Peer Review Fraud Hacking the Scientific Publication .pdf


Nom original: Peer Review Fraud Hacking the Scientific Publication.pdfTitre: Peer-Review Fraud — Hacking the Scientific Publication ProcessAuteur: Haug Charlotte J.

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The

NEW ENGLA ND JOURNAL

of

MEDICINE

Perspective
december 17, 2015

Peer-Review Fraud — Hacking the Scientific Publication
Process
Charlotte J. Haug, M.D., Ph.D.

I

n August 2015, the publisher Springer retracted
64 articles from 10 different subscription journals
“after editorial checks spotted fake email addresses,
and subsequent internal investigations uncovered
fabricated peer review reports,”
according to a statement on their
website.1 The retractions came
only months after BioMed Central,
an open-access publisher also
owned by Springer, retracted 43
articles for the same reason.
“This is officially becoming a
trend,” Alison McCook wrote on
the blog Retraction Watch, referring to the increasing number of
retractions due to fabricated peer
reviews.2 Since it was first reported 3 years ago, when South Korean researcher Hyung-in Moon admitted to having invented e-mail
addresses so that he could provide “peer reviews” of his own
manuscripts, more than 250 arti-

cles have been retracted because
of fake reviews — about 15% of
the total number of retractions.
How is it possible to fake peer
review? Moon, who studies medicinal plants, had set up a simple procedure. He gave journals
recommendations for peer reviewers for his manuscripts, providing
them with names and e-mail addresses. But these addresses were
ones he created, so the requests
to review went directly to him or
his colleagues. Not surprisingly,
the editor would be sent favorable reviews — sometimes within hours after the reviewing requests had been sent out. The
fallout from Moon’s confession:

28 articles in various journals published by Informa were retracted,
and one editor resigned.3
Peter Chen, who was an engineer at Taiwan’s National Pingtung University of Education at
the time, developed a more sophisticated scheme: he constructed a
“peer review and citation ring” in
which he used 130 bogus e-mail
addresses and fabricated identities
to generate fake reviews. An editor
at one of the journals published by
Sage Publications became suspicious, sparking a lengthy and comprehensive investigation, which
resulted in the retraction of 60
articles in July 2014.
At the end of 2014, BioMed
Central and other publishers
alerted the international Committee on Publication Ethics (COPE)
to new forms of systematic attempts to manipulate journals’
peer-review processes. According

n engl j med 373;25 nejm.org december 17, 2015

The New England Journal of Medicine
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2393

PERS PE C T IV E

Peer-Review Fraud

to a statement published on
COPE’s website in January 2015,
these efforts to hijack the scholarly review system were apparently orchestrated by agencies that
first helped authors write or improve their scientific articles and
then sold them favorable peer reviews.4 BioMed Central conducted
a comprehensive investigation of
all their recently published articles
and identified 43 that were published on the basis of reviews
from fabricated reviewers. All
these articles were retracted in
March 2015.
The type of peer-review fraud
committed by Moon, Chen, and
third-party agencies can work when
journals allow or encourage authors to suggest reviewers for their
own submissions. Even though
many editors dislike this practice,
it is frequently used, for a number of reasons. One is that in
specialized fields, authors may
be best qualified to suggest suitable reviewers for the topic and
manuscript in question. Another
is that it makes life easier for
editors: finding appropriate peer
reviewers who are willing to review in a timely manner can be
both difficult and time consuming. A third reason may be that
journals and publishers are increasingly multinational. In the
past, the editor and editorial
board of a journal knew both the
scientific field it covAn audio interview
ered and the people
with Dr. Haug is
working in it, but it’s
available at NEJM.org
almost impossible to
be sufficiently well connected
when both editors and submissions come from all over the
world. Having authors suggest
the best reviewers may therefore
seem like a good idea.
In the aftermath of the recent
scandals involving fake peer re-

2394

viewers, many journals have decided to turn off the reviewerrecommendation option on their
manuscript-submission systems.
But that move may not be enough,
as the publisher Hindawi discovered this past spring. Although
Hindawi doesn’t let authors recommend reviewers for their manuscripts, it decided to examine
the peer-review records for manuscripts submitted in 2013 and 2014
for possible fraud.
The peer-review procedure
used in Hindawi’s journals depends mainly on the expertise of
its editorial board members and
the guest editors of special issues, who are responsible for supervising the review of submitted
manuscripts.5 Since the peer reviewers selected by the guest editors were not subject to any sort
of independent verification, editors themselves could undermine
the process in much the same
way that authors or third-party
agencies have done elsewhere: by
creating fake reviewer identities
and addresses from which they
submitted positive reviews endorsing publication.
And that’s exactly what happened — Hindawi’s investigation
revealed that three editors had
engaged in such fraud. When all
manuscripts handled by these
editors were examined, a total of
32 articles were identified that
had been accepted thanks to the
comments of fake reviewers. It is
unclear what motivated the guest
editors to engage in such fraud,
nor has it been determined
whether the authors of the manuscripts involved participated in
the deception in any way.
There are several lessons to be
learned from these instances of
peer-review and peer-reviewer
fraud. One is that the electronic

manuscript-handling systems that
most journals use are as vulnerable to exploitation and hacking
as other data systems. Moon and
Chen, for example, both abused a
feature of ScholarOne: the e-mail
messages sent to scholars (at
whatever address has been provided) inviting them to review a
manuscript include log-in information, and whoever receives
those messages can sign into the
system. Most other electronic
manuscript submission systems
have similar loopholes that can
easily be hacked.
The most important lesson is
that incentives work. The enormous pressure to publish and
publish fast — preferably in the
very best journals — influences
both authors and editors. This
pressure exists almost everywhere but is particularly intense
in China. It is therefore no surprise that the most inventive
ways to game the peer-review
system to get manuscripts published have come from China.
The companies mentioned above
that provide fake peer reviews all
come from China and countries
in Southeast Asia, and most of
the authors involved in these cases come from the same areas.
But it would be a mistake to look
at this as a Chinese or Asian
problem. The problem is the perverse incentive systems in scientific publishing. As long as authors are (mostly) rewarded for
publishing many articles and editors are (mostly) rewarded for
publishing them rapidly, new
ways of gaming the traditional
publication models will be invented more quickly than new control
measures can be put in place.
Disclosure forms provided by the author
are available with the full text of this article at NEJM.org.

n engl j med 373;25 nejm.org december 17, 2015

The New England Journal of Medicine
Downloaded from nejm.org on December 28, 2015. For personal use only. No other uses without permission.
Copyright © 2015 Massachusetts Medical Society. All rights reserved.

PE R S PE C T IV E

Peer-Review Fraud

Dr. Haug is an international correspondent
for the Journal.
This article was published on October 21,
2015, at NEJM.org.
1. Retraction of articles from Springer journals. London: Springer, August 18, 2015
(http://www.springer.com/gp/about-springer/
media/statements/retraction-of-articles
-from-springer-journals/735218).

2. McCook A. 64 More papers retracted for
fake reviews, this time from Springer journals.
Retraction Watch (http://retractionwatch
.com/2015/08/17/64-more-papers-retracted
-for-fake-reviews-this-time-from-springer
-journals/).
3. Ferguson C, Marcus A, Oransky I. Publishing: the peer-review scam. Nature
2014;515:480-2.
4. Committee on Publication Ethics. COPE

statement on inappropriate manipulation of
peer review processes (http://publicationethics
.org/news/cope-statement-inappropriate
-manipulation-peer-review-processes).
5. Hindawi concludes an in-depth investigation into peer review fraud. Hindawi Publishing, July 8, 2015 (http://www.hindawi.com/
statement/).
DOI: 10.1056/NEJMp1512330
Copyright © 2015 Massachusetts Medical Society.

Health Care Reform’s Unfinished Work — Remaining Barriers
to Coverage and Access
Benjamin D. Sommers, M.D., Ph.D.

T

he Affordable Care Act (ACA)
has passed its fifth birthday
and completed two enrollment
periods for coverage in the statebased insurance exchanges and
Medicaid. The U.S. uninsured rate
is lower than ever, and coverage
gains appear to be improving access to primary care and medications, affordability of care, and
self-reported health.1 But challenges for health care reform persist:
millions of Americans are still uninsured, and even for those with
coverage, substantial barriers remain to obtaining affordable,
high-quality care.
More than 30 million U.S. children and adults still lack insurance
(see pie chart). Who are they, and
what policy options exist for covering them?
One group is low-income adults
in the 20 states that haven’t expanded Medicaid under the ACA.
The law envisioned a seamless set
of insurance options: Medicaid for
people with incomes below 138%
of the poverty level and tax credits for those with incomes between 138 and 400% of the poverty level to subsidize premiums
for insurance purchased through
state-based exchanges. But 3 million to 4 million uninsured adults

in states that haven’t expanded
Medicaid are caught in the “Medicaid gap”: their incomes exceed
their states’ Medicaid eligibility
criteria but are too low to qualify
them for exchange subsidies. Several Republican-led states are still
seeking compromises to expand
Medicaid, and the Obama administration can continue to facilitate
Medicaid expansion in conservative states by supporting flexibility for alternative approaches. As
a stopgap, Congress could extend
insurance tax credits to persons
living below the poverty level who
are not Medicaid-eligible, though
they might find even heavily subsidized premiums unaffordable.
Approximately two thirds of
remaining uninsured people are
eligible for coverage but haven’t
signed up, or did so but then
dropped out. Most of them have
incomes below 400% of the poverty level and qualify for subsidized insurance.2 So why are
millions still uninsured?
Many Americans remain unaware of the ACA’s coverage
­options.3 Ongoing media and
community-based outreach —
particularly to adults with low
incomes, minimal health care experience, or cultural or language

barriers — is needed. Navigators
and other trained workers can
help people apply,3 select the most
appropriate coverage, and maneuver through coverage changes over
time. However, some states, driven
largely by political opposition to
the law, have enacted regulations
to reduce the availability of application assistance, doing their
uninsured populations a major
disservice.
For many Americans who know
about the ACA’s options but choose
not to enroll, cost is the most significant barrier. In particular,
some people with higher incomes
qualify for little or no premium
subsidy for exchange coverage.
Facing a penalty that remains
substantially lower than a year’s
worth of premiums, some have
decided against purchasing coverage. Policy options here include
increasing subsidies for higherincome families and strengthening the mandate that individuals
obtain insurance — though the
former would be quite costly and
the latter would further antagonize most opponents of the mandate. Another alternative is replacing the mandate with incentives
similar to those in Medicare
Parts B and D: higher premiums

n engl j med 373;25 nejm.org december 17, 2015

The New England Journal of Medicine
Downloaded from nejm.org on December 28, 2015. For personal use only. No other uses without permission.
Copyright © 2015 Massachusetts Medical Society. All rights reserved.

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