whitefinal6 10/10/06 2:06 PM Page i CSE’s White Paper on Promoting Integrity in Scientific Journal Publications Editorial Policy Committee (2005–2006), Council of Science Editors www.CouncilScienceEditors.org whitefinal6 10/16/06 10:13 AM Page ii CSE’s White Paper on Promoting Integrity in Scientific Journal Publications Editorial Policy Committee (2005–2006), Council of Science Editors www.CouncilScienceEditors.org Diane Scott-Lichter (Chair) Acknowledgments Blackwell Publishing, Inc. The CSE Editorial Policy Committee acknowledges the Martin Blume work of the previous committee, which served as a The American Physical Society basis for this paper. Special thanks go to Brenda Bruce Dancik Gregoline, ELS, for her copy and developmental edit- NRC Research Press ing of the aspects of the White Paper created by CSE’s University of Alberta Editorial Policy Committee. Finally,the Committee is Heather Goodell indebted to the CSE Board and reviewers, whose sup- American Heart Association port and timely input made this White Paper possible. Angela Hartley Special thanks to Cadmus Communications for sup- Association of Women’s Health, Obstetric and porting the composition, printing, and providing of Neonatal Nurses PDFs of this version of the White Paper. Michael Kahn Cardinal Health Christine Laine Copyright Annals of Internal Medicine Copyright © 2006 Council of Science Editors. Copying Jennifer Mahar tables, figures, or excerpts with proper attribution is Neuropsychopharmacology allowed for any noncommercial use of this work. Harvey Marcovitch Unless otherwise indicated, all materials on these BMJ Journals pages are copyrighted by the Council of Science BMA House Editors.With the exception of use of tables, figures, or excepts referenced here, reproduction, modification, Stephen Morrissey storage in a retrieval system or retransmission, in any New England Journal of Medicine form or by any means, electronic, mechanical or oth- Debra Parrish erwise, for reasons other than personal use, is strictly Parrish Law Offices prohibited without prior written permission. Deborah Polly American Urological Association Preferred Citation Scott-Lichter D, and the Editorial Policy Committee, Mike Rossner Council of Science Editors. The Journal of Cell Biology CSE’s White Paper on Promoting Integrity in Scientific Journal Mary Scheetz Publications. Reston,Va: CSE; 2006. Office of Research Integrity Council of Science Editors Anna Trudgett c/o Drohan Management Group Blood 12100 Sunset Hills Road, Suite 130 Michael Vasko Reston,VA 20190 Archives of Physical Medicine and Rehabilitation Phone: 703–437–4377 John Ward Fax: 703–435–4390 Centers for Disease Control and Prevention Email: [email protected] CSE Board Liaison Web: www.councilscienceeditors.org Monica Bradford The full text of the White Paper with updated con- American Association for the Advancement of tent can be accessed without charge through the Science Internet by going to the following URL: http://www. councilscienceeditors.org/editorial_policies/white_ paper.cfm. ii whitefinal6 10/10/06 2:06 PM Page iii Table of Contents 1.0 INTRODUCTION 1 2.0 ROLES AND RESPONSIBILITIES IN PUBLISHING 2 2.1 Editor Roles and Responsibilities 2 2.1.1 Editorial Freedom 6 2.1.2 Confidentiality 7 2.1.3 Conflicts of Interest 8 2.1.4 Conflict of Interest Disclosure 10 2.1.5 Editorial Board Participation 11 2.1.6 Timeliness of the Publication Process 12 2.1.7 Errata, Retractions, and Expressions of Concern 12 2.1.8 Addressing Authorship Disputes 13 2.1.9 Appealing Decisions and Reconsideration of Rejected Manuscripts 13 2.1.10 Addressing Allegations or Findings of Misconduct 13 2.2 Authorship 16 2.2.1 Authorship and Contributorship Models 16 2.2.2 Aims of Authorship and Contributorship Models 18 2.2.3 Authors’ Role 18 2.2.4 Copyright Assignment 20 2.2.5 Order of Authorship 20 2.2.6 Anonymous Authorship 20 2.2.7 Group Authorship 20 2.2.8 Deceased Authors 21 2.2.9 Acknowledgments 21 2.2.10 Multiple Submissions 21 2.2.11 Registration of Clinical Trials 22 2.2.12 Editors’ Role 22 2.3 Reviewer Roles and Responsibilities 23 2.3.1 Reviewer Selection 24 2.3.2 Ethical Responsibilities of Reviewers 25 2.3.3 Examples of Reviewer Impropriety 26 2.3.4 Using Anonymous Reviewers: Critique of the Process 27 2.4 Sponsor Roles and Responsibilities 28 2.4.1 Authorship/Contributorship 29 2.4.2 Process Control (Content, Direction, and Venue Choice) 29 2.4.3 Disclosure of Funding Sources and Sponsor Involvement 30 iii CSE’s White Paper on Promoting Integrity in Scientific Journal Publications whitefinal6 10/10/06 2:06 PM Page iv 2.4.4 Access to and Provision of Data 30 2.4.5 Copyright 30 2.4.6 Sponsor Misconduct and/or Unethical Practices 31 2.5 Relations Between Editors and Publishers, Sponsoring Societies, or Journal Owners 31 2.6 Responsibilities to the Media 34 3.0 IDENTIFYING RESEARCH MISCONDUCT AND GUIDELINES FOR ACTION 36 3.1 Description of Research Misconduct 37 3.1.1 Mistreatment of Research Subjects 37 3.1.2 Falsification and Fabrication of Data 37 3.1.3 Piracy and Plagiarism 38 3.2 International Models for Responding to Research Misconduct 38 3.2.1 National Bodies Responding to the Problem 38 3.2.2 Definition of Research Misconduct 44 3.2.3 The Investigation 47 3.2.4 Post-Investigation Issues 48 3.3 Reporting Suspect Manuscripts 49 3.3.1 Who Might Notify A Journal About A Suspect Manuscript? 49 3.3.2 Whom Should a Journal Notify About a Suspect Manuscript? 50 3.4 Digital Images and Misconduct 52 3.4.1 Guidelines for Handling Image Data 52 3.4.2 Enforcing the Guidelines 53 3.4.3 Procedure for Handling Guideline Violations 54 3.5 Correcting the Literature 55 3.5.1 Definitions 56 3.5.2 Published Guidelines 56 3.5.3 The US Public Health Service 58 3.5.4 The National Science Foundation, Office of Inspector General 59 3.5.5 Processes 59 3.5.6 Editor’s Checklist 62 3.5.7 Examples of Literature Corrections 63 3.6 Handling Third-Party Inquiries About Scientific Misconduct 70 3.6.1 Media 70 3.6.2 Legal Counsel 71 3.6.3 Federal Agencies 71 CSE’s White Paper on Promoting Integrity in Scientific Journal Publications iv whitefinal6 10/10/06 2:06 PM Page 1 1.0 INTRODUCTION The Council of Science Editors and its Editorial Policy Committee encourage everyone involved in the journal publishing process to take responsibility for promoting integrity in scientific journal publishing.This paper will serve as a basis for developing and improving effective practices in achieving that goal. Through this White Paper and other activities, the Editorial Policy Committee aims to open dialogue about ethical publishing practices, inform those involved in the editorial process, and foster informed decision-making by edi- tors.We intend to work with other professional organizations to shape the sci- entific journal environment so that the integrity of our publications is upheld. With the understanding that what may be appropriate for one discipline or organization may not be so for another, the White Paper intends to inform and guide rather than direct. Because there is more published information available from the biomedical community on some of the topics in this paper, more ref- erences or examples in those areas are given. However, our intention is to pro- vide information that is useful to all the sciences.To provide useful and practi- cal support to journal editors, your input is needed to further develop this liv- ing document by pointing out areas that need to be expanded or updated.We will build on the work of this White Paper through the continued work of the Committee and your contributions. Please send comments and suggestions to [email protected] and include “Editorial Policy Committee” in the subject line. (Authorship: Diane Scott-Lichter took the lead in writing this section of the white paper on behalf of the CSE Policy Committee. Members of the Policy Committee and the CSE Board of Directors reviewed and commented on it.This section was formally approved by the CSE Board of Directors on September 13, 2006.) CSE’s White Paper on Promoting Integrity in Scientific Journal Publications 1 whitefinal6 10/10/06 2:06 PM Page 2 2.0 ROLES AND RESPONSIBILITIES IN PUBLISHING 2.1 Editor Roles and Responsibilities Editors of scientific journals have responsibilities to the public, the scientific community as a whole, the owners/publishers of their journals, the authors who provide the content of the journals, the peer reviewers who comment on the suitability of manuscripts for publication, and the journal’s readers. Some editor responsibilities to authors are listed below. • Providing guidelines for preparing and submitting manuscripts. • Establishing and enforcing authorship criteria. • Treating all authors with fairness, courtesy, objectivity, and honesty. • Establishing and defining policies on conflicts of interest. • Protecting the confidentiality of every author’s work. • Establishing a system for effective and rapid peer review. • Making editorial decisions with reasonable speed and, when the manuscript is potentially appropriate for the journal, with input from peer reviewers who have adequate expertise to judge the manuscript, and communicating these decisions to authors in a constructive and helpful manner. • Establishing clear guidelines for authors regarding acceptable practices for sharing information before and after publication. • Establishing a procedure for reconsidering editorial decisions (see 2.1.9). • Describing, implementing, and regularly reviewing policies for handling eth- ical issues and allegations or findings of misconduct by authors (see 2.1.10 and part 3). • Informing authors of solicited manuscripts that the submission will be eval- uated according to the journal’s usual procedures or outlining the decision- making process if it differs from those procedures.