Disputed authorship

A paper was submitted to a journal with authors A, B, C, D and E. The paper was peer reviewed. Before acceptance, the corresponding author asked for a new author, author F, to be added, and an existing author, author C, to be removed.

The editorial office asked all of the authors (authors A, B, C, D, E and F) to complete a change of authorship request form and for the corresponding authors to justify the reason for change of authorship.

All of the authors complied with the requirement except author C (the author to be removed). The corresponding author explained that author C did not participate in the paper (ie, they should not have been left on the paper in the first place). The explanations on who did what in the paper confirm this statement, but author C is not contactable to confirm or negate the statement as they are on long term sick leave (author C is not responding to the HR department of their institution).

If author C did not contribute to the paper, their name should not have been left on the submission. However, as the article was submitted with their name on it, it seems wrong to remove their name during the peer review process.

Question(s) for the COPE Forum

• What course of action would the Forum advise?
• If author C is removed without their permission, could they ask for the article to be retracted?
• If author C remains on the article but they have been ill and not signed off on the final accepted version, could they ask for retraction of the article because they did not agree to the final article being published with their name on it?

During the review process for a manuscript submitted to our journal, one of the reviewers alerted us that the manuscript appeared to be the work of a collaborator (Dr X) who was not listed as an author on the paper. It became clear that the manuscript’s corresponding author (Dr Y, affiliation A) was a postdoctoral researcher supervised by Dr X (previously at affiliation A, recently moved to affiliation B). A third researcher, Dr Z, was an author on the manuscript and at an institution in a different country.

We asked Dr X whether they were aware of the manuscript from their postdoctoral researcher, Dr Y. Dr X was not aware and stated that Dr Y was funded solely by Dr X’s grant, and that they were working on a similar manuscript for submission elsewhere. Dr X requested that we withdraw the paper.

We asked Dr Y to confirm whether the author list on the paper was complete and to provide us with funding details. Dr Y replied that there were no other authors, and that the work was completely self-funded.

Question(s) for the COPE Forum

• Should the journal contact the author's institution (and/or the supervisor's institution) to investigate?
• Should the journal withdraw the manuscript from consideration at this stage, or wait for the results of an investigation?

Our journal received a manuscript which was a report of an evaluation and enhancement of an online clinical decision support system (CDS) for a specific population at risk of a disease. The online CDS had been developed by a national agency with a mission to support health promotion and disease prevention activities. Evaluation of the CDS was supported through contracts and sub-contracts. The first author was an employee of a university that was a sub-contractor on the project; the second and third authors were employees of a business that describes itself as providers of innovative scientific and technical solutions for national agencies through a consortium of more than 100 universities. The first author’s university was part of this consortium.

The manuscript was submitted to our journal 3 months after the project was finished. Project reports were also submitted to the national agency through the sub-contractors. The second author was the primary conduit of communication between the sub-contractors and the national funding agency.

As a result of the project report and evaluation, the national agency made changes to the online CDS, which included taking down the online version that was reported in the manuscript. When the manuscript was revised, the first author decided to include screenshots from the national agency which described the CDS even though it was no longer available online. 

The revised manuscript was submitted, re-reviewed, and after a few small changes, accepted for publication. Shortly thereafter, the editorial associate for the journal contacted the first author to inquire about whether permission was needed to print the screenshots. The first author asked the second author to verify that the national agency was happy about the inclusion of the screenshots. She replied that the agency approved. During the proofing stage, when the second author did not respond to emails, the editorial assistant contacted the agency directly and was told that the programme officer was totally unaware of the existence of the manuscript. Questions surrounding the actions of the second author then emerged pertaining to the details of his communication with the national agency prior to the manuscript being submitted to our journal.

The first author contacted the journal and said the proofs had to be reviewed and approved by the primary funder. As editor, I replied that at the page proof stage, all edits/changes must be very minor. Substantial changes would require that the manuscript be taken out of the production process and depending on the nature of the changes, the entire submission and review process might have to begin anew.

During a telephone call with the first author she stated that she believed the second author had lied regarding eliciting input and obtaining permission from the national agency to submit and publish the manuscript in our journal. Further, the second author had been fired from his job for “ethical transgressions,” and was now doing work completely unrelated to his previous job for the sub-contractor. She believed he had contributed little to the original paper. The first author has been dealing with the fallout from this and the funding agency. She asked if she should withdraw the manuscript? Or if not, should the second author be listed as an author?

As editor, I am reluctant to have the second author remain on the manuscript, especially given the fact that he may have done less on the manuscript than he originally said and may not even qualify for authorship according to the ICMJE guidelines. The first author agrees with this, but she is concerned that he may take litigious action against her, the university where she works, or the journal.

Question(s) for the COPE Forum

• Should the journal reject the manuscript? Is it unsalvageable at this point?
• If the journal does not reject the manuscript, should the second author be removed? How could that be handled?

After publication of an article, Author A contacted the journal asking to correct their surname. Author A’s name consists of two parts, but only one was included in the publication. The editor accepted this request but asked all authors to agree to publication of an erratum. Author B (the corresponding author) immediately replied, disagreeing with publication of such an erratum. Author A informed the journal that he had a similar ongoing disagreement with Author B over Author A’s name in another journal. Author A also provided proof of legal name. According to our records, Author A’s name was incorrect on submission and Author A did not ask to correct it before publication (and had confirmed that the submission details were correct). When asked for an explanation of this, Author A claims not to have noticed the mistake at that time.

The journal asked Author B to explain the reason for objecting to the erratum. Author B instead replied with an accusation that Author A did not contribute to the experiments or writing of the article and therefore should be removed from the author list. The journal contacted all authors reminding them of the ICMJE authorship criteria and asking for each of them to confirm their contributions to the article. It was also explained to them that the journal was not able to judge authorship and, if the authors are unable to come to an agreement, the case would be referred to their institution for further investigation.

Author B replied insisting they have the final say on the authorship list as senior and corresponding author. Authors A and B continued to disagree over email, including the journal in this correspondence. Author A did not provide a very detailed statement of contribution. The other authors provided some statements of varying detail. Some of the authors who are still based at Author B’s institution provided identical statements, agreeing that the corresponding author can decide who should be named an author on a publication.

As the authors were unable to agree authorship among themselves, the journal contacted the institution where the research took place (also where author B is currently affiliated). Author A, and some of the other co-authors, have since left the institution. The institution discussed the case with the authors still at this institution, but stated they were not allowed to contact authors who had left (including Author A). The institution forwarded the journal a statement signed by Author B and the other authors still at the institution with a similar statement to those received previously stating that Author A did not meet authorship criteria.

The journal is concerned that the institutional investigation was perfunctory as it did not consult with the original complainant, Author A. However, the journal is not in a position to judge who should and should not be an author. In the meantime, Author B had contacted the editor asking to stop the investigation and not make any changes to the article. This was not acceptable to the editor as Author A’s name is still incorrect. The journal therefore restated the plan to publish an erratum to correct the name of Author A, but Author B strongly disagreed again, and again claimed that Author A should not be an author.

Question(s) for the COPE Forum
• Given that the authors are unable to agree on authorship of this article, the institutional investigation did not consider the opinions of all authors and Author B strongly disagrees with the publication of an erratum, the journal is considering publishing an Expression of Concern. This would state that Author A has informed the journal that their name is incorrect and include the corrected name. It would also state that authorship is under dispute and that the results of an instructional investigation were inconclusive as it was only possible to speak to the authors still at the institution. Would the Forum agree that this is a reasonable solution?
• Are there any suggestions on further action the journal can take?