrijwilligers die van club gewisseld zijn, zetten zich het minst aantal uren in: zij besteedden in 2014 gemiddeld 15 en 10 uur per maand. De uren die nieuwe vrijwilligers besteden kunnen de inzet vrijwilligers die gestopt zijn niet helemaal compenseren: zij zetten zich 18 uur per maand in (zie figuur).   uren_vrw_GIN2015Motieven

De motieven voor vrijwilligerswerk zijn niet sterk veranderd. Nog steeds zegt een meerderheid van de vrijwilligers dat zij het belangrijk vinden om anderen te helpen en via vrijwilligerswerk nieuwe vaardigheden leren. Wel is het percentage van de vrijwilligers dat zegt dat vrijwilligerswerk goed staat op het CV toegenomen, van 29% in 2002 naar 36% in 2014. De daling van de inzet in vrijwilligerswerk bedreigt de kansen voor de participatiesamenleving. De overheid hoopt juist dat burgers zich vaker actief inzetten voor de samenleving. De toenemende behoefte aan mantelzorg zal de deelname aan vrijwilligerswerk in de toekomst verder onder druk zetten.

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THE CURIOUS EVENT OF THE MONEY AT BROAD DAYLIGHT

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One day I cycled back home from work when I suddenly found myself in a curious situation. Shimmering in the gutter lay a folded €20 bill. It was just lying there, between the fallen leaves, in front of one of those expensive homes that I passed by everyday. It was as if the bill called out to me: ‘Pick me up!’ I saw nobody coming from the house. But the road was quite busy with cyclists. There was a student a few meters behind me – I had just passed her – and I saw a man a little bit further behind me. I did not know the student, nor the man, who looked like a fellow academic.

I slowed down, and looked over my shoulder. The student and the man behind me slowed down too, but had not noticed the bill. I pulled over and picked it up. The student stopped cycling and got off her bike. The young woman looked me in the eye and smiled. I realized that I had been the lucky person to find the money, but that I was no more entitled to take it home than she was. “Is this yours?” I joked.

“Ehhm…no”, she said. Of course the money wasn’t hers. I had just asked her whether the money was hers to make me feel more entitled to take the money myself. It did not work. The money was not mine and I knew it. I had to find an excuse not to share the money. I bluffed. I held the bill in the air, made a ripping gesture and said: “We could split it…?” The man who was behind us had slowed down and looked at us. The student laughed and said: “Well, do you have a €10?” I realized I was trapped. Before I knew it I replied: “You never know”. I knew I did have a €10 bill in my wallet. I flipped it open, took out the €10 and gave it to her. The man frowned as he passed by. He certainly looked like an academic and seemed puzzled. I tucked away the €20 in my wallet. The student smiled and said “Thank you. Enjoy your day!” And I did. The sun shone brighter that day.

Later I realized that the incident with the money at broad daylight is curious not just because it was such a unique event. It was also curious because it is similar to a situation that I thought only existed in artificial experimental situations. Even on the day of the event I had been reading articles about ‘dictator game’ experiments. In these experiments, often conducted in psychological laboratories with students sitting alone in small cubicles, participants think they participate in a study on ‘decision making’ or ‘emotions’ but then suddenly get $10 in $1 bills. The students have not done anything to get the money. They just showed up at the right time at the right place, usually in exchange for a smaller ‘show up’ fee of $5. Their task in the experiment with the $10 is to decide how much of the $10 they would like to keep and how much they will give to an ‘anonymous other participant’. The receiver cannot refuse the money – that is why economists call the experiment a ‘Dictator Game’. The participant has the power to donate any desired amount, from $0 to $10. The payout happens in a separate room after the experiment. All participants enter the room individually and receive an envelope containing the money that their dictator has donated – if any. An ingenious procedure ensures that nobody (except the dictator, of course) will know who donated the money she receives. The recipient will not know who her dictator was.

Despite the unfavorable circumstances, participants in dictator games typically give away at least some of the money that they have received. In fact, the proportion of participants giving away nothing at all averages at a little over a third. Almost two thirds of the participants in these experiments donate at least $1. When I had first read about these experiments, I found the results fascinating and puzzling. Why would anyone give anything? There’s no punishment possible for not donating because the receiver has no power to refuse the money and because – except feelings of guilt. Without realizing that I had been in a real life dictator game, I had behaved as many students do in the laboratory.

Another reason why the incident with the money was curious was that it made me think again about theories on generosity that I had learned from reading articles in scientific journals. I thought I had gained some insights on why people give from these theories. But now that I had been in a real life dictator game, the ‘Generosity Puzzle’ seemed more difficult to solve. Why on earth do people give away money to people they don’t know? Why do people give money to people that they will probably never meet again, and who will not be able to give back what they have been given?

Because of the incident, these questions suddenly became personal questions. Why had I myself given away half of the money to a student that I did not know, and would probably never see again? Was it her smiling face when she asked whether I had a €10 bill? What if she had become angry with me and demanded half of the money? If she had not had the nerve to ask whether I had a €10 bill, I would probably have left with €20 instead of a €10. Or what if the student had been male? Would I have shared the money with him? And what if the man cycling behind us had joined our conversation? He had slowed down but had kept cycling. Though there is no easy way to split €20 into three equal amounts, there is also no good reason why the man had not asked for an equal share.

Perhaps a more remote influence had made me split the money with the student? Was it my parents who taught me the value of sharing? I remember a family holiday in Scandinavia with my parents and my brother when I was young. We paused on a parking lot and I walked around looking for stones. Suddenly I found three bills lying on the ground next to large truck. The money was a small fortune to me. Just as I had done when I found the €20 bill, I tried to find the owner, but there was nobody in the truck or anywhere on the parking lot. I gave the money to my mother. Upon our return to the parking lot at the end of the day, we found a parking fine on our car. The money I found went to the Oslo police.

Of course I also played a role in the event of the money myself. I could have just taken the money without saying anything. If I had not asked whether the money was hers, the student had probably gone home without any money from me. I offered to split the money because I felt lucky but not entitled to keep the money. You can keep money that you have worked for. If I had not endorsed this principle and if I had not felt lucky finding the money I would probably have kept it.

The incident of the money could have ended quite differently if the circumstances had been different and if the people involved had been different. Research on generosity shows that almost anything in the incident influenced the level of generosity that eventually took place. Though the incident was quite unique, it does share a fundamental property of generosity in being the product of a wide range of factors. It is not just the outcome of the values and personalities of the people involved – my gratitude, the justice principle, and the boldness of the student. Also more transient factors such as a good mood after a productive day’s work have an influence on generosity. Even seemingly meaningless characteristics of the situation such as the weather, the smile of a stranger and eye contact with a passer-by can have a profound impact on generosity. These factors have been studied by scholars in many different scientific disciplines who often work in mutual isolation. I hope my research efforts provide some useful pieces to the Generosity Puzzle.

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Philanthropic Studies: Two Historical Examples

This post was published earlier in the newsletter of the European Research Network on Philanthropy

The 20th century has seen a tremendous growth of scientific enterprise. The increasing productivity of scientists has been accompanied by a proliferation of academic disciplines. While it is hard to determine an exact time and place of birth, the emergence of a separate field of research on philanthropy – Philanthropic Studies – took place largely in the 1980s in the United States of America (Katz, 1999). Looking back further in time, philanthropy American Style obviously has European roots. My favorite example to illustrate these origins – admittedly slightly patriotic – is the way the hallmark of capitalism was financed, documented by Russell Shorto in his book The Island at the Center of the World. Wall Street was built as a defense wall by the Dutch colonists against the Indians, the Swedes and the English, funded by private contributions of the citizens of New Amsterdam. The contributions were not altruistic in the sense that they benefited the poor or in the sense that they were motivated by concern for the welfare of all. Neither were these contributions totally voluntary. There was no system of taxes in place at the time, but Peter Stuyvesant went around the richest inhabitants of the city with his troops to collect contributions, in monetary or material form. I imagine the appeal to self-interest was occasionally illustrated by a show of guns when contributions were not made spontaneously.

Mannados

Today the study of philanthropy is spread over a large number of disciplines. It is not just sociologists, economists and psychologists who examine causes, consequences and correlates of philanthropy, but also scholars in public administration, political science, communication science, marketing, behavioral genetics, neurology, biology, and even psychopharmacology. Ten years ago, when Pamala Wiepking and I were writing a literature review of research on philanthropy, we gathered as many empirical research papers on philanthropy that we could find. We categorized the academic disciplines in which the research was published. The graph below displays the results of this categorization (for details, see our blog Understanding Philanthropy). The emergence of a separate field of philanthropic studies is visible, along with an increasing attention to philanthropy in economics.

After we had concluded our literature review, I detected a new classic. I would like to share this gem with you. It is an astonishing paper written by Pitirim Sorokin, a Russian sociologist who was exiled to the US in 1922. He founded the department of sociology at Harvard University in the 1930s. Before that, he conducted experiments at the University of Minnesota, and some of them examined generosity. The paper was published in German in 1928, in the Zeitschrift für Völkerpsychologie und Soziologie. It was not easy to obtain a copy of the paper. I managed to get one with the generous help of the staff at the University of Saskatchewan, where the complete works of Sorokin are archived; see http://library2.usask.ca/sorokin/. I have posted a pdf of the paper here: https://renebekkers.files.wordpress.com/2014/10/sorokin_28_full.pdf

Sorokin_28

Working with two colleagues, Sorokin asked students at the University of Minnesota how much money they were willing to donate to a fund for talented students, which would allow them to buy mathematical equipment (‘diagrams and a calculator’), and varied the severity of need and social distance to the students. The experiment showed that willingness to give declined the with the severity of need and with social distance. Students were willing to donate more for fellow students who were closer to them but needed less financial assistance.

Sorokin also gave the participants statements expressing egalitarian and justice concerns, to see whether the students acted in line with their attitudes. The attitudes were much more egalitarian than the responses in the hypothetical giving experiment. He was careful enough to note that the results of the experiment could not easily be generalized and needed replication in other samples, a critique repeated forcefully by Henrich et al. (2010). Sorokin saw his experiment as the beginning of a series of studies. However, the paper seems to have been forgotten entirely – Google Scholar mentions only 7 citations, extending to 1954. This is unfortunate. The experiment is truly groundbreaking both because of its methodology and its results. More than 8 decades later, economists are conducting experiments with dictator games that are very similar to the experiment Sorokin conducted. Perhaps this brief description brings his research back onto the stage.

References

Bekkers, R. & Wiepking, P. (2011). ‘A Literature Review of Empirical Studies of Philanthropy: Eight Mechanisms that Drive Charitable Giving’. Nonprofit and Voluntary Sector Quarterly, 40(5): 924-973.

Henrich, J., Heine, S.J., & Norenzayan, A. (2010). ‘The weirdest people in the world?’ Behavioral and Brain Sciences 33: 61–83.

Katz, S.N. (1999). ‘Where did the serious study of philanthropy come from, anyway?’ Nonprofit and Voluntary Sector Quarterly, 28: 74-82.

Sorokin, P. (1928). ‘Experimente Zur Soziologie’. Zeitschrift für Völkerpsychologie und Soziologie, 1(4): 1-10.

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Update: Giving in the Netherlands Panel Survey User Manual

A new version of the User Manual for the Giving in the Netherlands Panel Survey is now available: version 2.2.

The GINPS12 questionnaire is here (in Dutch).

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Dag van de Filantropie en Boekpresentatie Geven in Nederland 2013 op 25 april

Op de Dag van de Filantropie 2013 – het jaarlijks terugkerend evenement op de laatste donderdag van april – is dit jaar het boek ‘Geven in Nederland 2013’ gepresenteerd. Dit jaar kreeg een bijzonder tintje door het aanvaarden van een bijzondere leerstoel met het uitspreken van de rede ‘De maatschappelijke betekenis van filantropie’ door René Bekkers.

Kiezen om te Delen: Filantropie in Tijden van Economische Tegenwind

Nu het economisch niet voor de wind gaat zien we allerlei verschuivingen in de filantropie in Nederland. We zien een  terugval in het geefgedrag en verschuivingen in bestedingen van bedrijven en huishoudens. Zij moeten bewustere keuzes maken; onderscheid maken tussen wat écht belangrijk is en wat niet. De dynamiek binnen de bronnen van filantropische bijdragen en maatschappelijke doelen vormden het hoofdthema van het symposium. De presentatie van het onderzoek naar geefgedrag door huishoudens en vermogende Nederlanders vindt u hier. De resultaten van het onderzoek naar bedrijven, sociale normen rond filantropie en de trends in de cijfers van de bijdragen van huishoudens, bedrijven, en loterijen vindt u later op de Geven in Nederland website.

De Maatschappelijke Betekenis van Filantropie

De groeiende aandacht voor filantropie wordt meestal verklaard uit het feit dat de overheid moet bezuinigingen. Men vergeet echter dat de sector filantropie zich vanaf begin jaren ‘90 in rap tempo heeft ontwikkeld. Het “Geven in Nederland”onderzoek maakt deel uit van deze ontwikkeling. Van bezuinigingen was in die periode geen sprake, eerder het tegendeel. Particulier initiatief liet weer van zich horen. Met het sluiten van het Convenant “Ruimte voor Geven” in juni 2011 tussen het kabinet en de sector filantropie is een nieuwe situatie ontstaan, waarin filantropie de ruimte krijgt om meer maatschappelijke betekenis te krijgen.

Wat is de maatschappelijke betekenis van filantropie? Die vraag beantwoordt René Bekkers in zijn oratie. Bekkers is per 1 januari 2013 aan de Faculteit Sociale Wetenschappen van de Vrije Universiteit Amsterdam aangesteld als bijzonder hoogleraar Sociale aspecten van prosociaal gedrag. De leerstoel is mede mogelijk gemaakt door de Van der Gaag Stichting van de Koninklijke Nederlandse Akademie van Wetenschappen (KNAW) voor een periode van vijf jaar. Bekkers gaat in op de herkomst en bestemming van filantropie in de samenleving. Waarom zien we meer filantropie in sommige sociale groepen, landen en perioden dan in andere? In welke sociale omstandigheden doen mensen vrijwilligerswerk en geven ze geld aan goededoelenorganisaties? In welke mate en in welke omstandigheden zullen Nederlanders overheidsbezuinigingen op kunst en cultuur, internationale hulp en andere doelen compenseren?

De volledige tekst van de oratie vindt u hier.

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