RESEARCH OUTPUTS DEFINITIONS
TABLE OF CONTENTS
Introduction: Data Collected in My Research Publications
Definitions
Definition of Research
Year of Publication
Expanded Year of Publication Definition
Author Affiliation
Peer Review
Commercial Publisher
Foreign Language Publications
Format
Research Output Categories
A1 Books – Authored Research
A2 Books – Authored Other
A3 Books – Edited
A4 Books – Revision/New Edition
B1 Book Chapters – Authored Research
B2 Book Chapters – Other
C1 Journal Articles – Refereed Articles in Scholarly Journals
C2 Journal Articles – Non Refereed Journal Articles
C3 Letters or Notes in Journals
D Major Reviews/Reports
E1 Conference Publications – Full Written Papers Refereed
E2 Conference Publications – Full Written Papers Non Refereed
E3 Conference Publications – Extract Papers
E4 Conference Publications – EDITORSHIP OF Volume/s of Conference Proceedings
F Audio-Visual Recordings
G Computer Software
I Patents
Q1 Original Creative Works – Major Research Component
Q2 Original Creative Works – Minor Research Component, to be part of a portfolio
R1 Live Performance of Creative Works – Major Research Component
R2 Live Performance of Creative Works – Minor Research Component, to be part of a
portfolio
S1 Recorded/Rendered Creative Works – Major Research Component
S2 Recorded/Rendered Creative Works – Minor Research Component, to be part of a
portfolio
T1 Curated or Produced Substantial Public Exhibitions and Events – Major Research
Component
T2 Curated or Produced Substantial Public Exhibitions and Events – Minor Research
Component, to be part of a portfolio
Creative and Performing Arts Outputs – Professional Practice
Q3 Original Creative Works
R3 Live Performance of Creative Works
S3 Recorded/Rendered Creative Works
T3 Curated or Produced Substantial Public Exhibitions and Events
Creative and Performing Arts Esteem Indicators
N1 Commissions
N7 Awards
Strategic Research Performance Categories
O1 Invited Keynote Addresses at International Conferences
O2 Editorial Board Memberships of International Journals
O3 Overseas Research Visitors
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O4 Guest Editorship of Special Edition of a Refereed Journal
O9 International Research Collaborations
P1 National Research Collaborations
Non-Griffith Publication Categories
Further Information
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INTRODUCTION: DATA COLLECTED IN MY RESEARCH PUBLICATIONS
Griffith University now collects four types of research activity data in My Research
Publications, in light of the increasing number of purposes that it needs to serve:
1. HERDC/ERA Compliant Categories
These are the only categories of research publications which DIICCSRTE currently calls on
all universities to report as part of the annual Higher Education Research Data Collection
(HERDC). These comprise Authored Books (A1), Book Chapters (B1), refereed Journal
Articles (C1) and refereed Conference Papers (E1). These types of outputs are also eligible
for Excellence in Research for Australia (ERA) submissions.
2. Non-HERDC/ERA Compliant Categories
These expand on the above HERDC/ERA Compliant Categories and include similar
categories but without the same stringent requirements such as peer review. Categories of
this type familiar to staff are A2, A3, A4, B2, C2, C3, D (Major Reviews/Reports), E2, E3, E4,
F (Audio-Visual Recordings not part of the Creative & Performing Arts [CPA] categories), G
(Computer Software not part of the CPA categories), and I (Patents).
Please note that outputs listed in these categories are not verified by the University and are
included in a researcher’s publications list on the understanding that the individual researcher
is responsible for ensuring their details are correct.
3. Creative and Performing Arts (CPA) Categories
In addition to DIICCSRTE publication categories, nineteen categories of creative and
performing arts major research outputs have been adopted by the Research Committee for
inclusion in the University’s ’Research Active’ definition. These are based on ERA nontraditional output categories, and are organised into four groups: original creative works
(Q1s); live performances of creative works (R1s); recorded/rendered creative works (S1s);
and curated/produced substantial public exhibitions/events (T1s). All creative and performing
arts major research outputs must have a research statement outlining the research
component of the creative work – these should be written under the following three headings,
which should combine to be a maximum of 2,000 characters (approximately 250 words):
 Research Background (including field, context and research question)
 Research Contribution (including innovation and new knowledge)
 Research Significance (evidence of excellence)
Multiple exhibitions/performances of creative works may be counted as separate outputs only
where each subsequent exhibition/performance introduces a new research component to the
work. Multiple exhibitions/performances of these research output types cannot be submitted
as multiple outputs where the repeated exhibitions/performances do not introduce a new
research component to the work. For example, a touring exhibition can only be submitted as a
single output.
Portfolios
Under ERA Guidelines, portfolios of creative works are eligible for inclusion in a university’s
ERA submission if a number of individual creative works don’t in themselves constitute
significant research but the portfolio of creative works constitutes research as a whole.
(Creative works in a portfolio must be derived from the same underlying research endeavour.)
Creative and Performing Arts outputs that do not individually have significant research
components but could potentially be grouped into a portfolio of works addressing a particular
research theme can be recorded under the Q2, R2, S2, and T2 categories in My Research
Publications. These will not count towards ‘Research Active’ status but, like other nonHERDC/ERA compliant categories, will appear on a researcher’s list of outputs. Once the
portfolio of works is complete and therefore has a significant research component, this
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portfolio can then be uploaded to My Research Publications (with a research statement)
under the appropriate Q1, R1, S1, or T1 category to count towards ‘Research Active’ status.
In this case, the researcher should include a note in the “comments” field that this is a
portfolio of works with a list of the publication reference numbers for the related Q2/R2/S2/T2
works.
Professional Practice
Creative and Performing Arts outputs that do not have a research component can be
recorded under the Q3, R3, S3, and T3 categories in My Research Publications. These will
not count towards ‘Research Active’ status but, like other non-HERDC/ERA compliant
categories, will appear on a staff member’s list of outputs. Please note that outputs listed in
these categories are included in a staff member’s outputs list on the understanding that the
individual researcher is responsible for ensuring their details are correct.
Esteem
Data for two esteem measures for creative and performing artists are also collected – these
are N1 (Commissions) and N7 (Awards/Prizes). The outputs resulting from the N1
Commissions should be uploaded in the appropriate Q, R, S, and T categories once publicly
available. The outputs producing the N7 Awards/Prizes should have been uploaded to My
Research Publications in the appropriate Q, R, S, or T category prior to (or, if necessary,
concurrently with) the award/prize being recorded in My Research Publications.
4. Strategic Research Performance Categories
Following the release of the Griffith University Strategic Plan 2006 – 2011, the following
categories of research activity items were added to the collection, to capture progress
towards the targets set down in the Strategic Plan for the key performance indicators of
International Linkages and External Collaborations:
O1
O2
O3
O4
O9
P1
Invited Keynote Addresses at International Conferences
Editorial Board Memberships of International Journals
Overseas Research Visitors
Guest Editorship of a Special Edition of a Refereed Journal
International Research Collaborations
National Research Collaborations
These categories may also be useful to staff and the University in preparing background
statements for ERA.
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The following definitions draw on the DIICCSRTE HERDC Specifications, the ERA
Guidelines, and the University’s Strategic Plan and Research Plan.
DEFINITIONS
DEFINITION OF RESEARCH
General Requirements
Each output (other than those recorded in Q3, R3, S3, and T3 categories) must:

meet the definition of research (as defined at section 1.3.10 of DIICCSRTE’s Higher
Education Research Data Collection: Specifications for the Collection of 2012 Data)
1.3.10. Research
Research is defined as the creation of new knowledge and/or the use of existing
knowledge in a new and creative way so as to generate new concepts, methodologies
and understandings. This could include synthesis and analysis of previous research to
the extent that it leads to new and creative outcomes.
This definition of research is consistent with a broad notion of research and experimental
development (R&D) as comprising of creative work undertaken on a systematic basis in
order to increase the stock of knowledge, including knowledge of humanity, culture and
society, and the use of this stock of knowledge to devise new applications.
This definition of research encompasses pure and strategic basic research, applied
research and experimental development. Applied research is original investigation
undertaken to acquire new knowledge but directed towards a specific, practical aim or
objective (including a client-driven purpose).
Activities that support the conduct of research and therefore meet the definition of
research include:
⎯ professional, technical, administrative or clerical support staff directly engaged in
activities essential to the conduct of research
⎯ management of staff who are either directly engaged in the conduct of research or
are providing professional, technical, administrative or clerical support or assistance
to those staff
⎯ the activities and training of HDR students enrolled at the HEP
⎯ the development of HDR training and courses
⎯ the supervision of students enrolled at the HEP and undertaking HDR training and
courses
⎯ research and experimental development into applications software, new
programming languages and new operating systems (such R&D would normally
meet the definition of research)
Activities that do not support the conduct of research must be excluded, such as:
⎯ scientific and technical information services
⎯ general purpose or routine data collection
⎯ standardisation and routine testing
⎯ feasibility studies (except into research and experimental development projects)
⎯ specialised routine medical care
⎯ commercial, legal and administrative aspects of patenting, copyright or licensing
activities
⎯ routine computer programming, systems work or software maintenance.
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Only be counted once by each institution. e.g. if a conference paper is published in
conference proceedings and is subsequently included as a chapter in a book, it can be
counted as a chapter or as a conference paper but not both.
Important Note:
Unless otherwise specified, a reference to research refers to this definition as set out in
section 1.3.10.
For HERDC, the author of the research publication must be affiliated with the claiming
institution. (For non-Griffith outputs, where the research leading to the publication was
completed whilst with another institution, please see the section “Non-Griffith Publication
Categories” on page 37.)
Research Publications – Format Neutrality (Extracted from 1.3.12)
Research publications may be produced in any appropriate format, such as print,
publication online, or publication in digital form on separate media such as a CD.
Publication is more than the release of a work. It implies quality control (such as peer
review or in-house quality control) and enhancement through processes such as
assessment or review, editing, copy-editing, design, and conversion of the work to an
appropriate format.
Comment:
Publications in any format may now be counted, as long as they meet the definition of
research as set out in section 1.3.10.
YEAR OF PUBLICATION
To be able to count publications in the University’s HERDC submission of 2012 research
publications:


the research must have been published in the 2012 calendar year, and
2012 must be stated as the year of publication within or on the work being claimed.
Letters from authors, editors, creators etc stating that a research publication was published in
2012, even though 2012 is not stated within or on the work as the year of publication, are not
acceptable evidence of the year of publication. There are two exceptions:


For journal articles and/or conference publications that are produced on CD-ROM or are
web-based, where no year of publication is stated within or on the work: here, a letter
from a journal editor or conference organiser may be accepted to identify the year of
publication. Note: this applies only to journal articles or conference publications where no
date is stated within or on the work being claimed. A letter from an editor or conference
organiser cannot override a year of publication stated within the work.
The date a conference was held may be acceptable evidence of the year of publication,
provided no other date exists within or on the conference publication being claimed.
The year of publication is normally the latest of the year indicated as published, printed or the
year of copyright. Universities should note that copyright dates or ‘date last updated’ that
appear on web pages do not typically refer to a research publication included on that page.
Web page dates should not be used as evidence of the year of publication.
Pages showing the stated year of publication must be included in verification material.
EXPANDED YEAR OF PUBLICATION DEFINITION
DIICCSRTE has introduced an exception whereby universities can also include 2011
publications in their submission of 2012 publications data. Only those publications which:
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
were published after the submission date for the 2011 data collection; and contain a 2011
publication date, may be included under this provision.
Publications from 2010 and earlier years are not eligible to be included under this provision.
Universities must be able to demonstrate (in the verification material that they maintain) that
the publication was not produced until after the submission date for that year’s publication
return. i.e. that the publication, although containing a 2011 publication date, was not
published until after 30 June 2012. A letter from the publisher will be considered sufficient
verification material to support the claim.
AUTHOR AFFILIATION
The author of the research publication being counted in the HERDC Research Publication
Return must be affiliated with the claiming institution and must be identified either within or on
the work being claimed.
Where author affiliation with the claiming institution is not identified within a work, the
following evidence retained in verification material would be sufficient to demonstrate author
affiliation and should include:

a statement from the author indicating that he or she undertook the research leading to
the publication in his or her capacity as a staff member or student of the institution and
either o a statement from the Director of Human Resources or Dean of Students (or
equivalent) indicating that the author was an appointee or student of the institution in
2012 (or earlier if that was when the research leading to the publication was
conducted), or
o an extract from the institution’s staff or student list that lists the author.
Students (domestic or international) are considered to be those students undertaking HDR
training to achieve a Research Doctorate (including Professional Doctorates) or a Research
Masters.
Where a publication shows that an author has affiliation to more than one institution (eg Janet
Harvey, Tutor in Economics, Institution of X; PhD student, Institution of Y), each Australian
institution named in that by-line can each count the publication in its respective Research
Publication Return.
Adjunct fellows, honorary staff members and staff on leave are considered affiliated with an
institution if the institution is identified in the by-line.
If an author was not affiliated with Griffith University at the time when the research leading to
the publication was completed, the research output should be uploaded to My Research
Publications as a “Non-Griffith Publication”.
PEER REVIEW
For the purposes of the HERDC, an acceptable peer review process is one that involves an
impartial and independent assessment or review of the research publication in its entirety
before publication, conducted by independent, qualified experts. Independent in this context
means independent of the author.
For journal articles, any of the following are acceptable as evidence of peer review:
 the journal is listed on the ARC's ERA 2012 journal list
http://www.arc.gov.au/era/era_2012/era_journal_list.htm
 the journal is listed in one of the Institute for Scientific Information indexes
http://scientific.thomson.com/mjl/
 the journal is classified as ‘refereed’ in Ulrich’s International Periodicals Directory
(Volume 5 - Refereed Serials) or via Ulrich’s website
https://ulrichsweb.serialssolutions.com/
 there is a statement in the journal which shows that contributions are peer reviewed
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

there is a statement or acknowledgement from the journal editor which shows that
contributions are peer reviewed
a copy of a reviewer’s assessment relating to the article.
For conference publications, any of the following are acceptable as evidence of peer review:
 there is a statement in the conference proceedings which shows that contributions
are peer reviewed
 there is a statement or acknowledgement from the conference proceedings editor
which shows that contributions are peer reviewed
 a copy of a reviewer’s assessment relating to the conference paper.
For books and book chapters that are not published by a commercial publisher any of the
following are acceptable as evidence of peer review:
 there is a statement in the book which shows that contributions are peer reviewed
and in the case of book chapters, which indicates which chapters are peer reviewed,
if this does not apply to all content
 there is a statement or acknowledgement from the publisher or editor which shows
that contributions are peer reviewed
 a copy of a reviewer’s assessment relating to the book or book chapter.
Note: a statement from an author that a publication was peer reviewed is not
acceptable. The existence of a national or international advisory board is also not
sufficient evidence that all relevant publications were assessed by members of it.
For books and book chapters (A1 and B1 publications), the concept of a commercial publisher
(as defined below) is used as a surrogate test of quality in place of a peer review requirement.
COMMERCIAL PUBLISHER
For the purposes of these specifications, a commercial publisher is an entity for which the
core business is publishing books and distributing them for sale.
Important note:
Publication is more than the production of a book. It includes quality control such as peer
review or equivalent in-house quality control through processes such as expert assessment or
review, as well as editing, copy-editing, design, and conversion of the work to an appropriate
format.
If publishing is not the core business of an organisation but there is a distinct organisational
entity devoted to commercial publication and its publications are not completely paid for or
subsidised by the parent organisation or a third party, the publisher is acceptable as a
commercial publisher.
For the purposes of these specifications, Universities and other self-supporting University
presses are also regarded as commercial publishers, provided that they have responsibility
for distribution of the manuscript, in addition to its publication.
FOREIGN LANGUAGE PUBLICATIONS
Foreign language publications are eligible to be counted. The same verification evidence is
required, in English, as for any other works. It is not necessary to translate the entire
publication, but all relevant sections required for the verification of information to demonstrate
that it meets the criteria of the category against which it is being claimed. This includes
evidence that the work meets the definition of research.
FORMAT
Works in any format, including electronic works, are eligible to be counted, provided they
meet all relevant criteria in these specifications for the publications category against which
they are being claimed.
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RESEARCH OUTPUT CATEGORIES
(HERDC/ERA COMPLIANT CATEGORY)
A1 BOOKS – AUTHORED RESEARCH
DIICCSRTE Weighting: 5
To be included in this category the publication must meet the definition of research as
amplified in the general requirements for research publications (as defined on page 5) and:





must be a major work of scholarship
must have an International Standard Book Number (ISBN)
must be written entirely by a single author, or by joint authors who share responsibility
for the whole book
must have been published by a commercial publisher, as defined on page 8, or if not
published by a commercial publisher, must have been peer reviewed, as defined on
page 8
the author must be affiliated with the claiming institution, as set out in page 7.
The types of books that may meet the criteria include:
 critical scholarly texts (e.g. music, medieval or classical texts)
 new interpretations of historical events
 new ideas or perspectives based on established research findings.
The types of books that do not meet the criteria include:
 textbooks
 anthologies
 edited books
 creative works such as novels
 translations (unless they have a major demonstrable original research component)
 revisions or new editions
 manuals and handbooks
 theses (PhD, Masters and Honours)
Note: many of the books published by professional bodies do not report original
research findings but report the results of evaluations, or repackage existing
information for the benefit of professionals or practitioners. It is important that
Universities assess these publications very carefully against the definition of research
provided above and only count those publications which major works of scholarship
and report original research activities for the first time. Freely available researchrelated reports published by external institutes or public agencies and departments are
also unlikely to meet these criteria.
Verification requirements
For all publications the following must be provided:
1. Complete copies of the title page, table of contents, preface, foreword, introduction and
pages showing all bibliographical information (ISBN, author(s), publisher and all dates
referring to copyright, publication, printing and distribution);
2. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement
in publication indicating research undertaken in author's capacity as a staff member or
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student of the university or a statement from author attesting research undertaken in
author's capacity as a staff member or student of the university (in support of this
statement INS staff will provide confirmation that the author was an appointee or student of
the University in 2012); and
3. The University must be able to provide proof that the book was published by a Commercial
Publisher, as defined on page 8, or if not published by a commercial publisher, evidence of
peer review must be supplied, according to the definition of peer review on page 8.
Note: an ISBN or a publisher is not required for conference publications but each is
essential for books and book chapters.
(NON-HERDC/ERA COMPLIANT CATEGORIES)
A2 BOOKS – AUTHORED OTHER
A3 BOOKS – EDITED
A4 BOOKS – REVISION/NEW EDITION
For all publications classified as books (A2, A3 and A4) the following applies:
 Publications in this category must be a major work of scholarship bound and offered
for sale.
 All works in this category must have an International Standard Book Number (ISBN),
although this is not a sufficient reason by itself for inclusion.
Category
Code
Publication Category
A2
Authored - Other
This refers to books which must be written solely by the author(s).
Publications in this category must be a substantial work of scholarship.
Include:






research monographs published by university departments;
textbooks (consisting mainly of new contributions of existing knowledge
or updating of a body of established knowledge to make it more readily
accessible) aimed primarily at a university audience;
books published by private individuals eg. ‘vanity presses’;
evaluative and investigative government department publications, eg.
DIICCSRTE Evaluations and Investigations Program reports;
translations of published books and other authored books or monographs
not classified in A1 above;
annotated anthologies.
Exclude:



A3
creative works such as novels, depending mainly upon the imagination of
the author rather than upon a publicly accessible body of agreed fact
(these should be recorded as Q1_3, Q2_3 or Q3_3, see below);
university departmental Working Papers, Technical Reports, Discussion
Papers and the like (excluded completely);
textbooks that are primarily aimed at secondary, primary or pre-school
students (excluded completely).
Edited
This refers to books which must be edited books, monographs or short series
of volumes consisting of contributions from a number of authors.
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Exclude:

A4
editorship of journals (excluded completely, except for possibly O2, see
below).
Revision/New Edition
This refers to books which must be previously published or a collection of
previously published articles either by the current author or editor, or by some
previous author or editor, which has been brought up-to-date by the
substantial addition or alteration of material.
Exclude:

reprints that do not
(excluded completely).
involve
substantial
additions
or
revisions
(HERDC/ERA COMPLIANT CATEGORY)
B1 BOOK CHAPTERS – AUTHORED RESEARCH
DIICCSRTE Weighting: 1
This category refers to a contribution, consisting substantially of new material, to an edited
compilation in which the material is subject to editorial scrutiny.
To be included in this category the publication must meet the definition of research as
amplified in the general requirements for research publications (as defined on page 5) and:



must have an International Standard Book Number (ISBN)
must have been published by a commercial publisher, as defined on page 8, or if not
published by a commercial publisher, must have been peer reviewed, as defined on
page 8
the author must be affiliated with the claiming institution, as defined on page 7.
A book chapter may be included if it has been published previously as long as it constitutes
substantial new knowledge and constitutes original research. The types of book chapters
that may meet the criteria include:



a scholarly introduction of chapter length to an edited volume, where the content of
the introduction reports research and makes a substantial contribution to a defined
area of knowledge
a critical scholarly text of chapter length, eg. in music, medieval or classical texts
critical reviews of current research.
Unless they meet all of the criteria for inclusion, the following book chapters must be
excluded:










chapters in textbooks
entries in reference books
anthologies
revisions of chapters in edited books
forewords
brief introductions
brief editorials
appendices
literary or creative pieces such as collections of short stories, and
translations (unless they have a major demonstrable original research component).
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Verification requirements
For all publications the following must be provided:
1. Complete copy of the chapter.
2. Complete copies of the book’s title page, table of contents, preface, foreword, introduction
and pages showing all bibliographical information as appropriate (ISBN or ISSN, editor,
author(s), publisher and all dates referring to copyright, publication, printing and
distribution).
3. If new chapter in revised edition, include also contents of previous edition if preface does
not indicate that chapter is new.
4. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement
in publication indicating research undertaken in author's capacity as a staff member or
student of the university or a statement from author attesting research undertaken in
author's capacity as a staff member or student of the university (in support of this
statement INS staff will provide confirmation that the author was an appointee or student of
the University in 2012).
5. The University must be able to provide proof that the book was published by a Commercial
Publisher, as defined on page 8, or if not published by a commercial publisher, evidence of
peer review must be supplied, according to the definition of peer review on page 8.
Note: an ISBN or a publisher is not required for conference publications but each is
essential for books and book chapters.
(NON-HERDC/ERA COMPLIANT CATEGORY)
B2 BOOK CHAPTERS – OTHER
This refers to a contribution, consisting substantially of new material, to an edited compilation
in which the material is subject to editorial scrutiny, but which cannot meet all the
requirements of the B1 category.
Include:



Entries in reference works;
Revisions of chapters in edited books;
Chapters in books, University departmental or centre Working Papers that have been
published by private individuals e.g. Vanity presses.
Exclude:




Chapters in textbooks;
Creative works such as short stories, depending mainly upon the imagination of the
author rather than upon a publicly accessible body of agreed fact (these should be
recorded as Q1_3, Q2_3, or Q3_3, see below);
Translations;
Annotated anthologies.
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(HERDC/ERA COMPLIANT CATEGORY)
C1 JOURNAL ARTICLES – REFEREED ARTICLES IN SCHOLARLY JOURNALS
DIICCSRTE Weighting: 1
To be included in this category the publication must meet the definition of research as
amplified in the general requirements for research publications (as defined on page 5) and:




must be published in a scholarly journal
must have been peer-reviewed as defined on page 7. Note: the fact that an article
has been peer reviewed does not automatically mean that it is eligible. The
article must still meet the definition of research as well as all other criteria
must have an International Standard Serial Number (ISSN)
o Some journals may be regularly published as separate volumes with an ISBN
rather than an ISSN. Provided that the publication is clearly identified as an
edition of a journal, and not a book, articles in such publications may be eligible if
they meet all other criteria.
o If an ISSN does not appear in the journal,
o external evidence such as an ISSN number being cited in an extract from one
of the Institute for Scientific Information indexes
(http://scientific.thomson.com/mjl/) or
o evidence that the journal is classified as ‘refereed’ in Ulrich’s International
Periodicals Directory (Volume 5 - Refereed Serials) or via Ulrich’s web site
(https://ulrichsweb.serialssolutions.com/)
the author must be affiliated with the claiming institution, as set out on page 7.
The types of journal articles that may meet the criteria include:








commentaries and communications of original research
research notes
letters to journals, provided that the letter satisfies the definition of research (as
defined above) and the subsequent definitions for journal articles in this section
critical scholarly texts which appear in article form
articles reviewing multiple works or an entire field of research
invited papers in journals
articles in journals which are targeted to both scholars and professionals
articles in a stand-alone series.
The types of journal articles that do not meet the criteria include:








letters to the editor
case studies
articles designed to inform practitioners on existing knowledge in a professional field
articles in newspapers and popular magazines
editorials
book reviews
brief commentaries and communications of original research
reviews of art exhibitions, concerts, theatre productions.
Verification requirements
For all publications the following must be provided:
1. If you have attached an electronic copy of the published version of your article, unless you
are requested to, you will not need to send in any verification documentation apart from an
authorship statement if the article does not identify your institution and affiliation.
13
2. If you have not attached an electronic copy of the published version of your article, please
provide the following hard copy documentation:

the article or offprint of the article

photocopies of pages showing all bibliographic information (journal title, ISSN or
ISBN, Volume, Issue (where applicable) and dates where not provided in copy or
offprint).
If an ISSN does not appear in the journal,
o external evidence such as an ISSN number being cited in an extract from one of
the Institute for Scientific Information indexes http://scientific.thomson.com/mjl/
or
o evidence that the journal is classified as ‘refereed’ in Ulrich’s International
Periodicals Directory (Volume 5 - Refereed Serials) or via Ulrich’s website
https://ulrichsweb.serialssolutions.com/

Evidence indicating the author’s affiliation to the institution. By-line or footnote or
statement in publication indicating research undertaken in author's capacity as a staff
member or student of the university or a statement from author attesting research
undertaken in author's capacity as a staff member or student of the university (in
support of this statement INS staff will provide confirmation that the author was an
appointee or student of the University in 2012)

proof of peer reviewing as set out on page 7
Either –
o Extract from one of the Institute for Scientific Information indexes
http://scientific.thomson.com/mjl/ , or
o Extract from Ulrich’s listing (https://ulrichsweb.serialssolutions.com/) indicating
refereed journal, or
o the journal is listed on the ARC's ERA 2012 journal list
http://www.arc.gov.au/era/era_2012/era_journal_list.htm or
o Statement in the journal that contributions are refereed, or
o Statement from editor stating that contributions are refereed, or
o Copy of referee’s assessment relating to the article.
(NON-HERDC/ERA COMPLIANT CATEGORIES)
C2 JOURNAL ARTICLES – NON REFEREED JOURNAL ARTICLES
C3 LETTERS OR NOTES IN JOURNALS
Category
Code
Publication Category
C2
Non refereed articles in scholarly or professional journals
This refers to non-refereed works of scholarship published in a scholarly or
professional journal controlled by an editorial board.
Include:


articles that are sets of guidelines or summaries of the state of knowledge
in an area, generally intended to inform practitioners in a professional
field - in either refereed or non-refereed journals;
medical case histories.
14
Exclude:





C3
editorials (possibly C3);
letters to the editor (possibly C3);
book reviews (possibly C3);
non-scholarly, non-research articles (excluded completely);
articles in newspapers and popular magazines (excluded completely
unless eligible as a textual creative work (Q1_3, Q2_3 or Q3_3)).
Letters or Notes
This refers to non-refereed communications (including editorial commentary)
published in a journal controlled by an editorial board.
Include:





commentaries and brief communications of original research that are not
subject to peer review;
editorials;
book reviews;
letters to the editor;
reviews of art exhibitions, concerts, theatre productions (by members of
appropriate academic departments).
Exclude:


non-scholarly, non-research articles (excluded completely);
articles in newspapers and popular magazines (excluded completely
unless eligible as a textual creative work (Q1_3, Q2_3 or Q3_3)).
(NON-HERDC/ERA COMPLIANT CATEGORY)
D MAJOR REVIEWS/REPORTS
This category refers to:
 Reviews of multiple works or of an entire field of research which places other works in
context and makes a substantial contribution in its own right, which is not already eligible
in the A1, B1, C1 or E1 categories. This type of review can appear in monograph form (for
example 'annual review of (immunology, plant physiology etc)').
 Major reports resulting from research, which are not published in the usual academic
outlets (i.e. not published in books from commercial publishers, refereed journals/
conference publications), and have not been peer reviewed. An example of the type of
major report eligible is a government report (not peer reviewed) resulting from a research
project.
Include:
 Contributions to reference works, including encyclopaedias provided they are more than
4000 words in length.
Exclude:
 book reviews (possibly C3).
15
(HERDC/ERA COMPLIANT CATEGORIES)
E1 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS REFEREED
DIICCSRTE Weighting: 1
To be included in this category the conference publication must meet the definition of
research as amplified in the general requirements for research publications (as defined on
page 5) and:




be published in full. The papers may appear in any formats, e.g. a volume of
proceedings, a special edition of a journal, a normal issue of a journal, a book or a
monograph, CD-ROM or conference or organisational web site
be peer reviewed (see page 7 and 8)
be presented at conferences, workshops or seminars of national or international
significance
the author must be affiliated with the claiming institution, as set out page 7.
The types of conference publications that do not meet the criteria include:
 papers that appear only in a volume handed out to conference participants
 keynote addresses *
 plenary addresses
 poster presentations
 abstracts of conference publications
*Keynote addresses and invited papers may be included in this category if they fulfil the
requirements for an E1 category. Proof that all other papers presented at the same
conference were peer reviewed is not acceptable as proof that the keynote address was peer
reviewed. Proof that the Keynote address was peer reviewed will need to be provided.
A conference paper can only be counted once for HERDC (and ERA), even if published in
more than one format.
 Conference papers published in books which meet all criteria for category B1 as well as
all criteria for category E1 may be counted in either (but NOT both). The verification
requirements will be those applicable to the category in which the publication is counted.
 Conference papers published in journals which meet all criteria for category C1 as well as
all criteria for category E1 may be counted in either (but NOT both). The verification
requirements will be those applicable to the category in which the publication is counted.
However, book chapters and journal articles resulting from conference papers that have
already been uploaded as E1s (and report the same research as the E1, without any
significant extension to that research) can be categorised as B1E and C1E outputs in My
Research Publications. Any outputs falling into these categories should be uploaded as B1 or
C1 outputs with a note in the comments field that the output is a re-publication of a previously
recorded E1 (with its My Research Publications reference number provided) – the category
will be corrected to B1E or C1E during verification.
Refereeing of Conference Papers
As with category C1, DIICCSRTE would generally expect refereeing of conference papers to
involve external assessment, that is, assessment by at least one reviewer who is independent
of the conference’s editorial board. Assessment by members of an expert advisory
board/panel/committee with broad national or international representation will also be
accepted as refereeing in the current collection.
In all cases where a paper is counted under category E1, specific evidence must be provided
that the whole paper has been refereed. Refereeing on the basis of an abstract, or extended
abstract, is not sufficient.
16
For conference publications, any of the following are acceptable as evidence of peer review:
 there is a statement in the conference proceedings which shows that contributions
are peer reviewed
 there is a statement or acknowledgement from the conference proceedings editor
which shows that contributions are peer reviewed
 a copy of a reviewer’s assessment relating to the conference paper.
For the purposes of the Research Data Collection, DIICCSRTE regards “refereeing”
and “peer review” as interchangeable terms, but note that “reviewed” without the word
“peer” before it is not sufficient.
Note:
 in respect of keynote addresses – proof that the keynote address was peer
reviewed/refereed must be provided. Proof of peer review of all other papers presented at
the conference will not be acceptable as proof of peer review for the Keynote address.
 a statement from the author that the paper was refereed will not be accepted;
 a statement from a conference organiser/editor must demonstrate the link with the
conference; e-mails from people who have no apparent connection with the conference
will not be accepted;
 the mere existence of a national or international advisory board does not prove that all
papers are assessed by members of it;
 a technical board may substitute for an advisory board;
 for the current collection the simple statement in the proceedings that full papers were
refereed will be accepted at face value; statements from the conference organiser must
indicate that refereeing involves external assessment of the full paper or assessment of
the full paper by members of an expert advisory board/panel/committee with broad
national or international representation;
 items listed in the exclusions cannot be counted, whether refereeing is established or not.
Verification requirements
For all publications the following must be provided:
1. Complete copy or offprint of paper
2. Complete copy of table of contents, preface, introduction and pages showing all
bibliographical information as appropriate (ISBN or ISSN, author(s), editor, publisher and
all dates referring to copyright, publication, printing and distribution)
3. Proof of national or international significance if not clearly shown in documents above.
National/international significance of a conference may be indicated by the presence of
interstate/international speakers, or a listing of previous conference venues showing that
the conference is held in a range of national/international locations, and
4. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement
in publication indicating research undertaken in author's capacity as a staff member or
student of the university or a statement from author attesting research undertaken in
author's capacity as a staff member or student of the university (in support of this
statement INS staff will provide confirmation that the author was an appointee or student of
the University in 2012).
5. Proof of peer reviewing as set out above.
Either:
o statement in proceedings that full papers are refereed, or
o statement from conference organiser/editor, or
o copy of assessment showing assessment made on full paper.
6. If a Keynote address, evidence it fulfils all of the requirements of an E1, as set out above,
including poof that it was peer reviewed. Proof of peer review of all other papers presented
at the conference will not be acceptable as proof of peer review for the Keynote address.
17
(NON-HERDC/ERA COMPLIANT CATEGORIES)
E2 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS NON REFEREED
E3 CONFERENCE PUBLICATIONS – EXTRACT PAPERS
E4 CONFERENCE PUBLICATIONS – EDITORSHIP OF VOLUME/S OF
CONFERENCE PROCEEDINGS
For all publications classified as conference publications (E2, E3 and E4) the following
applies.
These refer to conference papers which have been made available for international
circulation. The papers may appear in a number of different formats, e.g. a volume of
proceedings, a special edition of a journal, a normal issue of a journal, a book or a
monograph. Papers must be presented at conferences of national and international
significance.
Exclude:
 papers that appear only in a volume handed out to conference participants (excluded
completely);
 papers presented at workshops, minor seminars, and conferences that are not regarded
as having national or international significance (excluded completely).
Category
Code
Publication Category
E2
Full written paper - non-refereed proceedings
This refers to written versions of conference presentations subsequently
published which were not subject to peer review or formal assessment by an
editorial board.
E3
Extract of paper
This refers to extracts or synopses of conference papers that are published in
the conference proceedings.
E4
Editorship of a volume/s of conference proceedings
This refers to edited volumes of conference proceedings in which one or more
members of institutional staff are identified as having editorial responsibility
for the proceedings.
Exclude:

edited volumes in which the university’s staff member is on the editorial
advisory board but is not one of the listed editors of the volume (excluded
completely).
18
(NON-HERDC/ERA COMPLIANT CATEGORY)
F AUDIO-VISUAL RECORDINGS
This refers to substantial and scholarly works presented in audio-visual form and offered for
sale under the imprint of a recognised commercial publisher or distributor. It should cover the
presentation of research findings and factual information. Examples include an ethnographic
film; an audio-visual presentation of dynamic research output e.g. fluid mechanics, robotics,
visual motion, new surgery techniques, conference presentations, a guide to collected sound
recordings.
Exclude:


audio-visual teaching material (excluded completely);
creative works (possibly S1_1, S2_1, S3_1, S1_6, S2_6 or S3_6).
(NON-HERDC/ERA COMPLIANT CATEGORY)
G COMPUTER SOFTWARE
This refers to innovative software products of commercial quality and offered for sale or
distributed as Shareware through a recognised publisher or distributor.
(NON NON-HERDC/ERA COMPLIANT CATEGORY)
I PATENTS
This refers to patents on specific products or processes granted for the first time, either in
Australia or in an overseas country.
Include:


a product or process for which a full patent has been granted.
patent granted for the first time in 2012.
Exclude:


provisional patents.
products or processes for which a full patent has been granted in any jurisdiction in
previous years.
19
(ERA CATEGORY)
Q1 ORIGINAL CREATIVE WORKS – MAJOR RESEARCH COMPONENT
ERA Weighting: 1
To be included in this category the output must meet the definition of research as amplified in
the general requirements for research outputs (as defined on page 5) and thus should make
contributions to a particular cultural field in at least one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
For all Q1 research outputs, a research statement is mandatory. This should outline the
research component of the creative work under the following three headings, which should
combine to be a maximum of 2,000 characters (approximately 250 words):
 Research Background (including field, context and research question)
 Research Contribution (including innovation and new knowledge)
 Research Significance (evidence of excellence)
Research outputs are eligible as Original Creative Works (Q1 outputs) only where the
relevant eligible researcher is the creator of the creative work rather than, for example, the
curator of an exhibition of creative works produced by others (the latter should be recorded as
T1, T2 or T3 outputs). However, the exhibition of an Original Creative Work can be used to
demonstrate that the work has been made publicly available.
There are five sub-categories, outlined below:
(Q1_1) Visual art work
This category includes research outputs such as a fine arts and crafts work, diagram,
map, photographic image, sculpture or installation. The art work must have been
made publicly available, usually through exhibition by a recognised museum or
exhibiting authority of standing. This category would recognise the following as
exhibition venues:
1. National or State Gallery or Museum
2. Contemporary Art Space
3. University Gallery
4. A member of the Regional Galleries Association
5. A member of the Commercial Galleries Association or a venue of equivalent
standing.
6. Public and Site-specific art projects.
7. International exhibitions and projects.
8. Curated virtual exhibitions.
(Q1_2) Design/architectural work
This category includes realised, constructed, fabricated and unrealised (but publicly
available) building and design projects. ‘Unrealised‘ projects must have an output that
provides evidence of the research involved.
(Q1_3) Textual work
This category includes written creative work that is not eligible to be submitted as a
book or journal article, such as a novel, short story, script for a play or film, art review,
exhibition catalogue or catalogue entry. The category recognises the creation of a
20
body of work or new works that has been published in a copyrightable medium by a
recognised publisher or broadcaster, or represented in the context of a major arts
organisation/event. The types of creative writing that may meet these criteria include
original written work published, performed or broadcast in a literary, theatrical,
multimedia, cyber art, performance art, film, radio, video or hybrid art form. The work
should be published, performed or broadcast from a venue or by a publisher of at
least State standing. Examples include:
1. A short story in a collection or journal released by a State-based publisher;
2. A short play in a program performed at a capital city theatre;
3. A short cyber work in a program produced at a State-recognised festival;
4. A catalogue, or significant catalogue essay, produced for an exhibition held at
one of the venues listed under Q1_1;
5. A novel released by a State-based or international/national publisher;
6. A play performed at a major capital city theatre;
7. A cyber work produced at a State or nationally-recognised festival.
(Q1_4) Musical composition
This category recognises musical compositions that have been published in a
copyrightable medium by a recognised recording label or publisher or broadcaster, or
represented in the context of a major arts organisation/event. The types of
composition that might meet these criteria include newly commissioned work of
significant proportions for performance / recording by a major national organisation
such as Symphony Australia, Musica Viva Australia, or organisations of at least
regional or State-wide significance such as Opera Queensland, Queensland Ballet,
Queensland Theatre Company, the Song Company, Elision, Australian Festival of
Chamber Music.
(Q1_5) Other
Original creative works that do not fit the other sub-categories but have been made
publicly available.
Verification requirements
1. A copy of the work (if textual or a music composition); a link to the work (if web-based); a
recording of the work (if the work was made publicly available through performance or
recording/rendering; or clips from a recording, if the recording is too large); or visual
documentation of the art work/design/architectural work. Plus any other relevant material
such as a program or an exhibition catalogue, where available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the output.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the program/catalogue or no reference to
Griffith University on a CD/Video jacket) please complete an authorship statement form).
5. A research statement.
Q2 ORIGINAL CREATIVE WORKS – MINOR RESEARCH COMPONENT, TO BE
PART OF A PORTFOLIO
To be included in this category the output must be intended as a minor component of a series
or sequence of investigations that will form part of a portfolio of works on a particular research
theme. The portfolio, when completed, will be recorded as a Q1, and will therefore meet the
definition of research as amplified in the general requirements for research outputs (as
21
defined on page 5) and thus should make contributions to a particular cultural field in at least
one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
Research outputs are eligible in the Q2 category only where the relevant eligible researcher is
the creator of the creative work rather than, for example, the curator of an exhibition of
creative works produced by others (the latter should be recorded as T1, T2 or T3 outputs).
However, the exhibition of an Original Creative Work can be used to demonstrate that the
work has been made publicly available.
The Q2 creative work sub-categories are the same as the Q1 sub-categories:
(Q2_1) Visual art work
(Q2_2) Design/architectural work
(Q2_3) Textual work
(Q2_4) Musical composition
(Q2_5) Other
For further details of the sub-categories, please refer to Q1 sub-category descriptions above.
Verification requirements
1. A copy of the work (if textual or a music composition); a link to the work (if web-based); a
recording of the work (if the work was made publicly available through performance or
recording/rendering; or clips from a recording, if the recording is too large); or visual
documentation of the art work/design/architectural work. Plus any other relevant material
such as a program or an exhibition catalogue, where available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the output.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the program/catalogue or no reference to
Griffith University on a CD/Video jacket) please complete an authorship statement form).
(ERA CATEGORY)
R1 LIVE PERFORMANCE OF CREATIVE WORKS – MAJOR RESEARCH
COMPONENT
ERA Weighting: 1
To be included in this category the output must meet the definition of research as amplified in
the general requirements for research outputs (as defined on page 5) and thus should make
contributions to a particular cultural field in at least one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
22




Refinement/reinterpretation of methods, techniques, existing knowledge;
Conceptual advances;
Constructive critiques and synthesis; and
New means of dissemination.
This creative and performing arts category recognises the research leading up to the live
performance of a creative work; the public performance is the research output. The
performance should have been made publicly available in a copyrightable medium by a
recognised recording label or publisher or broadcaster, and/or have taken place in the context
of a major festival or series, at a public event and/or venue of State or regional significance.
The category may include work that has been commissioned by an external agency.
For all R1 research outputs, a research statement is mandatory. This should outline the
research component of the live performance under the following three headings, which should
combine to be a maximum of 2,000 characters (approximately 250 words):
 Research Background (including field, context and research question)
 Research Contribution (including innovation and new knowledge)
 Research Significance (evidence of excellence)
There are four sub-categories, outlined below:
(R1_1) Music
This category includes performance of new music and demonstrably new or
innovative interpretations or productions of existing music.
(R1_2) Play
This category includes performance of new plays and demonstrably new or innovative
interpretations or productions of existing plays.
(R1_3) Dance
This category includes performance of new dance (choreography) and demonstrably
new or innovative interpretations or productions of existing dance (choreography).
(R1_4) Other
This category includes performance of new works of other types and
demonstrably new or innovative interpretations or productions of existing works of
other types.
Verification requirements
1. A recording of the work (or clips from a recording, if the recording is too large) plus any
other relevant material, where available, such as a program.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who saw the performance.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the program) please complete an
authorship statement form).
5. A research statement.
23
R2 LIVE PERFORMANCE OF CREATIVE WORKS – MINOR RESEARCH
COMPONENT, TO BE PART OF A PORTFOLIO
To be included in this category the output must be intended as a minor component of a series
or sequence of investigations that will form part of a portfolio of works on a particular research
theme. The portfolio, when completed, will be recorded as an R1, and will therefore meet the
definition of research as amplified in the general requirements for research outputs (as
defined on page 5) and thus should make contributions to a particular cultural field in at least
one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
This creative and performing arts category recognises the research leading up to the live
performance of a creative work; the public performance is the research output. The
performance should have been made publicly available in a copyrightable medium by a
recognised recording label or publisher or broadcaster, and/or have taken place in the context
of a major festival or series, at a public event and/or venue of State or regional significance.
The category may include work that has been commissioned by an external agency.
The R2 creative work sub-categories are the same as the R1 sub-categories:
(R2_1) Music
(R2_2) Play
(R2_3) Dance
(R2_4) Other
For further details of the sub-categories, please refer to R1 sub-category descriptions above.
Verification requirements
1. A recording of the work (or clips from a recording, if the recording is too large) plus any
other relevant material, where available, such as a program.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who saw the performance.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the program) please complete an
authorship statement form).
24
(ERA CATEGORY)
S1 RECORDED/RENDERED CREATIVE WORKS – MAJOR RESEARCH
COMPONENT
ERA Weighting: 1
To be included in this category the output must meet the definition of research as amplified in
the general requirements for research outputs (as defined on page 5) and thus should make
contributions to a particular cultural field in at least one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
For Recorded/Rendered Creative Work research outputs, the research component is
contained within the recording/rendering. Simple documentations of live performances of
creative works without a research component are not eligible to be submitted as this research
output type, but may be submitted as supporting material under Live Performance of Creative
Works (see R1 and R2 above, or R3 below).
For all S1 research outputs, a research statement is mandatory. This should outline the
research component of the recording/rendering under the following three headings, which
should combine to be a maximum of 2,000 characters (approximately 250 words):
 Research Background (including field, context and research question)
 Research Contribution (including innovation and new knowledge)
 Research Significance (evidence of excellence)
There are six sub-categories, outlined below:
(S1_1) Film/video
This category includes films and videos where the research component is contained
in the recording/ rendering (scripts for films should be recorded under the Q1_3
category: Original Creative Work - Textual). In the case of film direction/production,
the role of the director/producer would need to be demonstrated as comprising
significant research input.
(S1_2) Performance
This category includes performances (in music, dance, theatre, etc.) that have been
created specifically for a recorded medium. In the case of sound production, the role
of the sound producer would need to be demonstrated as comprising significant
research input. An example of the type of work that might meet the requirements of
this category would be a significant personal contribution as the sound producer on
the recording of a major body of recently created repertoire released by a commercial
label/publishing house of national standing; such as Move Records, Tall Poppies,
ABC Classics. In the case of theatre direction, the role of the director would need to
be demonstrated as comprising significant research input.
(S1_3) Inter-arts
This category includes recorded/rendered work, often experimental, produced in
association with other researchers in other disciplinary fields.
25
(S1_4) Digital creative work
This category includes creative 3D models, including digital outputs of architectural
and design projects, computer programs, games, and visual artworks.
(S1_5) Website/web exhibition
These are eligible as recorded/rendered creative works if the eligible researcher is the
creator of the creative works featured in the website. Curated web-based exhibitions
of the creative work of others must be submitted as Curated or Produced Substantial
Public Exhibitions and Events (as a T1_1, T2_1 or T3_1 output).
(S1_6) Other
Other recorded/rendered creative works not listed above.
Verification requirements
1. A copy of the work (or clips from the recorded/rendered work, if the recording is too large);
or a link to the work (if web-based). Plus any other relevant material such as marketing
material, where available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the recorded/rendered work.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the CD/Video jacket or on the website)
please complete an authorship statement form).
5. A research statement.
S2 RECORDED/RENDERED CREATIVE WORKS – MINOR RESEARCH
COMPONENT, TO BE PART OF A PORTFOLIO
To be included in this category the output must be intended as a minor component of a series
or sequence of investigations that will form part of a portfolio of works on a particular research
theme. The portfolio, when completed, will be recorded as an S1, and will therefore meet the
definition of research as amplified in the general requirements for research outputs (as
defined on page 5) and thus should make contributions to a particular cultural field in at least
one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
For Recorded/Rendered Creative Work research outputs, the research component is
contained within the recording/rendering. Simple documentations of live performances of
creative works without a research component are not eligible to be submitted as this research
output type, but may be submitted as supporting material under Live Performance of Creative
Works (see R1 and R2 above, or R3 below).
26
The S2 creative work sub-categories are the same as the S1 sub-categories:
(S2_1) Film/video
(S2_2) Performance
(S2_3) Inter-arts
(S2_4) Digital creative work
(S2_5) Website/web exhibition
(S2_6) Other
For further details of the sub-categories, please refer to S1 sub-category descriptions above.
Verification requirements
1. A copy of the work (or clips from the recorded/rendered work, if the recording is too large);
or a link to the work (if web-based). Plus any other relevant material such as marketing
material, where available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the recorded/rendered work.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the CD/Video jacket or on the website)
please complete an authorship statement form).
(ERA CATEGORY)
T1 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND
EVENTS – MAJOR RESEARCH COMPONENT
ERA Weighting: 1
To be included in this category the output must meet the definition of research as amplified in
the general requirements for research outputs (as defined on page 5) and thus should make
contributions to a particular cultural field in at least one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
The Curated or Produced Substantial Public Exhibitions and Events research output type (T1
category) is specifically aimed at research outputs produced by curators rather than artists
(although exhibition catalogues written by curators should be submitted under the Q1_3,
Q2_3 or Q3_3 categories (as Original Creative Works – Textual)); artists may claim
exhibitions of their original creative works under the Q1_1, Q2_1 or Q3_1 categories (Original
Creative Works – Visual Art Work), where the exhibition of the creative works is used as
evidence that those works have been made publicly available.
Multiple exhibitions/events cannot be counted as multiple research outputs where the
repeated exhibitions/events do not introduce a new research component to the work. For
example, a touring exhibition can only be counted once. However, multiple exhibitions/events
27
may be counted where each subsequent exhibition/event introduces a substantial new
research component to the work that builds upon the initial research component of the original
exhibition/event.
Recurring exhibitions and events may be submitted. For example, the Biennale of Sydney is a
recurring event with each occurrence being unique rather than a repeat of the previous
occurrence.
For all T1 research outputs, a research statement is mandatory. This should outline the
research component of the curation/production under the following three headings, which
should combine to be a maximum of 2,000 characters (approximately 250 words):
 Research Background (including field, context and research question)
 Research Contribution (including innovation and new knowledge)
 Research Significance (evidence of excellence)
There are four sub-categories, outlined below:
(T1_1) Web-based exhibition
This category recognises the curation and/or production of an internet website
presenting a collection of creative works where the internet is the medium of the
exhibited works.
(T1_2) Exhibition/event
This category recognises the curation and/or production of a collection of creative
works exhibited together for the first time, in that particular arrangement, in a
recognised gallery, museum, or event. Verification material should include a well
researched publication that includes the date and location of the exhibition.
(T1_3) Festival
This category recognises the curation of a festival bringing together innovative work
or existing works in an innovative format or through a theme that provides new
perspectives and/or experiences.
(T1_4) Other
This category recognises curated or produced substantial public exhibitions and
events that do not fit into the above sub-categories.
Verification requirements
1. A link to the work (if web-based); or visual documentation of the exhibition/event/ festival.
Plus any other relevant material such as a program or an exhibition catalogue, where
available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the output.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the exhibition catalogue) please complete
an authorship statement form).
5. A research statement.
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T2 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND
EVENTS – MINOR RESEARCH COMPONENT, TO BE PART OF A PORTFOLIO
To be included in this category the output must be intended as a minor component of a series
or sequence of investigations that will form part of a portfolio of works on a particular research
theme. The portfolio, when completed, will be recorded as a T1, and will therefore meet the
definition of research as amplified in the general requirements for research outputs (as
defined on page 5) and thus should make contributions to a particular cultural field in at least
one of the following ways:
 Advancement or extension of knowledge;
 New discoveries;
 Innovative ideas, techniques, technologies;
 Solutions to problems;
 Refinement/reinterpretation of methods, techniques, existing knowledge;
 Conceptual advances;
 Constructive critiques and synthesis; and
 New means of dissemination.
This Curated or Produced Substantial Public Exhibitions and Events research output type (T2
category) is specifically aimed at research outputs produced by curators rather than artists
(although exhibition catalogues written by curators should be submitted under the Q1_3,
Q2_3 or Q3_3 categories (as Original Creative Works – Textual)); artists may claim
exhibitions of their original creative works under the Q1_1, Q2_1 or Q3_1 categories (Original
Creative Works – Visual Art Work), where the exhibition of the creative works is used as
evidence that those works have been made publicly available.
The T2 creative work sub-categories are the same as the T1 sub-categories:
(T2_1) Web-based exhibition
(T2_2) Exhibition/event
(T2_3) Festival
(T2_4) Other
For further details of the sub-categories, please refer to T1 sub-category descriptions above.
Verification requirements
1. A link to the work (if web-based); or visual documentation of the exhibition/event/ festival.
Plus any other relevant material such as a program or an exhibition catalogue, where
available.
2. Where applicable, evidence of peer review in the form of a published commentary and/or
detailed statements by qualified experts who had access to the output.
3. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does
not state the creator’s affiliation with the institution (for example, there is no reference to
the creator’s affiliation with Griffith University on the exhibition catalogue) please complete
an authorship statement form).
29
CREATIVE AND PERFORMING ARTS OUTPUTS – PROFESSIONAL PRACTICE
Q3 ORIGINAL CREATIVE WORKS
The Q3 creative works category mirrors the Q1 creative works category, except that Q3
creative works are not the result of research – they are purely professional practice.
Outputs are eligible as Q3 Original Creative Works only where the relevant staff member is
the creator of the creative work rather than, for example, the curator of an exhibition of
creative works produced by others (the latter should be recorded as T3 outputs). However,
the exhibition of an Original Creative Work can be used to demonstrate that the work has
been made publicly available.
The Q3 creative work sub-categories are the same as the Q1 sub-categories:
(Q3_1) Visual art work
(Q3_2) Design/architectural work
(Q3_3) Textual work
(Q3_4) Musical composition
(Q3_5) Other
For further details of the sub-categories, please refer to Q1 sub-category descriptions on
pages 20-21.
Verification requirements
1. A copy of the work (if textual or a music composition); a link to the work (if web-based); a
recording of the work (if the work was made publicly available through performance or
recording/rendering; or clips from a recording, if the recording is too large); or visual
documentation of the art work/design/architectural work. Plus any other relevant material
such as a program or an exhibition catalogue, where available.
2. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
R3 LIVE PERFORMANCE OF CREATIVE WORKS
The R3 creative works category mirrors the R1 creative works category, except that R3
performances are not the result of research – they are purely professional practice.
Outputs are eligible as R3 Live Performances of Creative Works only when the performance
has been made publicly available in a copyrightable medium by a recognised recording label
or publisher or broadcaster, and/or has taken place in the context of a major festival or series,
at a public event and/or venue of State or regional significance. The category may include
work that has been commissioned by an external agency.
The R3 creative work sub-categories are the same as the R1 sub-categories:
(R3_1) Music
(R3_2) Play
(R3_3) Dance
(R3_4) Other
For further details of the sub-categories, please refer to R1 sub-category descriptions on page
23.
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Verification requirements
1. A recording of the work (or clips from a recording, if the recording is too large) plus any
other relevant material, where available, such as a program.
2. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
S3 RECORDED/RENDERED CREATIVE WORKS
The S3 creative works category mirrors the S1 creative works category, except that S3
creative works are not the result of research – they are purely professional practice.
For S3 Recorded/Rendered Creative Works, the originality must be contained within the
recording/rendering. Simple documentations of live performances of creative works without
original creative components are not eligible to be submitted as this research output type, but
may be submitted as supporting material for R1, R2 or R3 Live Performances of Creative
Works.
The S3 creative work sub-categories are the same as the S1 sub-categories:
(S3_1) Film/video
(S3_2) Performance
(S3_3) Inter-arts
(S3_4) Digital creative work
(S3_5) Website/web exhibition
(S3_6) Other
For further details of the sub-categories, please refer to S1 sub-category descriptions on
pages 25-26.
Verification requirements
1. A copy of the work (or clips from the recorded/rendered work, if the recording is too large);
or a link to the work (if web-based). Plus any other relevant material such as marketing
material, where available.
2. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
T3 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND
EVENTS
The T3 category mirrors the T1 category, except that T3 outputs are not the result of research
– they are purely professional practice.
The T3 Curated or Produced Substantial Public Exhibitions and Events category is
specifically aimed at outputs produced by curators rather than artists (although exhibition
catalogues written by curators should be submitted under the Q1_3, Q2_3 or Q3_3 categories
(as Original Creative Works – Textual)); artists may claim exhibitions of their original creative
works under the Q1_1, Q2_1 and Q3_1 categories (Original Creative Works – Visual Art
Work), where the exhibition of the creative works is used as evidence that those works have
been made publicly available.
Multiple exhibitions/events cannot be counted as multiple outputs where the repeated
exhibitions/events do not introduce a new creative component to the work. For example, a
31
touring exhibition can only be counted once. However, multiple exhibitions/events may be
counted where each subsequent exhibition/event introduces a new creative component to the
work that builds upon the initial creative component of the original exhibition/event.
Recurring exhibitions and events may be submitted. For example, the Biennale of Sydney is a
recurring event with each occurrence being unique rather than a repeat of the previous
occurrence.
The T3 creative work sub-categories are the same as the T1 sub-categories:
(T3_1) Web-based exhibition
(T3_2) Exhibition/event
(T3_3) Festival
(T3_4) Other
For further details of the sub-categories, please refer to T1 sub-category descriptions on page
28.
Verification requirements
1. A link to the work (if web-based); or visual documentation of the exhibition/event/ festival.
Plus any other relevant material such as a program or an exhibition catalogue, where
available.
2. Evidence of when the work was made publicly available (if the date is not already included
on material provided to satisfy verification requirement 1, above).
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CREATIVE AND PERFORMING ARTS ESTEEM INDICATORS
N1 COMMISSIONS
Griffith University Weighting: 5, 1 or 0
Scope
This category recognises a significant commission for a creative work.The types of
commissions that may meet the criteria include a public art work, film documentary, series of
photographs, piece of design, multimedia production, interactive game, film or television
script, theatrical work or musical composition. For example, a television, cinema, or video
program or animation program which may include works of documentary, drama, or other
expressly authored motion picture work that receives nationally or internationally documented
broadcast or distribution for theatrical release. (For example through the AFC, SBS, Ronin
Australia.) Another example would be the production of an original commercial/public design
application such as the design of new architectural interiors and environments, print
publications, digital media or industrial/commercial products.
Verification requirements
1. An authorised copy of the written submission that accompanied the commission bid, if
one was required; and/or a copy of the criteria set by the commissioning agent or
organisation.
2. Peer review in the form of an authorised copy of the official comments provided by the
commissioning agent/panel to the successful recipient.
N7 AWARDS
Griffith University Weighting: 5, 1 or 0
Scope
This category recognises the achievement of the artist for a specific work or body of
works through the presentation of, or nomination for, an award. This includes
nominations and recognition as a finalist or award of merit. This category does not
include honorary or career / lifetime achievement awards. Examples of awards that may
meet the criteria of this category include: The Australia Council Emeritus Award, Samstag
Fellowships and the Brett Whitley Travelling Scholarship.
Verification Requirements
1. An authorised copy of the official criteria for the award.
2. Peer review in the form of an unauthorised copy of the comments from the panel
responsible for selecting the award recipient.
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STRATEGIC RESEARCH PERFORMANCE CATEGORIES
(NON-HERDC COMPLIANT CATEGORIES)
O1 INVITED KEYNOTE ADDRESSES AT INTERNATIONAL CONFERENCES
Scope
To be included in this category the conference at which a staff member of the University
presents an invited Keynote Address must meet all the qualifications of an International
Conference (refer HERDC/ERA Compliant Category E1). There needs to be written evidence
that the Address was invited by the conference organisers. The year for collection of O1
invitations is the year during which the conference took place (or the year during which it
commenced, if its duration spanned two calendar years).
This category is intended to record such invitations, whether or not the conference
proceedings have as yet been published. O1 is not a HERDC Compliant Category, but the
published address should qualify as an E1 provided the staff member can supply proof that it
was peer reviewed/refereed in its entirety. E1 is a HERDC Compliant Category and therefore
staff will want to claim the publication as well as the keynote address invitation. If publication
has already occurred when entering the invitation into My Research Publications, crossreferencing the O1 invitation to the published E1 address is required.
Verification requirements
1. Copy of a letter or email from the conference organisers inviting the staff member to give a
Keynote Address at the conference, containing name, dates, location and organising body
of the conference, and
2. Proof of international significance of the conference if not clearly shown in the invitation.
International significance of a conference may be indicated by the presence of international
speakers, or a listing of previous conference venues showing that the conference is held in
a range of international locations, and
3. Evidence indicating the speaker’s affiliation to the institution at the time of invitation if not
evident from the written invitation. For instance, attribution in the published proceedings if
available or written confirmation from the speaker’s Dean/Director that he/she was
employed at Griffith University.
O2 EDITORIAL BOARD MEMBERSHIPS OF INTERNATIONAL JOURNALS
To be included in this category, the journal for which a staff member of the University serves
as an editorial board member must either be published outside Australia, or if published in
Australia it must have international contributors and an international editorial board
membership.
Verification requirements
1. Copy of a letter or email from the Editor or Publisher of the journal inviting the staff member
to join the Editorial Board (including as Editor or Assistant Editor), indicating the
membership includes part or all of the survey year; and
2. Proof of international nature of the journal if not clearly shown in the invitation. International
nature of the journal may be indicated by it being published by an overseas-based
34
publisher, or, if published in Australia, by written evidence of overseas-based contributors
and international membership of the editorial board; and
3. Evidence indicating the board member’s affiliation to the institution at the time of invitation if
not evident from the written invitation. For instance, attribution in the journal or its official
web-site, or written confirmation from the board member’s Dean/Director that he/she was
employed at Griffith University.
O3 OVERSEAS RESEARCH VISITORS
The category aims to record visits to Griffith University by overseas academics who are
actively collaborating with Griffith staff (whether formally on a funded project or more
generally through discussions and exchange of information).
The visitor’s name, dates of visit(s), country and institution of origin, and brief description of
research interests in common, are to be reported.
There is no minimum time period for a visit to be included in this category. The same visitor
may visit more than once in the calendar year, but should be counted only once for that year
(quote start and finish dates for one visit or for the sequence of visits). Where a visit spans
two or more calendar years, it should be submitted for the calendar year when the visit
commenced.
Your Dean or Director will review the visit and the nature of research collaborations when
assessing the suitability of each O3 return for official inclusion in the research administration
database.
Verification requirements
Where available, copies of letters or emails confirming the visit(s) or evidence of the visitor’s
participation in research-related events at Griffith or outside the University in conjunction with
their Griffith host.
O4 GUEST EDITORSHIP OF SPECIAL EDITION OF A REFEREED JOURNAL
To be included in this category the journal in which a staff member of the University edits a
special edition must meet all the qualifications of a Referred Journal (refer to HERDC/ERA
Compliant Category C1). This category is intended to capture instances where a refereed
journal produces a special edition, usually on a single theme or to commemorate an event or
the career of an outstanding researcher, and the staff member is invited to edit the special
edition in recognition of his or her major contributions to or special knowledge of the field.
Verification requirements
1. Photocopies of pages showing all bibliographic information (journal title, ISSN, dates,
title/purpose of the special edition, name of guest editor).
If an ISSN does not appear in the journal,
 external evidence such as an ISSN number being cited in an extract from one of the
Institute for Scientific Information indexes (http://scientific.thomson.com/mjl/ ), or
 evidence that the journal is classified as ‘refereed’ in Ulrich’s International Periodicals
Directory (Volume 5 - Refereed Serials) or via Ulrich’s web site
https://ulrichsweb.serialssolutions.com/
2. Evidence indicating the guest editor’s affiliation to the institution – e.g. by-line or footnote or
statement in publication , or letter from the regular editor of the Journal inviting the staff
member to edit the special edition, acknowledging affiliation with the institution.
35
3. Proof of peer reviewing as set out page 7.
Either –
o
Extract from one of the Institute for Scientific Information indexes
http://scientific.thomson.com/mjl/ , or
o
Extract from Ulrich’s listing (https://ulrichsweb.serialssolutions.com/) indicating
refereed journal, or
o
the journal is listed on the ARC's ERA 2012 journal list
http://www.arc.gov.au/era/era_2012/era_journal_list.htm
o
Statement in the journal that contributions are refereed, or
o
Statement from editor stating that contributions are refereed, or
o
Copy of referee’s assessment relating to the article.
O9 INTERNATIONAL RESEARCH COLLABORATIONS
This category aims to record collaborative research projects of 12 months or longer duration
between Griffith University staff and overseas-based researchers, institutions and industry
organisations, where no funding flows to Griffith. (Note that such collaborations which do
result in funding to Griffith are separately picked up by the Office for Research through the
University’s financial accounts, and therefore do not require research staff to enter them again
in this survey).
Your Dean or Director will review the nature and duration of research collaborations when
assessing the suitability of each O9 return for official inclusion in the survey.
Verification requirements
Where available, copies of written evidence sufficient to confirm the nature of the
collaboration and its duration. This may take the form of a collaboration agreement (or
essential index, recitals and schedule in the case of long agreements), a letter of
appointment, or an article or conference presentation issued by the collaboration and spelling
out its purpose and duration.
Or
Confirmation by your Dean or Director of the basic facts of the collaboration.
P1 NATIONAL RESEARCH COLLABORATIONS
This category aims to record collaborative research projects of 12 months or longer duration
between Griffith University staff and external, Australian-based researchers, institutions and
industry organisations, where no funding flows to Griffith. (Note that such collaborations which
do result in funding to Griffith are separately picked up by the Office for Research through the
University’s financial accounts, and therefore do not require research staff to enter them again
in this survey).
Your Dean or Director will review the nature and duration of the research collaboration when
assessing the suitability of each P1 return for official inclusion in the survey.
Verification requirements
Where available, copies of written evidence sufficient to confirm the nature of the
collaboration and its duration. This may take the form of a collaboration agreement (or
essential index, recitals and schedule in the case of long agreements), a letter of
appointment, or an article or conference presentation issued by the collaboration and spelling
out its purpose and duration.
Or
Confirmation by your Dean or Director of the basic facts of the collaboration.
36
NON-GRIFFITH PUBLICATION CATEGORIES
Non-Griffith publications are research publications and outputs produced when the research
leading to the publication was completed prior to becoming a Griffith staff member.
Publication categories for non-Griffith publications are the same as above, but the publication
codes are suffixed with an “X” (i.e. A1X, B1X) to distinguish them from Griffith publications.
Although non-Griffith publications cannot be submitted for the annual HERDC, they are
essential for ERA reporting, staff promotional purposes, and can also be made available for
open access via Griffith Research Online (GRO).
FURTHER INFORMATION
For further information, contact:
Research Publications Officer
Ext. 54121 or 54095
Tel: 3735 54121 or 3735 54095
Email: rpso@griffith.edu.au
37