SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer Operated

Mental Health Services
Publication Policy (07/31/02)
Addendum (05/31/02) 

The Publication Policy will remain in existence, under the Steering Committee, during the course of as well as after the SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer-operated Mental Health Services funding until the data are made available for public use.

 

A. Terms Used in this Policy

 

For the purposes of this policy the definitions of commonly used terms are provided below.

 

1.    "Site" refers to the research organization, consumer-operated organization, and traditional providers of the SAMHSA/CMHS Cooperative Agreement to Evaluate Consumer-operated Mental Health Services:

- Mount Sinai School of Medicine; Advocacy Unlimited; Connecticut Department of Mental Health and Addiction Services; and the University of Connecticut in Connecticut;

- Peer Center, Inc in Florida, subcontracting with Florida Mental Health Institute and Florida International University; Henderson Mental Health Center in Fort Lauderdale;

- The University of Chicago Center for Psychiatric Rehabilitation in Illinois, GROW of Illinois, Janet Wattles Mental Health Center and Provena Behavioral Health;

-  Boston University Center for Psychiatric Rehabilitation;

- The Edmund S. Muskie School of Public Service, University of Southern Maine and the Portland Coalition for the Psychiatrically Labeled in Maine;

- Friends Connection of the Mental Health Association in Southeastern Pennsylvania; Philadelphia Office of Mental Health; and the University of Pennsylvania Center for Mental Health Policy and Services Research in Pennsylvania;

-  Building Recovery of Individual Dreams and Goals (BRIDGES) and Vanderbilt University Medical Center in Tennessee.

 

N.B.  Each site should list the COSP, research organization, and traditional providers for their site, with the organization receiving the funding put first.  Sites are responsible for updating this list as the study progresses.

 

2. The “Publications Work Group” (PWG) is appointed by the Steering Committee, to develop the Publication Policy and carry out the tasks outlined.  Each site, plus the Coordinating Center and Federal Representatives, must appoint a member to the Publications Work Group.

 

3.  "Collaborating Stakeholders" may or may not have been listed on the initial grant proposals, but they must have played a substantial role some time during the course of the four years of the study.  Persons listed in the original proposals or rosters of participants from the sites who have not played an active role in the study would not be considered collaborating stakeholders.

 

4. "Steering Committee" refers to the existing SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer-operated Mental Health Services Steering Committee, which is composed of the principal investigators of each site, the consumer representative from each site, the Coordinating Center (MIMH, ROW), and the government project officers from CMHS.

 

5. "Publication" and "paper" refer to written publications in newsletters, journals and books.  "Presentation" refers to oral presentations.  Publications, papers, and presentation covered (in whole or in part) within this policy are described below:

 

a) "Foundation papers" refer to key cross-site papers that address the major questions of the GFA.  These papers will be defined through a collaboration of all persons on the Steering Committee.

 

b) "Cross-site papers" (not included as foundation papers) refer to papers that report general findings using data collected from all cooperating sites.  All ideas for cross-site papers will be submitted to the PWG, discussed and summarized by the work group, and recommended to the SC.

 

c) "Sub-cluster papers" refer to papers where a sub-group of collaborating stakeholders report findings to research questions addressed at their particular sites (e.g., drop-in center environment).

d) "Site-only papers" refer to publications reporting on data from the Common Protocol or multi-site study for one site only.

 

e) "Site-specific papers" refer to publications reporting information only from the author's participating site, using information/data from items/work developed for study at that site.

 

f)  "Cross-site or sub-cluster presentations" refer to oral presentation of cross-site or sub-cluster information as described above.

 

g) "Site-specific presentations" refer to oral presentation of site-specific or site only information as described above.

 

 

B. Roles

 

1. The Publication Work Group (PWG) will be responsible for creating a policy for reporting information and research findings of the SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer Operated Mental Health Services.  It is also responsible for implementing tasks outlined in the publication policy.

 

2. Steering Committee (SC) responsibilities are delineated within this policy.  The Steering Committee has final approval over Publication Workgroup recommendations and activity.

 

3.   All authors have the responsibility of assuring that publications are sensitive to the issues of the consumer population.  Consultation with Consumer Advisory Panel (CAP) members is encouraged.

 

 

C. Publication Policy

 

1.    No papers should be submitted on the common protocol as outcomes (specifically, the five areas covered in the GFA:  empowerment, employment, housing, social inclusion, and satisfaction with services) or the common protocol costs as outcomes until the foundation papers are accepted for publication.  All other publications are welcome.

 

2. Procedures for Foundation Papers:

 

a) The SC has primary responsibility to plan, conduct, analyze, and publish information, results, interpretations, and conclusions of studies from  the multi-site SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer Operated Mental Health Services.

 

b) The SC retains custody of, and primary rights to, the data developed under the SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer Operated Mental Health Services awards, subject to Government rights of access and consistent with current SAMHSA policy.

 

c) The PWG will develop and submit for SC approval an organizational plan for the writing of foundation papers from this project.  This plan will include a list of the foundation papers to be written and a sequence and timeline for completion of these papers.  The PWG will take a proactive role in encouraging publications on particular topics and in organizing both a sequence and a timeline for their completion.  In cases where two or more authors propose to write on a similar topic, the PWG may advise authors to combine topics, re-focus the purposes of the papers, or consolidate expertise.

 

d) The development of this list of foundation papers will respect the following principles: equitable involvement of collaborating stakeholders in the project; maximal involvement of expertise appropriate to the topic; and timely dissemination.

 

e) The PWG, with the approval of Steering Committee, will take the lead in organizing interested parties to work on the foundation papers that summarize results across sites.

 

f) First authorship will generally be guided by the following principle; the first author is the person who has contributed substantially to the conceptualization of the questions, design, and analysis of the proposed paper.  Submission of a request to take a lead on a paper does not guarantee first authorship.

 

g) Any lead author who is not able to meet the SC timelines will yield their right to lead author to another investigator according to the guidelines laid out in this policy.

 

h) An acknowledgment statement and disclaimer will be placed in a footnote for all papers, regardless who the actual authors are.  The acknowledgement and disclaimer statements are placed at the end of this policy.

 

i) The first author of a Foundation Paper must submit a draft for review prior to submitting the paper to a journal or other outside review body.  The draft is to be posted on the free drive of the COSP website.  The first author notifies COSP members of the paper’s availability for review on the COSP admin listserv;  send the announcement to CC.

 

j) Any COSP collaborating stakeholder has two weeks to provide review comments to the first author.  Authors are encouraged to incorporate review comments into the manuscript; however, final decision about revisions remains with the manuscript authors.

 

k) In the rare event that a COSP collaborating stakeholder has “serious concern” about any parts of a manuscript, he or she can request specific changes in the paper.  If the author refuses to make these changes, the SC will be asked to mediate.

 

l) As decided on the teleconference of 5/31/02, papers should include a statement in the Method Section, Results Section, or Authors Notes specifying the version of the Baseline data set used in the analyses.  The version of the Baseline data set is stamped on the CD distributed by the coordinating center.

 

 

 

3. Procedures for Cross-site and Sub-cluster Papers

 

a) When an individual wishes to propose a cross-site or sub-cluster paper that is not included on the Foundation list, the individual who wishes to be lead author will circulate an outline of the paper, including a proposed timeline, on the PWG Listserv, inviting participation of other investigators. Being the first person to request to take the lead on a paper does not guarantee first authorship. 

 

b) If two or more individuals wish to take the lead on a similar paper in a similar arena, or anyone feels that two suggested topics overlap too much to be separate papers, or in the case of any other dispute, the first attempt at resolving the differences should be made by the persons involved.  If a mutually satisfactory agreement cannot be negotiated, the dispute will be settled by a majority vote of the Steering Committee. 

 

c) In the course of analyzing data and writing up a specified paper, authors are not permitted to stray significantly from the original outline without Publications Work Group approval.

 

d) If a proposed timeline is not met and a satisfactory revised timeline is not proposed, the Publications Work Group may re-assign lead authorship within two months of the missed deadline.

 

e)  First authors are expected to follow the review procedures outlined for Foundation Papers in C1.h-k.

 

f) As decided on the teleconference of 5/31/02, papers should include a statement in the Method Section, Results Section, or Authors Notes specifying the version of the Baseline data set used in the analyses.  The version of the Baseline data set is stamped on the CD distributed by the coordinating center.

 

 

 

 

4. Procedures for Site-specific or Site-only Papers

 

a) Site-specific papers should report findings that are exclusive to that site's data collection and intellectual property.

 

b) Site-specific papers are not subject to SC approval. Authors should be respectful of the SAMHSA/CMHS Cooperative Agreement to Consumer Operated Services Steering Committee's values and public policy issues.

 

c) Use of the standard disclaimer and the SAMHSA acknowledgement provided in the acknowledgment section should always be included.

 

d) All submissions should be sent to the Coordinating Center for the project's Archives.

 

e) Any paper that publishes data from the common measures, even if it includes data from only one site, must acknowledge the multi-site study and be reviewed by the PWG.

 

f)  First authors of site-only papers must submit papers for review as outlined for Foundation Papers in C1.i-k.

 

 

5. Procedures for presentations

 

a) Lists of all site-specific presentations should  be included in the sites' quarterly reports to CMHS and are not subject to SC approval.

 

b) Cross-site and sub-cluster presentation abstracts must be circulated to the Steering Committee Listserv to make sure there is no overlap within any venue.

 

c) A CAP representative should be present for all cross-site presentations, when possible.

 

d) Site-specific presentations should follow guidelines delineated above for 'site-specific papers' when at all possible.

 

 

6. Data Access

 

a) The Coordinating Center has lead responsibility for being the repository of multi-site data, for analyzing the data, and for disseminating multi-site results.

 

b)  Once data files have been cleaned and edited by the Coordinating Center (CC), each study site will have access to the data files for its site.  Sites should check with the CC to make sure that they have the most recent version of their data.

 

c) Analysis of data from two or more sites will be done by the CC upon written request and approval of the SC.  Foundation and cross-site analyses will be given precedence over any additional requests of the CC to do analysis.

 

d) A SC subgroup, including members of the PWG, will be formed to make recommendations to the SC on what constructed variables to include in a public use data set.

 

e)   All data sets will be made available to SC members 12 months after the CC funding has ended.

 

f)  "A de-identified data set (inclusive of all common protocol data and without site identification) will, at the earliest possible date, be circulated (on disks in ASCII format) so that the authors involved in a particular paper that rely on a CC analysis may have a chance to consider their results/conclusions."

 

g) All data sets will be made available to the larger research community 12 months after their release to the SC.

 

 

7. Resolution of Disputes and Authorship Guidelines

 

a) If there is a dispute concerning any issues regarding publication from the SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer Operated Services project or data access, that cannot be satisfactorily resolved according to other provisions of this policy, the dispute will be settled by a majority vote of the Steering Committee.

 

b) No one should be listed as an author of any publication who does not play a substantive role in the conceptualization, interpretation, and/or execution of the data analyses or the writing of the manuscript.  All authors originally listed and expressing interest should be given an equal opportunity to participate and provide input.

 

c) The lead  author will take responsibility for working out an order of authorship that is satisfactory to all persons who ask to be authors according to the guidelines of this policy.

 

 

 

 

 

D.  Site Identification

 

The members of the SC recognize the sensitivity of site identification.  Therefore, unless all sites whose data are used in a particular paper agree to identify sites by name, sites will be identified by randomly assigned number only.  This randomly assigned number will be different for each paper so a pattern will not be detectable.

 

 

E.  Acknowledgements and Disclaimers

 

The PHS Grants Policy Statement says authors shall place a SAMHSA acknowledgement and disclaimer as appropriate on any publication.

 

Wording for this acknowledgement:

 

“This publication was made possible by grant number ________ from the US Department of Health and Human Services, Substance Abuse and Mental Health Services Administration, Center for Mental Health Services.”

 

For site specific papers, authors would inset their own grant number.  For cross-site or foundation papers, the grant number of the CC would be inserted with the additional phrase: “awarded to the MIMH Coordinating Center".

 

Additional wording for the multi-site acknowledgement

 

"The SAMHSA/CMHS Cooperative Agreements to Evaluate Consumer-Operated Services  project was funded through seven research sites.

- Mount Sinai School of Medicine (CMHS grant number SM-52372); Advocacy Unlimited; Connecticut Department of Mental Health and Addiction Services; and the University of Connecticut;

- Peer Center, Inc in Florida (CMHS grant number SM-52332), subcontracting with Florida Mental Health Institute and Florida International University; Henderson Mental Health Center in Fort Lauderdale; Mental Health Client Action Network (MHCAN) and Santa Cruz County Substance Abuse and Mental Health Services;

- The University of Chicago Center for Psychiatric Rehabilitation in Illinois (CMHS grant number SM-52363), GROW of Illinois, Janet Wattles Mental Health Center and Provena Behavioral Health;

- Boston University, Center for Psychiatric Rehabilitation (CMHS grant number SM-52352) COSP: St. Louis Empowerment Center, St. Louis MO Traditional Providers: Places for People and BJC Behavioral Healthcare, St. Louis, MO

- The Edmund S. Muskie School of Public Service, University of Southern Maine (CMHS grant number SM-52362); the Portland Coalition for the Psychiatrically Labeled in Maine; Catholic Charities Maine Support, Recovery Services, and Shalom House Inc;

- Friends Connection of the Mental Health Association in Southeastern
Pennsylvania (CMHS grant number SM-52355); Philadelphia Office of Mental Health; and the University of Pennsylvania Center for Mental Health Policy and Services Research in Pennsylvania;
- BRIDGES (Tennessee Mental Health Consumers' Association), Michigan State University Department of Psychology (CMHS grant number SM--52367), Vanderbilt University Department of Psychiatry.

 

Coordinating Center:  Missouri Institute of Mental Health (CMHS grant number SM-52328), R.O.W.

Federal Representatives:  CMHS, SAMHSA

 

The Principal Investigator is responsible for submitting any changes to the list of collaborators via the SC listserv.

 

Disclaimer wording:

Contents of this paper are solely the responsibility of the authors and do not necessarily represent the official views of DHHS, SAMHSA, CMHS, or the other collaborating partners.