ERA 2015 SUBMISSION GUIDELINES
ISBN: 978-0-9924254-4-9
© Commonwealth of Australia 2014
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ERA 2015 Submission Guidelines
Page 2 of 81
ERA SUBMISSION QUICK REFERENCE GUIDE
Key Components, Criteria and Data Requirements
GENERAL
 Definition of Research [3.1]
 Comprehensiveness [3.2]
 Unit of Evaluation [3.3]
 ERA Peer Review [3.5]
 Reference Periods [3.7]
 Explanatory Statements [5.2]
RESEARCHERS
 Eligible Researcher Criteria [5.3.1]
 Eligible Researcher Data [5.3.2]
RESEARCH OUTPUTS—GENERAL
 Overarching Eligibility Criteria [5.4.1]
 Assignment & Apportionment of FoR Codes
[5.4.3]
 Reference Period [5.4.5]
 Revisions, Reprints and Multiple Editions
[5.4.6]
 Eligible Versions for ERA Peer Review
[5.4.7]
TRADITIONAL RESEARCH OUTPUTS
 Books—Authored Research [5.4.8.1–5.4.8.2]
 Chapters in Research Books [5.4.8.3–5.4.8.4]
 Journal Articles—Refereed, Scholarly Journal
[5.4.8.5–5.4.8.6]
 Conference Publications—Full Paper Refereed
[5.4.8.7–5.4.8.8]
NON-TRADITIONAL RESEARCH OUTPUTS
 Research Statement for ERA Peer Review
[5.4.9.1 and Appendix C: Contents of Research
Statement for ERA Peer Review of Non-Traditional Research
Outputs]






Summary of Data Requirements [5.4.9.2]
Original Creative Works [5.4.9.3]
Live Performance of Creative Works [5.4.9.4]
Recorded/Rendered Creative Works [5.4.9.5]
Curated or Produced Substantial Public
Exhibitions or Events [5.4.9.6]
Research Reports for an External Body
[5.4.9.7]
ERA 2015 Submission Guidelines
RESEARCH INCOME
 Research Income Reference Period [5.5.1]
 Assignment and Apportionment of FoR Codes
[5.5.2]
 Australian Competitive Grants [5.5.3.1–
5.5.3.2]
 Other Public Sector Research Income
[5.5.3.3–5.5.3.4]
 Industry and Other Research Income [5.5.3.5–
5.5.3.6]
 Cooperative Research Centre Research
Income [5.5.3.7–5.5.3.8]
APPLIED MEASURES
 Assignment and Apportionment of FoR Codes
[5.6.1]
 Plant Breeder’s Rights [5.6.2.1–5.6.2.2]
 Patents [5.6.2.3–5.6.2.4]
 Registered Designs [5.6.2.5–5.6.2.6]
 Research Commercialisation Income [5.6.2.7–
5.6.2.8]
 NHMRC Endorsed Guidelines [5.6.2.9–
5.6.2.10]
ESTEEM MEASURES
 Assignment and Apportionment of FoR Codes
[5.7.1]
 Editor of a Prestigious Work of Reference
[5.7.2.1–5.7.2.2]
 Learned Academy Fellowship /
AIATSIS Member [5.7.2.3–5.7.2.4]
 Nationally Competitive Research Fellowship
[5.7.2.5–5.7.2.6]
 Membership of a Statutory Committee
[5.7.2.7–5.7.2.8]
 Australia Council Grant or Fellowship
[5.7.2.9–5.7.2.10]
Page 3 of 81
Table of Contents
ERA SUBMISSION QUICK REFERENCE GUIDE ............................................................................................................... 3
TABLE OF CONTENTS .......................................................................................................................................................... 4
SUMMARY OF CHANGES FROM ERA 2012 TO ERA 2015 ............................................................................................. 7
1.
ERA OVERVIEW ............................................................................................................................................................... 10
1.1.
1.2.
1.3.
1.4.
2.
INTRODUCTION................................................................................................................................................................... 10
OBJECTIVES ....................................................................................................................................................................... 10
DISCIPLINES ....................................................................................................................................................................... 10
INDICATORS ....................................................................................................................................................................... 10
ERA INFORMATION ......................................................................................................................................................... 11
2.1.
2.2.
2.3.
3.
ERA DOCUMENTATION........................................................................................................................................................ 11
PROVISION OF ADDITIONAL INFORMATION............................................................................................................................... 11
FURTHER ASSISTANCE .......................................................................................................................................................... 11
KEY ELEMENTS OF ERA .................................................................................................................................................... 12
3.1.
DEFINITION OF RESEARCH..................................................................................................................................................... 12
3.2.
COMPREHENSIVENESS.......................................................................................................................................................... 12
3.3.
UNIT OF EVALUATION .......................................................................................................................................................... 12
3.4.
INTERDISCIPLINARY AND MULTIDISCIPLINARY RESEARCH ............................................................................................................. 12
3.5.
ERA PEER REVIEW .............................................................................................................................................................. 13
3.6.
LOW VOLUME—NON-ASSESSABLE UNITS OF EVALUATION ......................................................................................................... 14
3.6.1. Low Volume Threshold .............................................................................................................................................. 14
3.6.2. Calculating the Low Volume Threshold Where Research Outputs Have Multiple FoRs ............................................ 15
3.6.3. Where the Low Volume Threshold Is Not Met .......................................................................................................... 15
3.7.
REFERENCE PERIODS............................................................................................................................................................ 15
4.
ERA PROCESS................................................................................................................................................................... 16
4.1.
OVERVIEW OF ERA 2015 SUBMISSION PROCESS ...................................................................................................................... 16
4.2.
PHASES OF THE ERA SUBMISSION PROCESS ............................................................................................................................. 17
4.2.1. Preparation ............................................................................................................................................................... 17
4.2.2. Submission ................................................................................................................................................................ 17
4.2.2.1.
4.2.2.2.
4.2.2.3.
4.2.2.4.
4.2.2.5.
4.2.2.6.
5.
Pre-Submission Stage 0 ......................................................................................................................................................17
Submission Stage 1 ............................................................................................................................................................17
Submission Stage 2 ............................................................................................................................................................18
Submission Stage 3 ............................................................................................................................................................18
Submission Stage 4 ............................................................................................................................................................18
Submission Timeline ..........................................................................................................................................................19
ERA SUBMISSION DATA ................................................................................................................................................... 20
5.1.
SUBMISSION COMPONENTS .................................................................................................................................................. 20
5.2.
EXPLANATORY STATEMENTS.................................................................................................................................................. 21
5.3.
RESEARCHERS..................................................................................................................................................................... 22
5.3.1. Eligible Researcher Criteria ....................................................................................................................................... 22
5.3.1.1.
5.3.1.2.
5.3.1.3.
5.3.1.4.
5.3.2.
Key Eligibility Criteria for Researchers ...............................................................................................................................25
Staff on Leave Without Pay ...............................................................................................................................................26
Demonstrating a Publication Association .........................................................................................................................26
Staff Employed at Less than 0.4 FTE ..................................................................................................................................27
Eligible Researcher Data ........................................................................................................................................... 27
5.3.2.1.
5.3.2.2.
5.3.2.3.
5.3.2.4.
5.3.2.5.
5.3.2.6.
5.3.2.7.
5.3.2.8.
Name and Alternative Names ............................................................................................................................................28
Gender ................................................................................................................................................................................28
Staff Reference ...................................................................................................................................................................28
FTE Data..............................................................................................................................................................................28
Assignment and Apportionment of FoR Codes to Eligible Researchers ...........................................................................29
Level ...................................................................................................................................................................................29
Status ..................................................................................................................................................................................29
Function ..............................................................................................................................................................................29
ERA 2015 Submission Guidelines
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5.3.2.9.
Summary of Data Requirements for Eligible Researchers ................................................................................................31
5.4.
RESEARCH OUTPUTS............................................................................................................................................................ 32
5.4.1. Overarching Eligibility Criteria .................................................................................................................................. 32
5.4.2. List of Eligible Research Output Types....................................................................................................................... 32
5.4.3. Assignment and Apportionment of FoR Codes for Eligible Research Outputs .......................................................... 32
5.4.3.1.
5.4.3.2.
5.4.4.
Indigenous Research and Institutional Units ............................................................................................................. 33
5.4.4.1.
5.4.4.2.
5.4.4.3.
5.4.5.
Revisions ............................................................................................................................................................................35
Revisions Across Research Output Types ..........................................................................................................................35
Reprints and Multiple Editions ..........................................................................................................................................35
Eligible Versions of Research Outputs for ERA Peer Review ...................................................................................... 35
Traditional Eligible Research Output Types ............................................................................................................... 36
5.4.8.1.
5.4.8.2.
5.4.8.3.
5.4.8.4.
5.4.8.5.
5.4.8.6.
5.4.8.7.
5.4.8.8.
5.4.9.
The Date of Publication Rule .............................................................................................................................................34
Exceptions ..........................................................................................................................................................................34
Treatment of Revisions, Reprints and Multiple Editions ........................................................................................... 35
5.4.6.1.
5.4.6.2.
5.4.6.3.
5.4.7.
5.4.8.
Indigenous Research ..........................................................................................................................................................33
Institutional Units ..............................................................................................................................................................33
Usage of Indigenous Research and Institutional Unit Information ..................................................................................33
Research Outputs Reference Period .......................................................................................................................... 34
5.4.5.1.
5.4.5.2.
5.4.6.
Assignment .........................................................................................................................................................................32
Apportionment ..................................................................................................................................................................33
Books—Authored Research ...............................................................................................................................................36
Summary of Data Requirements for Books—Authored Research ....................................................................................37
Chapters in Research Books ...............................................................................................................................................38
Summary of Data Requirements for Chapters in Research Books ....................................................................................39
Journal Articles—Refereed, Scholarly Journal ..................................................................................................................40
Summary of Data Requirements for Journal Articles—Refereed, Scholarly Journals ......................................................42
Conference Publications—Full Paper Refereed.................................................................................................................43
Summary of Data Requirements for Conference Publications—Full Paper Refereed .....................................................44
Non-Traditional Eligible Research Output Types ....................................................................................................... 45
5.4.9.1.
5.4.9.2.
5.4.9.3.
5.4.9.4.
5.4.9.5.
5.4.9.6.
5.4.9.7.
Research Statement for ERA Peer Review of Non-Traditional Research Outputs ...........................................................45
Summary of Data Requirements for Non-Traditional Research Output Types ................................................................46
Original Creative Works .....................................................................................................................................................47
Live Performance of Creative Works .................................................................................................................................48
Recorded/Rendered Creative Works .................................................................................................................................48
Curated or Produced Substantial Public Exhibitions and Events ......................................................................................49
Research Reports for an External Body .............................................................................................................................50
5.5.
RESEARCH INCOME ............................................................................................................................................................. 51
5.5.1. Research Income Reference Period ........................................................................................................................... 51
5.5.1.1.
5.5.2.
5.5.3.
Reporting Negative Income ...............................................................................................................................................52
Assignment and Apportionment of FoR Codes for Research Income ........................................................................ 52
Eligible Research Income Category Types ................................................................................................................. 52
5.5.3.1.
5.5.3.2.
5.5.3.3.
5.5.3.4.
5.5.3.5.
5.5.3.6.
5.5.3.7.
5.5.3.8.
Australian Competitive Grants ..........................................................................................................................................52
Summary of Data Requirements for Australian Competitive Grants ...............................................................................52
Other Public Sector Research Income ...............................................................................................................................53
Summary of Data Requirements for Other Public Sector Research Income ....................................................................53
Industry and Other Research Income ................................................................................................................................53
Summary of Data Requirements for Industry and Other Research Income .....................................................................54
Cooperative Research Centre (CRC) Research Income ......................................................................................................54
Summary of Data Requirements for Cooperative Research Centre (CRC) Research Income ...........................................54
5.6.
APPLIED MEASURES ............................................................................................................................................................ 55
5.6.1. Assignment and Apportionment of FoR Codes for Applied Measures....................................................................... 55
5.6.2. Eligible Applied Measures ......................................................................................................................................... 55
5.6.2.1.
5.6.2.2.
5.6.2.3.
5.6.2.4.
5.6.2.5.
5.6.2.6.
5.6.2.7.
5.6.2.8.
5.6.2.9.
5.6.2.10.
Plant Breeder’s Rights ........................................................................................................................................................55
Summary of Data Requirements for Plant Breeder’s Rights .............................................................................................57
Patents ...............................................................................................................................................................................57
Summary of Data Requirements for Patents ....................................................................................................................58
Registered Designs .............................................................................................................................................................58
Summary of Data Requirements for Registered Designs ..................................................................................................59
Research Commercialisation Income ................................................................................................................................59
Summary of Data Requirements for Research Commercialisation Income .....................................................................60
NHMRC Endorsed Guidelines.............................................................................................................................................60
Summary of Data Requirements for NHMRC Endorsed Guidelines..................................................................................61
5.7.
ESTEEM MEASURES ............................................................................................................................................................. 62
5.7.1. Assignment and Apportionment of FoR Codes for Esteem Measures ....................................................................... 62
5.7.2. Eligible Esteem Measures .......................................................................................................................................... 62
5.7.2.1.
Editor of a Prestigious Work of Reference ........................................................................................................................62
ERA 2015 Submission Guidelines
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5.7.2.2.
5.7.2.3.
5.7.2.4.
5.7.2.5.
5.7.2.6.
5.7.2.7.
5.7.2.8.
5.7.2.9.
5.7.2.10.
6.
Summary of Data Requirements for Editor of a Prestigious Work of Reference .............................................................63
Fellowship of a Learned Academy and Membership of AIATSIS ......................................................................................63
Summary of Data Requirements for Fellowship of a Learned Academy and Membership of AIATSIS ...........................64
Recipient of a Nationally Competitive Research Fellowship ............................................................................................64
Summary of Data Requirements for Nationally Competitive Research Fellowships .......................................................65
Membership of a Statutory Committee ............................................................................................................................65
Summary of Data Requirements for Membership of a Statutory Committee .................................................................66
Recipient of an Australia Council Grant or Australia Council Fellowship .........................................................................66
Summary of Data Requirements for Australia Council Grants or Australia Council Fellowships ....................................67
OTHER MATTERS ............................................................................................................................................................. 68
6.1.
SENSITIVITY—CONFIDENTIAL OR SENSITIVE RESEARCH OUTPUTS ................................................................................................. 68
6.1.1. Commercially Sensitive Research Outputs ................................................................................................................ 68
6.1.2. Culturally Sensitive Research Outputs ....................................................................................................................... 68
6.1.3. Australian Government Security Classified Research Outputs .................................................................................. 68
6.2.
MANAGING PHYSICAL OR TECHNICAL LIMITATIONS.................................................................................................................... 69
6.3.
PRIVACY COMPLAINTS AND ADVICE ........................................................................................................................................ 69
6.4.
FREEDOM OF INFORMATION ................................................................................................................................................. 69
6.5.
INTELLECTUAL PROPERTY IN ERA RELATED MATERIAL ................................................................................................................ 70
6.6.
MANAGING COPYRIGHT IN RESEARCH OUTPUTS NOMINATED FOR ERA PEER REVIEW AND RELATED MATERIAL ................................... 70
6.6.1. Where Copyright Is Owned by Institutions ................................................................................................................ 71
6.6.2. Where Copyright Is Owned by Eligible Researchers .................................................................................................. 71
6.6.3. Where Copyright Is Owned by Third Parties.............................................................................................................. 71
6.7.
MORAL RIGHTS .................................................................................................................................................................. 72
6.8.
INCOMPLETE, FALSE OR MISLEADING INFORMATION .................................................................................................................. 72
7.
SUBMISSION CERTIFICATION ........................................................................................................................................... 73
7.1.
7.2.
CERTIFICATION STATEMENT .................................................................................................................................................. 73
TRANSMISSION TO ARC OF CERTIFICATION STATEMENT ............................................................................................................. 75
APPENDIX A: ELIGIBLE INSTITUTIONS .................................................................................................................................................... 76
APPENDIX B: ERA SURVEY QUESTIONS ................................................................................................................................................. 77
APPENDIX C: CONTENTS OF RESEARCH STATEMENT FOR ERA PEER REVIEW OF NON-TRADITIONAL RESEARCH OUTPUTS ...................................... 80
APPENDIX D: ABBREVIATIONS.............................................................................................................................................................. 81
ERA 2015 Submission Guidelines
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Summary of Changes from ERA 2012 to ERA 2015
Substantive Changes to the Submission Guidelines for ERA 2015
There have been several changes to the Submission Guidelines for ERA 2015 from ERA 2012.
Please note that there are changes also to the ERA–SEER 2015 Business Rules and Verification,
ERA–SEER 2015 Technical Specifications and other ERA documentation. Institutions should also
refer to these documents when preparing their ERA submission.
The Submission Guidelines changes are as follows:
Nomination of Research Outputs for Peer Review (see section 3.5)
 In keeping with the intention of ERA 2012, the ERA 2015 Submission Guidelines further
clarify the requirements for the selection of samples of research outputs for peer review within
a unit of evaluation (UoE). Institutions must provide a 30 per cent proportion of research
outputs for peer review for each output type (books, journal articles, etc.) submitted within a
four-digit UoE. The corresponding business rule for this requirement will generate an ‘error’
for non-compliance (in ERA 2012 this generated a ‘warning’ message).
Submission Stage 0 (see section 4.2.2.1)
 For ERA 2015, institutions will have the option of testing the data structures of their
submission files in SEER in the period leading up to Submission Stage 1. This period (Stage
0) will not check the data contained in a submission and some business rules will not be
available for testing. However, Stage 0 will assist institutions in removing possible validation
errors related to XML structure prior to Stage 1.
 Operational details about Stage 0 will be communicated directly to institutions prior to the
opening of this stage. The ARC encourages all institutions to use the opportunity to test
submission file data structures in Stage 0.
Publication Association for Staff Employed at Less Than 0.4 FTE (see sections 5.3.1.1 and 5.3.1.4)
 For ERA 2015, staff employed less than 0.4 fulltime equivalent (FTE) at an institution at the
staff census date must have a publication association with the institution. A publication
association is most commonly demonstrated through a by-line on a research output showing
an affiliation between the researcher and the institution. If a publication association is
demonstrated on one research output, the institution should submit all of the researcher’s
eligible research outputs within the reference period.
 The ARC recognises that there may be instances where a staff member does not meet the
publication association due to significant career interruptions because of personal
circumstances. For each instance where a staff member is employed at less than 0.4 FTE
without a publication association and is covered by such circumstances, institutions may write
to the ARC to explain why the staff member should be included in the institution’s
submission. The institution would be expected to show that the staff member would otherwise
have been reasonably expected to have their research outputs included in ERA 2015 had it not
been for the significant career interruption due to personal circumstances such as carer
responsibilities or medical reasons. The ARC must receive such written notifications prior to
the close of Submission Stage 1 (13 March 2015).
Gender Data (see section 5.3.2.2)
 Institutions will be required to submit gender data for each eligible researcher. Gender data
will be used for reporting and analysis purposes only. Data will not form part of the evaluation
ERA 2015 Submission Guidelines
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process and will not be made available to peer reviewers or Research Evaluation Committees
(RECs).
Treatment of Revisions, Reprints and Multiple Editions (see section 5.4.6)
 For ERA 2015, there are the following changes regarding revisions, reprints, and multiple
editions. Research outputs that are based on the same research but are published as different
research output types can only be submitted once. For example, a conference paper that is
subsequently published as a journal article with no new research content must only be
submitted to ERA as either the conference paper or the journal article.
 The rule for the treatment of all types of revisions, reprints and multiple editions also applies
to the reference periods across all ERA rounds. For example, a conference paper that was
submitted in ERA 2012 cannot be submitted in ERA 2015 as a journal article unless there is
significant new research content.
Digital Storage of Research Outputs Nominated for Peer Review (see section 5.4.7 and 6.2)
 For ERA 2015, all research outputs nominated for peer review must be stored in an
institutionally supported repository in digital form. If needed, large data files can be split into
two or more repository links. Research outputs that are not in digital form (such as artworks,
or some books), should be scanned or videos made of the output that can be digitally stored.
 Where it is impractical to digitise the entire research output, institutions may choose to digitise
and store relevant parts of the research output. In such cases, the digitised content must give
peer reviewers the opportunity to make robust judgements on the quality of the output. For
example:
o where a book is not available in digital form, the cover page, introduction or first
chapter, index (as appropriate), and other relevant sections of the book (sufficient for a
robust evaluation of the work) should be digitised and stored in the institutional
repository; and
o in the case of a non-traditional research output, some digital form (such as scanning,
audio, or video), which when reviewed in conjunction with the relevant Research
Statement for ERA Peer Review, will provide adequate information for a peer
reviewer, should be stored in the institutional repository.
ERA Publisher ID (see sections 5.4.8.1 to 5.4.8.4)
 For the submission of books and book chapters, institutions will be required to select an ERA
Publisher ID from the pre-determined list developed by the ARC. The list replaces the freetext field for Publisher name that existed for ERA 2012. The list includes an ‘Other’ category
for institutions to select if the publisher does not appear on the ERA 2015 Submission
Publisher List. This list is not meant to be exhaustive or exclusive (as, for example, the ERA
2015 Submission Journal List is).
ERA Conference ID (see section 5.4.3.1, 5.4.8.7 and 5.4.8.8)
 For the submission of conference papers, institutions will be required to select the ERA
Conference ID from the pre-determined conference series list developed by the ARC. The list
replaces the free-text field for the name of conference series that existed for ERA 2012. The
list includes an ‘Other’ category for institutions to select if the conference paper was not
presented at a conference listed on the ERA 2015 Submission Conference List. This list is not
meant to be exhaustive or exclusive (as, for example, the ERA 2015 Submission Journal List
is).
 The ERA 2015 Submission Conference List contains Field of Research (FoR) codes assigned
to conference series (in a manner similar to that used for FoR codes assigned to journals as per
ERA 2015 Submission Guidelines
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the ERA 2015 Submission Journal List). The conditions for assignment and reassignment of
conference publications are the same as for journal articles.
Open Access (see sections 5.4.8 and 5.4.9)
 Institutions are required to state whether a research output is available in an open access
repository. Open access data will be used for reporting and analysis purposes only. Data will
not form part of the evaluation process and will not be made available to peer reviewers or
Research Evaluation Committees (RECs).
 For the purpose of ERA 2015, open access repository is as per the ARC’s Open Access Policy
see: http://www.arc.gov.au/pdf/ARC%20Open%20Access%20Policy_print_version.pdf.
New Category of Non-Traditional Research Outputs (see sections 5.4.9 and 5.4.9.7)
 There is a new category of non-traditional research outputs for ERA 2015, entitled Research
Report for an External Body. It consists of four subcategories of reports: Public Sector;
Industry; Not-For-Profit; and Other.
ERA Survey Questions (see sections 4.2.2.3 and Appendix B: ERA Survey Questions)
 Once an institution is satisfied that the data included in its submission are correct, and the
ARC has verified that this is indeed the case, the institution will be asked to provide
information regarding the time spent on ERA 2015 preparation activities.
ERA 2015 Submission Guidelines
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1. ERA Overview
1.1.
Introduction
Excellence in Research for Australia (ERA) aims to identify and promote excellence across the full
spectrum of research activity, including discovery, experimental and applied research within
Australian higher education institutions.
ERA 2015 will evaluate the quality of the research undertaken in eligible higher education providers
(henceforth ‘institutions’). Institutions evaluated as part of ERA are those listed at Appendix A:
Eligible Institutions.
1.2.
Objectives
The objectives of ERA are to:
1. establish an evaluation framework that gives government, industry, business and the wider
community assurance of the excellence of research conducted in Australian higher education
institutions;
2. provide a national stocktake of discipline level areas of research strength and areas where
there is opportunity for development in Australian higher education institutions;
3. identify excellence across the full spectrum of research performance;
4. identify emerging research areas and opportunities for further development; and
5. allow for comparisons of research in Australia, nationally and internationally, for all
discipline areas.
1.3.
Disciplines
ERA evaluates the research undertaken in institutions by discipline.
For the purposes of ERA, ‘disciplines’ are defined as four-digit and two-digit Fields of Research
(FoRs) as identified in the Australian and New Zealand Standard Research Classification
(ANZSRC).
Data for ERA are submitted at the four-digit FoR level. Indicators are calculated at the four-digit and
two-digit FoR levels based on the data submitted for each institution. This information is aggregated
to create four-digit and two-digit Units of Evaluation (UoEs) (see section 3.3). For the full list of
disciplines and FoR codes see the ERA 2015 Discipline Matrix.
1.4.
Indicators
UoEs are assessed and rated by Research Evaluation Committees (RECs). RECs comprise
experienced, internationally recognised experts. Their evaluations are informed by four broad
categories of indicators:
1. Indicators of research quality
Research quality is considered on the basis of publishing behaviour, citation analysis or
ERA peer review, and peer reviewed Australian and international research income.
2. Indicators of research activity
Research activity is considered on the basis of research outputs, research income and other
research items within the context of the profile of eligible researchers.
ERA 2015 Submission Guidelines
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3. Indicators of research application
Research application is considered on the basis of research commercialisation income,
patents, Plant Breeder’s Rights, registered designs, and National Health and Medical
Research Council (NHMRC) endorsed guidelines. Some other measures, such as publishing
behaviour and some other categories of research income, can also provide information about
research application.
4. Indicators of recognition
Research recognition is considered on the basis of a limited range of esteem measures.
2. ERA Information
2.1.
ERA Documentation
These ERA 2015 Submission Guidelines should be read in conjunction with the following
documents, provided on the ARC website at www.arc.gov.au/era/default.htm:

The ERA–SEER 2015 Technology Pack—which comprises technical documentation, Code
Tables and XML schema related to the ERA 2015 submission process. The Technology Pack
includes the ERA–SEER 2015 Technical Specifications, which provide technical instruction
for institutions on preparing and submitting ERA submissions.

The ERA 2015 Discipline Matrix—provided as a table in Microsoft Excel format.

The ERA 2015 Submission Journal List, Submission Conference List and Submission
Publisher List—provided as a tables in Microsoft Excel format.
2.2.
Provision of Additional Information
The Australian Research Council (ARC) will provide any further information regarding the ERA
2015 process on its website (www.arc.gov.au/era/default.htm). This information will also be
provided to the nominated ERA Liaison Officers within institutions as it becomes available.
Information about the ERA 2015 citation data supplier and about how to obtain electronic identifiers
(EIDs) will also be provided on the ARC website at www.arc.gov.au/era/default.htm.
2.3.
Further Assistance
Queries regarding ERA should be directed to the ERA Helpdesk by phone during Canberra business
hours at (02) 6287 6755 or via email: era[@]arc.gov.au
ERA 2015 Submission Guidelines
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3. Key Elements of ERA
3.1.
Definition of Research
For the purposes of ERA, 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,
inventions and understandings. This could include synthesis and analysis of previous research to the
extent that it is new and creative.
Institutions must ensure that all research outputs submitted to ERA meet this definition of research.
Outputs that do not meet this definition may be excluded from submissions during the ERA
submission process or, where they are not excluded from submissions, their inclusion may adversely
affect the quality rating assigned by RECs during the evaluation process.
3.2.
Comprehensiveness
Institutions are required to submit comprehensive information on all eligible researchers and on all
eligible research items (that is, all eligible research outputs, research income, applied measures and
esteem measures) produced within the specified reference periods.
Institutions must submit comprehensive information on all eligible researchers and research items,
even where that information relates to fields of research which do not meet the low volume threshold
(see section 3.6).
Institutions must ensure that each eligible researcher or research item is assigned no more than three
four-digit FoR codes (see sections 5.3.2.5 and 5.4.3). The exception is information about research
income and about research commercialisation income, which may be assigned as many four-digit
FoR codes as are relevant (see sections 5.5.2 and 5.6.1).
3.3.
Unit of Evaluation
The primary Unit of Evaluation (UoE) for ERA is the field of research at each institution (see section
1.3).
Evaluation will occur at both the four-digit and the two-digit FoR level at each institution that are
considered research active for the purposes of ERA. Arrangements for determining whether a field of
research at an institution is considered research active for the purposes of ERA are as set out in
section 3.6
3.4.
Interdisciplinary and Multidisciplinary Research
Interdisciplinary and multidisciplinary research will be assessed in its component fields of research.
To facilitate the assessment of interdisciplinary and multidisciplinary research, institutions may
assign up to three four-digit FoR codes to eligible researchers and research items. Where eligible
researchers or research items are assigned multiple FoR codes institutions are required to give a
percentage apportionment for each of the FoR codes assigned. For a research item, the
apportionment should reflect the disciplinary content. For a researcher, the apportionment should
reflect the fields of research in which the researcher is active. In recognition of the fact that
researchers may undertake research outside of the usual focus of their activities, the FoR codes
assigned to an eligible researcher do not determine the assignment of FoR codes to outputs authored
by that researcher (see sections 5.3.2.5 and 5.4.3).
ERA 2015 Submission Guidelines
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Journal articles with significant content from a field of research can be assigned to that field of
research regardless of which FoR codes are assigned to the journal on the ERA 2015 Submission
Journal List (see section 5.4.3.1).
In the case of research outputs, RECs will have access to a profile of the extent of multidisciplinary
research associated with a UoE. This will be derived from the FoR codes that are assigned to each
research output in the relevant UoE.
3.5.
ERA Peer Review
ERA peer review is conducted by reviewing a sample of research outputs rather than by reviewing
every output. The fields of research that are subject to ERA peer review are those where ERA peer
review is identified as an indicator in the ERA 2015 Discipline Matrix.
For the fields of research that are subject to peer review, institutions must nominate 30% of the
apportioned value of each research output type for each four-digit FoR. No volume weighting is used
in determining the sample of research outputs for ERA peer review (i.e. books count as one, not
five).
The 30% sample for each research output type must also be provided for low volume four-digit
FoRs. It is acknowledged that this may result in peer review samples in low volume FoRs being
much greater than 30% of the total apportioned research volume.
The following table is an example of how this rule applies to institution X submitting for FoR 1603
(Demography) – note for simplicity not all research output types (i.e. book chapters) are listed in the
table.
Peer Review Samples for Each Research Output Type – University X, FoR 1603 (Demography)
Book
Journal
Conference
NonTotal
Article
Paper
Traditional
Research
Research
Outputs
Output
Research
10.00
26.66
31.00
0.7
68.36
volume
(apportioned
value of
outputs)
Peer Review
3
8
10
1
22
sample
(number of
outputs)
Peer review
30%
30% (rounded 30% (rounded 30% (rounded
Greater than
sample
up to the next up to the next up to the next
30%
(% required of
integer)
integer)
integer)
research
volume)
In calculating the number of research outputs for each sample, all fractions must be rounded up to the
next integer. For example, an institution submits 31 conference papers for FoR code 1603
(Demography). When nominating the 30% sample, the institution must nominate 10 conference
ERA 2015 Submission Guidelines
Page 13 of 81
papers (30% x 31 = 9.3, rounded up to 10). Where the apportioned value for a research output type is
greater than zero, at least one research output must be provided for peer review.
The total sample required for each FoR is the sum of the sample for each research type within the
FoR. In some cases this may mean that the total sample for a FoR is greater than 30%.
The peer review sample for two-digit FoRs will be the sum of the samples from all four-digit FoRs
(including low volume four-digit FoRs). The ARC will manage the two-digit sample based on the
institution’s submission for four-digit FoRs.
Subject to the above requirements, institutions may determine which research outputs are nominated
for peer review. However, the peer review sample should also be drawn from a representative sample
of the institution’s eligible researchers for that four-digit FoR.
Research outputs nominated for ERA peer review must be made available to the ARC in digital form
via an institutionally supported repository (see section 5.4.7, 6.2 and 6.6).
Where a research output has been assigned multiple four-digit codes, institutions may nominate in
which of those four-digit codes (one or more) they wish the research output to be peer reviewed.
Each non-traditional research output nominated for ERA peer review must be accompanied by
a statement identifying the research component of the output (see sections 5.4.9, 5.4.9.1 and
Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research
Outputs).
3.6.
Low Volume—Non-Assessable Units of Evaluation
3.6.1.
Low Volume Threshold
To ensure that there is a meaningful level of data to be evaluated, a low volume threshold exists for
each UoE in ERA.
For fields of research where citation analysis is used, the low volume threshold is 50 apportioned
indexed journal articles. This means that, if the number of apportioned indexed journal articles over
the six year research outputs reference period is fewer than 50 in any four-digit or two-digit FoR at
an institution, then no evaluation will be conducted for that FoR at that institution.
For peer review fields of research, the low volume threshold is the equivalent of 50 submitted
apportioned research outputs. This means that, if the number of submitted apportioned research
outputs over the six year research outputs reference period is equivalent to fewer than 50 in any fourdigit or two-digit FoR at an institution, no evaluation will be conducted for that FoR at that
institution. For these fields of research, books are given an effective weighting of 5:1, compared with
other research outputs. Books are weighted only for the purposes of determining the low volume
threshold. In every other instance, they are regarded as a single research output. Portfolios of works
are counted as one output and may be apportioned accordingly (see section 5.4.9).
An institution may meet the low volume threshold for a two-digit FoR regardless of whether or not it
has met the low volume threshold for any of the four-digit FoRs within that two-digit FoR. This is
because outputs from all the four-digit FoRs within that two-digit FoR are aggregated for evaluation
purposes to the two-digit level. For example, an institution may have 20 apportioned outputs in each
ERA 2015 Submission Guidelines
Page 14 of 81
of three four-digit FoRs within the one two-digit FoR. The institution will not meet the low volume
threshold in any of the four-digit FoRs but will meet the low volume threshold in this two-digit FoR.
3.6.2.
Calculating the Low Volume Threshold Where Research Outputs Have Multiple FoRs
In cases where a research output has been apportioned across more than one FoR, the contribution
towards the low volume threshold is calculated on the basis of the percentage apportionment. For
example, if a journal article is apportioned to two FoRs at 40% and 60% respectively, then the article
will be counted as 0.4 and 0.6 towards the low volume threshold for each FoR respectively.
For fields of research where peer review is used, books maintain a weighting of 5:1 compared with
other research outputs. For example, if a book is apportioned to two FoRs—one FoR at 40% and one
at 60%—then the book will contribute 2 and 3, respectively, towards the low volume threshold of
those FoRs.
3.6.3.
Where the Low Volume Threshold Is Not Met
Where the low volume threshold is not met for an FoR at an institution, that UoE at that institution
will not be assessed and will be publicly reported as ‘not assessed’.
This means that data, including data relating to research outputs, research income, applied measures
and esteem measures, are always collected and submitted at the four-digit level, but are only
evaluated under ERA if the FoR to which they are assigned meets the low volume threshold. If the
threshold is not met, the institution will not be considered by ERA as ‘research active’ for that fourdigit or two-digit field of research.
3.7.
Reference Periods
Submission data for ERA will be collected for the following reference periods:
Data Type
Reference Period
Years
Research Outputs
1 January 2008 – 31 December 2013
6
Research Income
1 January 2011 – 31 December 2013
3
Applied Measures
1 January 2011 – 31 December 2013
3
Esteem Measures
1 January 2011 – 31 December 2013
3
Further details on the rules surrounding each of these reference periods are outlined in sections 5.4.5,
5.5.1, 5.6, and 5.7 respectively.
Data regarding eligible researchers are based on a single staff census date, which is 31 March 2014.
ERA 2015 Submission Guidelines
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4. ERA Process
4.1.
Overview of ERA 2015 Submission Process
Institution
Australian Research Council
Preparation
Institutions obtain citation provider electronic
identifiers (EIDs), access reference material (e.g.
code tables, schema, etc.) and populate
repositories.
Stage 0
Institutions may upload trial submissions to
test the data structure of XML schema.
Submissions uploaded will not carry forward to
Stage 1.
Stage 1
Submission
Institutions upload/update submission. SEER
validates and verifies submission data. Some
verification may not be immediate.
Institutions populate repository
authentication details and test repository
access. Institutions view stage 1 UoEs.
Stage 2
The ARC and institutions perform data integrity
checks and confirm the availability in repositories
of research outputs identified for ERA peer
review.
Stage 3
Institutions certify final submissions
electronically.
Stage 4
Institutions lodge hard-copy certification
statements.
ERA 2015 Submission Guidelines
Page 16 of 81
4.2.
Phases of the ERA Submission Process
The major phases of the ERA submission process are preparation and submission. These two phases
are described below.
4.2.1.
Preparation
In preparation for the ERA submission process, institutions must obtain an electronic identifier (EID)
for each indexed journal article when:
a) those articles are assigned to fields of research where citation analysis is identified as an
indicator in the ERA 2015 Discipline Matrix (including where they are assigned to such a
field of research under the reassignment exception); and
b) the journals concerned are indexed by the ERA citation data supplier.
Also during this phase, institutions are expected to populate their repositories with research outputs
nominated for ERA peer review. This must be done for all fields of research where peer review is
identified as an indicator in the ERA 2015 Discipline Matrix (including where they are assigned to
such a field of research under the reassignment exception).
4.2.2.
Submission
When the ERA submission process commences, institutions will be given access to the ERA
supporting IT system, known as the System to Evaluate the Excellence of Research (SEER),
to upload their submission data. Submission data will be validated and verified by SEER and
by Australian Research Council (ARC) staff to ensure that the data align with these Guidelines, the
ERA–SEER 2015 Technology Pack and the ERA XML Schema.
The submission process has 5 stages, outlined below. Each of the submission stages has a deadline
which must be met by institutions (as shown in the timeline at section 4.2.2.6). However, institutions
may complete the tasks required for each stage prior to the deadline for that stage. Where an
institution has completed the tasks required for one stage, it may proceed to the next stage without
waiting for the stated start date of the subsequent stage. However, the institution must seek the
permission of the ARC to move from Stage 2 to Stage 3 and from Stage 3 to Stage 4. Institutions
cannot commence Stage 1 prior to its opening on 23 February 2015.
4.2.2.1. Pre-Submission Stage 0
In Stage 0, institutions will have the option of testing the data structures of submission files in SEER.
This period will not check the data contained in a submission and some business rules will not be
available for testing. However, Stage 0 will assist institutions in removing possible validation errors
in a submission prior to Stage 1. Any submission file uploaded in SEER during Stage 0 will not carry
forward to Stage 1. For a submission file to be accepted for ERA it must be uploaded in Stage 1 (as
per section 4.2.2.2 below).
Operational details about Stage 0 will be communicated directly to institutions prior to the opening
of this stage. The ARC encourages all institutions to use the opportunity to test submission file data
structures.
4.2.2.2. Submission Stage 1
In Stage 1, institutions will upload submission files in SEER and have them validated and verified by
SEER. SEER will validate that a submission file meets basic technical requirements (e.g. correct
XML syntax). SEER will not accept a file with validation errors. Institutions must fix any validation
errors and resubmit a corrected file.
ERA 2015 Submission Guidelines
Page 17 of 81
SEER will then verify that the data contained in the file meet ERA business rules. SEER may return
a file to an institution with verification errors or verification warnings. Verification errors must be
fixed before a submission can progress in SEER. Verification warnings do not require changes to an
institution’s submission; however, the institution must acknowledge that it accepts the warning
messages before it can finalise its Stage 1 submission.
Using the submission data from each institution, SEER will create UoEs for each four-digit and twodigit FoR that meets or exceeds the low volume threshold. SEER will provide these Stage 1 UoEs to
institutions.
Using the SEER interface, the institution must also provide the authentication details for each
repository domain referred to in its submission. The institution is responsible for ensuring that SEER
can access the research output marked as available for peer review using these authentication details.
Once an institution is satisfied that the data included in its submission are correct, the Stage 1
submission can be finalised. Finalisation of the submission marks the end of Stage 1.
4.2.2.3. Submission Stage 2
In Stage 2, the ARC undertakes further verification and integrity checking of the data contained in
the submission. If any errors are detected (such as duplicate outputs), the ARC will return the
submission to the institution with a list of errors to be corrected.
Once the errors are resolved, an institution will be required to upload its submission, once again
following the process outlined above at Stage 1.
Institutions must verify the availability of submitted research outputs, as located in one or more
institutionally supported digital repositories.
Once an institution is satisfied that the data included in its submission are correct, and the ARC has
verified that this is indeed the case, the institution will be asked to provide brief information
regarding the time spent on ERA 2015 preparation activities. Details are provided in Appendix B:
ERA Survey Questions to these guidelines.
The institution will then be able to finalise its Stage 2 submission again. Finalisation of the
submission following verification marks the end of Stage 2.
4.2.2.4. Submission Stage 3
The submission is certified by the Vice-Chancellor, or equivalent, of the institution (see section 7)
in SEER.
4.2.2.5. Submission Stage 4
An institution lodges a hard copy of its certification statement, signed by its Vice-Chancellor or
equivalent (see section 7).
ERA 2015 Submission Guidelines
Page 18 of 81
4.2.2.6. Submission Timeline
The following table outlines when each of the submission activities commences and ends. The dates
for ERA 2015 submission are from 19 January 2015 to 20 April 2015 inclusive.
Phase
Activity
Start Date
Deadline
Responsible
Stage Zero
19 January 2015
19 February 2015
Institutions
Stage 1
23 February 2015
13 March 2015
Institutions
Stage 2
16 March 2015
7 April 2015
ARC, with
Institutions
Stage 3
8 April 2015
13 April 2015
Institutions
Stage 4
14 April 2015
20 April 2015
Institutions
Submission
ERA 2015 Submission Guidelines
Page 19 of 81
5. ERA Submission Data
5.1.
Submission Components
The main components of an ERA submission include:

Explanatory Statements;

Eligible Researcher Data;

Data on Research Outputs;

Data on Research Income;

Data on Applied Measures; and

Data on Esteem Measures.
The eligibility criteria and data requirements for each of these components are outlined in detail in
this section. Data requirements summary tables are also provided as follows:

for Eligible Researchers at 5.3.2.9

for Research Outputs:
o Books—Authored Research at 5.4.8.2
o Chapters in Research Books at 5.4.8.4
o Journal Articles—Refereed, Scholarly Journals at 5.4.8.6
o Conference Publications—Full Paper Refereed at 5.4.8.8
o Non-Traditional Research Output Types at 5.4.9.2

for Applied Measures:
o Plant Breeder’s Rights at 5.6.2.2
o Patents at 5.6.2.4
o Registered Designs at 5.6.2.6
o Research Commercialisation Income at 5.6.2.8
o NHMRC Endorsed Guidelines at 5.6.2.10

for Esteem Measures:
o Editorship of a Prestigious Work of Reference at 5.7.2.2
o Fellowship of a Learned Academy and Membership of AIATSIS at 5.7.2.4
o Nationally Competitive Research Fellowships at 5.7.2.6
o Membership of a Statutory Committee at 5.7.2.8
o Australia Council Grants or Australia Council Fellowships at 5.7.2.10
The tables below show which information institutions are required to submit for ERA, and what
information is optional. In the case of research income, the information institutions are required to
submit is detailed in the ERA–SEER 2015 Technical Specifications.
The meaning of “required” and “optional” in the following tables relates to these ERA 2015
Submission Guidelines and should be distinguished from the meaning of “mandatory” and “optional”
within the ERA–SEER 2015 Technical Specifications. The meaning of the latter is determined by
technical factors in the XML schema rather than by the substance of submission data requirements.
ERA 2015 Submission Guidelines
Page 20 of 81
5.2.
Explanatory Statements
An institution must provide succinct written Explanatory Statements to contextualise the data that the
institution has submitted about the research performance of each two digit field of research at the
institution. Explanatory Statements enable institutions to identify additional factors that may need to
be taken into account in order to make an informed evaluation.
Explanatory Statements should:

be provided at the two-digit level but may be structured to address the relevant four-digit FoR
codes that lie beneath. The two-digit Explanatory Statement will also be viewed in
conjunction with each four-digit UoE within that two-digit field;

be used to provide any necessary explanation of the data presented in the institutional
submission, such as an explanation of perceived anomalies or unusual patterns;

align with the submission data associated with the UoEs to which they refer (for example, an
Explanatory Statement should claim that certain UoEs have a high level of grant income only
if this is supported by the research income data submitted for those UoEs);

focus on activities undertaken during the six year reference period from 1 January 2008 to 31
December 2013 rather than provide information about the future direction of the relevant
fields of research. Any information on prospective activity will not be considered.
Explanatory Statements must avoid:

making claims which are not supported by the submission data;

making references to individual researchers, as far as is possible;

repeating data in Explanatory Statements that appear elsewhere in their submission;

including additional measures such as external citation counts; and

including any embedded links.
Subject to the above, institutions may determine the extent to which they provide information in their
Explanatory Statements.
Explanatory Statements may address:

An Overview—a brief outline of any background information relevant to the performance
and development of the field of research under consideration. This may include a description
of research focus within the two-digit FoR and reasons for trends or shifts in research focus
(e.g. institutional restructure);

Publication Profile—a description of research strengths (including an explanation of those
which are underrepresented by the indicators) and an explanation of discipline specific
publishing trends (e.g. those that would come about from a particular applied or regional
focus);

Capacity and Environment—a profile of staffing (including identification of any significant
changes in overall, not individual, staff or resources over time) and the effect of the staffing
profile on research activity, a description of research group compositions, and information on
support for Early Career Researchers and Higher Degree by Research (HDR) students
(including how they have contributed to the production of the research outputs submitted);
ERA 2015 Submission Guidelines
Page 21 of 81

Collaboration—a description of collaboration across fields of research and/or with
researchers at other institutions or agencies (both within Australia and overseas);

Spectrum of Activity—identification of the range of research activity undertaken in the
relevant field of research, including pure basic research, strategic basic research, applied
research, experimental development and information about interdisciplinary trends; and

Other—any other information that the institution considers should be included to explain the
data submitted or to further elucidate the research activity undertaken and enable an informed
evaluation. This may include additional factors not captured in the submission (such as
awards/prizes).
One Explanatory Statement must be provided for each two-digit FoR code.
Each Explanatory Statement is limited to 10 000 characters (approximately two pages). Spaces are
included in the character limit.
Refer to the ERA–SEER 2015 Technical Specifications for further detail on how Explanatory
Statements should be provided.
5.3.
Researchers
5.3.1.
Eligible Researcher Criteria
The researcher eligibility criteria set out in this section are to be used as the basis for determining
whether a research output and some applied measures and/or some esteem measures can be included
as part of the submission of an institution.
Researcher eligibility is used for applied measures and esteem measures in the manner outlined in
sections 5.6 and 5.7
Flowcharts of the relationship between researcher eligibility and research output eligibility are on the
on the following pages.
Note: the flowcharts provide a simplified overview of the eligibility criteria for illustrative purposes
only.
The flowcharts do not include all data requirements (such as those relating to the function of staff;
see section 5.3.2.8). When constructing submissions, institutions should refer to sections 5.3 and 5.4
in full. A summary of data requirements is at section 5.3.2.9.
ERA 2015 Submission Guidelines
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Is the person a member
of staff as defined by
ERA on the census date?
No
The person and their
research outputs are
ineligible for ERA
submission.
Yes
Is the staff member
employed fulltime, or
employed fractional
fulltime at ≥ 0.4 FTE?#
No
Is the staff member
employed fractional
fulltime at < 0.4 FTE?#
No
Is the staff member
employed as casual,
visiting, exchange,
seconded, or unpaid?
No
The person and their
research outputs are
ineligible for ERA
submission.
Yes
Yes
All staff member’s
research outputs* in the
reference period should
be submitted.
Yes
Yes
Does the staff member
have a demonstrable
publication association
with the institution?
Does the staff member
have a demonstrable
publication association
with the institution?
No
The person and their
research outputs are
ineligible for ERA
submission.
Yes
No
The person and their
research outputs are
ineligible for ERA
submission.
ERA 2015 Submission Guidelines
Submit only those
research outputs* with a
demonstrable publication
association with the
institution.
Page 23 of 81
*For an output to be submitted to
ERA, it must be an eligible research
output. See the flowchart on the
following page.
# See section 5.3.2 for eligible research
data requirements – including
requirements relating to the function of
FTE staff.
Flowchart of Research Output Eligibility
Was the output
produced by an
eligible researcher?
Yes
No
Do not
submit
ERA 2015 Submission Guidelines
Does the output
meet the definition
of research?
Yes
Was the output
published during in
ERA 2015 reference
period?
Yes
Is the output an
eligible research
output type?
No
No
No
Do not
submit
Do not
submit
Do not
submit
Page 24 of 81
Yes
Submit (as per the
requirements for the
different types of
eligible research
outputs).
5.3.1.1. Key Eligibility Criteria for Researchers
Researchers are not eligible if they do not meet criteria (a), (b) and (c) below. Any research output on
which they are listed is therefore also ineligible, unless another researcher listed on the research
output meets the researcher eligibility criteria below.
(a) Staff Census Date
Researchers must be affiliated (as defined at criterion (c) below) with the institution on the staff
census date. For 2015 ERA submissions, the staff census date is 31 March 2014.
(b) Member of Staff
Researchers must meet the following definition of a ‘member of staff’, which reflects the
definition in the Higher Education Staff Data Collection (HESDC):
A ‘member of staff’ is defined as a person who performs duties for the institution or one of its
controlled entities, and is either:
(b)(i)
a person employed by the institution or one of its controlled entities on a full time or
fractional full time basis;
(b)(ii)
a person employed by the institution or one of its controlled entities on a casual
basis;
(b)(iii) an employee of another institution who is working at the institution or one of its
controlled entities as either:
‘visiting’ staff;
‘exchange’ staff; or
‘seconded’ staff; or
(b)(iv) a person who works for the institution or one of its controlled entities on a regular
basis but who receives no remuneration (e.g. members of religious denominations,
unpaid visiting fellows).
Included in this definition of ‘member of staff’ are persons of the above types who are occupying
temporary positions or who are conjoint, clinical or adjunct appointees.
Also included are persons who are employees of the institution or one of its controlled entities
and who are working in locations outside Australia.
Excluded from this definition of ‘member of staff’ are persons whose services are being provided
to the institution or one of its controlled entities on a contract basis as an employee of another
institution or organisation or as a self-employed person. Such persons may provide teaching
services, consultancy services, programming services or other types of services.
For ERA purposes, terms used in criterion (b) should be interpreted consistently with HESDC
definitions of those terms and with their usage in the HESDC definition of ‘member of staff’.1
1
http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Member of Staff
ERA 2015 Submission Guidelines
Page 25 of 81
(c) Affiliation
To be ‘affiliated’ with an institution for ERA purposes, the researcher must on the staff census
date meet either:
(c)(i)
be an employee in accordance with criterion (b)(i) above and: be either full time,
fractional full time at or above 0.4; or, fractional full time below 0.4 with
demonstrated publication association (see section 5.3.1.3) with the institution within
the research outputs reference period;
(c)(ii)
be an employee in accordance with criterion (b)(ii) above (i.e. be employed by the
institution or by one of its controlled entities on a casual basis); and also have a
demonstrated publication association (see section 5.3.1.3) with the institution within
the research outputs reference period; or
(c)(iii) meet criterion (b)(iii) or criterion (b)(iv) above; and also have a demonstrated
publication association (see section 5.3.1.3) with the institution within the research
outputs reference period.
Institutions are required to provide eligible researcher data on employees with the status
‘Other Function’ only when those employees have produced eligible research outputs.
Higher Degree by Research (HDR) students are not eligible unless they are affiliated with the
institution on the basis of criterion (c)(i), criterion (c)(ii), or criterion (c)(iii) above.
Adjunct, honorary and emeritus researchers are eligible if they are affiliated with the institution
on the basis of criterion (c)(iii).
If a researcher is engaged by an overseas institution and produces research outputs that have a
demonstrable publication association with their Australian institution, they may be eligible under
criterion (b)(iii). In this case, only those outputs with a demonstrable publication association with
an Australian submitting institution are eligible.
5.3.1.2. Staff on Leave Without Pay
In accordance with the HESDC definitions,2 a member of staff must have current duties at the staff
census date. For ERA 2015 submissions, the staff census date is 31 March 2014.
Staff on leave without pay who, by definition, do not have current duties, are unlikely to be eligible
researchers for the institution from which they are on leave.
Staff on leave without pay by definition do not have current duties. They are unlikely to be eligible
as a member of staff in ERA. If, however, they are engaged at another Australian institution at the
census date, they may meet the ERA eligibility criteria and have outputs submitted by the other
institution.
5.3.1.3. Demonstrating a Publication Association
This section applies to all research output types (including all traditional and non-traditional research
outputs). A publication association can be demonstrated in the form of the name or logo of the
submitting institution on or within a research output (e.g. in a by-line), which directly attributes the
submitting institution to the eligible researcher being submitted to ERA. Otherwise, the institution
can demonstrate a publication association with the following evidence:
2
http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Effective Substantive Appointment and
http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Current Duties
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
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 of the institution; and either
o a statement from the Director of Human Resources (or equivalent) indicating that the
author was an appointee of the institution during the research output reference period;
or
o an extract from the staff list of the institution that lists the author as an appointee of
the institution during the research output reference period.
Institutions are not required to include such evidence with their submission data. These requirements
in relation to demonstrating a publication association are consistent with section 9.4 of the 2014
HERDC Specifications.3
5.3.1.4. Staff Employed at Less than 0.4 FTE
This section only applies to staff employed at an institution on the census date at less than 0.4 FTE
(under section 5.3.1.1 (b)(i)) and with reference to the affiliation requirement as per section 5.3.1.1
(c)(i). It does not apply to casual, visiting, adjunct and other staff (that is, any staff engaged on the
basis of section 5.3.1.1: (b)(ii), (b)(iii), or (b)(iv)).
The ARC recognises that there may be instances where a staff member does not meet the publication
association due to significant career interruptions because of personal circumstances. For each
instance where a staff member is employed at less than 0.4 FTE without a publication association
and is covered by such circumstances, institutions may write to the ARC to explain why the staff
member should be included in the institution’s submission. The institution would be expected to
show that the staff member would otherwise have been reasonably expected to have their research
outputs included in ERA 2015 had it not been for the significant career interruption due to personal
circumstances such as carer responsibilities (including parental leave) or medical reasons.
The ARC must receive such written notifications for each relevant staff member prior to the close of
Submission Stage 1 (13 March 2015).
Institutions should submit all research outputs for eligible researchers covered by this section.
Staff employed at less than 0.4 FTE without a publication association who are not covered by the
circumstances detailed in this section are ineligible for submission.
5.3.2.
Eligible Researcher Data
As part of their submissions, institutions must provide the following data for eligible researchers:
3

Name and Alternative Names;

Gender;

Staff Reference;

FTE (if applicable);

FoRs (to a maximum of three four-digit codes);

Level (Level E–A or Other Level);

Status (‘Employed’, ‘Employed on Casual Basis’, or ‘Other Status’); and
http://education.gov.au/higher-education-research-data-collection
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
Function (‘Teaching and Research’, ‘Research Only’, or ‘Other Function’).
Requirements for submission of the above data vary according to the function of the eligible
researcher and the nature of their affiliation with the institution.
Eligible researcher data must be provided for:

researchers who meet eligibility criterion (c)(i) and who have the function of ‘Teaching and
Research’ or ‘Research Only’, regardless of whether the researcher has produced any eligible
research outputs;

researchers who meet eligibility criterion (c)(i), who have the function of ‘Other Function’,
and who have produced one or more eligible research outputs;

researchers who meet eligibility criterion (c)(ii); and

researchers who meet eligibility criterion (c)(iii).
5.3.2.1. Name and Alternative Names
The current name of the eligible researcher must be provided. In addition, any alternative names
under which the eligible researcher may have published during the reference period must be provided
where their alternative name(s) appear on a research output that is submitted for evaluation.
5.3.2.2. Gender
The gender of the eligible researcher must be provided as either “male”, “female”, or “other”. This
information is being collected for aggregate reporting and internal ARC analysis. The gender of an
individual researcher will not be provided to peer reviewers and RECs. It will not be used as part of
the ERA evaluation process.
5.3.2.3. Staff Reference
The Staff Reference is a unique identifier allocated by the institution for each eligible researcher for
ERA purposes. It allows researchers to be linked to relevant research outputs, applied measures and
esteem measures within an institution’s submission.
The Staff Reference will be used only for the purposes of linking eligible researchers to research
outputs and/or esteem measures and/or applied measures.
5.3.2.4. FTE Data
For ERA purposes, FTE data should only be provided for those researchers who meet criterion (c)(i)
of the researcher eligibility criteria (see section 5.3.1.1).
FTE should be based on the work contract of an employee, as defined in HESDC, as at the staff
census date.4 Therefore:
4

an employee who has a full time work contract at the census date should be attributed an FTE
of 1.0

an employee who has a fractional full time work contract at the census date is expected to
have an FTE of less than 1.0

the fraction represents the total number of agreed work hours for that researcher, where 1.0
represents normal work hours on a full time contract.
http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Work Contract
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
the FTE of a single researcher for a single institution cannot exceed 1.0
Eligible researchers who meet criterion (c)(ii) or criterion (c)(iii) of the researcher eligibility criteria
should not be assigned an FTE (see section 5.3.1.1). Instead of FTE, a headcount will be derived for
these individuals and included in the eligible researcher profile used in ERA evaluations.
5.3.2.5. Assignment and Apportionment of FoR Codes to Eligible Researchers
FoR assignment should describe the focus of the activities of the researcher. An eligible researcher
may be assigned to a maximum of three FoR codes at the four-digit level.
Percentage apportionments for each FoR code should also be identified. The total of percentages
applied for each eligible researcher should equal 100%. The minimum apportionment for an eligible
researcher is 10%. The FoR code(s) assigned to an eligible researcher do not determine the FoR
assignment of the research outputs of that researcher.
5.3.2.6. Level
The level of an eligible researcher is one of the following:

Level A, B, C, D, or E—based on their academic salary classification, in accordance with the
levels used in HESDC: or

Other Level—where an eligible researcher cannot be assigned to one of the Levels E–A (e.g.
general staff and academics occupying management positions), the researcher should be
classified as ‘Other Level’.
In the case of a staff member holding multiple appointments within an institution, the institution
should choose the most applicable level to submit.
5.3.2.7. Status
The status of an eligible researcher describes the basis on which the researcher is affiliated with the
institution, and determines which of their research outputs can be included as part of the institution’s
submission.
For ERA purposes, the status of an eligible researcher can be described as one of the following only:

Employed—affiliation on the basis of criterion (c)(i) of the researcher eligibility criteria (see
section 5.3.1).

Employed on Casual Basis—affiliation on the basis of criterion (c)(ii) of the researcher
eligibility criteria (see section 5.3.1).

Other Status—affiliation on the basis of criterion (c)(iii) of the researcher eligibility criteria
(see section 5.3.1).
5.3.2.8. Function
The function of an eligible researcher describes the general type of work which they have formally
agreed with the institution to undertake.
For ERA purposes, the function of an eligible researcher can be described only as ‘Research Only’,
‘Teaching and Research’, or ‘Other Function’, in accordance with the following definitions:

Research Only—this function involves undertaking only research work or providing technical
or professional research assistance, or the management and leadership of research staff and of
staff who support research staff. There may be limited other work (e.g. participation in the
ERA 2015 Submission Guidelines
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development of postgraduate courses and supervision of postgraduate students). This
definition is to be interpreted as having the same content as the HESDC definition of
‘A Research Only Function’.

Teaching and Research—in addition to the activities undertaken in the Research Only
function, this function also involves undertaking teaching and associated activities (including
lecturing, group or individual tutoring, preparation of teaching materials, supervision of
students, marking, and preparation for the foregoing activities), or the management and
leadership of teaching staff and research staff and persons who support such staff. This
definition is to be interpreted as having the same content as the HESDC definition of ‘A
Teaching and Research Function’.

Other Function—functions other than ‘Research Only’ or ‘Teaching and Research’. A
researcher whose function is ‘Teaching Only’ who has produced one or more submitted
research outputs should be classified as ‘Other Function’. This definition is to be interpreted
as having the same content as the combined HESDC definitions of ‘A Teaching Only
Function’ and ‘An Other Function’.5
In the case of a staff member holding multiple functions within an institution, the institution should
choose the most applicable function to submit.
5
http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Function
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5.3.2.9. Summary of Data Requirements for Eligible Researchers
Outlined in the following table is a summary of information to be submitted by institutions for each
eligible researcher.
Nature of
affiliation
with
institution
→
Data type
↓
(c)(i)
Status:
‘Employed’
≥ 0.4 FTE
Function:
Function:
‘Research
‘Other’
Only’ and
‘Research
and
Teaching’
Employed by
the
institution or
one of its
controlled
entities on a
full time or
≥ 0.4
fractional
full time
basis.
Research outputs
Which research
outputs?
Last Name
Honorific
First Name
Middle Name
Alternative name(s)
Gender
Staff Reference
FTE
FoR (to a maximum of
three
four-digit codes)
Level (Level E–A or
Other Level)
Status (Employed,
Employed on Casual
Basis, or Other Status)
Function (Research
Only, Teaching and
Research or Other
Function)
ERA 2015 Submission Guidelines
Employed by
the institution
or one of its
controlled
entities on a
full time or
≥ 0.4
fractional full
time basis and
has produced
at least one
research
output within
the reference
period.
Status:
‘Employed’
< 0.4 FTE
Function:
‘Research
Only’,
‘Research
and
Teaching’
and ‘Other’
Employed by
the institution
or one of its
controlled
entities on
< 0.4
fractional full
time basis and
has a
publication
association.
(c)(ii)
Status:
‘Employed
on Casual
Basis’
Employed
by the
institution or
one of its
controlled
entities on a
casual basis
and has
publication
association.
(c)(iii)
Status:
‘Other Status’
Employee of
another
institution
who is
working at
the
institution or
one of its
controlled
entities as
‘visiting’,
‘exchange’
or
‘seconded’
staff and has
publication
association.
Works for
the
institution
or one of its
controlled
entities on a
regular
basis but
who
receives no
remuneratio
n and has
publication
association.
Required
Required
All
Only those with a publication association
Required
Required if applicable
Required if applicable
Required if applicable
Required if applicable
Required
Required
Required
Required
Required if applicable
Required if applicable
Required if applicable
Required if applicable
Required
Required
Not to be submitted
Required
Required
Required
Required
Required
Required
Required
Required
Page 31 of 81
5.4.
Research Outputs
5.4.1.
Overarching Eligibility Criteria
For an institution to submit information on a research output, the research output must meet all of the
following criteria:
1. meet the definition of research (see section 3.1);
2. have been published or made publicly available within the research outputs reference period
(as per section 3.7 and 5.4.5);
3. have one or more eligible researchers (as per section 5.3.1) listed as author(s) or creator(s)
either within (e.g. in the by-line) or on that research output; and
4. be an eligible research output type (as per section 5.4.2, 5.4.8 and 5.4.9).
When including research outputs in ERA submissions, institutions must abide by the rules regarding:

the assignment and apportionment of FoR codes to research outputs (see section 5.4.3);

the treatment of revisions, reprints and multiple editions (see section 5.4.6); and

where applicable, eligible versions for ERA peer review (see section 5.4.7).
5.4.2.
List of Eligible Research Output Types
There are four kinds of traditional research outputs, as detailed at 5.4.8. These are:

Books—Authored Research;

Book—Chapters in Research Books;

Journal Articles—Refereed, Scholarly Journal; and

Conference Publications—Full Paper Refereed.
For some fields of research (as per the ERA 2015 Discipline Matrix), the following ‘non-traditional’
types of research output are also eligible, as detailed at section 5.4.9:

Original Creative Works;

Live Performance of Creative Works;

Recorded/Rendered Creative Works;

Curated or Produced Substantial Public Exhibitions and Events; and

Research Reports for an External Body.
5.4.3.
Assignment and Apportionment of FoR Codes for Eligible Research Outputs
5.4.3.1. Assignment
Institutions must assign at least one and a maximum of three four-digit FoR codes to each research
output.
FoRs should only be assigned to an output if they are relevant to that output.
Institutions may assign any four-digit FoR codes to research outputs, with the exception of journal
articles and conference publications.
ERA 2015 Submission Guidelines
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In the case of journal articles and conference publications, institutions may assign only those FoR
codes identified for the journal or the conference series as per ERA 2015 Submission Journal List and
the ERA 2015 Submission Conference List, respectively. The following exceptions apply:

In the case of articles published in journals or conference publications from conference series
for which a two-digit FoR code is identified in the ERA 2015 Submission Journal List or the
ERA 2015 Submission Conference List, institutions may assign to the article/conference
publication any four-digit FoR codes from within the two-digit FoR code identified for that
journal/conference series.

In the case of articles/conference publications in multidisciplinary journals/conference series,
institutions may assign any four-digit FoR codes to the article/conference publication.

In the case of journal articles/conference publications which have significant content (66% or
more) that could best be described by a particular four-digit FoR code, institutions may
assign that four-digit FoR code to the article/conference publication. Such assignment can be
made even if the ERA 2015 Submission Journal List/ERA 2015 Submission Conference List
does not assign that four-digit FoR code to the journal/conference series in which the
article/conference publication was published (the reassignment exception).
5.4.3.2. Apportionment
Institutions are required to give a percentage apportionment for each FoR code assigned to a research
output.
Each four-digit FoR code assigned to a research output must be apportioned to that output in the
range of 20%–100%. There is only one exception to this rule: where an institution has assigned an
FoR code to an article under the reassignment exception outlined in section 5.4.3.1, that FoR code
must be apportioned to that output in the range of 66%–100%.
For each research output, the percentages apportioned must total 100.
5.4.4.
Indigenous Research and Institutional Units
5.4.4.1. Indigenous Research
Institutions may identify individual research outputs (in whole or in part) in ERA submissions as
containing Indigenous research content. Indigenous research is defined as having impact on or
investigating political, social, economic and cultural opportunities and challenges in Indigenous
Australian societies. Coding of Indigenous research is not mandatory.
5.4.4.2. Institutional Units
Institutions may devise their own institutional reporting codes that link components of their
submission to particular Institutional Units within the institution, such as academic organisation
units, research centres, Centres of Excellence or departments.
Institutions may submit up to two Institutional Unit codes for each research output. The use of
Institutional Unit codes is optional. Institutions may choose to assign Institutional Unit codes to
some or all research outputs, or to none.
5.4.4.3. Usage of Indigenous Research and Institutional Unit Information
RECs will neither receive nor consider information aggregated by Indigenous research or by
Institutional Unit. The provision of Institutional Unit or Indigenous research information in ERA
submissions will not result in separate or additional evaluation outcomes by Indigenous research or
by Institutional Unit.
ERA 2015 Submission Guidelines
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Following completion of the ERA evaluation, institutions may use these codes to compile
information about, for example, an Institutional Unit in ‘climate change research’ that had its
research outputs submitted for evaluation under a variety of fields of research (e.g. environmental
science and management, atmospheric sciences, law, soil sciences and demography).
5.4.5.
Research Outputs Reference Period
For a research output to be eligible for submission it must have been published within the research
outputs reference period. For the purposes of ERA, ‘published’ is broadly defined to mean the
publication of traditional research outputs (see section 5.4.8). In the case of non-traditional research
outputs, ‘published’ refers to a research output being made publicly available (see section 5.4.9).
The research outputs reference period is defined as the six year period from 1 January 2008 to
31 December 2013 inclusive. Research outputs published or made publicly available outside of the
reference period are not eligible for submission.
5.4.5.1. The Date of Publication Rule
The date of publication of a research output must appear on the research output and/or in the
information to be provided for each research output. Where the actual date of publication differs
from the listed date of publication, institutions should be able to explain this variance on request by
the ARC. This explanation is required for all submitted research outputs.
The date of publication based on the digital object identifier (DOI) for an electronic publication may
be used. Institutions should note that copyright dates or ‘date last updated’, which appear on web
pages, do not typically refer to a publication included on that page. Except where the date of
publication is referred to by the DOI, web page dates should not be used as evidence of the date
of publication.
5.4.5.2. Exceptions
Where a research output was originally produced in a medium where no date of publication is stated
within (e.g. in the by-line) or on the output, a letter from an editor, conference organiser or publisher
may be acceptable evidence to identify the date of publication. A letter cannot override a date of
publication stated within the research output. Institutions may be required to provide the letter on
request by the ARC.
Provided that no other date exists within or on the research output, the year a research output was
‘presented’ may be acceptable evidence of the date of publication (e.g. if presented to a conference in
the case of a conference paper).
ERA 2015 Submission Guidelines
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5.4.6.
Treatment of Revisions, Reprints and Multiple Editions
5.4.6.1. Revisions
There may be some cases where a research output is revised following the publication of the output
(for example, an updated version of a web-based non-traditional research output). A revised research
output can only be submitted if the institution can demonstrate that it meets all the eligibility criteria.
This requirement applies to submissions of research outputs for all ERA rounds and across all ERA
reference periods. For example, a web-based non-traditional research output submitted in ERA 2012
cannot be submitted in a revised or updated form for ERA 2015 unless the revision includes
substantial new research content (see section 3.1 for the definition of research).
5.4.6.2. Revisions Across Research Output Types
Where a research output has been submitted for one research output type it must not be submitted for
another research output type unless there is substantial new research content (see section 3.1 for the
definition of research). For example, a journal article should not be submitted if it is generally a
replication of a conference paper, which is also being submitted. In the case of non-traditional
research outputs, the institution should take care not to submit research outputs that are submitted in
an alternate research output category (or sub-category) unless there is demonstrable new research for
each research output. Institutions may be required to demonstrate, on request by the ARC, new
research content for corresponding research outputs in different research output categories.
This requirement applies to submissions of research outputs for all ERA rounds and across all ERA
reference periods. For example, a journal article (which is generally a replication of a conference
paper) should not be submitted in ERA 2015 if the corresponding conference paper was submitted
for ERA 2010 or ERA 2012.
5.4.6.3. Reprints and Multiple Editions
Where there has been a reprint or new edition of a research output and both versions are included in
an institution’s submission for any ERA round, institutions may be required to state, on request by
the ARC, how the reprint or new edition has contributed substantially new research (see section 3.1
for the definition of research).
Where there have been multiple prints or editions, none of which constitute substantially more new
research than the other, the institution may decide which edition or print is to be submitted.
Institutions are responsible for ensuring that only one print or edition of the research output is
submitted across all ERA rounds and reference periods.
5.4.7.
Eligible Versions of Research Outputs for ERA Peer Review
The ARC must have electronic access to an eligible version of each research output nominated by an
institution for ERA peer review.
Where a research output is nominated for ERA peer review, the institution must make the research
output available in an institutionally supported repository in digital form (see also section 6.2 for
further details).
In the case of journal articles, the following versions are eligible to be nominated for ERA
peer review:

Accepted Manuscript—the version which has been submitted for publication, accepted for
publication, peer reviewed and revised; and which is the final version as prepared by the
author.
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
Version of Record—the version as published in its final format, which serves as the definitive
version and includes any changes made to an Accepted Manuscript by pre-publication copy
editing, typesetting and proof reading.6
Non-traditional research output types that are nominated for ERA peer review are eligible provided
that the institution can demonstrate, on request by the ARC, that the submitted version is the
definitive version or version of record that was made publicly available in the reference period.
Any digital copy of a research output that is made for the purposes of storing the research output in
digital form in an institutionally supported repository as per section 6.2 should be directly derived
from the definitive version of the output.
5.4.8.
Traditional Eligible Research Output Types
The eligible research output types common to all fields of research are:

Books—Authored Research;

Book—Chapters in Research Books;

Journal Articles—Refereed, Scholarly Journal; and

Conference Publications—Full Paper Refereed.
5.4.8.1. Books—Authored Research
Institutions are required to submit information on all eligible books for each year of the research
outputs reference period.
Eligible books are those that meet all of the following criteria (in addition to the criteria outlined at
section 5.4.1):
(a) be a major work of scholarship;
(b) be offered for sale in the form of:
o hard copies, bound,
o CD-ROMs, packaged, and/or
o e-books, on subscription or fee basis;
(c) have an International Standard Book Number (ISBN);
(d) be entirely written by a single author, or by joint authors who share responsibility for the
whole book; and
(e) have been published by a commercial publisher.
The above requirements apply whether the publication is in print and/or online form. However, the
ARC recognises that there are cases where a book has only been made available online, and has not
been published by a commercial publisher and/or offered for sale. In these cases, the institution can
only report the book if it has been through an acceptable peer review process and otherwise meets
the relevant eligibility criteria, including meeting the definition of research. Institutions should note
that publishing online by an individual—i.e. not by recognised commercial publishers, institutions or
other organisations—is unlikely to meet the peer review requirements or provide sufficient editorial
scrutiny. For ERA purposes, an acceptable peer review process is one that involves an assessment or
See ‘NISO RP-8-2008, Journal Article Versions (JAV): Recommendations of the NISO/ALPSP JAV Technical Working Group’,
http://www.niso.org/publications/rp/RP-8-2008.pdf
6
ERA 2015 Submission Guidelines
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review, before publication, of the research output in its entirety by independent, qualified experts.
The term ‘independent’ in this context means independent of the author. A statement from an author
that a research output was peer reviewed is not sufficient evidence.
The following types of books are likely to meet the eligibility criteria for the ‘Book’ research output
type:

critical scholarly texts;

new interpretations of historical events; and

new ideas or perspectives based on established research findings.
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 institutions assess these outputs very carefully against the definition
of research and include for this research output type only those books which report research
activities.
The following types of books are unlikely to meet the eligibility criteria for the ‘Book’ research
output type:

textbooks;

anthologies;

edited books;

books that are not published by a commercial publisher and/or offered for sale; and

revisions or new editions.
For some fields of research, these types of books may be eligible to be submitted using the other
research output categories outlined at section 5.4.9
For the submission of books, institutions will be required to select an ERA Publisher ID from the
ERA 2015 Submission Publisher List. The list includes an ‘other’ category for institutions to select if
the publisher does not appear on the ERA 2015 Submission Publisher List.
5.4.8.2. Summary of Data Requirements for Books—Authored Research
Outlined in the following table is a summary of information to be submitted by institutions for
each book.
Data Item
Staff Creator(s)
Creator(s)
Title
Place of Publication
ERA Publisher ID
Year Published
Year Available
ISBN
Extent
Edition
ERA 2015 Submission Guidelines
Requirement to include for each book
Required for all authors who are eligible researchers
Required to list all authors of the book
Required
Required
Required (selected from the ERA 2015 Submission
Publisher List)
Required
Optional
Required
Required
Optional
Page 37 of 81
Version
Translated
Sensitive
Sensitive Handling Note
Electronic Location
Available in an Open
Access Repository
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Nominated FoR Code for
Peer Review
Indigenous Research
Institutional Unit(s)
Optional
Optional
Optional
Required if output is sensitive
Required if nominated for ERA peer review
Required (Yes/No)
Required (a maximum of three)
Required
Optional (a maximum of three)
Optional
Optional
5.4.8.3. Chapters in Research Books
Institutions are required to submit information on all eligible book chapters for each year of the
research outputs reference period.
Eligible book chapters are those that meet all of the following criteria (in addition to the criteria
outlined in section 5.4.1):
(a) be a contribution, consisting substantially of new material, to an edited compilation in which
the material is subject to editorial scrutiny. A book chapter may be included if it has been
published previously, provided it constitutes substantial new knowledge and constitutes
original research;
(b) be a chapter in a book that is offered for sale in the form of:
 hard copies, bound,
 CD-ROMs, packaged, and/or
 e-books, on subscription or fee basis;
(c) be a chapter in a book that has an International Standard Book Number (ISBN); and
(d) be a chapter in a book that has been published by a commercial publisher.
The above requirements apply whether the publication is in print and/or online form. However, the
ARC recognises that there are cases where a book chapter has only been made available online, and
has not been published by a commercial publisher and/or offered for sale. In these cases, the
institution can only report the book chapter if it has been through an acceptable peer review process
and otherwise meets the relevant eligibility criteria, including meeting the definition of research.
Institutions should note that publishing online by an individual—i.e. not by recognised commercial
publishers, institutions or other organisations—is unlikely to meet the peer review requirements or
provide sufficient editorial scrutiny. For ERA purposes, an acceptable peer review process is one that
involves an assessment or review, before publication, of the research output in its entirety by
independent, qualified experts. The term ‘independent’ in this context means independent of
the author. A statement from an author that a research output was peer reviewed is not sufficient
evidence.
The following types of book chapters are likely to meet the eligibility criteria for the ‘Book Chapter’
research output type:
ERA 2015 Submission Guidelines
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
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;

critical scholarly text of chapter length; and

critical review of current research.
The following types of book chapters are unlikely to meet the eligibility criteria for the ‘Book
Chapter’ research output type:

chapters in textbooks;

entries in reference books;

anthologies;

revisions of chapters in edited books;

forewords;

brief introductions;

brief editorials;

chapters in books that are not published by a commercial publisher and/or offered for
sale; and

appendices.
For some fields of research, these types of chapters may be eligible to be submitted using the other
research output categories outlined at section 5.4.9.
For the submission of chapters in research books, institutions will be required to select an ERA
Publisher ID from the ERA 2015 Submission Publisher List. The list includes an ‘other’ category for
institutions to select if the publisher does not appear on the ERA 2015 Submission Publisher List.
5.4.8.4. Summary of Data Requirements for Chapters in Research Books
Outlined in the following table is a summary of information to be submitted by institutions for each
book chapter.
Data Item
Staff Creator(s)
Creator(s)
Editor(s)
Title of the book chapter
Title of the book
Place of Publication
ERA Publisher ID
Year Published
Year Available
ISBN
Extent
Edition
Version
Translated
ERA 2015 Submission Guidelines
Requirement to include for each book chapter
Required for all authors who are eligible researchers
Required to list all authors of the book chapter
Required to list all editors of the book
Required
Required
Required
Required (selected from the ERA 2015 Submission
Publisher List)
Required
Optional
Required
Required
Optional
Optional
Optional
Page 39 of 81
Sensitive
Sensitive Handling Note
Electronic Location
Available in Open Access
Repository
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Nominated FoR Code for
Peer Review
Indigenous Research
Institutional Unit(s)
Optional
Required if output is sensitive
Required if nominated for ERA peer review
Required (Yes/No)
Required (a maximum of three)
Required
Optional (a maximum of three)
Optional
Optional
5.4.8.5. Journal Articles—Refereed, Scholarly Journal
Institutions are required to submit information on all eligible journal articles for each year of the
research outputs reference period.
Eligible journal articles are those that, in addition to the criteria outlined in section 5.4.1, have been
published in a scholarly peer reviewed journal listed in the ERA 2015 Submission Journal List. To be
included in the ERA 2015 Submission Journal List, a journal must have been active, peer reviewed,
have published original research and have an International Standard Serial Number (ISSN), during
the reference period
(1 January 2008 – 31 December 2013).
An acceptable peer review process is one that involves an assessment or review, before publication,
of the research output in its entirety by independent, qualified experts. The term ‘independent’ in this
context means independent of the author.
Articles in journals that are not listed in the ERA 2015 Submission Journal List cannot be submitted
as journal articles. For some fields of research, they may be eligible for submission using the other
research output types outlined at section 5.4.9.
The following types of journal article are likely to meet the eligibility criteria for the ‘Journal
Article’ research output type:

commentaries and communications of original research;

research notes;

letters to journals, provided that the letter satisfies the definition of research and the
subsequent definitions for journal articles provided above;

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; and

articles in a standalone series.
ERA 2015 Submission Guidelines
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The following types of journal article are unlikely to meet the eligibility criteria for the ‘Journal
Article’ research output type:

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; and

brief commentaries and brief communications of original research.
Indexed Journal Articles and Non-indexed Journal Articles
Journal articles are defined as either indexed or non-indexed.
An ‘indexed journal article’ is an article that has been published in a journal indexed by the ERA
2015 citation provider as of the ERA 2015 citation census date and has a unique electronic identifier
(EID). The EIDs will be provided by the citation provider during the tagging process.
For fields of research where citation analysis is used (see the ERA 2015 Discipline Matrix), a ‘nonindexed journal article’ is an article that has been published in a journal which is on the ERA 2015
Submission Journal List but which is not indexed by the citation provider and therefore does not
have a unique EID.
For fields of research where citation analysis is not used (see the ERA 2015 Discipline Matrix), all
journal articles are non-indexed for the purposes of ERA.
For fields of research which use citation analysis, the number of apportioned indexed journal articles
in an institution’s submission for a particular discipline is used to determine whether it meets or
exceeds the low volume threshold at the four-digit FoR level, the two-digit FoR level, or not at all.
For citation analysis fields of research, non-indexed journal articles and other research outputs do not
contribute to the number of articles that determine whether sufficient volume exists for citation
analysis (that is, the low volume threshold), whether at the four-digit or two-digit FoR level (see
section 3.6).
For articles to be submitted in fields of research using citation analysis, institutions are required to
provide a unique EID for each indexed journal article included in the submission of the institution.
EID Tagging—indexed journal articles only
The citation provider will communicate directly with institutions regarding the tagging of journal
articles with EIDs. It is the responsibility of the institution to work with the citation provider within
the specified tagging period and to check the accuracy of the outputs tagged. As part of the tagging
service, the citation provider will return its metadata to institutions for each tagged journal article.
This will allow institutions to verify that the correct journal article has been tagged and to improve
the accuracy of their institutional dataset.
Only those journal articles that are indexed by the citation provider on or before the citation census
date will be successfully validated by SEER and contribute to the low volume threshold.
Data Validation—indexed journal articles only
ERA 2015 Submission Guidelines
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The ARC will undertake a number of validation checks on submitted journal articles. These checks
will be detailed in the ERA–SEER 2015 Technical Specifications.
It is recommended that institutions use the metadata returned by the citation provider for submission
purposes. The ARC will undertake data validation of the journal articles submitted by institutions
against the dataset of the citation provider.
Year Published versus Year Available
For indexed journal articles, only those articles with a ‘Year Published’ within the ERA 2015
research outputs reference period will count towards the low volume threshold and be eligible for
evaluation. Where an institution submits a ‘Year Published’ for an indexed journal article that differs
from the ‘Year Published’ for that article within the citation provider’s dataset, the ‘Year Published’
of the citation provider will be used by SEER to determine the eligibility of that journal article. This
is to enable indexed journal articles to undergo citation analysis.
For non-indexed journal articles, at least one of ‘Year Published’ or ‘Year Available’ must be within
the ERA 2015 research outputs reference period.
5.4.8.6. Summary of Data Requirements for Journal Articles—Refereed, Scholarly Journals
The following table summarises information to be submitted by institutions for each journal article.
Data Item
Staff Creator(s)
Creator(s)
Article Title
Journal Title
Place of Publication
Year Published
Year Available
Volume
Issue
ISSN
Extent
Translated
Sensitive
Sensitive Handling
Note
Electronic Location
Available in Open
Access Repository
Electronic identifier
(EID)
ERA Journal ID
Four-digit FoR Code
Assignment
Requirement to include for each journal article
Required for all authors who are eligible researchers
Required to list all authors of the journal article
Required
Required (supplied by the ERA 2015 Submission Journal List)
Optional
Required
Optional
Optional
Optional
Required (supplied by the ERA 2015 Submission Journal List)
Required
Optional
Optional
Required if output is sensitive
Required if nominated for ERA peer review
Required (Yes/No)
Required for indexed journal articles
Required (supplied by the ERA 2015 Submission Journal List)
Required (identified by the ERA 2015 Submission Journal
List or selected by the institution in the following
circumstances only: two-digit journals, multidisciplinary
journals, or journal articles with significant content (66%) not
represented in the pre-assigned FoRs within the ERA 2015
Submission Journal List.)
Four-digit FoR Code Required
Apportionment
ERA 2015 Submission Guidelines
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Nominated FoR Code Optional (a maximum of three)
for Peer Review
Indigenous Research Optional
Institutional Unit(s) Optional
5.4.8.7. Conference Publications—Full Paper Refereed
Institutions are required to submit information on all eligible peer reviewed conference publications
for each year of the research outputs reference period.
Eligibility Criteria for all Conference Publications
A conference publication must be submitted provided that it meets the following criteria (in addition
to the criteria outlined in section 5.4.1):
(a) be published in full (The publication 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, digitally or conference or organisational website);
(b) be peer reviewed (For ERA purposes, an acceptable peer review process is one that involves
an assessment or review, before publication, of the research output in its entirety by
independent, qualified experts. The term ‘independent’ in this context means independent of
the author. A statement from an author that a research output was peer reviewed is not
sufficient evidence); and
(c) be presented at a conference, workshop or seminar of national or international significance.
The types of conference publications that are unlikely to meet the criteria include:

keynote addresses;

plenary addresses;

participation in discussions as a panel member;

poster presentations;

facilitation of workshops at conferences; and

abstracts of conference publications.
As with all other output types, the ARC will undertake validation to ensure that the submissions of
institutions are broadly in line with their returns to the HERDC.
For the submission of conference publications, institutions will be required to select the ERA
Conference ID from a pre-determined conference series list developed by the ARC. The list includes
an ‘other’ category for institutions to select if the conference publication was not presented at a
conference listed on the ERA 2015 Submission Conference List.
ERA 2015 Submission Guidelines
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5.4.8.8. Summary of Data Requirements for Conference Publications—Full Paper Refereed
The following table summarises the information that institutions are required to submit for each
conference publication.
Data Item
Staff Creator(s)
Creator(s)
Conference Paper Title
Conference Outlet Title
ERA Conference ID
Conference Venue
Publisher of Conference
Publication
ISSN
ISBN
Place of Publication
Year Published
Year Available
Issue
Volume
Extent
Translated
Sensitive
Sensitive Handling Note
Electronic Location
Available in Open Access
Repository
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Nominated FoR Code for
Peer Review
Indigenous Research
Institutional Unit (s)
ERA 2015 Submission Guidelines
Requirement to include for each conference
publication
Required for all authors who are eligible researchers
Required to list all authors of conference publication
Required
Required
Required (selected from the ERA 2015 Submission
Conference List)
Required
Required
Optional
Optional
Required
Required
Optional
Optional
Optional
Required
Optional
Optional
Required if output is sensitive
Required if nominated for ERA peer review
Required (Yes/No)
Required (a maximum of three)
Required
Optional (a maximum of three)
Optional
Optional
Page 44 of 81
5.4.9.
Non-Traditional Eligible Research Output Types
Eligible research output types include the following non-traditional research output types:

Original Creative Works;

Live Performance of Creative Works;

Recorded/Rendered Creative Works;

Curated or Produced Substantial Public Exhibitions and Events; and

Research Reports for an External Body.
To be eligible, non-traditional research outputs must have been made available publicly during the
ERA 2015 research outputs reference period.
For fields of research that conduct ERA peer review (see the ERA 2015 Discipline Matrix), nontraditional research outputs may be submitted under any of the five non-traditional research output
types given above. However, citation fields of research may only submit non-traditional research
outputs under the ‘Research Reports for an External Body’ output type. ‘Research Reports for an
External Body’ submitted within citation fields of research will not be eligible for peer review.
Where institutions have nominated non-traditional research outputs for ERA peer review, institutions
must provide a statement identifying the research component of the output, known as a ‘Research
Statement for ERA Peer Review of Non-Traditional Research Outputs’ (see section 5.4.9.1 and
Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research
Outputs).
Multiple exhibitions/performances of non-traditional research output types may be counted as
separate outputs where each subsequent exhibition/performance introduces a new research
component to the work that builds upon the initial research component of the output.
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.
Institutions may submit a portfolio of items as a single non-traditional research output. A portfolio is
a collection of individual items that are derived from the same underlying research endeavour but do
not in themselves constitute a research output. The portfolio must be able to demonstrate coherent
research content. In addition, the individual items should be related in a way so that the resulting
portfolio constitutes research. For such items, institutions must identify the relationship using a
portfolio name and portfolio number.
Portfolios are only eligible to be submitted within fields of research which are flagged with “other
NTRO” (see the ERA 2015 Discipline Matrix).
5.4.9.1. Research Statement for ERA Peer Review of Non-Traditional Research Outputs
Where non-traditional research outputs are nominated by an institution for ERA peer review, a
statement identifying the research component of each such research output must be provided as part
of the submission of the institution.
ERA 2015 Submission Guidelines
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The requirements for the ‘Research Statement for ERA Peer Review of Non-Traditional Research
Outputs’ are set out in Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional
Research Outputs.
5.4.9.2. Summary of Data Requirements for Non-Traditional Research Output Types
Outlined in the following table is a summary of information to be submitted by institutions for each
non-traditional research output type.
Data Item
Staff Creator(s)
Creator(s)
Title
Place of Publication
Publisher
Year Published or Year
Publicly Available
Year Presented
Standard Number
Issue
Volume
Extent
Translated
Sensitive
Sensitive Handling Note
Non-Traditional Output
Category
Media
Requirement to include for each non-traditional
research output
Required for all authors who are eligible researchers
Required to list all authors of the output
Required
Required
Required if available
Required
Optional
Optional (e.g. International Standard Music Number
(ISMN))
Optional
Optional
Required
Optional
Optional
Required if output is sensitive
Required*
Required if available (e.g. interactive video
installation, website)
Notes
Required if available (e.g. include venue name and type,
venue commissioner, role of creator).
Electronic Location
Required if nominated for ERA peer review
Available in Open Access Required (Yes/No)
Repository
Four-digit FoR Code
Required (a maximum of three)
Apportionment
Nominated FoR Code for Optional (a maximum of three)
Peer Review
Indigenous Research
Optional
Institutional Unit(s)
Optional
Portfolio Name
Required for items that are part of a portfolio
Portfolio Number
Required for items that are part of a portfolio
Research Statement
Required if nominated for ERA peer review (in the case
of portfolios, only one statement should be submitted)
* For ERA 2015, there are five categories of Non-Traditional Research Outputs: Original Creative
Works; Live Performance of Creative Works; Recorded/Rendered Works, Curated or Produced
Substantial Public Exhibitions or Events; and Research Reports for an External Body.
ERA 2015 Submission Guidelines
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5.4.9.3. Original Creative Works
Research outputs are eligible as Original Creative Works 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.
If an institution selects an original creative work for ERA peer review, institutions must supply
additional documentation as part of the Research Statement for ERA Peer Review of NonTraditional Research Outputs.
The exhibition of an original creative work can be used to demonstrate that the work has been made
publicly available, but each instance of such a research output can only be claimed once. Exhibited
creative works can be submitted as either:

a single item exhibited as an individual creative work (equal to one research output); or

a portfolio of works exhibited as a cohesive/thematic collection of the work of a single
creator (also equal to one research output).
Sub-categories of Original Creative Works are as follows:
Research Output
Visual art work
Design/Architectural
work
Textual work
Other
Description
A research output such as a fine arts and crafts work,
diagram, map, photographic image, sculpture or
installation.
Realised, constructed, fabricated or unrealised building and
design projects. ‘Unrealised’ projects must have an
statement that provides evidence of the research involved.
Written creative work that is not eligible to be submitted as
a book or journal article, such as a novel or art review.
Exhibition catalogues and catalogue entries may be
submitted in this sub-category.
Original creative works that do not fit the other research
outputs types. For example, scholarly editions, scholarly
translations may be submitted under this sub-category,
provided they meet the relevant eligibility criteria,
including meeting the definition of research.
ERA 2015 Submission Guidelines
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5.4.9.4. Live Performance of Creative Works
For Live Performance of Creative Works, the actual public performance is what is claimed. If these
research outputs are selected for ERA peer review, then some form of supporting documentation, in
addition to the Research Statement for ERA Peer Review of Non-Traditional Research Outputs,
should be made available via the institutionally supported repository to facilitate the ERA peer
review process. Documentation may be in the form of a recording of the performance, reviews,
performance programs or other material that the institution considers useful to the ERA peer review
process.
Sub-categories of the Live Performance of Creative Works research output type are as follows:
Research Output
Music
Play
Dance
Other
Description
New work or a demonstrably new or innovative
interpretation or production of an existing work.
New work or a demonstrably new or innovative
interpretation or production of an existing work.
New work or a demonstrably new or innovative
interpretation or production of an existing work.
Other Live Performance of Creative Works not listed
above. New work or demonstrably new or innovative
interpretation or production of an existing work.
5.4.9.5. Recorded/Rendered Creative Works
For Recorded/Rendered Creative Works, 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 section 5.4.9.4).
Sub-categories of Recorded/Rendered Creative Works are as follows:
Research Output
Audio/Visual
Recording
Performance
Inter-arts
Digital creative work
Website/Web based
exhibition
Other
Description
Research outputs presented in an audio-visual format, such
as films, documentaries or audio-visual presentations.
Performances (in music, dance, theatre, etc.) that have been
created specifically for a recorded medium.
Recorded/rendered creative works, often experimental,
produced in association with other researchers in other
disciplinary fields.
Digital creative works, including creative 3D models,
digital outputs of architectural and design projects,
computer programs, games and visual artworks.
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.
Other recorded/rendered creative works not listed above.
ERA 2015 Submission Guidelines
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5.4.9.6. Curated or Produced Substantial Public Exhibitions and Events
The Curated or Produced Substantial Public Exhibitions and Events research output type is
specifically aimed at research outputs produced by curators rather than artists (although exhibition
catalogues written by curators should be submitted as Original Creative Works, in the ‘textual work’
subcategory—see section 5.4.9.3).
Where a curator is an eligible researcher, the curator may claim exhibitions, festivals and other
events as research outputs. Artists may claim exhibitions of their original creative works under the
Original Creative Works research output type (see section 5.4.9.3), 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. Multiple exhibitions/events may be counted where each
subsequent exhibition/event introduces a 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.
Sub-categories of Curated or Produced Substantial Public Exhibitions and Events are as follows:
Research Output
Web based
exhibition
Exhibition/Event
Festival
Other
Description
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.
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.
This should be accompanied by a well-researched
publication that includes the date and location of the
exhibition.
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.
Curated or substantial public exhibitions and events that do
not fit into the above sub-categories of the Curated or
Produced Substantial Public Exhibitions and Events
research output type.
ERA 2015 Submission Guidelines
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5.4.9.7.
Research Reports for an External Body
A Research Report for an External Body is a written research output commissioned or solicited by an
external body such as a government department or private company.
Sub-categories of Research Report for an External Body are as follows:
Research Output
Public Sector
Industry
Not-For-Profit
Other
Description
A research report that has been undertaken for an Australian,
state, territory, local, foreign or international government
body or organisation.
A research report that has been undertaken for a company,
industry organisation, industry peak body, or an
employer/employee association.
A research report that has been undertaken for a body or
organisation operating in the not-for-profit sector.
A research report undertaken for an organisation not covered
by the above sub-categories.
Portfolios are eligible for submission in this subcategory only within fields of research which are
flagged with “other NTRO” (see the ERA 2015 Discipline Matrix).
The following examples are likely to be ineligible for submission under this subcategory:
 submissions to public inquiries and consultations, including government or parliamentary
inquiries;
 policy blogs or online commentaries/articles; and
 briefing notes.
In some cases, the above items may be eligible as part of a portfolio.
ERA 2015 Submission Guidelines
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5.5.
Research Income
Institutions are required to submit information on all research income falling within eligible income
category types. In order for research income to be submitted, it must:
1. be in an eligible research income category type (see section 5.5.3); and
2. meet the research income reference period requirements (see section 5.5.1).
Research income data will be collected in alignment with the following categories collected as part
of the Higher Education Research Data Collection (HERDC):

Australian Competitive Grants (Category 1);

Other Public Sector Research Income (Category 2);

Industry and Other Research Income (Category 3):
o Australian;
o International A (Competitive, Peer Reviewed Research Grant Income);
o International B (Other Income); and

Cooperative Research Centre Research Income (Category 4).
For HERDC, institutions are required to disaggregate Industry and Other research income into three
sub-categories: Australian; International Competitive, Peer Reviewed Research Grant Income; and
Other International Income. For ERA, institutions must submit information on research income using
these three sub-categories for each year of the research income reference period as specified in
section 5.5.1
HERDC also includes data collection of “HDR Fees for domestic students” and “International C:
HDR fees for international students”. These two data fields (of student fees) should not be reported
for ERA.
All research income must be reported at the four-digit FoR level. Research income must be assigned
to a relevant year based on the HERDC method. Details regarding the format in which this
information must be submitted for ERA are outlined in the ERA–SEER 2015 Technical
Specifications.
Research commercialisation income is separate from the above mentioned research income types and
is addressed in 5.6.2.7.
5.5.1.
Research Income Reference Period
For an institution to include research income, it must have been reported as part of HERDC for the
relevant year of the research income reference period. The research income reference period for ERA
is defined as the three year period from 1 January 2011 to 31 December 2013 inclusive.
It is recognised that the year a grant is awarded may differ from the year(s) income was received.
Institutions may therefore include a grant where all or only some of the income was received in the
reference period. In these cases, institutions must identify the proportion of the grant which falls
within the reference period.
ERA 2015 Submission Guidelines
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5.5.1.1. Reporting Negative Income
The overarching principle for reporting all categories of research income (including Categories 1–4
and Research Commercialisation Income) is that where the total amount (for a grant/category) across
the reference period is zero or negative it should not be reported for ERA. Individual negative
amounts for particular grants or years should be deducted in calculations made by institutions. The
remaining total is what is reported in the ERA submission. Where the remaining total is zero or
negative no income should be reported for that category or subcategory.
Please refer to the ERA–SEER 2015 Technical Specifications for further instructions on submitting
negative income.
5.5.2.
Assignment and Apportionment of FoR Codes for Research Income
Institutions must assign to each item of research income as many four-digit FoR codes as are
relevant.
For each item of research income, institutions must determine the percentage apportionment of each
of the FoR codes assigned to the item. The percentages apportioned to each FoR code must total
100% for each item of research income.
5.5.3.
Eligible Research Income Category Types
5.5.3.1. Australian Competitive Grants
Institutions must only submit grant information on Australian Competitive Grants that were
submitted as part of HERDC for the relevant year of the research income reference period.
Institutions must submit each research grant received in this category by four-digit FoR code for
each year of the research income reference period. The four-digit code may change across years for
an individual grant.
Institutions are required to provide information on each eligible grant as outlined in the ERA XML
schema provided as part of the ERA–SEER 2015 Technology Pack. Australian Competitive Grants
must be reported on an individual grant basis so that a total number of grants received can be derived
from the submission. This only applies for Australian Competitive Grants. The list of eligible
programs for the reference period is provided as a Code Table as part of the ERA–SEER 2015
Technology Pack.
A grant held over two or more years of the research income reference period will be counted as only
one grant. Where part of a grant falls outside the reference period, institutions must indicate the
proportion of the grant that occurs in the reference period.
5.5.3.2. Summary of Data Requirements for Australian Competitive Grants
Outlined in the following table is a summary of information to be submitted by institutions for
Australian Competitive Grants.
Data Item
Requirement to include for Australian Competitive
Grant Research (ACGR) Income
ERA 2015 Submission Guidelines
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Total Amount Received
Percentage of grant within
reference period
Reference Year
ACGR code
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Required
Required
Required
Required
Required (as many as are relevant)
Required
5.5.3.3. Other Public Sector Research Income
Institutions must only submit Other Public Sector Research Income that was submitted as part of
HERDC for the relevant year.
Institutions must submit research income received in this category by four-digit FoR code for each
year of the research income reference period.
Institutions are required to provide information on Other Public Sector Research Income as outlined
in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack.
5.5.3.4. Summary of Data Requirements for Other Public Sector Research Income
Outlined in the following table is a summary of information to be submitted by institutions for Other
Public Sector Research Income.
Data Item
Total Amount Received
Reference Year
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for Other Public Sector
Research Income
Required
Required
Required (as many as are relevant)
Required
5.5.3.5. Industry and Other Research Income
Institutions must only submit Industry and Other Research Income that was submitted as part of
HERDC for the relevant year.
Institutions are required to disaggregate all research income data in this category according to the
following sub-categories:

Australian (Category 3i);

International A (Competitive, Peer Reviewed Research Grant Income) (Category 3ii); and

International B (Other Income) (Category 3iii).
Institutions are required to submit research income received under this category by four-digit FoR
code by sub-category for each year of the research income reference period.
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Institutions are required to provide information on Industry and Other Research Income as outlined
in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack.
5.5.3.6. Summary of Data Requirements for Industry and Other Research Income
Outlined in the following table is a summary of information to be submitted by institutions for
Industry and Other Research Income.
Data Item
Total Amount Received
Reference Year
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for Industry and Other
Research Income (all sub categories)
Required
Required
Required (as many as are relevant)
Required
5.5.3.7. Cooperative Research Centre (CRC) Research Income
Institutions must only submit Cooperative Research Centre (CRC) Research Income that was
submitted as part of HERDC for the relevant year.
Institutions are required to submit research income received in this category by four-digit FoR code
for each year of the research income reference period.
Institutions are required to provide information on CRC Research Income as outlined in the ERA
XML schema that is provided as part of the ERA–SEER 2015 Technology Pack.
5.5.3.8.
Summary of Data Requirements for Cooperative Research Centre (CRC) Research
Income
Outlined in the following table is a summary of information to be submitted by institutions for
Cooperative Research Centre (CRC) Research Income.
Data Item
Total Amount Received
Reference Year
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for Cooperative Research
Centre (CRC) Research Income
Required
Required
Required (as many as are relevant)
Required
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5.6.
Applied Measures
Institutions must submit information against a range of applied measures. Not all applied measures
apply to all fields of research. The ERA 2015 Discipline Matrix specifies which applied measures are
applicable to which FoR code.
Further information relating to indicators of research application in ERA can be found at section 1.4.
The ERA applied measures comprise:

Plant Breeder’s Rights;

Patents;

Registered designs;

Research commercialisation income; and

NHMRC endorsed guidelines.
The applied measures reference period is the three years from 1 January 2011 – 31 December 2013
inclusive.
Further details on each of these applied measures are provided below.
5.6.1.
Assignment and Apportionment of FoR Codes for Applied Measures
Institutions must assign to each applied measure one to three four-digit FoR codes, except for
research commercialisation income which may have assigned to it as many four-digit FoR codes as
are relevant.
For each applied measure, institutions must determine the percentage apportionment of each of the
FoR codes assigned to the item. The percentages apportioned to each FoR code must total 100% for
each item.
5.6.2.
Eligible Applied Measures
5.6.2.1. Plant Breeder’s Rights
Plant Breeder’s Rights are proprietary rights held by breeders of new varieties of plants and fungi.
These rights are legally enforceable and give exclusive commercial rights to market a new variety or
its propagating material for the duration of the Plant Breeder’s Rights.
Plant Breeder’s Rights are granted where a new variety of plant can be demonstrated:

to be distinct from any other existing variety of common knowledge;

to be uniform and stable;

not to have been sold outside the allowable period; and

to have a suitable name.
For ERA purposes, Plant Breeder’s Rights are those granted under the Plant Breeder’s Rights Act
1994 (Cth) or their international equivalents, as listed in international Plant Breeder’s Rights
equivalents below:
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
countries or intergovernmental organisations listed as Members of the International Union for
the Protection of New Varieties of Plants (UPOV);7

the Plant Patent and Utility Patent systems of the United States of America (as far as they
apply to plant varieties); and

such other countries or intergovernmental organisations as are from time to time assessed by
IP Australia as having legislation compliant with the UPOV Convention.
ERA applied measures include a grant of Plant Breeder’s Rights, but do not include circumstances
where varieties are only covered by provisional protection.
Only Plant Breeder’s Rights that became enforceable within the ERA applied measures reference
period are eligible for submission. For Australian Plant Breeder’s Rights, this means that the right
must have been granted within that period.
Furthermore, Plant Breeder’s Rights submitted to ERA must have been granted in the applied
measures reference period to an eligible researcher, the institution, an institution-owned subsidiary,
and/or a spinoff company that is associated with the institution.
Institutions may submit Plant Breeder’s Rights where the research behind the Plant Breeder’s Rights
is clearly identifiable as meeting the definition of research. The ARC may request the submitting
institution to justify this inclusion.
Income generated from Plant Breeder’s Rights is to be included in ERA under research
commercialisation income (see section 5.6.2.7), provided that the additional requirements pertaining
to this measure are met.
If the same Plant Breeder’s Rights were issued in multiple jurisdictions, the Plant Breeder’s Rights
should be submitted separately for each country or type. Institutions are required to identify those
Plant Breeder’s Rights that are essentially the same Plant Breeder’s Rights registered in more than
one country. The Plant Breeder’s Rights family name is a data tag which enables this kind of
identification. It is up to institutions to devise their own Plant Breeder’s Rights family names.
Where individual Plant Breeder’s Rights are submitted that do not relate to any other submitted Plant
Breeder’s Rights, the Plant Breeder’s Rights family name should be the same as the individual Plant
Breeder’s Rights name.
7
See http://www.upov.int/export/sites/upov/members/en/pdf/pub423.pdf
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5.6.2.2. Summary of Data Requirements for Plant Breeder’s Rights
Outlined in the following table is a summary of information to be submitted by institutions for Plant
Breeder’s Rights.
Data Item
PBR Family Name
PBR Name
PBR Number
Country of Registration
Year Enforceable
Staff Reference(s)
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
5.6.2.3.
Requirement to include for each Plant Breeder’s Right
Required
Required
Required
Required
Required
Required (if the Right is in the name of an eligible
researcher or eligible researchers)
Required (a maximum of three)
Required
Patents
A patent is “a right granted for any device, substance, method or process that is new, inventive and
useful.” It is “legally enforceable and gives [the owner] exclusive rights to commercially exploit the
invention for the life of the patent.”8
ERA applied measures include Australian standard patents and their international equivalents.
However, Australian innovation patents are not eligible for ERA.
Eligible patents are those patents issued in the countries or of the types which appear in the Code
Table provided as part of the ERA–SEER 2015 Technical Specifications.
These countries or types are:

Australia (standard patents only);

United States;

Europe—European Patent Office (EPO) issued only;

Japan;

Other International; and

Triadic patents—i.e. a series of corresponding patents filed at the EPO, the United States
Patent and Trademark Office (USPTO) and the Japan Patent Office (JPO), for the same
invention by the same applicant or inventor.
Only patents which became enforceable within the applied measures reference period are eligible.
For Australian patents, this means that patents must have been sealed within that period. Where a
series of triadic patents is submitted, then if the same patent was issued in different years in different
jurisdictions, it must be submitted against the year in which it was granted provided that the relevant
year falls within the applied measures reference period.
8
IP Australia, 23 November 2013, http://www.ipaustralia.gov.au/get-the-right-ip/patents/
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To be eligible, patents must have been granted in the applied measures reference period to an eligible
researcher, the institution, an institution-owned subsidiary and/or a spinoff company that is
associated with the institution.
Institutions may submit patents only where the research behind the patent is clearly identifiable as
meeting the definition of research. The ARC may request the submitting institution to justify this
inclusion.
Income generated from patents is to be included in ERA under research commercialisation income
(see section 5.6.2.7), provided that the additional requirements pertaining to this measure are met.
If the same patent was issued in multiple jurisdictions, the patent should be submitted separately for
each country or type. Institutions are required to identify those patents that are essentially the same
patent registered in more than one country. The patent family name is a data tag which enables this
kind of identification. It is up to institutions to devise their own patent family names.
Where an individual patent is submitted that does not relate to any other submitted patent, the patent
family name should be the same as the individual patent name.
5.6.2.4. Summary of Data Requirements for Patents
Outlined in the following table is a summary of information to be submitted by institutions
for patents.
Data Item
Patent Family Name
Patent Title
Patent Registry
Patent Number
Year Granted
Staff Reference(s)
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Patent
Required
Required
Required
Required
Required
Required (if Patent is in the name of an eligible
researcher or eligible researchers)
Required (a maximum of three)
Required
5.6.2.5. Registered Designs
A registered design is a right granted for new and distinctive designs. Once a registered design has
been examined and certified, the owner has an exclusive right to use, license and/or sell the
registered design, and to enforce it against an infringer. In this context design refers to features
which, when applied to a product, render it unique in appearance. This may include shape, pattern or
ornamentation.9
To be eligible, registered designs must have been granted in the applied measures reference period to
an eligible researcher, the institution, an institution-owned subsidiary and/or a spinoff company that
is associated with the institution.
9
See IP Australia for information about designs: http://www.ipaustralia.gov.au/get-the-right-ip/designs/
ERA 2015 Submission Guidelines
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Institutions may submit registered designs where the research behind the registered design is clearly
identifiable as meeting the definition of research. The ARC may request the submitting institution to
justify this inclusion.
Income generated from registered designs, either via licensing or otherwise, should be included in
ERA under research commercialisation income (see section 5.6.2.7) provided that the additional
requirements pertaining to this measure are met.
5.6.2.6. Summary of Data Requirements for Registered Designs
Outlined in the following table is a summary of information to be submitted by institutions for
registered designs.
Data Item
Registry Organisation
Registered Design Name
Register ID
Year Certified
Staff Reference(s)
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Registered Design
Required
Required
Required
Required
Required (if registered in the name of an eligible
researcher or eligible researchers)
Required (a maximum of three)
Required
5.6.2.7. Research Commercialisation Income
Institutions are required to report research commercialisation income at the four-digit level and
income must be assigned to a relevant year.
Institutions may provide information on research commercialisation income, which includes income
resulting from licences, options and assignments (LOAs), including running royalties, cashed in
equity and other types of income (see below for further detail). This includes only LOAs negotiated
on full commercial terms, granting access to institutional intellectual property (patented or
otherwise) in return for royalties or licence fees. Key terms in this section should be understood in
accordance with their meaning in the National Survey of Research Commercialisation, collected
by the Department of Industry.10
Research commercialisation income earned by institution-owned subsidiaries and spin off companies
is eligible for inclusion in ERA provided that the institution can account for this income in its audited
financial statements.
Research commercialisation income does not include:
10

commercial income from other sources such as research contracts and consultancies (which is
included under 5.5.3.5 Industry and Other Research Income), commissioned works, student
fees, the renting of space at universities or any other source; or

CRC Research Income (which is included under section 5.5.3.7 CRC Research Income).
http://www.industry.gov.au/innovation/reportsandstudies/Pages/NationalSurveyofResearchCommercialisation.aspx
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LOA income does not include:

Material Transfer Agreements (MTAs);

research funding;

patent expense reimbursement;

a valuation of equity not cashed in;

trademark licensing royalties from university insignia; or

income received in support of the cost to make and transfer materials under MTAs.
5.6.2.8. Summary of Data Requirements for Research Commercialisation Income
Outlined in the following table is a summary of information to be submitted by institutions for
research commercialisation income.
Data Item
Total Amount Received
Reference Year
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for Research
Commercialisation Income
Required
Required
Required (as many as are relevant)
Required
5.6.2.9. NHMRC Endorsed Guidelines
Guidelines endorsed by the National Health and Medical Research Council (NHMRC) are eligible
for inclusion in ERA submissions. NHMRC endorsed guidelines include those on population health,
clinical practice, and ethics. Such guidelines may be produced by groups external to the NHMRC, or
else developed by NHMRC with the assistance of expert working groups.
Externally developed guidelines are approved by the NHMRC only if they meet NHMRC
requirements and standards which are set out in legislation and in a series of NHMRC publications
on the development, implementation and evaluation of guidelines. These requirements and standards
are designed to ensure that the end product is based on the best available scientific evidence and
presented in creative, innovative and effective ways.
To be eligible for inclusion in ERA, NHMRC endorsed guidelines must:

meet the definition of research (as per section 3.1);

have been published by the NHMRC within the applied measures reference period; and

have one or more eligible researchers listed as an author of, and/or contributor to, the
guidelines (as per section 5.3.1).
NHMRC endorsed guidelines follow the eligible researcher(s) named on the guidelines. If the
researcher named was at one institution when the guidelines were published by the NHMRC and at
another institution at the staff census date (31 March 2014), the latter institution may claim the
guidelines and the former institution may not.
Where more than one eligible researcher from the same institution is an author of the same set of
guidelines, that institution may claim only one applied measure for that set of guidelines. Where staff
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from different institutions are authors of the same set of guidelines, each institution may claim that
set of guidelines as an applied measure.
5.6.2.10. Summary of Data Requirements for NHMRC Endorsed Guidelines
Outlined in the following table is a summary of information to be submitted by institutions for
NHMRC endorsed guidelines.
Data Item
Staff ID
Guideline Name
Year Published
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each NHMRC Endorsed
Guidelines
Required
Required
Required
Required (a maximum of three)
Required
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5.7.
Esteem Measures
ERA includes a number of measures of esteem that constitute recognition of the quality of eligible
researchers and indicate that a researcher is held in particularly high regard by peers in their field of
research and/or by other well qualified parties.
Esteem measures that are eligible for ERA embody a measure of prestige and are recognised by
experts within the discipline as a highly desired, highly regarded form of accolade or
acknowledgement. Esteem measures included in ERA must be linked to research quality rather than
to teaching or community engagement.
The esteem measures eligible for ERA are:

editor of a prestigious work of reference;

fellowship of a learned academy and membership of the Australian Institute of Aboriginal
and Torres Strait Islander Studies (AIATSIS);

recipient of a nationally competitive research fellowship;

membership of a statutory committee; and

recipient of an Australia Council grant or Australia Council fellowship.
The esteem measures reference period is the three year period from 1 January 2011 –
31 December 2013 inclusive.
Esteem measures follow the eligible researcher. If the researcher was at one institution when he or
she received an Australia Council grant or fellowship and at another institution at the staff census
date (31 March 2014), the latter institution may claim the esteem measure and the former institution
may not. The only exception to this is nationally competitive research fellowships (see
section 5.7.2.5).
The esteem measures applicable to each field of research are specified in the ERA 2015
Discipline Matrix.
Each eligible esteem measure can only be claimed once in the esteem measures reference period.
Esteem measures will be presented to the RECs as raw counts of each type of measure for each UoE.
Institutions must provide additional data relating to each measure for ARC auditing purposes only.
Information relating to individual researchers for these measures will not be provided to the RECs.
5.7.1.
Assignment and Apportionment of FoR Codes for Esteem Measures
Institutions must assign to each esteem measure one to three four-digit FoR codes.
For each esteem measure, institutions must determine the percentage apportionment of each of the
FoR codes assigned to the item. The percentages apportioned to each FoR code must total 100% for
each item.
5.7.2.
Eligible Esteem Measures
5.7.2.1. Editor of a Prestigious Work of Reference
In certain fields of research (identified in the ERA 2015 Discipline Matrix), editorship of a
prestigious work of reference is a valid indicator of esteem. In those fields of research only,
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institutions may identify eligible researchers who, within the esteem measures reference period, have
held the role of editor of any of the prestigious works of reference listed below:

The Australian Dictionary of Biography;

The Oxford Dictionary of National Biography;

The Oxford Companions and Handbooks series;

Cambridge Companions and Handbooks series;

Blackwell Companions;

Oxford and Cambridge Encyclopaedias;

Routledge Encyclopaedias;

Dictionary of the Middle Ages;

The Routledge Worlds series; and

Encyclopaedias of Philosophy (Stanford Online, Routledge and Macmillan).
Where an institution submits an editorship of a prestigious work in relation to an eligible researcher,
that editorship can be submitted only once, regardless of how long and how many times that
editorship was held by that researcher during the reference period.
5.7.2.2. Summary of Data Requirements for Editor of a Prestigious Work of Reference
Outlined in the following table is a summary of information to be submitted by institutions for
editor of a prestigious work of reference.
Data Item
Staff ID
Title of Reference Work
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Editor of
a Prestigious Work of Reference
Required
Required
Required (a maximum of three)
Required
5.7.2.3. Fellowship of a Learned Academy and Membership of AIATSIS
Institutions are required to submit details regarding an eligible researcher’s fellowship(s) of the
following Learned Academies:

the Academy of the Social Sciences in Australia;

the Australian Academy of the Humanities;

the Australian Academy of Science; and

the Australian Academy of Technological Sciences and Engineering.
Institutions are also required to submit details regarding an eligible researcher’s membership of the
Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS).
For the purposes of this esteem measure, ‘fellowship’ and ‘membership’ refer to eligible researchers
who have:
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1. been elected to fellowship/membership of the relevant academy or institute during the esteem
measures reference period; and/or
2. held an ongoing fellowship/membership of the relevant academy or institute for any period
within the esteem measures reference period.
Fellowship of a learned academy or membership of AIATSIS should be submitted only once for
each eligible researcher who is a fellow or member during the reference period, regardless of
whether the researcher was a fellow or member for one or more years of the reference period.
5.7.2.4.
Summary of Data Requirements for Fellowship of a Learned Academy
and Membership of AIATSIS
Outlined in the following table is a summary of information to be submitted by institutions for
fellowship of a learned academy and membership of AIATSIS.
Data Item
Staff ID
Academy Name
Year of Election
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Fellowship of a
Learned Academy and Membership of AIATSIS
Required
Required
Required
Required (a maximum of three)
Required
5.7.2.5. Recipient of a Nationally Competitive Research Fellowship
The term ‘nationally competitive research fellowship’ refers to a fellowship held during the esteem
measures reference period to an eligible researcher under a Category 1 program listed on the
Australian Competitive Grants Register.11 Such fellowships are characterised by:

a highly competitive process open to applicants from any Australian State or Territory;

a strong element of peer review; and

a minimum tenure of two years full time equivalent.
Only fellowships in the following programs are eligible:
11

ARC Discovery—Australian Laureate Fellowships;

ARC Discovery—Federation Fellowships;

ARC Discovery—Future Fellowships;

ARC Discovery—Indigenous Researchers’ Development;

ARC Discovery—Projects (including Australian Professorial Fellowships, Queen Elizabeth II
Fellowships, and Australian Postdoctoral Fellowships);

ARC Linkage—International;

ARC Linkage—Projects (including Australian Postdoctoral (Industry) Fellowships);

NHMRC Practitioner Fellowships (Formerly Practitioner Fellowships Scheme);

NHMRC Research Fellowships;
See: http://www.education.gov.au/australian-competitive-grants-register
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
NHMRC Australia Fellowship (Formerly Australia Fellowship Scheme);

NHMRC Career Development Fellowships (Formerly Career Development Awards);

NHMRC Early Career Fellowships (Formerly Postdoctoral Training Fellowships);

NHMRC Sir MacFarlane Burnett Fellowship;

NHMRC John Cade Fellowship in Mental Health Research; and

NHMRC Translating Research Into Practice (TRIP) Fellowships.
Institutions are required to submit details of eligible fellowships for which they have been
administering/host organisation at any time during the esteem measures reference period, regardless
of the recipient’s place of employment as at the staff census date.
A nationally competitive research fellowship should be submitted once for the reference period
regardless of when in the reference period it was awarded, or the duration of the fellowship.
5.7.2.6. Summary of Data Requirements for Nationally Competitive Research Fellowships
Outlined in the following table is a summary of information to be submitted by institutions for
nationally competitive research fellowships.
Data Item
Recipient Name
NCRF Code
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Nationally
Competitive Research Fellowship
Required
Required
Required (a maximum of three)
Required
5.7.2.7. Membership of a Statutory Committee
In certain fields of research (identified in the ERA 2015 Discipline Matrix), membership of
recognised statutory committees is an indication of esteem.
Statutory committees are legislative working groups established by statute.
In the relevant fields of research, institutions must submit membership of statutory committees
relating to eligible researchers, where those statutory committees are recognised by the following
bodies:

Commonwealth Government agencies, including the National Health and Medical Research
Council; and

the United Nations, including the World Health Organization.
As there is no exhaustive list of such statutory committees available, institutions should check with
the agencies concerned (for example, by reviewing the relevant websites) as to whether the
committees nominated by eligible researchers of the institution are in fact statutory committees
recognised by the above bodies.
Each membership of a statutory committee should be submitted only once for each eligible
researcher, regardless of how long or how many times the researcher was a member of the committee
during the reference period.
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5.7.2.8. Summary of Data Requirements for Membership of a Statutory Committee
Outlined in the following table is a summary of information to be submitted by institutions for
membership of a statutory committee.
Data Item
Staff ID
Reference Year
Committee Name
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Membership
of a Statutory Committee
Required
Required
Required
Required (a maximum of three)
Required
5.7.2.9. Recipient of an Australia Council Grant or Australia Council Fellowship
Eligible Australia Council grant and fellowship programs are characterised by a strong element of
peer review, are open to applicants from any State or Territory, have a minimum tenure of two years
full time equivalent and are awarded to an individual.
Institutions are required to submit information about the following grants and fellowships held by
eligible researchers:

Fellowships—Aboriginal and Torres Strait Islander Arts, Dance, Literature, Music, Theatre
and Visual Arts and Australia Council Creative Australia Fellowships;

Project Fellowships—Music;

Residencies—Literature, Inter-Arts;

Skills and Arts Development Studio Residencies—Visual Arts;

Experimental Arts Grants – Emerging and Experimental Arts (formerly Inter-Arts);

Synapse – Emerging and Experimental Arts (formerly Inter-Arts); and

Research Program—Research and Strategic Analysis.
For each Australia Council grant held during the esteem measures reference period to an eligible
researcher, institutions may submit only one per institution, regardless of whether one or more
eligible researchers at that institution were involved in the grant.
Where a grant involves a group of individuals from a number of institutions, each such institution
may count the grant (but each may count it only once, regardless of the number of eligible
researchers involved from any given institution).
An Australia Council grant or Australia Council fellowship should be submitted only once for the
reference period regardless of when in the reference period it was awarded, or the duration of the
grant or fellowship.
The list of eligible Australia Council grant and fellowship schemes is provided as a Code Table as
part of the ERA–SEER 2015 Technology Pack.
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5.7.2.10. Summary of Data Requirements for Australia Council Grants or Australia Council
Fellowships
Outlined in the following table is a summary of information to be submitted by institutions for
Australia Council grants or Australia Council fellowships.
Data Item
Recipient Name
Australia Council Grant
Name
Australia Council
Fellowship Name
Four-digit FoR Code
Assignment
Four-digit FoR Code
Apportionment
Requirement to include for each Australia Council
Grant or Australia Council Fellowship
Required
Required, as applicable
Required, as applicable
Required (a maximum of three)
Required
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6. Other Matters
6.1.
Sensitivity—Confidential or Sensitive Research Outputs
For those research outputs nominated for peer review in ERA, institutions are responsible for
indicating the conditions under which it is appropriate or inappropriate for a research output to be
viewed by ARC staff and ERA reviewers.
Where applicable, the sensitivity of the research output must be specifically identified as outlined in
the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack.
The ARC will treat research outputs in accordance with the type of sensitivity assigned to the output
by institutions. Any disclosure of a research output that exceeds the terms allowed by the institution
will be treated as unauthorised.
Sensitive research outputs may include, but are not limited to, research outputs that are:

commercially sensitive;

culturally sensitive; and/or

non-public.
Institutions are responsible for identifying the nature of the sensitivity, the damage that may flow if
sensitivity is not maintained or respected, and the conditions under which the research outputs may
be reviewed by ERA reviewers. Where institutions identify research outputs as sensitive, the ARC
will treat the output accordingly, unless required to do otherwise by law.
Institutions are responsible for ensuring that any necessary permission has been obtained from the
organisation which commissioned the research output, or from the researcher who conducted the
research, as determined by the intellectual property arrangements in any commissioning contract
or similar legally binding arrangement.
Institutions are responsible for ensuring that the information included in the submission identifies the
conditions under which ERA reviewers may view a sensitive research output submitted by the
institution (as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015
Technology Pack).
6.1.1.
Commercially Sensitive Research Outputs
A research output that includes commercially sensitive information may be included as part of a
submission provided the necessary permissions have been obtained. The ARC must be appropriately
advised of the sensitivities.
6.1.2.
Culturally Sensitive Research Outputs
A research output that is culturally sensitive may be included as part of a submission provided that
the ARC is appropriately advised of the sensitivities.
6.1.3.
Australian Government Security Classified Research Outputs
A research output that includes information classified in line with the Australian Protective Security
Manual as either ‘In-Confidence’ or greater, or ‘Restricted’ or greater, must not be included in
a submission.
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6.2.
Managing Physical or Technical Limitations
Where a research output has been nominated for ERA peer review, it must be stored in an
institutionally supported repository in digital form.
Where the output file size exceeds the limit specified in the ERA–SEER 2015 Technical
Specifications, the research output file can be split into two or more files and corresponding
repository links.
Where it is impractical to digitise the entire research output, institutions may choose to digitise and
store relevant parts of the research output. In such cases, the digitised content must give peer
reviewers the opportunity to make robust judgements on the quality of the output. For example:

where a book is not available in digital form, the cover page, introduction or first chapter,
index (as appropriate), and other relevant sections of the book (sufficient for a robust
evaluation of the work) should be digitised and stored in the institutional repository; and

in the case of a non-traditional research output such as artworks or sculptures, some digital
form (for example, scanning, audio, or video), which when reviewed in conjunction with the
relevant Research Statement for ERA Peer Review of Non-Traditional Research Outputs (see
Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional
Research Outputs), will provide adequate information for a peer reviewer.
6.3.
Privacy Complaints and Advice
The ARC is bound, in administering ERA, by the provisions of the Privacy Act 1988 (Cth) (‘Privacy
Act’). Schedule 1 of the Privacy Act contains the Australian Privacy Principles (APPs), which cover
the collection, use, disclosure and storage of personal information.
Complaints about breaches of privacy should be referred to:
The Privacy Contact Officer
Australian Research Council
GPO Box 2702
Canberra ACT 2601
Privacy complaints may also be emailed to privacy[@]arc.gov.au.
Privacy complaints can be made directly to the Office of the Australian Information Commissioner.
However, the Commissioner prefers that the ARC be given an opportunity to deal with the complaint
in the first instance.
6.4.
Freedom of Information
All documents sent to the ARC with regard to ERA are subject to the Freedom of Information Act
1982 (Cth) (‘FOI Act’). Decisions regarding requests for access will be made by an authorised FOI
decision maker in accordance with the requirements of the FOI Act.
FOI requests should be referred to:
The FOI Contact Officer
Australian Research Council
ERA 2015 Submission Guidelines
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GPO Box 2702
Canberra ACT 2601
FOI requests may also be emailed to foi[@]arc.gov.au.
6.5.
Intellectual Property in ERA Related Material
The ARC does not assert or require ownership of any intellectual property that forms part of any
material submitted by an institution for ERA.
However, where the intellectual property is owned by the institution or the institution has a right to
sub-license, institutions are required to give an express licence to the ARC for the use of material in
ERA submissions, from time to time as required, for the purposes of ERA and for policy
development and program management other than for ERA purposes.
This requirement to give an express licence applies to the submission itself rather than to research
outputs (see section 6.6).
The Commonwealth of Australia, as represented by the ARC, retains the intellectual property in all
materials created for the purposes of ERA by the ARC, or under the direction or control of the ARC,
except where otherwise agreed.
6.6.
Managing Copyright in Research Outputs Nominated for ERA Peer Review
and Related Material
Within this section, the term ‘relevant material’ means research outputs nominated by institutions for
ERA peer review and related material (such as reviews of live performances).
The ARC is concerned to ensure that any requirements of the Copyright Act 1968 (Cth)
(the ‘Copyright Act’) are complied with in the implementation of ERA.
For fields of research subject to ERA peer review, ERA requires institutions to ensure that the ARC
and ERA reviewers have appropriate access to relevant material in order to facilitate the ERA peer
review process. Institutions must facilitate access by:
(a) storing research outputs in institutionally supported repositories in digital form;
(b) subsequently enabling RECs or ERA peer reviewers to view research outputs through the
System to Evaluate the Excellence of Research (SEER) and through institutionally supported
repositories for ERA evaluation purposes; and
(c) facilitating any copyright uses of the relevant research outputs required for ERA purposes in
accordance with these ERA 2015 Submission Guidelines.
Where institutions do not own the copyright of relevant material, they will be required under ERA to
ensure access to such relevant material for ARC staff and ERA reviewers using one of the
following methods:

placing the relevant material in repositories accessible only by ARC staff and ERA reviewers
(in addition to those staff of institutions responsible for maintaining repositories). Institutions
must take appropriate measures to ensure that any other access to such relevant material is not
permitted; or

arranging links to the relevant material via publishers’ platforms.
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Other acts that institutions may foreseeably perform in implementing ERA are also examples of acts
comprised in the copyright of the relevant material (e.g. copying or scanning copies of a research
output contained in a journal ‘reproduction’).
While the ARC expects that the ERA process will have only minimal impact on the rights of
copyright owners, institutions are required to ensure that they comply with the relevant provisions of
the Copyright Act.
6.6.1.
Where Copyright Is Owned by Institutions
Where an institution owns the copyright in relevant material, the institution must provide the ARC
and ERA reviewers with access to such relevant material, as described in section 6.6.
6.6.2.
Where Copyright Is Owned by Eligible Researchers
Where one or more eligible researcher(s) own the copyright in relevant material, then the
researcher(s) should be encouraged to give permission for that material to be used for the purposes of
ERA so as to allow access to it as described in section 6.6. The permission should allow relevant
research outputs, where available in electronic form, to be stored in an institutionally supported
repository in digital form.
Where such eligible researchers do not expressly consent to the provision of access to relevant
material for ERA purposes in the manner described in 6.6, copyright will be managed in accordance
with 6.6.3.
Where depositing research outputs in an ‘open access’ repository was a condition of any funding
which enabled the research to be undertaken, full public access to the research output(s) should exist,
irrespective of the ERA submission process, as a result of the eligible researcher complying with that
funding condition.
6.6.3.
Where Copyright Is Owned by Third Parties
Where copyright in relevant material is not owned by institutions—including where copyright is
owned by eligible researchers whose express consent has not been obtained for research outputs to
be used (e.g. reproduced and communicated) for ERA purposes—access to relevant material should
still be provided in accordance with section 6.6. To prevent copyright infringement, the ARC will
grant an authorisation under section 183(1) of the Copyright Act to institutions (representing the
Commonwealth).
Under section 183(1) of the Copyright Act, copyright will not be infringed by a person authorised in
writing by the Commonwealth to do acts comprised in the copyright—provided that the acts are done
for the services of the Commonwealth. However, in such circumstances the Commonwealth must
both notify the copyright owner and be prepared to agree terms with the copyright owner for the
doing of such acts. A notice to copyright owners is on the ‘Research Excellence’ page of the
ARC website: http://www.arc.gov.au/copyright.htm#era.
Acting under section 183(1), the ARC (representing the Commonwealth) on 04 July 2014 authorised
each institution participating in ERA to do acts in the copyright of relevant material owned by third
parties for the purposes of ERA. This authorisation means that an institution participating in ERA
may make all uses of relevant material owned by third parties that are necessary or convenient to
enable it to participate in ERA.
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The section 183(1) authorisation is strictly limited to each institution’s participation in ERA and does
not extend to any uses of third party copyright in relevant material which are done for any purpose(s)
unrelated to the institution’s participation in ERA.
The terms of the authorisation (including payment to third party copyright owners of all uses which
fall within the scope of the authorisation) will be managed by the ARC.
6.7.
Moral Rights
The ARC is concerned to ensure that moral rights under the Copyright Act are respected in the
implementation of ERA.
6.8.
Incomplete, False or Misleading Information
If the ARC considers that any information provided by an institution as part of its submission is
incomplete or inaccurate, or contains false or misleading information, the ARC may in its absolute
discretion decide not to provide this information to RECs or other ERA reviewers for consideration.
If the ARC withholds such information from a REC, it will advise the institution of this action and
provide a statement of reasons.
If it appears that any institution or person has knowingly provided false or misleading information, or
knowingly omitted any matter or thing without which the information is misleading, or it appears
that any other offence may have been committed, the ARC may investigate the matter with a view to
prosecution under Commonwealth law. The Commonwealth is committed to protecting its revenue,
expenditure and property from any attempt, by members of the public, contractors, sub-contractors,
agents, intermediaries or its own employees, to gain financial or other benefits by deceit.
ERA 2015 Submission Guidelines
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7. Submission Certification
Institutions are required to certify their ERA submissions.
Institutions are responsible for collecting, validating and transmitting to the Australian Research
Council (ARC) all information in their submissions by the due date. Institutions are also responsible
for certifying that all information in submissions is accurate and comprehensive. Certification takes
the form of a signature, in both digital and hard copy form, of a submission Certification Statement
by the Vice-Chancellor or equivalent of the institution.
The final pre-certification step involves the finalisation of the submission at Stage 2 of the
submission process. This finalisation step will lock the submission so that no further changes can be
made prior to data integrity checks by the ARC. Following the resolution of any data integrity issues
identified by the ARC, the submission must be certified by the Vice-Chancellor or equivalent.
7.1.
Certification Statement
The Vice-Chancellor or equivalent of each institution is required to provide a signed Certification
Statement in both electronic and hard copy form. No part of any submission is eligible for ERA
evaluation in the absence of such a statement. Vice-Chancellors or equivalents are not required to
certify the accuracy of any data that have been externally obtained and appended to their
submissions, including data sourced from the citation data supplier.
The Certification Statement signed by the Vice-Chancellor or equivalent must certify that:
Accuracy and comprehensiveness
1. All information in the submission is accurate and appropriately comprehensive (not
extending to the citation data provider sourced unique identifier tagging component of
indexed journal articles or to electronic repository links).
2. The person signing the Certification Statement has made all reasonable efforts to verify that
the information submitted as part of the submission is correct, accurate, and
sufficiently comprehensive.
Compliance with ERA requirements
3. In compiling its submission, the institution has complied with:
 these ERA 2015 Submission Guidelines (“the Submission Guidelines”);
 the ERA–SEER 2015 Technology Pack (“the Technology Pack”);
 the terms of the Commonwealth’s authorisation of the institution under section 183(1)
of the Copyright Act 1968 (Cth), dated 04 July 2014, and the accompanying document,
also dated 04 July 2014: ERA Copyright Issues: Supplementary ARC Advice
Accompanying Section 183(1) Authorisation of an Institution; and
 any supplementary advice issued by the ARC after the publication of the Submission
Guidelines and the Technology Pack but no fewer than 14 days before the deadline for
lodging submissions.
Privacy
4. In compiling its submission, the institution has complied with relevant privacy
requirements and taken reasonable steps to ensure awareness of the inclusion in the
submission of relevant information and of its use in the ERA process (including provision
to RECs and other ERA reviewers) on the part of:
ERA 2015 Submission Guidelines
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a. all eligible researchers referred to in the submission who maintain any continuing
affiliation with the institution; and
b. to the maximum extent feasible, all eligible researchers referred to in the submission
who no longer maintain an affiliation with the institution.
Granting of express licence
5. Consistent with the requirement set out at section 6.5 of the Submission Guidelines, the
institution grants to the ARC a permanent, irrevocable, non-exclusive licence to reproduce,
combine with other material, or otherwise use the material submitted as part of ERA in all
cases where the institution either owns, or has the right to sub-license, the relevant
intellectual property in that material. This express licence extends to material in the
submission itself, but not to the contents of research outputs. It authorises the
Commonwealth’s use of material in the ERA submission, from time to time as required, for
the purposes of ERA and for policy development and program management other than for
ERA purposes.
Matters acknowledged, accepted and agreed to by institution
6. The institution acknowledges and agrees that the Commonwealth of Australia, as
represented by the ARC, retains the intellectual property in all materials created for the
purposes of ERA by the ARC, or under the direction or control of the ARC, except where
otherwise agreed (see section 6.5 of the Submission Guidelines).
7. The institution acknowledges and agrees that outcomes of the ERA evaluation will be
distributed and published in the manner described in the Submission Guidelines.
8. The institution acknowledges and agrees that all information in its submission may be used
by the Commonwealth for the purposes described at paragraph 5 above.
9. In relation to relevant data items, the institution acknowledges and accepts any warnings
provided by the System to Evaluate the Excellence of Research (SEER) which are outlined
in ‘Appendix A: SEER Warnings’ to the Certification Statement. ‘Appendix A: SEER
Warnings’ forms an integral part of that statement.
The SEER warnings referred to in paragraph 9 are designed to alert institutions to a range of issues
which may benefit from special checking, such as the apparent existence of two or more eligible
researchers with an identical name. Such warnings appear in ‘Appendix A: SEER Warnings’, which
lists any warnings associated with the verification process that are due to legitimate discrepancies
between the submission and the SEER business rules. The Vice-Chancellor or equivalent is required
in this part of the Certification Statement to indicate that such discrepancies are legitimate and do not
reflect problems with the submission of the institution (if this is not the case, institutions should
rectify the problems highlighted by the warnings before proceeding to the certification stage).
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7.2.
Transmission to ARC of Certification Statement
The ARC will provide a proforma certification statement through SEER. Signature of the
Certification Statement must occur in both digital and hard copy form.
Once the electronic certification of an institution has been completed, the relevant officer at the
institution should select ‘Print Certification Statement’ in SEER and ensure that it is this statement
(not the Draft Certification Statement) which is signed by the Vice-Chancellor or equivalent.
Please note that the ‘Appendix A: SEER Warnings’ form is a part of the Certification Statement and
must be included in the hard copy material sent to the ARC.
The signed Certification Statement together with ‘Appendix A: SEER Warnings’ should be sent:

By mail to:
Excellence in Research for Australia
Australian Research Council
GPO Box 2702
Canberra ACT 2601

Or by courier to:
Excellence in Research for Australia
Australian Research Council
11 Lancaster Place
Canberra Airport ACT 2609
Submission certification deadlines are as follows:
Deadline for electronic certification
via SEER
5 pm AEST, 13 April 2015
Deadline for hard copy Certification
Statement to arrive at ARC
5 pm AEST, 20 April 2015
Late Certification Statements will be accepted only in exceptional circumstances considered by the
ARC to be beyond the control of the institution.
An institution must provide any evidence requested by the ARC to support its claim that failure to
meet the deadline was for reasons beyond its control, and the ARC reserves the right to seek
additional evidence. Evidence which might be considered includes proof of submission or posting of
the Certification Statement which clearly shows the time and date of submission or posting.
The decision of the ARC will be final as to whether exceptional circumstances existed beyond the
control of the institution, and no correspondence will be entered into (other than to inform the
institution of the decision).
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Appendix A: Eligible Institutions
Australian Catholic University
Batchelor Institute of Indigenous Tertiary Education
Bond University
Central Queensland University
Charles Darwin University
Charles Sturt University
Curtin University of Technology
Deakin University
Edith Cowan University
Flinders University
Federation University Australia
Griffith University
James Cook University
La Trobe University
Macquarie University
Monash University
Murdoch University
Queensland University of Technology
RMIT University
Southern Cross University
Swinburne University of Technology
The Australian National University
The University of Adelaide
The University of Melbourne
The University of New England
The University of New South Wales
The University of Newcastle
The University of Notre Dame Australia
The University of Queensland
The University of Sydney
The University of the Sunshine Coast
The University of Western Australia
University of Canberra
University of Divinity
University of South Australia
University of Southern Queensland
University of Tasmania (incorporating Australian Maritime College)
University of Technology, Sydney
University of Western Sydney
University of Wollongong
Victoria University
ERA 2015 Submission Guidelines
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Appendix B: ERA Survey Questions12
Background
New to ERA 2015, institutions are asked to provide information regarding the time spent on ERA
2015 preparation activities.
The Australian Research Council (ARC) wishes to ensure that the ERA operates in a properly costeffective manner. For this purpose, information on costs that universities themselves incur in order to
respond to ERA’s data collection exercise will be an essential input. Universities are therefore being
asked to assist in costing the effort that they undertake.
In order to estimate the costs of the ERA exercise for this purpose, it is critically important that
universities attempt to identify the additional costs of providing ERA with the requisite data over
and above the resources that universities would use either to collect and analyse research data for
internal purposes or to meet any other external data requirements. This is to say, what ERA-specific
costs are being incurred?
ERA has been designed to draw on existing university data where possible. In particular universities
have been collecting and reporting data for:
 The Higher Education Research Data Collection (HERDC)
 The National Survey of Research Commercialisation (NSRC)
 The Higher Education Staff Data Collection (HESDC)
In addition, ERA has overlapping reference periods and some data collected for the previous ERA
2012 round will likely be re-used (albeit with modifications) for the ERA 2015 round. All of this
needs to be taken into account.
Questions
Institutions are required to provide answers to the following questions as a part of the Stage 2
Submission verification:
(1) Approximately how many person hours in total will have been expended in planning and
preparation, collection, submission and completion of your institution’s 2015 ERA
Submission?
(2) Of the total number of person hours in question 1, please indicate approximately the
proportion of those hours spent by persons who are:
 Senior staff with a salary over $150,000
 Mid-level staff with a salary from $75,000 to $150,000
 Other staff with a salary below $75,000
(3) Of the total number of person hours in question 1, please indicate approximately the
proportion of those hours spent preparing for ERA 2015 in each year since the conclusion of
ERA 2012 and up to finalisation of the 2015 ERA exercise:
 2012/13
 2013/14
 2014/15
12
The questions and advice in this Appendix were prepared on behalf of the Australian Research Council by Aegis Consulting and Applied Economics.
ERA 2015 Submission Guidelines
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(4) Please advise in a few sentences if there are any other significant costs to be accounted for
(for example IT costs). If there are any, can you please indicate the nature and approximate
amount of these costs?
Additional information
The questionnaire only asks four questions to identify these costs. The first question seeks to find the
total time taken across all the various components of the ERA data collection exercise, namely (i)
setting up and oversighting the exercise, (ii) collecting the data and (iii) collating and submitting and
validating the data.
Setting up and oversighting relates to the general preparation for ERA 2015, including management
and administrative and academic staff time for planning, new training and updating on guidelines,
developing IT software systems and communications with staff to take into account any new
elements in the 2015 data collection exercise. ARC consultations with the university itself are also
relevant e.g. consultation on draft submission documentation. In so far as there are infrastructure
costs associated with implementing an IT solution to undertake ERA 2015, these can be noted and
explained separately at question (4). Earlier infrastructure for previous ERA evaluations are regarded
as sunk costs and are not for inclusion here.
The collection of data refers to the time taken by research and administrative staff to record the
publication and other activity data. This figure should only include any additional effort that is
involved in preparing the ERA 2015 submission (e.g. appending FoR codes to research outputs for
the purposes of ERA 2015 and the EID tagging process). Also, as emphasised, this should only
include new data that is collected for this ERA round.
Preparation for a submission will include consolidation of the data for submission and may include,
for example, the time associated with optimising the ERA data for submission (ERA panels within
the university to compile and optimise the ERA data, management and administrative oversight,
explanatory statements etc. plus response for warnings and feedback on the submission).
This said, it is acknowledged that there are not hard and fast definitions as regards boundaries as
between the activities and so that only a total for all 2015 ERA Submission activity is requested in
question (1) and not its break up by activity.
Question (2) is asked because dollar values need to be attached to the time taken so that proper
costing can proceed. This does require a break up of the total time in relation to the salary level of
the persons involved. These dollar values will vary of course with the seniority of the persons
involved. We have simplified the process by limiting it to three general categories of staff (and
wages). Reporting should be in direct salary cost terms. The ARC will make any necessary
allowances for any on-costs or overheads (e.g. superannuation and long service leave) in due course.
If casual staff are used, equivalent full-time employee salary can be estimated instead.
Question (3) does seek some decomposition of the total asked for in question (1), but in relation to
the year in which costs were incurred in preparing for ERA 2015. This should only include ERA
2015 preparation activities that took place after the conclusion of ERA 2012. This is important as the
value of a dollar across years will differ in a cost-benefit analysis. So some approximate annual time
distribution of the whole of the 2015 ERA Submission project costs is sought.
The fourth question is asked to allow universities to cite any additional significant expenses that are
not recognised in the first three questions. This may include either additional time costs or non-time
costs, such as hardware costs.
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The ERA Submission does require some distinct approaches to data that mean the existing formal
collections do not transfer automatically. Hence extra cost is incurred on top of simple compilation,
transmission, certification etc. For example:













Assignment and apportionment of FoRs to each research output;
Selecting 30% sample of research outputs for ERA peer review;
Research Statements for Non-Traditional Research Outputs (NTROs) selected for ERA peer
review;
Research outputs nominated for peer review must be held in a digital repository accessible to
ERA peer reviewers;
Electronic Identifier (EID) tagging;
Matching journals to ERA journal IDs;
Matching conference publications to ERA conference IDs;
Matching Books and Book chapters to ERA Publisher IDs;
Open access status (new and mandatory for ERA 2015);
NTROs;
Esteem measures;
Explanatory Statements; or
Data associated with the System to Evaluate the Excellence of Research (SEER).
The costing questions being asked of respondents seek to ascertain the additional costs over and
above preceding internal and formal research data collection by institutions. The concern is therefore
that of ERA 2015-specific costings.
It is understood that university staff may contribute other resources to the ERA exercise beyond the
institution’s own reporting obligations to the ARC, for example when senior staff contribute to the
Research Evaluation Committee or Peer Review process or when individual academics respond to
public consultations either as a part of a peak body or on their own behalf. ARC will account for
these activities separately. Costs for this present exercise should be those incurred by the institution
on its behalf as an entity.
Contact
If universities have any difficulty with completing these four questions, please contact
Dr Tim Cahill, Director Research Evaluation on +61 2 6287 6695.
ERA 2015 Submission Guidelines
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Appendix C: Contents of Research Statement for ERA Peer Review of
Non-Traditional Research Outputs
For non-traditional research outputs which are nominated for ERA peer review, a statement
identifying the research component of the output must be provided as part of the submission of an
institution. The statement must be no more than 2000 characters including spaces (around 250
words) and cannot contain any embedded links. Research statements should address the
following categories:
1. Research Background
 Field
 Context
 Research Question
2. Research Contribution
 Innovation
 New Knowledge
3. Research Significance
 Evidence of Excellence
The following is an example of an acceptable visual arts research statement:
Research Background
Current international developments in painting have identified the need to establish complex
forms for representing identity in terms of facial expression. While this research recognises
the significance of facial expression, it has overlooked the unstable nature of identity itself.
Research Contribution
The paintings Multiple Perspectives by Y address the question of the unstable nature of
identity as expressed in painterly terms through a study in unstable facial phenomenon using
the philosophical concept of ‘becoming’. In doing so it arrives at a new benchmark for the
field of research in understanding visual identity, namely that identity is not bound to stable
facial phenomena but, like other forms of meaning, is constantly undergoing change.
Research Significance
The significance of this research is that it overcomes barriers for visually understanding the
complex nature of identity and its expressive painterly possibilities. Its value is attested to by
the following indicators: selection of the painting for inclusion in the international exhibition
Documenta, Kassel, Germany; its inclusion as a case study in the renowned Courtauld
Institute, University of London, Issues in Contemporary Art graduate seminar series; its being
the subject of a chapter in the book Identity Reframed published by Thames and Hudson and
authored by the renowned art historian Z; its forming part of a competitively funded ARC
project.
REC members and ERA peer reviewers will evaluate non-traditional research outputs selected for
ERA peer review in the context of the research component as identified in the research statement.
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Appendix D: Abbreviations
ACGR
AEST
AIATSIS
ANZSRC
APPs
ARC
CRC
DOI
EID
EPO
ERA
FOI
FoR
FTE
HDR
HEP
HERDC
HESDC
IP
ISBN
ISMN
ISSN
JPO
LOA
MTA
NCRF
NHMRC
PBR
REC
RTS
SEER
UPOV
USPTO
XML
Australian Competitive Grants Register
Australian Eastern Standard Time
Australian Institute of Aboriginal and Torres Strait Islander Studies
Australian and New Zealand Standard Research Classification
Australian Privacy Principles
Australian Research Council
Cooperative Research Centre
Digital Object Identifier
Electronic Identifier
European Patent Office
Excellence in Research for Australia
Freedom of Information
Field of Research (ANZSRC)
Full Time Equivalent
Higher Degree by Research (student)
Higher Education Provider
Higher Education Research Data Collection
Higher Education Staff Data Collection
Intellectual Property
International Standard Book Number
International Standard Music Number
International Standard Serial Number
Japan Patent Office
Licences, Options and Acquisitions
Material Transfer Agreements
Nationally Competitive Research Fellowship
National Health and Medical Research Council
Plant Breeder’s Rights
Research Evaluation Committee
Research Training Scheme
System to Evaluate the Excellence of Research
International Union for the Protection of New Varieties of Plants
United States Patent and Trademark Office
eXstensible Markup Language
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