definition of research

RESEARCH OUTPUTS DEFINITIONS

TABLE OF CONTENTS

Introduction: Data Collected in the Research Information Management System (RIMS)

Definitions

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Definition of Research

Year of Publication

Expanded Year of Publication Definition

Author Affiliation

Peer Review

Commercial Publisher

Foreign Language Publications

Format

Research Output Categories 7

A1 Books – Authored Research

A2 Books – Authored Other

A3 Books – Edited

A4 Books – Revision/New Edition

B1 Book Chapters – Authored Research

B2 Book Chapters – Other

C1 Journal Articles – Refereed Articles in Scholarly Journals

C2 Journal Articles – non-HERDC Journal Articles

C3 Letters or Notes in Journals

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D Major Reviews/Reports

E1 Conference Publications – Full Written Papers Refereed

E2 Conference Publications – Full Written Papers Non Refereed

E3 Conference Publications – Extract Papers

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E4 Conference Publications – Editorship of Volume/s of Conference Proceedings

G Computer Software

I Patents

Q1 Original Creative Works – Major Research Component

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Q2 Original Creative Works – Minor Research Component (to be part of a portfolio) or Professional Practice 20

R1 Live Performance of Creative Works – Major Research Component 18

R2 Live Performance of Creative Works – Minor Research Component (to be part of a portfolio) or Professional

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Practice

S1 Recorded/Rendered Creative Works – Major Research Component

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S2 Recorded/Rendered Creative Works – Minor Research Component (to be part of a portfolio) or Professional

Practice

T1 Curated or Produced Substantial Public Exhibitions and Events – Major Research Component

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T2 Curated or Produced Substantial Public Exhibitions and Events – Minor Research Component (to be part of a portfolio) or Professional Practice 24

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Creative and Performing Arts Esteem Indicators

N1 Commissions

N7 Awards

Strategic Research Performance Categories

O1 Invited Keynote Addresses at International Conferences

O2 Editorial Board Memberships of International Journals

O3 Overseas Research Visitors

O4 Guest Editorship of Special Edition of a Refereed Journal

O9 International Research Collaborations

P1 National Research Collaborations

Non-Griffith Publication Categories

Further Information

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INTRODUCTION: DATA COLLECTED IN THE RESEARCH INFORMATION MANAGEMENT

SYSTEM (RIMS)

Griffith University now collects four types of research activity data in the Research Information Management

System (RIMS), in light of the increasing number of purposes that it needs to serve:

1. HERDC/ERA Eligible Categories

These are the only categories of research publications which the Department of Education and Training currently calls on all universities to report as part of the annual Higher Education Research Data Collection (HERDC). These comprise Authored Books (A1), Book Chapters (B1), refereed Journal Articles (C1) and refereed Conference

Papers (E1). These types of outputs are also eligible for Excellence in Research for Australia (ERA) submissions.

2. Non-HERDC/ERA Eligible Categories

These expand on the above HERDC/ERA Eligible Categories and include similar categories but without the same stringent requirements such as peer review. Categories of this type familiar to staff are A2, A3, A4, B2, C2, C3, D

(Major Reviews/Reports), E2, E3, E4, G (Computer Software not part of the CPA categories), and I (Patents).

Please note that outputs listed in these categories are not verified by the University and are included in a researcher’s publications list on the understanding that the individual researcher is responsible for ensuring their details are correct.

3. Creative and Performing Arts (CPA) Categories

In addition to the Department of Education and Training publication categories, nineteen categories of creative and performing arts major research outputs have been adopted by the Research Committee for inclusion in the

University’s ’Research Active’ definition. These are based on ERA non-traditional output categories, and are organised into four groups: original creative works (Q1s); live performances of creative works (R1s); recorded/rendered creative works (S1s); and curated/produced substantial public exhibitions/events (T1s). All creative and performing arts major research outputs must have a research statement outlining the research component of the creative work – these should be written under the following three headings, which should combine to be a maximum of 2,000 characters (approximately 250 words):



Research Background (including field, context and research question)



Research Contribution (including innovation and new knowledge)



Research Significance (evidence of excellence)

Multiple exhibitions/performances of creative works may be counted as separate outputs only where each subsequent exhibition/performance introduces a new research component to the work. Multiple exhibitions/performances of these research output types cannot be submitted as multiple outputs where the repeated exhibitions/performances do not introduce a new research component to the work. For example, a touring exhibition can only be submitted as a single output.

There are two types of Creative and Performing Arts (CPA) Categories: The Major Research categories: Q1, R1,

S1, and T1 and the Q2, R2, S2, and T2 which are sub-divided according to their Research Significance in Minor

Research and Professional Practice.

Portfolios

Under ERA Guidelines, portfolios of creative works are eligible for inclusion in a u niversity’s ERA submission if a number of individual creative works don’t in themselves constitute significant research but the portfolio of creative works constitutes research as a whole. (Creative works in a portfolio must be derived from the same underlying research endeavour.)

Creative and Performing Arts outputs that do not individually have significant research components, but could potentially be grouped into a portfolio of works addressing a particular research theme, can be recorded under the

Minor Research type of Q2, R2, S2, and T2 categories in the Research Information Management System (RIMS).

These will not count towards ‘Research Active’ status but, like other non-HERDC/ERA eligible categories, will appear on a researcher’s list of outputs. Once the portfolio of works is complete and therefore has a significant research component, this portfolio can then be uploaded (with a research statement) to the Research Information

Management System (RIMS) under the appropriate Q1, R1, S1, or T1 category to count towards ‘Research Active’

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status. In this case, the researcher should include a note in the “comments” field that this is a portfolio of works with a list of the publication system reference ID numbers for the related Q2/R2/S2/T2 works.

Professional Practice

Creative and Performing Arts outputs that do not have a research component can be recorded under the Q2, R2,

S2, and T2 categories in the Research Information Management System (RIMS), by selecting the Professional

Practice option within the Research Significance field (instead of the Minor Research option). These will not count towards ‘Research Active’ status but, like other non-HERDC/ERA eligible categories, will appear on a staff member ’s list of outputs. Please note that outputs listed in these categories are included in a staff member’s outputs list on the understanding that the individual researcher is responsible for ensuring their details are correct.

Esteem

Data for two esteem measures for creative and performing artists are also collected – these are N1 (Commissions) and N7 (Awards/Prizes). The outputs resulting from the N1 Commissions should be uploaded in the appropriate Q,

R, S, and T categories once publicly available. The outputs producing the N7 Awards/Prizes should have been uploaded to the Research Information Management System (RIMS) in the appropriate Q, R, S, or T category prior to (or, if necessary, concurrently with) the award/prize being recorded in the Research Information Management

System (RIMS).

4. Strategic Research Performance Categories

Following the release of the Griffith University Strategic Plan 2013 – 2017, the following categories of research activity items were added to the collection, to capture progress towards the targets set down in the Strategic Plan for the key performance indicators of International Linkages and External Collaborations :

O1 Invited Keynote Addresses at International Conferences

O2 Editorial Board Memberships of International Journals

O3 Overseas Research Visitors

O4 Guest Editorship of a Special Edition of a Refereed Journal

O9 International Research Collaborations

P1 National Research Collaborations

These categories may also be useful to staff and the University in preparing background statements for ERA.

DEFINITIONS

The following definitions draw on the Department of Education and Training HERDC Specifications, the ERA

Guidelines, and the University’s Strategic Plan and Research Plan.

DEFINITION OF RESEARCH

General Requirements

Each output (other than those recorded as Professional Practice within the Q2, R2, S2, and T2 categories) must: meet the definition of research (as defined at section 3 of the Department of Education and Training 2015 Higher

Education Research Data Collection: Specifications for the Collection of 2014 Data).

A research publication must only be counted once by each institution. e.g. if a conference paper is published in conference proceedings and is subsequently included as a chapter in a book, it can be counted as a chapter or as a conference paper but not both.

A research publication must be characterised by:

 substantial scholarly activity, as evidenced by discussion of the relevant literature, an awareness of the history and antecedents of work described, and provided in a format which allows a reader to trace sources of the work, including through citations and footnotes

 originality (i.e. not a compilation of existing works)

 veracity/validity through a peer review process or by satisfying the quality control processes of a

 commercial publisher (as defined below)

 increasing the stock of knowledge

 being in a form that enables dissemination of knowledge

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3. Definition of Research

Research is defined as the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies and understandings. This could include synthesis and analysis of previous research to the extent that it leads to new and creative outcomes.

This definition of research is consistent with a broad notion of research and experimental development (R&D) as comprising of creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of humanity, culture and society, and the use of this stock of knowledge to devise new applications.

This definition of research encompasses pure and strategic basic research, applied research and experimental development. Applied research is original investigation undertaken to acquire new knowledge but directed towards a specific, practical aim or objective (including a client-driven purpose).

Activities that support the conduct of research and therefore meet the definition of research include:



professional, technical, administrative or clerical support staff directly engaged in activities essential to the conduct of research



management of staff who are either directly engaged in the conduct of research or are providing professional, technical, administrative or clerical support or assistance to those staff



the activities and training of HDR students enrolled at the HEP



the development of HDR training and courses

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the supervision of students enrolled at the HEP and undertaking HDR training and courses



research and experimental development into applications software, new programming languages and new operating systems (such R&D would normally meet the definition of research)

Activities that do not support the conduct of research must be excluded, such as:

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scientific and technical information services

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general purpose or routine data collection

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standardisation and routine testing

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feasibility studies (except into research and experimental development projects)

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specialised routine medical care

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literature reviews that are predominantly a summary of the current knowledge and findings of a particular research field or topic and do not include any critical assessment or report any new findings or original experimental work



commercial, legal and administrative aspects of patenting, copyright or licensing activities



routine computer programming, systems work or software maintenance

Important Note:

Unless otherwise specified, a reference to research refers to this definition as set out in section 3.

YEAR OF PUBLICATION

To be able to count publications in the University’s HERDC submission of 2015 research publications:

 the research must have been published in the 2015 calendar year, and



2015 must be stated as the year of publication within or on the work being claimed.

Letters from authors, editors, creators etc. stating that a research publication was published in 2015, even though

2015 is not stated within or on the work as the year of publication, are not acceptable evidence of the year of publication. There are two exceptions:



For journal articles and/or conference publications that are produced on CD-ROM or are web-based, where no year of publication is stated within or on the work a letter from a journal editor or conference organiser may be accepted to identify the year of publication. Note: this applies only to journal articles or conference publications where no date is stated within or on the work being claimed. A letter from an editor or conference organiser cannot override a year of publication stated within the work .



The date a conference was held may be acceptable evidence of the year of publication, provided no other date exists within or on the conference publication being claimed.

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The year of publication is normally the latest of the year indicated as published, printed or the year of copyright. A publication with a 2016 copyright date can be reported in the 2015 collection, provided it has a publication date of

2015, and it is not counted again in the 2016 collection.

Universities should note that copyright dates or ‘date last updated’ that appear on web pages do not typically refer to a research publication included on that page. Web page dates should not be used as evidence of the year of publication.

Pages showing the stated year of publication must be included in verification material.

EXPANDED YEAR OF PUBLICATION DEFINITION

Department of Education and Training has introduced an exception whereby universities can also include 2014 publications in their submission of 2015 publications data. Only those publications which were published after the submission date for the 2014 data collection; and contain a 2014 publication date, may be included under this provision. Publications from 2013 and earlier years are not eligible to be included under this provision.

Universities must be able to demonstrate (in the verification material that they maintain) that the publication was not produced until after the submission date for that year’s publication return. i.e. that the publication, although containing a 2014 publication date, was not published until after 30 June 2015. A letter from the publisher will be considered sufficient verification material to support the claim.

AUTHOR AFFILIATION

The author of the research publication being counted in the HERDC Research Publication Return must be affiliated with the claiming institution and must be identified either within or on the work being claimed.

Where author affiliation with the claiming institution is not identified within a work, the following evidence retained in verification material would be sufficient to demonstrate author affiliation:

 a statement from the author indicating that he or she undertook the research leading to the publication in his or her capacity as a staff member or student of Griffith University and either - o a statement from the Director of Human Resources or Dean of Students (or equivalent) indicating that the author was an appointee or student of the institution in 2015 (or earlier if that was when the research leading to the publication was conducted), or o an extract from Griffith University ’s staff or student list that lists the author

Students (domestic or international) are considered to be those students undertaking HDR training to achieve a

Research Doctorate (including Professional Doctorates) or a Research Masters.

Where a publication shows that an author has affiliation to more than one institution (eg Janet Harvey, Tutor in

Economics, Institution of X; PhD student, Institution of Y), each Australian institution named in that by-line can each count the publication in its respective Research Publication Return.

Adjunct fellows, honorary staff members and staff on leave are considered affiliated with an institution if the institution is identified in the by-line.

If an author was not affiliated with Griffith University at the time when the research leading to the publication was conducted, the research output should be uploaded to the Research Information Management System (RIMS) with

Collection Status: “External”; this field is in the record’s Summary tab.

PEER REVIEW

For the purposes of the HERDC, an acceptable peer review process is one that involves an impartial and independent assessment or review of the research publication in its entirety before publication, conducted by independent, qualified experts. Independent in this context means independent of the author.

For journal articles, any of the following are acceptable as evidence of peer review:

 listing on the ARC's Excellence in Research for Australia (ERA) latest available journal list

 listing in Thomson Reuters Web of Knowledge Master Journal List ( http://scientific.thomson.com/mjl/ )

 classification as ‘refereed’ in the Ulrich’s Knowledgebase (https://ulrichsweb.serialssolutions.com/)

 a statement in the journal which shows that contributions are peer reviewed

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 a statement or acknowledgement from the journal editor which shows that contributions are peer reviewed

 a copy of a reviewer’s assessment relating to the article

For conference publications, any of the following are acceptable as evidence of peer review:

 a statement in the conference proceedings which shows that contributions were peer reviewed

 a statement or acknowledgement from the conference proceedings editor which shows that contributions were peer reviewed

 a copy of a reviewer’s assessment relating to the conference paper

For books and book chapters that are NOT published by a commercial publisher any of the following are acceptable as evidence of peer review:

 a statement in the book which shows that contributions are peer reviewed and in the case of

 book chapters, which indicates which chapters are peer reviewed, if this does not apply to all content

 a statement or acknowledgement from the publisher or editor which shows that contributions are

 peer reviewed

 a copy of a reviewer’s assessment relating to the book or book chapter

Note: a statement from an author that a publication was peer reviewed is not acceptable. The existence of a national or international advisory board is also not sufficient evidence that all relevant publications were assessed by its members.

For books and book chapters (A1 and B1 publications), the concept of a commercial publisher (as defined below) is used as a surrogate test of quality in place of a peer review requirement.

COMMERCIAL PUBLISHER

For the purposes of these specifications, a commercial publisher is an entity for which the core business is publishing books and distributing them for sale.

Important note:

Publication is more than the production of a book. It includes quality control such as peer review or equivalent inhouse quality control through processes such as expert assessment or review, as well as editing, copy-editing, design, and conversion of the work to an appropriate format.

If publishing is not the core business of an organisation but there is a distinct organisational entity devoted to commercial publication and its publications are not completely paid for or subsidised by the parent organisation or a third party, the publisher is acceptable as a commercial publisher.

For the purposes of these specifications, Universities and other self-supporting University presses are also regarded as commercial publishers, provided that they have responsibility for distribution of the manuscript, in addition to its publication.

FOREIGN LANGUAGE PUBLICATIONS

Foreign language publications are eligible to be counted. The same verification evidence is required, in English, as for any other works. It is not necessary to translate the entire publication, but all relevant sections required for the verification of information to demonstrate that it meets the criteria of the category against which it is being claimed should be translated. This includes evidence that the work meets the definition of research.

FORMAT

Research publications may be produced in any appropriate format, such as print, publication online, or publication in digital form on separate media such as a CD. Works in any format, including electronic works, are eligible to be counted, provided they meet all relevant criteria in these specifications for the publications category against which they are being claimed.

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RESEARCH OUTPUT CATEGORIES

A1 BOOKS – AUTHORED RESEARCH (HERDC/ERA ELIGIBLE CATEGORY)

The Department of Education and Training Weighting: 5

To be included in this category the publication must meet the definition of research as amplified in the general requirements for research publications (as defined on page 4) and:

 must be a major work of scholarship

 must have an International Standard Book Number (ISBN)

 must be written entirely by a single author, or by joint authors who share responsibility for the whole book

 must have been published by a commercial publisher, as defined on page 6, or if not published by a commercial publisher, must have been peer reviewed, as defined on page 5

 the author must be affiliated with the claiming institution, as set out in page 5

The types of books that may meet the criteria include:

 critical scholarly texts (e.g. music, medieval or classical texts)

 new interpretations of historical events

 new ideas or perspectives based on established research findings

The types of books that do not meet the criteria include:

 textbooks

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 anthologies edited books

 creative works such as novels

 translations (unless they have a major demonstrable original research component)

 revisions or new editions

 manuals and handbooks

 theses (PhD, Masters and Honours)

Note: many of the books published by professional bodies do not report original research findings but report the results of evaluations, or compile existing information for the benefit of professionals or practitioners. It is important that Universities assess these publications very carefully against the definition of research provided above and only count those publications which major works of scholarship and report original research activities for the first time. Freely available research-related reports published by external institutes or public agencies and departments are also unlikely to meet these criteria.

Verification requirements

For all publications classified as A1 the following must be provided:

1. Complete copies of the title page, table of contents, preface, foreword, introduction and pages showing all bibliographical information (ISBN, title, author(s), publisher and all dates referring to copyright, publication, printing and distribution);

2. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement in publication indicating research undertaken in author's capacity as a staff member or student of the university or a statement from author attesting research undertaken in author's capacity as a staff member or student of the university (in support of this statement INS staff will provide confirmation that the author was an appointee or student of the University in 2015); and

3. The University must be able to provide proof that the book was published by a Commercial Publisher, as defined on page 6, or if not published by a commercial publisher, evidence of peer review must be supplied, according to the definition of peer review on page 5.

Note: an ISBN or a publisher is not required for conference publications but they are both essential for books and book chapters.

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(NON-HERDC/ERA ELIGIBLE CATEGORIES)

A2 BOOKS – AUTHORED OTHER

A3 BOOKS – EDITED

A4 BOOKS – REVISION/NEW EDITION

For all publications classified as books ( A2, A3 and A4 ) the following applies:



Publications in this category must be a major work of scholarship bound and offered for sale.



All works in this category must have an International Standard Book Number (ISBN), although this is not a sufficient reason by itself for inclusion.

Category Publication Category

Code

A2 Authored - Other

This refers to books which must be written solely by the author(s). Publications in this category must be a substantial work of scholarship.

Include:

 research monographs published by university departments;

 textbooks (consisting mainly of new contributions of existing knowledge or updating of a body of established knowledge to make it more readily accessible) aimed primarily at a university audience;

 books published by private individuals e.

g. ‘vanity presses’;

 evaluative and investigative government department publications, e.g. Department of

Education and Training Evaluations and Investigations Program reports;

 translations of published books and other authored books or monographs not classified in A1 above;

 annotated anthologies.

Exclude:

 creative works such as novels, depending mainly upon the imagination of the author rather than upon a publicly accessible body of agreed fact (these should be recorded as Q1_3 or

Q2_3, see below);

 university departmental Working Papers, Technical Reports, Discussion Papers and the like

(excluded completely);

 textbooks that are primarily aimed at secondary, primary or pre-school students (excluded completely).

A3 Edited

This refers to books which must be edited books, monographs or short series of volumes consisting of contributions from a number of authors.

Exclude:

 editorship of journals (excluded completely, except for possibly O2, see below)

A4 Revision/New Edition

This refers to books which must be previously published or a collection of previously published articles either by the current author or editor, or by some previous author or editor, which has been brought up-to-date by the substantial addition or alteration of material.

Exclude:

 reprints that do not involve substantial additions or revisions (excluded completely)

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B1 BOOK CHAPTERS – AUTHORED RESEARCH (HERDC/ERA ELIGIBLE CATEGORY)


This category refers to a contribution, consisting substantially of new material, to an edited compilation in which the material is subject to editorial scrutiny.


 must have an International Standard Book Number (ISBN)

 must have been published by a commercial publisher, as defined on page 6, or if not published by a commercial publisher, must have been peer reviewed, as defined on page 5

 the author must be affiliated with the claiming institution, as defined on page 5

A book chapter may be included if it has been published previously as long as it constitutes substantial new knowledge and constitutes original research.

The types of book chapters that may meet the criteria include:

 a scholarly introduction of chapter length to an edited volume, where the content of the introduction reports research and makes a substantial contribution to a defined area of knowledge

 a critical scholarly text of chapter length, e.g. in music, medieval or classical texts

 critical reviews of current research

Unless they meet all of the criteria for inclusion, the following book chapters must be excluded:

 chapters in textbooks

 entries in reference books

 anthologies

 revisions of chapters in edited books

 forewords

 brief introductions

 brief editorials

 appendices

 literary or creative pieces such as collections of short stories

 translations (unless they have a major demonstrable original research component)

 case studies

 encyclopaedia entries


For all publications classified as B1 the following must be provided:

1. Complete copy of the chapter

2. Complete copies of the book’s title page, table of contents, preface, foreword, introduction and pages showing all bibliographical information as appropriate (ISBN or ISSN, editor, author(s), publisher and all dates referring to copyright, publication, printing and distribution).

3. If new chapter in revised edition, include also contents of previous edition if preface does not indicate that chapter is new.

4. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement in publication indicating research undertaken in author's capacity as a staff member or student of the university or a statement from author attesting research undertaken in author's capacity as a staff member or student of the university (in support of this statement INS staff will provide confirmation that the author was an appointee or student of the University in 2015).

5. The University must be able to provide proof that the book was published by a Commercial Publisher, as defined on page 6, or if not published by a commercial publisher, evidence of peer review must be supplied, according to the definition of peer review on page 5.

Note: an ISBN or a publisher is not required for conference publications but they are both essential for books and book chapters.

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B2 BOOK CHAPTERS – OTHER

(NON-HERDC/ERA ELIGIBLE CATEGORY)

This refers to a contribution, consisting substantially of new material, to an edited compilation in which the material is subject to editorial scrutiny, but which does not meet all the requirements of the B1 category.

Include:

 entries in reference works;

 revisions of chapters in edited books;

 chapters in books, University departmental or centre Working Papers that have been published by private individuals e.g. Vanity presses;

 chapters in textbooks

Exclude:

 creative works such as short stories, depending mainly upon the imagination of the author rather than upon a publicly accessible body of agreed fact (these should be recorded as Q1_3 or Q2_3, see below);

 translations;

 annotated anthologies

C1 JOURNAL ARTICLES – REFEREED ARTICLES IN SCHOLARLY JOURNALS

(HERDC/ERA ELIGIBLE CATEGORY)



 must be published in a scholarly journal

 must have been peer-reviewed as defined on page 5. Note: the fact that an article has been peer reviewed does not automatically mean that it is eligible. The article must still meet the definition of research as well as all other criteria

 must have an International Standard Serial Number (ISSN) o Some journals may be regularly published as separate volumes with an ISBN rather than an ISSN.

Provided that the publication is clearly identified as an edition of a journal, and not a book, articles in such publications may be eligible if they meet all other criteria.

If an ISSN does not appear in the journal:

 external evidence such as an ISSN number being cited in an extract from an authoritative journal listing, such as the Thomson-Reuters Master Journals List ( http://scientific.thomson.com/mjl/ ) or from the Scopus database

 evidence that the journal is classified as ‘refereed’ in the Ulrich’s Knowledgebase

( https://ulrichsweb.serialssolutions.com/ )

 the author must be affiliated with the claiming institution, as set out on page 5

The types of journal articles that may meet the criteria include:

 commentaries and communications of original research

 research notes

 letters to journals, provided that the letter satisfies the definition of research (as defined above) and the requirements for journal articles in this section

 critical scholarly texts which appear in article form

 articles reviewing multiple works or an entire field of research

 invited papers in journals

 articles in journals which are targeted to both scholars and professionals

 articles in a stand-alone series

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The types of journal articles that do not meet the criteria include:

 letters to the editor

 case studies

 articles designed to inform practitioners on existing knowledge in a professional field

 articles in newspapers and popular magazines

 editorials

 book reviews

 brief commentaries and communications of original research

 reviews of art exhibitions, concerts, theatre productions


For all publications classified as C1 the following must be provided:

1. If you have attached an electronic copy of the published version of your article, unless you are requested to, you will not need to send in any verification documentation apart from an authorship statement if the article does not identify your affiliation with Griffith University.

2. If you have not attached an electronic copy of the published version of your article, please provide the following hard copy documentation:

 the article or offprint of the article

 copies of pages showing all bibliographic information (journal title, ISSN or ISBN, Volume, Issue (where applicable), pagination and dates where not provided in copy or offprint)

If an ISSN does not appear in the journal: o external evidence such as an ISSN number being cited in an extract from an authoritative journal listing, such as the Thomson-Reuters Master Journals List or from the Scopus database or o evidence that the journal is classified as ‘refereed’ in Ulrich’s Knowledgebase

 e vidence indicating the author’s affiliation to the institution. By-line or footnote or statement in publication indicating research undertaken in author's capacity as a staff member or student of the university or a statement from author attesting research undertaken in author's capacity as a staff member or student of the university (in support of this statement INS staff will provide confirmation that the author was an appointee or student of the University in 2015)

 proof of peer reviewing as set out in page 5; any of the following o listing on the ARC's Excellence in Research for Australia (ERA) latest available journal list or o listing in Thomson Reuters Web of Knowledge Master Journal List http://scientific.thomson.com/mjl/ o classification as ‘refereed’ in the Ulrich’s Knowledgebase https://ulrichsweb.serialssolutions.com/ or o a statement in the journal which shows that contributions are peer reviewed or o a statement or acknowledgement from the journal editor which shows that contributions are peer reviewed or o a copy of a reviewer’s assessment relating to the article


C2 JOURNAL ARTICLES – NON-HERDC JOURNAL ARTICLES

C3 LETTERS OR NOTES IN JOURNALS

Category Publication Category

Code

C2 Non-HERDC articles in scholarly or professional journals

This refers to works of scholarship published in a scholarly or professional journal controlled by an editorial board, but which do not meet all the requirements of the C1 category.

Include:

 articles that are sets of guidelines or summaries of the state of knowledge in an area, generally intended to inform practitioners in a professional field - in either refereed or non-refereed journals;

 editorials

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Exclude:

 letters to the editor (possibly C3);

 book reviews (possibly C3);

 non-scholarly, non-research articles;

 articles in newspapers and popular magazines (excluded completely unless eligible as a textual creative work (Q1_3 or Q2_3))

C3 Letters or Notes

This refers to non-refereed communications (including editorial commentary) published in a journal controlled by an editorial board.

Include:

 brief commentaries and communications of original research;

 book reviews;

 letters to the editor;

 medical case histories;

 reviews of art exhibitions, concerts, theatre productions (by members of appropriate academic departments)

Exclude:

 articles in newspapers and popular magazines (excluded completely unless eligible as a textual creative work (Q1_3 or Q2_3))

D MAJOR REVIEWS/REPORTS


This category refers to:



Reviews of multiple works or of an entire field of research which places other works in context and makes a substantial contribution in its own right, which is not already eligible in the A1, B1, C1 or E1 categories. This type of review can appear in monograph form, for example annual review of immunology or of plant physiology.



Major reports resulting from research, which are not published in the usual academic outlets (i.e. not published in books from commercial publishers, refereed journals/ conference publications), and have not been peer reviewed. An example of the type of major report eligible is a government report (not peer reviewed) resulting from a research project.

Include:



contributions to reference works, including encyclopaedias provided they are more than 4000 words in length

Exclude:



book reviews (possibly C3)

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E1 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS REFEREED

(HERDC/ERA ELIGIBLE CATEGORY)


To be included in this category the conference publication must meet the definition of research as amplified in the general requirements for research publications (as defined on page 4) and:

 be published in full . The papers may appear in any formats, e.g. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD-ROM, USB flash drive or conference or organisational web site

 be peer reviewed (see page 5), which could be demonstrated by: o a statement in the conference proceedings which shows that contributions were peer reviewed o a statement or acknowledgement from the conference proceedings editor which shows that contributions were peer reviewed o a copy of a reviewer’s assessment relating to the conference paper

 be presented at conferences, workshops or seminars of national or international significance

 the author must be affiliated with the claiming institution, as set out in page 5

The types of conference publications that do not meet the criteria include:

 papers that appear only in a volume handed out to conference participants

 keynote addresses

 plenary addresses

 poster presentations

 abstracts of conference publications

A conference paper can only be counted once for HERDC (and ERA), even if published in more than one format.



Conference papers published in books which meet all criteria for category B1 as well as all criteria for category

E1 may be counted in either (but NOT both). The verification requirements will be those applicable to the category in which the publication is counted.



Conference papers published in journals which meet all criteria for category C1 as well as all criteria for category E1 may be counted in either (but NOT both). The verification requirements will be those applicable to the category in which the publication is counted.

However, book chapters and journal articles resulting from conference papers that have already been uploaded as

E1s (and report the same research as the E1, without any significant extension to that research) should be categorised as B1 Republished and C1 Republished outputs in the Research Information Management System

(RIMS). Any outputs falling into these categories should be uploaded as B1 or C1 outputs with a note in the comments field that the output is a re-publication of a previously recorded E1 (with its RIMS System Reference ID number provided). Additionally, in their RIMS records the Collection Status field (in the Summary tab) should be set to Republished.

Refereeing of Conference Papers

As with category C1, the Department of Education and Training would generally expect refereeing of conference papers to involve external assessment, that is, assessment by at least one reviewer who is independent of the conference’s editorial board. Assessment by members of an expert advisory board/panel/committee with broad national or international representation will also be accepted as refereeing in the current collection.

In all cases where a paper is counted under category E1, specific evidence must be provided that the whole paper has been refereed. Refereeing on the basis of an abstract, or extended abstract, is not sufficient.

For conference publications, any of the following are acceptable as evidence of peer review:

 there is a statement in the conference proceedings which shows that contributions were peer reviewed

 there is a statement or acknowledgement from the conference proceedings editor which shows that contributions were peer reviewed


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For the purposes of the Higher Education Research Data Collection, the Department of Education and

Training regards “refereeing” and “peer review” as interchangeable terms, but note that “reviewed” without the word “peer” before it is not sufficient.

Note:

 a statement from the author that the paper was refereed will not be accepted;

 a statement from a conference organiser/editor must demonstrate the link with the conference; e-mails from people who have no apparent connection with the conference will not be accepted;

 the mere existence of a national or international advisory board does not prove that all papers are assessed by members of it;

 a technical board may be substitute for an advisory board;

 for the current collection the simple statement in the proceedings that full papers were refereed will be accepted at face value; statements from the conference organiser must indicate that refereeing involves external assessment of the full paper or assessment of the full paper by members of an expert advisory board/panel/committee with broad national or international representation;

 items listed in the exclusions cannot be counted, whether refereeing is established or not


For all publications classified as E1 the following must be provided:

1. Complete copy or offprint of paper

2. Complete copy of the following pages from the conference proceedings: table of contents, preface, introduction and pages showing all bibliographical information as appropriate (ISBN or ISSN, author(s), editor, publisher and all dates referring to copyright, publication, printing and distribution)

3. Proof of national or international significance if not clearly shown in documents above.

National/international significance of a conference may be indicated by the presence of interstate/international speakers, or a listing of previous conference venues showing that the conference is held in a range of national/international locations

4. Evidence indicating the author’s affiliation to the institution. By-line or footnote or statement in publication indicating research undertaken in author's capacity as a staff member or student of the university or a statement from author attesting research undertaken in author's capacity as a staff member or student of the university (in support of this statement INS staff will provide confirmation that the author was an appointee or student of the

University in 2015).

5. Proof of peer reviewing as set out above; any of the following are acceptable as evidence of peer review:

 there is a statement in the conference proceedings which shows that contributions were peer reviewed

 there is a statement or acknowledgement from the conference proceedings editor which shows that contributions were peer reviewed



E2 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS NON REFEREED

E3 CONFERENCE PUBLICATIONS – EXTRACT PAPERS

E4 CONFERENCE PUBLICATIONS – EDITORSHIP OF VOLUME/S OF CONFERENCE

PROCEEDINGS

For all publications classified as conference publications (E2, E3 and E4) the following applies:

These refer to conference papers which have been made available for international circulation. The papers may appear in a number of different formats, e.g. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph. Papers must be presented at conferences of national and international significance.

Exclude:

 papers that appear only in a volume handed out to conference participants (excluded completely);

 papers presented at workshops, minor seminars, and conferences that are not regarded as having national or international significance (excluded completely)

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Category

Code

E2

Publication Category

Full written paper - non-refereed proceedings

This refers to written versions of conference presentations subsequently published which were not subject to peer review or formal assessment by an editorial board.

E3 Extract of paper

This refers to extracts or synopses of conference papers that are published in the conference proceedings.

E4 Editorship of a volume/s of conference proceedings

This refers to edited volumes of conference proceedings in which one or more members of institutional staff are identified as having editorial responsibility for the proceedings.

Exclude:

 edited volumes in which the university’s staff member is on the editorial advisory board but is not one of the listed editors of the volume (excluded completely)

G COMPUTER SOFTWARE


This category refers to innovative software products of commercial quality and offered for sale or distributed as

Shareware through a recognised publisher or distributor.

I PATENTS


This category refers to patents on specific products or processes granted for the first time, either in Australia or in an overseas country.

Include:

 a product or process for which a full patent has been granted

 patent granted for the first time in 2015

Exclude:

 provisional patents

 products or processes for which a full patent has been granted in any jurisdiction in previous years

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(ERA ELIGIBLE CATEGORY)

Q1 ORIGINAL CREATIVE WORKS – MAJOR RESEARCH COMPONENT

ERA Weighting: 1

To be included in this category the output must meet the definition of research as amplified in the general requirements for research outputs (as defined on page 4) and thus should make contributions to a particular cultural field in at least one of the following ways:

 advancement or extension of knowledge;

 new discoveries;

 innovative ideas, techniques, technologies;

 solutions to problems;

 refinement/reinterpretation of methods, techniques, existing knowledge;

 conceptual advances;

 constructive critiques and synthesis; and

 new means of dissemination.

For all Q1 research outputs, a research statement is mandatory. This should outline the research component of the creative work under the following three headings, which should combine to be a maximum of 2,000 characters

(approximately 250 words):










Research outputs are eligible as Original Creative Works (Q1 outputs) only where the relevant eligible researcher is the creator of the creative work rather than, for example, the curator of an exhibition of creative works produced by others (the latter should be recorded as T1 or T2 outputs). However, the exhibition of an Original Creative Work can be used to demonstrate that the work has been made publicly available.

There are five sub-categories, outlined below:

(Q1_1) Visual art work

This category includes research outputs such as a fine arts and crafts work, diagram, map, photographic image, sculpture or installation. The art work must have been made publicly available, usually through exhibition by a recognised museum or exhibiting authority of standing. This category would recognise the following as exhibition venues:



National or State Gallery or Museum



Contemporary Art Space



University Gallery



A member of the Regional Galleries Association



A member of the Commercial Galleries Association or a venue of equivalent standing



Public and Site-specific art projects



International exhibitions and projects



Curated virtual exhibitions

(Q1_2) Design/architectural work

This category includes realised, constructed, fabricated and unrealised (but publicly available) building and design projects. ‘Unrealised‘ projects must have an output that provides evidence of the research involved.

(Q1_3) Textual work

This category includes written creative work that is not eligible to be submitted as a book or journal article, such as a novel, short story, script for a play or film, art review, exhibition catalogue or catalogue entry. The category recognises the creation of a body of work or new works that has been published in a copyrightable medium by a recognised publisher or broadcaster, or represented in the context of a major arts organisation/event. The types of creative writing that may meet these criteria include original written work published, performed or broadcasted in a literary, theatrical, multimedia, cyber art, performance art, film, radio, video or hybrid art form. The work should be published, performed or broadcast from a venue or by a publisher of at least State standing.

16

Examples include:



a short story in a collection or journal released by a State-based publisher



a short play in a program performed at a capital city theatre



a short cyber work in a program produced at a State-recognised festival



a catalogue, or significant catalogue essay, produced for an exhibition held at one of the venues listed under Q1_1



a novel released by a State-based or international/national publisher



a play performed at a major capital city theatre



a cyber work produced at a State or nationally-recognised festival

(Q1_4) Musical composition

This category recognises musical compositions that have been published in a copyrightable medium by a recognised recording label or publisher or broadcaster, or represented in the context of a major arts organisation/event. The types of composition that might meet these criteria include newly commissioned work of significant proportions for performance / recording by a major national organisation such as Symphony

Australia, Musica Viva Australia, or organisations of at least regional or State-wide significance such as Opera

Queensland, Queensland Ballet, Queensland Theatre Company, the Song Company, Elision, Australian

Festival of Chamber Music.

(Q1_5) Other

Original creative works that do not fit the other sub-categories but have been made publicly available.


1. A copy of the work (if textual or a music composition); a link to the work (if web-based); a recording of the work

(if the work was made publicly available through performance or recording/rendering; or clips from a recording, if the recording is too large); or visual documentation of the art work/design/architectural work. Plus any other relevant material such as a program or an exhibition catalogue, where available.

2. Where applicable, evidence of peer review in the form of a published commentary and/or detailed statements by qualified experts who had access to the output.

3. Evidence of when the work was made publicly available (if the date is not already included on material provided to satisfy verification requirement 1, above).

4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the program/catalogue or no reference to Griffith University on a CD/Video jacket) please complete an authorship statement form).

5. A research statement.

Q2 ORIGINAL CREATIVE WORKS – MINOR RESEARCH COMPONENT (TO BE PART OF A

PORTFOLIO) OR PROFESSIONAL PRACTICE

There are two types of Q2 outputs, according to their Research Significance: Minor Research and Professional

Practice.

I. Q2 - Minor Research

To be included as a Q2 – Minor Research, the output must be intended as a minor component of a series or sequence of investigations that will form part of a portfolio of works on a particular research theme. The portfolio, when completed, will be recorded as a Q1, and will therefore meet the definition of research as amplified in the general requirements for research outputs (as defined on page 4) and thus should make contributions to a particular cultural field in at least one of the following ways:









17

Research outputs are eligible in the Q2 – Minor Research category only where the relevant eligible researcher is the creator of the creative work rather than, for example, the curator of an exhibition of creative works produced by others (the latter should be recorded as T1 or T2 outputs). However, the exhibition of an Original Creative Work can be used to demonstrate that the work has been made publicly available.

Verification requirements for Q2 - Minor Research





4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the program/catalogue or no reference to Griffith University on a CD/Video jacket) please complete an authorship statement form).

II. Q2 – Professional Practice

The Q2 – Professional Practice creative works category mirrors the Q1 creative works category, except that they are not the result of research; they are purely professional practice.

Verification requirements for Q2 – Professional Practice




The Q2 (Minor Research or Professional Practice) creative work sub-categories are the same as the Q1 subcategories:

(Q2_1) Visual art work

(Q2_2) Design/architectural work

(Q2_3) Textual work

(Q2_4) Musical composition

(Q2_5) Other

For further details of the sub-categories, please refer to Q1 sub-category descriptions above.


R1 LIVE PERFORMANCE OF CREATIVE WORKS – MAJOR RESEARCH COMPONENT











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This creative and performing arts category recognises the research leading up to the live performance of a creative work; the public performance is the research output. The performance should have been made publicly available in a copyrightable medium by a recognised recording label or publisher or broadcaster, and/or have taken place in the context of a major festival or series, at a public event and/or venue of State or regional significance. The category may include work that has been commissioned by an external agency.

For all R1 research outputs, a research statement is mandatory. This should outline the research component of the live performance under the following three headings, which should combine to be a maximum of 2,000 characters

(approximately 250 words):










There are four sub-categories, outlined below:

(R1_1) Music

This category includes performance of new music and demonstrably new or innovative interpretations or productions of existing music.

(R1_2) Play

This category includes performance of new plays and demonstrably new or innovative interpretations or productions of existing plays.

(R1_3) Dance

This category includes performance of new dance (choreography) and demonstrably new or innovative interpretations or productions of existing dance (choreography).

(R1_4) Other

This category includes performance of new work s of other types and demonstrably new or innovative interpretations or productions of existing works

of other types.


1. A recording of the work (or clips from a recording, if the recording is too large) plus any other relevant material, where available, such as a program.

2. Where applicable, evidence of peer review in the form of a published commentary and/or detailed statements by qualified experts who saw the performance.


4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the program) please complete an authorship statement form).


R2 LIVE PERFORMANCE OF CREATIVE WORKS

– MINOR RESEARCH COMPONENT (TO BE

PART OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

There are two types of R2 outputs, according to their Research Significance: Minor Research and Professional

Practice.

I. R2 - Minor Research

To be included as a R2 – Minor Research, the output must be intended as a minor component of a series or sequence of investigations that will form part of a portfolio of works on a particular research theme.

19

The portfolio, when completed, will be recorded as a R1, and will therefore meet the definition of research as amplified in the general requirements for research outputs (as defined on page 4) and thus should make contributions to a particular cultural field in at least one of the following ways:









This creative and performing arts category recognises the research leading up to the live performance of a creative work; the public performance is the research output. The performance should have been made publicly available in a copyrightable medium by a recognised recording label or publisher or broadcaster, and/or have taken place in the context of a major festival or series, at a public event and/or venue of State or regional significance. The category may include work that has been commissioned by an external agency.

Verification requirements for R2 - Minor Research


2. Where applicable, evidence of peer review in the form of a published commentary and/or detailed statements by qualified experts who saw the performance.


4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the program) please complete an authorship statement form).

II. R2 – Professional Practice

The R2 – Professional Practice creative works category mirrors the R1 creative works category, except that they are not the result of research; they are purely professional practice.

Outputs are eligible as R2 Live Performances of Creative Works (Professional Practice) only when the performance has been made publicly available in a copyrightable medium by a recognised recording label or publisher or broadcaster, and/or has taken place in the context of a major festival or series, at a public event and/or venue of

State or regional significance. The category may include work that has been commissioned by an external agency.

Verification requirements for R2 – Professional Practice



The R2 creative work sub-categories are the same as the R1 sub-categories:

(R2_1) Music

(R2_2) Play

(R2_3) Dance

(R2_4) Other

For further details of the sub-categories, please refer to R1 sub-category descriptions above.

20


S1 RECORDED/RENDERED CREATIVE WORKS – MAJOR RESEARCH COMPONENT











For Recorded/Rendered Creative Work research outputs, the research component is contained within the recording/rendering. Simple documentations of live performances of creative works without a research component are not eligible to be submitted as this research output type, but may be submitted as supporting material under

Live Performance of Creative Works (see R1 and R2 above).

For all S1 research outputs, a research statement is mandatory. This should outline the research component of the recording/rendering under the following three headings, which should combine to be a maximum of 2,000 characters (approximately 250 words):










There are six sub-categories, outlined below:

(S1_1) Film/video

This category includes films and videos where the research component is contained in the recording/ rendering

(scripts for films should be recorded under the Q1_3 category: Original Creative Work - Textual). In the case of film direction/production, the role of the director/producer would need to be demonstrated as comprising significant research input.

(S1_2) Performance

This category includes performances (in music, dance, theatre, etc.) that have been created specifically for a recorded medium. In the case of sound production, the role of the sound producer would need to be demonstrated as comprising significant research input. An example of the type of work that might meet the requirements of this category would be a significant personal contribution as the sound producer on the recording of a major body of recently created repertoire released by a commercial label/publishing house of national standing; such as Move Records, Tall Poppies, ABC Classics. In the case of theatre direction, the role of the director would need to be demonstrated as comprising significant research input.

(S1_3) Inter-arts

This category includes recorded/rendered work, often experimental, produced in association with other researchers in other disciplinary fields.

(S1_4) Digital creative work

This category includes creative 3D models, including digital outputs of architectural and design projects, computer programs, games, and visual artworks.

(S1_5) Website/web exhibition

These are eligible as recorded/rendered creative works if the eligible researcher is the creator of the creative works featured in the website. Curated web-based exhibitions of the creative work of others must be submitted as Curated or Produced Substantial Public Exhibitions and Events (as a T1_1 or T2_1 output).

(S1_6) Other

Other recorded/rendered creative works not listed above.

21


1. A copy of the work (or clips from the recorded/rendered work, if the recording is too large); or a link to the work

(if web-based). Plus any other relevant material such as marketing material, where available.

2. Where applicable, evidence of peer review in the form of a published commentary and/or detailed statements by qualified experts who had access to the recorded/rendered work.


4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the CD/Video jacket or on the website) please complete an authorship statement form).


S2 RECORDED/RENDERED CREATIVE WORKS – MINOR RESEARCH COMPONENT (TO BE PART

OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

There are two types of S2 outputs, according to their Research Significance: Minor Research and Professional

Practice.

I. S2 - Minor Research

To be included in this category the output must be intended as a minor component of a series or sequence of investigations that will form part of a portfolio of works on a particular research theme. The portfolio, when completed, will be recorded as an S1, and will therefore meet the definition of research as amplified in the general requirements for research outputs (as defined on page 4) and thus should make contributions to a particular cultural field in at least one of the following ways:







 refinement/reinterpretation of methods, techniques, existing knowledge; conceptual advances;



For Recorded/Rendered Creative Work research outputs, the research component is contained within the recording/rendering. Simple documentations of live performances of creative works without a research component are not eligible to be submitted as this research output type, but may be submitted as supporting material under

Live Performance of Creative Works (see R1 and R2 above).

Verification requirements for S2 - Minor Research



2. Where applicable, evidence of peer review in the form of a published commentary and/or detailed statements by qualified experts who had access to the recorded/rendered work.


4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the CD/Video jacket or on the website) please complete an authorship statement form).

22

II. S2 – Professional Practice

The S2 – Professional Practice creative works category mirrors the S1 creative works category, except that they are not the result of research; they are purely professional practice.

Verification requirements for S2 – Professional Practice




The S2 creative work sub-categories are the same as the S1 sub-categories:

(S2_1) Film/video

(S2_2) Performance

(S2_3) Inter-arts

(S2_4) Digital creative work

(S2_5) Website/web exhibition

(S2_6) Other

For further details of the sub-categories, please refer to S1 sub-category descriptions above.


T1 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND EVENTS – MAJOR

RESEARCH COMPONENT











The Curated or Produced Substantial Public Exhibitions and Events research output type (T1 category) is specifically aimed at research outputs produced by curators rather than artists (although exhibition catalogues written by curators should be submitted under the Q1_3 or Q2_3 categories (as Original Creative Works –

Textual)); artists may claim exhibitions of their original creative works under the Q1_1, or Q2_1 categories (Original

Creative Works – Visual Art Work), where the exhibition of the creative works is used as evidence that those works have been made publicly available.

Multiple exhibitions/events cannot be counted as multiple research outputs where the repeated exhibitions/events do not introduce a new research component to the work. For example, a touring exhibition can only be counted once. However, multiple exhibitions/events may be counted where each subsequent exhibition/event introduces a substantial new research component to the work that builds upon the initial research component of the original exhibition/event.

23

Recurring exhibitions and events may be submitted. For example, the Biennale of Sydney is a recurring event with each occurrence being unique rather than a repeat of the previous occurrence.

For all T1 research outputs, a research statement is mandatory. This should outline the research component of the curation/production under the following three headings, which should combine to be a maximum of 2,000 characters (approximately 250 words):










There are four sub-categories, outlined below:

(T1_1) Web-based exhibition

This category recognises the curation and/or production of an internet website presenting a collection of creative works where the internet is the medium of the exhibited works.

(T1_2) Exhibition/event

This category recognises the curation and/or production of a collection of creative works exhibited together for the first time, in that particular arrangement, in a recognised gallery, museum, or event. Verification material should include a well-researched publication that includes the date and location of the exhibition.

(T1_3) Festival

This category recognises the curation of a festival bringing together innovative work or existing works in an innovative format or through a theme that provides new perspectives and/or experiences.

(T1_4) Other

This category recognises curated or produced substantial public exhibitions and events that do not fit into the above sub-categories.


1. A link to the work (if web-based); or visual documentation of the exhibition/event/ festival. Plus any other relevant material such as a program or an exhibition catalogue, where available.



4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with Griffith University on the exhibition catalogue) please complete an authorship statement form).


T2 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND EVENTS – MINOR

RESEARCH COMPONENT (TO BE PART OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

There are two types of T2 outputs, according to their Research Significance: Minor Research and Professional

Practice.

Multiple exhibitions/events cannot be counted as multiple outputs where the repeated exhibitions/events do not introduce a new creative component to the work. For example, a touring exhibition can only be counted once.

However, multiple exhibitions/events may be counted where each subsequent exhibition/event introduces a new creative component to the work that builds upon the initial creative component of the original exhibition/event.

Recurring exhibitions and events may be submitted. For example, the Biennale of Sydney is a recurring event with each occurrence being unique rather than a repeat of the previous occurrence.

24

I. T2 - Minor Research

To be included in this category the output must be intended as a minor component of a series or sequence of investigations that will form part of a portfolio of works on a particular research theme. The portfolio, when completed, will be recorded as a T1, and will therefore meet the definition of research as amplified in the general requirements for research outputs (as defined on page 4) and thus should make contributions to a particular cultural field in at least one of the following ways:









This Curated or Produced Substantial Public Exhibitions and Events research output type (T2 category) is specifically aimed at research outputs produced by curators rather than artists (although exhibition catalogues written by curators should be submitted under the Q1_3 or Q2_3 categories (as Original Creative Works –

Textual)); artists may claim exhibitions of their original creative works under the Q1_1or Q2_1 categories (Original

Creative Works – Visual Art Work), where the exhibition of the creative works is used as evidence that those works have been made publicly available.

Verification requirements for T2 - Minor Research




4. Evidence indicating the author’s/creator’s affiliation with the University (if the output does not state the creator’s affiliation with the institution (for example, there is no reference to the creator’s affiliation with

Griffith University on the exhibition catalogue) please complete an authorship statement form).

II. T2 – Professional Practice

The T2 – Professional Practice category mirrors the T1 category, except that these outputs are not the result of research – they are purely professional practice.

Verification requirements for T2 – Professional Practice



The T2 creative work sub-categories are the same as the T1 sub-categories:

(T2_1) Web-based exhibition

(T2_2) Exhibition/event

(T2_3) Festival

(T2_4) Other

For further details of the sub-categories, please refer to T1 sub-category descriptions above.

25

CREATIVE AND PERFORMING ARTS ESTEEM INDICATORS


N1 COMMISSIONS

Scope

This category recognises a significant commission for a creative work. The types of commissions that may meet the criteria include a public art work, film documentary, series of photographs, piece of design, multimedia production, interactive game, film or television script, theatrical work or musical composition. For example, a television, cinema, or video program or animation program which may include works of documentary, drama, or other expressly authored motion picture work that receives nationally or internationally documented broadcast or distribution for theatrical release. (For example through the AFC, SBS, Ronin Australia.) Another example would be the production of an original commercial/public design application such as the design of new architectural interiors and environments, print publications, digital media or industrial/commercial products.


1. An authorised copy of the written submission that accompanied the commission bid, if one was required; and/or a copy of the criteria set by the commissioning agent or organisation.

2. Peer review in the form of an authorised copy of the official comments provided by the commissioning agent/panel to the successful recipient.

N7 AWARDS

Scope

This category recognises the achievement of the artist for a specific work or body of works through the presentation of, or nomination for, an award. This includes nominations and recognition as a finalist or award of merit. This category does not include honorary or career / lifetime achievement awards. Examples of awards that may meet the criteria of this category include: The Australia Council Emeritus Award, Samstag Fellowships and the Brett

Whitley Travelling Scholarship.

Verification Requirements

1. An authorised copy of the official criteria for the award.

2. Peer review in the form of an unauthorised copy of the comments from the panel responsible for selecting the award recipient.

STRATEGIC RESEARCH PERFORMANCE CATEGORIES


O1 INVITED KEYNOTE ADDRESSES AT INTERNATIONAL CONFERENCES

Scope

To be included in this category the conference at which a staff member of the University presents an invited

Keynote Address must meet all the qualifications of an International Conference (refer HERDC/ERA Eligible

Category E1). There needs to be written evidence that the Address was invited by the conference organisers. The year for collection of O1 invitations is the year during which the conference took place (or the year during which it commenced, if its duration spanned two calendar years).

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This category is intended to record such invitations, whether or not the conference proceedings have as yet been published.


1. Copy of a letter or email from the conference organisers inviting the staff member to give a Keynote

Address at the conference, containing name, dates, location and organising body of the conference, and

2. Proof of international significance of the conference if not clearly shown in the invitation.

International significance of a conference may be indicated by the presence of international speakers, or a listing of previous conference venues showing that the conference is held in a range of international locations, and

3. Evidence indicating the speaker’s affiliation to the institution at the time of invitation if not evident from the written invitation. For instance, attribution in the published proceedings if available.

O2 EDITORIAL BOARD MEMBERSHIPS OF INTERNATIONAL JOURNALS

To be included in this category, the journal for which a staff member of the University serves as an editorial board member must either be published outside Australia, or if published in Australia it must have international contributors and an international editorial board membership.


1. Copy of a letter or email from the Editor or Publisher of the journal inviting the staff member to join the

Editorial Board (as Editor or Assistant Editor), indicating the membership includes part or all of the reporting year; and

2. Proof of international nature of the journal if not clearly shown in the invitation.

I nternational nature of the journal may be indicated by it being published by an overseas-based publisher, or, if published in Australia, by written evidence of overseas-based contributors and international membership of the editorial board; and

3. Evidence indicating the board member’s affiliation to the institution at the time of invitation if not evident from the written invitation. For instance, attribution in the journal or its official web-site.

O3 OVERSEAS RESEARCH VISITORS

This category aims to record visits to Griffith University by overseas academics who are actively collaborating with

Griffith staff (whether formally on a funded project or more generally through discussions and exchange of information).

The visitor’s name, dates of visit(s), country and institution of origin, and brief description of research interests in common, are to be reported.

There is no minimum time period for a visit to be included in this category. The same visitor may visit more than once in the calendar year, but should be counted only once for that year (quote start and finish dates for one visit or for the sequence of visits). Where a visit spans two or more calendar years, it should be submitted for the calendar year when the visit commenced.


Where available, copies of letters or emails confirming the visit(s) or evidence of the visitor’s participation in research-related events at Griffith or outside the University in conjunction with their Griffith host.

O4 GUEST EDITORSHIP OF SPECIAL EDITION OF A REFEREED JOURNAL

To be included in this category the journal in which a staff member of the University edits a special edition must meet all the qualifications of a Referred Journal (refer to HERDC/ERA Eligible Category C1). This category is intended to capture instances where a refereed journal produces a special edition, usually on a single theme or to commemorate an event or the career of an outstanding researcher, and the staff member is invited to edit the special edition in recognition of his or her major contributions to or special knowledge of the field.

27


1. Copies of pages showing all bibliographic information (journal title, ISSN, dates, title/purpose of the special edition, name of guest editor).

If an ISSN does not appear in the journal, o external evidence such as an ISSN number being cited in an extract from an authoritative journal listing, such as the Thomson-Reuters Master Journals List ( http://scientific.thomson.com/mjl/ ) or from the Scopus database o evidence that the journal is classified as ‘refereed’ in the Ulrich’s Knowledgebase

(https://ulrichsweb.serialssolutions.com/)

2. Evidence indic ating the guest editor’s affiliation to the institution – e.g. by-line or footnote or statement in publication, or letter from the regular editor of the journal inviting the staff member to edit the special edition, acknowledging affiliation with the institution.

3. Proof of peer reviewing as set out in page 5; any of the following

 listing on the ARC's Excellence in Research for Australia (ERA) latest available journal list or

 listing in Thomson Reuters Web of Knowledge Master Journal List http://scientific.thomson.com/mjl/

 classification as ‘refereed’ in the Ulrich’s Knowledgebase https://ulrichsweb.serialssolutions.com/ or

 a statement in the journal which shows that contributions are peer reviewed or

 a statement or acknowledgement from the journal editor which shows that contributions are peer reviewed or

 a copy of a reviewer’s assessment relating to the guest editorial (if applicable)

O9 INTERNATIONAL RESEARCH COLLABORATIONS

This category aims to record collaborative research projects of 12 months or longer duration between Griffith

University staff and overseas-based researchers, institutions and industry organisations, where no funding flows to

Griffith. Note that such collaborations which do result in funding to Griffith are separately picked up by the Office for

Research through the University’s financial accounts, and therefore do not require research staff to enter them again in the Research Information Management System (RIMS).


Where available, copies of written evidence sufficient to confirm the nature of the collaboration and its duration.

This may take the form of a collaboration agreement (or essential index, recitals and schedule in the case of long agreements), a letter of appointment, or an article or conference presentation issued by the collaboration and spelling out its purpose and duration.

Or

Confirmation by the respective Dean or Director of the basic facts of the collaboration.

P1 NATIONAL RESEARCH COLLABORATIONS

This category aims to record collaborative research projects of 12 months or longer duration between Griffith

University staff and external, Australian-based researchers, institutions and industry organisations, where no funding flows to Griffith. Note that such collaborations which do result in funding to Griffith are separately picked up by the Office for Research through the University’s financial accounts, and therefore do not require research staff to enter them again in the Research Information Management System (RIMS).


Where available, copies of written evidence sufficient to confirm the nature of the collaboration and its duration.

This may take the form of a collaboration agreement (or essential index, recitals and schedule in the case of long agreements), a letter of appointment, or an article or conference presentation issued by the collaboration and spelling out its purpose and duration.

Or

Confirmation by the respective Dean or Director of the basic facts of the collaboration.

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NON-GRIFFITH PUBLICATION CATEGORIES

Non-Griffith publications are research publications and outputs produced when the research leading to the publication was conducted while the author was not affiliated with Griffith University.

Publication categories for non-Griffith publications are the same as above, but the publication’s collection status in the RIMS record is “External” to distinguish them from Griffith publications, which have collection status: “On time”.

Although non-Griffith publications cannot be submitted for the annual HERDC, they are essential for ERA reporting, staff promotional purposes, and can also be made available for open access via Griffith Research Online (GRO).

FURTHER INFORMATION

For further information contact:

Research Publications Officer

Ext. 54121 or 54095

Tel: 3735 54121 or 3735 54095

Email: rpso@griffith.edu.au

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definition of research

RESEARCH OUTPUTS DEFINITIONS

TABLE OF CONTENTS

INTRODUCTION: DATA COLLECTED IN THE RESEARCH INFORMATION MANAGEMENT

SYSTEM (RIMS)

DEFINITIONS

DEFINITION OF RESEARCH

YEAR OF PUBLICATION

EXPANDED YEAR OF PUBLICATION DEFINITION

AUTHOR AFFILIATION

PEER REVIEW

COMMERCIAL PUBLISHER

FOREIGN LANGUAGE PUBLICATIONS

FORMAT

RESEARCH OUTPUT CATEGORIES

A1 BOOKS – AUTHORED RESEARCH (HERDC/ERA ELIGIBLE CATEGORY)

(NON-HERDC/ERA ELIGIBLE CATEGORIES)

A2 BOOKS – AUTHORED OTHER

A3 BOOKS – EDITED

A4 BOOKS – REVISION/NEW EDITION

B1 BOOK CHAPTERS – AUTHORED RESEARCH (HERDC/ERA ELIGIBLE CATEGORY)

B2 BOOK CHAPTERS – OTHER

(NON-HERDC/ERA ELIGIBLE CATEGORY)

C1 JOURNAL ARTICLES – REFEREED ARTICLES IN SCHOLARLY JOURNALS

(HERDC/ERA ELIGIBLE CATEGORY)

(NON-HERDC/ERA ELIGIBLE CATEGORIES)

C2 JOURNAL ARTICLES – NON-HERDC JOURNAL ARTICLES

C3 LETTERS OR NOTES IN JOURNALS

D MAJOR REVIEWS/REPORTS

(NON-HERDC/ERA ELIGIBLE CATEGORY)

E1 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS REFEREED

(HERDC/ERA ELIGIBLE CATEGORY)

(NON-HERDC/ERA ELIGIBLE CATEGORIES)

E2 CONFERENCE PUBLICATIONS – FULL WRITTEN PAPERS NON REFEREED

E3 CONFERENCE PUBLICATIONS – EXTRACT PAPERS

E4 CONFERENCE PUBLICATIONS – EDITORSHIP OF VOLUME/S OF CONFERENCE

PROCEEDINGS

G COMPUTER SOFTWARE

(NON-HERDC/ERA ELIGIBLE CATEGORY)

I PATENTS

(NON-HERDC/ERA ELIGIBLE CATEGORY)

(ERA ELIGIBLE CATEGORY)

Q1 ORIGINAL CREATIVE WORKS – MAJOR RESEARCH COMPONENT

Q2 ORIGINAL CREATIVE WORKS – MINOR RESEARCH COMPONENT (TO BE PART OF A

PORTFOLIO) OR PROFESSIONAL PRACTICE

(ERA ELIGIBLE CATEGORY)

R1 LIVE PERFORMANCE OF CREATIVE WORKS – MAJOR RESEARCH COMPONENT

R2 LIVE PERFORMANCE OF CREATIVE WORKS

– MINOR RESEARCH COMPONENT (TO BE

PART OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

(ERA ELIGIBLE CATEGORY)

S1 RECORDED/RENDERED CREATIVE WORKS – MAJOR RESEARCH COMPONENT

S2 RECORDED/RENDERED CREATIVE WORKS – MINOR RESEARCH COMPONENT (TO BE PART

OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

(ERA ELIGIBLE CATEGORY)

T1 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND EVENTS – MAJOR

RESEARCH COMPONENT

T2 CURATED OR PRODUCED SUBSTANTIAL PUBLIC EXHIBITIONS AND EVENTS – MINOR

RESEARCH COMPONENT (TO BE PART OF A PORTFOLIO) OR PROFESSIONAL PRACTICE

CREATIVE AND PERFORMING ARTS ESTEEM INDICATORS

(NON-HERDC/ERA ELIGIBLE CATEGORIES)

N1 COMMISSIONS

N7 AWARDS

STRATEGIC RESEARCH PERFORMANCE CATEGORIES

(NON-HERDC/ERA ELIGIBLE CATEGORIES)

O1 INVITED KEYNOTE ADDRESSES AT INTERNATIONAL CONFERENCES

O2 EDITORIAL BOARD MEMBERSHIPS OF INTERNATIONAL JOURNALS

O3 OVERSEAS RESEARCH VISITORS

O4 GUEST EDITORSHIP OF SPECIAL EDITION OF A REFEREED JOURNAL

O9 INTERNATIONAL RESEARCH COLLABORATIONS

P1 NATIONAL RESEARCH COLLABORATIONS

NON-GRIFFITH PUBLICATION CATEGORIES

FURTHER INFORMATION

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