Foreword by Robert Campbell and Sally Morris ix
Preface xi
Chapter 1: Introduction 1
What should peer review do? 2
What does peer review assume? 4
What is this book trying to achieve? 4
Chapter 2: The peer-review process – how to get going 9
The basic process 9
The people involved in running the peer-review process 10
Office organization 11
Choice of system and procedures 14
Record keeping 16
Systems available 20
Chapter 3: Manuscript submission and initial checks on completeness and suitability 25
Submission guidance to authors 26
Journal scope and editorial policy 26
Manuscript presentation 28
Manuscript submission 31
Checking and logging of submitted manuscripts 32
Transfer to editor 34
Initial assessment of suitability and rejection without external review 36
Manuscripts with language problems 38
Chapter 4: The full review process 41
Identifying and selecting appropriate reviewers 43
Reviewer information 44
How to go about identifying and selecting reviewers 48
Finding reviewers 53
To invite or not? 53
Inviting reviewers 54
Responses to invitations to review 56
Getting the manuscript and associated material to the reviewers 60
Information reviewers will require 61
Associated material needed by reviewers 63
Monitoring review progress 66
Reminding and chasing reviewers 67
Problems during review 70
Reviewers not returning reviews 71
Receiving and checking of returned reviews 73
Checking of reviews 74
The ethics of amending reviewer reports for authors 77
The ‘ideal’ report 78
Back-to-back manuscripts 82
Dealing with enquiries on manuscript status 84
Chapter 5: The decision-making process for reviewed manuscripts 87
The organizational structure for decision making 87
The decision-making process 89
Divided opinions from reviewers 91
The decisions that can be made 94
Checks to be made before communicating decisions to authors 99
Communicating the decision to the authors 102
Rebuttals and appeals from authors 103
Dealing with revisions 104
Dealing with resubmissions 107
Problems with resubmissions 109
Acceptance 110
Decision making to consistent standards and the problem of availability of space 112
Special considerations in decision making: dual-use research and the possible misuse of information 114
Chapter 6: Moving to online submission and review 119
How do you choose an online system? 120
How to prepare to move to online working 122
Evaluation of current workflow and responsibilities 123
Specification design for the journal 125
Questions and text options on the site 125
Preparation of editorial correspondence for the online site 126
Health and safety issues 127
Training and support 128
Data transfer 130
The launch and transition period 130
What to expect after going live online 132
Impact on submission numbers 132
Impact on the quality of submissions 132
Impact on geographical origin of submissions 132
Impact on reviewing and administration times 133
Problems that may be encountered and how to deal with them 133
Online systems are never closed 133
Users will grumble 133
Users needing extra support 133
Editors not using the online system properly 134
The need to work ‘offline’ occasionally 134
Users not using the online system to communicate or not mounting all relevant information 134
Responses from reviewers 135
Reviews submitted for the wrong manuscript or comments in the wrong place, and editors submitting the wrong documents or working on the wrong manuscript screen 135
Other editors or people not associated with a manuscript needing to see material 135
Submissions from the editor-in-chief 136
Reviewers requesting hard copy and/or refusing to work online 136
Users adding other people’s email addresses to their own accounts 137
A final note 137
Chapter 7: Reviewers – a precious resource 139
Thanks and feedback to reviewers 139
Reviewer training 140
Ways to recompense reviewers 142
How to develop and maintain reviewer loyalty 143
Recognition of peer review as an accredited professional activity 144
Chapter 8: The obligations and responsibilities of the people involved in peer review 147
Authors – their obligations and responsibilities 148
To act honestly 148
To choose the most appropriate journal 149
To make sure manuscripts are well presented, contain nothing inappropriate and are submitted correctly 149
To deal appropriately with all authorship issues 151
Editors – their obligations and responsibilities 158
General responsibilities 158
Responsibilities to authors 159
Responsibilities to reviewers 160
Responsibilities to readers 161
Reviewers – their obligations and responsibilities 162
Editorial office staff – their obligations and responsibilities 164
Conflicts of interest – what they are and how to deal with them 164
What are conflicts of interest? 164
How should conflicts of interest be handled? 167
Moral dilemmas 169
Political or human rights issues 169
Authors accused of criminal offences 170
Refusals by publishers to publish articles 170
Inability to complete review of a manuscript 170
Chapter 9: Misconduct in scientific research and publishing – what it is and how to deal with it 173
What types of misconduct can occur? 174
Author misconduct 174
Reviewer misconduct 182
Editor misconduct 183
How should cases of alleged or suspected misconduct be handled? 184
Where can you turn for help? 187
The publisher 188
Professional bodies 188
Scholarly publishing organizations 188
The Committee on Publication Ethics (COPE) 188
The Office of Research Integrity (ORI) 189
International Committees for Scientific Misconduct 189
Funding agencies 190
What sanctions can be imposed as a penalty for misconduct? 190
Authors found guilty of misconduct 190
Reviewers found guilty of misconduct 192
Editors found guilty of misconduct 192
Correcting the literature 192
Notification of an error 193
Expression of concern 194
Retraction of an article 194
Removal of an article 196
Replacement of an article 196
Dubious or fraudulent data remaining in the literature 197
The future 197
Appendices
Appendix I The Golden Rules and the Peer-Review Good Practice Checklist 201
Appendix II Examples of checklists, forms, guidance for reviewers and editorial letters 213
Appendix III Useful websites 269
Appendix IV Alternative models of peer review 275
Index 283
Irene Hames moved from cell biology research into scientific publishing and worked for many years on scholarly journals. She was the founding managing editor of a large international science journal for 20 years, running the editorial office and managing the peer-review process. She now works as an independent editorial consultant. She is frequently called upon to give talks and advise on editorial issues and has been a member of a number of working parties on peer review.
"…a godsend to the rookie editor taking the driving seat for the
first time and feeling understandably daunted by the
responsibility. Statements like 'no editorial office should be
without it', 'an essential resource' or 'indispensable'
unfortunately sound like clichés. In the case of this book,
however, they are all true. In fact, I think I will need a second
copy for when one of my colleagues pinches this one!"
(Learned Publishing). “By writing a book on peer review and
manuscript management, Irene Hames has helped millions of readers,
thousands of authors and hundreds of reviewers and editors to reach
a higher standard for scientific publications. I benefited greatly
reading the book and warmly suggest every scientist to have it
available as a reference book on his or her book shelf when
thinking about putting together a manuscript or when invited to
serve the community as a reviewer.” (Journal of Sedimentary
Research) "Hames’ aim is to provide a manual to help editors, their
editorial colleagues, and staff, and to give practical guidance on
all aspects of peer review, creating an awareness of the issues
involved and potential problems. This she has achieved, taking the
reader from manuscript submission, through the peer review process,
to decision making… [Included are] some 80 pages of appendices.
These extremely useful checklists, forms, guidance, and sample
letters provide salient information, and act as an excellent
resource for all involved in the publication of scientific
journals. Hames offers essential instruction for editors at all
levels. Reviewers, even authors, would profit from reading this
book. But it will be of most use to those starting a new position
in the publication of scientific journals; from academic
Editor-in-Chief to Editorial Assistant, it should be prerequisite
reading." (The Lancet) "… this comprehensive, authoritative, and
useful book represents a precious resource for would-be editors
wishing to learn every aspect of manuscript management and peer
review. Established journals wishing to review and update
administrative practices, and even authors and peer reviewers may
find it helpful and informative on many aspects of the work
performed in editorial offices, which often is shrouded in
mystery." (Journal of the American Medical Association) "...a
timely and well-informed book. Newly appointed editors will find
masses of useful information and practical tips. Seasoned editors
will be inspired to reassess and refine their own procedures."
(Polar Research)
“An excellent and must-read book for journal editors … It will also
serve as a valuable resource for anyone interested or involved in
the peer-review process.” (PsycCritiques) "Irene Hames....writes
engagingly, and, from the viewpoint of her extensive experience,
provides a practical handbook that describes ways of coping with
the many day-to-day problems that must be faced by the editor and
office staff of a scientific journal...I strongly recommend it..."
(Editing Matters)
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