General requirements

For publications to be included in the HERDC collection they must:

  • Meet the definition of research
  • Only be counted once by each Higher Education Provider (HEP) e.g. if a conference paper is published in conference proceedings and is subsequently included as a journal article, it can be counted as an article or as a conference paper but not both

The 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
  • the supervision of students enrolled at the HEP and undertaking HDR training and courses
  • research and experimental development into applications software, new programming languages and new operating systems (such R&D would normally meet the definition of research)

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

  • scientific and technical information services
  • general purpose or routine data collection
  • standardisation and routine testing
  • feasibility studies (except into research and experimental development projects)
  • specialised routine medical care
  • commercial, legal and administrative aspects of patenting, copyright or licensing activities
  • routine computer programming, systems work or software maintenance.

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Research publications

Research publications are books, book chapters, journal articles and/or conference publications which comply with the definition of research and are 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 the quality control processes of a commercial publisher;
  • increasing the stock of knowledge; and
  • being in a form that enables the dissemination of knowledge.

Research publications may be produced in any appropriate format, such as print, publication online, or publication in digital form on separate media such as a CD.

Publication is more than the release of a work. It implies quality control (such as peer review or in-house quality control) and enhancement through processes such as assessment or review, editing, copy-editing, design, and conversion of the work to an appropriate format.

Important note:

Scholarly editions and scholarly translations must have a major demonstrable original research component in the edition or translation to be considered for inclusion in a HEP's research publications return.

Unless otherwise specified, a reference to publication refers to research publications.

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Year of publication

The fundamental principles that underpin the publications data are:

  • The publication is claimed in the appropriate year.
  • The year of publication must be verifiable.
  • The publication is claimed once only.

To be able to count publications in the 2013 submission of Research Publications Return - Return 2:

  • the research must have been published in the 2012 calendar year, and
  • 2012 must be stated as the year of publication within or on the work being claimed.

The definition of published in this context is the date the publication was released to its intended audience. Publications which are published as ‘advance’ or ‘in press online’ may be reported either in the year that they published online or the year of final publication. (The key requirement, as stated above, is that the publication is claimed only once).

Letters from authors, editors etc stating that a research publication was published in 2012, even though 2012 is not stated within or on the work as the year of publication, are not acceptable evidence of the year of publication. There are two exceptions:

  • For journal articles and/or conference publications that are produced on CD or are web-based, and do not contain a date published within or on the work being claimed, a letter from a journal editor or conference organiser verifying the published date may be accepted.
  • The date a conference was held may be acceptable evidence of the year of publication.

The year of publication is normally the latest of the year indicated as published, printed or the year of copyright. A publication with a 2013 copyright date can be reported in the 2012 collection, provided it has a publication date of 2012, and it is not counted again in the 2013 collection.

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

Expanded year of publication definition

HEPs must be able to demonstrate (in the verification material that they maintain) that the publication was not produced until after the submission date for that year’s publication return i.e. that the publication, although containing a 2011 publication date, was not published until after 30 June 2012. A letter from the publisher will be considered sufficient verification material to support the claim.

Only those publications which were published after the submission date for the 2011 data collection and contain a 2011 publication date may be included under this provision.

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Author affiliation

The author of the research publication being counted in the Research Publication Return - Return 2 must be affiliated with the claiming HEP and the affiliation must be identified either within or on the work being claimed.

Please see the UWS Procedures for Attribution of Authorship to assist in ensuring your work will be readily identified and harvested by databases.

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

  • a statement from the author indicating that he or she undertook the research leading to the publication in his or her capacity as a staff member or student of the HEP and either
  • 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 HEP in 2012 (or earlier if that was when the research leading to the publication was conducted) or
  • an extract from the HEP’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 HEP (e.g. Janet Harvey, Tutor in Economics, HEP X; PhD student, HEP Y), each Australian HEP named in that by-line can each count the publication in its respective Research Publication Return - Return 2.

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

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Peer review

For the purposes of the HERDC, an acceptable peer review process is one that involves 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.

Peer review is required for journal articles and conference publications. It is also required for books and book chapters that are not published by a commercial publisher being counted in the Research Publications Return - Return 2.

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

  • the journal is listed on the ARC's Excellence in Research for Australia (ERA) 2012 or 2010 journal lists
  • the journal is listed in Thomson Reuters Web of Knowledge Master Journal List
  • the journal is classified as ‘refereed’ in the Ulrich’s Knowledgebase
  • there is a statement in the journal which shows that contributions are peer reviewed
  • there is a statement or acknowledgement from the journal editor which shows that contributions are peer reviewed
  • a copy of a reviewer’s assessment relating to the article.

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

  • there is a statement in the conference proceedings which shows that contributions are peer reviewed
  • there is a statement or acknowledgement from the conference proceedings editor which shows that contributions are peer reviewed
  • a copy of a reviewer’s assessment relating to the conference paper.

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

  • there is a statement in the book which shows that contributions are peer reviewed and in the case of book chapters, which indicates which chapters are peer reviewed, if this does not apply to all content
  • there is a statement or acknowledgement from the publisher or editor which shows that contributions are peer reviewed
  • a copy of a reviewer’s assessment relating to the book or book chapter.

Important note:

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

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Commercial publisher

A commercial publisher is an entity for which the core business is publishing books and distributing them for sale.

Important note:

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

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

HEP and other self-supporting HEP presses are also regarded as commercial publishers, provided that they have responsibility for distribution in addition to publication.

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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 is a major work of scholarship and meets the definition of research.

Important note:

The Australian Academy of the Humanities has advised that they are no longer in a position to assist HEPs in the verification of foreign language publications in the fields of the humanities.

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Format

Works in any format, including electronic works, are eligible to be counted, provided they meet all relevant criteria in the specifications for the publications category against which they are being claimed.

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