Research Paper Order Of Authors In Publications

The increasing tendency across scientific disciplines to write multiauthored papers [1,2] makes the issue of the sequence of contributors' names a major topic both in terms of reflecting actual contributions and in a posteriori assessments by evaluation committees. Traditionally, the first author contributes most and also receives most of the credit, whereas the position of subsequent authors is usually decided by contribution, alphabetical order, or reverse seniority. Ranking the first or second author in a two-author paper is straightforward, but the meaning of position becomes increasingly arbitrary as the number of authors increases beyond two. Criteria for authorship have been discussed at length, because of the inflationary increase in the number of authors on papers submitted to biomedical journals and the practice of “gift” authorship [3,4], but a simple way to determine credit associated with the sequence of authors' names is still missing [4–7] (http://www.councilscienceeditors.org).

The situation in our area of research—the ecological and environmental sciences—has changed in recent years. Following informal practices in the biomedical sciences, the last author often gets as much credit as the first author, because he or she is assumed to be the driving force, both intellectually and financially, behind the research. Evaluation committees and funding bodies often take last authorship as a sign of successful group leadership and make this a criterion in hiring, granting, and promotion. This practice is unofficial, and hence not always followed, meaning that sometimes last authors “mistakenly” benefit when they actually are not principal investigators. Moreover, there is no accepted yardstick in assessing the actual contribution of a group leader to given scientific publications [8,9], so interpretation of author sequence can be like a lottery. Hence, one really does not know if being last author means that the overall contribution was the most or least important.

Although reducing evaluation of authors' complex contributions to simple metrics is regrettable, in reality it is already in practice in most evaluation committees. Hence, in our opinion, we need a simple and straightforward approach to estimate the credit associated with the sequence of authors' names that is free from any arbitrary rank valuation. In multiauthored papers, the first author position should clearly be assigned to the individual making the greatest contribution [4–6], as is common practice. However, authors often adopt different methods of crediting contributions for the following authors, because of very different traditions across countries and research fields, resulting in very different criteria that committees adopt to quantify author's contributions [8,9]. For example, some authors use alphabetical sequence, while others think that the last author position has great importance or that the second author position is the second most important. Still others detail each author's contribution in a footnote.

We suggest that the approach taken should be stated in the acknowledgements section, and evaluation committees are asked to weigh the contribution of each author based on the criteria given by the authors. This would make reviewers aware that there are different cultures to authorship order. The usual and informal practice of giving the whole credit (impact factor) to each author of a multiauthored paper is not adequate and overemphasises the minor contributions of many authors (Table 1). Similarly, evaluation of authors according to citation frequencies means often overrating resulting from high-impact but multiauthored publications. The following approaches may be identified.

Table 1

Comparison of the Credit for Contributions to This Paper under the Four Different Models Suggested in the Text

(1) The “sequence-determines-credit” approach (SDC). The sequence of authors should reflect the declining importance of their contribution, as suggested by previous authors [4–6]. Authorship order only reflects relative contribution, whereas evaluation committees often need quantitative measures. We suggest that the first author should get credit for the whole impact (impact factor), the second author half, the third a third, and so forth, up to rank ten. When papers have more than ten authors, the contribution of each author from the tenth position onwards is then valuated just 5%.

(2) The “equal contribution” norm (EC). Authors use alphabetical sequence to acknowledge similar contributions or to avoid disharmony in collaborating groups. We suggest that the contribution of each author is valuated as an equal proportion (impact divided by the number of all authors, but a minimum of 5%).

(3) The “first-last-author-emphasis” norm (FLAE). In many labs, the great importance of last authorship is well established. We suggest that the first author should get credit of the whole impact, the last author half, and the credit of the other authors is the impact divided by the number of all authors [as in (2)].

(4) The “percent-contribution-indicated” approach (PCI). There is a trend to detail each author's contribution (following requests of several journals) [7]. This should also be used to establish the quantified credit.

The SDC approach (as a new suggestion), the EC norm (alphabetical order), the FLAE norm, and the PCI approach may be combined (e.g., FLAE and SDC), but need to be explicitly mentioned in the acknowledgements.

Our suggestion of explicit indication of the method applied, including the simple method of weighing authors' rank in publications in a quantitative way, will avoid misinterpretations and arbitrary a posteriori designations of author contributions. Multidisciplinary scientific collaboration indeed must be encouraged, but we need to avoid misinterpretations so that current and future scientific communities can evaluate author contributions.

Acknowledgments

We applied the SDC approach for the sequence of authors. We are grateful for the stimulating discussions and comments by Jan Bengtsson, Charles Godfray, Bradford A. Hawkins, Christian Körner, William F. Laurance, Bernhard Schmid, Wim van der Putten, and Louise Vet.

Footnotes

Teja Tscharntke is Professor and Tatyana A. Rand is Postdoc with the Agroecology Group, University of Göttingen, Göttingen, Germany. Michael E. Hochberg is Research Director at Centre National de la Recherche Scientifique, University of Montpellier II, Montpellier, France. Vincent H. Resh is Professor at the Department of Environmental Science, Policy and Management, University of California, Berkeley, California, United States of America. Jochen Krauss is Postdoc with the Institute of Environmental Sciences, University of Zurich, Zurich, Switzerland, and the Department of Animal Ecology, Population Ecology, Bayreuth, Germany.

Funding. The authors received no specific funding for this article.

Competing interests. The authors have declared that no competing interests exist.

References

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  • Johnson S. Are ecologists becoming more gregarious? Bull British Ecol Soc. 2006;37:23–24.
  • Leash E. Is it time for a new approach to authorship? J Dental Res. 1997;76:724–727.[PubMed]
  • Hunt R. Trying an authorship index. Nature. 1991;352:187.
  • Schmidt RH. A worksheet for authorship of scientific articles. Bull Ecol Soc America. 1987;68:8–10.
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Conventions of Scientific Authorship

By Vijaysree Venkatraman

Pardis Sabeti published her first scientific paper when she was an undergraduate at the Massachusetts Institute of Technology. Her name had appeared in acknowledgment sections before, but that was the first time she was listed as an author—and she was first on the author list. It was an important milestone in the development of her scientific career.

Sabeti has moved on. These days, as assistant professor in genomics and systems biology at Harvard University, she usually is listed last on papers that come out of her lab. Although students have to earn their way onto the lab's papers, Sabeti admits to being instinctively inclusive when it comes to authorship. Inclusiveness is appropriate, she says, because her students "are always intellectually involved—not just a pair of hands in the lab."

If scientists want to convey this information by the way their names are ordered, the method is similar to sending smoke signals, in code, on a dark, windy night.

—Drummond Rennie

In another lab on the same campus, Stephen Kosslyn, a professor of psychology, employs a more elaborate and specific strategy for assigning authorship. Fifteen years ago, a dispute between a postdoc and a graduate student alerted Kosslyn to the contentiousness of some authorship decisions. Once he explained his rationale to his disgruntled junior colleagues, they agreed that his decision made sense. He decided to spell out his system for future collaborators.

Kosslyn employs a points system, which is explicated on his lab website. Anyone who works with him on a project that results in a paper can earn up to 1000 points, based on the extent of their contribution to six different phases of the project: idea, design, implementation, conducting the experiment, data analysis, and writing. The first and last phases—idea and writing—get the most weight. Those who make a certain cutoff are granted authorship, and their score determines their order on the list. Those who earn less than 100 points are acknowledged in a footnote. "It's very, very rare that there's any sort of issue," he says.

Authors galore

Outside of Kosslyn's lab, the apportionment of credit in an author list—typically the prerogative of the lab head—is rarely straightforward. Although most decisions are uncontroversial, inexplicable omissions and unjustified exclusions are commonplace. Everyone in the scientific community knows stories of authors who shouldn't have been, and non-authors who should have been, Sabeti says.

Science historian Mario Biagioli, the co-editor of the anthology Scientific Authorship: Credit and Intellectual Property in Science, says author attribution has always been a tricky issue. He mentions Robert Boyle, the 17th century chemist whose anonymous employees emerged from the shadows only when he blamed them for things that went wrong, such as explosions. Biagioli says that Boyle's leaving his employees names off his papers wasn't violating any ethical rules, because authorship protocols hadn’t stabilized yet.

Today, reputable journals in every scientific discipline have guidelines for authorship, but the protocols still haven't exactly stabilized, and they rarely address author order. (An exception is high-energy particle physics, where the names of authors—frequently a cast of hundreds—are listed alphabetically.) Authors are free to negotiate their position in the author list with their co-authors, says Sonja Krane, managing editor of the Journal of the American Chemical Society, in an e-mail.

That order matters greatly for scientists in academia, especially scientists who aren't yet established in independent careers. Publication records weigh heavily in hiring, funding, and promotion decisions, and departments, hiring managers, and personnel committees want to know how, and how much, a candidate contributed to a collaborative project. Often, all they have to go on is their position in the author list.

"In the score-keeping that scientists do, first author is the most coveted slot," says Janet Stemwedel, who teaches ethics in science at San José State University in California and writes the Adventures in Ethics and Science blog. Primary authorship is highly valued because it usually indicates who had the idea, who was the "main mover" in the work, or both, Kosslyn says. And because of the way work gets cited (e.g., "First Author, et al., 2010") the first author's name is the most visible to readers. Sometimes more than one author can be "first," indicated by an asterisk or other typographical symbol and an explanatory note. But the person listed first is always the most visible.

With credit comes responsibility: Who is to blame if something's wrong? Typically—but not always—the author listed last is the head of the lab that hosted most of the research. Ideally, this senior author has inspected all the original data analyzed and reported in a paper, notes Randy Schekman, editor-in-chief of the Proceedings of the National Academy of Sciences (PNAS). Consequently, the last author often gets the most grief if things go wrong—and much of the credit when things go right. "The proverbial buck stops there," Schekman says.

Having one person ultimately responsible for everything in a paper is a fine idea. Yet, in collaborative projects involving diverse disciplines and institutions, it's unrealistic to expect one person to be able to vouch for every piece of experimental data, says Bruce Alberts, editor-in-chief of Science, the parent publication of Science Careers. Some journals now require a senior author from each lab to review all of the data generated by their labs and its interpretation. The result is that in complex projects, there can be more than one "last author" just as there can be more than one "first" author; this, too, is usually indicated with typographic symbols and explanatory footnotes.

In addition, almost every scientific article specifies at least one "corresponding author," indicated by a typographic mark and a footnote. The corresponding author is the point of contact for editors, readers, and outside researchers who have questions about the contents of the paper. Often, the corresponding author is also the last author, but she or he may be listed first or even in the middle of the author list.

Gift authorship

For a student who has been left off an author list, it can be especially maddening to see someone included who obviously doesn't deserve it. Also called "honorary," or "guest," authors, gift authors don't make a significant contribution (or sometimes any contribution at all) to the paper, Stemwedel says. Motivations for gift authorship vary; the principal investigator (PI) may think he's doing the recipient a favor, or she or he may think that adding the name of a well-known scientist will improve the odds of getting published in a top journal. Gift authors can appear anywhere on the author list, but usually they're listed in the middle.

Gift authorship is especially damaging when the recipient is a senior author, says Drummond Rennie, deputy editor of the Journal of the American Medical Association (JAMA). Anyone who doesn't realize that the authorship is honorary—that is, almost everyone who reads the paper—will wrongly assume that this well-known scientist has performed his or her role in ensuring the integrity of the data. "Sadly, the paper which had so many fathers till then—as indicated by the author list—suddenly becomes an orphan," Rennie says. Sometimes authorships are even "gifted" without the recipient's knowledge.

Contributor, not author

As collaborations become interdisciplinary and author lists grow longer, who did what becomes even less discernible to readers. "If scientists want to convey this information by the way their names are ordered, the method is similar to sending smoke signals, in code, on a dark, windy night," Rennie says. An unpublished 1995 survey conducted by AAAS—the publisher of Science and Science Careers—found that even editors of clinical journals couldn't agree on the meaning of author order. In a culture that requires precise communication, the traditional means of communicating author's contributions is "scarcely scientific," Rennie says.

So in 1996, Rennie proposed a solution: Each manuscript should contain a clear description of each author's contribution. The team should identify a leader to reassure readers and editors that someone is accountable. Because they describe their roles in print for all to see, the authors can't change their stories later. Top medical journals such as JAMA, The Lancet, British Medical Journal, and Radiology adopted Rennie's proposal.

From an accountability standpoint, the JAMA system would seem to have few disadvantages; Biagioli says the move from "author" to "contributor" has been by far the most innovative step toward transparency in publishing research results. There can be no ethical argument against such explicit authorship, Stemwedel of San José State agrees. Yet the built-in ambiguity of the present system might hold appeal for some, depending where they are in the power structure. For instance, if the last author is a big name, readers could easily assume that the senior scientist provided the intellectual firepower, even if the first author did the heavy lifting, Stemwedel says. Furthermore, agreeing who came up with which fraction of a big idea can be difficult, she adds.

Meanwhile ...

The shift toward a more explicit listing of authorial roles seems likely to continue, but the situation may never completely clarify. Authorship conventions may forever remain specific to the ecologies of particular disciplines, Biagioli says. Schekman adds that journals may never standardize authorship conventions. New entrants to the world of research likely will continue to grapple with the ambiguities of the current system, negotiating for an appropriate spot on the author list.

"Working out relative importance of each person's contribution to the research will still be a judgment call," Stemwedel says. Documenting each author's contribution to the project is good practice, even if a journal doesn't require it, Biagioli advises. A bit of introspection can make the process go more smoothly, says Stemwedel, so "don't wait to for a manuscript to be drafted. At the very beginning of the project, sit down with the members of the team and the PI to discuss which part you plan to take responsibility for." "Revisit this idea at periodic intervals," Biagioli says, so that no one will be surprised to find themselves left off the list, or listed in the middle on a project that they once thought of as theirs.

doi:10.1126/science.caredit.a1000039

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