A Guide to SDSS Publication Procedures

Introduction

This is an informal guide to SDSS publication procedures. It is intended to supplement the formal description of the SDSS Scientific and Technical Publication Policy. If you have never read the publication policy, you should do so; it is a requirement for using the data that you first read and agree to this policy.

Although this guide does not represent a formal policy document of the SDSS, publication issues occasionally arise that fall outside of areas covered by the SDSS Publication Policy that need to be addressed on a timescale considerably shorter than that required to amend the Publication Policy. In these cases this document presents the ad hoc guidelines developed in consultation with the CoCo.

The SDSS Scientific Publications Coordinator (SPC, currently Donald Schneider) is responsible for ensuring that SDSS scientific papers follow the project's publication policy. The purpose of this guide is partly to save you having to re-read the publication policy before every paper, but primarily to highlight the most significant points and to give some additional details --- in some cases these are ``implementation customs'' that have developed subsequent to the policy itself. You should read this guide every time you are ready to submit a paper, in part to see whether anything has changed.

SDSS papers often have a large number of authors, and it is important to remember that each author must agree to be listed on the paper. Before a paper is posted to the collaboration, the lead author must contact each of the coauthors announcing the imminent posting of the paper and that all recipients of the message are listed as coauthors. While it is hoped that each prospective coauthor will respond, lead authors may operate under the principle that silence is acquiescence.

The lead author is responsible for satisfying the publication requirements listed below. Once the paper has received project approval and has been submitted, the only project requirements are that the lead author provide a web link to the latest version of the paper and update of the paper's status on the publication web page; aspects such as astro-ph posting and replies to the referee are left to the discretion of the authors. The only exception to this procedure is when a fundamental issue regarding the SDSS is raised (e.g., referee or SDSS participant identifies an important problem with the calibration) after submission; when such an incident arises, it must be brought to the attention of the entire collaboration.

This guide contains the rules for the the rules for the submissions of five types of publications: Journal articles based on proprietary SDSS data, Technical papers, Data Release papers, Conference proceedings based on proprietary SDSS data, Time-critical publications of proprietary SDSS data, and papers that are based on publicly available SDSS data.

SDSS Scientific Publications Based on Proprietary Data

• When a project is started that is likely to result in a scientific paper in a journal, the project must to be announced to the collaboration via the SDSS Projects Webpage.

• Decide on the ``analysis group'' author list. The publication policy, Section 7, defines the analysis group to be those who were heavily involved in the specific analysis described in the paper and in the writing of the paper. The authorship order is decided by the analysis group.

• Check that your manuscript includes the up-to-date version of the SDSS acknowledgment, which you should obtain from the SDSS credits page. Do not copy the acknowledgment from some previous paper, since the acknowledgement occasionally changes as new institutions join the SDSS; always obtain the current version.

  Titles should not have ``based on data from the SDSS'' footnotes; the only standard acknowledgment is the one above, at the end of the paper.

• All SDSS scientific papers based on proprietary data must reference the appropriate technical papers (see Section 3 of the publication policy. This requirement is to provide readers with the official technical information and to ensure that those who have developed the technical infrastructure of the SDSS are appropriately recognized and rewarded by having highly cited papers. You can find the list of the currently required technical references here; the project also maintains a complete list of approved (completed and in progress) SDSS Technical Papers. The SPC will remind you to include any technical references that were missed, but it is obviously best for all concerned if you include all the references in your initial posting. The list of technical papers is constantly increasing, so please check this list before submitting each paper.

• Post your manuscript to the publication index. Posting the paper will automatically generate an e-mail to sdss-general announcing the posting and create a link from the index page to the file that you specify, which participants can download to get the manuscript. It is the lead author's responsibility to update the status of the paper (including the final reference) on this web page in a timely manner.

• A manuscript is eligible for submission to the journal three weeks after it has been posted to the publication index.

  Posting a manuscript to the publication index implies that the analysis group authors all consider the paper ready for submission to the journal. Do not post rough drafts of papers in order to ``start the clock'' --- it is not fair to other members of the collaboration to ask them to decide whether to request co-authorship on a paper that isn't complete, and it is a waste of everyone's time to send in comments and corrections on a paper that hasn't been polished by the primary authors. If all that remains is a specific change of very limited scope, you may post the paper with a comment about what remains --- e.g., ``we are calculating results for one additional model, which will be added to Figure 5.''

  Of course it is usually very valuable to obtain feedback from SDSS collaborators on initial or intermediate drafts of papers; the best way to do this is through the mailing list of the most relevant working group. Most SDSS manuscripts are revised and improved, often substantially, after they are posted to the publication index, because the authors get useful comments from a broader spectrum of the collaboration. That should continue to be the case. However, the criterion for posting to the publication index should be that the analysis group authors consider the manuscript complete and ready for submission. If in the judgmentof the SPC a posted manuscript falls far short of this standard, the SPC will inform the authors that the ``3-week clock'' will not start until a new version of the manuscript is posted.

• Author lists should not conclude ``for the SDSS Collaboration'' or ``and the SDSS Collaboration,'' nor should they begin ``The SDSS Collaboration:''. The only exceptions are Key Project papers (publication policy, Section 6) and ``Conference proceedings which are primarily overviews of the SDSS project status or scientific results'' (publication policy, Section 7.4). These should have ``for the SDSS Collaboration'' at the end of the author list.

• Other members of the collaboration can request co-authorship on the paper via the publication index web page and/or by e-mailing the lead author. The publication index does not automatically generate an e-mail request for coauthorship to the lead author; it is the lead author's responsibility to check all authorship requests on the index before submission and incorporate them. If you request authorship after the paper has been submitted, you must send an e-mail request for authorship directly to the lead author, as the lead author is not required to check the index after the paper has been submitted.

  If there are participants who you believe would be particularly appropriate co-authors but are not in the analysis group list, they should be invited to request co-authorship. No one should be made a coauthor of a paper without the coauthor's agreement. In the event of disagreements about co-authorship, contact the SPC.

• Author lists of astro-ph postings should list all of the paper's co-authors if this is practical; if it is not, the paper should list the first several authors and conclude ``et al. (SDSS Collaboration)''. The downloadable manuscript will of course contain the full author list, so the purpose of this custom is just to ensure that readers skimming the astro-ph web page are aware that there are additional co-authors.

• Although it is not required by the publication policy, authors are strongly encouraged to repost their papers one week prior to the intended submission date, i.e., update the link from the publication index so that it points to an up-to-date version of the revised manuscript (with the current author list), briefly describe changes that have been made in the comments section on the publication index (or say that there have been no changes), send a message to sdss-general saying that the paper will be submitted in a week and summarizing changes that have been made.

  The purpose of this procedure is to let participants know whether and how manuscripts have changed and to alert them that the paper is about to be submitted (some papers are revised extensively and are therefore submitted long after they are posted to the publication index).

• When you submit the paper, update the comments on the index page to indicate that the paper has been submitted, though you do not need to send an additional sdss-general e-mail. All coauthors must have an opportunity to review the final version of the paper before submission. The latest version of the paper must be available via a link from the publications web page.

• There is no general policy on whether papers should be posted to astro-ph upon submission or after acceptance (or at all, for that matter). This decision should be made by the analysis group authors.

• Page charges for the publication are the responsibility of the analysis-group authors.

SDSS Technical Papers

The SDSS Publication Policy states that ``Technical papers describe the SDSS instrumentation, calibration, software, strategy, and targeting algorithms. Technical papers may include some SDSS data for illustrative purposes.'' The procedure for submission of Technical papers is similar to that for the Scientific papers described in the previous section with a few important differences:

• The project maintains a list of approved SDSS Technical papers . If you have a paper that you wish to add to this list, contact the SDSS Technical Publications Coordinator (TPC, currently Jill Knapp) as soon as the project is begun. The TPC, in conjunction with the Management Committee, will decide whether the work constitutes an SDSS Technical publication.

• Technical papers are not open to general co-authorship requests; authorship is restricted to those who actively worked on the effort (i.e., builders cannot invoke authorship rights). The publication index listing indicates whether a paper is a Scientific Paper or a Technical Paper. If you believe you have been incorrectly omitted from the author list of a Technical Paper, communicate directly with the lead author, and, if necessary, with the Technical Publications Coordinator.

• Technical papers must be posted to the collaboration three weeks before submission (same procedure as Proprietary SDSS Science Publications).

• Page charges for Technical papers may be paid by the SDSS (see policy statement ).

SDSS Data Release Papers

The SDSS Publication Policy states that ``Data release papers describe the contents of SDSS data releases to the public". The procedure for submission of Data release papers is similar to that for the Scientific papers described in a prior section with a few important differences:

• The SDSS Spokesperson (currently Michael Strauss) is responsible for Data release papers, whose publications should coincide with the respective public data release. The Spokesperson will determine the author list, which will be strictly alphabetical. Builders have the right to request coauthorship on all Data release papers. will be coauthors on this class of papers. Non-Builder participants who have made significant contributions to the release can be authors of the appropriate Data release paper.

• Data release papers must be posted to the collaboration three weeks before submission (same procedure as Proprietary SDSS Science Publications).

• Page charges for Data release papers will be paid by the SDSS.

Conference Proceedings Based on SDSS Proprietary Data

The procedure for submitting a conference paper based on SDSS data is the same as that described for journal articles, with the following exceptions:

• Because of their length constraints, conference papers may be exempted from the authorship policy (i.e., from allowing co-authorship requests). However, quoting from Section 7 of the publication policy: ``... any conference paper that does not follow this authorship policy may only include quantitative results (tables and figures, for example) based on papers that have been published or submitted for publication, and it must reference those papers as the primary source for the results. The rationale for this requirement is that conference papers authored by a single author or a small group should not become the primary reference for results that are properly products of the SDSS Collaboration.''

  If you post a conference paper under this clause, for which you do not intend to accept co-authorship requests, you should note this in the comments section of the index posting and in the sdss-general e-mail message. If you are unsure whether you paper qualifies for this treatment, you can contact the SPC before posting. Also contact the SPC if you believe that someone has erroneously posted a paper under this clause. Based on the rationale given above, the SPC will make a judgment in such cases by asking whether the conference paper is likely to be referenced as the source of an SDSS scientific result --- if so, it should follow the usual authorship policy.

• Although the requirements about technical references and acknowledgments apply to conference papers as well as journal articles, the SPC will be somewhat more lenient in enforcing these rules for conference papers with tight length constraints (four pages or less). For example, it would be appropriate to include only the first paragraph of the acknowledgments in a short conference paper.

• The abstract and initial author list for a conference paper may be posted in advance of the draft manuscript, and this will start the three week ``clock.'' The full draft manuscript must be available on the publication index for ten days prior to submission.

  This modified policy is intended to give authors a bit more breathing space to meet conference proceedings submission deadlines. In order for it to work, it is essential that authors not trim its corners.

  Note that the abstract must still be posted three weeks ahead of submission. You should send an additional sdss-general message when the manuscript itself is available, noting that submission is intended in ten days (or three weeks from the abstract posting, whichever is later).

• The timing and authorship guidelines in this section also apply to conference abstracts, with the exception of the timing of abstracts for meetings of the American Astronomical Society (AAS). Abstracts and author lists for AAS meetings should be circulated via an sdss-general message one week prior to the deadline; these publications do not have to be posted on the publications page.

``Time-critical'' SDSS Papers

Situations will arise where the scientific impact of an SDSS discovery (e.g., a supernova) will be greatly diminished by the delay imposed by the standard publication procedure; the Publication Policy deals with this issue in Section 8.7. When this policy was written, it was envisioned that the release of proprietary data would consist of information on a single object immediately announced in an IAU Circular.

Since the Publication Policy was written, it has become clear that the SDSS can provide time-critical information on a regular basis for large numbers of at least one class of objects (e.g., asteroids). Participants who wish to regularly release substantial amounts of time-critical data, such as positions and photometry of asteroids, should follow the following procedure:

• The project must be approved by the SDSS Management Committee.

• Upon approval, the project must be posted to the Publications Page under the category of ``On-line Catalog''. At this point the project falls under the rules governing Scientific Publications (three week posting period, authorship rules). Since some (if not all) of these publications will be ``living documents'', individuals who contribute to the publication but were not part of the project when it was originally posted can, with the approval of the lead author, be added to the list of authors at any time.

Papers by SDSS Participants Based on Public SDSS Data

The SDSS publication policy applies to publications that are ``...based on analysis of unreleased SDSS data.'' Conversely, an investigation that was begun after a Data Release and that relies only on data from that release (and other non-SDSS data) is not bound by the publication policy.

As an SDSS participant, you are nonetheless encouraged to consider treating papers based on publicly available data as SDSS publications in cases where that seems appropriate, in particular in cases where your status as an SDSS participant made an important difference to your ability to carry out the investigation (e.g., the investigation drew on technical advice from other SDSS participants).

There are several levels at which you might do this. One is to identify specific SDSS individuals whose technical contributions were especially relevant to your investigation and invite them to be co-authors if they wish. A second is to circulate drafts of your paper through the most relevant working group mailing list and invite other members of the working group to contribute to the paper and become co-authors. A third is to treat your paper like any other SDSS paper, posting it to the publication index as a ``Scientific Paper in Journal,'' leaving it posted for three weeks, and accepting co-authorship requests just as you would for any other SDSS paper. Which of these courses is most appropriate will depend on the nature, scope, and timing of your investigation.

The project would like the SDSS Publication Index to provide a complete record of SDSS papers written by SDSS participants, and you are therefore requested to post all such papers to the Publication Index, including those based entirely on public SDSS data. (Note that this request is a change from the advice in sdss-general message 1992.) Unless you are treating the paper as a regular SDSS publication (i.e., standard 3-week posting period and co-authorship requests), you should post it under the category ``Scientific Paper in Journal based on Public SDSS Data.'' The web-based co-authorship request mechanism is disabled for papers in this category, and these papers are not required to be posted for three weeks before submission. Please include in the comments an indication of when you intend to submit the paper (or when you submitted it). If you wish to invite e-mail co-authorship requests from participants who have made relevant technical contributions, you should also indicate this in the comments. Note that this category of posting should be used only for papers that are based entirely on SDSS data that were publicly available when the paper was started.

One essential difference between a paper based only on analysis of public SDSS data and papers based on other SDSS data is that you are free to include non-SDSS co-authors, regardless of whether they are approved external collaborators. However, it is entirely consistent to include a collaborator or student on a paper based on public data but treat it in all other respects as a regular SDSS publication, inviting comments and co-authorship.

Note that any authorship disputes that arise in papers submitted under the ``Scientific Paper in Journal based on Public SDSS Data'' category must be resolved by the individuals involved. If you believe that a paper has been incorrectly posted in the ``based on Public SDSS Data" category, first contact the lead author, then, if necessary, the SPC.