• Section 1 - Purpose of Policy
• Section 2 - Application and Scope
• Section 3 - Policy Principles
• Principles related to students:
• Section 4 - Acknowledgment Criteria
• Section 5 - Authorship and Acknowledgment Procedure
• Section 6 - Authorship Disputes
• Section 7 - Roles & Responsibilities
• University Responsibilities
• Researcher Responsibilities
• Corresponding Authors Responsibilities
• The Dean of the Graduate Research School Responsiblities
• HDR Supervisor Responsibilities
• Section 8 - Definitions

Section 1 - Purpose of Policy

(1) This Policy outlines the principles for determining authorship of publications that are the result of research undertaken at the University of Wollongong ("the University").

(2) This Policy ensures that:

1. researchers who participate in investigation and other academic activities are equitably acknowledged and their contributions are fairly represented;
2. the criteria for attribution of authorship of all research outputs is clarified and appropriate steps to confirm authorship are taken prior to any submission of research outputs for publication; and
3. the University complies and is fully consistent with all relevant external regulations and guidelines relating to the attribution of authorship.

Section 2 - Application and Scope

(3) This Policy applies to:

1. the authorship of all research outputs (including non-traditional outputs) and the attribution of authorship in other documents related to research, such as research proposals, grant applications, reports for funding agencies, tenders, patients and patent applications;
2. the authorship of research and other academic outputs including journal articles, books, reports, chapters and conference papers. Non-traditional outputs include web-based publications and applications, including professional blogs and any form of authored research output that is made publicly available; and
3. all researchers including academic, adjunct and professional staff, students, volunteers, Fellows, visiting academics and students and any other person(s) involved in joint publications with researchers at the University.

(4) In the event that authors are not employed by the same institution, the policy of the institution of the corresponding author will prevail.

(5) In cases where this Policy conflicts with requirements specified in research contracts (commercial or otherwise) the contract terms will take precedence over this policy. Any contract terms in relation to authorship should be developed in the spirit of this policy. It is the responsibility of the lead author to ensure that the terms of the contract are met.

Section 3 - Policy Principles

(6) In accordance with the Australian Code for the Responsible Conduct of Research, 2018 (“the Code”), this policy aims to assist researchers and contributors to adhere to the relevant principles of the Code and related Guidelines which include the following responsibilities:

1. retain clear, accurate, secure and complete records pertaining to authorship including research data and primary materials;
2. where possible and appropriate, allow access and reference to research data and primary materials by interested parties in accordance with the Research Data Management Policy;
3. ensure that authors of research outputs are all those, and only those, who have made a significant intellectual or scholarly contribution to the research and its output, and that they agree to be listed as an author;
4. acknowledge those who have contributed to the research;
5. cite and acknowledge other relevant work appropriately and accurately.

(7) Authorship must be:

1. an honest reflection of contribution to research;
2. assigned fairly, and consistently with established disciplinary practice; and
3. communicated clearly and transparently between contributors to the research.

(8) Authorship is not attributed based on:

1. the provision of funding, data, materials, infrastructure or access to equipment;
2. the provision of routine technical support, technical advice or technical assistance;
3. the position or profession of an individual, such as their role as the author’s supervisor or head of department (‘gift authorship’);
4. whether the contribution was paid or voluntary; or
5. the status of an individual who has made a significant contribution being such that it would elevate the esteem of the research (‘guest authorship’).

(9) Authorship must be offered to all researchers meeting the eligibility criteria.

(10) In the context of generative artifical intelligence (Gen-AI):

1. Gen-AI tools cannot meet the requirements for authorship as per Section 4 of this Policy; 
2. authors who use Gen-AI tools in the writing of a manuscript, production of images or graphical elements of the paper, or in the collection and analysis of data, must disclose in the materials and methods (or similar section) of the research output how the AI tool was used and which tool was used; and
3. authors are fully responsible for the content of their manuscript, even those parts produced by a Gen-AI tool, and are thus liable for any breach of publication ethics.

(11)  The Contributor Roles Taxonomy (CRediT) will be used to acknowledge contributors to research outputs who do not qualify for authorship.

Principles related to students:

(12) Principles concerning intellectual property (“IP”) created by Higher Degree Research (“HDR”) candidates are provided in the IP Intellectual Property Policy.

(13) In accordance with the Research Data Management Policy, Copyright Policy, the IP Intellectual Property Policy, and relevant Commercialisation and Funding Agreements, ownership of data should be clear from the outset of the project.

(14) Students undertaking an HDR degree will typically be identified as the first author on any work arising from their thesis where they made a significant intellectual or scholarly contribution as defined in the Authorship criteria. Variation to this principle would require a strong justification approved by the Dean of Graduate Research and will be based on the Authorship criteria as defined in this Policy.

(15) Research projects undertaken by students not enrolled in an HDR degree (e.g.: Honours students) will typically identify the student as the first author on any work derived from the student’s thesis where the student made a significant intellectual or scholarly contribution as defined in the Authorship criteria. Variation to this principle would require a strong justification approved by the Head of School or delegate based on the Authorship criteria as defined in this Policy. In circumstances where the student has not within a reasonable time, e.g. 6 months, taken the lead in the preparation of a manuscript for publication, or they have indicated to their supervisor that they do not wish to publish from their thesis, it may be appropriate for the supervisor to be first author based on their contribution.

(16) Refer to the Authorship Acknowledgement Procedure for information on group projects and research outputs involving more than one HDR Candidate or student.

Section 4 - Acknowledgment Criteria

(17) Acknowledgement should be offered to all persons and entities who have made a contribution to the research output as per Contributor Roles Taxonomy (CRediT). This includes but is not limited to:

1. the provision of funding, materials, infrastructure or access to equipment;
2. the provision or collection of data;
3. the provision of routine technical support, technical advice or technical assistance; and
4. cultural contribution other than that qualifying for authorship;

(18) Contributors must qualify for and agree to the offer of acknowledgment.

Section 5 - Authorship and Acknowledgment Procedure

(19) The Authorship Acknowledgement Procedure will be used to enact this Policy. Authorship agreements and acknowledgement of those who have contributed to the research should be documented using the Authorship and Acknowledgement Agreement Forms. 

Section 6 - Authorship Disputes

(20) In the case of a dispute about authorship or acknowledgment, the Authorship Dispute Resolution Procedure will be followed.

Section 7 - Roles & Responsibilities

University Responsibilities

(21) ensure that this policy and associated procedures are readily accessible (and where discipline specific procedures are used that these are documented and consistent with the principles outlined in this policy);

(22) providing Researchers with training and awareness of the policy and their responsibilities in relation to authorship;

(23) ensuring supervisors of HDR candidates have the appropriate skills, qualification and resources the promote responsible authorship practices with HDR candidates;

(24) have policies and procedures in place for the resolution of disputes related to authorship and reporting of breaches related to published work;

(25) have Research Integrity Advisors in place to assist with the promotion and fostering of responsible authorship practices and to provide advice to those with concerns.

Researcher Responsibilities

(26) comply with this policy and all applicable policies and regulations;

(27) engage in training relevant to responsible authorship practices;

(28) agree on authorship, IP and data management at the early stages of a project and periodically review the authorship agreement to reflect the work being done. Ideally, use the Authorship and Acknowledgement Agreement Forms to document agreements. For all research teams comprising supervisors and HDR candidates there must be an Authorship and Acknowledgement Agreement Form completed and signed by all supervisors and HDR candidates at the outset of the project, and this must be updated as appropriate throughout the project and for each planned research output;

(29) Ensure authorship and acknowledgement is offered to all people meeting the criteria and ensure that the contribution of Students is appropriately recognised in research outputs where the Student is not the first author;

(30) Ensure authorship and acknowledgment is not offered to those not meeting the criteria

(31) Alert the corresponding author to any author or contributor who may have been inadvertently omitted;

(32) Make and accept or decline an offer of authorship in writing;

(33) Take responsibility for the accuracy and integrity of the research they contributed to the research output;

(34) Take reasonable steps to ensure the accuracy and integrity of the contributions of all other co-authors;

(35) Work with the Corresponding Author to correct any inaccurate and/or improper reporting records as soon as they become aware of them;

(36) Include information acknowledging all financial and in-kind support that has been received for the research they are publishing;

(37) Include information acknowledging any conflicts of interest for the research being published;

(38) Ensure all scholarly outputs are recorded in the University’s research publications system and institutional repository;

(39) All contributing authors have a responsibility to support the Corresponding Author to ensure that the obligations of this role have been completed according to this policy.

(40) The open access repository should be utilised to meet funder open access requirements where not already available via the publisher.

Corresponding Authors Responsibilities

(41) Ensure that all contributors to the research output are properly recognised.

(42) Keep records, including of the original authorship agreement and any changes made to authorship as the project progresses. This may include new people who become involved in the project and make a significant intellectual and scholarly contribution.

(43) Ensure all authors have agreed to authorship and have approved the final version of the manuscript or other research output.

The Dean of the Graduate Research School Responsiblities

(44) Audit Authorship and Acknowledgment Agreements and Research Data Management Plans between research supervisors and HDR candidates, to ensure compliance with this and related policies.

(45) Include Authorship and Acknowledgment Agreements in documentation for Research Proposal Review.

(46) Manage requests from research supervisors to vary the principle that HDR candidates are first author of any work arising from their thesis.

(47) Manage requests from HDR supervisors to vary data ownership from UOW in accordance with the Research Data Management Policy and IP Student Assignment of Intellectual Property Policy where the data derives from HDR student research. 

(48) Where necessary, intervene to ensure that candidates who do not follow Authorship Agreements or plans do not disadvantage the research activity of supervisors.

HDR Supervisor Responsibilities

(49) For all research teams which include a HDR candidate there must be an Authorship and Acknowledgement Agreement Form completed and signed by all supervisors and HDR candidates at the outset of the project, and this must be updated as appropriate throughout the project.

(50) Promote responsible authorship practices and with HDR candidates including encourage HDR candidates to engage in training relevant to responsible authorship practices.

Section 8 - Definitions