research methodology
series |
|
Indian Pediatr 2021;58: 781-785 |
 |
Publication Ethics
|
Kirtisudha Mishra, 1
Aashima Dabas2
From Departments of Pediatrics, 1Chacha Nehru Bal
Chikitsalaya; and 2Maulana Azad Medical College, New Delhi, India.
Correspondence to: Dr K. Mishra, Assoc.Professor,
Department of Pediatrics, Chacha Nehru Bal Chikitsalaya, Geeta Colony,
Delhi.
Email: [email protected]
Published online: April 20, 2021;
pii: S097475591600316
|
Publications in the field of medical
literature are a matter of prestige and fame for doctors. While genuine
research contributes to the existing scientific knowledge, fraudulent
data make publication unreliable, demeans the credibility of the author
and reduces faith in science. Research misconduct includes the three
cardinal sins fabrication, falsification and plagiarism. To promote
highest standards in publication ethics, Committee on Publication Ethics
provides advice and guidance to journals and publishers. Investigators
should abide by ethical norms during the conduct of the research.
Journals also maintain editorial standards and have well-defined
policies for responding to misconduct. With an increase in medical
publications over the years, it is important for all stakeholders to
abide by publication ethics, in order to uphold the sanctity of research
and credence in science.
Keywords: Authorship, Conflict of interest,
Misconduct, Peer-review, Plagiarism, Research.
|
I ntegrity in scientific
research and publication is the
foremost essential element to determine its
credibility. Medical and research institutions should
promote good clinical practices among investi-gators and establish an
institutional ethics committee for supervision of research. Journals
should have a policy for safeguarding research data submitted to them,
detect research misconduct and ensure accuracy and reliability of
whatever is published [1].
To promote highest standards in publication ethics,
an international body named Committee on Publication Ethics (COPE) was
established to provide advice, guidance for day-to-day practice and
education modules for journals and publishers. The core practices laid
down by COPE may be followed by journals, keeping in mind the specific
national and international codes of conduct [2].
Research Integrity
Research integrity deals with Misconduct
(fabrication, falsification, or plagiarism) and Self-plagiarism
(duplicate/redundant publication, text recycling, salami-slicing) [3].
Research misconduct: This is
defined as "fabrication, falsification, or plagiarism in proposing,
performing, or reviewing research, or in reporting research results"
[3]. These three actions are considered as cardinal sins of research
conduct. Fabrication refers to the making up or construction of data or
observations that never existed. Alteration or manipulation of a value
to show desirable change is also fabrication. Falsification refers to
the alteration or manipulation of research data, protocols or results,
in an attempt to give a false impression [4]. A systematic review [5],
showed that in a total of 18 surveys, a pooled weighted average of 1.97%
(95%CI: 0.86-4.45) of scientists had self-admitted to have fabri-cated,
falsified or modified data at least once. Further, 14.12% (95% CI:
9.91-19.72) alleged falsification done by their colleagues. The authors
concluded that, consider-ing the sensitive nature of these surveys, the
true pre-valence of misconduct is expected to be higher [5].
Plagiarism has been described as the "appropriation
of another person’s ideas, processes, results, or words without giving
appropriate credit’’ [6]. Plagiarism is one of the most common form of
research misconduct, where someone else’s work (idea, data, results, or
text) is presented by an author as his/her own, without acknowledging or
taking permission from the original person/source. The Council of
Science Educators considers it a form of piracy, where there is a clear
intent of claiming credit by the offending author [4]. Plagiarism is
also defined as "an instance of someone using someone else’s
intellectual product (such as texts, ideas, or results), thereby
implying that it is their own" [7]. There is a lack of consensus
regarding what percentage of plagiarism is acceptable in a manuscript.
Conventionally, 5% or less text similarity is acceptable, while most
apex bodies/editors consider anything above 10-20% as objectionable.
However, even in less percentage of similarity, if the matching text is
copied en-block, it is liable to be considered as significant
plagiarism. Plagiarism has been categorized by COPE in to three types:
i) Clear plagiarism (unattributed use of large portions of text
and/or data and represented as one’s own original work), ii)
Minor copying of short phrases (e.g. part of a discussion of a research
paper), iii) Redundancy (i.e., copying from author’s previously
published work or self-plagiarism) [8].
Self-plagiarism: This occurs is when an author
copies text/results from his own previous publications. Though, the
originally published article was the author’s own ingenuity, its
copyright is transferred to the publisher, once the article is
published. Any copying of the work, albeit, the author’s own, is
labelled as copyright infringement. Duplicate/Redundant publication
involves publication of whole articles or substantial sections more than
once, without due notification of this fact or cross-referencing,
thereby misleading the readers to believe that this is the primary work
[8]. Text-recycling is a type of self-plagiarism where the author uses
short passages of texts or some figures from his own previous work, in
multiple instances [3]. The first full report of the primary outcomes of
a research is considered a primary publication, while secondary
publications are additional reports of results of secondary objectives,
subgroup analyses, or post hoc analyses. Such additional publications
should clearly mention that these are publications of secondary
analysis/objectives and duly reference the primary publication. The
primary article should always be accepted for publication before other
reports of secondary endpoints. Such secondary publications should avoid
duplication and unjustified splitting of results across several
publications. Salami-slicing is another type of self-plagiarism, where
the same research or set of experiments is published in parts as
different papers, with an intent to increase the number of publications.
Few forms of prior publication which are not labelled as self-plagiarism
are listed in Box 1 [3].
Box 1 What is Not Self-Plagiarism
• Abstracts and posters presented during
conferences.
• Results presented at meetings.
• Results kept in databases and clinical
trials registries (data without interpretation, discussion, or
conclusions).
• Dissertations/theses in university archives.
|
Few online softwares can check for plagiarism of the
whole or a part of the document subject to whether the software is paid
or free. All softwares may not have complete access to entire published
literature or to grey literature (content that is beyond academic or
commercial publishing) which may miss detection of plagiarism at some
places.
Responding to Research Misconduct
Journals should have well-defined policies to handle
research misconduct. Editors may need to consult the journal owner (e.g.
a scholarly body/society) and the publisher for legal advice.
Most of the operational guidelines, provided by COPE
[8] suggest that the journal should initially contact the corresponding
author in writing, ideally enclosing the signed authorship statement,
stating the concern regarding the identified research misconduct. If the
reply from the corresponding author is unsatisfactory, or he admits
guilt, the submission is to be rejected with information sent to all the
authors and the institution. There should be a confidential two-way
communication between research institutions and journals. In most
instances, investigation into this matter is carried out by the research
institutions, employers, funding body, or the relevant national
statutory body rather than the journal themselves [9].
Following investigations, if an article is proven to
be fraudulent, journals may publish retractions or expressions of
concern. However, responsibility for disciplining the investigators and
ensuring responsible conduct of research lies with the institution [9].
In case of plagiarism involving minor copying of text phrases, the
review process may continue, but the corresponding author may be
apprised of the disconcerting fact in neutral terms, while asking for
reframing the copied phrases or citing appropriately with references
[8].
Research Ethics in Journal Articles
Ethics approval: Journals should
ensure that authors provide a statement mentioning approval obtained
from a registered ethics committee and that the study conforms to
recognized standard guidelines (Declaration of Helsinki/ ICMR).
Adherence to such guidelines certifies responsible conduct of research,
taking care of the autonomy, confidentiality and justice to the subjects
[10,11]. Few research protocols may be exempted from ethics review like
when there is no likely or possible harm to the study participants or
where already available information is being analyzed. However, these
studies should seek exemption from respective ethics boards before the
study begins. Case reports per se do not need any ethics approval but
need consent from the patients and/ or parents/guardians before
publication.
Ensuring anonymity: Identifying
information of any subject should not appear in an article. Authors
should mention whether written consent was obtained. CARE Guidelines may
be followed for ensuring adequacy and transparency while publishing case
reports [12]. The International Committee of Medical Journal Editors
(ICMJE) guidance states that "Informed consent should be obtained if
there is any doubt that anonymity can be maintained". For example,
masking the eye region in photographs of patients is inadequate
protection of anonymity [12].When publishing family genograms, journals
should require consent from family members [14].
Registration of trials: Publication of
clinical trials requires a prospective registration of the trial in
national/international registries, which should be included in the text
of the main manuscript.
Reporting standards: Authors are required
to report their study in a manner conforming to the relevant reporting
standards, e.g., Consolidated Standards of Reporting Trials (CONSORT)
for clinical trials, Standards of Reporting Observational Studies in
Epidemiology (STROBE) for observational studies [15].
Editorial Standards
Authorship criteria and dispute:
Authorship depicts contribution of the person in the research published,
and has far-reaching academic and social implications, being linked with
promotions, recognition, credit and accountability. It is different from
contributor ship which may only signify one’s participation in the study
without any authorship [16]. ICMJE recommends fulfilment of all of the
following criteria (Box 2) to be eligible as an author. Those who
do not satisfy the authorship criteria but may have helped in data
collection or supervision of the study, may be named in the
acknowledgement section.
Box 2 ICMJE Criteria for Authorship
[13]
• Substantial contributions to the conception
or design of the work; or the acquisition, analysis, or
interpretation of data for the work; AND
• Drafting the work or revising it critically
for important intellectual content; AND
• Final approval of the version to be
published; AND
• Agreement to be accountable for all aspects
of the work in ensuring that questions related to the accuracy
or integrity of any part of the work are appropriately
investigated and resolved.
Source: ICMJE Recommendations for the
conduct, reporting, editing, and publication of scholarly work
in medical journals [13].
|
The names and the order of authorship order are
confirmed by the authors cannot be modified or changed after submission
without the permission of the editors. It is recommended to decide the
authorship before starting the study to avoid confusion and
unpleasantness during manuscript submission. Sometimes, the name of a
large collaborative group may be used in authorship where individual
members may also be recognized by names for due credit. The
corresponding author is the person responsible for submission and
communication with the journal [17].
A dispute regarding authorship may occur when an
author’s contribution is not highlighted or is falsely credited.
Unethical authorship practices are usually driven by the pressure to
publish [18,19]. A common authorship misconduct is guest authorship
where peers and colleagues, are added a co-authors on mutual agreement
without having fulfilled the criteria for authorship. Authorship may
also be unjustifiably gifted to co-authors as a sign of gratitude and
for shared responsibility for work, though not fully qualifying
authorship. This is sometimes done to acknowledge supervisors or those
involved in financing. An honorary authorship is one which is granted to
a senior with administrative/hierarchical powers, even without having
contributed significantly to the development of the manuscript, to
facilitate publication, appease authorities at work (coercive
authorship) or improve credibility of the manuscript among readers [19].
The most serious form of misconduct is sold authorship where authorship
is obtained in lieu of money. Ghost authorship is the reverse of the
above forms of authorship, where there is a wrongful exclusion of a
contributor’s name. This may happen when a hired professional author is
recruited for publication purpose, or when the professional alliance or
insufficient experience of a peer may endanger the reputation of the
publication. Use of scientometric methods like tracking publication
profile and biblio-graphic data via online platforms can help detect
likely suspicious activity [20]. Around one-third of 1246 authors,
majority of whom had published in journals with impact factor between 2
and 5, reported chief reasons for gifted authorship as complimentary and
to avoid conflict at work, or increase the article acceptance rate.
Articles from Europe and Asia, especially case reports/series and those
with higher number of authors, were more likely to receive honorary
authorship [21]. A significant decline in ghost-authorship has also been
recorded with professional medical writers now receiving due credit
[22].
Contributor role taxonomy (CRediT) has been recently
introduced as a more structured format of declaring author
contributions. It shows the credit for being in lead, equal or
supportive roles for different aspects of a manuscript development,
namely, concep-tualization, methodology, software, validation, formal
analysis, data curation, investigations, resources, writing of original
draft, writing-editing and review, visualization, supervision, project
administration and funding [23]. Such systematic and structured
declaration of contribution increases transparency in authorship and
helps to identify individual authors, thus being more advantageous in
collaborative research [24]. The Consortia for Advancing Standards in
Research Administration Information (CASRAI) is a non-profit, Canada
based organization, which manages and supports CRediT taxonomy. The
Contributor Role Ontology (CRO) is an open community resource which
credits author contributions as an exten-sion of CRediT [16]. Creation
of a persistent identifier to track a person’s name, affiliation and
research work can help construct a scholarly graph for the particular
person, comprehensively displaying the research credentials. Options for
creating persistent identifiers are mentioned in
Web Table
I, which may have open or guarded display.
Pre-publication: Pre-publication of a
manuscript or its part may be done by the authors on informal platforms
other than the journal. Pre-publication does not undergo peer-review or
text formatting as per the journal’s instructions. It is thus quicker
and easier but the credibility and validity of the content in
pre-publication may be questionable. The details of pre-publication of
an article should be communicated to the journal during submission.
Funding: Complete details of
funder, the recipient, grant number and date of approval for a project
should be declared in the manuscript, in order to acknowledge the role
of funding agencies and to maintain transparency in research.
Conflict of interest: Conflict of
interest (CoI) is a relationship or acquaintance like employment, stock
ownership, partnership, honoraria, patents, etc., which may involve the
author directly or through immediate family member. This may be
perceived to introduce bias while publishing the results of a study or
during the peer-review process, even when the judgment may not have been
influenced. The declaration of such competing interests is entirely the
responsibility of the authors in order to maintain transparency. Authors
may best avoid getting into agreements with study sponsors for the
rights of study data analysis and publication. In addition to authors,
editors and reviewers should also disclose any CoI which may introduce
bias in their decisions. A disclosure statement of the editorial staff
may be declared by the journal from time to time [25].
Peer review: Peer review is a process of
independent assessment of the submitted manuscript by a reviewer,
applicable for all categories of articles, including invited reviews.
However, subjecting a manuscript to peer-review process is not mandatory
if the editorial board decides to reject it at the very outset, on the
grounds of inappropriate quality or content as per the mandate of the
journal. Peer reviewers are selected by invitation and are usually
anonymized to ensure transparency. In a single-blind review, the
identity of the reviewer is blinded from the authors, while the identity
of authors is known to the reviewer. In a double-blind review, the
identities of both reviewers and authors are blinded to each other. The
final editorial decision may not strictly abide by the reviewers’
comments, but comments of all reviewers and final editorial decision
should be shared with the reviewers of the paper for improving learning.
Reviewers should also maintain confidentiality and sanctity of the
review process, without infringement of the intellectual content of the
paper. Traditionally peer-review means commen-ting on an article before
it is accepted for publication. However, with an increase in online
journals where manuscript processing is fast-tracked, a peer-review may
be done after the publication of the article. An informal
post-publication review could be submitted at blogs or newsfeeds.
Recently, few third-party websites provide access to the reviewers and
authors to interact like PubPeer and PubMed Commons. The
post-publication review thus increases the opportunity of discussion
with more experts on the research, though the comments may get
overwhelming and may need to be moderated. Journals usually acknowledge
the contribution of peer reviewers [25]. Persistent identifiers can be
created to credit the reviewers for their quality reviews acknowledging
their contribution for further promotion and recognition [16].
Appeals: Authors can make an appeal
against an editorial decision or editorial handling process. Editors
usually acknowledge the appeal, though they may or may not revert their
decision. Appeals should however, be made only when there is a genuine
concern like technical errors or conflict of interest of peer-reviewers
involved in the review process.
Corrections/erratum: Journals may
sometimes need to publish corrections or corrigendum for previously
published information, which may include correction in authors’ names
(not addition or deletion of an author), typographical errors in results
or any modification in a reported fact in the paper which inadvertently
changed the interpretation or meaning of the statement. The corrections
in the results should not alter the conclusions drawn earlier. It can be
reported by the author or a reader and needs to be confirmed by the
authors before incorporation. An update of a previously published
guideline or recommendation is not a correction, and should be published
anew as a fresh manuscript. The corrected manuscript published in the
journal, should also be displayed with the previous version of the
article. The most recent version of the article should be cited for
reference [26].
Retractions: A manuscript is
retracted or removed from the journal if a serious degree of publication
misconduct or a gross error in reporting results is identified, after
publication of the paper. Common instances where papers have been
retracted include plagiarism, falsification of data, misclassification
or miscalculation leading to communication of wrong conclusions, or
objection by third party for fraudulent work [26]. Retracted papers can
be searched at http://retractiondatabase.org/ or
http://retractionwatch.com/ which provides the date, journal,
authors and country, as well as the reasons for retraction. The
announcement of the retracted paper should be displayed along with the
abstract and full text of the paper at all places.
Withdrawal of articles: This
pertains to removal of an already submitted article before it has been
published, usually in view of ethical misconduct, or rarely due to
author’s personal reasons.
Copyright and intellectual property:
All journals demand a written agreement by the authors for transfer
of copyright of the article, including all its contents, to the
publisher, after publication of the article. Thus, a manuscript
submitted to a journal, with a signed copy-right transfer agreement,
becomes the copyright of that journal and the authors forfeit all claims
or intellectual right over the published work. Subsequently, the
information in the article may only be used by the authors for honest
and non-malafide interests, with due permission of the editor-in-chief.
CONCLUSIONS
Publication of medical research has significant
implications for influencing public awareness, health policies,
guidelines, vaccine development, drug licensing, etc. It also determines
the credibility and honour of an author and his institution. As authors
and reviewers, fabrication, falsification, or plagiarism should be
strictly avoided. Authors should fulfill all the ICMJE authorship
criteria and disclose any potential conflicts of interest or funding. It
is our responsibility as researchers to uphold the standard and
reliability of scientific reporting by following ethical practices in
publishing.
Contributors: KSM: conceptualization; KSM, AD:
draft preparation, review and editing. Both authors approved the final
version of the manuscript.
Funding: None; Competing interests: None
stated.
REFERENCES
1. Wager E, Kleinert S. Cooperation Between
Research Insti-tutions and Journals on Research Integrity Cases:
Guidance from the Committee on Publication Ethics. Saudi J Anaesth.
2012;6:155-60.
2. Wager E. The Committee on Publication Ethics
(COPE): Objectives and achievements 1997-2012. Presse Med. 2012;
41:861-6.
3. Wiley. Best Practice Guidelines on Publishing
Ethics. [On-line]. Accessed August 1, 2020. Available from:
http://www. exchanges.wiley.com/ethicsguidelines
4. Council of Science Editors. White Paper on
Promoting Inte-grity in Scientific Journal Publications, 2012 Update
[Online]. Available from: http://www.councilscienceeditors.org.
Accessed August 1, 2020.
5. Fanelli D. How many scientists fabricate and
falsify research? A systematic review and meta-analysis of survey
data. PLoS One. 2009;29:e5738.
6. Resnik DB, Neal T, Raymond A, et al. Research
misconduct definitions adopted by US research institutions. Account
Res. 2015;22:14-21.
7. Helgesson G, Eriksson E. Plagiarism in
research. Med Health Care and Philos. 2015;18:91-101.
8. COPE. Promoting integrity in scholarly
research and its publi-cation. [Online]. Accessed August 1, 2020.
Available from: http://www.publicationethics.org
9. Graf C, Wager E, Bowman A, et al. Best
practice guidelines on publication ethics: A publisher’s
perspective. Int J Clin Pract Suppl. 2007;61:1-26.
10. Indian Council of Medical Research. National
Ethical Guide-lines for Biomedical and Health Research Involving
Human Participants. 2017. Accessed March 7, 2020. Available from:
https://www.icmr.nic.in/sites/default/ files/guidelines/ICMR_
Ethical_ Guidelines_2017.pdf
11. World Medical Association. Declaration of
Helsinki – Ethical principles for medical research involving human
subjects. Accessed March 7, 2020. Available from:
https://www.wma-declaration-of-helsinki-ethical-principles-for-medical-research-involving-human-subjects.pdf
12. Riley DS, Barber MS, Kienle GS, et al. CARE
guidelines for case reports: explanation and elaboration document. J
Clin Epidemiol. 2017;89:218-35.
13. ICMJE Recommendations for the Conduct,
Reporting, Editing, and Publication of Scholarly Work in Medical
Journals. [Online]. Accessed August 1, 2020. Available from:
http://www.icmje.org/journals-following-the-icmje-recommendations/
14. Callaway E. Deal done over HeLa cell line.
Nature. 2013;500: 132-3.
15. McLeroy KR, Garney W, Mayo-Wilson E, et al.
Scientific reporting: Raising the standards. Health Educ Behav.
2016; 43:501-8.
16. Vasilevsky NA, Hosseini M, Teplitzky S, et
al. Is authorship sufficient for today’s collaborative research? A
call for contri-butor roles. Account Res. 2021;28:23-43.
17. Street JM, Rogers WA, Israel M, et al. Credit
where credit is due? Regulation, research integrity and the
attribution of authorship in the health Sc. Soc Sci Med.
2010;70:1458-65.
18. Juyal D, Thawani V, Thaledi S, et al. The
fruits of authorship. Educ Health: Change Learn Pract. 2014;27:
217-20.
19. Kovacs J. Honorary authorship and symbolic
violence. Med Health Care and Philos. 2017;20:51-9.
20. Gureev VN, Lakizo IG, Mazov NA. Unethical
authorship in scientific publications (A Review of the Problem). Sci
Tech Inf Proc. 2019;46:219-32.
21. Al-Herz W, Haider H, Al-Bahhar M, et al.
Honorary authorship in biomedical journals: How common is it and why
does it exist? J Med Ethics. 2014;40:346-8.
22. Woolley KL, Gertel A, Hamilton CW, et al.
Time to finger point or fix? An invitation to join ongoing efforts
to promote ethical authorship and other good publication practices.
Ann Pharmacother. 2013;47:1084-7.
23. Brand A, Allen L, Altman M, et al. Beyond
authorship: Attri-bution, contribution, collaboration, and credit.
Learned Pub-lish. 2015;28:151-5.
24. Allen L, O’ Connell A, Kiermer V. How can we
ensure visibility and diversity in research contributions? How the
Contributor Role Taxonomy (CRediT) is helping the shift from
authorship to Contributor ship. Learned Publishing. 2019;32:71-4.
25. Indian Pediatrics. Instructions to authors.
Accessed August 9, 2020. Available from: https://www.indianpediatrics.net/author1.htm
26. Springer. Publishing ethics for journals. Accessed August 01,
2020. Available from:
https://www.springer.com/gp/authors-editors/editors/publishing-ethics-for-journals/4176
|
|
 |
|