These rules first appeared in the GENERAL Folder of D0NEWS on June 7, 1994. They were updated in October 1997 with changes in the "Operating Procedures". They were updated in February 2001 with the changes approved by the IB, resulting in this version for Run 2. They were updated in April 2001 with the addition of a 6th service category (f), and rules for the inclusion of theorists or accelerator physicists in D0, as approved by the IB on April 25, 2001. They were updated in July 2001 with changes in the wording of service tasks (c) and (d), as approved by the IB on July 26, 2001. Rules on Authorship of Run II DZero Publications ------------------------------------------------ General Guidance ----------------- The general criterion for determining authorship on any publication is whether that collaborator is a "serious" participant in DZero. It is expected that all such members of the Collaboration will be authors of every physics (as opposed to a technical) publication. Withdrawing individual names because of a lack of close involvement in some particular aspect of the analysis will tend to undercut the impact of any publication and is therefore to be strongly discouraged. Normally, authorship of physics papers will be restricted to physicists, postdocs, and graduate students who satisfy the criteria listed below. These conditions can be taken to define what is meant by being a serious member of DZero, and can thereby serve as guidelines for authorship. Specific Criteria for Authorship of Physics Papers -------------------------------------------------- To become eligible for authorship on a physics publication, a scientist is expected to contribute "significantly" to DZero Run II for one year prior to the submission of that publication. Clearly, senior physicists, who have teaching or other obligations, cannot be expected to devote the same number of hours to DZero that graduate students or postdoc can. Nevertheless, senior scientists, as well as their junior colleagues, are expected to contribute their full research time for one calendar year, half time for two years, etc., in order to qualify for active authorship status. In this context, significant contributions to DZero can be defined as comprising at least 12 hours per week devoted to the type of tasks described in items (a)-(f) below. Only through explicit approval by the Spokesperson(s) will authorship be granted to any individual who contributes mainly in the analysis of data or in the kind of tasks that are described in items (g) or (h). To maintain good standing after the initial year (that is, to remain an active author), all scientists on the experiment are expected to continue to contribute the major fraction of their research time to DZero (but, again, at least 12 hours per week) in any of the areas described in the items (a)-(h). We wish to emphasize that such contributions, whether for establishing or for maintaining eligibility, need not be made only at Fermilab, but can also be satisfied at the home institution. Service Tasks ------------- (a) Working on the design, construction or debugging of detector components for DZero, or for any DZero upgrade or test facility. (b) Working on the design, implementation or debugging of online or offline software (utility packages, Monte Carlo simulation of detectors, etc.) for use in detector components of DZero, or at any DZero upgrade or test facility, or in the processing or analysis of any DZero data. (c) Working on the management of computers, monitoring or processing for Monte Carlo events or D0 data. (d) Running shifts that are defined by the D0 spokespersons as necessary to the experiment construction or operation. (e) Working on management of personnel issues for DZero, administration of DZero-associated contracts and grants, serving on sundry DZero committees, serving as a physics convener or as a convener or coordinator of technical topics (e.g., electron ID). (f) Working on accelerator issues related to delivery and monitoring of colliding beams to the DZero experiment. Physics Tasks ------------- (g) Writing or reviewing DZero papers, reviewing DZero presentations for any conferences, or advising graduate students. (h) Participating in DZero meetings, workshops and discussions, analyzing the results of physics simulations, or performing physics analysis for a paper or a PhD thesis. ******************* Formation of the Committee on Authorship ---------------------------------------- The Spokesperson(s) will establish a Committee on Authorship to help maintain the Authorship List, with the proviso that any controversial issues shall be channeled to, and be adjudicated by, the Spokesperson(s). Choosing from a broad spectrum of the Collaboration, the Spokesperson(s) shall nominate the Chair and six members of DZero to serve on the Committee on Authorship. The Executive Committee of Dzero shall be apprised of the composition of the Committee on Authorship at the annual midyear meeting of the Collaboration. Operating Procedures -------------------- 1) The Chair of the Committee on Authorship will keep a master list of collaborators who are on the D0 Author List. This master list will be made available to members of D0. 2) The Institutional Board Representative of a collaborating institution can be requested by the Spokespersons or Chair of the Committee on Authorship to review at any time the list of authors for that institution and to supply detailed information justifying that list of authors. This information will be reviewed by the Committee on Authorship, who will make recommendations on changes to the list of authors, if any, to the Spokespersons. The Spokespersons will make the final decisions on any changes. 3) The Institutional Board Representative of each collaborating institution will send requests for additions to the list of authors for that institution to the Chair of the Committee on Authorship, including a detailed justification for the request. The Committee on Authorship will review this request, and will make a recommendation to the Spokespersons. The Spokespersons will then make the final decision on the request. The Institutional Board Representative will promptly notify the Chair of the Committee on Authorship when a collaborator leaves either their institution or D0. 4) All clarifications and decisions on the exceptions to the normal criteria and procedures will be made by the Spokesperson(s) with advice from the Committee on Authorship. 5) The Rules for Authorship shall be reviewed once per year by the Committee on Authorship, and changes, if any, shall be recommended, upon consultation with the Spokesperson(s), to the Institutional Board. 6) These Rules shall be adopted, and amended, by two-thirds vote of the Institutional Board. ******************* Technical Publications ---------------------- Technical publications shall not be constrained by the rules discussed above. Specific papers may be initiated by some subset of the Collaboration, or through the instigation of the Spokesperson(s) or Executive Committee. Such papers shall be prepared under the direction of a Coordinator, appointed by a Spokesperson. The Coordinator will inform the Committee on Authorship and the Spokesperson(s) of the author list and title of that paper. Contributions to the contents of the work will serve as the primary grounds for determining authorship. Normally, authorship will not be restricted to physicists. Also, when funds for the reported research are provided through DZero, or if the presented results are based on work performed by members of DZero, the author list will be followed by the phrase "for the D0 Collaboration". Ordering of author lists ------------------------ Names of authors shall normally be listed in alphabetical order (according to family name), with institutional affiliations indicated by suitable superscripts. Papers submitted to conference proceedings will normally give only the speaker's name, and affiliation, followed by the standard phrase "for the D0 Collaboration" (with no need to specify the current institutional make-up). For technical papers, with relatively short author lists, an alphabetical listing (by family name), and grouping by institution (again, in alphabetical order) is allowed, but the standard format is preferred. Narrow or Short-Term Contributions ---------------------------------- When any individual (either an experimenter or a theorist, who is not on the Authorship List for DZero) makes a significant contribution to any specific analysis, that person can be considered for authorship on a publication that is based on that work, and on any directly related publications that follow. Specific decisions will be left to the Spokesperson(s) and the Committee on Authorship. Short-term visitors, who contribute to the general operation and technical well-being of the experiment will be entitled to authorship of one paper for every two months spent full-time on DZero with a limit of 3 papers. Acknowledgments --------------- A lesser contribution by a physicist outside of the collaboration, e.g., by a theorist, to a journal publication, will, with approval of the Spokesperson(s), normally be recognized by an acknowledgment. Otherwise, the practice of naming specific individuals is to be discouraged. Assistance from any group outside of the authors' list may also be acknowledged. For example, we expect that the contributions of the staff at Fermilab is likely to be acknowledged routinely. In addition, every DZero publication should acknowledge the support of any and all appropriate funding agencies. "Retirement and Severance Benefits" ---------------------------------- Normally, each active experimenter who leaves DZero will be entitled to remain on the author list one year after departure from the experiment. In recognition of the many scientists who have qualified for Run II authorship and left the experiment prior the start of collaboration-wide physics publications in professional journals, those scientists will be considered authors of the first five such collaboration-wide physics publications if their retirement benefits do not otherwise provide for those publications. A Word on Service ----------------- For each of its active authors, an institution must provide, on average, at least 15 hours of service per week (per person) in categories (a)-(f) listed above. It is the responsibility of the institutional Contact Person to assure that this happens, and that the information documenting this is transmitted biannually (January and July of each year) to the Spokesperson(s). A Final Word on the DZero Masthead ---------------------------------- We also wish to clarify the distinction between the DZero Authorship List, which is the subject of these Rules, and the DZero Masthead, which is outside of our purview. The Masthead, contains the list of all active as well as quiescent members of the Collaboration, with quiescent meaning that they are expected shortly to enter active status. Thus an individual who has just left the experiment can be on the Authorship List, but not be a bona fide active member of DZero, and therefore not be on the Masthead, and, vice versa, a person can be active (or quiescent), and on the Masthead, but not qualify as yet for authorship. ************************ Theorist/phenomenologist or accelerator physicist collaboration in DZero ------------------------------------------------------------------------ (these rules A-E were adopted by the IB on April 25, 2001) A. Inclusion of theorists/accelerator physicists on the author list. We propose that the standard rules recently adopted for Run II publications be retained, with one additional category of service. For inclusion on the author list, the present rules require service work in any of 5 categories. These include (1) detector work, (2) software, 3) Monte Carlo processing, (4) taking shifts and (5) management. We propose that these categories be kept for qualification and that one additional category be added: "6. Working on accelerator issues related to delivery and monitoring of colliding beams to the DZero experiment." (We foresee that this last category could be applicable to traditional experimental physicists as well as accelerator physicists, and could be a welcome contribution to the experiment.) B. A theorist or accelerator physicist member of DZero should come from a member institution of DZero. ( We do not envision a member institution whose individuals are wholly or dominantly theorists/accelerator physicists.) C. Theory/phemomenologist members of DZero shall agree that their knowledge of and involvement with planned or ongoing preliminary data analyses shall not be used for preparing publications or preprints prior to publication of those results by the full DZero collaboration. D. Both theory and accelerator physicists authors are expected to participate broadly in the technical and physics aspects of the experiment, through hardware tests, software preparation, data analyses, editorial boards, or simulations etc. E. Masthead We propose that to be added to the masthead, a prospective theory or accelerator physics collaborator should indicate a reasonable expectation to fulfill the service requirements that would lead to certification as an author. (What we have in mind here is that DZero would want to expect a lasting association with sensible integration into the life of the experiment -- not a temporary alliance or one based upon rather narrow technical or physics interests.) We recognize however, that inclusion on the masthead has traditionally been done on the advice of each institutional representative, taking into account the specific situation at that institution. *******************************************