Research Authorship - Procedures

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Research Authorship - Procedures


Approval authority
Deputy Vice-Chancellor (Research and Innovation)
Responsible officer
Deputy Vice-Chancellor (Research and Innovation)
Designated officer
Director, Office of Research
First approved
11 April 2013
Last amended
5 January 2016
Effective start date
11 April 2013
Review date
11 April 2018
Related documents
Research - Academic Policy
Related legislation / standards
Australian Code for the Responsible Conduct of Research (2007)

1. Purpose of Procedures

These procedures set out the responsibilities for the management of Authorship in compliance with the 2007 Australian Code for the Responsible Conduct of Research and the implementation of the Research – Academic Policy. A key aim of these procedures is to ensure that the roles, responsibilities and authorities defined in the Research - Academic Policy are carried out reliably and consistently. The parties to whom these roles, responsibilities and authorities relate are:

  • Researchers
  • Executive Deans
  • Supervisors of research students

2. Determining Authorship

2.1 Researchers must offer authorship to all people including research students who meet the criteria for authorship as described in the Research - Academic Policy.

2.2 A person who qualifies as an author must not be included or excluded as an author without their permission. This should be in writing, and include a brief description of the author’s contribution to the work.

2.3 Where a handwritten signature is impractical, it is acceptable to use faxed or e-mailed consent.

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

2.5 Sometimes the editor of a significant collective work or anthology has responsibilities analogous to authorship responsibilities. In such cases similar criteria apply to ‘editor’ as to ‘author’. However, the term ‘editor’ should be applied only to a person who has played a significant role in the intellectual shaping of a publication.

2.6 At an early stage in a research project collaborating researchers should agree on authorship of a publication and should review their decisions periodically.

2.7 Prior to preparation of a manuscript if there is more than one author of a research output then:

  • one author (by agreement amongst the other authors) should be nominated as Executive Author of the whole research output and should take responsibility for identifying the contributions of all authors and record keeping and
  • in disciplines where an author’s position in an authorship list has significance researchers should reach agreement on the following:
  • the principles that will be used to determine the sequence of authors on any given publication
  • the sequence of authors
  • the contribution of each author to the final manuscript consistent with the author’s position in the authorship list

3. Recording Authorship and Acknowledging Contributors

3.1 Authorship certification can be recorded via the Statement of Authorship Form or via exchange of emails amongst co-authors.

3.2 All authors should maintain a copy of authorship certification.

3.3 The Executive Author of the research output will take responsibility for:

  • certifying that authorship has been determined in accordance with these procedures, in a fair and equitable manner, and that the listing reflects the contributions of each author
  • determining whether there are publishing restrictions or conditions and/or confidentiality requirements arising from Collaborative Agreements with third parties

3.4 Each author and co-author is required to certify authorship. Where an author is unavailable, the Executive Author may (with that author’s permission) sign on their behalf indicating the reason the author is unavailable.

3.5 Researchers must ensure that all those who have contributed to the research, facilities or materials are properly acknowledged (eg. research assistants and technical writers). These contributors should be recognised in a separate acknowledgement section. Where individuals are to be named, their written consent must be obtained.

4. Further Advice

Further advice about these procedures may be obtained by reference to the Executive Deans, Associate Deans (Research), Heads of School or the Director, Office of Research.


Statement of Authorship Form (Word Doc)


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