Published by the Reserve Bank of India, the Reserve Bank of India Occasional Papers (RBIOP) a research journal which provides a forum for publication of research work done by the RBI Staff, independently and/or in collaboration with independent researchers outside the Bank. The journal aims to publish analytical and empirical work on a broad range of issues of interest to a large audience, including policymakers and academics. Contributions to the journal are published in the form of ‘Articles’ and ‘Book Reviews’. The journal is published bi-annually, both in print and online form. It is available as an ‘open-access’ journal on the Bank’s website. The papers selected for publication are subject to an intense review by internal and external referees and fulfillment of the guidelines for publication and the code of conduct for authors laid out by the Reserve Bank of India (henceforth publisher).

We expect all authors to carefully read and understand this ethics policy before submitting their research work for consideration for RBIOP. All questions for seeking clarification may be forwarded to the editorial office by email and to Director, Development Research Group (DRG), DEPR.

I. Authors should:

• Ensure that the research work submitted is original, fully referenced and also that all authors are represented accurately.

• Ensure that the same work is not submitted, in whole or in part, to two or more places of publication at the same time, or at any time during the period when the manuscript is under review for RBIOP. Thus, an author should neither submit to RBIOP a work that is in whole or in part under review elsewhere, nor submit to another publication outlet a work that is in whole or in part under review for RBIOP.

• Ensure that the manuscript must not have been published previously or accepted for publication elsewhere, either in whole (including book chapters) or in part (including paragraphs of text or exhibits), whether in English or any other language. The only exception to the “originality” rule is a working paper/conference proceedings paper, where the paper reflects work in progress. Manuscripts that originated from unpublished dissertations are also acceptable.

• Provide accurate contact details of a designated corresponding author, who shall be deemed as fully responsible for the authorship of the paper and all communications concerning the ethical status and originality of the paper. This includes any queries or investigations that may arise, pre- or post-publication.

• Openly disclose the source of all data and third party material, including previously unpublished work by the authors themselves. Anything that could compromise the originality of the submission should be expressly avoided and/or discussed with the editor in the first instance.

• Identify any third party material that they intend to include in their article, and obtain written permission for re-use in each instance from the relevant copyright holders, if applicable. Such permissions should be submitted once the manuscript is accepted, or requires small changes to be accepted.

• The copyright is reserved with the Reserve Bank of India. Reproduction is permitted provided an acknowledgement is made.

• Expect the editor to scan submissions using plagiarism detection software (iThenticate) to check a paper’s originality before sending out for review.

• Fully cooperate with the editor in meeting any requests for source data, proof of authorship or originality in a timely manner, providing reasonable explanation for discrepancies or failures to disclose vital information.

• Fully co-operate, even after publication of the paper, if the editor and/or publisher receives adverse feedback or genuine queries on findings of the paper or evidence/explanations provided before publication of the paper.

• Submit corrigenda in a timely and responsible fashion.

• Co-operate fully with the publication of errata and with the retraction of articles found to be unethical, misleading or damaging.

• Remain in good communication with the editor(s), the publisher and any co-authors.

II. Editors should:

• Read and understand guidelines to authors and the journal’s ethics policy, and follow them during all editorial processes.

• Protect the reputation of the journal(s) and published work by only publishing content of the highest quality and relevance in a timely and responsible manner.

• Carry out thorough, objective and confidential peer review for original article submissions that pass the initial quality check and editorial assessment, in adherence with author guidelines and ethics policy.

• Provide a transparent review and publication process, as far as possible, with full respect and care paid to the author(s).

• Provide advice and give reasonable explanation and updates to authors during the submissions process till a decision has for publication is made, and thereafter, till a paper is published.

• Only accept papers based on the original merit, quality and relevance of their content.

• Advise the authors of any third party material which may be included in a paper for which they believe the permission has not been obtained.

• Be ready and prepared to publish corrections, corrigenda, errata when necessary, as well as retract articles that may be deemed as unethical, misleading or damaging.

• Remain in good communication with both the publisher and the author(s).

III. Reviewers should:

• Adhere to the Journal’s policy of a confidential peer review process. This includes, but is not restricted to, keeping their identity hidden from authors and not externally distribute any work that is passed on to them for review.

• Only accept invitations to review a research work that is relevant to their own areas of expertise and speciality.

• Review submitted work in a responsible, impartial and timely manner, and advise the editor on the structure, research methodology and findings of the paper, offering suggestions to improve the quality of the paper.

• Advise the editor on the overall quality of the paper and recommend whether the paper is suitable for publishing in RBIOP with or without revisions, minor or major in nature.

• Report any suspected ethical misconduct as part of a thorough and honest review.

• Avoid the use of unnecessarily inflammatory or offensive language in their feedback report.

• Seek advice from the editor if anything is unclear at the time of invitation.

• Remain in good communication with both the publisher and the editor.

IV. Publisher will:

• Protect the reputation of the journal and published work by only publishing content of the highest quality and relevance in a timely and responsible manner.

• Request proof of originality/accuracy from the corresponding author of any work submitted, when necessary.

• Use plagiarism detection software for any submission.

• Provide a transparent submission and publication process, with full respect for the authors. This includes detailed and dedicated instructions to authors for the journal, outlining referencing style, accepted article types and submission processes.

• Investigate thoroughly any suggestion of ethical misconduct detected during any stage of the submissions process. This can include, but is not restricted to, the following: plagiarism, redundant publication, fabrication or misuse of data and authorial disputes

• Correct substantive errors in Advance Online Publication (AOP) articles in a timely fashion, providing a date of correction of any published article.

• Retract articles that are deemed to be unethical, misleading or damaging, when necessary.

• Publish errata, corrigenda and retractions in a timely and responsible fashion, when necessary, both online in an open access format and in print version as soon as possible.

• Remain in good communication with editors, authors and reviewers.

V. What happens if ethical misconduct is detected?

If any ethical misconduct is suspected to have been committed in a work submitted to RBIOP, the Bank will ensure that a fair and transparent investigation is carried out.

All instances of misconduct will be taken very seriously and investigated with care. Consequences for misconduct may be determined on a case-by-case basis, as the nature and gravity of misconduct may vary case to case. In all cases, the authors will be given the opportunity to provide explanations for the misconduct. An editorial decision will only be made after the investigation is completed.

In most cases, incorrect use of third party material may be a result of human error, or a misunderstanding of publication ethics. Thus, authors are encouraged to read carefully the ethics policy and guidance on using third party material before submitting, to avoid the risk of misconduct. In those cases where more serious misconduct is detected, consequences could be proportionately more serious. The Bank reserves the right to request any and all information from the author(s) concerning the work, to verify its originality. If no such evidence is provided or no satisfactory explanation given, then the author(s) may be banned from resubmitting to the journal ever or a specified number of years. In extreme cases, the matter may be reported to the author’s institution for their information and appropriate action.

This policy owes its content to Committee on Publication Ethics (COPE), whose guidelines and codes of conduct are available at www.publicationethics.org. Existing policies of other publishers that detail and define ethical misconduct have also been consulted.