Integrity in Scientific Journal Publications Heather Goodell Director, Scientific Publishing...

Integrity in Scientific Integrity in Scientific Journal PublicationsJournal Publications

Heather GoodellHeather GoodellDirector, Scientific PublishingDirector, Scientific PublishingAmerican Heart AssociationAmerican Heart Association

Chair, CSE Editorial Policy CommitteeChair, CSE Editorial Policy Committee

CSE’s White Paper on Promoting Integrity in CSE’s White Paper on Promoting Integrity in Scientific Journal PublicationsScientific Journal Publications

http://www.councilscienceeditors.org/http://www.councilscienceeditors.org/

CSE SurveyCSE Survey

An institutional official writes to you An institutional official writes to you indicating that a published paper should indicating that a published paper should be withdrawn, but none of the co-authors be withdrawn, but none of the co-authors indicates it should be withdrawn. The indicates it should be withdrawn. The institution’s investigation is ongoing.institution’s investigation is ongoing.

What do you do?What do you do? Do not take action unless the institutional official Do not take action unless the institutional official

provides evidence of research misconduct or provides evidence of research misconduct or admission of wrongdoing. admission of wrongdoing.

Write to the authors asking if the paper should Write to the authors asking if the paper should be withdrawn and do not do so unless the paper be withdrawn and do not do so unless the paper has been found to contain falsification, has been found to contain falsification, fabrication, or plagiarism. fabrication, or plagiarism.

Publish an expression of concern disclosing that Publish an expression of concern disclosing that you are aware of an ongoing institutional you are aware of an ongoing institutional investigation that may bear on the study. investigation that may bear on the study.

OtherOther

Roles and Responsibilities Roles and Responsibilities

EditorsEditors AuthorsAuthors ReviewersReviewers SponsorsSponsors

EditorsEditors

Establish policies and procedures.Establish policies and procedures. Clearly communicate those policies and Clearly communicate those policies and

procedures.procedures. Fairness, honesty, courtesy, objectivity.Fairness, honesty, courtesy, objectivity.

AuthorsAuthors ReviewersReviewers ReadersReaders

Policies and ProceduresPolicies and Procedures

Conflict of InterestConflict of Interest Conditions in which an individual holds Conditions in which an individual holds

conflicting or competing interests that could conflicting or competing interests that could bias editorial decisions. Conflicts may be bias editorial decisions. Conflicts may be potential or perceived, or they may be factual.potential or perceived, or they may be factual.

Conflict of InterestConflict of Interest

Policy should be continually updated and Policy should be continually updated and communicated to the community (publish communicated to the community (publish in the journal, online, in instructions to in the journal, online, in instructions to authors, etc).authors, etc).

Society journals may have a society COI Society journals may have a society COI and societies may strive to make society and societies may strive to make society COI and journal COI policies consistent.COI and journal COI policies consistent.

Policies for editors, authors, reviewers.Policies for editors, authors, reviewers.


Financial conflictsFinancial conflicts Stock, patents, consulting fees, speaking Stock, patents, consulting fees, speaking

fees, etc (define these categories).fees, etc (define these categories). Non-financial conflictsNon-financial conflicts

Reviewer bias (e.g. working on similar study; Reviewer bias (e.g. working on similar study; reviewing manuscripts from same institution-reviewing manuscripts from same institution-use guest editors, etc).use guest editors, etc).

Funding Source must also be declared, if Funding Source must also be declared, if applicable.applicable.


Editors are dependent on what authors Editors are dependent on what authors and reviewers tell them. Clear policies and and reviewers tell them. Clear policies and procedures are key.procedures are key.

Editors cannot be the COI “police.”Editors cannot be the COI “police.”


AuthorshipAuthorship International Committee of Medical Journal Editors International Committee of Medical Journal Editors

(ICMJE) Uniform Requirements have a definition (ICMJE) Uniform Requirements have a definition applicable to almost all fields of research.applicable to almost all fields of research.

““Authorship credit should be based on 1) substantial Authorship credit should be based on 1) substantial contributions to conception and design, or acquisition contributions to conception and design, or acquisition of data, or analysis and interpretation of data; 2) of data, or analysis and interpretation of data; 2) drafting the article or revising it critically for important drafting the article or revising it critically for important intellectual content; and 3) final approval of the intellectual content; and 3) final approval of the version to be published. Authors should meet version to be published. Authors should meet conditions 1, 2, and 3.” (www.icmje.org/#author)”conditions 1, 2, and 3.” (www.icmje.org/#author)”

AuthorshipAuthorship

Additional guidance from ICMJE available Additional guidance from ICMJE available on group authorship. on group authorship. See also AMA Manual of See also AMA Manual of Style: 10Style: 10thth ed. NY:OUP;2007:135-138. ed. NY:OUP;2007:135-138.

Some journals also have a model of Some journals also have a model of “contributorship” which is designed to “contributorship” which is designed to complement ICMJE criteria-explaining complement ICMJE criteria-explaining what each person did (design, recruitment, what each person did (design, recruitment, collecting and analyzing data, etc. See collecting and analyzing data, etc. See JAMA 1997;278:579-585.).JAMA 1997;278:579-585.).


Advertising PolicyAdvertising Policy Embargo PolicyEmbargo Policy Archive Policy (records and retention)Archive Policy (records and retention) Conflict Resolution PolicyConflict Resolution Policy Editorial IndependenceEditorial Independence

Policies and ProceduresPolicies and Procedures Clinical Trial RegistrationClinical Trial Registration

N Engl J Med 356:2734 N Engl J Med 356:2734 Data Registry guidelinesData Registry guidelines

MIAME (microarray data) checklistMIAME (microarray data) checklist((http://www.mged.org/Workgroups/MIAME/miame_checklist.htmlhttp://www.mged.org/Workgroups/MIAME/miame_checklist.html)) Genomic, proteomic data registries (NCBI).Genomic, proteomic data registries (NCBI). Nucleotide/protein sequences (GenBank or equivalent).Nucleotide/protein sequences (GenBank or equivalent).

Support the sharing of data.Support the sharing of data. Animals -U.S. National Institutes of Health ''Guide for the Care and Animals -U.S. National Institutes of Health ''Guide for the Care and

Use of Laboratory Animals'' and the Animal Welfare Acts US PL 89-Use of Laboratory Animals'' and the Animal Welfare Acts US PL 89-544;91-579;94-279 or equivalent government or institutional 544;91-579;94-279 or equivalent government or institutional guidelines.guidelines.

Statement of approval from relevant IRB/ethics committees.Statement of approval from relevant IRB/ethics committees.


Ethical PoliciesEthical Policies Make clear your policies for investigating Make clear your policies for investigating

possible misconduct or inappropriate acts in possible misconduct or inappropriate acts in the publication process.the publication process.

Lots of shades of gray, but make sure readers Lots of shades of gray, but make sure readers know that allegations of misconduct will be know that allegations of misconduct will be pursued. pursued.

Editors owe it to their communities to follow Editors owe it to their communities to follow good publication practices in this area.good publication practices in this area.

Research MisconductResearch Misconduct

No standard definition exists-U.S. No standard definition exists-U.S. agencies do not even agree. agencies do not even agree.

Generally one of these areasGenerally one of these areas Unethical treatment of research subjectsUnethical treatment of research subjects Fabrication of dataFabrication of data Falsification of dataFalsification of data PlagiarismPlagiarism

Research MisconductResearch Misconduct

Concepts of negligence and deceit central Concepts of negligence and deceit central to the definition of misconduct.to the definition of misconduct. Not every instance of harm to a subject is the Not every instance of harm to a subject is the

result of misconduct.result of misconduct. Not all inaccurate reports of data are the Not all inaccurate reports of data are the

result of misconduct.result of misconduct. Poor quality research is not misconduct Poor quality research is not misconduct

unless the investigators intended to deceive unless the investigators intended to deceive or cause harm.or cause harm.

Suspect ManuscriptsSuspect Manuscripts

Generally best to ask the corresponding Generally best to ask the corresponding author, first. Before you do anything else.author, first. Before you do anything else.

Asking all authors? Confidentiality has a Asking all authors? Confidentiality has a greater chance of being compromised.greater chance of being compromised.

Suspect ManuscriptsSuspect Manuscripts

Proceed with caution when investigating.Proceed with caution when investigating. Better to turn over to institution if author’s Better to turn over to institution if author’s

answer not satisfactory (use your answer not satisfactory (use your discretion).discretion).

Institution should be the one contacting Institution should be the one contacting relevant federal agency, if applicable.relevant federal agency, if applicable.

You must correct the literature, if You must correct the literature, if warranted. warranted.

CSE SurveyCSE Survey

An institutional official writes to you An institutional official writes to you indicating that a published paper should indicating that a published paper should be withdrawn, but none of the co-authors be withdrawn, but none of the co-authors indicates it should be withdrawn. The indicates it should be withdrawn. The institution’s investigation is ongoing.institution’s investigation is ongoing.

What do you do?What do you do? Do not take action unless the institutional official Do not take action unless the institutional official

provides evidence of research misconduct or provides evidence of research misconduct or admission of wrongdoing. 37.5% admission of wrongdoing. 37.5%

Write to the authors asking whether the paper Write to the authors asking whether the paper should not be withdrawn and do not do so should not be withdrawn and do not do so unless the paper has been found to contain unless the paper has been found to contain falsification, fabrication, or plagiarism. 33.3%falsification, fabrication, or plagiarism. 33.3%

Publish an expression of concern disclosing that Publish an expression of concern disclosing that you are aware of an ongoing institutional you are aware of an ongoing institutional investigation that may bear on the study. 16.7%investigation that may bear on the study. 16.7%

Other 12.5%Other 12.5%

What should you do?What should you do?

No clear right answer.No clear right answer. The expression of concern is one The expression of concern is one

mechanism you can use. mechanism you can use. Evidence is not proof.Evidence is not proof. Retracting too early may not give the Retracting too early may not give the

whole story. whole story. Investigations can take years and you Investigations can take years and you

might have an obligation to inform the might have an obligation to inform the readers of something…readers of something…

ORI InvestigationORI Investigation

5/97 paper submitted for data fabrication by corresponding 5/97 paper submitted for data fabrication by corresponding authorauthor

12/99 investigating committee finds research misconduct12/99 investigating committee finds research misconduct12/00 ORI told no retraction unless corresponding author 12/00 ORI told no retraction unless corresponding author

asksasks7/04 ORI makes add’l findings, asks institution to endorse7/04 ORI makes add’l findings, asks institution to endorse1/05 Institution endorses additional ORI findings1/05 Institution endorses additional ORI findings4/06 ORI advises journal to retract4/06 ORI advises journal to retract6/06 article retracted6/06 article retractedOver 9 years to correct the literature!Over 9 years to correct the literature!(source Debbie Parrish, CSE Presentation, May 2007)(source Debbie Parrish, CSE Presentation, May 2007)

Know that ORI has taken the position that Know that ORI has taken the position that journals are not among those parties that journals are not among those parties that have a need to know about an allegation have a need to know about an allegation until the federal agency review is complete.until the federal agency review is complete.

Should also consider that the institution may Should also consider that the institution may require a corrective action whether or not require a corrective action whether or not the federal agency makes a finding.the federal agency makes a finding.

(Source Debbie Parrish, CSE Presentation, May 2007)(Source Debbie Parrish, CSE Presentation, May 2007)

Research Misconduct Outside the Research Misconduct Outside the U.S.U.S.

Relatively few countries have formal Relatively few countries have formal response mechanisms.response mechanisms.

First response is usually have the First response is usually have the institution do the investigation, then they institution do the investigation, then they can report the results to the national body.can report the results to the national body.

See the CSE White Paper for more See the CSE White Paper for more specific information by country.specific information by country.

Digital Images and MisconductDigital Images and Misconduct

Rockefeller University Press guidelinesRockefeller University Press guidelines No specific feature within an image may be No specific feature within an image may be

enhanced, obscured, moved, removed, or introduced.enhanced, obscured, moved, removed, or introduced. Adjustments of brightness, contrast, or color balance Adjustments of brightness, contrast, or color balance

acceptable as long as they do not obscure, eliminate, acceptable as long as they do not obscure, eliminate, or misinterpret any information in the original.or misinterpret any information in the original.

Grouping of images from different parts of the same Grouping of images from different parts of the same gel…must be made explicit by the arrangement of the gel…must be made explicit by the arrangement of the figure…and in the text of the figure legendfigure…and in the text of the figure legend

If original data cannot be produced…acceptance may If original data cannot be produced…acceptance may be revoked. be revoked.

J. Cell Biol. 2004;1666:11-15.J. Cell Biol. 2004;1666:11-15.


RUP has defined 2 types of digital image-RUP has defined 2 types of digital image-related misconduct.related misconduct. Inappropriate manipulationInappropriate manipulation

• Adjustment of image data that violates guidelines Adjustment of image data that violates guidelines but does not affect interpretation of data.but does not affect interpretation of data.

Fraudulent manipulation.Fraudulent manipulation.• Adjustment of image data that affects interpretation Adjustment of image data that affects interpretation

of data.of data.


Investigating figuresInvestigating figures Proceed with caution, ensure author only Proceed with caution, ensure author only

presentation of data is being questioned, not presentation of data is being questioned, not scientific quality. Ask for original data.scientific quality. Ask for original data.

If misconduct suspected, follow your If misconduct suspected, follow your procedures (as discussed earlier).procedures (as discussed earlier).

Correcting the LiteratureCorrecting the Literature

Addresses unreliable information that is Addresses unreliable information that is part of the public record.part of the public record.

Enables readers to find the correct Enables readers to find the correct information.information.

Journals should take proactive role in Journals should take proactive role in publishing accurate information for its publishing accurate information for its readership.readership.


No one recognized method for addressing No one recognized method for addressing literature corrections.literature corrections.

Biomedical sciences have the most Biomedical sciences have the most experience, National Library of Medicine experience, National Library of Medicine (NLM) and ICMJE policies are a good (NLM) and ICMJE policies are a good place to start.place to start.

Correcting the LiteratureCorrecting the Literature ErrataErrata

Published changes to an earlier article. NLM does not Published changes to an earlier article. NLM does not distinguish between errors from production or errors distinguish between errors from production or errors of logic and methodology.of logic and methodology.

RetractionsRetractions Identify a citation previously published and now Identify a citation previously published and now

retracted. NLM does not distinguish between retracted. NLM does not distinguish between retractions due to honest error or scientific retractions due to honest error or scientific misconduct/plagiarism.misconduct/plagiarism.

Expressions of ConcernExpressions of Concern Introduced by ICMJE and adopted by NLM in 2004. Introduced by ICMJE and adopted by NLM in 2004.

Editor can use it to draw attention to possible Editor can use it to draw attention to possible concerns but does not correct or retract an article.concerns but does not correct or retract an article.


Authors, editors, publishers, deans, lab Authors, editors, publishers, deans, lab directors, and legal counsel can all request directors, and legal counsel can all request errata or retractions.errata or retractions.

Authors may refuse to request a retraction, Authors may refuse to request a retraction, despite a finding of misconduct.despite a finding of misconduct.

NLM requires the retraction be signed off NLM requires the retraction be signed off by any of the above parties.by any of the above parties.

Retractions do not go away, but are clearly Retractions do not go away, but are clearly linked to the original article.linked to the original article.


Look at examplesLook at examples CSE White paper has numerous examplesCSE White paper has numerous examples NLM Factsheet NLM Factsheet

(http://www.nlm.nih.gov/pubs/factsheets/errat(http://www.nlm.nih.gov/pubs/factsheets/errata.html)a.html)

Additional SourcesAdditional Sources COPE, Committee on Publication EthicsCOPE, Committee on Publication Ethicshttp://www.publicationethics.org.uk/abouthttp://www.publicationethics.org.uk/about

Flowcharts Flowcharts http://www.publicationethics.org.uk/flow-chartshttp://www.publicationethics.org.uk/flow-charts

WAMEWAMEhttp://www.wame.org/http://www.wame.org/ Best Practice Guidelines on Publication Ethics: A Best Practice Guidelines on Publication Ethics: A

Publisher’s PerspectivePublisher’s Perspectivewww.blackwellpublishing.com/publicationethicswww.blackwellpublishing.com/publicationethics ACCF/AHA Consensus Conference Report on ACCF/AHA Consensus Conference Report on

Professionalism and EthicsProfessionalism and EthicsCirculation 2004;110;2506-2549

Integrity in Scientific Journal Publications Heather Goodell Director, Scientific Publishing...

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