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How to Order Authors in Scientific Papers

It’s rare that an article is authored by only one or two people anymore. In fact, the average original research paper has five authors these days. The growing list of collaborative research projects raises important questions regarding the author order for research manuscripts and the impact an author list has on readers’ perceptions.

With a handful of authors, a group might be inclined to create an author name list based on the amount of work contributed. What happens, though, when you have a long list of authors? It would be impractical to rank the authors by their relative contributions. Additionally, what if the authors contribute relatively equal amounts of work? Similarly, if a study was interdisciplinary (and many are these days), how can one individual’s contribution be deemed more significant than another’s?

Why does author order matter?

Although an author list should only reflect those who have made substantial contributions to a research project and its draft manuscript (see, for example, the authorship guidelines of the International Committee of Medical Journal Editors ), we’d be remiss to say that author order doesn’t matter. In theory, everyone on the list should be credited equally since it takes a team to successfully complete a project; however, due to industry customs and other practical limitations, some authors will always be more visible than others.

The following are some notable implications regarding author order.

• The “first author” is a coveted position because of its increased visibility. This author is the first name readers will see, and because of various citation rules, publications are usually referred to by the name of the first author only. In-text or bibliographic referencing rules, for example, often reduce all other named authors to “et al.” Since employers use first-authorship to evaluate academic personnel for employment, promotion, and tenure, and since graduate students often need a number of first-author publications to earn their degree, being the lead author on a manuscript is crucial for many researchers, especially early in their career.
• The last author position is traditionally reserved for the supervisor or principal investigator. As such, this person receives much of the credit when the research goes well and the flak when things go wrong. The last author may also be the corresponding author, the person who is the primary contact for journal editors (the first author could, however, fill this role as well, especially if they contributed most to the work).
• Given that there is no uniform rule about author order, readers may find it difficult to assess the nature of an author’s contribution to a research project. To address this issue, some journals, particularly medical ones, nowadays insist on detailed author contribution notes (make sure you check the target journal guidelines before submission to find out how the journal you are planning to submit to handles this). Nevertheless, even this does little to counter how strongly citation rules have enhanced the attention first-named authors receive.

Common Methods for Listing Authors

The following are some common methods for establishing author order lists.

• Relative contribution. As mentioned above, the most common way authors are listed is by relative contribution. The author who made the most substantial contribution to the work described in an article and did most of the underlying research should be listed as the first author. The others are ranked in descending order of contribution. However, in many disciplines, such as the life sciences, the last author in a group is the principal investigator or “senior author”—the person who often provides ideas based on their earlier research and supervised the current work.
• Alphabetical list . Certain fields, particularly those involving large group projects, employ other methods . For example, high-energy particle physics teams list authors alphabetically.
• Multiple “first” authors . Additional “first” authors (so-called “co-first authors”) can be noted by an asterisk or other symbols accompanied by an explanatory note. This practice is common in interdisciplinary studies; however, as we explained above, the first name listed on a paper will still enjoy more visibility than any other “first” author.
• Multiple “last” authors . Similar to recognizing several first authors, multiple last authors can be recognized via typographical symbols and footnotes. This practice arose as some journals wanted to increase accountability by requiring senior lab members to review all data and interpretations produced in their labs instead of being awarded automatic last-authorship on every publication by someone in their group.
• Negotiated order . If you were thinking you could avoid politics by drowning yourself in research, you’re sorely mistaken. While there are relatively clear guidelines and practices for designating first and last authors, there’s no overriding convention for the middle authors. The list can be decided by negotiation, so sharpen those persuasive argument skills!

As you can see, choosing the right author order can be quite complicated. Therefore, we urge researchers to consider these factors early in the research process and to confirm this order during the English proofreading process, whether you self-edit or received manuscript editing or paper editing services , all of which should be done before submission to a journal. Don’t wait until the manuscript is drafted before you decide on the author order in your paper. All the parties involved will need to agree on the author list before submission, and no one will want to delay submission because of a disagreement about who should be included on the author list, and in what order (along with other journal manuscript authorship issues).

On top of that, journals sometimes have clear rules about changing authors or even authorship order during the review process, might not encourage it, and might require detailed statements explaining the specific contribution of every new/old author, official statements of agreement of all authors, and/or a corrigendum to be submitted, all of which can further delay the publication process. We recommend periodically revisiting the named author issue during the drafting stage to make sure that everyone is on the same page and that the list is updated to appropriately reflect changes in team composition or contributions to a research project.

Defining the Role of Authors and Contributors

Page Contents

• Why Authorship Matters
• Who Is an Author?
• Non-Author Contributors
• Artificial Intelligence (AI)-Assisted Technology

1. Why Authorship Matters

Authorship confers credit and has important academic, social, and financial implications. Authorship also implies responsibility and accountability for published work. The following recommendations are intended to ensure that contributors who have made substantive intellectual contributions to a paper are given credit as authors, but also that contributors credited as authors understand their role in taking responsibility and being accountable for what is published.

Editors should be aware of the practice of excluding local researchers from low-income and middle-income countries (LMICs) from authorship when data are from LMICs. Inclusion of local authors adds to fairness, context, and implications of the research. Lack of inclusion of local investigators as authors should prompt questioning and may lead to rejection.

Because authorship does not communicate what contributions qualified an individual to be an author, some journals now request and publish information about the contributions of each person named as having participated in a submitted study, at least for original research. Editors are strongly encouraged to develop and implement a contributorship policy. Such policies remove much of the ambiguity surrounding contributions, but leave unresolved the question of the quantity and quality of contribution that qualify an individual for authorship. The ICMJE has thus developed criteria for authorship that can be used by all journals, including those that distinguish authors from other contributors.

2. Who Is an Author?

The ICMJE recommends that authorship be based on the following 4 criteria:

• Substantial contributions to the conception or design of the work; or the acquisition, analysis, or interpretation of data for the work; AND
• Drafting the work or reviewing it critically for important intellectual content; AND
• Final approval of the version to be published; AND
• Agreement to be accountable for all aspects of the work in ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved.

In addition to being accountable for the parts of the work done, an author should be able to identify which co-authors are responsible for specific other parts of the work. In addition, authors should have confidence in the integrity of the contributions of their co-authors.

All those designated as authors should meet all four criteria for authorship, and all who meet the four criteria should be identified as authors. Those who do not meet all four criteria should be acknowledged—see Section II.A.3 below. These authorship criteria are intended to reserve the status of authorship for those who deserve credit and can take responsibility for the work. The criteria are not intended for use as a means to disqualify colleagues from authorship who otherwise meet authorship criteria by denying them the opportunity to meet criterion #s 2 or 3. Therefore, all individuals who meet the first criterion should have the opportunity to participate in the review, drafting, and final approval of the manuscript.

The individuals who conduct the work are responsible for identifying who meets these criteria and ideally should do so when planning the work, making modifications as appropriate as the work progresses. We encourage collaboration and co-authorship with colleagues in the locations where the research is conducted. It is the collective responsibility of the authors, not the journal to which the work is submitted, to determine that all people named as authors meet all four criteria; it is not the role of journal editors to determine who qualifies or does not qualify for authorship or to arbitrate authorship conflicts. If agreement cannot be reached about who qualifies for authorship, the institution(s) where the work was performed, not the journal editor, should be asked to investigate. The criteria used to determine the order in which authors are listed on the byline may vary, and are to be decided collectively by the author group and not by editors. If authors request removal or addition of an author after manuscript submission or publication, journal editors should seek an explanation and signed statement of agreement for the requested change from all listed authors and from the author to be removed or added.

The corresponding author is the one individual who takes primary responsibility for communication with the journal during the manuscript submission, peer-review, and publication process. The corresponding author typically ensures that all the journal’s administrative requirements, such as providing details of authorship, ethics committee approval, clinical trial registration documentation, and disclosures of relationships and activities are properly completed and reported, although these duties may be delegated to one or more co-authors. The corresponding author should be available throughout the submission and peer-review process to respond to editorial queries in a timely way, and should be available after publication to respond to critiques of the work and cooperate with any requests from the journal for data or additional information should questions about the paper arise after publication. Although the corresponding author has primary responsibility for correspondence with the journal, the ICMJE recommends that editors send copies of all correspondence to all listed authors.

When a large multi-author group has conducted the work, the group ideally should decide who will be an author before the work is started and confirm who is an author before submitting the manuscript for publication. All members of the group named as authors should meet all four criteria for authorship, including approval of the final manuscript, and they should be able to take public responsibility for the work and should have full confidence in the accuracy and integrity of the work of other group authors. They will also be expected as individuals to complete disclosure forms.

Some large multi-author groups designate authorship by a group name, with or without the names of individuals. When submitting a manuscript authored by a group, the corresponding author should specify the group name if one exists, and clearly identify the group members who can take credit and responsibility for the work as authors. The byline of the article identifies who is directly responsible for the manuscript, and MEDLINE lists as authors whichever names appear on the byline. If the byline includes a group name, MEDLINE will list the names of individual group members who are authors or who are collaborators, sometimes called non-author contributors, if there is a note associated with the byline clearly stating that the individual names are elsewhere in the paper and whether those names are authors or collaborators.

3. Non-Author Contributors

Contributors who meet fewer than all 4 of the above criteria for authorship should not be listed as authors, but they should be acknowledged. Examples of activities that alone (without other contributions) do not qualify a contributor for authorship are acquisition of funding; general supervision of a research group or general administrative support; and writing assistance, technical editing, language editing, and proofreading. Those whose contributions do not justify authorship may be acknowledged individually or together as a group under a single heading (e.g. "Clinical Investigators" or "Participating Investigators"), and their contributions should be specified (e.g., "served as scientific advisors," "critically reviewed the study proposal," "collected data," "provided and cared for study patients," "participated in writing or technical editing of the manuscript").

Because acknowledgment may imply endorsement by acknowledged individuals of a study’s data and conclusions, editors are advised to require that the corresponding author obtain written permission to be acknowledged from all acknowledged individuals.

Use of AI for writing assistance should be reported in the acknowledgment section.

4. Artificial Intelligence (AI)-Assisted Technology

At submission, the journal should require authors to disclose whether they used artificial intelligence (AI)-assisted technologies (such as Large Language Models [LLMs], chatbots, or image creators) in the production of submitted work. Authors who use such technology should describe, in both the cover letter and the submitted work in the appropriate section if applicable, how they used it. For example, if AI was used for writing assistance, describe this in the acknowledgment section (see Section II.A.3). If AI was used for data collection, analysis, or figure generation, authors should describe this use in the methods (see Section IV.A.3.d). Chatbots (such as ChatGPT) should not be listed as authors because they cannot be responsible for the accuracy, integrity, and originality of the work, and these responsibilities are required for authorship (see Section II.A.1). Therefore, humans are responsible for any submitted material that included the use of AI-assisted technologies. Authors should carefully review and edit the result because AI can generate authoritative-sounding output that can be incorrect, incomplete, or biased. Authors should not list AI and AI-assisted technologies as an author or co-author, nor cite AI as an author. Authors should be able to assert that there is no plagiarism in their paper, including in text and images produced by the AI. Humans must ensure there is appropriate attribution of all quoted material, including full citations.

Next: Disclosure of Financial and Non-Financial Relationships and Activities, and Conflicts of Interest

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First Author vs. Corresponding Author? How to Decide Which to Choose

This article discusses the importance of authorship in academic publishing. The first author executes a large portion of the work throughout the research process and signifies the researcher has provided the greatest intellectual contribution. The corresponding author is explicitly identified on the first page of the manuscript, is selected to further manage the pre and post-publication responsibilities, and serves as the point of contact for communication with a journal during the submission, peer review, and publication process.

Updated on April 26, 2023

Every process is conducted through a series of steps. The Scientific Method, for example, provides guidelines for navigating the research process and generally includes:

• Making observations
• Identifying a problem
• Formulating a hypothesis
• Designing an experiment
• Analyzing the data
• Reporting a conclusion

While the actual procedures may vary between fields, the underlying process remains intact. The same holds true for the publication process:

• Complete your research
• Choose a journal
• Prepare the manuscript
• Submit the manuscript
• Make any revisions
• Publication

Each of these processes contains many more specific steps and processes, including assigning authorship to the research manuscript . This article outlines the importance of authorship, delineates the meanings of first author and corresponding author, and addresses some of the challenges associated with the process.

Why is authorship important?

On the surface, the positioning of a researcher’s name and title on a manuscript seems straightforward, a simple task. Most lay people use the list of names solely for searching and citation purposes.

In reality, though, the order of those names tells a complex story of authorship. It is, in fact, the primary way for a researcher to convey the extent of their contribution to the reader.

To attain authorship on a manuscript, a researcher must not only contribute substantially to the work but also take responsibility and accountability for the information it contains. The International Committee of Medical Journal Editors (ICMJE) recommends authorship be based on 4 specific criteria related to these broad principles.

With authorship comes both recognition and obligation that have important academic, social, and financial implications. The two most prominent authorship positions are first author and corresponding author .

What is the first author?

The first author position is a coveted spot. No matter how many other authors’ names appear on the manuscript or which referencing style is used, the first author’s last name will be mentioned in every future citation of the work.

For this reason alone, the name of the first author is remembered, indexed, and promoted more than any other. It is not just a status symbol, though. The first author executes a large portion or majority of the work throughout the research process.

First author credit signifies the researcher has provided the greatest intellectual contribution, and, therefore, comes with substantial benefits. The manuscripts of first authors hold substantial value for grant and position applications, staff appraisals and reviews, and many other forms of career development.

First author duties

The designation as first author is not based on academic or professional hierarchy, the prestige, or expertise of the author. It’s based on the inputs and outputs of work. First authors must:

• Make significant, original, and insightful intellectual contributions
• Participate in the conception and planning of the study
• Generate data through performing experiments, conducting literature reviews, and organizing surveys and interviews
• Analyze the results through statistical analysis and by generating graphs, tables, and illustrations
• Write and edit the manuscript
• Help with queries and revisions after submission

The researcher fulfilling all these duties is rightfully the first author.

What is the corresponding author?

Like the first author designation, the title of corresponding author also comes with considerable prestige. The corresponding author is explicitly identified on the first page of the manuscript. In addition to meeting all the preexisting authorship requirements, this person is selected to further manage the pre and post-publication responsibilities.

The corresponding author is customarily a senior researcher or academic with extensive publishing knowledge and experience. As the primary source of communication for both the publisher and the readers, the corresponding author’s contact information is included within the article.

The corresponding author must have exceptional communication skills. The role assumes primary responsibility for connecting with target journals. They must be organized and meticulous with the substantial volume of tasks associated with the position.

Corresponding author duties

Neither electing a corresponding author nor accepting the position should be taken lightly as it is an essential and long lasting obligation. The duties span from prior to publication to well afterwards and include:

While all corresponding authors serve as the point of contact for communication with a journal during the submission, peer review, and publication process, some journals outline additional conditions for the role. The National Academy of Sciences offers a table that compiles the corresponding author requirements for various journals.

What if there are authorship disputes or changes?

While openly discussing and defining a research team’s roles during the initial planning phase is vital for curbing authorship disputes, combining this practice with other forward-thinking acts is key. Responsibilities and work status must be addressed during regularly scheduled meetings and special meetings need to be called when a team member is added or ends involvement in the project.

How to avoid authorship disputes

To avoid disputes, teams start by mapping out the most obvious roles, author and non-author contributor, and by rejecting any proposed “non-role.” The input of non-author contributors is narrow in scope, providing technical, administrative or writing assistance, and does not fulfill the previously outlined authorship criteria.

A non-role is any inappropriate or irrelevant participant who will harm the research process, such as unethical types of authors . This category encompasses guest authors, forged authors, ghost authors, and orphan authors and must be avoided at all costs.

Many journals require a document be included with the submission package to delineate author contributions to explain and justify author order. By creating this list as a living document from the outset, a research team fulfills the prerequisite for the publisher and guarantees transparency and fairness throughout.

Because changing authorship after publication is messy, necessitating specific documentation, signatures, and approval, it is frowned upon by journal editors. While taking proactive steps to avoid disputes that may result in this situation saves the research team time and hassle, it does not always alleviate future changes.

The addition, removal, or reordering of authors on a manuscript while actively going through the publication process requires a letter signed by all original and additional authors stating the reason for the change and their mutual agreement. For changes made after publication, an authorship corrigendum must be submitted by all authors per COPE guidelines .

Final thoughts

Getting to the manuscript writing and publication stages of a research project are exciting milestones for everyone involved. Ideally, authorship roles are clearly defined and assigned at this point.

Though the first author and corresponding author positions are sometimes performed by the same person, the obligations of each are unique. The first author undertakes the bulk of work duties and makes a significant intellectual contribution to the research project. The corresponding author carries out the communication and administrative tasks necessary for publishing the manuscript.

Both roles are vital to the research and publication processes. They require intense labor and responsibility. With this comes great recognition and prestige for first authors and corresponding authors.

Charla Viera, MS

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Guidelines on authorship and acknowledgement.

Disagreements may arise regarding who should be named as an author or contributor to intellectual work and the order in which individuals should be listed. These Guidelines are meant to serve as a set of standards that are shared by the academic community as a whole in order to help facilitate open communication through the adherence to common principles.  These principles apply to all intellectual products, whether published or prepared for internal use or for broad dissemination. For a printable pdf of these guidelines, please click here .

Applicability

These Guidelines apply to all faculty, students postdoctoral researchers, and staff. Ownership of research data and materials resulting from Harvard University (“University”) research activities rests with the University (see Research Data Ownership Policy ). 

Designing an ethical and transparent approach to authorship and publication of research, whether in a peer-reviewed journal or in an open access e-print or pre-print repository (e.g., arXiv, PsyArXiv), is a shared responsibility of all research team members but is primarily the responsibility of the Principal Investigator. The University recognizes that there are different standards across disciplines regarding authorship and the order in which authors are listed or acknowledged. Additionally, journals often specify their requirements in their guidance for authors and require attestations regarding individual authors intellectual contributions to the work. As a result, each laboratory, department, and/or school should engage in conversations regarding their own discipline-specific standards of authorship and, if needed, are encouraged to supplement the Guidelines herein with a description of these respective discipline-specific processes for deciding who should be an author and the order in which authors will be listed.

Note that these Guidelines are not intended for allegations related to research misconduct, defined as fabrication or falsification of data or plagiarism, which are subject to the Procedures for Responding to Allegations of Misconduct in Research and reviewed by the Committee on Professional Conduct (CPC).  

Criteria for Authorship

FAS and SEAS recommend that authorship consider the following criteria [1] ;

• Each author is expected to have made substantial contributions to the conception or design of the work; or the acquisition, analysis, or interpretation of data; or the creation of new software used in the work; or have drafted the work or substantively revised it; AND
• To have approved the submitted version (and any substantially modified version that involves the author’s contribution to the study); AND
• To have agreed both to be personally accountable for the author’s own contributions and to help ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated and resolved..

Some diversity exists across academic disciplines regarding acceptable standards for substantive contributions that would lead to attribution of authorship. Many journals have adopted discipline-specific standards. The University expects that researchers will act in accordance with accepted practice of the relevant research community. This Guidance is intended to allow for such variation of best practices within a specific discipline, while ensuring authorship is not inappropriately assigned.

Acknowledgment Versus Authorship

Financial sponsorship or donation of gift funding does not constitute criteria for authorship. Individuals who do not meet the recommended requirements for authorship, but have provided a valuable contribution to the work, should be acknowledged for their contributing role as appropriate to the publication. Authorship should not be conferred on those who have not made intellectual contributions to the work, or whose intellectual contributions are limited.

Implementation

Implementation of these Guidelines should include a commitment to collegiality, open communication, and expectation-setting throughout the research and scholarly process as well as the following considerations (see Authorship Best Practices Guidance (Addendum A) and Authorship Discussion Tool (Addendum B):

• Research groups should discuss authorship credit/criteria, presentation of joint work, and future direction of the research as early as practical, frequently during the course of their work, and as research team members begin or end their involvement. The Principal Investigator should initiate these discussions; however, any collaborator should feel free to raise questions or seek clarity throughout the course of the collaboration. Each lab or group may consider having a written document in place as guidance.
• All members of the research team are expected to adhere to good laboratory practices including maintaining an accurate laboratory notebook and annotating electronic files, as these practices will aide in identifying and clarifying individuals’ contributions to a project.
• Disposition of collaborative data and research materials should be mutually agreed upon among collaborators as early as practical and in accordance with any data-sharing and retention requirements.
• Laboratories, departments, centers, and programs supporting scholarly work should have available these Guidelines and a description of their discipline-specific processes of determining who should be an author, and the order in which authors are listed. These Guidelines should be included in the orientation of new research team members.

Authorship Disputes and Resolution

Disputes over authorship are best settled by the authors themselves; however, conflicts related to authorship may arise at any time during the research or scholarly process, resulting from differing perceptions of one’s contributions and resulting attribution of credit. It is expected that the resolution of disputes among collaborators will occur through open and collegial discourse, and mutual agreement is strongly encouraged. To facilitate this process, any prior decisions or discussions among authors, including verbal or written agreements between coauthors, should be reviewed and considered. These Guidelines and any documented customary practices in the relevant discipline should be applied, as appropriate. The authors should utilize the Authorship Discussion Tool (see Addendum B) in order to guide authors through a robust series of questions that can be jointly discussed by the authors in an effort to resolve the dispute.  Extending an invitation to a mutually agreed-upon party outside the group who is familiar with publication norms in the field to informally serve as a neutral facilitator may ensure that all viewpoints are considered and objectively applied. It is expected that most disputes will be resolved collegially among collaborators. Should an authorship dispute arise that includes a question of the veracity of underlying data supporting a manuscript or the misappropriation of the work of others , consultation with the Research Integrity Officer may be helpful to support resolution.

If the dispute cannot be resolved at the local level, it is the responsibility of the FAS Department Chair or SEAS Area Chair or their designee to take the lead in effecting a resolution of the dispute, assuming that the FAS Department Chair or SEAS Area Chair is not a direct party to the dispute and does not have a conflict of interest.

If strenuous, good faith efforts to resolve the dispute utilizing the Authorship Discussion Tool (see Addendum B) are unsuccessful, one or more of the parties may then contact their FAS Divisional Dean(s)/SEAS Area Dean, sharing the completed  Addendum B, which records the nature of the dispute and the efforts undertaken, and requesting further consideration. The FAS Divisional Dean(s)/SEAS Area Dean will review the submitted information and determine whether or not to appoint a committee to examine the case. As necessary, the Dean(s) will appoint a committee (and designate a committee chair), in consultation with the relevant FAS department(s)/SEAS area(s). The committee will consist of the following:

• A[n additional] faculty member from the field or fields relevant to the dispute
• Two faculty members from an adjacent field/department/area

FAS/SEAS Research Integrity Officer

• If the case involves a graduate student, an appropriate (non-student) representative from the Graduate School of Arts and Sciences
• If the case involves a postdoctoral researcher, an appropriate (non-postdoctoral) representative from the FAS Office of Postdoctoral Affairs

The committee will review the case and develop a recommendation to make to the authors. The committee chair will first inform the FAS Divisional Dean(s)/SEAS Area Dean of this recommendation and then inform the authors.

Related Resources

University Statement of Policy in Regard to Intellectual Property (IP Policy)

Graduate School of Arts and Sciences Office of Student Affairs

Harvard Ombuds Office

Committee on Publication Ethics (COPE) Authorship Resources

FAS/SEAS Procedures for Responding to Allegations of Research Misconduct

Harvard Medical School Authorship Guidelines

[1] As published in McNutt et al., Transparency in authors’ contributions and responsibilities to promote integrity in scientific publication. Proceedings of the National Academy of Sciences of the United States of America (PNAS) March 13, 2018 115 (11) 2557-2560. These criteria were adapted from the International Committee for Medical Journal Editors (ICMJE) framework for broader applicability across scientific fields.

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Authorship and the importance of the author contribution statement

• Published: 31 March 2023
• Volume 42 , pages 655–656, ( 2023 )

Cite this article

• C. Neal Stewart Jr 1 &
• Gűnther Hahne 2  

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Avoid common mistakes on your manuscript.

Scientists universally agree that scientific articles and authorship are critically important. Ethical guidelines have been established for best practices and transparency in authorship. Nonetheless, it is not uncommon to see significant errors in authorship practices in published papers. The purpose of this article is to clarify whose names should be listed as authors on a Plant Cell Reports paper and to give some practical guidelines when writing the authorship contribution statement.

In short, the corresponding author and the team of authors are responsible to avoid two critical potential errors in authorship. The first type of error happens when a person who made key contributions to a study and manuscript is not named as an author: someone is inadvertently omitted from the author list. The second type of error happens when a person who did not make a substantial contribution is listed as an author: people are unnecessarily added to the author list. This second type of error occurs when favors are granted to people (gift authorship) or senior scientists, administrators, or famous scientists are granted authorship (honorary authorship). Both types of errors, but especially gift and honorary authorship, could conceivably warrant the rejection of a submitted manuscript.

For many years, Plant Cell Reports has adhered to authorship criteria of the International Committee of Medical Journal Editors (ICMJE; https://www.icmje.org/recommendations/browse/roles-and-responsibilities/defining-the-role-of-authors-and-contributors.html ).

In short, the four ICMJE criteria for authorship are:

Substantial contributions

Conception/design of the research or

Collection of data or

Data analysis/interpretation AND

Drafting the manuscript or making intellectual contributions on text/revisions AND

Final approval of the manuscript AND

Agreeing to be held accountable for the work.

Please note that accountability is an important concept in science that is a point of emphasis these days as research misconduct appears to be on the rise. It is critical that scientists be aware of the importance of research integrity from the lab bench to publication. Not only should the content of a scientific research paper be accurate, but the author list should be accurate as well.

The authorship contribution statement plays an important role in authorship and accountability. Ideally, the statement should be able to be mapped back to the ICMJE criteria. Figure  1 shows a good example of an ICMJE-mapped author contribution statement.

To the left is a fictional author contribution statement that serves here as a model. The statement is sufficiently detailed to paint a picture of each author’s role in the study and manuscript. The statement can also be mapped to the ICMJE criteria for authorship (to the right) as depicted by the arrows

In submissions to the journal, sometimes we see certain words and phrases in authorship contribution statements that do not belong there: assisted, gave advice, provided funding, made coffee, translated to English, and helped are some examples. None of these words or phrases can be found in the ICMJE criteria and should be avoided in authorship contribution statements.

Given that paper mills are known to buy and sell authorship, and that honorary and gift authorship is also problematic and widespread in science, we, the editors, are increasingly wary of very long author lists and vague authorship contribution statements. It should not be challenging for the editors and peer reviewers to determine if authors meet the criteria for authorship. Also, it should be noted that ChatGPT and other large language models do not fit the criteria for authorship and should also not be listed as authors.

Below are additional resources and tips for authorship:

No changes to authorship can be made after acceptance of a manuscript.

Authors might find that the Contributor Roles Taxonomy (CRediT; https://credit.niso.org/ ) is useful in thinking about roles of authors and when writing author contribution statements.

For articles that are based primarily on the student’s dissertation or thesis, it is recommended that the student is listed as the first author.

Authors are asked to use their Open Researcher and Contributor ID (OCRID; https://ocrid.org ) when submitting manuscripts to Plant Cell Reports. If authors don’t have an ID yet, it can be acquired during the submission process.

If authors become deceased or incapacitated during the writing, submission, or peer-review process, and the co-authors agree that it is appropriate to include the deceased or incapacitated person as an author, co-authors should obtain approval from a (legal) representative, which may be a direct relative of the deceased or incapacitated contributor.

In conclusion, most submissions to Plant Cell Reports are in good faith and appear to be honest in content and intent. We scientists must be vigilant, however, to guard our scientific pursuits and outputs for the benefit of the profession and society. The leadership of Plant Cell Reports remains dedicated to these pursuits, which include assessing the veracity and appropriateness of authorship lists and contribution statements.

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There are no data available.

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Authors and affiliations.

University of Tennessee, Knoxville, USA

C. Neal Stewart Jr

Plant Cell Reports, Weinheim, Germany

Gűnther Hahne

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Stewart Jr, C.N., Hahne, G. Authorship and the importance of the author contribution statement. Plant Cell Rep 42 , 655–656 (2023). https://doi.org/10.1007/s00299-023-03007-8

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DOI : https://doi.org/10.1007/s00299-023-03007-8

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How to Order and Format Author Names in Scientific Papers

As the world becomes more interconnected, the production of knowledge increasingly relies on collaboration. Scientific papers, the primary medium through which researchers communicate their findings, often feature multiple authors. However, authorship isn't merely a reflection of those who contributed to a study but often denotes prestige, recognition, and responsibility. In academic papers, the order of authors is not arbitrary. It can symbolize the level of contribution and the role played by each author in the research process. Deciding on the author order can sometimes be a complex and sensitive issue, making it crucial to understand the different roles and conventions of authorship in scientific research. This article will explore the various types of authors found in scientific papers, guide you on how to correctly order and format author names, and offer insights to help you navigate this critical aspect of academic publishing.

The first author

The first author listed in a scientific paper is typically the person who has made the most substantial intellectual contribution to the work. This role is often filled by a junior researcher such as a Ph.D. student or postdoctoral fellow, who has been intimately involved in almost every aspect of the project.

The first author usually plays a pivotal role in designing and implementing the research, including the formation of hypotheses, experimental design, data collection, data analysis, and interpretation of the findings. They also commonly take the lead in manuscript preparation, writing substantial portions of the paper, including the often-challenging task of turning raw data into a compelling narrative.

In academia, first authorship is a significant achievement, a clear demonstration of a researcher's capabilities and dedication. It indicates that the researcher possesses the skills and tenacity to carry a project from inception to completion. This position can dramatically impact a researcher's career trajectory, playing a critical role in evaluations for promotions, grants, and future academic positions.

However, being the first author is not just about prestige or professional advancement. It carries a weight of responsibility. The first author is generally expected to ensure the integrity and accuracy of the data presented in the paper. They are often the person who responds to reviewers' comments during the peer-review process and makes necessary revisions to the manuscript.

Also, as the first author, it is typically their duty to address any questions or critiques that may arise post-publication, often having to defend the work publicly, even years after publication.

Thus, first authorship is a role that offers significant rewards but also requires a strong commitment to uphold the principles of scientific integrity and transparency. While it's a coveted position that can be a steppingstone to career progression, the associated responsibilities and expectations mean that it should not be undertaken lightly.

The middle authors

The middle authors listed on a scientific paper occupy an essential, albeit sometimes ambiguous, role in the research project. They are typically those who have made significant contributions to the project, but not to the extent of the first author. This group often includes a mix of junior and senior researchers who have provided key input, assistance, or resources to the project.

The roles of middle authors can be quite diverse. Some might be involved in specific aspects of data collection or analysis. Others may bring specialized knowledge or technical skills essential to the project, providing expertise in a particular methodology, statistical analysis, or experimental technique. There might also be middle authors who have contributed vital resources to the project, such as unique reagents or access to a particular patient population.

In some fields, the order of middle authors reflects the degree of their contribution. The closer a middle author is to the first position, the greater their involvement, with the second author often having made the next largest contribution after the first author. This order may be negotiated among the authors, requiring clear communication and consensus.

However, in other disciplines, particularly those where large collaborative projects are common, the order of middle authors may not necessarily reflect their level of contribution. In such cases, authors might be listed alphabetically, or by some other agreed-upon convention. Therefore, it's crucial to be aware of the norms in your specific field when deciding the order of middle authors.

Being a middle author in a scientific paper carries less prestige and responsibility than being a first or last author, but it is by no means a minor role. Middle authors play a crucial part in the scientific endeavor, contributing essential expertise and resources. They are integral members of the research team whose collective efforts underpin the progress and achievements of the project. Without their diverse contributions, the scope and impact of scientific research would be significantly diminished.

The last author

In the listing of authors on a scientific paper, the final position carries a unique significance. It is typically occupied by the senior researcher, often the head of the laboratory or the principal investigator who has supervised the project. While they might not be involved in the day-to-day aspects of the work, they provide overarching guidance, mentorship, and often the resources necessary for the project's fruition.

The last author's role is multidimensional, often balancing the responsibilities of project management, funding acquisition, and mentorship. They guide the research's direction, help troubleshoot problems, and provide intellectual input to the project's design and interpretation of results. Additionally, they usually play a key role in the drafting and revision of the manuscript, providing critical feedback and shaping the narrative.

In academia, the last author position is a symbol of leadership and scientific maturity. It indicates that the researcher has progressed from being a hands-on contributor to someone who can guide a team, secure funding, and deliver significant research projects. Being the last author can have substantial implications for a researcher's career, signaling their ability to oversee successful projects and mentor the next generation of scientists.

However, along with prestige comes significant responsibility. The last author is often seen as the guarantor of the work. They are held accountable for the overall integrity of the study, and in cases where errors or issues arise, they are expected to take the lead in addressing them.

The convention of the last author as the senior researcher is common in many scientific disciplines, especially in the life and biomedical sciences. However, it's important to note that this is not a universal standard. In some fields, authors may be listed purely in the order of contribution or alphabetically. Therefore, an understanding of the specific norms and expectations of your scientific field is essential when considering author order.

In sum, the position of the last author, much like that of the first author, holds both honor and responsibility, reflecting a leadership role that goes beyond mere intellectual contribution to include mentorship, management, and accountability.

Formatting author names

When it comes to scientific publishing, details matter, and one such detail is the correct formatting of author names. While it may seem like a minor concern compared to the intellectual challenges of research, the proper formatting of author names is crucial for several reasons. It ensures correct attribution of work, facilitates accurate citation, and helps avoid confusion among researchers in the same field. This section will delve deeper into the conventions for formatting author names, offering guidance to ensure clarity and consistency in your scientific papers.

Typically, each author's full first name, middle initial(s), and last name are listed. It's crucial that the author's name is presented consistently across all their publications to ensure their work is correctly attributed and easily discoverable.

Here is a basic example following a common convention:

• Standard convention: John D. Smith

However, conventions can vary depending on cultural naming practices. In many Western cultures, the first name is the given name, followed by the middle initial(s), and then the family name. On the other hand, in many East Asian cultures, the family name is listed first.

Here is an example following this convention:

• Asian convention: Wang Xiao Long

When there are multiple authors, their names are separated by commas. The word "and" usually precedes the final author's name.

Here's how this would look:

• John D. Smith, Jane A. Doe, and Richard K. Jones

However, author name formatting can differ among journals. Some may require initials instead of full first names, or they might have specific guidelines for handling hyphenated surnames or surnames with particles (e.g., "de," "van," "bin"). Therefore, it's always important to check the specific submission guidelines of the journal to which you're submitting your paper.

Moreover, the formatting should respect each author's preferred presentation of their name, especially if it deviates from conventional Western naming patterns. As the scientific community becomes increasingly diverse and global, it's essential to ensure that each author's identity is accurately represented.

In conclusion, the proper formatting of author names is a vital detail in scientific publishing, ensuring correct attribution and respect for each author's identity. It may seem a minor point in the grand scheme of a research project, but getting it right is an essential part of good academic practice.

The concept of authorship in scientific papers goes well beyond just listing the names of those involved in a research project. It carries critical implications for recognition, responsibility, and career progression, reflecting a complex nexus of contribution, collaboration, and intellectual leadership. Understanding the different roles, correctly ordering the authors, and appropriately formatting the names are essential elements of academic practice that ensure the rightful attribution of credit and uphold the integrity of scientific research.

Navigating the terrain of authorship involves managing both objective and subjective elements, spanning from the universally acknowledged conventions to the nuances particular to different scientific disciplines. Whether it's acknowledging the pivotal role of the first author who carried the project from the ground up, recognizing the valuable contributions of middle authors who provided key expertise, or highlighting the mentorship and leadership role of the last author, each position is an integral piece in the mosaic of scientific authorship.

Furthermore, beyond the order of authors, the meticulous task of correctly formatting the author names should not be underestimated. This practice is an exercise in precision, respect for individual identity, and acknowledgement of cultural diversity, reflecting the global and inclusive nature of contemporary scientific research.

As scientific exploration continues to move forward as a collective endeavor, clear and equitable authorship practices will remain crucial. These practices serve not only to ensure that credit is assigned where it's due but also to foster an environment of respect and transparency. Therefore, each member of the scientific community, from fledgling researchers to seasoned scientists, would do well to master the art and science of authorship in academic publishing. After all, it is through this collective recognition and collaboration that we continue to expand the frontiers of knowledge.

Header image by Jon Tyson .

Educational resources and simple solutions for your research journey

A Guide to Authorship in Research and Scholarly Publishing

Scientific and academic authorship in research publishing is a critical part of a researcher’s career. However, the concept of authorship in research p ublication can be confusing for early career researchers, who often find it difficult to assess whether their or others’ contribution to a project are enough to warrant authorship. Today, there are more opportunities than ever to collaborate with researchers, not just across the globe but also across different disciplines and even those outside academia. This rapid growth in the number of global research collaborations, and has also led to an increase in the number of authors per paper. 1 For instance, a paper that was published on the ATLAS experiment at the Large Hadron Collider at CERN set the record for the largest author list with over 5,000 authors. 2 Such cases act as catalysts for ongoing discussions among the research community about authorship in research and who should and who shouldn’t be credited and held accountable for published research.  

Table of Contents

So how do you define authorship in research?

The most common definition of authorship in research is the one established by the International Committee of Medical Journal Editors (ICMJE). According to ICMJE’s guidelines, to be acknowledged as an author, a researcher should have met all of the following criteria. An author would have made major contributions to the research idea or study design, or data collection and analysis. They would have been part of the process of writing and revising the research manuscript and would be called on to give final approval on the version being published. Finally, an author must ensure the research is done ethically and accurately and should be willing to stand up and defend their work as needed.  

According to the Committee on Publication Ethics (COPE) the best time to decide authorship in research , in terms of who should be named authors and in what order , is before the research project is initiated. It recommends researchers create and keep written author agreements and to revisit the author list as the project evolves. 3 Consequently, any changes authorship in research either in a researcher’s level of involvement, or the addition or exclusion of members during the project must be approved by all involved and must reflect in the author byline.

Understanding the difference between author and contributor roles

Given the constant increase in scholarly publishing and the continuing pressures to “publish or perish,” many researchers are choosing to participate in multi-author projects. This makes it harder to decide on authorship in research as one needs to differentiate between authors, co-authors, and contributors and this often leads to confusion over accountabilities and entitlements.  

• Lead authors or first authors in publication are those who undertake original research and also drafts and edits the research manuscript. They also play a major role in journal submission and must review and agree on the corrections submitted by all the authors.  
• Co-authors are those who make a major contribution to and are also equally responsible for the research results; they work hand in hand with lead authors to help them create and revise the research paper for journal submission.  
• Corresponding authors are those who sign the publishing agreement on behalf of all the authors and manage all the correspondence around the article. They are tasked with ensuring ethical guidelines are followed, author affiliations and contact details are correct, and that the authors are listed in the right order.  
• Contributors are those who may have provided valuable resources and assistance with planning and conducting the research but may not have written or edited the research paper. While not assigned authorship in research papers, they are typically listed at the end of the article along with a precise description of each person’s contribution.  

Getting the order of listing authors right

The order of authorship in research being published plays an important role for scientific merit; probably as important to a researcher’s career as the number of papers they published. However, the practice of accrediting positions when deciding authorship in research differs greatly between different research streams and often becomes a bone of contention among authors.  

There are some common formats used to determine author listing in research. One common format is when authors are generally listed in the order of their contributions, with the main author of the paper being listed at the end. This honor is typically reserved for the head of the department in which the research was carried out. This kind of listing sometimes creates angst among authors, as they feel that the order does not reflect the significance of their contributions. Another common format is one where authors are listed alphabetically. While this might seem like a more equitable solution when listing authorship in research , it has its own disadvantages. If the main author’s name begins with a letter late in the alphabet, it is very likely to be overlooked when the paper is cited by others, clearly not a very happy scenario for the main author.  

Unfortunately, globally and across research arenas, there is still no uniform understanding or system for the ordering of author names on research papers. And journals do not normally step in to arbitrate such disputes on authorship in research . Individual authors and contributors are expected to evaluate their role in a project and attribute authorship in research papers in keeping with set publication standards. Clearly, the responsibility falls entirely on authors to discuss and agree on the best way to list authors.  

Avoiding unethical authorship in research  

Correctly conveying who is responsible for published scientific research is at the very core of scientific integrity. However, despite clearly outlined guidelines and definitions, scholarly publishing continues to be plagued by numerous issues and ethical concerns regarding the attribution of authorship in research . According to The International Center for Academic Integrity (ICAI), 4 instances of unethical authorship in research papers include:

• Changing the order of authors in an unjustified and improper way
• Using personal authority to add someone as an author without their contributing to the work
• Eliminating contributor names from later publications
• Adding a name as author without the person’s consent

A uthors need to be aware of and understand the nuances of ethical authorship in research papers to avoid confusion, conflict and ill-will among the co-authors and contributors. While researchers receive recognition and credit for their intellectual work, they are also held accountable for what they publish. It is important to remember that the primary responsibility of research authors is to preserve scientific integrity, which can only happen if research is conducted and documented ethically.  

• Mazzocchi F. Scientific research across and beyond disciplines: Challenges and opportunities of interdisciplinarity. EMBO Reports, June 2019. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6549017/
• Castelvecchi, D. Physics paper sets record with more than 5,000 authors. Nature, May 2015. https://www.nature.com/articles/nature.2015.17567
• Dance, A. Authorship: Who’s on first?. Nature, September 2012. https://www.nature.com/articles/nj7417-591a
• Unethical Authorship; How to Avoid? Blog – Canadian Institute for Knowledge Development, February 2020. https://icndbm.cikd.ca/unethical-authorship-how-to-avoid/

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