Department of Physics and Astronomy Authorship Policy
1 Introduction
Research in the Department of Physics and Astronomy can be categorized as either theory or experiment. Each research area consists of groups of researchers that include faculty, postdoctoral fellows, graduate and undergraduate students and support technical staff. In some instances, these groups may include researchers from institutions other than the University of Pennsylvania. In this document of authorship policy, it is useful to divide the department into the major research area subgroups. These are: High Energy and Nuclear Physics, Condensed Matter Physics, and Astrophysics. Each area has a theoretical and experimental component.
2 Qualifications for Authorship
Authorship should be based on any of the following:
1. Initiating the scientific ideals addressed in the paper.
2. Significant contribution to building the experimental apparatus.
3. Significant contribution to the data taking.
4. Major contribution to the data analysis.
5. Important role in writing the paper and reviewing its scientific content.
Authorship should not be based on the following:
1. Participation in obtaining funding or general supervision of the group but not participating in the general intellectual activity of the group does not qualify that person for authorship.
2. Simply being a member of a group does not qualify a person for authorship.
2.1 Experiment
1. High Energy Experiment. Rules governing authorship are normally defined by a set of bylaws written by the collaboration. At Penn, there is participation in four major experimental efforts: CDF at Fermilab (a 700 collaborators); BaBar at SLAC (a 500 collaborators); ATLAS at CERN (a 1500); and the Sudbury Neutrino Observatory (a 75). All four experiments have their own bylaws defining authorship. Any student joining these groups should ask to read the rules of the collaboration.
2. Condensed Matter . Experiments involving only the Department of Physics and Astronomy faculty will have the authorship defined by the participating faculty. In the case where outside collaborators are involved, outside faculty or senior researchers from national laboratories, etc. will determine authorship in conjunction with Penn faculty.
3. Astrophysics. Experiments involving only the Department of Physics and Astronomy faculty will have the authorship defined by the participating faculty. In the case where outside collaborators are involved, outside faculty or senior researchers from national laboratories, etc. will determine authorship in conjunction with Penn faculty.
2.2 Theory-all groups The main criteria for authorship is significant scientific contribution and public responsibility for the result. This is to be determined by the faculty involved in the theoretical work.
3 The Order of Authors
In HEP experiment, the author order is determined by the bylaws of the collaboration. In HEP theory and all other groups in the department, two methods are used.
1. Some groups order the paper's authors in alphabetical order.
2. If this is not the case, the person making the greatest scientific contribution is the first author. It is usually clear who has done this. Subsequent authors are listed in order of decreasing scientific contribution.
If a group structure exists, then only a majority of the faculty in the group could change the group's authorship rule.
Not all groups have "standard rules" for determining who is an author and the order of authors. A student joining a group has the right to ask the group leader in advance whether the work will constitute a publication (if successful) and how the authors will be chosen and ordered.
4 When Conflicts Arise
Sometimes, even when the rules have been followed, a student may feel unfairly treated. The best possible solution is for the faculty advisor and the student to discuss and hopefully resolve the conflict. If that does not work, a student and faculty advisor may ask the graduate Chair to arbitrate. The graduate Chair may ask the department Chair for assistance. If the graduate chair cannot resolve the conflict, then (s)he may form an appeals Committee of three faculty members to address the problem. If any conflict reaches this level of review, the Associate Dean for Graduate Studies will be advised that a committee has been formed. A written report, 1-2 pages in length, should be submitted by the graduate chair, summarizing the recommendations of the committee, to the Associate Dean for Graduate Studies. The recommendation of the graduate chair and the appeals Committee is not binding without the Consent of the lead investigator.