After publication of an article, Author A contacted the journal asking to correct their surname. Author A’s name consists of two parts, but only one was included in the publication. The editor accepted this request but asked all authors to agree to publication of an erratum. Author B (the corresponding author) immediately replied, disagreeing with publication of such an erratum. Author A informed the journal that he had a similar ongoing disagreement with Author B over Author A’s name in another journal. Author A also provided proof of legal name. According to our records, Author A’s name was incorrect on submission and Author A did not ask to correct it before publication (and had confirmed that the submission details were correct). When asked for an explanation of this, Author A claims not to have noticed the mistake at that time.
The journal asked Author B to explain the reason for objecting to the erratum. Author B instead replied with an accusation that Author A did not contribute to the experiments or writing of the article and therefore should be removed from the author list. The journal contacted all authors reminding them of the ICMJE authorship criteria and asking for each of them to confirm their contributions to the article. It was also explained to them that the journal was not able to judge authorship and, if the authors are unable to come to an agreement, the case would be referred to their institution for further investigation.
Author B replied insisting they have the final say on the authorship list as senior and corresponding author. Authors A and B continued to disagree over email, including the journal in this correspondence. Author A did not provide a very detailed statement of contribution. The other authors provided some statements of varying detail. Some of the authors who are still based at Author B’s institution provided identical statements, agreeing that the corresponding author can decide who should be named an author on a publication.
As the authors were unable to agree authorship among themselves, the journal contacted the institution where the research took place (also where author B is currently affiliated). Author A, and some of the other co-authors, have since left the institution. The institution discussed the case with the authors still at this institution, but stated they were not allowed to contact authors who had left (including Author A). The institution forwarded the journal a statement signed by Author B and the other authors still at the institution with a similar statement to those received previously stating that Author A did not meet authorship criteria.
The journal is concerned that the institutional investigation was perfunctory as it did not consult with the original complainant, Author A. However, the journal is not in a position to judge who should and should not be an author. In the meantime, Author B had contacted the editor asking to stop the investigation and not make any changes to the article. This was not acceptable to the editor as Author A’s name is still incorrect. The journal therefore restated the plan to publish an erratum to correct the name of Author A, but Author B strongly disagreed again, and again claimed that Author A should not be an author.
Question(s) for the COPE Forum
• Given that the authors are unable to agree on authorship of this article, the institutional investigation did not consider the opinions of all authors and Author B strongly disagrees with the publication of an erratum, the journal is considering publishing an Expression of Concern. This would state that Author A has informed the journal that their name is incorrect and include the corrected name. It would also state that authorship is under dispute and that the results of an instructional investigation were inconclusive as it was only possible to speak to the authors still at the institution. Would the Forum agree that this is a reasonable solution?
• Are there any suggestions on further action the journal can take?
Advice:
The Forum noted that there are two issues here: the name change and the erratum notice being clearly indicated. If the decision is made to remove the author, there is the issue of eligibility of authorship. Did the author qualify for authorship? Should he be included in the authorship list? Hence the Forum agreed that the editor cannot resolve this issue and it is best to refer the matter to the institution.
The editor’s immediate concern is that by changing the name, did that escalate the position of the other authors? The editor needs confirmation from the authors of who did what and the correct order of the author list. The Forum suggested that a table at the end of the appendices of the article, with clear descriptions of authorship and contributorship, would be useful. Asking each author to specify their contribution. CRediT (Contributor Roles Taxonomy) could be useful here.
Competition for last author place is increasing in some geographic areas and some disciplines. Changing authorship order or removing an author without adequate institutional investigation is not advisable, however, the correction of the one author’s name could be corrected with an erratum simply stating the correction. Because there is an ongoing dispute as to who actually participated as an author, the case needs to be further investigated by the institution and if the institution is unresponsive, the case should be escalated to a regional or national authority if available. The editor could inform the authors that the journal plans to issue an Expression of Concern about the authorship dispute, pending an investigation by the institution. This may encourage the authors to come to an agreement.
Follow up:
The journal is going ahead with the publication of: (1) an erratum to correct the surname of Author A; and (2) an Expression of Concern stating that there is a dispute among the authors over whether Author A qualifies for authorship and that the institution has been unable to contact all the authors to resolve the dispute.
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Editors cannot police author or contributor listings for every submission but may sometimes have suspicions that an author list is incomplete or includes undeserving (guest or gift) authors. The COPE flowchart 'Suspected ghost, guest or gift authorship' suggests actions for these situations. The points in this flowchart are designed to help editors be alert for inappropriate authorship and spot warning signs which may indicate problems.
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This document, based on the COPE Discussion Document titled What Constitutes Authorship? resulted from a review of the COPE Forum cases related to authorship, comments from COPE members related to the discussion document, and a desire to move past the stage of discussion to providing practical advice on addressing the most common issues around authorship. We are therefore providing specific guidance where there seems to be consensus and asking for further comments from COPE members in some areas.
Written by COPE Council Version 1 June 2014
Version 2 September 2019 How to cite this COPE Council. COPE Discussion Document: Authorship. September 2019. https://doi.org/10.24318/cope.2019.3.3
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20 September 2019
Version 2 September 2019
The topic for discussion at this Forum was ‘Authorship, contributorship, who’s doing what, and what do we need?’ Authorship issues are one of the most common issues that COPE members have to deal with. Leaving aside the ethically problematic issues of ghost, guest and gift authorship, seemingly simpler authorship disputes of for example, who deserves authorship, or what author order should be are very common across most disciplines
COPE's guidance, as a flowchart, on changes in authorship, Part (a) The corresponding author requests the addition of an extra author before publication.
Major changes in response to reviewer comments, e.g. adding new data might justify the inclusion of a new author.
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COPE's guidance, as a flowchart, on Changes in authorship, Part (d) A request is received for the removal of an author after publication.
Ask why the author wishes to be removed from list – refer to journal guidelines orthe authorship declaration which should state that all authors meet the appropriate criteria. Ask if author suspects fraud or misconduct.
Our COPE materials are available to use under the Creative Commons Attribution-NonCommercial-NoDerivs license https://creativecommons.org/licenses/by-nc-nd/3.0/ Attribution — You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they endorse you or your use of the work). Non-commercial — You may not use this work for commercial purposes. No Derivative Works — You may not alter, transform, or build upon this work. We ask that you give full accreditation to COPE with a link to our website: publicationethics.org
COPE's guidance, as a flowchart, on Changes in authorship, Part (c) A request is received for the addition of an extra author after publication.
To prevent future problems:
Before publication, get authors to sign statement that all listed authors meet authorship criteria and that no others meeting the criteria have been omitted.
Publish details of each person’s contribution to their search and publication.
Attribution — You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they endorse you or your use of the work).
Non-commercial — You may not use this work for commercial purposes. No Derivative Works —
You may not alter, transform, or build upon this work. We ask that you give full accreditation to COPE with a link to our website: publicationethics.org