PUBLICATION ETHICS AND EDITORIAL POLICIES

UP State Journal of Otorhinolaryngology and Head & Neck Surgery (UPJOHNS)

1. Publication Ethics

1.1 General Publication Ethics

The UP State Journal of Otorhinolaryngology and Head & Neck Surgery (UPJOHNS) adheres to internationally recognized ethical standards and follows the guidelines of:

• Committee on Publication Ethics (COPE)
• International Committee of Medical Journal Editors (ICMJE)
• World Association of Medical Editors (WAME)
• DOAJ Principles of Transparency and Best Practice

All stakeholders must comply with these ethical standards. Allegations of misconduct are handled in accordance with COPE guidelines.

All published articles are assigned Digital Object Identifiers (DOIs) through Crossref.
The journal is a Crossref member and participates in Crossmark and reference linking, ensuring persistent identification and citation.

The DOI is displayed on each published article and included in article metadata.

1.2 Ethical Oversight and Editorial Accountability

• The Editor-in-Chief ensures ethical compliance
• Decisions based on merit, originality, and relevance
• No commercial influence
• Ethical issues handled per COPE

1.3 Authorship Criteria

Authorship is based on ICMJE criteria. Authors must:

• Make substantial contributions
• Draft or critically revise the manuscript
• Approve the final version
• Accept accountability for the work

All authors must approve submission. Changes in authorship require written consent of all authors and editorial approval.

1.4 Author Declarations

Authors must confirm:

• Originality and exclusive submission
• Approval by all authors
• Permissions for copyrighted material
• Disclosure of funding and conflicts of interest

Mandatory Statements:

• Funding Statement
• Conflict of Interest Statement
• Acknowledgments (if applicable)

The corresponding author is responsible for communication and integrity.

1.5 Policy on Preprints

• Submission of manuscripts previously posted as preprints is allowed
• Preprint status must be disclosed at submission. Preprints are not considered prior publication.
• Manuscripts must not be under active review elsewhere
• See also Self-Archiving Policy (Section 4.2)

1.6 Peer Review Process

UPJOHNS follows a double-blind peer review process in which:

• Authors and reviewers remain anonymous to each other
• Each manuscript is reviewed by at least two independent reviewers
• The Editor-in-Chief has full and independent authority over all editorial decisions
• The process is free from commercial influence
• Average time to first decision is approximately 4–6 weeks

Step-wise Workflow

• Initial Editorial Screening
• Manuscripts are checked for scope, originality, formatting, and ethical compliance.
• Submissions not meeting journal standards may be rejected at this stage.
• Plagiarism Check
• All submissions are screened using plagiarism detection software (e.g., iThenticate).
• Assignment to Handling Editor
• A qualified editor is assigned to manage the review process.
• Reviewer Selection
• At least two independent expert reviewers are invited.
• Reviewers are selected based on expertise and absence of conflicts of interest.
• Double-Blind Peer Review
• Authors and reviewers remain anonymous to each other.
• Reviewers evaluate scientific quality, methodology, ethics, and relevance.
• Reviewer Recommendations
• Accept / Minor Revision / Major Revision / Reject
• Editorial Decision
• Final decision is made by the Editor-in-Chief based on reviewer reports.
• Additional reviewers may be consulted if required.
• Revision Process
• Authors respond to reviewer comments and submit revised manuscripts.
• Re-review is conducted when necessary.
• Final Decision
• Acceptance is based on scientific merit and compliance with journal policies.

REVIEWER BOARD MEMBERS

 

Name	Designation	Department	Institution	City	Country
Dr. Veerendra Verma	Professor	ENT	King George’s Medical University (KGMU)	Lucknow	India
Dr. Ravi Sankar	Professor & Head	Neuro-otology	SGPGI	Lucknow	India
Dr. Ashish C. Agarwal	Professor & Head	ENT	RML Institute of Medical Sciences	Lucknow	India
Dr. Kranti Bhawana	Professor & Head	ENT	AIIMS	Patna	India
Dr. Kapil Sikka	Professor	ENT	AIIMS	New Delhi	India
Dr. Rudra Prakash	Assistant Professor	Head & Neck Surgery	SGPGI	Lucknow	India
Dr. Nazrin	Assistant Professor	Head & Neck Surgery	SGPGI	Lucknow	India
Dr. Brijendra Baser	Director	ENT & Facial Plastic Surgery	Akash Nose Clinic	Indore	India
Dr. Saurabh Varshney	Professor & Head	ENT	AIIMS	Rishikesh	India
Dr. Dharmendra Kumar	Professor; Principal	ENT	BRD Medical College	Gorakhpur	India

 

1.7 Policy on Confidentiality (Editorial Handling)

• Manuscripts are treated as confidential documents
• Editors and reviewers must not disclose or use unpublished data
• Confidentiality is maintained before, during, and after review

1.8 Policy on Competing Interests in Editorial Process

• Editors/reviewers must recuse themselves in case of conflict
• Alternative reviewers/editors are assigned
• Conflicts are managed transparently

1.9 Policy on Citation Manipulation

The journal prohibits:

• Excessive self-citation
• Coercive citation practices

Violations may lead to rejection.

1.10 Policy on Inclusive and Non-Discriminatory Language

• Authors must use respectful and inclusive language
• No discriminatory or stigmatizing content
• Editorial decisions are free from bias based on gender, ethnicity, religion, nationality, or affiliation

1.11 Policy on Ethical Complaints and Whistleblowing

• The journal encourages reporting of misconduct
• Complaints are handled confidentially
• Whistleblowers are protected
• No retaliation is permitted

1.12 Policy on Human and Animal Rights

• Human studies must follow the Declaration of Helsinki
• Informed consent is mandatory
• Patient identity must be protected
• Animal research must follow institutional and national guidelines
• Ethical approval details must be provided

1.13 Informed Consent and Patient Confidentiality

• Written informed consent is required
• Identifiable information requires explicit permission
• Editors may request proof of consent

1.14 Clinical Trial Transparency

• Mandatory registration in recognized registries (e.g., CTRI)
• Registration number must be included
• Transparent reporting of protocols required

1.15 Policy on Corrections of Ethical Errors

• Ethical issues post-publication are corrected promptly
• Actions include:
• Erratum/Corrigendum
• Expression of Concern
• Retraction for serious issues
• Linked notices

See also Section 5.1 for withdrawal and retraction procedures

1.16 Policy on Artificial Intelligence (AI)

• AI cannot be authors
• Use must be disclosed
• Authors responsible for content

 

2. Research Ethics and Data Integrity

2.1 Research Ethics

• Ethical approval (IEC/IRB) required
• Declaration of Helsinki compliance
• Informed consent mandatory

Special Cases:

• Vulnerable groups → guardian consent
• Animal studies → institutional guidelines
• Case reports → explicit consent

Clinical trials must be registered.

2.2 Data Integrity and Misconduct

• No fabrication, falsification, or plagiarism
• No duplicate submission
• Plagiarism screening mandatory

Misconduct → rejection, retraction, or institutional notification.

2.3 Plagiarism Policy

All manuscripts are screened using plagiarism detection software (e.g., iThenticate).

• Manuscripts with significant similarity above 15% (excluding references and standard phrases) may lead to rejection
• Minor overlap may be returned to authors for revision at the editor’s discretion

2.4 Handling of Misconduct

• COPE-based investigation
• Author response opportunity
• Institutional notification if needed

2.5 Data Reproducibility Policy

Authors are encouraged to share data and must provide sufficient methodological detail to ensure reproducibility of results

Where applicable, datasets, protocols, and analytical methods should be clearly described.

3. Editorial and Peer Review Policies

3.1 Type of Peer Review

• Double-blind system; strict confidentiality; no identifying information.

3.2 Editorial Workflow

1. Initial screening
2. Plagiarism check
3. Reviewer assignment
4. Peer review
5. Recommendations
6. Editorial decision
7. Revision

Timeline: 4–6 weeks to first decision

Ethical Oversight: COPE-based handling of disputes and appeals

3.3 Reviewer Responsibilities

Reviewers must declare any conflicts of interest before accepting a review assignment

General: Confidentiality, objectivity, COI declaration
Before Review: Expertise, availability, no conflict
During Review: Scientific merit, no bias, no misuse
Report: Clear, evidence-based

Recommendations: Accept / Minor / Major / Reject

Post-review: Respond to queries, report concerns

Misconduct: Leads to removal

3.4 Reviewer Selection Policy

• Based on expertise, qualifications, publications
• Independent and conflict-free
• Encourages diversity (geography, gender, institutions)

3.5 Conflict of Interest and Funding

Mandatory disclosure; published with articles.

3.6 Appeals and Complaints

• Appeals must include detailed justification
• Appeals are reviewed by the Editor-in-Chief and, where necessary, an independent editorial board member
• Additional reviewers may be consulted
• The final decision is binding

All complaints are handled as per COPE guidelines.

3.7 Editorial Independence

• Independent of sponsors
• Editor-in-Chief has full authority

4. Publishing and Access Policies

4.1 Copyright and Open Access

• Authors retain full copyright of their work.
• All articles are published under the Creative Commons Attribution License (CC BY 4.0), which permits:
• Sharing (copy and redistribute in any medium or format)
• Adaptation (remix, transform, and build upon the material)
• For any purpose, even commercially
• Provided appropriate credit is given to the original author(s).
• Authors grant the journal the right to publish and distribute the work under this license.
• License details: https://creativecommons.org/licenses/by/4.0/
• The license is clearly displayed on each article webpage and included in article metadata.

•                               

4.2 Self-Archiving Policy

Authors may deposit:

• Submitted version (preprint)
• Accepted manuscript
• Published version (Version of Record)

in institutional or subject repositories without embargo.

4.3 Digital Preservation

The journal ensures long-term digital preservation through the PKP Preservation Network (PKP PN).
All content remains permanently accessible, even if the journal ceases publication.

4.4 Publication Fees

• No APCs
• No submission fees
• No publication charges
• No hidden fees

Waiver Policy: Not applicable.

4.5 Advertising Policy

No advertisements.

4.6 Post-Publication Updates

COPE-compliant.

5. Post-Publication Policies

5.1 Article Withdrawal and Retraction

• Withdrawal before publication allowed
• Retraction for misconduct/errors
• Formal documentation required

5.2 Privacy Statement

Data used only for editorial purposes.

5.3 Data Sharing Policy

Authors are encouraged to share underlying data where possible. A data availability statement must be included in all submissions

5.4 Duplicate Publication

Not permitted.

5.5 Image Integrity

No misleading manipulation.

5.6 Direct Marketing Policy

Must be accurate and ethical.

5.7 Post-Publication Discussion Policy

The journal encourages scholarly discussion and post-publication correspondence.
Readers may submit comments, critiques, or letters to the editor regarding published articles.
Such communications may be reviewed and published at the discretion of the editorial board.

 

6. Transparency and Compliance

6.1 Website Transparency

Includes all key policies and information.

6.2 Archiving Policy

Permanent accessibility ensured.

6.3 Reporting Standards

The journal follows recognized reporting guidelines such as CONSORT, STROBE, and PRISMA

6.4 Editor Responsibilities

Fairness, confidentiality, integrity, no discrimination.

6.5 Revenue Transparency

No revenue from ads, subscriptions, or APCs.

6.6 Ownership and Management

The journal is owned and published by the Association of Otolaryngologists of India – Uttar Pradesh Chapter.

Editorial decisions remain independent of the publisher.

6.7 Editorial Governance

Structure includes:

• Editor-in-Chief
• Editorial Board
• Peer Reviewers

All editorial board members are experts in their respective fields and have consented to their roles.

6.8 Website and Contact Information

• Website: https://www.upjohns.co.in
• General Email: upaoijournal@gmail.com
• Editor: editor@upjohns.co.in
• Chairman: chairman@upjohns.co.in

6.9 Editorial Decision Transparency (Optional but Strong)

• The journal does not guarantee acceptance of submitted manuscripts.
  All decisions are based solely on editorial merit, scientific quality, and relevance.

6.10 Editorial Office Address:
Dr. Sumit Sharma
Professor & Head, Department of E.N.T.,
Dr. KNS Memorial Institute of Medical Sciences Barabanki

Pin: 225003 

6.10 Office Bearers Contact Information

Website: https://www.upjohns.co.in
General Email: upaoijournal@gmail.com
Editor: editor@upjohns.co.in
Editorial Chairman: chairman@upjohns.co.in