Publications/Outputs Guidelines
All publications and outputs produced by University of Otago staff (including clinical, honorary, visiting, and
emeritus staff) and students are recorded for various uses by the University and departments including:
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University of Otago outputs listings
University of Otago annual reports
External accreditation processes
Department prospectuses
Departmental reviews
Department reports
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Department web pages
Funding applications
Institutional reviews
External reviews
PBRF rounds
CVs
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Citation lists and statistics can be provided in various styles for use in any of the above. Please contact
the Publications/Outputs Office at 479-8340, 479-3783 or publications@otago.ac.nz
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All publications/outputs are available for viewing at
http://www.otago.ac.nz/research/otago005115.html
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Outputs that occur on a regular basis will, where possible, be automatically sourced and entered each
year, (eg major annual conferences, Departmental Working Paper Series). For a list of automatically
sourced publications/outputs please contact the Publications/Outputs Office.
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RSS feeds automatically source many outputs with University of Otago attributed authors. As not all
outputs will be located this way, please check the Searchable Database
http://www.otago.ac.nz/research/otago005115.html and submit only those not automatically sourced
or any additional outputs to the Publications/Outputs Office for manual data entry as noted below.
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All publications/outputs produced by an individual staff member in a given year will be entered if that
individual was an employee of the University of Otago at any time during that year. Eg if employment
started in July 2009 any publications/outputs from January 2009 will be recorded and attributed to
their University of Otago department.
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Publications/outputs for the years before the staff member was employed by the University of Otago
can also be submitted and entered. These will be recorded as ‘External Institution’ records and will be
available for the staff member’s personal use in PBRF rounds, CVs etc. These records will not be
attributed to departmental citation lists or statistics.
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Departmental Research/Study Days are eligible for entry into the database (select from E1, E2, E3, E4
or E5 categories as appropriate depending on publishing status or availability on the internet).
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Department Seminars are eligible for entry into the database (these will be entered in the Q category
with the subtitle of Department Seminar)
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Newspaper and magazine articles are now eligible for entry into the database (these will generally not
be PBRF eligible so D3 would be an appropriate category)
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For publications/outputs not automatically recorded, please complete and attach one coversheet per
submission (see page 2). Coversheets can be downloaded from the Research web page at:
http://www.otago.ac.nz/research/otago005115.html
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Verifying evidence must be supplied for auditing requirements. See the Publications/Outputs
Category Descriptions table (pages 5-12) for specific evidence requirements.
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Page 1 of 16
Publications/Outputs Publication Year:
Name(s):
Department(s):
A1
Authored Book – Research
A2*
Authored Book – Other
B1
Edited Book - Research
B2*
Edited Book - Other
C1
Chapter in Book - Research
C2*
Chapter in Book – Other
D1
Journal – Research Article
D2
F
Journal – Research Other
Journal – Professional & Other Non-Research
Articles
Conference Contribution
Published proceedings: Full paper
Conference Contribution
Published proceedings: Abstract
Conference Contribution
Editor of conference proceedings
Conference Contribution
Poster Presentation (not in published proceedings)
Conference Contribution
Verbal presentation and other Conference outputs
(not in published proceedings)
Intellectual Property
G
Software
H
Commissioned Report for External Body
I
Performance
J
Composition/Musical Score
K
Design
L
Exhibition
M
Artefact/Object/Craftwork
N
Film/Digital Recording/CD-ROM
O
Creative Work
P
Working Paper/Discussion Paper/Technical Report
Q
Other – Please Specify
Q2
Journal Editor, Journal Section Editor
R1
Awarded PhD Thesis
R2
Awarded Research Masters Thesis
D3*
E1
E2
E3
E4
E5
 Quality Assured? (PBRF definition)
Yes
No
 Tick if the Output is Confidential
 Attach verification evidence and
submit to:
publications@otago.ac.nz
*non-PBRF eligible category
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Page 2 of 16
Evidence required for verification/audit:
Publications/outputs recorded in the database must have supporting verification evidence, preferably
from a primary source (eg presenter and presentation title listed on the conference programme or
website that also shows the conference date and location)
Acceptable forms of verifying evidence could include:
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Photocopies of the relevant pages from a journal, book or conference proceedings
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DOI
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Printout of the relevant details of a publication from a journal database, publisher’s website or
conference website
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Copy of a certificate of presentation/attendance if provided by the conference organisers
NB: handwritten information (such as an ISSN or page number, or publication date) is unable to be
used, please supply a copy of the information it is being handwritten from.
The evidence must include all of the details required for the category and be in a verifiable form but
does not need to be an original copy. Originals supplied for evidence will be copied and returned.
The details required on verifying evidence vary for different output categories and are shown in the
Publications/Outputs Category Descriptions Table – see pages 5-12.
Contact the Publications/Outputs Office if there are questions about the suitability of evidence or
difficulties with the availability of evidence.
In extreme cases only, a signed letter from your HOD or other senior academic verifying the output may
be accepted as evidence. Decisions regarding this will be made on a case-by-case basis, please contact
the Publications/Outputs Office at 479 8340, 479 3783 or publications@otago.ac.nz
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Publications/Outputs Category Descriptions Table
Cat
Code
A1
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Authored Book Research
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Authors
Publication Year
Book Title
Editors (if applicable)
Publisher
Place Published
Page Numbers (first and last)
ISBN Number
A2
No
Authored Book - Other
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As Above
B1
Yes
Edited Book - Research
An Authored Book must be written entirely by a single author or
by joint authors who share responsibility for the whole book.
Outputs in this category must meet the PBRF definition of
research and may include
 Research Monographs
 Textbooks based on significant research by the author(s)
 Scholarly Editions
 Revisions/New Editions of the above providing this
includes substantial new research material
 Novels/Poetry
Outputs in this category are not PBRF eligible and may include
 Textbooks with no significant research input by the
author(s)
 Books published by private individuals and privately
funded companies, eg. “vanity presses”
 Non-refereed Government Department publications
 Programme reports
 Revisions/New Editions/Translations of all category A2
books and any category A1 books which do not include
new material
The Edited Book category refers to the editing of a book in which
individual chapters have been written by different authors.
Outputs in this category must meet the PBRF definition of
research and may include
 Research Monographs
 Textbooks where significant background research is
required
 Scholarly Editions
 Translations of published books where the translation
requires significant background research
 Annotated Anthologies where research informs the
annotations
 Revisions/New Editions of the above providing this
includes substantial new research material
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Editors
Publication Year
Book Title
Publisher
Place Published
Page Numbers (first and last)
ISBN Number
Version: (Draft) April 2014
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Cat
Code
B2
PBRF
eligible
No
Category Name
Inclusions and Description
Evidence required for verification/audit
Edited Book – Other
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As Above
C1
Yes
Chapter in Book –
Research
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Authors
Publication Year
Book Title
Chapter Title
Editors
Publisher
Place Published
Page Numbers (first and last)
ISBN Number
C2
No
Chapter in Book – Other
Outputs in this category are not PBRF eligible and may include
 Textbooks with no significant research content
 Books published by private individuals and privately
funded companies, eg. “vanity presses”
 Non-refereed Government department publications
 Programme reports
 Translations of published books with no significant
background research
 Revisions/New Editions of all category B2 books and any
category B1 books which do not include new material
The Book Chapter category refers to a contribution to an Edited
Book.
Outputs in this category must meet the PBRF definition of
research and may include entries in
 Encyclopaedias and Reference Works
 Research Monographs
 Textbooks incorporating research content
 Scholarly Editions
 Translations of chapters where the translation requires
significant background research
 Revisions/New Editions providing this includes
substantial new research material
Outputs in this category are not PBRF eligible and may include
entries in
 Textbooks with no significant research content
 Books published by private individuals and privately
funded companies
 Non-refereed Government department publications
 Translations of chapters with no significant background
research
 Revisions/New Editions of all category C2 chapters and
any category C1 chapters which do not include new
material
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As Above
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Cat
Code
D1
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Journal - Research
Article
Outputs in all Journal categories can include those in on-line
journals as well as in print.
Publications in this category must meet the PBRF definition of
research and may include
 Full Research Articles – (which may include researchbased articles in professional journals)
 Major Reviews
 Letters to Nature
 Critical scholarly texts which appear in article form
D2
Yes
Journal – Research
Other
Authors
Publication Year
Title of Article
Journal Name
Volume/Issue Number
Page Numbers (first and last)
DOI
ISSN Number
Web Address (if on-line journal)
As Above
D3
No
Journal – Professional
and Other Non-Research
Articles
Outputs in this category must meet the PBRF definition of
research and may include
 Commentaries and brief communications of original
research
 Editorials
 Book Reviews
 Letters to the Editor
 Case Studies
Outputs in this category are non-research based and are not PBRF
eligible and may include
 Non-quality assured articles designed to inform a
professional field
 Reviews of art exhibitions, concerts or theatre
productions
 Case Studies
 Editorials
 Letters to the Editor
 Book Reviews
 Other non-research articles
 Newspaper and Magazine articles
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As Above
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Cat
Code
E1
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Conference Contribution –
Published proceedings:
Full paper
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E2
Yes
Conference Contribution –
Published proceedings:
Abstract
E3
Yes
Conference Contribution
– Editor of conference
proceedings
Outputs in this category must meet the PBRF definition of
research and refers to
 Full written papers that appear in published conference
proceedings.
 Includes Extended abstracts. The qualifier [Extended
abstract] will be added at the end of the title.
The conference proceedings may be published in a number of
formats such as
- Volume of proceedings
- Special or normal edition of a journal
- Book or a monograph
- CD-ROM
- Web site
Outputs in this category must meet the PBRF definition of
research and refers to
 Abstracts of papers that appear in published conference
proceedings, including Posters.
The conference proceedings may be published in a number of
formats as in E1 above
Outputs in this category must meet the PBRF definition of
research and refers to
 Having editorial responsibility of a written conference
proceedings for full papers or abstracts/posters
The conference proceedings may be published in a number of
formats as in E1 above
E4
Yes
Conference Contribution
– Poster Presentation
(not in published
proceedings)
Version: (Draft) April 2014
Outputs in this category must meet the PBRF definition of
research and refers to
 Poster presentations at a conference
 Includes Departmental Research/Study Days and PhD
colloquiums etc
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Authors
Publication Year
Title of Conference Paper
Title of Conference Proceedings or
Journal or Monograph
If Applicable:
 Volume/Issue Number
 Page Numbers (first and last)
 DOI
 ISSN/ISBN Number
 Publisher/ Place Published
 Web Address if on-line Proceedings
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As Above
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Editors
Publication Year
Conference Proceedings Title
Publisher/Place Published
Page Numbers (first and last)
ISSN/ISBN Number
Web Address if on-line Proceedings
Authors
Title of Poster
Name of Conference
Date/Year of Conference
Location of Conference
Cat
Code
E5
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Conference Contribution
– Verbal presentation
and other Conference
outputs (not in published
Outputs in this category must meet the PBRF definition of
research and may include
 Verbal presentations made at a conference including
Keynote/Invited addresses
 Other conference outputs not included in above
conference categories eg Panel Members, Debate
Participant
 Includes Departmental Research/Study Days and PhD
colloquiums etc
 Excludes Sessions Chairs, moderators (PE/CRE instead)
Outputs in this category must meet the PBRF definition of
research and may include
 Patents
 Copyrights
 Trademarks
 Registered Design
 Other
Outputs in this category must meet the PBRF definition of
research and refers to
 Innovative software products of commercial quality and
offered for sale or distributed as shareware through a
recognised publisher or distributor
Outputs in this category must meet the PBRF definition of
research and may include
 Reports commissioned and funded by an external
organisation
 Peer reviewed Government Department, United Nations
and non-governmental organisation publications
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Author
Title of Presentation
Name of Conference
Date/Year of Conference
Location of conference
Type of participation (eg: Panel Member)
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Developers
Title of IP
Date of acceptance of IP
Identifier (eg. Patent Number, etc)
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Developers
Title of Software
Year Published
Publisher or Distributor
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Authors
Publication Year
Title of Report
Name of Commissioning Body
Page Numbers (first and last)
Publisher/Place Published
ISBN Number (if applicable)
proceedings)
F
Yes
Intellectual Property
G
Yes
Software
H
Yes
Commissioned Report
for External Body
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Cat
Code
I
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Performance
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Performers
Performance Dates/Year
Title of Performance
Venue
Any other available written evidence of
performance (e.g. programme)
J
Yes
Composition/Musical
Score
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Composers
Year Published
Title of Composition
K
Yes
Design
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Designer
Year Published
Title of Design
Any other written or photographic
evidence
L
Yes
Exhibition
Outputs in this category must meet the PBRF definition of
research and refers to works in the performing or media arts by a
recognised leading performer (e.g. actor, musician, dancer,
director, choreographer, designer, conductor or other creative
artist). Performing Arts activities/events may include
 Theatre productions (drama, dance, opera, music theatre)
 Concerts and Recitals
 Radio or other sound recordings or audio-visual
recordings made for public access
Outputs in this category must meet the PBRF definition of
research and refers to
 A composition qualifies as research when there is either a
score or a recording (in the case of electronic music), or
both. Music written for live performance should have
evidence of both a score and a performance (e.g.
recording, programme or review)
Outputs in this category must meet the PBRF definition of
research and may include
 Fashion and Textile design
 Graphic design
 Visual communication design
 Industrial/Product design
 Interior design
 Multimedia design
 Illustration
 Design history and critical theory
Outputs in this category must meet the PBRF definition of
research and refers to
 Original works by an individual artist exhibited in a
recognised gallery, museum, artist’s book or electronic
format
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Artist
Dates/Year of Exhibition
Title of Exhibition
Venue
Any other written evidence of exhibition
(e.g. catalogue)
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Cat
Code
M
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Artefact/ Craftwork/
Object
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N
Yes
Film/Digital
Recording/CD-ROM
O
Yes
Creative Work
Outputs in this category must meet the PBRF definition of
research and includes
 Artefacts
 Objects
 Craftwork
Outputs in this category must meet the PBRF definition of
research and refers to
 Scholarly works presented in visual form which cover the
presentation of research findings and factual information
Outputs in this category are PBRF eligible and may include
 Novels
 Poetry
 Other creative written or audio visual work
 Choreography
[For non-PBRF eligible outputs see also A2, B2, C2, and D3]
P
Yes
Working Papers;
Discussion Papers;
Technical Reports;
Version: (Draft) April 2014
Outputs in this category must meet the PBRF definition of
research and refers to
 Research papers disseminated to encourage discussion
and suggestions for revision before final publication in
refereed journals or other outlets. These would normally
be in a series produced by departments or research
centres, often with an ISSN/ISBN number, and would be
made widely available in paper-based or electronic form.
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Suitable written documentation should be
provided
 Authors
 Year of Publication
 Title of Work
 Any other available written evidence
 Authors
 Publication Year
 Title of Work
 Video or Audio Tape
If Applicable:
 Editors
 Publisher/Place Published
 Page Numbers (first and last)
 DOI
 ISBN Number
 Authors
 Publication Year
 Title of Paper
 Page Numbers
If Applicable:
 Report to
 Publisher/Place Published
 ISSN/ISBN Number
 DOI
Cat
Code
Q
PBRF
eligible
Yes
Category Name
Inclusions and Description
Evidence required for verification/audit
Other
This Category may include any outputs that meet the PBRF
definition of research and are not categorised above
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Authors
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Any other relevant details
Examples include:
 Curator
 Factsheet
 Government
Submission
 Public Lecture
 Radio Broadcasts
 Clinical Guidelines
 Department Seminar
 Exhibition Catalogue
 Inaugural Professorial
Lecture
Journal Editor,
Journal Section Editor
Q2
Yes
R1
Yes
Awarded Doctoral
Degree
Staff member’s own degree, not those they have supervised
R2
Yes
Awarded Masters
Degree
Staff member’s own degree, not those they have supervised
Version: (Draft) April 2014
Outputs in this category must meet the PBRF definition of
research and refers to having editorial responsibility for a journal
or journal section.
 Multiple issues of a volume will be shown by [ # issues]
at the end of the citation.
 Special issues will be entered as individual records with
the qualifier [Special issue: Subtitle]
 Guest editorships will be entered as individual records
with the qualifier [Guest editor]
http://www.otago.ac.nz/research/otago005115.html Page 12 of 16
Year of Publication/Output
Title of Work
 Authors
 Publication Year
 Journal Name
 Journal Section Title
 Volume/Issue Number(s)
 ISSN Number
If Applicable:
 Page Numbers (first and last)
 DOI
 Web Address (if on-line journal)
 Authors
 Year Awarded
 Title of Degree
 University at which awarded
 Page Numbers (first and last)
 Authors
 Year Awarded
 Title of Degree
 University at which awarded
 Page Numbers (first and last)
Performance Based Research Fund (PBRF)

For a research publication/output to be included in a PBRF eligible category it must meet the
Tertiary Education Commission (TEC) PBRF Definition of Research - see page 14.
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25 categories are PBRF eligible, 4 are non-PBRF eligible
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The Researcher must specify whether each output is Quality Assured or not, as defined by the
TEC PBRF Definition of Quality Assurance - see page 15.

Employment during an assessment period - Staff may include any research output produced
during the assessment period, regardless of where they were employed or where the research
was undertaken during the period in question. All research outputs must be entered in the
publications database for use in the PBRF Quality Evaluation.

Conference contributions such as Conference Chairs, Session Chairs, Convenors, Moderators,
and Facilitators are not recorded as a publication/output but can be used in the PE/CRE
component of a PBRF evidence portfolio (EP) instead.

Panel Discussion Members and Debate Participants (where appropriate eg research content vs
conference dinner entertainment.) can be entered as publications/outputs in the E5 category.

It is strongly believed that all NROs in the PBRF round may be required to be available
electronically for panel evaluation. If your outputs are not already in an electronic format,
it would be beneficial to ensure that they are.
Contact Lindsay Jenkins, Project Manager (PBRF) for further information regarding PBRF:
Tel 64 3 479 4599
Mobile 64 21 279 4599
Email lindsay.jenkins@otago.ac.nz
Version: (Draft) April 2014
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PBRF Definition of Research (from the Performance-Based Research Fund, Quality Evaluation
Guidelines 2012 - Chapter 1, Section D, November 2011 version)
Definition:
For the purposes of the PBRF, research is original investigation undertaken in order to contribute to
knowledge and understanding and, in the case of some disciplines, cultural innovation or aesthetic
refinement.
It typically involves enquiry of an experimental or critical nature driven by hypotheses or intellectual
positions capable of rigorous assessment by experts in a given discipline.
It is an independent*, creative, cumulative and often long-term activity conducted by people with
specialist knowledge about the theories, methods and information concerning their field of enquiry. Its
findings must be open to scrutiny and formal evaluation by others in the field, and this may be achieved
through publication or public presentation.
In some disciplines, the investigation and its results may be embodied in the form of artistic works,
designs or performances.
Research includes contribution to the intellectual infrastructure of subjects and disciplines (eg
dictionaries and scholarly editions). It also includes the experimental development of design or
construction solutions, as well as investigation that leads to new or substantially improved materials,
devices, products or processes.
* The term ‘independent’ here should not be construed to exclude collaborative work.
Excluded activities
The following activities are excluded from the Definition of Research except where they are used
primarily for the support, or as part, of research and experimental development activities
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Preparation for teaching
The provision of advice or opinion, except where it is consistent with the PBRF’s Definition of
Research
Scientific and technical information services
General purpose or routine data-collection
Standardisation and routine testing (but not including standards development)
Feasibility studies (except into research and experimental development projects)
Specialised routine medical care
The commercial, legal and administrative aspects of patenting, copyrighting or licensing
activities
Routine computer programming, systems work or software maintenance (but note that research
into and experimental development of, for example, applications software, new programming
languages and new operating systems is included)
Any other routine professional practice (eg in arts, law, architecture or business) that does not
comply with the Definition. **
** Clinical trials, evaluations and similar activities will be included, where they are consistent with the
Definition of Research.
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Quality Assurance
***** NB: The researcher/academic must specify whether each output is “Quality Assured” or not. *****
PBRF Definition of Quality Assurance (from the Performance-Based Research Fund, Quality Evaluation
Guidelines 2012 – Chapter 2, Section C, November 2011 version)
Quality-assured research outputs defined:
A quality-assured research output is defined as any research output that, prior to its publication
(public dissemination, presentation, performance or exhibition), has successfully completed a formal
quality-assurance process.
Successful completion of a formal quality-assurance process means the output must have been subject to
formal, independent scrutiny by those with the necessary expertise and/or skills to assess its quality
(including, where relevant, its rigour, logic, clarity, originality, intellectual significance, impact,
applications, artistic merit, etc).
Each research output that is included in an EP must be classified as quality-assured or non-quality
assured. Staff members should use the definition above to guide them in classifying each of their
research outputs included in the EP.
Formal quality assurance processes
Formal quality assurance processes vary between different disciplinary areas. They include but are not
limited to:
 Peer review or referring processes undertaken by journals and book publishers
 Other review processes employed by editors, editorial committees or publishers
 The refereeing of conference papers
 Review processes undertaken by major galleries, museums and broadcasters
 Review processes employed by users of commissioned or funded research.
Quality-assured v. reviewed
Quality-assurance processes are different from review processes as used in the PE component. A research
output may have been reviewed in the public arena after its publication or public dissemination. Such
reviews do not meet the definition of a quality-assured research output. These reviews, however, may be
included in the EP under the PE component.
Non-quality-assured research outputs
A non-quality-assured research output is one that:
 Has not been subject to a quality-assurance process
OR
 Is currently in the process of being quality-assured
OR
 Has been unsuccessful in completing a formal quality-assurance process (ie it has been peerreviewed and rejected, possibly two or more times).
A non-quality-assured output that has been included as an NRO is more likely to be requested for
scrutiny by the panel than a quality-assured NRO is.
PE: Peer Esteem
EP: Evidence Portfolio
NRO: Nominated Research Output
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Examples of Quality Assurance for some of the non-standard output categories include:
Performance
 Performances by major professional ensemble
 CDs on recognised labels
 Broadcast of a work on national television or radio
 Inclusion in national or international festivals, biennales, etc
Exhibition
 Exhibition in or acquisition by national or international institutions
 Exhibition in a recognised dealer gallery
 Inclusion in national or international festivals, biennales, etc
Business Case Studies
 Blind peer review
 Publication in a quality controlled journal, case collection or clearing house collection
 Evidence of successful use in the classroom
Software
Where software is a nominated research output, and it is said to be quality assured, researchers should
be able to clearly describe the nature of the quality assurance process that has taken place (e.g. where
the research has resulted in a commercial product for a firm, describe the quality assurance process used
by the firm to evaluate the research results, note any formal reporting on the outcome of the process, and
include supporting statements by the firm). In other words, all quality assured software should be
considered to have "non-standard quality assurance".
As long as the output has successfully been through a process that is formal, independent and by
someone with the necessary expertise and/or skills to assess its quality, the output can be submitted as
quality assured.
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