Promoting Integrity in the
Next Generation of Researchers
A Curriculum for Responsible Conduct of Research
in Occupational Therapy (2005)
Funded by the Office of Research Integrity through the
American Association of Medical Colleges
Authorship
Objectives




Discuss how the history of a work, responsibility for
the work, and accurate credit for the work determine
assigned authorship, acknowledgment, and author
order.
Apply authorship principles and rules to case
examples.
Discuss how professional cultures differ regarding
authorship and author order.
Feel empowered to discuss authorship issues with
involved parties.
Dissemination is an Obligation

Researchers are obliged to share their study methods
and findings

Participants, funders, and colleagues rely on this
commitment
Ways to Disseminate

Dissemination may be through:




Publication in journals, texts, monographs, pamphlets,
Internet postings, etc…
Oral presentations, workshops, or poster sessions at
professional meetings
Media such as videos, commercialize devices, or lecture
audiovisuals
Decide on type and forum of dissemination based on
the target audience for findings
Authorship

Authors are listed to provide a public
record of responsibility and credit for the
work

Only those who can take both
responsibility and credit for a work
should be authors
Authorship Policies Try to

Ensure that all those who deserve authorship
are listed as authors

Ensure that those who do not deserve
authorship are not listed as authors
Authorship (continued)

To be eligible for authorship, most policies
require that a person:



Make a major contribution to concept, design,
analysis and/or interpretation of the work
Participate in drafting the article or revising it
critically for important content
Have a voice in the final version submitted for
publication
(continued next slide)
Authorship (continued)


Accept responsibility as well as credit for the
work
Be able to present, discuss, interpret, and defend
the work, analysis, and conclusions
Authorship Policy
of the American Psychological Association
“Authorship is reserved for persons who make a
primary contribution to and hold primary
responsibility for the data, concepts, and
interpretation of results for a published work”
(Huth, 1987). Authorship encompasses not only
those who do the actual writing but also those who
have made substantial scientific contributions to a
study.”
(American Psychological Association, 2001, pg. 6)
Authorship Policy of International Committee

of Medical Journal Editors (ICMJE)
“Authorship credit should be based on




1) substantial contributions to conception and
design, or acquisition of data, or analysis and
interpretation of data;
2) drafting the article or revising it critically for
important intellectual content; and
3) final approval of the version to be published.
Authors should meet conditions 1, 2, and 3.”
(International Committee of Medical Journal Editors, 2004)
Authorship Policy of International Committee
of Medical Journal Editors (ICMJE)(continued)

“Acquisition of funding, collection of data, or
general supervision of the research group, alone,
does not justify authorship.

All persons designated as authors should qualify for
authorship, and all those who qualify should be
listed.”
(International Committee of Medical Journal Editors, 2004)
Authorship Policy of the American Journal
of Occupational Therapy (AJOT)

“The statement of authorship responsibility is
certification that each author has made substantial
contributions to (a) the conception and design,
acquisition of data, or analysis and interpretation of
data; (b) drafting and revising the article; and (c)
approval of the final version. Further, each author
takes public responsibility for the work.”
( American Journal of Occupational Therapy, n.d.)
Your School’s Authorship Policy Here

Many universities/colleges have an authorship
policy in the institution’s Code of Conduct.

Insert with proper citation
Your OT Departmental or Program
Authorship Policy here



If your Department or Program has an
authorship policy
Insert with proper citation
If it does not have one – you may want to ask
faculty or students to develop one
Author Order

Professions differ in their conventions for
author order

Most professions agree that:
 First author is principal contributor
 Subsequent authors listed in order of
decreasing contribution
Author Order (continued)

Some Common Exceptions:

Alphabetical listing, with designation of a
contributing author (i.e., the author to be
contacted). A common convention in
mathematics.

Biomedical researchers often attach special credit
to final author (i.e., anchor author).
Authorship Issues in Faculty/Student
Collaborations


Faculty-student collaborations are unequal
Two common ethical problems:

Faculty taking unearned authorship or
inappropriate author order

Faculty granting students unearned authorship or
inappropriate author order
(Fine and Kurdek , 1993)
Preventing Authorship Problems



Identify and assign study tasks that are key for
authorship, and those warranting only
acknowledgement.
Link authorship to quality and completion of
work not to an individual’s role or title.
Renegotiate authorship and author order when
new tasks emerge, responsibilities alter, or
people enter or leave the collaborative group
Acknowledgements

Acknowledge


People or institutions with minor but respected role in
project
People who cannot or do not want to be author

Acknowledgements should specify contribution, not
offer vague thanks for help

Many journals now require permission if specific
person or institution is named as this could imply
endorsement of study
Examples of Contributions Appropriate for
Acknowledgement





Advice on study design
Editing grant proposal,
manuscript
Data collection, subject
recruitment, providing
animals, contributing
samples
Statistical or technical
advice
Assistance with data
entry or analysis







Photography
Financial support or
donation of materials
Clerical assistance
Editorial assistance
Participants
Fabrication of a device
Recruitment or referral
of participants
Acknowledgement Order

American Psychological Association:

List funding sources first, then colleagues who
gave editorial or other assistance.
(Publication Manual of the American Psychological
Association 5th Ed., 2001)

American Medical Association


No order given for acknowledgements
Others:

People first (participants, colleagues), money last
Resources




American Journal of Occupational Therapy. (n.d.). Author’s
guide. Retrieved September 8, 2005, from
http://www.aota.org/ajot/authguide.asp.
American Medical Association. (1998). American Medical
Association manual of style (9th ed.). Baltimore: Williams &
Wilkins.
American Psychological Association. (2001). Publication
manual of the American Psychological Association (5th ed.).
Washington, DC: Author.
Eastern Michigan University. (n.d.). Publication practices
and responsible authorship. Retrieved September 8, 2005,
from http://www.rcr.emich.edu/module6/f1_objectives.html
Resources (continued)



Fine, M. A, & Kurdek, L. A. (1993). Reflections on
determining authorship credit and authorship order on
faculty-student collaborations. American Psychologist, 48,
1141–1147.
International Committee of Medical Journal Editors. (2004).
Uniform requirements for manuscripts submitted to
biomedical journals: Writing and editing for biomedical
publication. Retrieved September 8, 2005, from
http://www.icmje.org/#author.
Magnus, P. D., & Kalichman, M. (2002, September).
Authorship. Retrieved September 8, 2005, from RCR
Education Resources, Online Resource for RCR Instructors:
http://rcrec.org/r/index.php?module=ContentExpress&func=d
isplay&meid=35&ceid=19.
This completes the presentation on
Authorship
THANK YOU!