Policies for the Editorial Office Part 1: Authorship

By Diane Punger
Peer Review Manager, Origin Editorial

Take Home Points

* Include explicit authorship policies on your journal website/instructions to authors.

* Provide a clear definition of an author and what authorship means to your journal.

* Highlight the role and communication responsibilities of the corresponding author.

* Define change in authorship and instituite a policy that is backed with a transparent workflow and a clear internal escalation path.

 

Include explicit authorship policies on your journal website/Instructions to Authors.

Having a clearly written and transparent authorship policy on your journal website can have its benefits. For example, potential submitters will see what the journal expects of them, as well as what their responsibilities are, before they agree to submit to your journal. Because the policy is public, it will also be used as a tool in the Editorial Office when policy isn’t followed and will be easily referenced in communication with the author.

Defining an Author

Who should be considered in your author list? According to the Committee on Publication Ethics’ (COPE) definition, “The term authorship can refer to the creator or originator of an idea or the individual or individuals who develop and bring to fruition the product that disseminates intellectual or creative works.” 1

The author list can consist of single or multiple individuals or even a group (consortia) who have made significant contributions to the research and are accountable for what has been written.  They are responsible for the accuracy of their research and can provide proof of their results. Keep in mind some communities follow specific criteria for authorship. You could consider the International Committee of Medical Journal Editors’ (ICMJE) section on “Defining the Role of Authors and Contributors” when defining authorship.2

Consortia authorship is a collective authorship, sometimes identified as a Team or Group. Guidelines for ways to identify members of the group who have and have not participated in the submission should be made clear, so that proper recognition is given to members who have played an active role. Individuals of consortia will be discoverable in PubMed.  See Nature, for example, for ways consortia authorship can be managed.3

Since author lists can vary in length, it is imperative for the submitter to fully understand the difference between an author and a contributor. Like authors, contributors can in some way support the research, but the role isn’t as significant as an author. Individuals who have made minor contributions, such as access to a research lab, hospitality, etc. should not be given authorship, but can be noted in an acknowledgments section. The definition of these roles should be made available in the authorship guidelines on the journal’s website. Also, many journals have instituted CRediT (Contributor Role Taxonomy),4 delineating the role of the individual author, as part of their submission workflow. 

Respecting the Role of the Corresponding Author

The corresponding author is the voice of all authors on the submission. You may have seen publishing documents such as copyrights, permissions, and proofs state “on behalf of all authors.”  This role is important in publishing as it allows for a point person for communication and corrections, reducing versioning and creating organization. The corresponding author is also responsible for fielding questions from readers. Rely heavily on the corresponding author, especially when co-authors reach out and remember to loop-in the corresponding author in such cases, when they have been left out of the conversation.

Understanding the role of the corresponding author and expectations is important to the individual. Corresponding authors should never share login credentials for our peer-review systems or emails with embedded links with their co-authors.  They should also never include their email address in co-author profiles in our peer-review systems. Author profiles should be unique to the individual; multiple profiles are discouraged and can create a loophole for confidential information.

Understanding Authorship Changes and the Importance in Obtaining Agreement

No matter how many authors are listed, all authors must agree on the author list. Any change (removal, addition, order) requires a consensus. This includes any author who has been added or removed. Quite often, author changes occur during revisions. This can be due to a task of redoing part of the research discussed after editor decision or an omission on the part of the corresponding author.

Have you ever looked at an author list and wondered if there is a meaning behind the order? While the structure of some author lists is obvious, such as alphabetical or grouped by institution, some reasons are not as easy to determine. Order can show the author’s significance to the research or perhaps significance to the field, so, to say-the-least, it can be very meaningful to the individual authors, even if the meaning is not apparent to the reader. Since there is no standard rule for the author’s order, it is important that agreement is reached for any order change. Having an author change workflow in place for author additions, removal, and order change can help you avoid legal disputes later (see Figures 1 and 2); consider transparency as part of your best practices.

Figure 1. Example of Change in Author Flowchart: Adding an Author. Reproduced from COPE Council. COPE Flowcharts and infographics — Changes in authorship. Addition of extra author — before publication ©2021 Committee on Publication Ethics (CC BY-NC-ND 4.0) (Ref. 5).

Figure 2. Example of Change in Author Flowchart: Removing an Author. Reproduced from COPE Council. COPE Flowcharts and infographics — Changes in authorship. Removal of author — before publication ©2021 Committee on Publication Ethics (CC BY-NC-ND
4.0) (Ref. 6).

Deceased authors have rights too.  A person’s lifetime is unpredictable. Just think how many lives have been lost due to Covid-19. Given the time it takes to complete some research before it is considered for publication, authors can unfortunately pass away before ever seeing their life’s work published. This doesn’t mean they should be removed as an author, especially if they have contributed significantly to the research. Instead, one may need to review the journal’s policy on deceased authors. In some cases, the corresponding author may be instructed to obtain permission from the family of the deceased individual.  A similar workflow may be followed to obtain concurrence for a change in authorship.

Importance of an Author Change Workflow and Escalation Path

It’s important as editorial staff to know what to do when co-authors disagree over authorship. Creating a dispute workflow can support your journal in uncomfortable author disputes. Gather whatever information you can regarding the dispute, without instituting an opinion, taking sides, or making any promises, to ease transition in an escalation path.  Knowing when to execute an escalation workflow to seek resolution is key in providing good customer support to the authors dealing with a conflict. Rely on the editor/journal hierarchy for verbiage if you are responsible for any communication and are unable to do so diplomatically. Unfortunately, not all disagreements will be resolved. Submissions should never be considered for publication with an open dispute.

Challenges in Keeping a Clean Database and How to Better Support Authorship

Maintaining a clean database can be challenging. For one, name changes are extremely common through marriage, and how about those acquired nicknames? Some cultures prefer the use of surnames or initials. The
placement of given and surname can also differ. A more recent topic has been around gender identity, use of pronouns or lack thereof, and gender change.  All the above can lead to multiple profiles, linking each author to only part of their submission complement. An Open Researcher and Contributor ID (ORCID)7 can help match individuals to publications, but even that can have flaws in that some authors may have more than one ORCID (through borrowing from a co-author or early application). As a corresponding author, it is important to properly identify coauthors in a submission database. Having tools in place to guide submitters through this profile selection is imperative in maintaining a clean database. It may also avoid the embarrassment and untangling of selecting the
“wrong” author for the submission.  

In conclusion, the benefits of having an outward facing authorship policy and author guidelines will not only provide support for the authors, but also for the Journal and/or Editorial Office. There are several avenues of support, such as COPE, Council of Science Editors (CSE), International Society of Managing and Technical Editors (ISMTE), The Scholarly Kitchen, to name a few, that can guide you through building a good foundation for your policy. So, in short, join that group, follow a blog, or attend a meeting; the information is out there.

References

1 Cope Council, COPE Discussion Document: Authorship, September 2019. Accessed February 9 (2023); COPE_DD_A4_Authorship_SEPT19_SCREEN_AW.pdf (publicationethics.org)

2 ICMJE, Defining the Role of Authors and Contributors, https://www.icmje.org/recommendations/browse/roles-and-responsibilities/defining-the-role-of-authors-and-contributors.html. Accessed March 23 (2023).

3 Author instructions: Consortia formatting, Accessed February 23 (2023);  nr-consortia-formatting.pdf (nature.com)

4See https://credit.niso.org/ for information regarding CRediT; Accessed March 1 (2023).

5COPE Council. COPE Flowcharts and infographics — Changes in authorship. Addition of extra author — before publication — English. https://doi.org/ 10.24318/cope. 2019.2.8 ©2021 Committee on Publication Ethics (CC BY-NC-ND 4.0). Accessed February 24 (2023).

6COPE Council. COPE Flowcharts and infographics — Changes in authorship. Removal of author — before publication — English. https://doi.org/ 10.24318/cope. 2019.2.9 ©2021 Committee on Publication Ethics (CC BY-NC-ND 4.0). Accessed February 24 (2023).
7See https://orcid.org/ for information regarding ORCID; Accessed March 1 (2023).

Conflicts of Interest:
None to declare

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Consultant

acasper@origineditorial.com

Ann is Editor-in-Chief of Penelope Institute—an institute for the profoundly gifted. She is also an academic editor with extensive journal experience as Managing/Copyeditor for Animal Sentience and Senior Editor/Editorial Intern Mentor for Society & Animals. She has 17 years of editorial experience, including as a photojournalist, ghostwriter, production editor, and editorial assistant. Ann has also tutored English Language Learners, classmates and colleagues at University of Wisconsin–Madison, graduate students in engineering, K–12 immigrants and refugees, and gifted students. In addition to editing publications in the sciences, social sciences, and humanities, Ann is also collaborating to build her own editing website and form a creative collective with fellow musicians, writers, filmmakers, and artists. Ann loves learning about architecture, psychology, and classical music. For fun, she writes poetry; hosts open mics and performs standup comedy at the local tea bar; practices vinyasa yoga; bikes; and ventures to parks, concerts, and museums. Ann also enjoys moonlighting as a cat and dog “Nanny” in Chicago.

Alicia Byrne

Consultant

abyrne@origineditorial.com

Alicia has been with Origin Editorial since 2014, when she joined the team as the Managing Editor for Wilderness & Environmental Medicine, the official journal of the Wilderness Medical Society. Alicia brings a background in editorial processes, copyediting, and proofreading to Origin. She also edits the biannual Origin newsletter and is a member of ISMTE.

Abbie Flynn

Consultant

aflynn@origineditorial.com

As part of the marketing team, Abbie maintains Origin Editorial's and Origin Reports' social media accounts. For Origin Reports, she coordinates webinars, handles client communications, and manages the company's blog. Abbie also creates product demonstration videos and updates the Origin Reports website.

Sherrie Hill

Consultant

shill@origineditorial.com

Sherrie has been with Origin Editorial since 2017. She has worked in the editorial office for several journals and is currently working as the Assistant Peer Review Manager for the American Journal of Audiology. Additionally, Sherrie is the Project Manager for the editorial office reporting software application, Origin Reports. She uses her background in engineering to help design the customized editorial office charts, tables, and reports available in the application. Sherrie also provides personalized customer support for all Origin Reports users with reporting issues or questions.

Diane Dunham Drexler

Client Coordinator/Consultant

ddrexler@origineditorial.com

Diane began as a chemistry and physics instructor, providing a seamless transition to academic publishing. She served as the Publications Manager for the American College of Neuropsychopharmacology and managed its premier journal Neuropsychopharmacology. Later, she steered the college’s new initiative, Neuropsychopharmacology Reviews, from its launch through the sixth volume, including liaising with the publisher’s medical illustrator to create NPPR’s signature graphics. Diane has worked closely with abstract management submission designers and production teams to create online meeting abstracts and eBooks. She is exceptionally skilled in eJP, EM, and believes in a collaborative effort. Joining Origin Editorial in 2012 as the Publications Director for the American Congress of Rehabilitation Medicine, she managed the Archives of Physical Medicine and Rehabilitation until her more recent role of Peer Review Manager for Applied Physics Letters at the American Institute of Physics. Additionally, she manages the Journal of Clinical Lipidology, a publication of the National Lipid Society. Diane serves on several committees at ISMTE and is a member of CSE. She has Diane received her undergraduate degree from The University of Mary Washington in Virginia and her MEd in Secondary Science from Converse University in South Carolina.

Steve Cavanaugh

Client Coordinator/Consultant

scavanaugh@origineditorial.com

Steve got his start in publishing with Mosby Year-Book in Philadelphia in 1995, after working as a teacher, chef and various sundry jobs up and down the East Coast of the US. After returning to the Boston, Mass area, he worked in IT until returning to publishing with the journal Pharmacotherapy in 1999. He joined the Origin Editorial team in 2013 and has worked on a variety of journals in medicine, environmental science and physics.

Denise Kuo

Client Coordinator/Consultant

dkuo@origineditorial.com

Denise is a highly accomplished journal operations professional with 20 years of experience in scientific publishing. She has expertise in team leadership, customer relationships, and leading successful complex projects to implement efficiencies for improved productivity and reduction in costs. Denise is respected as a strong people leader excelling at developing and mentoring teams in providing high-quality, meaningful insight to senior management and other stakeholders for positive results. Before coming to Origin, she served as Director of Journal Operations, Circulation Journals and JAHA at the American Heart Association where she was responsible for ensuring standardization and implementing workflow efficiencies across the 13-journal portfolio. She is a member of ISMTE and CSE. She has served as a CSE Mentor and as a member of the SSP Marketing and Communications Committee.

Glenn Collins

Client Coordinator/Consultant

gcollins@origineditorial.com

Glenn graduated from Cornell University in 1991 with a BS in Biology. After working in a microbiology lab for a few years at Pall Corporation he started his STM publishing career at John Wiley and Sons in 1995. He left Wiley and moved to San Diego in 2000 where he first worked for the journal Brain Research before becoming the managing editor of the Journal of the American College of Cardiology (JACC). After twelve plus years as the Executive Managing Editor of the JACC journals Glenn moved to Origin Editorial where he assumed the role of Publications Director/Managing Editor for the American Congress of Rehabilitation Medicine (ACRM). In this role he oversees the Archives of Physical Medicine and Rehabilitation and its open access companion the Archives of Rehabilitation Research and Clinical Translation. In 2021 Glenn assumed the position of Director of Sales, Publications and Social Media for ACRM. Glenn has helped develop and launch five (and counting) new journals in the STM field. Glenn is a past president of ISMTE.

Dave Allen

Client Coordinator/Consultant

dallen@origineditorial.co

Dave has over 21 years of publishing experience. He started his publishing career with the American Society for Bone and Mineral Research, which self-published a journal and textbook, eventually becoming the Director of Publications. He then moved to take editorial leadership of CIG Media Group, LLC, which operated eight clinical oncology journals. From there he became a Publisher for Elsevier, specializing in oncology and radiology, with a portfolio of 12 journals, overseeing their operations for seven years. Dave moved to Origin Editorial in 2018 where he continues to manage journals as well as provide consultations for scientific societies. His Origin clients have included the American Association of Thoracic Surgery, the American Heart Association, and Cochrane. Dave has recently started as the Editorial Director for a large client. Dave has extensive experience in project, people, and budget management in the private and non-profit sectors. His experience includes developing and implementing new initiatives; creating and managing complex workflows and processes; forecasting and developing budgets; supervising employees; and collaborating with commercial sponsors, governing boards, and society leaders. Dave is the vice chair of the ISMTE Sponsorship Committee.

Erin Landis

Managing Director

elandis@origineditorial.com

Erin has more than two decades of leadership, strategic planning, project management, and relationship-building experience. As the Managing Director of Origin Editorial, she guides strategy, business development, and operations. Before Origin, she was the Vice President of Publications for the American Gastroenterological Association (AGA), where she oversaw the editorial and financial operations, as well as the strategic direction of several GI-related publications, including five peer-reviewed journals. Erin recently served as the president of ISMTE and serves as the chair of the Global Event Oversight Committee and as a member on the Education & Standards Committee. She’s also a member of SSP and CSE where she has served as a mentor. Also, she is a current member of the CSE DEI Committee. She also served as co-chair of the Publishing Professional Peer Group for the Council of Medical Specialty Societies and was a member of the writing group for the C4DISC Toolkits for Equity Project’s “Antiracism Toolkit for Organizations.” Erin received her degree in psychology from The College of William & Mary in Williamsburg, VA.

Kristen Overstreet

Senior Partner

kristen@origineditorial.com

Kristen oversees operations for Origin Editorial and Origin Reports, including managing the process of finding experienced team members to provide services to Origin’s clients. Kristen is a Past President of the ISMTE Board of Directors and currently serves the ISMTE on the Early Career and North America Meeting committees. She is also a member of the CSE, recently serving on their IAB Task Force, and FORCE11, serving on the Research Data Publishing Ethics Working Group. For more than 20 years, Kristen has been known for elevating journal operations and improving journal and peer review management through use of effective policies and procedures. She provides consultation to Origin clients regarding effective peer review management and speaks regularly on peer review operations and ethics at industry meetings.

Jason Roberts, PhD

Senior Partner

Jason@origineditorial.com

Dr. Roberts is a globally recognized peer review management specialist, publisher and intermittent academic investigator on all matters related to the conduct of peer review. He is focused on improving the quality, rigorousness and successful delivery of scholarly communications, regardless of discipline. After earning a doctorate in Geography from Loughborough University in the United Kingdom, Dr. Roberts began a career in publishing at Blackwell Science in Oxford, England and then Boston, Massachusetts, eventually becoming a Senior Editor of US-based medical journals. In 2010, Dr. Roberts formed Origin Editorial, one of the first, and now largest, independently owned companies to offer professional peer review management for journals. Dr. Roberts is a past-president of ISMTE. Dr. Roberts has a particular interest in improving standards of reporting in biomedical journals and the monitoring of publication ethics issues. He has contributed book chapters and research articles on these topics and collaborated closely with the EQUATOR Network, the Ottawa Centre for Journalology and the Committee on Publication Ethics. Dr. Roberts is a co-author of Peer Review: Reform and Renewal in Scientific Publishing” (2017, Against the Grain Publishing). He currently sits on the editorial board of the journal Research Integrity and Peer Review and is a frequent reviewer for papers on the subject of peer review for Learned Publishing and The BMJ