Policy

Authorship - Policy

Printer-friendly version
Body

1. Purpose and Objectives

This policy sets out the responsibility and requirements for determining authorship on publications.

Researchers must familiarise themselves with this policy and endeavour to ensure that its principles are observed at all times. Significant departures from the standards of conduct outlined in this policy may amount to misconduct on the part of the individual researcher.

2. Definitions, Terms, Acronyms

Organisational Unit Head - Head of School, Institute Director or equivalent.

Publication - dissemination of findings, whether in hardcopy, electronic or other tangible form, including: making them available in refereed and non-refereed books or journals; web-pages; eLearning resource packages; conference presentations, papers, proceedings and posters; exhibitions; films; professional and institutional repositories; and patents, registered designs and like intellectual property.

Researchers - Staff, Occupational Trainees, Academic Title Holders, Visiting Academics, Industry Fellows, Honorary and Adjunct Title Holders, Emeritus Professors, and Research Higher Degree Candidates of the University who conduct research at or on behalf of the University.

The Code - Australian Code for the Responsible Conduct of Research (2007) or any subsequent published revision therof.

3. Policy Scope/Coverage

This policy applies to all researchers.

4. Policy Statement

This policy describes the underlying principles of determining authorship and is based on guidelines provided in the Code. This policy should be read in conjunction with the Code and with PPL 4.20.02 Responsible Conduct of Research and PPL 4.20.05 Research Misconduct.

5. Author Eligibility

5.1 Attribution of authorship depends to some extent on the discipline but, in all cases, must be based on substantive contribution to at least one, and usually more than one, of the following activities:

(1) conception and design of the project;

(2) analysis and interpretation of the research data on which the publication is based;

(3) drafting significant parts of the publication or critically reviewing it so as to contribute to the interpretation.

Each author must have participated sufficiently in the publication to take public responsibility for at least that part of the work they contributed. All persons designated as authors must qualify for and agree to authorship, and all those who qualify must be offered authorship.

5.2 Authorship must not be offered to those who do not meet the requirements set out above. The right to authorship is not tied to position or profession: ghost, gift, or honorary authorship is unacceptable. For example, none of the following contributions justifies including a person as an author:

(1) being an Organisational Unit Head, holding other positions of authority, or personal friendship with the authors;

(2) providing a technical contribution but no other intellectual input to the project or work to be submitted;

(3) providing routine assistance in some aspects of the project, the acquisition of funding, or general supervision of the research team or research higher degree candidate;

(4) providing data that have already been published or materials obtained from third parties, but with no other intellectual input.

5.3 Where relevant, the term ‘editor’ should be applied only to a person who has played a significant role in the intellectual shaping of a publication by applying the same authorship criteria as in clause 5.1.

5.4 Where appropriate, other persons who contributed to the research but do not meet the criteria for authorship (clause 5.1) should be named in the Acknowledgements. This includes those who have contributed facilities, materials or technical assistance or technical writing assistance. Where individuals are to be acknowledged, authors should make all reasonable steps to obtain their written or email consent.

5.5 Authorship disputes are to be resolved as described in the authorship dispute resolution procedure (PPL 4.20.04b).  

6. Author Responsibilities

6.1 Collaborating researchers should periodically review agreed authorship and author order of a publication.

6.2 Each author of a research publication takes responsibility for the validity, originality, and integrity of the research that they contributed, or permitted to have been contributed, to the publication.

6.3 All researchers must take all reasonable steps to ensure that their findings are accurate and properly reported. If they become aware subsequently that their findings were inaccurate and/or improperly reported, then researchers must correct the record as soon as possible.

6.4 All researchers have a responsibility to accurately assign credit for contributions to a research publication or outcome. Prior to submitting a work for review, all authors must certify that they:

(1) agree to submission of the publication;

(2) are eligible to be an author as defined in section 5.1 of this policy;

(3) agree to be an author on the publication; and

(4) agree to the order of authors listed on the publication.

6.5 Each author must be offered the opportunity to review and approve the final version of the work to be submitted for publication. 

6.6 A researcher must, prior to publication of any research that names the researcher as an author, assure themselves that:

(1) authorship has been offered to all people, including students, who meet the criteria for authorship listed above in clause 5.1; and

(2) appropriate steps have been taken to obtain each person's written or email notification of acceptance or disclaimer of authorship within a reasonable time of the offer being made.

6.7 Where a publication has several authors, one author must take responsibility for:

(1) recording authorship and managing communications about the publication with the co-authors and editor/publisher;

(2) ensuring that all authors acknowledge their authorship and contribution in writing or by email before submitting the work for review;

and keeping a record of such correspondence for the period described in PPL 1.60.4.

6.8 Researchers must include information acknowledging all sources of financial and in-kind support for the research they are publishing.

6.9 Researchers must include information acknowledging any potential conflicts of interest for the research they are publishing.

Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward

Procedures

Authorship - Procedures

Printer-friendly version
Body

1. Purpose and Objectives

This procedure outlines the processes and responsibilities associated with authorship on publications.  This procedure enacts PPL 4.20.04a.

2. Definitions, Terms, Acronyms

Organisational Unit Head - Head of School, Institute Director or equivalent.

Publication - dissemination of findings, whether in hardcopy, electronic or other tangible form, including: making them available in refereed and non-refereed books or journals; web-pages; eLearning resource packages; conference presentations, papers, proceedings and posters; exhibitions; films; professional and institutional repositories; and patents, registered designs and like intellectual property.

Researchers - Staff, Occupational Trainees, Academic Title Holders, Visiting Academics, Industry Fellows Honorary and Adjunct Title Holders, Emeritus Professors and Research Higher Degree Candidates of the University who conduct research at or on behalf of the University.

3. Procedures Scope/Coverage

This procedure applies to all researchers.

4. Procedures Statement

Author eligibility and author order should be agreed upon as early as reasonably possible following the commencement of a project. Authorship must be formally certified or acknowledged before publications are submitted. This process must include acknowledgement of those assisting the research, correct attribution of publications of all UQ researchers to The University of Queensland, acknowledgement of funding sources and statement of relevant conflicts of interests by the authors. Disputes on resolution on authorship must be resolved according to these procedures.

5. Record of Authorship Acknowledgement

5.1 Agreements about author eligibility and attribution should be reviewed regularly. Author eligibility must comply with section 5 of PPL 4.20.04a.

5.2 Author certification can be recorded using various methods.  Many journals and publishers require authors to provide a certification on the work to be submitted. If authors are required to sign such a certification, then a copy of the form is sufficient for the purposes of clause 6.4 of PPL 4.20.04a.

In the event that authors are not required to sign such a certification prior to submission, then:

(a) an Authorship Acknowledgement form may be completed, or

(b) authorship certification as outlined in clause 6.4 of PPL 4.20.04a can be obtained via  email agreement between the corresponding author and the co-authors.

Regardless of the method used to obtain author certification, each author must maintain a record for each submission.

5.3 The corresponding author (or designated senior UQ author where the corresponding author is not from UQ) should ensure that authorship acknowledgement and acceptance is completed before submitting the work for publication consideration (eg. peer review, web posting etc.)

5.4 If an author is deceased or cannot be contacted following reasonable efforts, the publication submission may proceed provided that there are no grounds to believe that this person would have objected to being included as an author.

5.5 A consensual decision-making process is most desirable for the determination of the order of authors on a publication.

6. Attribution of Publication Affiliation

6.1 All UQ authors are required to cite their institutional affiliation as ‘The University of Queensland’.

UQ will not, otherwise, be credited in any external analysis of publication data, which may lead to UQ not receiving appropriate academic and financial recognition from the work of its staff, students and affiliates.

6.2 It is expected that, where appropriate, affiliates will list The University of Queensland as an affiliation in the by line of publications, in addition to their primary affiliation (in accordance with PPL 5.20.05 Academic Titles for Health Professionals, PPL 5.20.07 Visiting Academic, PPL 5.20.14 Industry Fellow, PPL 5.20.15 Honorary and Adjunct Title Holders, and PPL 5.20.16 Emeritus Professor.

Inclusion of 'The University of Queensland' in the by line is required in cases where any UQ expertise, resources, facilities or services (including Library access) have been used in the research.

6.3 If clarification is required as to how this procedure may be implemented in particular circumstances, advice should be sought from the Director, Scholarly Publishing and Digitisation Service, UQ Library (SPADS) or Office of the Deputy Vice-Chancellor (Research) prior to submitting research outputs for publication.

6.4 Do not use acronyms (ie. 'UQ' or 'Qld University') as these may be mapped to a different institution (eg. 'University of Quebec' or 'QUT' rather than 'University of Queensland').

The relevant Institute/School/Centre may be listed as a secondary and/or tertiary affiliation, where there is sufficient space to do so, and never in place of The University of Queensland.

Listing 'The University of Queensland' first is the most effective method for ensuring that UQ (and therefore the relevant Institute, School or Centre) receives appropriate recognition.

6.5 The following examples are included to provide guidance on applying this procedure:

Researcher Name, The University of Queensland, Institute/School/Centre, (Division if applicable) Qld 4072, Australia

Other campuses:

Researcher Name, The University of Queensland, Institute/School/Centre, Gatton Qld 4343, Australia

Researcher Name, The University of Queensland, Institute/School/Centre, Herston Qld 4006, Australia

7. Acknowledgement of Funding Sources

7.1 Where research has been funded by an external agency or individual or by an internal university scheme, the source of funds should always be acknowledged in a manner consistent with that described in the relevant funding agreement.

8. Acknowledgement of Ethics Approvals

8.1 Where research is of a kind requiring ethical approval to proceed, it is preferable that those approvals are recorded within the publication arising from that research with reference to the unique identifier of the approving committee.

9. Conflict of Interest

9.1 Researchers should declare relevant conflicts of interest.

10. Authorship Dispute Resolution for Staff

10.1 Disputes over the inclusion, exclusion and/or order of potential authors sometimes arise. Authors involved in disputes over authorship should first seek to resolve the dispute by discussion amongst the persons involved.

10.2 Disputes between authors which cannot be resolved by the persons concerned should be referred to the Organisational Unit Head who will attempt to resolve the dispute through mediation.

10.3 If the dispute still cannot be resolved, it should be referred to the supervisor of the Organisational Unit Head or their delegate.

10.4 If the authorship dispute involves an Executive Dean or the Graduate School Dean, then the Deputy Vice-Chancellor (Research) or their delegate should be approached for a determination.

10.5 In working towards resolution or determination, the Executive Dean or delegate may require the following information:

(1) A copy of the record of authorship acknowledgement if the material has been submitted for publication;

(2) Copies of any key documentation to show how each author has met the criteria set out in PPL 4.20.04a 5.1 and has given final approval of the version to be published;

(3) A list of all those believed to be valid authors, and why;

(4) A list of those believed to have contributed to the paper and who should be fully acknowledged (without being an author), and why.

10.6 If the authorship dispute cannot be resolved according to 10.1-10.5 of this procedure, the matter should be referred to the Deputy Vice-Chancellor (Research) or their delegate.

10.7 At any time the matter may be referred according to PPL 4.20.05b Research Misconduct Procedures.

11. Authorship Dispute Resolution for Coursework Students

11.1 The resolution of student authorship grievances must be carried out in accordance with PPL 3.60.02 Student Grievance Resolution.

 

Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward

Guidelines

Authorship - Guidelines

Printer-friendly version
Body

1.  Purpose and Objectives

These guidelines help enact PPL 4.20.04a and 4.20.04b.

2.  Definitions, Terms, Acronyms

No entries for this document

3.  Guidelines Scope/Coverage

This guidelines apply to all University researchers.

4.  Guidelines Statement

These guidelines provide tools to assist with authorship and author order determinations on publications. 

5.  Models to Promote Authorship and Author Order Discussion

American Psychological Association (1992) Ethical principles of psychologists and code of conduct. American Psychologist 47: 1597-1611.

Beveridge CA and Morris SE (2007) Order of merit. Nature 448: 508, www.authorder.com.

International Committee of Medical Journal Editors (2010) Uniform requirements for manuscripts submitted to biomedical journals, April 2010, http://www.icmje.org/.

Graf C, Wager E, Bowman A, Fiack S, Scott-Lichter D and Robinson A (2007) Best practice guidelines on publication ethics: a publisher's perspective. International Journal of Clinical Practice 61(s152): 1-26, http://www.blackwellpublishing.com/publicationethics/

Winston RB (1985) A suggested procedure for determining order of authorship in research publications. Journal of Counseling and Development 63: 515-518.

 

Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward

Forms

Printer-friendly version
Authorship Acknowledgement - Form

Authorship Acknowledgement - Form

Printer-friendly version
Body
Description: 

The Authorship Acknowledgement form may be completed by researchers to certify that all authors have agreed to authorship on the work to be submitted.

If the journal/publication outlet already requires authors to provide such certification, then they are not required to complete the Authorship Acknowledgement form, but should retain a copy of the journal/publishers form on file in their own records.

Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward
Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward
Custodians
Deputy Vice-Chancellor (Research)
Professor Robyn Ward