Complaints & Appeals

Scope and Distinction between Complaints and Appeals

Complaints and appeals serve different purposes. A complaint concerns an objection to a process, conduct, service, or the implementation of a journal policy, whereas an appeal is a request for reconsideration of a specific editorial decision.

A complaint may concern, among other matters:

• an editorial or peer review process that is alleged not to have been conducted in accordance with journal policy;
• the conduct or actions of editors, reviewers, or journal staff;
• an alleged breach of confidentiality;
• a conflict of interest that was not disclosed or was not appropriately managed;
• serious problems in editorial communication or service;
• an allegedly inconsistent application of journal policy; or
• post-publication actions disputed by an interested party.

Routine inquiries concerning manuscript status, editorial schedules, or administrative information are not, by themselves, treated as complaints.

An appeal may be submitted against an editorial decision that substantively affects the status of a manuscript or article. An appeal must be based on grounds that can be examined, such as an alleged factual error, incorrect application of policy, procedural irregularity, or important information that is believed not to have been considered in reaching the decision.

The right to submit an appeal does not mean that every decision will automatically be subject to renewed peer review or result in a change of decision.

Submitting a Complaint or Appeal

A complaint or appeal must be submitted in writing through the journal's official contact channel and must contain sufficient information to allow proportionate consideration of the matter.

A submission should, at a minimum, explain:

• the person, matter, or case that is the subject of the complaint or appeal;
• the decision, action, or process being challenged;
• the grounds for the objection;
• relevant information, correspondence, or supporting evidence, where available; and
• the outcome or action sought by the complainant or appellant, where relevant.

Anonymous complaints may be considered where they contain sufficiently clear and verifiable information. However, anonymity or allegations unsupported by adequate information may limit the journal's ability to conduct an examination.

Personal, sensitive, or confidential information will be handled in a manner proportionate to the needs of the examination and will not be publicly disclosed without a lawful basis.

Review and Independent Handling

Each complaint or appeal will first be reviewed to determine its scope, relevance, sufficiency of information, and the appropriate party to handle it.

A complaint or appeal must be reviewed by a person without a conflict of interest in the matter. An editor whose own decision is under appeal must not determine the appeal. The Editor-in-Chief leads the review where independent; if the Editor-in-Chief has a conflict of interest concerning the manuscript or complaint, the Managing Editor leads it, provided that the Managing Editor is independent of the matter.

Where necessary:

• a representative of the publisher may assist with a complaint concerning administrative services or process, but may not reconsider, reverse, or determine an academic editorial decision;
• a party with a conflict of interest must recuse themselves from handling the matter;
• additional information may be requested from the complainant, appellant, or other relevant parties;
• documentation relating to the editorial process may be reviewed; and
• matters involving suspected ethical misconduct may be referred for handling under the applicable publication ethics policy.

Where the Editor-in-Chief cannot handle the matter independently, the Managing Editor assumes responsibility. Any academic appeal must be decided by an independent editor with editorial authority; the publisher's role is confined to administrative or service matters.

Outcomes and Communication

Complaints and appeals will be handled in a timely manner, taking into account the complexity of the matter, the need for verification, and the involvement of other parties in the review. Where additional time is required, the journal may provide information on the progress of the matter, provided that doing so does not compromise confidentiality or the integrity of the review.

Possible outcomes may include:

• upholding the previous decision or action;
• reconsidering or changing an academic editorial decision where sufficient grounds are identified, through the independent editor authorized to decide the appeal;
• taking corrective action in relation to an editorial process or procedure;
• requesting additional review or evaluation;
• referring the matter to a mechanism for handling ethical misconduct or another relevant policy; or
• closing the matter where the available information or evidence does not support the concern raised.

The outcome of a complaint or appeal will be communicated to the complainant or appellant with an adequate explanation of the basis for the decision, to the extent that such information can be provided without breaching confidentiality obligations or the rights of other parties.

Relationship with Other Editorial Policies

The complaints and appeals mechanism does not replace other editorial policies that govern the substance of particular matters.

Alleged breaches of publication ethics and integrity are handled under Publication Ethics & Malpractice. Matters concerning the conduct of peer review are related to Peer Review Process. Conflicts of interest are addressed in accordance with Conflict of Interest. Concerns relating to corrections, retractions, expressions of concern, or manuscript withdrawals should also be considered together with Corrections, Retractions, & Withdrawals.