Handbook of Operating Procedures 7-1070
Authorship of Scholarly and Scientific Publications
Effective October 27, 2022
Executive Sponsor: Vice President for Research
Policy Owner: Director, Office of Research Support and Compliance
- Policy Statement
Authorship is the primary means for assigning responsibility and credit for intellectual contributions to scholarly work. Public trust in research relies on the integrity of the research, including honesty and transparency in the dissemination of research results. Authorship attribution must be based on substantial, intellectual contribution to the work, and individuals accepting authorship credit must be willing to assume responsibility for the validity of research output. Appropriate authorship attribution and accurate disclosure of author affiliations are essential for enabling the scholarly community and the general public to identify those responsible for the disseminated work. All scholarly or scientific publications involving faculty, staff, students, and trainees arising from academic activities performed within the scope of institutional responsibilities at The University of Texas at Austin (University) must include appropriate authorship credit for individuals involved in the work and accurate disclosure of affiliation(s) for individuals identified as authors.
- Reason for Policy
To provide the institutional framework for rules and procedures for appropriate authorship attribution and reporting of institutional affiliation in the dissemination of scholarly and intellectual work.
- Scope & Audience
This policy applies to all University faculty, staff, students, and trainees.
- Definitions (specific to this policy)
Institutional Responsibilities:
Any of the professional activities of a member of the University community, such as research, teaching, and service including membership on university committees and panels, as well as outward facing activities such as consulting, lecturing, and other pursuits related to the application of professional expertise.
Publication:
Includes articles, manuscripts and abstracts submitted for dissemination by a vehicle the discipline regards as a site for scholarly discourse; such as journals, websites, books, and others, as well as presentations at professional meetings and other venues.
- Website (for policy)
https://secure2.compliancebridge.com/utexas/public/getdoc.php?file=7-1070
Contacts
Responsibilities & Procedures
- Authorship Affiliation
Each author will report an affiliation when publishing or otherwise disseminating the results of research and scholarly activities. Ensuring accurate reporting of affiliations assigns credit to the institution(s) that contributed significantly or substantially to the work, whether through salary support, through the provision of resources, or by providing the appropriate intellectual environment. Faculty, staff, and students at The University of Texas at Austin should identify UT Austin as their primary affiliated institution with few exceptions as identified below.
Affiliations to other institutions should only be reported if the secondary institution made a substantive contribution to the specific publication, even if a formal relationship to that institution exists in other contexts. In situations where reporting multiple affiliations is appropriate, the primary affiliation should always be the institution where the majority of the work was completed or the institution that provided the greatest resource support, such as salary, research facilities, equipment and personnel. Guidelines for accurately reporting affiliations include:
- When considering dual affiliations, the primary affiliation should be identified as the institution paying more than ½ of an individual’s salary over a 12-month period, including salary paid from sponsored research awards.
- University faculty and research scientists may not enter into contractual agreements with external entities that require identifying any entity other than UT Austin as the primary affiliation or that abridge publication and research rights as noted in Regents' Rules and Regulations, Rule 90101 - Intellectual Property. Exceptions to this rule can be made by the Office of Research Support and Compliance after approval from the department chair/unit director.
- Work substantively completed before joining UT Austin should identify the former institution as the primary affiliation and UT Austin as the secondary affiliation.
- Faculty conducting research while on a Faculty Research Assignment should identify UT Austin as the primary affiliation. A secondary affiliation may be noted if the research reported was partially supported by another institution.
- UT Austin faculty, students, and staff with guest, visiting, or adjunct positions at other institutions should identify UT Austin as their primary affiliation and identify the part-time institution as a secondary affiliation if that organization provided substantive support for the work or if much of the work was conducted at the other institution. In rare cases, the part-time institution may be the primary affiliation when a clear majority of the published work by the UT Austin employee was conducted at the part-time institution during a period where the employee was not paid by UT Austin. In these cases, explicit written approval from the department chair/unit director and the Office of Research Support and Compliance should be obtained.
- Doctoral students registered at or expecting to receive their degree from UT Austin should identify UT Austin as their primary affiliation.
- In all cases of dual affiliation, the non-University affiliation must be disclosed to the University according to HOP 5-2011 - Conflict of Interest, Conflict of Commitment, and Outside Activities, and HOP 7-1210 - Promoting Objectivity in Research by Managing, Reducing or Eliminating Financial Conflicts of Interest.
- Authorship Credit
Authorship is the primary means by which the creation of scholarship and research is recognized in academia. Thus, it is imperative that authorship credit and order of authorship be assigned fairly and appropriately within best practice standards of the discipline. In general, authorship is granted to those individuals who have made a significant intellectual contribution and are willing to assume responsibility for the validity of the work. Authorship expectations, practices, and criteria should be discussed (and when possible, documented) among research teams and collaborators, including with students and trainees, early in the research process and throughout the conduct of the research as roles and responsibilities shift.
Individuals who make a significant contribution that does not rise to the level of authorship should be publicly acknowledged with their permission in advance of publication.
Further guidance on responsible authorship and authorship criteria is referenced in Section X. Related Information below.
- Transparency and Disclosure
Transparency in disclosing significant financial relationships and other related outside affiliations is essential for maintaining trust in research output. Authors must disclose any interests that could be perceived as having an impact on the objectivity of the research as required by HOP 7-1210. All University personnel must disclose outside employment, affiliations, and other activities as required by HOP 5-2011.
- Research Support
Authors should acknowledge sources of support that enabled the work being published. These include financial support such as grants, contracts or gifts; salary support provided by an entity other than the University; technical support; and in-kind support if substantive and important to the completion of the work. Funding sources should be acknowledged when:
- Providing financial support for research personnel who contributed to the work being reported,
- Supporting the conduct of experiments or the analysis of data related to the work being reported, or
- When there is a clear association between the work being reported and the aims and objectives of the funded project.
- Authorship Disputes
If a difference in scholarly opinion regarding authorship arises, disputing parties are encouraged to consult the University’s Responsible Authorship Guidance to resolve the matter through direct resolution. In the event that disputing parties are unable to come to a satisfactory agreement, each party may involve their respective department chair for additional assistance. At any time, disputing parties may consult the appropriate University Ombuds Office to explore additional options for resolution. Authorship disputes that involve a credible and specific allegation of research misconduct as defined in HOP 7-1230, Research Misconduct, should be reported to the University’s Research Integrity Officer (RIO).
- Forms & Tools
None
- Frequently Asked Questions
None
- Related Information
Regents' Rules and Regulations, Rule 90101 – Intellectual Property
HOP 5-2011 - Conflict of Interest, Conflict of Commitment, and Outside Activities
HOP 7-1210 – Promoting Objectivity in Research by Managing, Reducing or Eliminating Financial Conflicts of Interest
HOP 7-1230 - Research Misconduct
Responsible Authorship Guidance
- History
Origination date: October 27, 2022
Next scheduled review: October 2025