La oficina editorial tuvo conocimiento de una carta de decisión en la que un editor solicitaba a un autor que citase un artículo publicado por el propio editor. Una investigación en mayor profundidad destapó un patrón de comportamiento preocupante: el editor solicitaba en las cartas (incluidos también los comentarios de los revisores) que se añadiesen citaciones de sus trabajos en más de 50 casos, cifra que triplicaba el número de veces que el editor solicitaba añadir citaciones de trabajos en los que no aparecía como coautor.
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In a single blind peer review process, a reviewer gave an author detailed suggestions about improvements in the statistical analysis. The author was asked to revise and resubmit the paper to address these and other reviewers' suggestions. The author, unaware of the reviewer’s identity, subsequently approached the reviewer as a respected colleague at a professional meeting to discuss the manuscript revision. During this conversation, to avoid having to pretend to go over their own suggestions as if they were from someone else, the reviewer disclosed that they were one of the reviewers. The author and reviewer discussed how to improve the manuscript, and at this point, the reviewer offered to assist with new statistical analyses they had recommended and become a co-author, which was agreeable to the author.
Before proceeding, the reviewer disclosed this interaction and her intention to the journal editors and the associate editor handling the paper. We determined to reject the manuscript because of the breach of confidentiality and the conflict of interest between the reviewer’s role as reviewer and proposed role as co-author. They will presumably submit the co-authored paper to another journal.
Although the proposed transition from peer reviewer to co-author is clearly inappropriate, some of the early steps leading up to this are less clear. COPE guidance for peer reviewers (https://publicationethics.org/files/Peer%20review%20guidelines.pdf) recommends that reviewers not contact the authors directly without the permission of the journal but provides no guidance about how to handle a situation in which an author, in good faith, approaches the reviewer. This may be particularly common in smaller scientific communities.
Question(s) for the COPE Forum • Does the reviewer have an obligation to conceal their status when asked by the author? • Alternately, would it be better to acknowledge their status as a reviewer but decline to comment further? • How should a reviewer handle having an author unknowingly approach them to discuss a manuscript?
Advice:
Does the journal have instructions for their reviewers regarding revealing their identity? Should this be up to reviewers to decide? The Forum felt this was an unusual case and there does not appear to be any guidance available on this issue. The Forum questioned whether it was fair on the part of the reviewer to have to conceal their identity and go along with the pretence and is perhaps unrealistic in an academic environment.
What we want to encourage is transparency in the peer review process. Ideally the reviewer should have contacted the journal to discuss the situation. However, it seems a harsh decision to reject the article because of an inadvertent scientific interaction between researchers and colleagues. If the reviewer had contacted the journal, he/she could have recused themselves from the review process and an independent reviewer been invited to review the paper. Any subsequent revision that included the reviewer as a new author could have been properly scrutinised and put through the peer review process.
Follow up:
The editors wrote back to the authors to offer the opportunity to resubmit the manuscript with the involved reviewer now as a co-author, after which it would receive new independent review. However, the authors had already sent it elsewhere.
Una Introducción
Los revisores pares juegan un papel en asegurar la integridad del registro académico. El proceso de revisión por pares depende en gran medida en la confianza y disposición a participar de la comunidad académica y requiere que todos los involucrados se comporten de modo responsable y ético. Los revisores pares juegan un papel central y crítico en el proceso de revisión por pares, pero pueden llegar a asumir ese papel sin orientación y tener poco presentes sus obligaciones éticas.
Written by COPE Council Version 2 September 2017 Version 1 March 2013 How to cite this
COPE Council. COPE Ethical Guidelines for Peer Reviewers (Spanish). Version 2 September 2017 https://doi.org/10.24318/cope.2019.1.10
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A staff member in our editorial office noticed a decision letter where a handling editor instructed an author to cite an article published by the handling editor. The staff member wondered if this had happened before and reviewed recent decision letters by that editor. This revealed a concerning pattern of behaviour—the handling editor’s decision letters (including reviewers’ comments) asked authors to add citations of his work more than 50 times, three times more often than he asked authors to add citation of work he did not co-author.
Looking more closely, the handling editor frequently invited the same four reviewers to review the papers he handled. The requests for added citations sometimes came from those reviewers, and sometimes from the handling editor alone. The handling editor asked for his own papers to be cited more than 20 times and never personally requested citation of papers that were not his own. The four regular reviewers requested citation of the handling editor’s work much more frequently than they requested citation of papers he had not authored, and most of the citations they requested that were not the handling editor’s were of papers they themselves had co-authored.
In at least one case, an author did not add the citation of the handling editor’s paper as requested, so the handling editor returned the paper to the author again with the request that the citation be added. This created concern that he was requiring authors to add these citations before he would accept their papers. According to COPE’s ethics guidelines for peer reviewers, reviewers should “refrain from suggesting that authors include citations to your (or an associate’s) work merely to increase citation counts or to enhance the visibility of your or your associate’s work; suggestions must be based on valid academic or technological reasons.”
The staff member brought the issue to the journal’s editor-in-chief to see if there was legitimate scientific reason for these papers to be cited. (Note: in our editorial structure, handling editors make final decisions about papers; the editor-in-chief does not normally review decision letters before they are sent out). After reviewing the papers in question, the editor-in-chief did not see a reason why these additional citations were scientifically necessary. The editor-in-chief then consulted with the journal’s editorial board (handling editors are not part of the editorial board). The editorial board agreed that they could not see a scientific reason why these citations were requested. The editor-in-chief and editorial board drafted a letter to the handling editor to ask him to explain the pattern and why he requested these additional citations. The editorial board and editor-in-chief agreed to wait until hearing from the handling editor before contacting the reviewers.
The handling editor responded with a letter that stated that he requested citation of his own work more often than others’ work because he was most familiar with his own work. He then stated that he found the inquiry from the editorial board to be offensive and resigned immediately. The editor-in-chief and editorial board decided that the resignation was sufficient and closed the case.
In response to this case, the journal staff have added time to the journal’s annual meeting with the handling editors for review of editorial ethics, to ensure that all editors are familiar with COPE and the journal’s ethical standards. The journal’s code of ethics is also included in the handbook provided to all handling editors, and editors will be asked to sign an agreement stating that they have read and agree to the code of ethics each year.
Question(s) for the COPE Forum
• What if anything should the journal have done differently? Are there other actions the journal should have taken?
• Should the journal have reached out to the reviewers as well, or was reaching out to the handling editor sufficient?
• Do other journals have safeguards in place that would help identify a pattern such as this one more easily?
Advice:
The Forum advised that any suggested citations to a paper must advance the argument within the article. There can be circumstances where there are genuine suggestions for additional citations which may improve the quality of the paper, but these should not be a condition of acceptance. However, this case appears to be a blatant example of problematic and unethical behaviour. The Forum agreed with the actions of the journal and commended the journal in terms of educating their handling editors. The Forum suggested that the journal may wish to add to their decision letters that acceptance is not contingent on adding specific references suggested by editors. The journal could also review all the decision letters before they are sent out. Although this could be quite labour intensive, it would prevent these patterns of behaviour in the future.
The journal may also wish to consider providing more education for reviewers with a reminder of their responsibilities. The editor may wish to share the COPE Ethical Guidelines for Peer Reviewers.
Follow up:
The journal is working on implementing additional steps in the submission process to prevent similar issues in the future. The editor considers the case closed.
For Peer Review Week 2017, COPE held a Webinar on the current issues in Peer Review, moderated by Heather Tierney, Managing Editor of Journals and Ethics Policy at the American Chemical Society, and COPE Council Member.
The guest speakers were:
Tony Ross-Hellauer, Scientific Manager at the OPENAire2020 project, University of Göttinge;
Jessica Polka, Director of ASAPbio
Samantha Hindle, ASAPbio Ambassador
Elizabeth Moylan, Senior Editor Research Integrity, Biomed Central and COPE Council Member
Written by COPE Council Version 1 September 2017 How to cite this COPE Council. COPE Discussion Document: Who 'owns' peer reviews? September 2017. https://doi.org/10.24318/rouP8ld4
Our COPE materials are available to use under the Creative Commons Attribution-NonCommercial-NoDerivs license https://creativecommons.org/licenses/by-nc-nd/4.0/
Attribution — You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they
endorse you or your use of the work).
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Full page history
19 October 2020
Added link to Version 1: https://publicationethics.org/files/u7140/Who_Owns_Peer_Reviews_Discussion_Document_Web.pdf
We received an email from a reader relating to the ethics statement in a research article published in 2011. The article presented data collected at a clinic relating to a controversial area in medicine. The ethics statement in the article indicates that, in accordance with regional guidelines, the research ethics committee deemed that the study was a service evaluation and formal ethical review was not required.
Using the reference number cited in the article, the reader obtained the relevant documents from the research ethics committee via a freedom of information request. The reader argued that the documents from the ethics committee related to data that predated what was presented in the article. A review of the documents indicated that this appeared to be the case. In addition, the reader argued that service evaluations should not be presented as research articles as these are two separate things.
The editor of the journal wrote to the author of the article and asked for comment on the issues raised. The author replied that there had been regular contact with the ethics committee as the service period of the clinic was extended, and the ethics committee continued to indicate that the data were being collected as part of a service evaluation and further ethical review was not required. In addition, the data were collected anonymously, which would further exempt the study from requiring formal ethical approval. The ethics committee also provided the authors with a letter indicating that “this letter …may be provided to a journal or other body as evidence that ethical approval is not required under [the regional] research governance arrangements”.
The author indicated that similar requests had been made in the past and that, due to the controversial area of the work, many attempts were being made to retract articles that used the data from the clinic. Attempting to prevent further queries, the author asked the institutional head of research to post a public statement indicating that the work was conducted appropriately and met the highest ethical standards. As requested, the head of research issued a statement on the institutional website in support of the work.
The editor then responded to the reader indicating that the journal was satisfied with the author’s response and the support of the head of research. The reader was not satisfied with the editor’s response and forwarded the details of the case to a high profile blogger who writes extensively on this controversial area of medicine. The blogger then posted a blog criticising both the article and the journal’s handling of the case. The blog was shared widely on social media. From the journal’s perspective, the blog was inaccurate, misrepresentative and damaging to the publisher’s reputation.
Question(s) for the COPE Forum • Should we allow data collected in service evaluations to be published as research articles? In medical journals, this is often seen as an acceptable exception; however, if research ethics committees are declaring a study "not research", should journals do the same? • Should the journal have posted a correction on the article to provide a more detailed ethics statement, bearing in mind that anything labelled a "correction" in a controversial area would be misinterpreted as an error in the research by the critics? • How should journals respond to blog posts that they feel portray them unfairly and are damaging to the publisher's reputation?
Advice:
The Forum suggested that perhaps the issue is not whether or not the service evaluation is research, but was the evaluation carried out in human subjects (which would require a sound ethics approach) or were the data contained in registries where the patient data were anonymised. It would appear that the latter is the case and that this is a secondary data analysis, but the editor could ask for clarification from the author on the methodology as it needs to be adequately described. Was this a dataset developed out of a research project that had ethics approval for human subjects? If so, the secondary analysis might not need new ethics approval if additional analyses were covered in the initial approval. The methodology is confusing the issue of whether ethics approval was required. The Forum suggested these points need to be clarified before a decision on whether to add a correction on the article or to respond to the blogger.
This issue often arises with audit articles, which is often a term used for service evaluations. There is a contradiction in that journals publish research articles and yet audits or service evaluations are not thought of as research requiring ethics approval. However, it is up to the ethics committees and their procedures to decide what is research for the purposes of ethics approval. Separately, journals need to decide what they can publish so it is the editor’s decision on what to publish in their journal, irrespective of the decision of the ethics committee.
The Forum suggested that the journal may need to provide more information or specific guidelines for authors on what they mean when they say they accept waiving of ethics approval for service evaluations. What is meant by service evaluations?
The Forum agreed that posting a correction may be excessive and perhaps a short editor’s note would be more appropriate. The Forum advised against responding to the blogger and getting into a spiral of communication that could become problematic. A suggestion was to write an editorial on the concepts more broadly and how the journal’s policy is going to evolve in the future regarding secondary research being conducted as service evaluations/audits/quality improvement reporting and what the ethics requirements will be in the future. What are the expectations of the journal for future submissions of service evaluations?
The Forum suggested the editor may wish to consult the SQUIRE 2.0 (Standards for QUality Improvement Reporting Excellence) guidelines on how to publish quality improvement studies, which can be found on the Equator Network website (https://www.equator-network.org/reporting-guidelines/squire/).
Follow up:
The journal chose not to respond to the blogger and considers the case closed.