Publishing Ethics
The formal component of the scholarly communication system, that is to say the publication of an article in a peer reviewed learned journal, serves many purposes outside of simple communication. It is a building block in the development of a coherent and respected network of knowledge. It is prima facie evidence for the quality and impact of the research work of its authors and by extension the institutions that support them. It supports, and is itself an example, of the scientific method. For all these reasons and more, it is important to lay down standards of expected ethical behaviour by all parties involved in the act of publishing: the author, the journal editor, the peer reviewer, the publisher and the society for society-owned or sponsored journals. This includes all parties treating each other with respect and dignity and without discrimination, harassment, bullying or retaliation.
Duties of the Publisher
Guardianship of the scholarly record
These guidelines have been written with all these requirements in mind but especially recognising that it is an important role of the publisher to support the huge efforts made by journal editors, and the often unsung volunteer work undertaken by peer reviewers, in maintaining the integrity of the scholarly record. Although ethical codes inevitably concentrate on the infractions that sometimes occur, it is a tribute to scholarly practice that the system works so well and that problems are comparatively rare. The publisher has a supporting, investing and nurturing role in the scholarly communication process but is also ultimately responsible for ensuring that best practice is followed in its publications
JSR-A, takes its duties of guardianship over the scholarly record extremely seriously. Our journals record "the minutes of science" and we recognise our responsibilities as the keeper of those "minutes" in all our policies, not least the ethical guidelines that we have adopted here.
JSR-A is adopting these policies and procedures to support editors, reviewers and authors in performing their ethical duties under these guidelines. We work with other publishers and industry associations to set standards for best practices on ethical matters, errors and retractions.
Safeguard editorial independence
We are committed to ensuring that the potential for advertising, reprint or other commercial revenue has no impact or influence on editorial decisions
Collaborate to set industry best practice
We promote best practice by offering editors membership of the Committee on Publication Ethics (COPE) and providing editors with Crossref Similarity Check reports for all submissions to our editorial systems.
Provide editors with technical, procedural & legal support
We support editors in communications with other journals and/or publishers where this is useful to editors and are prepared to provide specialised legal review and counsel if necessary.
Educate researchers on publishing ethics
We also provide extensive education and advice on publishing ethics standards, particularly for early career researchers
Competing interests for editors who are employees of JSR-A
Editors of JSR-A’s journals who are employees are required to report any competing or conflicting interests that could affect, or be perceived to affect, their editorial judgement. Competing interests must be reported as soon as they arise, and in any case through an annual declaration, so that they can be assessed and mitigated or resolved. Editorial competing interests may be disclosed on the journal’s website for ongoing competing interests (such as holding a patent), and/or on published papers for competing interests related to the specific paper.
Competing interests for editors include non-financial interests, such as:
Current academic affiliations or other editorial roles. Examples include: employment, consultancies, professional affiliations, advisory positions, board memberships, or acting as an expert witness (in each case whether paid or unpaid).
Editors who are JSR's employees are required to comply with JSR-A's policy on the publication of research articles in JSR-A journal which discourages them from submitting research papers for publication in JSR journals, other than when the research was conducted before they joined JSR or in exceptional situations such as where the work was presented at a conference and the full conference proceedings are eventually published in an JSR journal. In all cases where a research paper is submitted for publication in an JSR journal, the JSR employee must disclose the conflict to the editor of the journal upon submission and the journal will ensure that all editorial processes are fully independent of the editor-author. If the article is accepted for publication, the article’s declaration of interest statement should disclose that Elsevier is the current employer of an author and that the peer review was fully independent of said author.
All such editors must also comply with JSR’s policy regarding non-involvement of editors in papers which they have written or which have been written by family members or colleagues or which relate to products or services in which the editor has an interest.
In addition, editorial staff are forbidden to use information acquired through their work for personal gain.
Duties of Editors
Publication decisions
The editor of a learned journal is solely and independently responsible for deciding which of the articles submitted to the journal should be published, often working in conjunction with the relevant society (for society-owned or sponsored journals)The validation of the work in question and its importance to researchers and readers must always underwrite such decisions. The editor may be guided by the policies of the journal's editorial board and constrained by such legal requirements as shall then be in force regarding issues such as libel, copyright infringement and plagiarism. The editor may confer with other editors or reviewers (or society officers) in making these decisions.
Peer review
The editor shall ensure that the peer review process is fair, unbiased, and timely. Research articles must typically be reviewed by at least two external and independent reviewers, and where necessary the editor should seek additional opinions.
The editor shall select reviewers who have suitable expertise in the relevant field, taking account of the need for appropriate, inclusive and diverse representation. The editor shall follow best practice in avoiding the selection of fraudulent peer reviewers. The editor shall review all disclosures of potential conflicts of interest and suggestions for self-citation made by reviewers in order to determine whether there is any potential for bias.
Fair play
The editor should evaluate manuscripts for their intellectual content without regard to race, gender, sexual orientation, religious belief, ethnic origin, citizenship, or political philosophy of the authors. When nominating potential editorial board members, the editor shall take account of the need for appropriate, inclusive and diverse representation.
The editorial policies of the journal should encourage transparency and complete, honest reporting, and the editor should ensure that peer reviewers and authors have a clear understanding of what is expected of them. The editor shall use the journal’s standard electronic submission system for all journal communications.
The editor shall establish, along with the publisher, a transparent mechanism for appeal against editorial decisions.
Journal metrics
The editor must not attempt to influence the journal’s ranking by artificially increasing any journal metric. In particular, the editor shall not require that references to that (or any other) journal’s articles be included except for genuine scholarly reasons and authors should not be required to include references to the editor’s own articles or products and services in which the editor has an interest.
Confidentiality
The editor must protect the confidentiality of all material submitted to the journal and all communications with reviewers, unless otherwise agreed with the relevant authors and reviewers. In exceptional circumstances and in consultation with the publisher, the editor may share limited information with editors of other journals, institutions, and other organizations that investigate cases of research misconduct where deemed necessary to investigate suspected ethical breaches
Unless the journal is operating an open peer-review system and/or reviewers have agreed to disclose their names, the editor must protect reviewers’ identities.
Unpublished materials disclosed in a submitted manuscript must not be used in an editor's own research without the express written consent of the author. Privileged information or ideas obtained through peer review must be kept confidential and not used for personal advantage.
The use of generative AI and AI-assisted technologies in the journal editorial process
This policy has been triggered by the rise of generative AI and AI-assisted technologies* and aims to provide greater transparency and guidance to authors, editors and reviewers. JSR-A will monitor ongoing developments in this area closely and will adjust or refine the policy as appropriate. The following guidance is specifically for editors.
A submitted manuscript must be treated as a confidential document. Editors should not upload a submitted manuscript or any part of it into a generative AI tool as this may violate the authors’ confidentiality and proprietary rights and, where the paper contains personally identifiable information, may breach data privacy rights.
This confidentiality requirement extends to all communication about the manuscript including any notification or decision letters as they may contain confidential information about the manuscript and/or the authors. For this reason, editors should not upload their letters into an AI tool, even if it is just for the purpose of improving language and readability.
Peer review is at the heart of the scientific ecosystem and JSR-A abides by the highest standards of integrity in this process. Managing the editorial evaluation of a scientific manuscript implies responsibilities that can only be attributed to humans. Generative AI or AI-assisted technologies should not be used by editors to assist in the evaluation or decision-making process of a manuscript as the critical thinking and original assessment needed for this work is outside of the scope of this technology and there is a risk that the technology will generate incorrect, incomplete or biased conclusions about the manuscript. The editor is responsible and accountable for the editorial process, the final decision and the communication thereof to the authors.
Declaration of competing interests
Any potential editorial conflicts of interest should be declared to the publisher in writing prior to the appointment of the editor, and then updated if and when new conflicts arise. The publisher may publish such declarations in the journal.
The editor must not be involved in decisions about papers which s/he has written him/herself or have been written by family members or colleagues or which relate to products or services in which the editor has an interest. Further, any such submission must be subject to all of the journal’s usual procedures, peer review must be handled independently of the relevant author/editor and their research groups, and there should be a clear statement to this effect on any such paper that is published
Vigilance over the published record
The editor should work to safeguard the integrity of the published record by reviewing and assessing reported or suspected misconduct (research, publication, reviewer and editorial), in conjunction with the publisher (or society).
Such measures will generally include contacting the author of the manuscript or paper and giving due consideration to the respective complaint or claims made, but may also include further communications to the relevant institutions and research bodies. The editor shall further make appropriate use of the publisher’s systems for the detection of misconduct, such as plagiarism.
An editor presented with convincing evidence of misconduct should coordinate with the publisher (and/or society) to arrange the prompt publication of a correction, retraction, expression of concern, or other correction to the record, as may be relevant.
Duties of Reviewers
Contribution to editorial decisions
Peer review assists the editor in making editorial decisions and through the editorial communications with the author may also assist the author in improving the paper. Peer review is an essential component of formal scholarly communication, and lies at the heart of the scientific method. In addition to the specific ethics-related duties described below, reviewers are asked generally to treat authors and their work as they would like to be treated themselves and to observe good reviewing etiquette.
Any selected referee who feels unqualified to review the research reported in a manuscript or knows that its prompt review will be impossible should notify the editor and decline to participate in the review process.
Confidentiality
Any manuscripts received for review must be treated as confidential documents. Reviewers must not share the review or information about the paper with anyone or contact the authors directly without permission from the editor.
Some editors encourage discussion with colleagues or co-reviewing exercises, but reviewers should first discuss this with the editor in order to ensure that confidentiality is observed and that participants receive suitable credit.
Unpublished materials disclosed in a submitted manuscript must not be used in a reviewer’s own research without the express written consent of the author. Privileged information or ideas obtained through peer review must be kept confidential and not used for personal advantage.
The use of generative AI and AI-assisted technologies in the journal peer review process
This policy has been triggered by the rise of generative AI and AI-assisted technologies* and aims to provide greater transparency and guidance to authors, editors and reviewers. JSR-A will monitor ongoing developments in this area closely and will adjust or refine the policy as appropriate. The following guidance is specifically for reviewers.
When a researcher is invited to review another researcher’s paper, the manuscript must be treated as a confidential document. Reviewers should not upload a submitted manuscript or any part of it into a generative AI tool as this may violate the authors’ confidentiality and proprietary rights and, where the paper contains personally identifiable information, may breach data privacy rights.
This confidentiality requirement extends to the peer review report, as it may contain confidential information about the manuscript and/or the authors. For this reason, reviewers should not upload their peer review report into an AI tool, even if it is just for the purpose of improving language and readability.
Peer review is at the heart of the scientific ecosystem and Elsevier abides by the highest standards of integrity in this process. Reviewing a scientific manuscript implies responsibilities that can only be attributed to humans. Generative AI or AI-assisted technologies should not be used by reviewers to assist in the scientific review of a paper as the critical thinking and original assessment needed for peer review is outside of the scope of this technology and there is a risk that the technology will generate incorrect, incomplete or biased conclusions about the manuscript. The reviewer is responsible and accountable for the content of the review report.
Alertness to ethical issues
A reviewer should be alert to potential ethical issues in the paper and should bring these to the attention of the editor, including any substantial similarity or overlap between the manuscript under consideration and any other published paper of which the reviewer has personal knowledge. Any statement that an observation, derivation, or argument had been previously reported should be accompanied by the relevant citation.
Standards of objectivity & competing interests
Reviews should be conducted objectively. Reviewers should be aware of any personal bias they may have and take this into account when reviewing a paper. Personal criticism of the author is inappropriate. Referees should express their views clearly with supporting arguments.
Reviewers should consult the Editor before agreeing to review a paper where they have potential conflicts of interest resulting from competitive, collaborative, or other relationships or connections with any of the authors, companies, or institutions connected to the papers.
If a reviewer suggests that an author includes citations to the reviewer’s (or their associates’) work, this must be for genuine scientific reasons and not with the intention of increasing the reviewer’s citation count or enhancing the visibility of their work (or that of their associates).
Duties of Authors
Reporting standards
Authors of reports of original research should present an accurate account of the work performed as well as an objective discussion of its significance. Underlying data should be represented accurately in the paper. A paper should contain sufficient detail and references to permit others to replicate the work. Fraudulent or knowingly inaccurate statements constitute unethical behaviour and are unacceptable.
Review and professional publication articles should also be accurate and objective, and editorial ‘opinion’ works should be clearly identified as such.
Data access and retention
Authors may be asked to provide the research data supporting their paper for editorial review and/or to comply with the open data requirements of the journal. Authors should be prepared to provide public access to such data, if practicable, and should be prepared to retain such data for a reasonable number of years after publication. Authors may refer to their journal’s Guide for Authors for further details.
Originality and acknowledgement of sources
The authors should ensure that they have written entirely original works, and if the authors have used the work and/or words of others, that this has been appropriately cited or quoted and permission has been obtained where necessary.
Proper acknowledgment of the work of others must always be given. Authors should cite publications that have influenced the reported work and that give the work appropriate context within the larger scholarly record. Information obtained privately, as in conversation, correspondence, or discussion with third parties, must not be used or reported without explicit, written permission from the source.
Plagiarism takes many forms, from ‘passing off’ another’s paper as the author’s own paper, to copying or paraphrasing substantial parts of another’s paper (without attribution), to claiming results from research conducted by others. Plagiarism in all its forms constitutes unethical behaviour and is unacceptable.
Multiple, redundant or concurrent publication
An author should not in general publish manuscripts describing essentially the same research in more than one journal of primary publication. Submitting the same manuscript to more than one journal concurrently constitutes unethical behaviour and is unacceptable.
In general, an author should not submit for consideration in another journal a paper that has been published previously, except in the form of an abstract or as part of a published lecture or academic thesis or as an electronic preprint.
Publication of some kinds of articles (e.g. clinical guidelines, translations) in more than one journal is sometimes justifiable, provided certain conditions are met. The authors and editors of the journals concerned must agree to the secondary publication, which must reflect the same data and interpretation of the primary document. The primary reference must be cited in the secondary publication.
Confidentiality
Information obtained in the course of confidential services, such as refereeing manuscripts or grant applications, must not be used without the explicit written permission of the author of the work involved in these services.
Authorship of the paper
Authorship should be limited to those who have made a significant contribution to the conception, design, execution, or interpretation of the reported study. All those who have made substantial contributions should be listed as co-authors.
Where there are others who have participated in certain substantive aspects of the paper (e.g. language editing or medical writing), they should be recognised in the acknowledgements section.
The corresponding author should ensure that all appropriate co-authors and no inappropriate co-authors are included on the paper, and that all co-authors have seen and approved the final version of the paper and have agreed to its submission for publication.
Authors are expected to consider carefully the list and order of authors before submitting their manuscript and provide the definitive list of authors at the time of the original submission. Only in exceptional circumstances will the Editor consider (at their discretion) the addition, deletion or rearrangement of authors after the manuscript has been submitted and the author must clearly flag any such request to the Editor. All authors must agree with any such addition, removal or rearrangement.
Authors take collective responsibility for the work. Each individual author is accountable for ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved.
The use of generative AI and AI-assisted technologies in scientific writing
This policy has been triggered by the rise of generative AI and AI-assisted technologies which are expected to increasingly be used by content creators. The policy aims to provide greater transparency and guidance to authors, readers, reviewers, editors and contributors. JSR-A will monitor this development and will adjust or refine this policy when appropriate. Please note the policy only refers to the writing process, and not to the use of AI tools to analyse and draw insights from data as part of the research process.
Where authors use generative AI and AI-assisted technologies in the writing process, these technologies should only be used to improve readability and language of the work. Applying the technology should be done with human oversight and control and authors should carefully review and edit the result, because AI can generate authoritative-sounding output that can be incorrect, incomplete or biased. The authors are ultimately responsible and accountable for the contents of the work.
Authors should disclose in their manuscript the use of AI and AI-assisted technologies and a statement will appear in the published work. Declaring the use of these technologies supports transparency and trust between authors, readers, reviewers, editors and contributors and facilitates compliance with the terms of use of the relevant tool or technology.
Authors should not list AI and AI-assisted technologies as an author or co-author, nor cite AI as an author. Authorship implies responsibilities and tasks that can only be attributed to and performed by humans. Each (co-) author is accountable for ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved and authorship requires the ability to approve the final version of the work and agree to its submission. Authors are also responsible for ensuring that the work is original, that the stated authors qualify for authorship, and the work does not infringe third party rights.
The use of generative AI and AI-assisted tools in figures, images and artwork
We do not permit the use of Generative AI or AI-assisted tools to create or alter images in submitted manuscripts. This may include enhancing, obscuring, moving, removing, or introducing a specific feature within an image or figure. Adjustments of brightness, contrast, or color balance are acceptable if and as long as they do not obscure or eliminate any information present in the original. Image forensics tools or specialized software might be applied to submitted manuscripts to identify suspected image irregularities.
The only exception is if the use of AI or AI-assisted tools is part of the research design or research methods (such as in AI-assisted imaging approaches to generate or interpret the underlying research data, for example in the field of biomedical imaging). If this is done, such use must be described in a reproducible manner in the methods section. This should include an explanation of how the AI or AI-assisted tools were used in the image creation or alteration process, and the name of the model or tool, version and extension numbers, and manufacturer. Authors should adhere to the AI software’s specific usage policies and ensure correct content attribution. Where applicable, authors could be asked to provide pre-AI-adjusted versions of images and/or the composite raw images used to create the final submitted versions, for editorial assessment.
The use of generative AI or AI-assisted tools in the production of artwork such as for graphical abstracts is not permitted. The use of generative AI in the production of cover art may in some cases be allowed, if the author obtains prior permission from the journal editor and publisher, can demonstrate that all necessary rights have been cleared for the use of the relevant material, and ensures that there is correct content attribution.
September 29, 2024
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