Research Integrity and Compliance

Authorship Procedure

Policy Code: RS1957

Purpose

To state the processes involved in ensuring meritorious recognition of authorship for research outputs produced under the auspices of Federation University and/or by Federation University researchers.

Scope

This procedure covers all research outputs to which Federation University Australia authors make a contribution, whether internal or external, sole authored or multi-authored, and includes web-based publications. This procedure applies to:

  • All staff, including sessional staff, currently employed by the University (including those involved in research external to the University);
  • Previous staff members who conducted research while they were employed by the University;
  • All Honorary staff, Adjunct staff and volunteers associated with the University;
  • All students, including past students, of the University who engage or have engaged in research and / or research related activities.

Legislative Context

  • The Australian Code for the Responsible Conduct of Research

Definitions

Key Term - Acronym: Definition
Affiliation Formal recognition in a research output of an author’s relationship with the University, as specified in the HERDC Guidelines.
Authorship Plan An agreement between eligible authors as to potential publications and associated roles.
Branding Those elements, including graphic representations such as an institutional logo, that convey the identity and values of the University.
ERA Excellence in Research for Australia
Executive Author Senior or corresponding author carrying responsibility for liaison with publishers, communication with all authors and contributors and the maintenance of all records concerning authorship
HERDC Higher Education Research Data Collection

Actions

Inclusion of conjointly authored works in theses
  STEPS WHO IS RESPONSIBLE? COMMENTS
1.

Develop Authorship Plan

(including a dissemination/ communication strategy)

Individual authors
Executive authors
Faculties/Heads of Academic Units/Supervisors Centre Directors

For collaborations:

  • Discuss authorship and other contributions at an early stage of the project;
  • Document agreements reached including the roles and responsibilities of collaborators;
  • Review agreement periodically. 
  • Ensure authorship rights of HDR candidates are considered
2.

Appoint Executive Author

to hold responsibility for:

Individual authors Executive Authors
  • For collaborations the  authors agree upon an Executive Author
  • For sole publications, the individual author is the Executive Author

Executive Authors hold responsibility for:

  • Identifying eligible authors
  • Documenting and maintaining authorship correspondence
  • Managing communication pertaining to the work with the publisher /venue /facilitator
  • Lodging publication information and material in accordance with Federation University requirements
  • Ensuring  ‘Federation University Australia' is submitted to publication outlets /venues, in accordance with Branding Guidelines, as the institution of affiliation

Consulting with all  authors prior to submission and upon  subsequent revisions

3.  Confirm Authorship Individual authors
Executive authors
Faculties/Heads of Academic Units/Supervisors Centre Director
  • Identify all eligible authors and document their contributions
  • Extend offer of authorship to all eligible authors, including HDR candidates and document responses
  • For out-of-contact authors: if an author is deceased or cannot be contacted, the head of department or unit may give approval on their behalf, noting the reason for their unavailability and that the publication can proceed provided that there are no reasonable grounds for believing that this person would have objected to being included as an author.
4. Attribute Research Output Affiliation Executive authors Individual authors
  • Ensure Federation University Australia is attributed in the following cases:

o   Where resources and/or facilities of Federation University Australia have been used in the research leading to the output, including contribution to salary of researchers, other funding, resources, facilities, apparatus, human and administrative resources and where a FedUni staff member has acted as an adjunct at another institution;

o   Where funds for research have been directed through Federation University Australia accounts. 

  • Ensure adherence to University Branding Guidelines, where appropriate. (refer http://federation.edu.au/staff/brand-guidelines)
  • Acknowledge all research funding sources, including in-kind, grants and other forms of research finance
  • Adhere to agreed acknowledgement requirements of specific funding agencies.
5. Acknowledge Non-author Contributors Executive authors
Individual authors
  • Acknowledge all those who have contributed to the research, facilities or materials, but whose contribution does not meet authorship criteria, as defined in the Research Integrity Policy, such as laboratory assistants and technical writers.
  • Obtain and retain consent to be acknowledged from individuals who are to be named publicly.
6. Confirm Declaration of Interests

Executive authors

Individual authors

Supervisors/Heads of Academic Units

Centre Director

  • Ensure all perceived or actual conflicts of interest are declared in accordance with University policy
  • Ensure declarations are noted by relevant parties, such editors and publishers
7. Document Authorship Correspondence

Executive authors

Individual authors

Supervisors/Heads of Academic Units

Centre Director

  • Maintain all written or electronic communications in relation to authorship, including any relevant conflict of interest declarations, for a minimum of five years
  • Ensure records are able to be accessed upon request
  • Ensure staff or students, upon leaving the University, submit to their department copies of authorship records for any research outputs published within five years prior to their departure
8. Address Authorship Disputes

Executive authors

Individual authors

Executive Deans

Associate Deans (Research)

Centre Director

  • For authorship disputes between staff:

o   Where a dispute arises between authors, the immediate supervisor(s) or Executive Deans must first be consulted to attempt a local resolution. Where the Executive Dean is one of the authors or otherwise has any conflict of interest the dispute must be brought to the attention of the relevant DVC(RI).

o   Where issues cannot be resolved either at Faculty level, or the Executive Dean and the Associate Dean (Research) are in a supervisory relationship, or otherwise have a conflict of interest concerning the publication, the matter must be referred to the DVC(RI) for resolution under University procedures.

  • For allegations of misconduct in relation to authorship, refer to the University's Responsible Conduct of Research: Breaches and Misconduct Procedure
9. Submit Publication Information and Materials to the University

Executive Author

Library

  • Report all research publications to the University for the purposes of performance assessment in accordance with the requirements of HERDC and ERA (refer http://federation.edu.au/research/research-support/research-performance)
  • All publications by University researchers in conferences, journals and books should be deposited in the FedOnline.

For further information on the inclusion of conjointly authored work in a PhD by Publication, please refer to the HDR Examination Procedure.

Promulgation, compliance and monitoring

Audits of compliance with research policies will be carried out from time to time.

Supporting Documents

Responsibility

  • Vice Chancellor (Research and Innovation)
  • Authors
  • Associate Deans of Research
  • University Library
  • Faculties
  • Research Centres
  • Centre Directors

Promulgation

The "Authorship" Procedure is to be implemented throughout the University in the form of notices via:

  1. An announcement on the FedNews webpage;
  2. The 'What's New' page on the Policy Central Website;
  3. Inclusion in the University's Policy Library;
  4. Advice to Faculty Boards.

 

Implementation

Forms/Record Keeping

Title Location Responsible Officer Minimum Retention Period
Authorship Plan Executive Author Executive Author 7 years from contract expiry