Journal management

The case has been with two publishers for more than a year. Journal A at publisher A published article A by author A, affiliated to institution A and institution B (in another country), and author B affiliated to institution B. Journal B at publisher B then published article B, by the same authors and affiliations. The two articles are on closely related research.

Shortly after publication of article A and before publication of article B, a senior colleague of author A at institution A contacted publisher A asking for article A to be retracted. The claimant said author A had left institution A after the submission to journal A but before publication. The claimant alleged that author A used other researchers’ data without permission and used the affiliation without approval (breaching an agreement signed by author A), some data were unverified by institution A, and author B and institution B were not involved in the research. The other researchers alleged to have been involved were not acknowledged. These allegations were confirmed by the head of department at institution A.

Author A disputed this, saying they did do the work and were still affiliated to institution A (as confirmed by a letter signed by an institutional representative and a court document), and they were no longer subject to the agreement they were said to have breached because it had been terminated. Author B has not commented on the allegations and institution B has been uninvolved in the investigation. 

Publisher A asked institution A to formally investigate. Institution A’s preliminary investigation confirmed grounds to suspect misconduct and they began a further investigation. At this point, institution A asked for the publication of an expressions of concern (EoC) to inform readers of the investigation, which both publishers agreed to. Author A asked for the EoCs to not be published due to ongoing legal action against institution A and the claimant and asked to be allowed to add comments to the EoCs if they were published, but each publisher posted the EoC without author A’s comments.

Several months later, an institutional representative asked for retraction based on author A not providing data to the investigation and doubts that the named authors were the only ones who contributed to the research. Institution A said author A had taken further legal action against institution A, but nevertheless asked for the articles to be retracted due to misconduct by author A. Institution A stated that there will be no further investigation of, or action against, author B.

The publishers have not been given details of the investigation report or findings. Author A still denied misconduct and said they had not been given evidence of this, and confirmed their ongoing legal action against institution A.

Question(s) for the COPE Forum

• One option may be to update the EoCs to note the finding of institution A’s investigation of misconduct and their request for retraction. Is this reasonable in the absence of detail on the institution’s findings and in light of the ongoing legal action (which the institution admits is continuing)?
• Institution A is pressing for retractions and presumably legal proceedings could be dragged out by author A. Does institution A have the authority to force retractions while civil legal proceedings are underway?
• Can the publishers insist on seeing the findings of the institutional investigation?

A journal operated double blind peer-review, so the reviewers do not know the identity of the authors, and vice versa. However, the anonymity of the authors is not guaranteed, as the reviewers may discover the identity of the authors (because of the area of research, references, writing style, etc). But rarely can the authors identify the reviewers.

The journal received a request from a reviewer to share a post on twitter, which may disclose the reviewer’s identity to the authors.

Question(s) for the COPE Forum

• Does the double-blind peer-review process apply after publication?
• What should be the position of a journal when reviewers ask to share their report or experience on social media?