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PUBLICATION COLLECTION OVERVIEW

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PUBLICATION COLLECTION OVERVIEW

  1. 1. THE UNIVERSITY OF NEWCASTLE DRAFT GUIDELINES FOR THE COLLECTION OF 2006 RESEARCH PUBLICATIONS PUBLICATION COLLECTION OVERVIEW.....................................................1 DEST DEFINITIONS OF RESEARCH AND RESEARCH PUBLICATIONS....2 DESCRIPTION OF ALL PUBLICATION TYPES..............................................6 A. BOOKS.................................................................................................................................................6 A1. Authored - Research (DEST category)...........................................................................................6 A2. Authored - Other ............................................................................................................................7 A3. Edited..............................................................................................................................................8 B. CHAPTERS IN A BOOK ..................................................................................................................9 B1. Book Chapter - Research (DEST category)....................................................................................9 B2. Chapter - Other..............................................................................................................................10 C. JOURNAL ARTICLES....................................................................................................................11 C1. Refereed article in a scholarly journal (DEST category)..............................................................11 C2. Non refereed article in a scholarly journal....................................................................................12 C3. Article in a professional journal....................................................................................................13 D. REVIEW...........................................................................................................................................14 D1. A substantial review of an entire field of study...........................................................................14 D2. Review – Other ............................................................................................................................14 E. CONFERENCE PUBLICATION ...................................................................................................15 E1. Full written paper - refereed (DEST category)..............................................................................15 E2. Full written paper - non refereed...................................................................................................16 E3. Abstracts of papers, poster presentations.......................................................................................17 E4. Edited volume of conference proceedings....................................................................................17 F. OTHER CREATIVE WORKS .......................................................................................................18 F1. Minor written or recorded work, exhibitions.................................................................................18 F2. Representation of Original Art.......................................................................................................18 F4. Acquisition.....................................................................................................................................19 G. COMPUTER SOFTWARE.............................................................................................................20 H. DESIGNS ..........................................................................................................................................21 H1. Refereed Designs...........................................................................................................................21 I. PATENTS ...........................................................................................................................................24 I1. Full Patent ......................................................................................................................................24 I2. Application for Patent.....................................................................................................................24 J. MAJOR CREATIVE WORKS.........................................................................................................25 J1. Published Work..............................................................................................................................25 J2. Recorded Work...............................................................................................................................26 J3. Exhibitions......................................................................................................................................26 Draft Guidelines for the Collection of 2006 Research Publications
  2. 2. Date issued: November 2006 PUBLICATION COLLECTION OVERVIEW The Publications Entry System (PES) module of Callista Research supports the process of an annual collection of research publications with reference to DEST specifications and the University’s policies and procedures. This collection is conducted by the University for a number of reasons: 1. Research Quality Framework (RQF) The quality and quantity of research publications is currently, and will remain, a significant factor in the Federal Government's approach to the assessment of research productivity. The recognition of such research output is therefore of great importance to the University. 2. DEST Data Collection The DEST Publications Data Collection is designed to measure the relative research output of institutions. We are therefore required to report annually certain publication data to the Government (DEST). This data forms an important component of the formula which calculates funding allocated to this University under the Institutional Grants Scheme (IGS) and Research Training Scheme (RTS).These publications are subject to a random external audit with errors attracting financial penalties. The DEST categories are as follows: Book (A1), Book Chapter (B1), Journal Article (C1) and Conference Publication (E1). 3. The University’s Research Profile Publications provide a very public demonstration of our comparative performance in contributing to the overall stock of knowledge and hence reflect on the reputation of this University. 4. Internal Research Funding Allocation The publications data is used to assist in calculating the internal distribution of Research Block funding to Faculties/Schools. 5. Promote Individual Researchers PES enables an individual's research publications to be visible via the Web, thereby promoting areas of expertise and enhancing reputations. 6. Conference Travel Grants From 2006, publications recorded via PES are the basis of calculating funding for internal Conference Travel Grants. 7. Workloads Publications recorded via PES are incorporated in a researcher’s workloads data. 8. Statistics Publications data is used for various statistics used throughout the University, such as in reports on research performance and management reports to the DVC-Research, Faculties and Schools. It is important to note that the annual collection of research publications is undertaken with reference to DEST guidelines and University policies and procedures. Data is collected and stored in the Callista Research system and only authorised personnel have access to the system. Draft Guidelines for the Collection of 2006 Research Publications
  3. 3. Date issued: November 2006 DEST DEFINITIONS OF RESEARCH AND RESEARCH PUBLICATIONS The following definitions have been extracted from the Draft 2007 Higher Education Research Data Collection Specifications for the Collection of 2006 Data1 Definition of Research In general terms, the essential characteristic of research activity is that it leads to publicly verifiable outcomes which are open to peer appraisal. For the purposes of the DEST collection, research comprises: • creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications 2 • any activity classified as research which is characterised by originality; it should have investigation as a primary objective and should have the potential to produce results that are sufficiently general for humanity's stock of knowledge (theoretical and/or practical) to be recognisably increased. Most higher education research work would qualify as research • pure basic research, strategic basic research, applied research and experimental development. Activities that support research and meet this definition of research include: • provision of professional, technical, administrative or clerical support and/or assistance to staff directly engaged in research • management of staff who are either directly engaged in research or are providing professional, technical or clerical support or assistance to those staff • activities of students undertaking postgraduate research courses • development of postgraduate research courses • supervision of students undertaking postgraduate research courses. Activities that do not support research must be excluded, such as: • preparation for teaching • 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 (research and experimental development into applications software, new programming languages and new operating systems would normally meet the definition of research). 1 Draft 2007 Higher Education Research Data Collection Specifications for the Collection of 2006 Data. http://www.dest.gov.au/sectors/research_sector/online_forms_services/documents/2006HERDC_Specifications_Fina l_120106_pdf.htm 2 OECD. (2002). Frascati Manual: Proposed Standard Practice fro Surveys on Research and Experimental Development. Paris: OECD. Accessed: 11th September 2006 from: http://www1.oecd.org/publications/e- book/9202081E.PDF#search=%22%22frascati%20manual%22%22 Draft Guidelines for the Collection of 2006 Research Publications
  4. 4. Date issued: November 2006 Key Characteristics of Research Publications For the purposes of the DEST collection, research publications ar ebooks, book chapters, journal articles and conference publications which meet 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 validation process or by satisfying the commercial publisher processes • increasing the stock of knowledge • being in a form that enables dissemination of knowledge. Author Affiliation The author of the research publication must be affiliated with the University and must be identified either within or on the work being claimed. Where author affiliation with the University is not identified within a work, the following evidence should be retained in verification material: • 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. A Certificate of Affiliation must be completed and included with the verification evidence • An extract from the University's staff/student list that shows the author was an appointee or student of the University in 2006 (or earlier if that was when the research leading to the publication was conducted). Please contact publications@newcastle.edu.au to obtain this extract. Where a publication shows that an author has affiliation to more than one institution (eg Janet Harvey, Tutor in Economics, University of X; PhD student, University of Y), each Australian University named in that by-line can claim the publication at full value. Adjunct fellows, honorary staff members and staff on leave are considered affiliated with a University if the University is identified in the by-line. Year of Publication For the purposes of these specifications, to be able to count research publications in the 2007 Research Publications Returns: • the research must have been published in the 2006 calendar year, and • 2006 must be stated as the year of publication within or on the work being claimed. See Exception below. Letters from authors, editors, creators etc stating that a research publication was published in 2006, even though 2006 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: here, 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. Draft Guidelines for the Collection of 2006 Research Publications
  5. 5. Date issued: November 2006 • 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. The year of publication is normally the latest of the years indicated as published, printed or the year of copyright. However, 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. Exception (Expanded Year of Publication): For the collection of 2006 data, DEST has introduced an exception to the general definition of year of publication, whereby 2005 publications may be eligible to be included in the data submitted to DEST. However, only those publications which: • were published after the submission date for the 2005 data collection; and • contain a 2005 publication date, may be included under this provision. Publications from 2004 and earlier years are not eligible to be included under this provision. Verification material held must be able to demonstrate that the publication, although containing a 2005 publication date, was not published until after 30 June 2006. A letter from the publisher will be considered sufficient verification material to support the claim. The University does not expect many of its publications to qualify for the Expanded Year of Publication provision. Please contact publications@newcastle.edu.au, if you consider you have a publication that does qualify. Commercial Publisher A commercial publisher is an entity for which the core business is producing books and distributing them for sale. 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 will be accepted as a commercial publisher. For the purpose of this data collection, university and other self-supporting higher education institution presses are regarded as commercial publishers, provided that they have responsibility for the distribution of the publication, in addition to its printing. Institutions will need to be satisfied that a publisher satisfies the criteria for a commercial publisher. Whilst DEST no longer maintains the Register of Commercial Publishers, the most recent version of the register will remain on the DEST website at: www.dest.gov.au/sectors/research_sector/online_forms_services/higher_education_research _data_collection.htm#Closed--Register_of_Commercial_Publishers. Draft Guidelines for the Collection of 2006 Research Publications
  6. 6. Date issued: November 2006 Peer Review For the purposes of this collection, an acceptable peer review process is one that involves an assessment or review of the publication in its entirety (not merely an abstract or extract) before publication by independent, qualified experts. “Independent” in this context means independent of the author. Peer review is relevant for journal articles and conference publications. For books and book chapters, the concept of a commercial publisher is used as a surrogate test of quality in place of a peer review requirement. For journal articles, any of the following are acceptable as evidence of peer review: • the journal is listed in one of the Institute for Scientific Information indexes. Check the ISI Master Journal List (http://scientific.thomson.com/mjl) • the journal is classified as ‘refereed’ in Ulrich’s International Periodicals Directory (Volume 5 - Refereed Serials), or via Ulrich’s web site (www.ulrichsweb.com) • the journal is included in the DEST Register of Refereed Journals. (no longer maintained) (http://www.dest.gov.au/sectors/research_sector/publications_resources/profiles/register _refereed_journals.htm) • 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, an example of acceptable evidence of peer review would be a statement in the introduction to the proceedings indicating peer review. In the absence of such a statement, the conference editor should be contacted in order to confirm peer review status. Keynote addresses and invited papers may be deemed to be peer reviewed as long as the University provides evidence: • of the keynote status of the address (eg contents page), and • that other contributions to the conference are peer reviewed, as described above. Note: a statement from an author that a publication was peer reviewed will not be accepted; the existence of a national or international advisory board is not sufficient evidence that all relevant publications are assessed by members of it. 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. This includes evidence that the work meets the definition of research. Note: The expertise of the Australian Academy of the Humanities may be used to assist an institution in the verification of foreign language publications in the fields of the humanities. Any such arrangements are to be negotiated between the Academy and the respective institution. (The University's Publications Officer will be the point of contact with the Academy – email publications@newcatsle.edu.au). 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. Draft Guidelines for the Collection of 2006 Research Publications
  7. 7. Date issued: November 2006 DESCRIPTION OF ALL PUBLICATION TYPES A. BOOKS Mandatory fields: Fields appearing in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all categories, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (Select “Not Known”) Series Editor Series Title City Publisher Volume Number of Volumes in Series Number of Pages Edition Translator ISBN RFCD/SEO/TOR Theme Area Additional Information A1. Authored - Research (DEST category) To be included in this category the publication must meet the definition of research as amplified in the general requirements for research publications and: • must be a major work of scholarship • must be offered for sale o for hard copies, bound o for CD-ROMs, packaged o for e-books, on subscription or fee basis • 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 • the author must be affiliated with the University of Newcastle. 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. Draft Guidelines for the Collection of 2006 Research Publications
  8. 8. Date issued: November 2006 The types of books that are unlikely to meet the criteria include: • textbooks (possibly A2) • anthologies (possibly A2) • edited books (possibly A3) • creative works such as novels (possibly F1) • books published by private individuals, university departments and privately funded companies, eg "vanity presses" that do not meet the DEST commercial publisher criteria (possibly A2) • university departmental Working Papers, Technical Reports, Discussion Papers and the like (excluded completely) • government department publications (possibly A2) • unpublished reports (excluded completely) • translations (possibly A2) • revisions or new editions. (possibly A3) Note: many of the books published by professional bodies do not report original research findings but report the results of evaluations, or repackage existing information for the benefit of professionals or practitioners. It is important that these publications are assessed very carefully against the definition of research. Verification requirements: For each book, the university must be able to provide the following, if required, by the Commonwealth or for a publications audit: • photocopies of the Table of Contents, Preface, Introduction and pages showing all bibliographical information (ISBN, title, author(s), publisher, all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University • if claimed using the expanded year of publication definition, a letter from the publisher indicating that the publication was not produced until after the 2006 HERDC submission date (after 30th June 2006) • proof that the book was published by a Commercial Publisher. A2. Authored - Other This refers to books which were written entirely by a single author, or by joint authors who share responsibility for the whole book. Publications in this category must be a substantial work of scholarship. Include: • research monographs published by university departments • textbooks (consisting mainly of new combinations 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, university departments and privately funded companies, eg "vanity presses" that do not meet the DEST commercial publisher criteria • evaluative and investigative government department publications, e.g. DEST Evaluations and Investigations Program reports • translations of published books and other authored books or monographs not classified in A1 above • annotated anthologies. Draft Guidelines for the Collection of 2006 Research Publications
  9. 9. Date issued: November 2006 Exclude: • revisions or new editions (possibly A3) • creative works such as novels (possibly J1) • 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) • unpublished reports (excluded completely) • edited books. (possibly A3) Verification requirements: • photocopies of Table of Contents, Preface, Introduction and pages showing all bibliographical information (ISBN, title, author(s), publisher, all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University. 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. Include: • revised or new edition Exclude: • editorship of journals (possibly C2) Verification requirements: • photocopies of Table of Contents, Preface, Introduction and pages showing all bibliographical information (ISBN, title, author(s), editor(s), publisher, all dates referring to copyright, publication, printing and distribution) • evidence indicating the editor's affiliation to the University. Draft Guidelines for the Collection of 2006 Research Publications
  10. 10. Date issued: November 2006 B. CHAPTERS IN A BOOK Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title of Chapter Publication Category Funding Source (Select “Not Known”) Translator Editor of Book Title of Book ISBN City Publisher Volume Total Book Chapters Total Number of Chapters in Book contributed by each author Page Numbers Edition RFCD/SEO/TOR Theme Area Additional Information B1. Book Chapter - Research (DEST category) This category refers to a contribution of chapter length, consisting substantially of new material, to an edited compilation in which the material is subject to editorial scrutiny. To be included in this category the publication must meet the definition of research as amplified in the key characteristics of research publications and: • must be offered for sale o for hard copies, bound o for CD-ROMs, packaged o for e-books, on subscription or fee basis • must have an International Standard Book Number (ISBN) • must have been published by a commercial publisher • the author must be affiliated with the University of Newcastle. 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, eg. in music, medieval or classical texts • critical reviews of current research. Draft Guidelines for the Collection of 2006 Research Publications
  11. 11. Date issued: November 2006 Unless they meet all of the criteria for inclusion, the following book chapters should be excluded: • chapters in textbooks (possibly B2) • entries in reference books (possibly D1 or D2) • anthologies • revisions of chapters in edited books • forewords • brief introductions, editorials or appendices • literary or creative pieces such as collections of short stories • translations. (possibly B2) Verification requirements: For each book chapter, the University must be able to provide the following, if required, by the Commonwealth or for a publications audit: • photocopies of the book's Table of Contents, Preface, Introduction and pages showing all bibliographical information (ISBN, title, author(s), editor(s), publisher, and all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University • if claimed using the expanded year of publication definition, a letter from the publisher indicating that the publication was not produced until after the HERDC publication submission date (30th June 2006) • copy of the chapter • if a new chapter in a revised edition, include the contents page of previous edition to indicate that the chapter is new. B2. Chapter - Other This category refers to a contribution of a substantial work of scholarship, consisting substantially of new material. Include: • chapters in textbooks (consisting mainly of new combinations of existing knowledge or updating of a body of established knowledge to make it more readily accessible) aimed primarily at a university audience • chapters in books published by private individuals, university departments and privately funded companies, e.g. "vanity presses" • chapters in translations of published books and other authored books or monographs not classified in A1 Exclude: • creative works such as novels, depending mainly upon the imagination of the author rather than upon a publicly accessible body of agreed fact (possibly J1) • chapters in textbooks that are primarily aimed at secondary, primary or pre-school students (excluded completely). Verification requirements: • photocopies of book’s Table of Contents, Preface, Introduction and pages showing all bibliographical information (ISBN, title, author(s), editor(s), publisher, and all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University • copy of the chapter • if a new chapter in a revised edition, include the contents page of previous edition to indicate that the chapter is new. Draft Guidelines for the Collection of 2006 Research Publications
  12. 12. Date issued: November 2006 C. JOURNAL ARTICLES Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (select “Not Known”) Journal Name Place Published Publisher Volume (or tick “No Volume Specified”) Issue (or tick “Annual Issue”– also ticked if there is no issue number) Page Numbers ISSN (enter in ISSN format 1234-5678) RFCD/SEO/TOR Theme Area Additional Information C1. Refereed article in a scholarly journal (DEST category) To be included in this category the journal article must meet the definition of research as amplified in the general requirements for research publications and: • must be published in a scholarly journal • must have been peer-reviewed. 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. o If an ISSN does not appear in the journal, external evidence such as an ISSN being cited in an extract from Ulrich’s or ISI’s directories is sufficient to demonstrate the existence of the number • the author must be affiliated with the University of Newcastle. 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 and the subsequent definitions for journal articles in this section (see also C3) • 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. Draft Guidelines for the Collection of 2006 Research Publications
  13. 13. Date issued: November 2006 The types of journal articles that are unlikely to meet the criteria include: • letters to the editor that do not satisfy the definition of research and the subsequent definitions for journal articles in this section (possibly C3) • case studies (possibly C3) • articles designed to inform practitioners on existing knowledge in a professional field (possibly C3) • articles in newspapers and popular magazines (excluded completely) • non-scholarly, non-research articles (excluded completely) • editorials (possibly C3) • book reviews (possibly C3) • brief commentaries and communications of original research (possibly C3) • reviews of art exhibitions, concerts, theatre productions. (possibly C3) Verification requirements: For each journal article, the University must be able to provide the following, if required, by the Commonwealth or for a publications audit: • evidence of bibliographical information (ISSN, title, author(s), publisher, all dates referring to copyright, publication, printing and distribution, as appropriate) • evidence indicating the author's affiliation to the University • if claimed using the expanded year of publication definition, a letter from the publisher indicating that the publication was not produced until after the HERDC publication submission date (after 30th June 2006) • copy or offprint of article • proof of peer review • if an ISSN does not appear in the journal, external evidence such as an ISSN number being cited in an extract from Ulrich's or ISI directory is sufficient to demonstrate the existence of the number. C2. Non refereed article in a scholarly journal This refers to non refereed works of scholarship including full articles and reviews of an entire field of study published in a scholarly journal controlled by an editorial board. Include: • non-refereed article in a scholarly journal • non-refereed full articles and reviews of an entire field of study • editorship of journal. Exclude: • non-scholarly, non-research articles. (excluded completely) Verification requirements: • evidence of bibliographical information ((ISSN, if applicable), title, author(s), editorial board, all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University • copy or offprint of article • If an ISSN does not appear in the journal, external evidence such as an ISSN number being cited in an extract from Ulrich's or ISI is sufficient to demonstrate the existence of the number. Draft Guidelines for the Collection of 2006 Research Publications
  14. 14. Date issued: November 2006 C3. Article in a professional journal This refers to refereed or non-refereed works of scholarship published in a professional journal controlled by an editorial board. Include: • refereed and non-refereed letters • “ “ notes • “ “ book reviews • “ “ abstracts • editorials • articles that are sets of guidelines, commentaries, or summaries of the state of knowledge in an area, generally intended to inform practitioners in a professional field • medical case histories • review of an art exhibition, a concert, or a theatre production. Exclude: • non-scholarly, non-research articles (excluded completely) • articles in newspapers and popular magazines (excluded completely). Verification requirements: • evidence of bibliographical information (ISSN, title, author(s), editorial board, publisher, all dates referring to copyright, publication, printing and distribution • evidence indicating the author's affiliation to the University • copy or offprint of article • Proof of peer review (if applicable) • If an ISSN does not appear in the journal, external evidence such as an ISSN number being cited in an extract from Ulrich's or ISI is sufficient to demonstrate the existence of the number. Draft Guidelines for the Collection of 2006 Research Publications
  15. 15. Date issued: November 2006 D. REVIEW Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (Select “Not Known”) Journal Name/Publication Title Place Published Volume Issue Page numbers RFCD/SEO/TOR Theme Area Additional Information D1. A substantial review of an entire field of study This refers to a review of an entire field of research which places other works in context and makes a substantial contribution in its own right. This type of review can appear in monograph form (for example “annual review of immunology, plant physiology” etc) or in a journal controlled by an editorial board. The material in the review is distributed by a commercial publisher. Include: • contribution to reference works, including encyclopaedias provided they are more than 4,000 words in length Exclude: • book reviews (possibly C3) • monographs that “review” institutional practices, government programs, and the like rather than being a review of a field of research (possibly A2). • Articles that “review” institutional practices, government programs, and the like rather than being a review of a field of research (possibly C3). Verification requirements: • Copy or offprint of article • Evidence indicating the author’s affiliation to the University. D2. Review – Other This refers to contributions to encyclopaedias, dictionaries of biography or Companions (eg The Oxford Companion to Twentieth Century Poetry in English) which are less than 4,000 words, but greater than 800 words in length. Verification requirements: • Copy or offprint of article • Evidence indicating the author’s affiliation to the University. Draft Guidelines for the Collection of 2006 Research Publications
  16. 16. Date issued: November 2006 E. CONFERENCE PUBLICATION Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (Select “Not Known”) Editor Conference Publication Conference Name Date of Conference Conference Location Place Published Publisher ISBN/ISSN Volume Page Numbers RFCD/SEO/TOR Theme Area Additional Information E1. Full written paper - refereed (DEST 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 and must: • be published in full. The papers may appear in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD-ROM or conference or organisational web site • be peer reviewed • be presented at conferences, workshops or seminars of national or international significance • the author must be affiliated with the University of Newcastle. Keynote addresses and invited papers may be included where all other papers for the conference are peer reviewed. Institutions must retain in verification material evidence of the keynote status of the address (e.g. contents page) and of other contributions to the conference being peer reviewed (e.g. a statement in the introduction to proceedings indicating this). Exclude: • conference papers reviewed by an editorial board only, and not by peer review (possibly E2) • conference papers accepted for presentation (and publication) on the basis of peer review of a submitted extract or abstract only (possibly E2) • conference papers that are not made available for international circulation eg. appearing only in a volume sold or handed out to conference participants. (excluded completely) • conference papers presented at minor conferences, workshops or seminars that are not regarded as having national or international significance (excluded completely). Draft Guidelines for the Collection of 2006 Research Publications
  17. 17. Date issued: November 2006 Verification requirements: For each conference publication, the University must be able to provide the following, if required, by the Commonwealth or for a publications audit: • pages showing all bibliographical information (author(s),title, publisher, all dates referring to copyright, publication, printing and distribution • evidence indicating the author's affiliation to the University • if claimed using the expanded year of publication definition, a letter from the publisher indicating that the publication was not produced until after the HERDC publication submission date (after 30th June 2006) • copy or offprint of paper • proof of peer review • proof of national or international significance if not shown in other information already required. E2. Full written paper - non refereed This refers to written versions of conference presentations subsequently published which were not subject to peer review or formal assessment by an editorial board. Include papers that do not meet the refereeing requirements of E1. Include: • full written paper – non-refereed Exclude: • conference papers that are not made available for international circulation eg. appearing only in a volume sold or handed out to conference participants. (excluded completely) • conference papers presented at minor conferences, workshops or seminars that are not regarded as having national or international significance. (excluded completely) • one page abstracts of summaries of poster presentations. (see E3) Verification requirements: • pages showing all bibliographical information (author(s), title, publisher, all dates referring to copyright, publication, printing and distribution • evidence indicating the author's affiliation to the University • copy or offprint of paper • proof of national or international significance if not shown in other information already required. Draft Guidelines for the Collection of 2006 Research Publications
  18. 18. Date issued: November 2006 E3. Abstracts of papers, poster presentations This refers to abstracts, synopses (or posters) of conference papers that are subsequently published. These may be refereed or non-refereed. Include: • Refereed and non-refereed extracts • “ “ abstracts • “ “ posters. Exclude: • abstracts and poster presentation summaries that are not made available for international circulation eg. appearing only in a volume sold or handed out to conference participants. (excluded completely) • abstracts and poster presentation summaries that appear on a temporary website • abstracts and poster presentation summaries presented at minor conferences, workshops or seminars that are not regarded as having national or international significance. (excluded completely). Verification requirements: • pages showing all bibliographical information (author(s), title, publisher, all dates referring to copyright, publication, printing and distribution) • evidence indicating the author's affiliation to the University • copy or offprint of extract • proof of national or international significance if not shown in other information already required • proof of peer review (if applicable). E4. Edited volume of conference proceedings This refers to edited volumes of conference proceedings in which one or more members of University 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) • edited volumes that are not made available for international circulation eg. appearing only in a volume sold or handed out to conference participants. (excluded completely) • edited volumes that appear on a temporary website • edited volumes of minor conferences, workshops or seminars that are not regarded as having national or international significance. (excluded completely). Verification requirements: • photocopy showing title of Conference Proceedings • pages showing all bibliographical information ie editor(s), title, publisher, all dates referring to copyright, publication, printing and distribution. • Evidence indicating affiliation to the University. Draft Guidelines for the Collection of 2006 Research Publications
  19. 19. Date issued: November 2006 F. OTHER CREATIVE WORKS Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (select Not Known) City Publisher or Gallery Number of Pages or Pieces Edition RFCD/SEO/TOR Theme Area Additional Information F1. Minor written or recorded work, exhibitions This refers to a relatively brief or small scale creative or scholarly work bound separately or as a part of a collection of works (ie exhibitions) and offered for sale under the imprint of a recognised commercial press or publisher, or recorded for commercial distribution. Include: • short stories • individual poems • individual songs or other short musical works • exhibitions Exclude: • reviews of art exhibitions, concerts, theatre productions, etc. (possibly C3) • concert performances (excluded completely) • theatre production (excluded completely) • articles in newspapers and popular magazines. (excluded completely) Verification requirements: • copy of work • evidence indicating affiliation to the University F2. Representation of Original Art This refers to a collection of at least three original works by an individual artist exhibited for the first time in a recognised gallery or museum. These works should be individually listed in a published catalogue identifying the timing and location of the exhibition. The gallery or museum should be recognised as an independent public or commercial organisation and be managed as a full time operation. Verification requirements: • copy of published catalogue listing the works and showing the timing and location of the exhibition • evidence indicating affiliation to the University Draft Guidelines for the Collection of 2006 Research Publications
  20. 20. Date issued: November 2006 F4. Acquisition This refers to the acquisition of artworks by a permanent public art collection with a national or international reputation. Verification requirements: • evidence of acquisition, showing date the artwork was acquired • evidence indicating affiliation to the University Draft Guidelines for the Collection of 2006 Research Publications
  21. 21. Date issued: November 2006 G. COMPUTER SOFTWARE Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those not in bolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (Select Not Known) City Distributor Version RFCD/SEO/TOR Theme Area Additional Information This refers to innovative computer software products of commercial quality and offered for sale or distributed as Shareware through a recognised publisher or distributor. G1. VAX/VMS G2. Workstation; Sun, Silicon Graphics, IBM, DEC G3. Personal computer; IBM or compatible G4. Personal computer; Macintosh G5. Other Verification requirements: • copy of published software • proof of date of publishing and name of publisher • evidence indicating affiliation to the University Draft Guidelines for the Collection of 2006 Research Publications
  22. 22. Date issued: November 2006 H. DESIGNS Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title (or name of award) Publication Category Funding Source (Select Not Known) Date of Award or Exhibition Organisation Conferring the Award [mandatory for Awards] Place of Exhibition [mandatory for exhibitions] Publisher Date of Advertisement of Exhibition [mandatory for exhibitions] Place of Advertisement of Exhibition [mandatory for exhibitions] RFCD/SEO/TOR Theme Area Additional Information H1. Refereed Designs This refers to major works in design disciplines such as architecture, creative arts and engineering. To be counted in this category a design work must have been recognised via a publicly understood refereeing process, which is conducted by an independent review panel formed from qualified peers in the design discipline who are recognised as such by their national or international professional association. To be included in this category, the design must meet one of the following requirements: • The major design award offered by national or international organisations in the field, eg the Royal Australian Institute of Architects. The award must be of at least national standard, with entries welcomed from throughout Australia • Curated exhibitions of original design by an individual designer exhibited for the first time in a recognised gallery or museum. These must be accompanied by a published catalogue identifying the individual designs and the timing and location of the exhibition. The exhibition must be advertised in the industry press or professional journals. The exhibiting gallery or museum must be recognised as an independent public or commercial organisation. For awards - include: • awards that are received at the state or territory level or higher, eg if a major design award has both state and national winners, then both those who receive state or territory level awards and the national winner are eligible to be reported as part of this collection • awards which are presented in the publication year. If an award is presented in 2004, it is eligible for this collection, even if the award is labelled 2003 or 2004 • awards for exhibitions of software and fashion design as long as these designs satisfy all other criteria For exhibitions - include: • exhibitions whose first day of exhibition occurs in the publication year even if the majority of the exhibition occurs in another year Draft Guidelines for the Collection of 2006 Research Publications
  23. 23. Date issued: November 2006 For all designs - exclude: • any design or exhibition that has been counted in a previous collection, or one which is already counted in this current collection under another publications category, even if it qualifies for inclusion in category H1 on a number of grounds, receives more than one award or is both the recipient of an award and part of an exhibition For awards - exclude: • awards that are awarded second place, runner up, "honourable mention" or lesser status • any award that was not presented in 2004, even if the award is for the year 2004. An award is counted in the year in which it is presented • awards for which there is not a publicly understood refereeing process For exhibitions - exclude: • exhibitions whose first day of exhibition does not occur in the publication year even if the majority of the exhibition does. In such circumstances the exhibition should be included in the year in which the first day of the exhibition occurs. Verification Evidence: For Major Design Awards: • a copy of the award certificate indicating the name and nature of the award, the name of the recipient, the name of the organisation conferring the award and the date of the award • evidence that the award is made via a publicly understood refereeing process. Acceptable evidence would include a brochure stating the awards process, or a statement or acknowledgment from the head of the organisation conferring the award which shows that the award is independently refereed • evidence that, at a minimum, entries are welcomed from throughout Australia. Acceptable evidence includes the entry form if this information is provided on the entry form, or a statement to this effect from the head of the organisation conferring the award • evidence that the body conferring the award is a major national or international organisation in the field. Evidence could be in the form of a membership list for the organisation, demonstrating membership throughout Australia or internationally, or a statement to this effect from the head of the organisation • evidence indicating affiliation with the University For each exhibited design: • photocopies of catalogue contents, preface and introduction and other pages as necessary showing all bibliographic information (ISBN if applicable, name of exhibitor, date and location of exhibition). An additional statement of justification should be provided if these extracts do not show all the required information • photocopy of the advertisement of the exhibition in the industry press or professional journals including the name of the publication and the date of the advertisement. • evidence that the exhibiting gallery or museum is an independent public or commercial organisation (e.g. photocopy of relevant pages from the organisation's annual report, general prospectus or similar documentation) • evidence indicating affiliation with the University Draft Guidelines for the Collection of 2006 Research Publications
  24. 24. Date issued: November 2006 H2. Other Designs including commissioned designs, working models and technical drawings eg Graphic Design and Typology, Computer Animation, New Media, Multimedia applications, Interaction Design, Usability Design, Virtual Reality and Computer Games, Information Systems, Creative Writing, Journalism, Audio-Visual applications, TV and Radio Production, Design Theory and Methods and Design and Technology Futurology. Verification requirements: • that the design is original research and that it meets the definition of research • proof of date of commission • evidence indicating affiliation to the University • copy of design Draft Guidelines for the Collection of 2006 Research Publications
  25. 25. Date issued: November 2006 I. PATENTS Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) [Inventors] Collection Year and Publication Year Title Publication Category Funding Source (Select Not Known) Patent Owned by Application Number [mandatory for I2] Patent Number [mandatory for I1] Country(s) RFCD/SEO/TOR Theme Area Additional Information I1. Full Patent This refers to patents on specific products or processes granted for the first time, either in Australia or in an overseas country. It does not include multiple rights for the same product or process, or applications for which no determination has been made on patent rights. Include: • a product or process for which a full patent has been granted • patent granted for the first time in the Publication Year Exclude: • provisional patents (see I2) • products or processes for which a full patent has been granted in any jurisdiction in previous years. Verification Evidence: • proof of patent being granted; acceptable evidence would be in the form of a patent certificate or other documentation showing patent number, title of patent, country in which the product or process is patented, name of person or body to which the patent is granted, and date the patent is granted • proof that the patent is owned by the University, a commercial subsidiary, controlled entity or other affiliated institution • statement from the patent owner attesting research leading to the patent undertaken in his/her capacity as a staff member or student of the University I2. Application for Patent This refers to a provisional application that has been submitted for a patent and it has been accepted by the Australian or an overseas patents office. Verification requirements: • documentation showing application number of patent • proof that the patent application has been submitted in the Publication Year • proof that the research leading to the patent application submission has been conducted at this University Draft Guidelines for the Collection of 2006 Research Publications
  26. 26. Date issued: November 2006 J. MAJOR CREATIVE WORKS Mandatory fields: Fields that are in bold text are essential and must be completed for all entries. Those in unbolded text may not be applicable for all entries, but where they are applicable, they must be completed: Author name(s) and detail(s) Collection Year and Publication Year Title Publication Category Funding Source (Select Not Known) Type of Work [mandatory for J1 and J2] Publisher [mandatory for J1] Edition [mandatory for J1] Pages [mandatory for J1] ISBN Date work first performed [mandatory for J2] Distribution medium [mandatory for J2] Distributor [mandatory for J2] Date of Exhibition or Recording [mandatory for J2 and J3] Duration Place of Exhibition [mandatory for J3] Date of advert for exhibition [mandatory for J3] Place of advert for exhibition [mandatory for J3] RFCD/SEO/TOR Theme Area Additional Information J1. Published Work This category refers to Major Written Original Creative Works that are publicly and commercially distributed. The creative work must be a substantial creative or scholarly work which is separately bound/packaged and offered for sale under the imprint of a recognised commercial press or publisher. Include: • novels • books of poetry • published play or film scripts for productions of at least 20 minutes duration • published scores of musical works with a duration of at least 20 minutes in playing time Exclude: • reviews of art exhibitions, concerts, theatre productions, etc (possibly C3) • any creative work which has already been counted in a previous collection or one which is already counted in this collection under another category, even if it qualifies for inclusion under Category J on a number of grounds, e.g. a play whose script is published and whose production is recorded for commercial distribution or an exhibition that is exhibited at various locations may only be counted once • Any published material whose date of publication is other than the Publication Year. Draft Guidelines for the Collection of 2006 Research Publications
  27. 27. Date issued: November 2006 Verification Evidence: • photocopies of contents, preface and introduction and pages showing all bibliographic information (ISBN, title, author(s), publisher, all dates referring to copyright, publication, printing, distribution). Further evidence may be required if the above extracts do not demonstrate J1 classification • Evidence indicating affiliation with the University J2. Recorded Work This category refers to Major Recorded Original Creative Works that are publicly and commercially distributed. The creative work must be a substantial creative or scholarly work recorded for commercial distribution. Include: • recordings of live music, theatre or dance performances of at least 20 minutes duration which have been commercially distributed • films, multimedia productions or sound productions of at least 20 minutes duration which have been commercially distributed. Exclude: • live music, theatre or dance performances unless the performance is recorded for commercial distribution • any creative work which has already been counted in a previous collection or one which is already counted in this collection under another category, even if it qualifies for inclusion under Category J on a number of grounds, eg a play whose script is published and whose production is recorded for commercial distribution or an exhibition that is exhibited at various locations may only be counted once • any recorded material whose date of recording is other than the Publication Year Verification Evidence: • photocopies of cover/notes sufficient to prove recorded for commercial distribution • Evidence indicating affiliation with the University J3. Exhibitions This category refers to Curated Individual Exhibitions of Original Art. To be included in this category the creative work must be curated exhibitions of substantial collections of original works by an individual artist exhibited for the first time in a recognised gallery or museum. These must be accompanied by a published catalogue identifying the individual works and the timing and location of the exhibition. The exhibition must be advertised in the arts or local press, or in professional journals. The gallery or museum must be registered as an independent public or commercial organisation. Draft Guidelines for the Collection of 2006 Research Publications
  28. 28. Date issued: November 2006 Exclude: • reviews of art exhibitions, concerts, theatre productions, etc • any creative work which has already been counted in a previous collection or one which is already counted in this collection under another category, even if it qualifies for inclusion under Category J on a number of grounds, eg a play whose script is published and whose production is recorded for commercial distribution or an exhibition that is exhibited at various locations may only be counted once • exhibitions which have more than one exhibitor, even if one person is the main exhibitor • exhibitions whose first day of exhibition does not occur in the collection year even if the majority of the exhibition does Verification Evidence: • photocopies of catalogue contents, preface and introduction and other pages as necessary showing all bibliographic information (ISBN if applicable, name of exhibitor, date and location of exhibition). An additional statement of justification should be provided if these extracts do not show all the required information • photocopy of the advertisement of the exhibition in the local or industry press, or in professional journals, including the name of the publication and the date of the advertisement • evidence that the exhibition location is an independent public or commercial organisation (eg photocopy of relevant pages from the organisation's annual report, general prospectus or similar documentation) • Evidence of affiliation with the University Draft Guidelines for the Collection of 2006 Research Publications

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