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Authorship procedure

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Section 1 - Preamble

(1) This Procedure is effective from 21 September 2016.

(2) This Procedure includes the following schedules:

  1. Schedule A: Authorship statement.
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Section 2 - Purpose

(3) This Procedure outlines the criteria for authorship and contributions to all research outputs and responsibilities of authors, in compliance with the Australian Code for the Responsible Conduct of Research, 2018 (the Code).

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Section 3 - Scope

(4) This Procedure applies to all publications arising from research undertaken by staff and students of Deakin University.

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Section 4 - Policy

(5) This Procedure is pursuant to the Research Conduct policy.

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Section 5 - Procedure

Criteria of authorship

(6) To be eligible as an author, a person will have had a substantial intellectual involvement in the work and meet the conditions set out in the Code.

(7) Attribution of authorship will be based on substantial contribution in a combination of the following:

  1. conception and design of the project
  2. analysis and interpretation of research data
  3. drafting significant parts of the work or critically revising it so as to contribute to the interpretation.

(8) A person not qualified to be named as an author will not be offered authorship. If they have contributed to the creation of the work in other ways, their contribution should be appropriately acknowledged.

Co-authors/multiple authors

(9) Where a work has several authors, one will be appointed as senior author to keep a record of authorship and to manage communication about the work with the publisher.

(10) A senior author must offer authorship to all people, including research students, research assistants and technicians who meet the criteria for authorship.

(11) Collaborating researchers will agree on authorship of a publication or other research output at an early stage in the research project and document this agreement in the authorship statement.

(12) The senior author should review the authorship statement periodically and consult with all other authors to ensure consistency with the criteria of authorship, before submission and any subsequent revisions.

(13) The senior author will determine the order of authorship based on an objective, fair assessment of the proportional contributions of each individual.

Reporting and Record keeping

(14) A person who qualifies as an author will not be included or excluded as an author without their permission. Reasonable efforts must be made to obtain permission and where permission is not obtained, the author will not be included. Permission must be clearly expressed in writing or retrievable electronic communication and include a brief description of their contribution to the work, or use of the Schedule A: Authorship statement.

(15) All written or electronic communications in relation to authorship will be held by authors/senior authors for a minimum of five years from publication for all research outputs contributed to by Deakin authors.

(16) If an author is a Deakin staff member or student and is deceased or cannot be contacted to sign the statement of authorship, the Head of Academic Unit may sign on their behalf, noting the reason for their unavailability, provided there is no evidence to suggest that the person would object to being named as author.

(17) Where contributing individuals are not named as authors, senior authors will retain documentary evidence of reasonable attempts made to obtain consent.

Authorship disputes

(18) Every attempt will be made to reach agreement on the authorship of a publication and the order in which authors are listed. If agreement cannot be reached, advice and assistance should be sought from the Head of Academic Unit. If necessary, formal mediation may be arranged.

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Section 6 - Definitions

(19) There are no definitions arising under this Procedure.