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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 Higher Degree by Research 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 (e.g. 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 Bronwyn Harch