1. 2013 Research Publications Collection Classification Information Session

2. Session Outline Introduction –Background –Performance based funding –Other outcomes Classification guidelines –General eligibility requirements –HERDC category – A1, B1, C1 & F1 eligibility requirements –Verification evidence – HERDC categories Practical session / discussion Collection timeline Contact details

3. Background Higher Education Funding Act 1988 (Section 18 (1G)) Annual HERDC Higher Education Research Data Collection (HERDC) - 2 components: –Research Publications 1.Research Books 2.Chapters in Research Books 3.Refereed Journal Articles 4.Fully Written Refereed Conference Publications –Research Income 1.Australian Competitive Grants 2.Other Public Sector 3.Industry and Other 4.Cooperative Research Centres

4. Performance Based Funding Research income and research publications data is submitted by universities each year is used to determine funding allocations under: –Institutional Grants Scheme (IGS) Commonwealth-funded Research Student Load (30%) Research Income (60%) Research Publications (10%) ≈ $4.2M (2011) –Research Training Scheme (RTS) HDR Completions Research Income Research Publications (10%) ≈ $1.4M (2011)

5. Other Outcomes University funding model –Distribution of RTS and IGS funding to faculties Research performance indicator –Department & Faculty Operational performance reviews –Go8 research performance benchmarking –Individual researchers (Professional Development Framework) Researcher profile – ‘Find an Expert’ Research Report

6. Classification Guidelines 5 main sections (and 4 appendices) –Section 4 – HERDCcategories Key Characteristics of Research Publications General criteria for inclusion For each HERDC category –Specific category criteria for inclusion –Verification evidence (retained by department for 3 years) –Potential inclusions/exclusions –Section 5 – non-HERDCcategories For each non-HERDC category –General requirements –Potential inclusions/exclusions

7. Key Characteristics of Research Publications For the purposes of this collection, a ‘research publication’ is characterised by: –substantial scholarly activity, as evidenced by discussion of the relevant literature, an awareness of the history and antecedents of work described, and a format which allows a reader to trace sources of the work through citations, footnotes etc; –originality (i.e. not a compilation of existing works); –veracity/validity through a peer validation process or by satisfying the commercial publisher or gallery processes; –increasing the stock of knowledge; and –being in a form that enables dissemination of knowledge.

8. General Eligibility Requirements Only be counted once If, for example, 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. Definition of research Each publication must meet the HERDC definition of research to be considered eligible for the collection.

9. General Eligibility Requirements cont. Year of publication The research must have been published in 2013 and the date of publication must appear within or on the work being claimed. Letters from authors, editors, creators, etc., stating that a work was published in 2013, even though no such date exists within the publication, is not acceptable evidence of year of publication. A work published in 2012 cannot be counted as a 2013 publication, even if it is not received by the author or by libraries until 2013.

10. General Eligibility Requirements cont. Author affiliation Institutional affiliation must be identified either: –within or on the work being claimed (byline or statement); or –where institutional affiliation is not identified within a work, the University must obtain a statement from the author indicating that he or she undertook the research leading to the publication in his or her capacity as a staff member or student of the University.

11. General Eligibility Requirements cont. Commercial publisher – A1 and B1 The concept of a commercial publisher is used as a surrogate quality test for books and book chapters. A commercial publisher must undertake some quality control such as editorship, readers notes, or peer review. A publisher who accepts and publishes a manuscript without any quality control should not be counted as a commercial publisher. ‘A commercial publisher is an entity for which the core business is producing books and distributing them for sale.’

12. General Eligibility Requirements cont. Peer Review – A1 and B1 A book or book chapter been published by a non-commercial publisher may still be eligible if there has been a peer review process for the entire publication.

14. General Eligibility Requirements cont. Peer review – C1 and F1 For the purposes of this collection, an acceptable peer review process is one that involves an independent, expert review. The peer review process must involve assessment of the publication: –in its entirety – not merely an abstract or extract; –before publication; and –by appropriately independent, qualified experts. Independent in this context means independent of the author. Themis Publications contains a list of peer reviewed journals. If the journal you require is not already in Themis Publications you will need to provide evidence to the Research Office before the journal will be added.

16. Foreign language publications Foreign language publications are eligible to be counted. The same verification evidence is required, in English, as for any other works that are sampled for audit. It is not necessary to translate the entire publication, but all relevant sections required for the verification of information to demonstrate that it meets the criteria of the category against which it is being claimed. This includes evidence that the work meets the definition of research. Electronic works Electronic works are eligible to be counted, provided they meet all of the criteria of the publications category against which they are being claimed. General Eligibility Requirements cont.

17. Category A1 – Book Eligibility Requirements To be included in this category the publication must: –be a major work of scholarship; –be mainly previously unpublished; –be offered for sale; –have an ISBN; –be written entirely by a single author, or by joint authors who share responsibility for the entire book; and –have been published by a commercial publisher.

18. Category B1 – Book Chapter Eligibility Requirements To be included in this category the publication must: –be published in a book that meets the A1 eligibility requirements (except single author criterion); and –be a contribution to an edited compilation in which the material is subject to editorial scrutiny. –a book chapter may be included if it has been published previously as long as it constitutes substantial new material and constitutes original research.

19. Category C1 – Refereed Journal Article Eligibility Requirements To be included in this category the publication must: –be published in a scholarly journal; –have been peer reviewed; and –have an ISSN (journal).

20. Category F1 – Refereed Conference Publication Eligibility Requirements To be included in this category the publication must: –be published in full – NOT ABSTRACTS – (may include volume of proceedings, special edition of journal, normal issue of a journal, book); –have been peer reviewed; –have been presented at a conference of national or international significance.

21. A1 or Not?

23. B1 or B2? Chapter title: Introduction

24. B1 or B2? Chapter title: Working with minority groups in developed countries

25. C1 or C2?

27. F1 or F2?

29. Verification Material – All HERDCCategories For all publications, the University must be able to provide the following, if required, by the Commonwealth or for a publications audit: –photocopies of contents, preface, introduction and pages showing all bibliographical information (title, author(s), ISBN or ISSN, publisher, all dates referring to copyright, publication, printing and distribution, as appropriate). For example, an ISBN and a publisher are not required for conference publications but each is essential for books and book chapters. –evidence indicating the author’s affiliation to the University.

30. Verification Material – A1 Books 1.Copy of table of contents. 2.Copy of preface and/or introduction this evidence is required so auditors can assess the work against the HERDCdefinition of research activity. In some cases other relevant evidence, such as the first chapter of the book or a statement by an expert in the field, may be required. 3.Translation for LOTE publications (languages other than English). Please note that it is not necessary to translate the entire publication, but only the relevant sections required for the verification of information to demonstrate that it meets all the criteria of the A1 HERDCcategory.

31. Verification Material – B1 Book Chapters 1.Table of contents showing total number of chapters in book and page numbers of chapter. 2.The entire chapter showing the title of the book chapter and the preface and introduction of the book. All of this evidence is required so auditors can assess the work against the HERDC definition of research activity. In some cases other relevant evidence, such as a statement by an expert in the field may be required. 3.Translation for LOTE publications (languages other than English). Please note that it is not necessary to translate the entire publication, but only the relevant sections required for the verification of information to demonstrate that it meets all the criteria of the B1 HERDC category. 4.Additional evidence may be required if the chapter is a new chapter in a revised edition. In this case, the table of contents of the previous edition will also be required (or the preface if it indicates that the chapter is new).

32. Verification Material – C1 Journal Articles 1.The entire article showing all bibliographic information: affiliation with University of Melbourne for author(s) being claimed; all author(s) of journal article; all dates referring to copyright, publications, printing and distribution; title of journal; title of journal article; issue number of journal; volume number of journal; page numbers of journal article; publisher; place of publication, ISSN. (If some of this bibliographic information is not shown then photocopies of the flyleaf or other pages containing this information will need to be retained). 2.Translation for LOTE publications (languages other than English). Please note that it is not necessary to translate the entire publication, but only the relevant sections required for the verification of information to demonstrate that it meets all the criteria of the C1 HERDC category.

33. Verification Material – F1 Conference Publications 1.Table of contents, preface and introduction of the conference publication. 2.Flyleaf or other introductory pages showing all bibliographic information: affiliation with University of Melbourne for author(s) being claimed; editor(s) of conference publication; all dates referring to copyright, publications, printing and distribution; title of conference publication; issue and volume number of conference publication (if applicable). 3.Conference name; date of conference; location of conference; publisher; place of publication; ISBN/ISSN (if applicable). 4.The entire paper showing title of conference paper; all author(s) of conference paper; page numbers of conference paper. This evidence is also required so auditors can assess the work against the HERDC definition of research activity. In some cases other relevant evidence, such as a statement by an expert in the field, or the preface/introduction may be required.

34. Verification Material – F1 Conference Publications cont. 5.Proof of national/international significance of the conference. 6.Proof of keynote status (if applicable). 7.Proof of peer review. 8.Translation for LOTE publications (languages other than English). Please note that it is not necessary to translate the entire publication, but only the relevant sections required for the verification of information to demonstrate that it meets all the criteria of the F1 HERDC category.

35. Collection Timeline HERDC collection deadline –Friday February 28, 2014 Non-HERDC collection deadline –Monday 28 April 2014

36. Collection Information Contacts –email publications-collection@unimelb.edu.au –Paul Quilty x 42070 pquilty@unimelb.edu.au Website http://www.research.unimelb.edu.au/performance/collect/publications

37. Practical Examples For the purposes of the practical exercise we are asking you to assess the eligibility of publications from the year 2010. i.e. 2009 and 2011 publications would be ineligible. The authors listed in bold on the checksheet are those that are being claimed by the University of Melbourne.