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Research Outputs and Authorship Procedures

Parent Policy

Research Outputs and Authorship Policy

Definition of terms

Executive Author: Senior or corresponding author, being the author responsible for liaison with publishers, communication with all authors and contributors and the maintenance of all records concerning authorship.

1. Confirmation of authorship

  • All research outputs to which Monash authors make a contribution, whether internal or external, sole authored or multi-authored, must have their authorship confirmed and recorded according to this policy and procedures;
  • Faculties, heads of academic units and supervisors responsible for performance development must take all reasonable steps to ensure on a regular basis that all authors are aware in advance of their obligations under this policy and procedures;
  • Individual authors are expected to be familiar with this and related research policies and procedures in order to fully understand their compliance obligations. Opportunities will be provided by the University for on-line and face-to-face training.

Responsibility

Individual authors
Executive authors
Faculties/Heads of Academic Units/Supervisors

2. Attribution of research output affiliation

  • In order that Monash University achievements and investment in research receive appropriate acknowledgement and contribute to all relevant measures of performance, Monash University must be attributed for research outputs in the following cases:
    • Where resources and/or facilities of Monash University have been used in the research leading to the output. This includes contribution to salary of researchers, other funding, resources, facilities, apparatus, human and administrative resources;
    • Where funds for research have been directed through Monash University accounts. 

These criteria may apply even where an author may subsequently have left Monash University, provided that one or more of the above conditions are met.

 

  • In attributing Monash University as the institution of affiliation, ‘Monash University’ must be written out in full for authors on all Monash campuses apart from the South African campus (see next dot point). 
  • While the application for university status at Monash South Africa is still pending, authors should state ‘Monash South Africa’ as the institution of affiliation unless they have an adjunct appointment at an Australian campus, in which case they must use ‘Monash University’.
  • Where authors wish to list other affiliations (for example, institute, centre, department or school) these may also be listed but never in place of ‘Monash University’. Where multiple affiliations are listed ‘Monash University’ must always be listed first wherever possible.
  • Where an executive author is based at another institution, it is the responsibility of the Monash author(s) to use all reasonable efforts to ensure that Monash University is appropriately attributed as described above.

Responsibility

Executive authors
Individual authors (for sole-authored works)

3. Appointment and responsibilities of Monash executive authors

  • Where a work has several authors, one must be appointed executive author.  Collaborating authors must agree on authorship at an appropriate early stage of their involvement in the research project and review their decisions periodically as and when necessary.
  • The responsibilities of the executive author include:
    • to consider and advise collaborating authors on who else might meet the authorship criteria;
    • to record authorship in the order that applies according to the conventions of the specific discipline;
    • to ensure that ‘Monash University’ is submitted to publication outlets/venues in full as the institution of affiliation or ‘Monash South Africa’ where appropriate;
    • to manage communication about the work with the publisher/venue/facilitator;
    • to consult with all other authors prior to submission and any subsequent revisions.

Responsibility

Executive authors

4. Inclusion/exclusion of authors

  • Executive authors must offer authorship to all people, including research trainees and students, who meet the criteria for authorship (see Research Outputs and Authorship Policy).
  • A person who qualifies as an author must not be included or excluded as an author without their permission. This must be in writing or retrievable electronic communication and include a brief description of their contribution to the work.

Responsibility

Executive authors
Individual authors

5. Acknowledging other contributors

  • All those who have otherwise contributed to the research, facilities or materials, such as research assistants, technical writers and students, but whose contribution does not meet the authorship criteria, have the right to be properly acknowledged in resulting outputs. Where individuals are to be named publicly, evidence of their consent must be obtained.

Responsibility

Executive authors
Individual authors

6. Recordkeeping

  • All written or electronic communications in relation to authorship must be held by authors/executive authors for a minimum of five years from publication for all research outputs contributed to by Monash authors. This applies to all traditional research outputs as well as works of art, architecture and design, performances and music composition, refereed published conference papers and similar publications (eg public submissions and reports).
  • Records of authorship must include all communication with all authors and publishers/venues/facilitators in relation to the publication of the output, including any relevant conflict of interest declarations made to the publisher. These records must be able to be produced on request.
  • Records may be in any form including copies of all relevant emails, or staff may use an Authorship Statement (for forms to be used in conjointly authored works in theses please see Section 10 of these procedures).
  • If an author is deceased or cannot be contacted, the head of department or unit may give approval on their behalf, noting the reason for their unavailability and that the publication can proceed provided that there are no reasonable grounds for believing that this person would have objected to being included as an author.
  • Any staff or students leaving Monash University should submit to their department copies of authorship records for any research outputs published within five years prior to their departure from the University, in addition to keeping such records for their own information.

Responsibility

Executive authors
Individual authors
Supervisors/Heads of Academic Units

7. Promulgation, compliance and monitoring

  • The University, through the Office of the Senior Deputy Vice-Chancellor and Deputy Vice-Chancellor (Research), the Human Resources Division and through faculties and heads of academic units, will provide information and training in authorship and other research policies.
  • Staff and students will be required to certify annually that they have undertaken appropriate training and have complied with these and other policies and procedures.
  • Audits of compliance with research policies will be carried out from time to time.

Responsibility

Office of the DVC (R)
Human Resources Division
Audit and Risk Management Office
Associate Deans (Research)
Heads of Academic Unit
All Monash authors

8. Disputes about authorship

  • Authorship disputes between staff.
    • Where a dispute arises between authors the immediate supervisor(s) or head(s) of academic unit must first be consulted to attempt a local resolution. Where the head of academic unit is one of the authors or otherwise has any conflict of interest the dispute must be brought to the attention of the relevant Associate Dean (Research). 
    • Where issues cannot be resolved either at academic unit or faculty level, or the head of academic unit (eg Dean) and the Associate Dean (Research) are in a supervisory relationship or otherwise have a conflict of interest concerning the publication, the Associate Dean (Research) must call on the services of an independent conciliator from a relevant discipline, either internal or external to the University.
  • Allegations of misconduct in relation to authorship.
  • Disputes between students and staff.

Responsibility

Executive authors
Individual authors
Heads of Academic Units
Associate Deans (Research)

9. Authorship and the Annual Publication Collection

Responsibility

Executive authors
Individual authors
Faculty Publication Coordinators

10. Inclusion of conjointly authored works in theses

  • The guidelines developed by the Monash Research Graduate School Committee must be consulted where relevant.

Responsibility

Supervisors
Higher degree by research students
General Manager, Monash Research Graduate School

11. Declaration of Interests

  • All authors should be familiar with the University's Conduct and Compliance Policy - Conflict of Interest Procedure and must ensure that, at the point in a research project where any perceived or actual conflicts of interest become apparent, these are declared according to the University’s policy and procedures to granting bodies, editors, publishers, venue managers and to the relevant Heads of Academic Units.

Responsibility

Executive authors
Individual authors

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