Developing Author Guidelines that Ensure Compliant Document Submissions
	(Editor's Note: A version of this article was published in the Scientific Communication SIG publication The Exchange in June 2001.) When developing guidelines, be certain that appropriate justification exists for all requirements before making them policy. Performing and writing about a research study is stressful enough without having illogical criteria, or no rationale for stringent submission requirements.
Global Thinking	Inasmuch as nonfrivolous requirements save time and money, a journal that targets an international audience needs a certain expanded mindset when developing effective guidelines. Such considerations should include sensitivity to the following:     Cultural differences. Avoid gender-specific language.     Language barriers. Avoid slang, vernacular, or colloquial writing.     Economic constraints. Not all research groups have high-tech facilities at their disposal for producing expensive graphics formats, so request only those formats required for the review process. As with any written material, the major consideration when developing instructions to authors is the audience, who includes the following:     The authors writing the manuscript and who are concerned with content and research issues     The authors' editors, who ensure that proper terminology are used     Editorial assistants, who are concerned with style and format requirements when preparing the paper for submission. As a rule, the best guidelines are those that are not overly demanding of submitters, since adherence to some requirements may be necessary only once a paper is accepted for publication, or at least has passed a second review. Guidelines can be made available in print or via a Web site.
Checklists	Checklists are a great way to ensure compliance with requirements in multiple stages. This approach avoids burdening authors with total compliance upon initial submission of a manuscript.
Style and Final Checklists	If the manuscript survives the initial review with a recommendation for minor or major revisions, editorial office staff should send with the decision letter a “checklist for style” revision. This checklist details requirements to which the paper did not initially adhere but that were not important enough to necessitate the return of the paper; these include double-spacing figure legends or including first names of individuals listed in the acknowledgments. If the paper is accepted for publication, send a “final checklist” to request the materials required for publication, such as diskettes; missing signatures on copyright or acknowledgment agreements; and corrections of page numbers, figure or caption titles, or reference order.
Components of Instructions to Authors	Using section headers in the guidelines helps direct readers along a hierarchical path while allowing them to find specific information at a glance. Examples of sections are detailed below.
Journal Mission	When searching for an appropriate venue to publish a research paper, authors may peruse the guidelines of several publications they consider suitable. For this reason, the first paragraph should display information such as the journal's mission or purpose, the areas of research considered, the audience, and the frequency of publication. This section should also include contact information for the editor.
Categories	If the journal publishes a variety of papers, clearly delineate these papers. Examples include regular contributions, rapid submissions, and editorials or commentaries.
Fees and Charges	Provide information on manuscript submission fees, page charges, color figure and halftone reproduction charges, reprint costs, and charges for author corrections.
Author’s Checklist	To expedite handling of submissions, include an author's checklist in the instructions. An example of such a checklist is detailed below.     Provide a statement of submission detailing what is being submitted based on “categories” specified in the guidelines.     Provide signatures of all authors on a Copyright Transfer Agreement form, as well as those acknowledged on a Permission to be Acknowledged form.     Ensure the paper is formatted using the appropriate style guide.     Provide one original printout plus three additional copies of the manuscript.     Provide three original sets of figures not attached to the manuscripts in addition to one set of photocopies attached to each manuscript. Tables must be double-spaced and labeled, and must have a heading over each column.     Organize the various parts of the submission: title page, abstract, acknowledgments, text, figure legend, figures, tables, references.     Authors may provide a list of suggested reviewers and their complete mailing addresses, telephone and fax numbers, and e-mail addresses.     When responding to reviewers’ comments, detail responses to each comment from each reviewer. Indicate whether or not the suggestions were incorporated, and explain why if they were not.     When submitting revisions, indicate clearly in the transmittal letter if figures, tables, or any and all other components that were changed.     When submitting accepted papers, include a diskette or compact disc labeled with the title, first author's name, date of the submission, and software name and version used. If the paper has been revised since the last submission, include a copy of the previous version along with the current version, properly labeling both to avoid confusion.
Statement of Submission	Clearly state in the instructions the need for a standard statement acknowledging that “all authors have read and approved the submission of the manuscript and that it has not been submitted elsewhere in any language or any format other than as an abstract.” The copyright transfer agreement could incorporate this statement since all authors must sign the copyright. However, be sure to state that if the copyright form is to serve as the statement of submission, authors should include it in their initial submission.
Copyrights, Acknowledgments, and Permissions	State early in the instructions any requirements for transferring the copyright. Some journals require signed copyright releases before they send a manuscript for review; others accept a statement of submission instead. The publisher may mandate the requirement for original signatures by each author, whereas others let a single author sign. Some journals may accept faxed, photocopied, or digital images of signatures, especially when the authors are numerous and widely dispersed. In addition to the copyright forms, ensure that the authors understand the requirements for the signatures of all persons acknowledged in the manuscript, or that the corresponding author must provide confirmation that those acknowledged “have seen and approve of the mention of their name.” The reason for such confirmation is that the appearance of their name in the manuscript could imply endorsement of the research or the submission. Remind the authors that if they have used figures, tables, or text from other previously published articles, they must acquire permission to reprint from the copyright holder (which is often the journal rather than the author).
Style and Format	Referencing the preferred style guide within the instructions to authors eliminates the journal's responsibility to include every possible contingency for submission. Delineate any requirements specific to the journal as suggested below.     Ensure that the submission does not exceed 25 double-spaced, typed pages.     Character limits (e.g., not including references, figures, and tables, and does not contain any special codes such as super- or subscript, italics, bolding, or text justification).     Preferred file formats (e.g., Submission as RTF files is preferable).     Cite all references, figures, and tables in-text in numeric order, and present each at the end of the article in the order in which they were first referenced in the text.     Include one original and three photocopies of the manuscript.     Include a legend or table in the beginning of the manuscript that identifies all acronyms, abbreviations, and initialisms. Ensure that each is spelled out on first use.     When submitting a final version of an accepted paper, include one original hard copy and one photocopy. Also, include a 3½-inch diskette or compact disc copy of the manuscript in RTF format, and identify on the label and on a diskette or CD description form the software name and version used to generate the text, figures, and tables.
Figure and Table Format	Among the most important – and expensive – aspects of a submission are high-quality graphical images. Journals may require that figures of certain formats be submitted in multiple copies in separate envelopes and on glossy photographic paper, in addition to having photocopies attached to the manuscript. Following this procedure helps to ensure that reviewers have the best quality graphics to review. For other types of figures such as line drawings, photocopies may be acceptable for review. Tables must also be designed for maximum readability. For example, all columns should have headings, even if they seem self-explanatory. And if footnotes are used, offer a standard set of symbols in the instructions.
Component Ordering	Specify the order for all components of a manuscript to ensure that presentation of the data flows smoothly and to help readers follow the research. Requiring a specific order also aids production staff to prepare the manuscript if the submission is accepted for publication. See the “Author’s Checklist” for a sample order of components.
Authorship	The journal may require that only those who actively participated in writing the paper be listed as authors, although many journals – and authors – disagree on what constitutes authorship. Consequently, the instructions should delineate criteria for authorship, or lead the reader to established guidelines to help the lead author determine who should be listed as an author and who should be included in the acknowledgments section.
Rewards	One of the primary goals of an editorial office, besides offering a fair and unbiased peer review, is to proceed through the review and publication process in a way that guarantees the most expeditious handling of the manuscript possible. Developing a useful and understandable set of guidelines that helps you attain much better compliance can provide such a guarantee.
	About the Author: Gary Michael Smith is Senior Publications Specialist at the Information Technology Center in New Orleans. He is author of seven nonfiction trade books and teaches three courses at the University of New Orleans. He can be reached at his Web site www.ChatgrisPress.com. Back to top