ERA 2015 SUBMISSION GUIDELINES

ERA 2015 SUBMISSION GUIDELINES

ERA 2015 Submission Guidelines Page 2 of 81

ISBN: 978-0-9924254-4-9 © Commonwealth of Australia 2014 This publication is available for your use under a Creative Commons BY Attribution 3.0 Australia license, with the exception of the Commonwealth Coat of Arms, the Australian Research Council (ARC) logo, the Excellence in Research for Australia (ERA) logo, images, signatures and where otherwise stated. Use of ARC material under a Creative Commons BY Attribution 3.0 Australia license requires you to attribute the work. Attribution is not to be done in any way that suggests that the ARC endorses you or your use of the work. The ARC prefers the following attribution: Australian Research Council material used ‘as supplied’. Provided you have not modified or transformed ARC material in any way the following attribution is preferred: Source: The Australian Research Council, Excellence in Research for Australia. If you have modified, transformed, or derived new material from the ARC in any way, the ARC prefers the following attribution: Based on Australian Research Council, Excellence in Research for Australia data. Requests and enquiries regarding this licence should be addressed to ARC Legal Services on +61 2 6287 6600. Front Cover Image Credits: Blue green wave stream texture background iStockphoto.com / © rionm Way energy iStockphoto.com / © alengo Water splash iStockphoto.com / © kirstypargeter Green leaves iStockphoto.com / © Zaharov


ERA SUBMISSION QUICK REFERENCE GUIDE

Key Components, Criteria and Data Requirements

GENERAL • Definition of Research [3.1] • Comprehensiveness [3.2] • Unit of Evaluation [3.3] • ERA Peer Review [3.5] • Reference Periods [3.7] • Explanatory Statements [5.2] RESEARCHERS • Eligible Researcher Criteria [5.3.1] • Eligible Researcher Data [5.3.2]

RESEARCH OUTPUTS—GENERAL • Overarching Eligibility Criteria [5.4.1] • Assignment & Apportionment of FoR Codes

[5.4.3] • Reference Period [5.4.5] • Revisions, Reprints and Multiple Editions

[5.4.6] • Eligible Versions for ERA Peer Review

[5.4.7]

TRADITIONAL RESEARCH OUTPUTS • Books—Authored Research [5.4.8.1–5.4.8.2] • Chapters in Research Books [5.4.8.3–5.4.8.4] • Journal Articles—Refereed, Scholarly Journal

[5.4.8.5–5.4.8.6] • Conference Publications—Full Paper Refereed

[5.4.8.7–5.4.8.8]

NON-TRADITIONAL RESEARCH OUTPUTS • Research Statement for ERA Peer Review

[5.4.9.1 and Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs]

• Summary of Data Requirements [5.4.9.2] • Original Creative Works [5.4.9.3] • Live Performance of Creative Works [5.4.9.4] • Recorded/Rendered Creative Works [5.4.9.5] • Curated or Produced Substantial Public

Exhibitions or Events [5.4.9.6] • Research Reports for an External Body

[5.4.9.7]

RESEARCH INCOME • Research Income Reference Period [5.5.1] • Assignment and Apportionment of FoR Codes

[5.5.2] • Australian Competitive Grants [5.5.3.1–

5.5.3.2] • Other Public Sector Research Income

[5.5.3.3–5.5.3.4] • Industry and Other Research Income [5.5.3.5–

5.5.3.6] • Cooperative Research Centre Research

Income [5.5.3.7–5.5.3.8]

APPLIED MEASURES • Assignment and Apportionment of FoR Codes

[5.6.1] • Plant Breeder’s Rights [5.6.2.1–5.6.2.2] • Patents [5.6.2.3–5.6.2.4] • Registered Designs [5.6.2.5–5.6.2.6] • Research Commercialisation Income [5.6.2.7–

5.6.2.8] • NHMRC Endorsed Guidelines [5.6.2.9–

5.6.2.10]

ESTEEM MEASURES • Assignment and Apportionment of FoR Codes

[5.7.1] • Editor of a Prestigious Work of Reference

[5.7.2.1–5.7.2.2] • Learned Academy Fellowship /

AIATSIS Member [5.7.2.3–5.7.2.4] • Nationally Competitive Research Fellowship

[5.7.2.5–5.7.2.6] • Membership of a Statutory Committee

[5.7.2.7–5.7.2.8] • Australia Council Grant or Fellowship

[5.7.2.9–5.7.2.10]


Table of Contents

ERA SUBMISSION QUICK REFERENCE GUIDE ............................................................................................................... 3

TABLE OF CONTENTS .......................................................................................................................................................... 4

SUMMARY OF CHANGES FROM ERA 2012 TO ERA 2015 ............................................................................................. 7

1. ERA OVERVIEW ............................................................................................................................................................... 10

1.1. INTRODUCTION ................................................................................................................................................................... 10 1.2. OBJECTIVES ....................................................................................................................................................................... 10 1.3. DISCIPLINES ....................................................................................................................................................................... 10 1.4. INDICATORS ....................................................................................................................................................................... 10

2. ERA INFORMATION ......................................................................................................................................................... 11

2.1. ERA DOCUMENTATION ........................................................................................................................................................ 11 2.2. PROVISION OF ADDITIONAL INFORMATION............................................................................................................................... 11 2.3. FURTHER ASSISTANCE .......................................................................................................................................................... 11

3. KEY ELEMENTS OF ERA .................................................................................................................................................... 12

3.1. DEFINITION OF RESEARCH ..................................................................................................................................................... 12 3.2. COMPREHENSIVENESS .......................................................................................................................................................... 12 3.3. UNIT OF EVALUATION .......................................................................................................................................................... 12 3.4. INTERDISCIPLINARY AND MULTIDISCIPLINARY RESEARCH ............................................................................................................. 12 3.5. ERA PEER REVIEW .............................................................................................................................................................. 13 3.6. LOW VOLUME—NON-ASSESSABLE UNITS OF EVALUATION ......................................................................................................... 14

3.6.1. Low Volume Threshold .............................................................................................................................................. 14 3.6.2. Calculating the Low Volume Threshold Where Research Outputs Have Multiple FoRs ............................................ 15 3.6.3. Where the Low Volume Threshold Is Not Met .......................................................................................................... 15

3.7. REFERENCE PERIODS ............................................................................................................................................................ 15

4. ERA PROCESS................................................................................................................................................................... 16

4.1. OVERVIEW OF ERA 2015 SUBMISSION PROCESS ...................................................................................................................... 16 4.2. PHASES OF THE ERA SUBMISSION PROCESS ............................................................................................................................. 17

4.2.1. Preparation ............................................................................................................................................................... 17 4.2.2. Submission ................................................................................................................................................................ 17

4.2.2.1. Pre-Submission Stage 0 ...................................................................................................................................................... 17 4.2.2.2. Submission Stage 1 ............................................................................................................................................................ 17 4.2.2.3. Submission Stage 2 ............................................................................................................................................................ 18 4.2.2.4. Submission Stage 3 ............................................................................................................................................................ 18 4.2.2.5. Submission Stage 4 ............................................................................................................................................................ 18 4.2.2.6. Submission Timeline .......................................................................................................................................................... 19

5. ERA SUBMISSION DATA ................................................................................................................................................... 20

5.1. SUBMISSION COMPONENTS .................................................................................................................................................. 20 5.2. EXPLANATORY STATEMENTS .................................................................................................................................................. 21 5.3. RESEARCHERS..................................................................................................................................................................... 22

5.3.1. Eligible Researcher Criteria ....................................................................................................................................... 22 5.3.1.1. Key Eligibility Criteria for Researchers ............................................................................................................................... 25 5.3.1.2. Staff on Leave Without Pay ............................................................................................................................................... 26 5.3.1.3. Demonstrating a Publication Association ......................................................................................................................... 26 5.3.1.4. Staff Employed at Less than 0.4 FTE .................................................................................................................................. 27

5.3.2. Eligible Researcher Data ........................................................................................................................................... 27 5.3.2.1. Name and Alternative Names ............................................................................................................................................ 28 5.3.2.2. Gender ................................................................................................................................................................................ 28 5.3.2.3. Staff Reference ................................................................................................................................................................... 28 5.3.2.4. FTE Data .............................................................................................................................................................................. 28 5.3.2.5. Assignment and Apportionment of FoR Codes to Eligible Researchers ........................................................................... 29 5.3.2.6. Level ................................................................................................................................................................................... 29 5.3.2.7. Status .................................................................................................................................................................................. 29 5.3.2.8. Function .............................................................................................................................................................................. 29


5.3.2.9. Summary of Data Requirements for Eligible Researchers ................................................................................................ 31 5.4. RESEARCH OUTPUTS ............................................................................................................................................................ 32

5.4.1. Overarching Eligibility Criteria .................................................................................................................................. 32 5.4.2. List of Eligible Research Output Types....................................................................................................................... 32 5.4.3. Assignment and Apportionment of FoR Codes for Eligible Research Outputs .......................................................... 32

5.4.3.1. Assignment ......................................................................................................................................................................... 32 5.4.3.2. Apportionment .................................................................................................................................................................. 33

5.4.4. Indigenous Research and Institutional Units ............................................................................................................. 33 5.4.4.1. Indigenous Research .......................................................................................................................................................... 33 5.4.4.2. Institutional Units .............................................................................................................................................................. 33 5.4.4.3. Usage of Indigenous Research and Institutional Unit Information .................................................................................. 33

5.4.5. Research Outputs Reference Period .......................................................................................................................... 34 5.4.5.1. The Date of Publication Rule ............................................................................................................................................. 34 5.4.5.2. Exceptions .......................................................................................................................................................................... 34

5.4.6. Treatment of Revisions, Reprints and Multiple Editions ........................................................................................... 35 5.4.6.1. Revisions ............................................................................................................................................................................ 35 5.4.6.2. Revisions Across Research Output Types .......................................................................................................................... 35 5.4.6.3. Reprints and Multiple Editions .......................................................................................................................................... 35

5.4.7. Eligible Versions of Research Outputs for ERA Peer Review ...................................................................................... 35 5.4.8. Traditional Eligible Research Output Types ............................................................................................................... 36

5.4.8.1. Books—Authored Research ............................................................................................................................................... 36 5.4.8.2. Summary of Data Requirements for Books—Authored Research .................................................................................... 37 5.4.8.3. Chapters in Research Books ............................................................................................................................................... 38 5.4.8.4. Summary of Data Requirements for Chapters in Research Books .................................................................................... 39 5.4.8.5. Journal Articles—Refereed, Scholarly Journal .................................................................................................................. 40 5.4.8.6. Summary of Data Requirements for Journal Articles—Refereed, Scholarly Journals ...................................................... 42 5.4.8.7. Conference Publications—Full Paper Refereed................................................................................................................. 43 5.4.8.8. Summary of Data Requirements for Conference Publications—Full Paper Refereed ..................................................... 44

5.4.9. Non-Traditional Eligible Research Output Types ....................................................................................................... 45 5.4.9.1. Research Statement for ERA Peer Review of Non-Traditional Research Outputs ........................................................... 45 5.4.9.2. Summary of Data Requirements for Non-Traditional Research Output Types ................................................................ 46 5.4.9.3. Original Creative Works ..................................................................................................................................................... 47 5.4.9.4. Live Performance of Creative Works ................................................................................................................................. 48 5.4.9.5. Recorded/Rendered Creative Works ................................................................................................................................. 48 5.4.9.6. Curated or Produced Substantial Public Exhibitions and Events ...................................................................................... 49 5.4.9.7. Research Reports for an External Body ............................................................................................................................. 50

5.5. RESEARCH INCOME ............................................................................................................................................................. 51 5.5.1. Research Income Reference Period ........................................................................................................................... 51

5.5.1.1. Reporting Negative Income ............................................................................................................................................... 52 5.5.2. Assignment and Apportionment of FoR Codes for Research Income ........................................................................ 52 5.5.3. Eligible Research Income Category Types ................................................................................................................. 52

5.5.3.1. Australian Competitive Grants .......................................................................................................................................... 52 5.5.3.2. Summary of Data Requirements for Australian Competitive Grants ............................................................................... 52 5.5.3.3. Other Public Sector Research Income ............................................................................................................................... 53 5.5.3.4. Summary of Data Requirements for Other Public Sector Research Income .................................................................... 53 5.5.3.5. Industry and Other Research Income ................................................................................................................................ 53 5.5.3.6. Summary of Data Requirements for Industry and Other Research Income ..................................................................... 54 5.5.3.7. Cooperative Research Centre (CRC) Research Income ...................................................................................................... 54 5.5.3.8. Summary of Data Requirements for Cooperative Research Centre (CRC) Research Income ........................................... 54

5.6. APPLIED MEASURES ............................................................................................................................................................ 55 5.6.1. Assignment and Apportionment of FoR Codes for Applied Measures....................................................................... 55 5.6.2. Eligible Applied Measures ......................................................................................................................................... 55

5.6.2.1. Plant Breeder’s Rights ........................................................................................................................................................ 55 5.6.2.2. Summary of Data Requirements for Plant Breeder’s Rights ............................................................................................. 57 5.6.2.3. Patents ............................................................................................................................................................................... 57 5.6.2.4. Summary of Data Requirements for Patents .................................................................................................................... 58 5.6.2.5. Registered Designs ............................................................................................................................................................. 58 5.6.2.6. Summary of Data Requirements for Registered Designs .................................................................................................. 59 5.6.2.7. Research Commercialisation Income ................................................................................................................................ 59 5.6.2.8. Summary of Data Requirements for Research Commercialisation Income ..................................................................... 60 5.6.2.9. NHMRC Endorsed Guidelines ............................................................................................................................................. 60 5.6.2.10. Summary of Data Requirements for NHMRC Endorsed Guidelines.................................................................................. 61

5.7. ESTEEM MEASURES ............................................................................................................................................................. 62 5.7.1. Assignment and Apportionment of FoR Codes for Esteem Measures ....................................................................... 62 5.7.2. Eligible Esteem Measures .......................................................................................................................................... 62

5.7.2.1. Editor of a Prestigious Work of Reference ........................................................................................................................ 62


5.7.2.2. Summary of Data Requirements for Editor of a Prestigious Work of Reference ............................................................. 63 5.7.2.3. Fellowship of a Learned Academy and Membership of AIATSIS ...................................................................................... 63 5.7.2.4. Summary of Data Requirements for Fellowship of a Learned Academy and Membership of AIATSIS ........................... 64 5.7.2.5. Recipient of a Nationally Competitive Research Fellowship ............................................................................................ 64 5.7.2.6. Summary of Data Requirements for Nationally Competitive Research Fellowships ....................................................... 65 5.7.2.7. Membership of a Statutory Committee ............................................................................................................................ 65 5.7.2.8. Summary of Data Requirements for Membership of a Statutory Committee ................................................................. 66 5.7.2.9. Recipient of an Australia Council Grant or Australia Council Fellowship ......................................................................... 66 5.7.2.10. Summary of Data Requirements for Australia Council Grants or Australia Council Fellowships .................................... 67

6. OTHER MATTERS ............................................................................................................................................................. 68

6.1. SENSITIVITY—CONFIDENTIAL OR SENSITIVE RESEARCH OUTPUTS ................................................................................................. 68 6.1.1. Commercially Sensitive Research Outputs ................................................................................................................ 68 6.1.2. Culturally Sensitive Research Outputs ....................................................................................................................... 68 6.1.3. Australian Government Security Classified Research Outputs .................................................................................. 68

6.2. MANAGING PHYSICAL OR TECHNICAL LIMITATIONS .................................................................................................................... 69 6.3. PRIVACY COMPLAINTS AND ADVICE ........................................................................................................................................ 69 6.4. FREEDOM OF INFORMATION ................................................................................................................................................. 69 6.5. INTELLECTUAL PROPERTY IN ERA RELATED MATERIAL ................................................................................................................ 70 6.6. MANAGING COPYRIGHT IN RESEARCH OUTPUTS NOMINATED FOR ERA PEER REVIEW AND RELATED MATERIAL ................................... 70

6.6.1. Where Copyright Is Owned by Institutions ................................................................................................................ 71 6.6.2. Where Copyright Is Owned by Eligible Researchers .................................................................................................. 71 6.6.3. Where Copyright Is Owned by Third Parties.............................................................................................................. 71

6.7. MORAL RIGHTS .................................................................................................................................................................. 72 6.8. INCOMPLETE, FALSE OR MISLEADING INFORMATION .................................................................................................................. 72

7. SUBMISSION CERTIFICATION ........................................................................................................................................... 73

7.1. CERTIFICATION STATEMENT .................................................................................................................................................. 73 7.2. TRANSMISSION TO ARC OF CERTIFICATION STATEMENT ............................................................................................................. 75 APPENDIX A: ELIGIBLE INSTITUTIONS .................................................................................................................................................... 76 APPENDIX B: ERA SURVEY QUESTIONS ................................................................................................................................................. 77 APPENDIX C: CONTENTS OF RESEARCH STATEMENT FOR ERA PEER REVIEW OF NON-TRADITIONAL RESEARCH OUTPUTS ...................................... 80 APPENDIX D: ABBREVIATIONS.............................................................................................................................................................. 81


Summary of Changes from ERA 2012 to ERA 2015

Substantive Changes to the Submission Guidelines for ERA 2015 There have been several changes to the Submission Guidelines for ERA 2015 from ERA 2012. Please note that there are changes also to the ERA–SEER 2015 Business Rules and Verification, ERA–SEER 2015 Technical Specifications and other ERA documentation. Institutions should also refer to these documents when preparing their ERA submission. The Submission Guidelines changes are as follows: Nomination of Research Outputs for Peer Review (see section 3.5) • In keeping with the intention of ERA 2012, the ERA 2015 Submission Guidelines further

clarify the requirements for the selection of samples of research outputs for peer review within a unit of evaluation (UoE). Institutions must provide a 30 per cent proportion of research outputs for peer review for each output type (books, journal articles, etc.) submitted within a four-digit UoE. The corresponding business rule for this requirement will generate an ‘error’ for non-compliance (in ERA 2012 this generated a ‘warning’ message).

Submission Stage 0 (see section 4.2.2.1)

• For ERA 2015, institutions will have the option of testing the data structures of their submission files in SEER in the period leading up to Submission Stage 1. This period (Stage 0) will not check the data contained in a submission and some business rules will not be available for testing. However, Stage 0 will assist institutions in removing possible validation errors related to XML structure prior to Stage 1.

• Operational details about Stage 0 will be communicated directly to institutions prior to the opening of this stage. The ARC encourages all institutions to use the opportunity to test submission file data structures in Stage 0.

Publication Association for Staff Employed at Less Than 0.4 FTE (see sections 5.3.1.1 and 5.3.1.4)

• For ERA 2015, staff employed less than 0.4 fulltime equivalent (FTE) at an institution at the staff census date must have a publication association with the institution. A publication association is most commonly demonstrated through a by-line on a research output showing an affiliation between the researcher and the institution. If a publication association is demonstrated on one research output, the institution should submit all of the researcher’s eligible research outputs within the reference period.

• The ARC recognises that there may be instances where a staff member does not meet the publication association due to significant career interruptions because of personal circumstances. For each instance where a staff member is employed at less than 0.4 FTE without a publication association and is covered by such circumstances, institutions may write to the ARC to explain why the staff member should be included in the institution’s submission. The institution would be expected to show that the staff member would otherwise have been reasonably expected to have their research outputs included in ERA 2015 had it not been for the significant career interruption due to personal circumstances such as carer responsibilities or medical reasons. The ARC must receive such written notifications prior to the close of Submission Stage 1 (13 March 2015).

Gender Data (see section 5.3.2.2)

• Institutions will be required to submit gender data for each eligible researcher. Gender data will be used for reporting and analysis purposes only. Data will not form part of the evaluation


process and will not be made available to peer reviewers or Research Evaluation Committees (RECs).

Treatment of Revisions, Reprints and Multiple Editions (see section 5.4.6)

• For ERA 2015, there are the following changes regarding revisions, reprints, and multiple editions. Research outputs that are based on the same research but are published as different research output types can only be submitted once. For example, a conference paper that is subsequently published as a journal article with no new research content must only be submitted to ERA as either the conference paper or the journal article.

• The rule for the treatment of all types of revisions, reprints and multiple editions also applies to the reference periods across all ERA rounds. For example, a conference paper that was submitted in ERA 2012 cannot be submitted in ERA 2015 as a journal article unless there is significant new research content.

Digital Storage of Research Outputs Nominated for Peer Review (see section 5.4.7 and 6.2)

• For ERA 2015, all research outputs nominated for peer review must be stored in an institutionally supported repository in digital form. If needed, large data files can be split into two or more repository links. Research outputs that are not in digital form (such as artworks, or some books), should be scanned or videos made of the output that can be digitally stored.

• Where it is impractical to digitise the entire research output, institutions may choose to digitise and store relevant parts of the research output. In such cases, the digitised content must give peer reviewers the opportunity to make robust judgements on the quality of the output. For example:

o where a book is not available in digital form, the cover page, introduction or first chapter, index (as appropriate), and other relevant sections of the book (sufficient for a robust evaluation of the work) should be digitised and stored in the institutional repository; and

o in the case of a non-traditional research output, some digital form (such as scanning, audio, or video), which when reviewed in conjunction with the relevant Research Statement for ERA Peer Review, will provide adequate information for a peer reviewer, should be stored in the institutional repository.

ERA Publisher ID (see sections 5.4.8.1 to 5.4.8.4)

• For the submission of books and book chapters, institutions will be required to select an ERA Publisher ID from the pre-determined list developed by the ARC. The list replaces the free-text field for Publisher name that existed for ERA 2012. The list includes an ‘Other’ category for institutions to select if the publisher does not appear on the ERA 2015 Submission Publisher List. This list is not meant to be exhaustive or exclusive (as, for example, the ERA 2015 Submission Journal List is).

ERA Conference ID (see section 5.4.3.1, 5.4.8.7 and 5.4.8.8) • For the submission of conference papers, institutions will be required to select the ERA

Conference ID from the pre-determined conference series list developed by the ARC. The list replaces the free-text field for the name of conference series that existed for ERA 2012. The list includes an ‘Other’ category for institutions to select if the conference paper was not presented at a conference listed on the ERA 2015 Submission Conference List. This list is not meant to be exhaustive or exclusive (as, for example, the ERA 2015 Submission Journal List is).

• The ERA 2015 Submission Conference List contains Field of Research (FoR) codes assigned to conference series (in a manner similar to that used for FoR codes assigned to journals as per


the ERA 2015 Submission Journal List). The conditions for assignment and reassignment of conference publications are the same as for journal articles.

Open Access (see sections 5.4.8 and 5.4.9)

• Institutions are required to state whether a research output is available in an open access repository. Open access data will be used for reporting and analysis purposes only. Data will not form part of the evaluation process and will not be made available to peer reviewers or Research Evaluation Committees (RECs).

• For the purpose of ERA 2015, open access repository is as per the ARC’s Open Access Policy see: http://www.arc.gov.au/pdf/ARC%20Open%20Access%20Policy_print_version.pdf.

New Category of Non-Traditional Research Outputs (see sections 5.4.9 and 5.4.9.7)

• There is a new category of non-traditional research outputs for ERA 2015, entitled Research Report for an External Body. It consists of four subcategories of reports: Public Sector; Industry; Not-For-Profit; and Other.

ERA Survey Questions (see sections 4.2.2.3 and Appendix B: ERA Survey Questions) • Once an institution is satisfied that the data included in its submission are correct, and the

ARC has verified that this is indeed the case, the institution will be asked to provide information regarding the time spent on ERA 2015 preparation activities.

http://www.arc.gov.au/pdf/ARC%20Open%20Access%20Policy_print_version.pdf


1. ERA Overview

1.1. Introduction Excellence in Research for Australia (ERA) aims to identify and promote excellence across the full spectrum of research activity, including discovery, experimental and applied research within Australian higher education institutions. ERA 2015 will evaluate the quality of the research undertaken in eligible higher education providers (henceforth ‘institutions’). Institutions evaluated as part of ERA are those listed at Appendix A: Eligible Institutions. 1.2. Objectives The objectives of ERA are to:

1. establish an evaluation framework that gives government, industry, business and the wider community assurance of the excellence of research conducted in Australian higher education institutions;

2. provide a national stocktake of discipline level areas of research strength and areas where there is opportunity for development in Australian higher education institutions;

3. identify excellence across the full spectrum of research performance;

4. identify emerging research areas and opportunities for further development; and

5. allow for comparisons of research in Australia, nationally and internationally, for all discipline areas.

1.3. Disciplines ERA evaluates the research undertaken in institutions by discipline. For the purposes of ERA, ‘disciplines’ are defined as four-digit and two-digit Fields of Research (FoRs) as identified in the Australian and New Zealand Standard Research Classification (ANZSRC). Data for ERA are submitted at the four-digit FoR level. Indicators are calculated at the four-digit and two-digit FoR levels based on the data submitted for each institution. This information is aggregated to create four-digit and two-digit Units of Evaluation (UoEs) (see section 3.3). For the full list of disciplines and FoR codes see the ERA 2015 Discipline Matrix. 1.4. Indicators UoEs are assessed and rated by Research Evaluation Committees (RECs). RECs comprise experienced, internationally recognised experts. Their evaluations are informed by four broad categories of indicators:

1. Indicators of research quality Research quality is considered on the basis of publishing behaviour, citation analysis or ERA peer review, and peer reviewed Australian and international research income.

2. Indicators of research activity Research activity is considered on the basis of research outputs, research income and other research items within the context of the profile of eligible researchers.


3. Indicators of research application Research application is considered on the basis of research commercialisation income, patents, Plant Breeder’s Rights, registered designs, and National Health and Medical Research Council (NHMRC) endorsed guidelines. Some other measures, such as publishing behaviour and some other categories of research income, can also provide information about research application.

4. Indicators of recognition Research recognition is considered on the basis of a limited range of esteem measures.

2. ERA Information

2.1. ERA Documentation These ERA 2015 Submission Guidelines should be read in conjunction with the following documents, provided on the ARC website at www.arc.gov.au/era/default.htm:

• The ERA–SEER 2015 Technology Pack—which comprises technical documentation, Code Tables and XML schema related to the ERA 2015 submission process. The Technology Pack includes the ERA–SEER 2015 Technical Specifications, which provide technical instruction for institutions on preparing and submitting ERA submissions.

• The ERA 2015 Discipline Matrix—provided as a table in Microsoft Excel format.

• The ERA 2015 Submission Journal List, Submission Conference List and Submission Publisher List—provided as a tables in Microsoft Excel format.

2.2. Provision of Additional Information The Australian Research Council (ARC) will provide any further information regarding the ERA 2015 process on its website (www.arc.gov.au/era/default.htm). This information will also be provided to the nominated ERA Liaison Officers within institutions as it becomes available. Information about the ERA 2015 citation data supplier and about how to obtain electronic identifiers (EIDs) will also be provided on the ARC website at www.arc.gov.au/era/default.htm. 2.3. Further Assistance Queries regarding ERA should be directed to the ERA Helpdesk by phone during Canberra business hours at (02) 6287 6755 or via email: era[@]arc.gov.au

http://www.arc.gov.au/era/default.htm



mailto:[email protected]


3. Key Elements of ERA

3.1. Definition of Research For the purposes of ERA, 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, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative. Institutions must ensure that all research outputs submitted to ERA meet this definition of research. Outputs that do not meet this definition may be excluded from submissions during the ERA submission process or, where they are not excluded from submissions, their inclusion may adversely affect the quality rating assigned by RECs during the evaluation process. 3.2. Comprehensiveness Institutions are required to submit comprehensive information on all eligible researchers and on all eligible research items (that is, all eligible research outputs, research income, applied measures and esteem measures) produced within the specified reference periods. Institutions must submit comprehensive information on all eligible researchers and research items, even where that information relates to fields of research which do not meet the low volume threshold (see section 3.6). Institutions must ensure that each eligible researcher or research item is assigned no more than three four-digit FoR codes (see sections 5.3.2.5 and 5.4.3). The exception is information about research income and about research commercialisation income, which may be assigned as many four-digit FoR codes as are relevant (see sections 5.5.2 and 5.6.1). 3.3. Unit of Evaluation The primary Unit of Evaluation (UoE) for ERA is the field of research at each institution (see section 1.3). Evaluation will occur at both the four-digit and the two-digit FoR level at each institution that are considered research active for the purposes of ERA. Arrangements for determining whether a field of research at an institution is considered research active for the purposes of ERA are as set out in section 3.6 3.4. Interdisciplinary and Multidisciplinary Research Interdisciplinary and multidisciplinary research will be assessed in its component fields of research. To facilitate the assessment of interdisciplinary and multidisciplinary research, institutions may assign up to three four-digit FoR codes to eligible researchers and research items. Where eligible researchers or research items are assigned multiple FoR codes institutions are required to give a percentage apportionment for each of the FoR codes assigned. For a research item, the apportionment should reflect the disciplinary content. For a researcher, the apportionment should reflect the fields of research in which the researcher is active. In recognition of the fact that researchers may undertake research outside of the usual focus of their activities, the FoR codes assigned to an eligible researcher do not determine the assignment of FoR codes to outputs authored by that researcher (see sections 5.3.2.5 and 5.4.3).


Journal articles with significant content from a field of research can be assigned to that field of research regardless of which FoR codes are assigned to the journal on the ERA 2015 Submission Journal List (see section 5.4.3.1). In the case of research outputs, RECs will have access to a profile of the extent of multidisciplinary research associated with a UoE. This will be derived from the FoR codes that are assigned to each research output in the relevant UoE. 3.5. ERA Peer Review ERA peer review is conducted by reviewing a sample of research outputs rather than by reviewing every output. The fields of research that are subject to ERA peer review are those where ERA peer review is identified as an indicator in the ERA 2015 Discipline Matrix. For the fields of research that are subject to peer review, institutions must nominate 30% of the apportioned value of each research output type for each four-digit FoR. No volume weighting is used in determining the sample of research outputs for ERA peer review (i.e. books count as one, not five). The 30% sample for each research output type must also be provided for low volume four-digit FoRs. It is acknowledged that this may result in peer review samples in low volume FoRs being much greater than 30% of the total apportioned research volume. The following table is an example of how this rule applies to institution X submitting for FoR 1603 (Demography) – note for simplicity not all research output types (i.e. book chapters) are listed in the table. Peer Review Samples for Each Research Output Type – University X, FoR 1603 (Demography) Book Journal

Article Conference

Paper Non-

Traditional Research Output

Total Research Outputs

Research volume

(apportioned value of outputs)

10.00 26.66 31.00 0.7 68.36

Peer Review sample

(number of outputs)

3 8 10 1 22

Peer review sample

(% required of research volume)

30% 30% (rounded up to the next

integer)

30% (rounded up to the next

integer)

30% (rounded up to the next

integer)

Greater than 30%

In calculating the number of research outputs for each sample, all fractions must be rounded up to the next integer. For example, an institution submits 31 conference papers for FoR code 1603 (Demography). When nominating the 30% sample, the institution must nominate 10 conference


papers (30% x 31 = 9.3, rounded up to 10). Where the apportioned value for a research output type is greater than zero, at least one research output must be provided for peer review. The total sample required for each FoR is the sum of the sample for each research type within the FoR. In some cases this may mean that the total sample for a FoR is greater than 30%. The peer review sample for two-digit FoRs will be the sum of the samples from all four-digit FoRs (including low volume four-digit FoRs). The ARC will manage the two-digit sample based on the institution’s submission for four-digit FoRs. Subject to the above requirements, institutions may determine which research outputs are nominated for peer review. However, the peer review sample should also be drawn from a representative sample of the institution’s eligible researchers for that four-digit FoR. Research outputs nominated for ERA peer review must be made available to the ARC in digital form via an institutionally supported repository (see section 5.4.7, 6.2 and 6.6). Where a research output has been assigned multiple four-digit codes, institutions may nominate in which of those four-digit codes (one or more) they wish the research output to be peer reviewed. Each non-traditional research output nominated for ERA peer review must be accompanied by a statement identifying the research component of the output (see sections 5.4.9, 5.4.9.1 and Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs). 3.6. Low Volume—Non-Assessable Units of Evaluation 3.6.1. Low Volume Threshold To ensure that there is a meaningful level of data to be evaluated, a low volume threshold exists for each UoE in ERA. For fields of research where citation analysis is used, the low volume threshold is 50 apportioned indexed journal articles. This means that, if the number of apportioned indexed journal articles over the six year research outputs reference period is fewer than 50 in any four-digit or two-digit FoR at an institution, then no evaluation will be conducted for that FoR at that institution. For peer review fields of research, the low volume threshold is the equivalent of 50 submitted apportioned research outputs. This means that, if the number of submitted apportioned research outputs over the six year research outputs reference period is equivalent to fewer than 50 in any four-digit or two-digit FoR at an institution, no evaluation will be conducted for that FoR at that institution. For these fields of research, books are given an effective weighting of 5:1, compared with other research outputs. Books are weighted only for the purposes of determining the low volume threshold. In every other instance, they are regarded as a single research output. Portfolios of works are counted as one output and may be apportioned accordingly (see section 5.4.9). An institution may meet the low volume threshold for a two-digit FoR regardless of whether or not it has met the low volume threshold for any of the four-digit FoRs within that two-digit FoR. This is because outputs from all the four-digit FoRs within that two-digit FoR are aggregated for evaluation purposes to the two-digit level. For example, an institution may have 20 apportioned outputs in each


of three four-digit FoRs within the one two-digit FoR. The institution will not meet the low volume threshold in any of the four-digit FoRs but will meet the low volume threshold in this two-digit FoR. 3.6.2. Calculating the Low Volume Threshold Where Research Outputs Have Multiple FoRs In cases where a research output has been apportioned across more than one FoR, the contribution towards the low volume threshold is calculated on the basis of the percentage apportionment. For example, if a journal article is apportioned to two FoRs at 40% and 60% respectively, then the article will be counted as 0.4 and 0.6 towards the low volume threshold for each FoR respectively. For fields of research where peer review is used, books maintain a weighting of 5:1 compared with other research outputs. For example, if a book is apportioned to two FoRs—one FoR at 40% and one at 60%—then the book will contribute 2 and 3, respectively, towards the low volume threshold of those FoRs. 3.6.3. Where the Low Volume Threshold Is Not Met Where the low volume threshold is not met for an FoR at an institution, that UoE at that institution will not be assessed and will be publicly reported as ‘not assessed’. This means that data, including data relating to research outputs, research income, applied measures and esteem measures, are always collected and submitted at the four-digit level, but are only evaluated under ERA if the FoR to which they are assigned meets the low volume threshold. If the threshold is not met, the institution will not be considered by ERA as ‘research active’ for that four-digit or two-digit field of research. 3.7. Reference Periods Submission data for ERA will be collected for the following reference periods:

Data Type Reference Period Years

Research Outputs 1 January 2008 – 31 December 2013 6

Research Income 1 January 2011 – 31 December 2013 3

Applied Measures 1 January 2011 – 31 December 2013 3

Esteem Measures 1 January 2011 – 31 December 2013 3

Further details on the rules surrounding each of these reference periods are outlined in sections 5.4.5, 5.5.1, 5.6, and 5.7 respectively. Data regarding eligible researchers are based on a single staff census date, which is 31 March 2014.


4. ERA Process

4.1. Overview of ERA 2015 Submission Process

Institution Australian Research Council

Submission

Preparation Institutions obtain citation provider electronic

identifiers (EIDs), access reference material (e.g. code tables, schema, etc.) and populate

repositories.

Stage 0 Institutions may upload trial submissions to

test the data structure of XML schema. Submissions uploaded will not carry forward to

Stage 1.

Stage 1 Institutions upload/update submission. SEER validates and verifies submission data. Some

verification may not be immediate. Institutions populate repository

authentication details and test repository access. Institutions view stage 1 UoEs.

Stage 2 The ARC and institutions perform data integrity

checks and confirm the availability in repositories of research outputs identified for ERA peer

review.

Stage 3 Institutions certify final submissions

electronically.

Stage 4 Institutions lodge hard-copy certification

statements.


4.2. Phases of the ERA Submission Process The major phases of the ERA submission process are preparation and submission. These two phases are described below. 4.2.1. Preparation In preparation for the ERA submission process, institutions must obtain an electronic identifier (EID) for each indexed journal article when:

a) those articles are assigned to fields of research where citation analysis is identified as an indicator in the ERA 2015 Discipline Matrix (including where they are assigned to such a field of research under the reassignment exception); and

b) the journals concerned are indexed by the ERA citation data supplier.

Also during this phase, institutions are expected to populate their repositories with research outputs nominated for ERA peer review. This must be done for all fields of research where peer review is identified as an indicator in the ERA 2015 Discipline Matrix (including where they are assigned to such a field of research under the reassignment exception). 4.2.2. Submission When the ERA submission process commences, institutions will be given access to the ERA supporting IT system, known as the System to Evaluate the Excellence of Research (SEER), to upload their submission data. Submission data will be validated and verified by SEER and by Australian Research Council (ARC) staff to ensure that the data align with these Guidelines, the ERA–SEER 2015 Technology Pack and the ERA XML Schema. The submission process has 5 stages, outlined below. Each of the submission stages has a deadline which must be met by institutions (as shown in the timeline at section 4.2.2.6). However, institutions may complete the tasks required for each stage prior to the deadline for that stage. Where an institution has completed the tasks required for one stage, it may proceed to the next stage without waiting for the stated start date of the subsequent stage. However, the institution must seek the permission of the ARC to move from Stage 2 to Stage 3 and from Stage 3 to Stage 4. Institutions cannot commence Stage 1 prior to its opening on 23 February 2015. 4.2.2.1. Pre-Submission Stage 0 In Stage 0, institutions will have the option of testing the data structures of submission files in SEER. This period will not check the data contained in a submission and some business rules will not be available for testing. However, Stage 0 will assist institutions in removing possible validation errors in a submission prior to Stage 1. Any submission file uploaded in SEER during Stage 0 will not carry forward to Stage 1. For a submission file to be accepted for ERA it must be uploaded in Stage 1 (as per section 4.2.2.2 below). Operational details about Stage 0 will be communicated directly to institutions prior to the opening of this stage. The ARC encourages all institutions to use the opportunity to test submission file data structures. 4.2.2.2. Submission Stage 1 In Stage 1, institutions will upload submission files in SEER and have them validated and verified by SEER. SEER will validate that a submission file meets basic technical requirements (e.g. correct XML syntax). SEER will not accept a file with validation errors. Institutions must fix any validation errors and resubmit a corrected file.


SEER will then verify that the data contained in the file meet ERA business rules. SEER may return a file to an institution with verification errors or verification warnings. Verification errors must be fixed before a submission can progress in SEER. Verification warnings do not require changes to an institution’s submission; however, the institution must acknowledge that it accepts the warning messages before it can finalise its Stage 1 submission. Using the submission data from each institution, SEER will create UoEs for each four-digit and two-digit FoR that meets or exceeds the low volume threshold. SEER will provide these Stage 1 UoEs to institutions. Using the SEER interface, the institution must also provide the authentication details for each repository domain referred to in its submission. The institution is responsible for ensuring that SEER can access the research output marked as available for peer review using these authentication details. Once an institution is satisfied that the data included in its submission are correct, the Stage 1 submission can be finalised. Finalisation of the submission marks the end of Stage 1. 4.2.2.3. Submission Stage 2 In Stage 2, the ARC undertakes further verification and integrity checking of the data contained in the submission. If any errors are detected (such as duplicate outputs), the ARC will return the submission to the institution with a list of errors to be corrected. Once the errors are resolved, an institution will be required to upload its submission, once again following the process outlined above at Stage 1. Institutions must verify the availability of submitted research outputs, as located in one or more institutionally supported digital repositories. Once an institution is satisfied that the data included in its submission are correct, and the ARC has verified that this is indeed the case, the institution will be asked to provide brief information regarding the time spent on ERA 2015 preparation activities. Details are provided in Appendix B: ERA Survey Questions to these guidelines. The institution will then be able to finalise its Stage 2 submission again. Finalisation of the submission following verification marks the end of Stage 2. 4.2.2.4. Submission Stage 3 The submission is certified by the Vice-Chancellor, or equivalent, of the institution (see section 7) in SEER. 4.2.2.5. Submission Stage 4 An institution lodges a hard copy of its certification statement, signed by its Vice-Chancellor or equivalent (see section 7).


4.2.2.6. Submission Timeline The following table outlines when each of the submission activities commences and ends. The dates for ERA 2015 submission are from 19 January 2015 to 20 April 2015 inclusive.

Phase Activity Start Date Deadline Responsible

Submission

Stage Zero

Stage 1

19 January 2015

23 February 2015

19 February 2015

13 March 2015

Institutions

Institutions

Stage 2 16 March 2015 7 April 2015 ARC, with Institutions

Stage 3 8 April 2015 13 April 2015 Institutions

Stage 4 14 April 2015 20 April 2015 Institutions


5. ERA Submission Data

5.1. Submission Components The main components of an ERA submission include:

• Explanatory Statements;

• Eligible Researcher Data;

• Data on Research Outputs;

• Data on Research Income;

• Data on Applied Measures; and

• Data on Esteem Measures. The eligibility criteria and data requirements for each of these components are outlined in detail in this section. Data requirements summary tables are also provided as follows:

• for Eligible Researchers at 5.3.2.9

• for Research Outputs: o Books—Authored Research at 5.4.8.2 o Chapters in Research Books at 5.4.8.4 o Journal Articles—Refereed, Scholarly Journals at 5.4.8.6 o Conference Publications—Full Paper Refereed at 5.4.8.8 o Non-Traditional Research Output Types at 5.4.9.2

• for Applied Measures: o Plant Breeder’s Rights at 5.6.2.2 o Patents at 5.6.2.4 o Registered Designs at 5.6.2.6 o Research Commercialisation Income at 5.6.2.8 o NHMRC Endorsed Guidelines at 5.6.2.10

• for Esteem Measures: o Editorship of a Prestigious Work of Reference at 5.7.2.2 o Fellowship of a Learned Academy and Membership of AIATSIS at 5.7.2.4 o Nationally Competitive Research Fellowships at 5.7.2.6 o Membership of a Statutory Committee at 5.7.2.8 o Australia Council Grants or Australia Council Fellowships at 5.7.2.10

The tables below show which information institutions are required to submit for ERA, and what information is optional. In the case of research income, the information institutions are required to submit is detailed in the ERA–SEER 2015 Technical Specifications. The meaning of “required” and “optional” in the following tables relates to these ERA 2015 Submission Guidelines and should be distinguished from the meaning of “mandatory” and “optional” within the ERA–SEER 2015 Technical Specifications. The meaning of the latter is determined by technical factors in the XML schema rather than by the substance of submission data requirements.


5.2. Explanatory Statements An institution must provide succinct written Explanatory Statements to contextualise the data that the institution has submitted about the research performance of each two digit field of research at the institution. Explanatory Statements enable institutions to identify additional factors that may need to be taken into account in order to make an informed evaluation. Explanatory Statements should:

• be provided at the two-digit level but may be structured to address the relevant four-digit FoR codes that lie beneath. The two-digit Explanatory Statement will also be viewed in conjunction with each four-digit UoE within that two-digit field;

• be used to provide any necessary explanation of the data presented in the institutional submission, such as an explanation of perceived anomalies or unusual patterns;

• align with the submission data associated with the UoEs to which they refer (for example, an Explanatory Statement should claim that certain UoEs have a high level of grant income only if this is supported by the research income data submitted for those UoEs);

• focus on activities undertaken during the six year reference period from 1 January 2008 to 31 December 2013 rather than provide information about the future direction of the relevant fields of research. Any information on prospective activity will not be considered.

Explanatory Statements must avoid:

• making claims which are not supported by the submission data;

• making references to individual researchers, as far as is possible;

• repeating data in Explanatory Statements that appear elsewhere in their submission;

• including additional measures such as external citation counts; and

• including any embedded links. Subject to the above, institutions may determine the extent to which they provide information in their Explanatory Statements. Explanatory Statements may address:

• An Overview—a brief outline of any background information relevant to the performance and development of the field of research under consideration. This may include a description of research focus within the two-digit FoR and reasons for trends or shifts in research focus (e.g. institutional restructure);

• Publication Profile—a description of research strengths (including an explanation of those which are underrepresented by the indicators) and an explanation of discipline specific publishing trends (e.g. those that would come about from a particular applied or regional focus);

• Capacity and Environment—a profile of staffing (including identification of any significant changes in overall, not individual, staff or resources over time) and the effect of the staffing profile on research activity, a description of research group compositions, and information on support for Early Career Researchers and Higher Degree by Research (HDR) students (including how they have contributed to the production of the research outputs submitted);


• Collaboration—a description of collaboration across fields of research and/or with researchers at other institutions or agencies (both within Australia and overseas);

• Spectrum of Activity—identification of the range of research activity undertaken in the relevant field of research, including pure basic research, strategic basic research, applied research, experimental development and information about interdisciplinary trends; and

• Other—any other information that the institution considers should be included to explain the data submitted or to further elucidate the research activity undertaken and enable an informed evaluation. This may include additional factors not captured in the submission (such as awards/prizes).

One Explanatory Statement must be provided for each two-digit FoR code. Each Explanatory Statement is limited to 10 000 characters (approximately two pages). Spaces are included in the character limit. Refer to the ERA–SEER 2015 Technical Specifications for further detail on how Explanatory Statements should be provided. 5.3. Researchers 5.3.1. Eligible Researcher Criteria The researcher eligibility criteria set out in this section are to be used as the basis for determining whether a research output and some applied measures and/or some esteem measures can be included as part of the submission of an institution. Researcher eligibility is used for applied measures and esteem measures in the manner outlined in sections 5.6 and 5.7 Flowcharts of the relationship between researcher eligibility and research output eligibility are on the on the following pages. Note: the flowcharts provide a simplified overview of the eligibility criteria for illustrative purposes only. The flowcharts do not include all data requirements (such as those relating to the function of staff; see section 5.3.2.8). When constructing submissions, institutions should refer to sections 5.3 and 5.4 in full. A summary of data requirements is at section 5.3.2.9.


Is the person a member of staff as defined by

ERA on the census date?

Is the staff member employed fulltime, or employed fractional

fulltime at ≥ 0.4 FTE?#

All staff member’s research outputs* in the reference period should

be submitted.

The person and their research outputs are ineligible for ERA

submission.

Is the staff member employed fractional

fulltime at < 0.4 FTE?#

Does the staff member have a demonstrable

publication association with the institution?

Is the staff member employed as casual, visiting, exchange,

seconded, or unpaid?


submission.

Does the staff member have a demonstrable

publication association with the institution?


submission.

Submit only those research outputs* with a demonstrable publication

association with the institution.

*For an output to be submitted to ERA, it must be an eligible research output. See the flowchart on the following page. # See section 5.3.2 for eligible research data requirements – including requirements relating to the function of FTE staff.

Yes

Yes Yes

Yes

Yes

Yes

No

No

No No No


submission.

No


Was the output produced by an

eligible researcher?

Does the output meet the definition

of research?

Was the output published during in ERA 2015 reference

period?

Is the output an eligible research

output type?

Submit (as per the requirements for the

different types of eligible research

outputs).

Do not submit

Do not submit

Do not submit

Flowchart of Research Output Eligibility

Yes Yes Yes Yes

No No No No

Do not submit


5.3.1.1. Key Eligibility Criteria for Researchers Researchers are not eligible if they do not meet criteria (a), (b) and (c) below. Any research output on which they are listed is therefore also ineligible, unless another researcher listed on the research output meets the researcher eligibility criteria below.

(a) Staff Census Date Researchers must be affiliated (as defined at criterion (c) below) with the institution on the staff census date. For 2015 ERA submissions, the staff census date is 31 March 2014.

(b) Member of Staff Researchers must meet the following definition of a ‘member of staff’, which reflects the definition in the Higher Education Staff Data Collection (HESDC):

A ‘member of staff’ is defined as a person who performs duties for the institution or one of its controlled entities, and is either:

(b)(i) a person employed by the institution or one of its controlled entities on a full time or fractional full time basis;

(b)(ii) a person employed by the institution or one of its controlled entities on a casual basis;

(b)(iii) an employee of another institution who is working at the institution or one of its controlled entities as either:

‘visiting’ staff; ‘exchange’ staff; or ‘seconded’ staff; or

(b)(iv) a person who works for the institution or one of its controlled entities on a regular basis but who receives no remuneration (e.g. members of religious denominations, unpaid visiting fellows).

Included in this definition of ‘member of staff’ are persons of the above types who are occupying temporary positions or who are conjoint, clinical or adjunct appointees.

Also included are persons who are employees of the institution or one of its controlled entities and who are working in locations outside Australia.

Excluded from this definition of ‘member of staff’ are persons whose services are being provided to the institution or one of its controlled entities on a contract basis as an employee of another institution or organisation or as a self-employed person. Such persons may provide teaching services, consultancy services, programming services or other types of services.

For ERA purposes, terms used in criterion (b) should be interpreted consistently with HESDC definitions of those terms and with their usage in the HESDC definition of ‘member of staff’.1

1http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Member of Staff


(c) Affiliation To be ‘affiliated’ with an institution for ERA purposes, the researcher must on the staff census date meet either:

(c)(i) be an employee in accordance with criterion (b)(i) above and: be either full time, fractional full time at or above 0.4; or, fractional full time below 0.4 with demonstrated publication association (see section 5.3.1.3) with the institution within the research outputs reference period;

(c)(ii) be an employee in accordance with criterion (b)(ii) above (i.e. be employed by the institution or by one of its controlled entities on a casual basis); and also have a demonstrated publication association (see section 5.3.1.3) with the institution within the research outputs reference period; or

(c)(iii) meet criterion (b)(iii) or criterion (b)(iv) above; and also have a demonstrated publication association (see section 5.3.1.3) with the institution within the research outputs reference period.

Institutions are required to provide eligible researcher data on employees with the status ‘Other Function’ only when those employees have produced eligible research outputs.

Higher Degree by Research (HDR) students are not eligible unless they are affiliated with the institution on the basis of criterion (c)(i), criterion (c)(ii), or criterion (c)(iii) above. Adjunct, honorary and emeritus researchers are eligible if they are affiliated with the institution on the basis of criterion (c)(iii).

If a researcher is engaged by an overseas institution and produces research outputs that have a demonstrable publication association with their Australian institution, they may be eligible under criterion (b)(iii). In this case, only those outputs with a demonstrable publication association with an Australian submitting institution are eligible.

5.3.1.2. Staff on Leave Without Pay In accordance with the HESDC definitions,2 a member of staff must have current duties at the staff census date. For ERA 2015 submissions, the staff census date is 31 March 2014. Staff on leave without pay who, by definition, do not have current duties, are unlikely to be eligible researchers for the institution from which they are on leave. Staff on leave without pay by definition do not have current duties. They are unlikely to be eligible as a member of staff in ERA. If, however, they are engaged at another Australian institution at the census date, they may meet the ERA eligibility criteria and have outputs submitted by the other institution. 5.3.1.3. Demonstrating a Publication Association This section applies to all research output types (including all traditional and non-traditional research outputs). A publication association can be demonstrated in the form of the name or logo of the submitting institution on or within a research output (e.g. in a by-line), which directly attributes the submitting institution to the eligible researcher being submitted to ERA. Otherwise, the institution can demonstrate a publication association with the following evidence:

2 http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Effective Substantive Appointment and http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Current Duties


• 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 of the institution; and either

o a statement from the Director of Human Resources (or equivalent) indicating that the author was an appointee of the institution during the research output reference period; or

o an extract from the staff list of the institution that lists the author as an appointee of the institution during the research output reference period.

Institutions are not required to include such evidence with their submission data. These requirements in relation to demonstrating a publication association are consistent with section 9.4 of the 2014 HERDC Specifications.3 5.3.1.4. Staff Employed at Less than 0.4 FTE This section only applies to staff employed at an institution on the census date at less than 0.4 FTE (under section 5.3.1.1 (b)(i)) and with reference to the affiliation requirement as per section 5.3.1.1 (c)(i). It does not apply to casual, visiting, adjunct and other staff (that is, any staff engaged on the basis of section 5.3.1.1: (b)(ii), (b)(iii), or (b)(iv)). The ARC recognises that there may be instances where a staff member does not meet the publication association due to significant career interruptions because of personal circumstances. For each instance where a staff member is employed at less than 0.4 FTE without a publication association and is covered by such circumstances, institutions may write to the ARC to explain why the staff member should be included in the institution’s submission. The institution would be expected to show that the staff member would otherwise have been reasonably expected to have their research outputs included in ERA 2015 had it not been for the significant career interruption due to personal circumstances such as carer responsibilities (including parental leave) or medical reasons. The ARC must receive such written notifications for each relevant staff member prior to the close of Submission Stage 1 (13 March 2015). Institutions should submit all research outputs for eligible researchers covered by this section. Staff employed at less than 0.4 FTE without a publication association who are not covered by the circumstances detailed in this section are ineligible for submission. 5.3.2. Eligible Researcher Data As part of their submissions, institutions must provide the following data for eligible researchers:

• Name and Alternative Names;

• Gender;

• Staff Reference;

• FTE (if applicable);

• FoRs (to a maximum of three four-digit codes);

• Level (Level E–A or Other Level);

• Status (‘Employed’, ‘Employed on Casual Basis’, or ‘Other Status’); and 3 http://education.gov.au/higher-education-research-data-collection

http://education.gov.au/higher-education-research-data-collection


• Function (‘Teaching and Research’, ‘Research Only’, or ‘Other Function’). Requirements for submission of the above data vary according to the function of the eligible researcher and the nature of their affiliation with the institution. Eligible researcher data must be provided for:

• researchers who meet eligibility criterion (c)(i) and who have the function of ‘Teaching and Research’ or ‘Research Only’, regardless of whether the researcher has produced any eligible research outputs;

• researchers who meet eligibility criterion (c)(i), who have the function of ‘Other Function’, and who have produced one or more eligible research outputs;

• researchers who meet eligibility criterion (c)(ii); and

• researchers who meet eligibility criterion (c)(iii). 5.3.2.1. Name and Alternative Names The current name of the eligible researcher must be provided. In addition, any alternative names under which the eligible researcher may have published during the reference period must be provided where their alternative name(s) appear on a research output that is submitted for evaluation. 5.3.2.2. Gender The gender of the eligible researcher must be provided as either “male”, “female”, or “other”. This information is being collected for aggregate reporting and internal ARC analysis. The gender of an individual researcher will not be provided to peer reviewers and RECs. It will not be used as part of the ERA evaluation process. 5.3.2.3. Staff Reference The Staff Reference is a unique identifier allocated by the institution for each eligible researcher for ERA purposes. It allows researchers to be linked to relevant research outputs, applied measures and esteem measures within an institution’s submission. The Staff Reference will be used only for the purposes of linking eligible researchers to research outputs and/or esteem measures and/or applied measures. 5.3.2.4. FTE Data For ERA purposes, FTE data should only be provided for those researchers who meet criterion (c)(i) of the researcher eligibility criteria (see section 5.3.1.1). FTE should be based on the work contract of an employee, as defined in HESDC, as at the staff census date.4 Therefore:

• an employee who has a full time work contract at the census date should be attributed an FTE of 1.0

• an employee who has a fractional full time work contract at the census date is expected to have an FTE of less than 1.0

• the fraction represents the total number of agreed work hours for that researcher, where 1.0 represents normal work hours on a full time contract.

4 http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Work Contract


• the FTE of a single researcher for a single institution cannot exceed 1.0 Eligible researchers who meet criterion (c)(ii) or criterion (c)(iii) of the researcher eligibility criteria should not be assigned an FTE (see section 5.3.1.1). Instead of FTE, a headcount will be derived for these individuals and included in the eligible researcher profile used in ERA evaluations. 5.3.2.5. Assignment and Apportionment of FoR Codes to Eligible Researchers FoR assignment should describe the focus of the activities of the researcher. An eligible researcher may be assigned to a maximum of three FoR codes at the four-digit level. Percentage apportionments for each FoR code should also be identified. The total of percentages applied for each eligible researcher should equal 100%. The minimum apportionment for an eligible researcher is 10%. The FoR code(s) assigned to an eligible researcher do not determine the FoR assignment of the research outputs of that researcher. 5.3.2.6. Level The level of an eligible researcher is one of the following:

• Level A, B, C, D, or E—based on their academic salary classification, in accordance with the levels used in HESDC: or

• Other Level—where an eligible researcher cannot be assigned to one of the Levels E–A (e.g. general staff and academics occupying management positions), the researcher should be classified as ‘Other Level’.

In the case of a staff member holding multiple appointments within an institution, the institution should choose the most applicable level to submit. 5.3.2.7. Status The status of an eligible researcher describes the basis on which the researcher is affiliated with the institution, and determines which of their research outputs can be included as part of the institution’s submission. For ERA purposes, the status of an eligible researcher can be described as one of the following only:

• Employed—affiliation on the basis of criterion (c)(i) of the researcher eligibility criteria (see section 5.3.1).

• Employed on Casual Basis—affiliation on the basis of criterion (c)(ii) of the researcher eligibility criteria (see section 5.3.1).

• Other Status—affiliation on the basis of criterion (c)(iii) of the researcher eligibility criteria (see section 5.3.1).

5.3.2.8. Function The function of an eligible researcher describes the general type of work which they have formally agreed with the institution to undertake. For ERA purposes, the function of an eligible researcher can be described only as ‘Research Only’, ‘Teaching and Research’, or ‘Other Function’, in accordance with the following definitions:

• Research Only—this function involves undertaking only research work or providing technical or professional research assistance, or the management and leadership of research staff and of staff who support research staff. There may be limited other work (e.g. participation in the


development of postgraduate courses and supervision of postgraduate students). This definition is to be interpreted as having the same content as the HESDC definition of ‘A Research Only Function’.

• Teaching and Research—in addition to the activities undertaken in the Research Only function, this function also involves undertaking teaching and associated activities (including lecturing, group or individual tutoring, preparation of teaching materials, supervision of students, marking, and preparation for the foregoing activities), or the management and leadership of teaching staff and research staff and persons who support such staff. This definition is to be interpreted as having the same content as the HESDC definition of ‘A Teaching and Research Function’.

• Other Function—functions other than ‘Research Only’ or ‘Teaching and Research’. A researcher whose function is ‘Teaching Only’ who has produced one or more submitted research outputs should be classified as ‘Other Function’. This definition is to be interpreted as having the same content as the combined HESDC definitions of ‘A Teaching Only Function’ and ‘An Other Function’.5

In the case of a staff member holding multiple functions within an institution, the institution should choose the most applicable function to submit.

5 http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Function

http://heimshelp.education.gov.au/sites/heimshelp/resources/glossary/pages/glossaryterm?title=Function


5.3.2.9. Summary of Data Requirements for Eligible Researchers Outlined in the following table is a summary of information to be submitted by institutions for each eligible researcher. Nature of affiliation with institution

→ Data type

↓

(c)(i) (c)(ii) (c)(iii) Status:

‘Employed’ ≥ 0.4 FTE

Status: ‘Employed’ < 0.4 FTE

Status: ‘Employed on Casual

Basis’

Status: ‘Other Status’

Function: ‘Research Only’ and ‘Research

and Teaching’

Function: ‘Other’

Function: ‘Research

Only’, ‘Research

and Teaching’

and ‘Other’ Employed by the institution or one of its controlled entities on a full time or ≥ 0.4 fractional full time basis.

Employed by the institution or one of its controlled entities on a full time or ≥ 0.4 fractional full time basis and has produced at least one research output within the reference period.

Employed by the institution or one of its controlled entities on < 0.4 fractional full time basis and has a publication association.

Employed by the institution or one of its controlled entities on a casual basis and has publication association.

Employee of another institution who is working at the institution or one of its controlled entities as ‘visiting’, ‘exchange’ or ‘seconded’ staff and has publication association.

Works for the institution or one of its controlled entities on a regular basis but who receives no remuneration and has publication association.

Research outputs Required Required Which research outputs? All Only those with a publication association

Last Name Required Required Honorific Required if applicable Required if applicable First Name Required if applicable Required if applicable Middle Name Required if applicable Required if applicable Alternative name(s) Required if applicable Required if applicable Gender Required Required Staff Reference Required Required FTE Required Not to be submitted FoR (to a maximum of three four-digit codes)

Required Required

Level (Level E–A or Other Level) Required Required

Status (Employed, Employed on Casual Basis, or Other Status)

Required Required

Function (Research Only, Teaching and Research or Other Function)

Required Required


5.4. Research Outputs 5.4.1. Overarching Eligibility Criteria For an institution to submit information on a research output, the research output must meet all of the following criteria:

1. meet the definition of research (see section 3.1);

2. have been published or made publicly available within the research outputs reference period (as per section 3.7 and 5.4.5);

3. have one or more eligible researchers (as per section 5.3.1) listed as author(s) or creator(s) either within (e.g. in the by-line) or on that research output; and

4. be an eligible research output type (as per section 5.4.2, 5.4.8 and 5.4.9). When including research outputs in ERA submissions, institutions must abide by the rules regarding:

• the assignment and apportionment of FoR codes to research outputs (see section 5.4.3);

• the treatment of revisions, reprints and multiple editions (see section 5.4.6); and

• where applicable, eligible versions for ERA peer review (see section 5.4.7). 5.4.2. List of Eligible Research Output Types There are four kinds of traditional research outputs, as detailed at 5.4.8. These are:

• Books—Authored Research;

• Book—Chapters in Research Books;

• Journal Articles—Refereed, Scholarly Journal; and

• Conference Publications—Full Paper Refereed. For some fields of research (as per the ERA 2015 Discipline Matrix), the following ‘non-traditional’ types of research output are also eligible, as detailed at section 5.4.9:

• Original Creative Works;

• Live Performance of Creative Works;

• Recorded/Rendered Creative Works;

• Curated or Produced Substantial Public Exhibitions and Events; and

• Research Reports for an External Body. 5.4.3. Assignment and Apportionment of FoR Codes for Eligible Research Outputs 5.4.3.1. Assignment Institutions must assign at least one and a maximum of three four-digit FoR codes to each research output. FoRs should only be assigned to an output if they are relevant to that output. Institutions may assign any four-digit FoR codes to research outputs, with the exception of journal articles and conference publications.


In the case of journal articles and conference publications, institutions may assign only those FoR codes identified for the journal or the conference series as per ERA 2015 Submission Journal List and the ERA 2015 Submission Conference List, respectively. The following exceptions apply:

• In the case of articles published in journals or conference publications from conference series for which a two-digit FoR code is identified in the ERA 2015 Submission Journal List or the ERA 2015 Submission Conference List, institutions may assign to the article/conference publication any four-digit FoR codes from within the two-digit FoR code identified for that journal/conference series.

• In the case of articles/conference publications in multidisciplinary journals/conference series, institutions may assign any four-digit FoR codes to the article/conference publication.

• In the case of journal articles/conference publications which have significant content (66% or more) that could best be described by a particular four-digit FoR code, institutions may assign that four-digit FoR code to the article/conference publication. Such assignment can be made even if the ERA 2015 Submission Journal List/ERA 2015 Submission Conference List does not assign that four-digit FoR code to the journal/conference series in which the article/conference publication was published (the reassignment exception).

5.4.3.2. Apportionment Institutions are required to give a percentage apportionment for each FoR code assigned to a research output. Each four-digit FoR code assigned to a research output must be apportioned to that output in the range of 20%–100%. There is only one exception to this rule: where an institution has assigned an FoR code to an article under the reassignment exception outlined in section 5.4.3.1, that FoR code must be apportioned to that output in the range of 66%–100%. For each research output, the percentages apportioned must total 100. 5.4.4. Indigenous Research and Institutional Units 5.4.4.1. Indigenous Research Institutions may identify individual research outputs (in whole or in part) in ERA submissions as containing Indigenous research content. Indigenous research is defined as having impact on or investigating political, social, economic and cultural opportunities and challenges in Indigenous Australian societies. Coding of Indigenous research is not mandatory. 5.4.4.2. Institutional Units Institutions may devise their own institutional reporting codes that link components of their submission to particular Institutional Units within the institution, such as academic organisation units, research centres, Centres of Excellence or departments. Institutions may submit up to two Institutional Unit codes for each research output. The use of Institutional Unit codes is optional. Institutions may choose to assign Institutional Unit codes to some or all research outputs, or to none. 5.4.4.3. Usage of Indigenous Research and Institutional Unit Information RECs will neither receive nor consider information aggregated by Indigenous research or by Institutional Unit. The provision of Institutional Unit or Indigenous research information in ERA submissions will not result in separate or additional evaluation outcomes by Indigenous research or by Institutional Unit.


Following completion of the ERA evaluation, institutions may use these codes to compile information about, for example, an Institutional Unit in ‘climate change research’ that had its research outputs submitted for evaluation under a variety of fields of research (e.g. environmental science and management, atmospheric sciences, law, soil sciences and demography). 5.4.5. Research Outputs Reference Period For a research output to be eligible for submission it must have been published within the research outputs reference period. For the purposes of ERA, ‘published’ is broadly defined to mean the publication of traditional research outputs (see section 5.4.8). In the case of non-traditional research outputs, ‘published’ refers to a research output being made publicly available (see section 5.4.9). The research outputs reference period is defined as the six year period from 1 January 2008 to 31 December 2013 inclusive. Research outputs published or made publicly available outside of the reference period are not eligible for submission. 5.4.5.1. The Date of Publication Rule The date of publication of a research output must appear on the research output and/or in the information to be provided for each research output. Where the actual date of publication differs from the listed date of publication, institutions should be able to explain this variance on request by the ARC. This explanation is required for all submitted research outputs. The date of publication based on the digital object identifier (DOI) for an electronic publication may be used. Institutions should note that copyright dates or ‘date last updated’, which appear on web pages, do not typically refer to a publication included on that page. Except where the date of publication is referred to by the DOI, web page dates should not be used as evidence of the date of publication. 5.4.5.2. Exceptions Where a research output was originally produced in a medium where no date of publication is stated within (e.g. in the by-line) or on the output, a letter from an editor, conference organiser or publisher may be acceptable evidence to identify the date of publication. A letter cannot override a date of publication stated within the research output. Institutions may be required to provide the letter on request by the ARC. Provided that no other date exists within or on the research output, the year a research output was ‘presented’ may be acceptable evidence of the date of publication (e.g. if presented to a conference in the case of a conference paper).


5.4.6. Treatment of Revisions, Reprints and Multiple Editions 5.4.6.1. Revisions There may be some cases where a research output is revised following the publication of the output (for example, an updated version of a web-based non-traditional research output). A revised research output can only be submitted if the institution can demonstrate that it meets all the eligibility criteria. This requirement applies to submissions of research outputs for all ERA rounds and across all ERA reference periods. For example, a web-based non-traditional research output submitted in ERA 2012 cannot be submitted in a revised or updated form for ERA 2015 unless the revision includes substantial new research content (see section 3.1 for the definition of research). 5.4.6.2. Revisions Across Research Output Types Where a research output has been submitted for one research output type it must not be submitted for another research output type unless there is substantial new research content (see section 3.1 for the definition of research). For example, a journal article should not be submitted if it is generally a replication of a conference paper, which is also being submitted. In the case of non-traditional research outputs, the institution should take care not to submit research outputs that are submitted in an alternate research output category (or sub-category) unless there is demonstrable new research for each research output. Institutions may be required to demonstrate, on request by the ARC, new research content for corresponding research outputs in different research output categories. This requirement applies to submissions of research outputs for all ERA rounds and across all ERA reference periods. For example, a journal article (which is generally a replication of a conference paper) should not be submitted in ERA 2015 if the corresponding conference paper was submitted for ERA 2010 or ERA 2012. 5.4.6.3. Reprints and Multiple Editions Where there has been a reprint or new edition of a research output and both versions are included in an institution’s submission for any ERA round, institutions may be required to state, on request by the ARC, how the reprint or new edition has contributed substantially new research (see section 3.1 for the definition of research). Where there have been multiple prints or editions, none of which constitute substantially more new research than the other, the institution may decide which edition or print is to be submitted. Institutions are responsible for ensuring that only one print or edition of the research output is submitted across all ERA rounds and reference periods. 5.4.7. Eligible Versions of Research Outputs for ERA Peer Review The ARC must have electronic access to an eligible version of each research output nominated by an institution for ERA peer review. Where a research output is nominated for ERA peer review, the institution must make the research output available in an institutionally supported repository in digital form (see also section 6.2 for further details). In the case of journal articles, the following versions are eligible to be nominated for ERA peer review:

• Accepted Manuscript—the version which has been submitted for publication, accepted for publication, peer reviewed and revised; and which is the final version as prepared by the author.


• Version of Record—the version as published in its final format, which serves as the definitive version and includes any changes made to an Accepted Manuscript by pre-publication copy editing, typesetting and proof reading.6

Non-traditional research output types that are nominated for ERA peer review are eligible provided that the institution can demonstrate, on request by the ARC, that the submitted version is the definitive version or version of record that was made publicly available in the reference period. Any digital copy of a research output that is made for the purposes of storing the research output in digital form in an institutionally supported repository as per section 6.2 should be directly derived from the definitive version of the output. 5.4.8. Traditional Eligible Research Output Types The eligible research output types common to all fields of research are:

• Books—Authored Research;

• Book—Chapters in Research Books;

• Journal Articles—Refereed, Scholarly Journal; and

• Conference Publications—Full Paper Refereed.

5.4.8.1. Books—Authored Research Institutions are required to submit information on all eligible books for each year of the research outputs reference period. Eligible books are those that meet all of the following criteria (in addition to the criteria outlined at section 5.4.1):

(a) be a major work of scholarship;

(b) be offered for sale in the form of: o hard copies, bound, o CD-ROMs, packaged, and/or o e-books, on subscription or fee basis;

(c) have an International Standard Book Number (ISBN);

(d) be entirely written by a single author, or by joint authors who share responsibility for the whole book; and

(e) have been published by a commercial publisher. The above requirements apply whether the publication is in print and/or online form. However, the ARC recognises that there are cases where a book has only been made available online, and has not been published by a commercial publisher and/or offered for sale. In these cases, the institution can only report the book if it has been through an acceptable peer review process and otherwise meets the relevant eligibility criteria, including meeting the definition of research. Institutions should note that publishing online by an individual—i.e. not by recognised commercial publishers, institutions or other organisations—is unlikely to meet the peer review requirements or provide sufficient editorial scrutiny. For ERA purposes, an acceptable peer review process is one that involves an assessment or 6 See ‘NISO RP-8-2008, Journal Article Versions (JAV): Recommendations of the NISO/ALPSP JAV Technical Working Group’, http://www.niso.org/publications/rp/RP-8-2008.pdf

http://www.niso.org/publications/rp/RP-8-2008.pdf


review, before publication, of the research output in its entirety by independent, qualified experts. The term ‘independent’ in this context means independent of the author. A statement from an author that a research output was peer reviewed is not sufficient evidence. The following types of books are likely to meet the eligibility criteria for the ‘Book’ research output type:

• critical scholarly texts;

• new interpretations of historical events; and

• new ideas or perspectives based on established research findings. 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 institutions assess these outputs very carefully against the definition of research and include for this research output type only those books which report research activities. The following types of books are unlikely to meet the eligibility criteria for the ‘Book’ research output type:

• textbooks;

• anthologies;

• edited books;

• books that are not published by a commercial publisher and/or offered for sale; and

• revisions or new editions. For some fields of research, these types of books may be eligible to be submitted using the other research output categories outlined at section 5.4.9 For the submission of books, institutions will be required to select an ERA Publisher ID from the ERA 2015 Submission Publisher List. The list includes an ‘other’ category for institutions to select if the publisher does not appear on the ERA 2015 Submission Publisher List. 5.4.8.2. Summary of Data Requirements for Books—Authored Research Outlined in the following table is a summary of information to be submitted by institutions for each book.

Data Item Requirement to include for each book Staff Creator(s) Required for all authors who are eligible researchers Creator(s) Required to list all authors of the book Title Required Place of Publication Required ERA Publisher ID Required (selected from the ERA 2015 Submission

Publisher List) Year Published Required Year Available Optional ISBN Required Extent Required Edition Optional


Version Optional Translated Optional Sensitive Optional Sensitive Handling Note Required if output is sensitive Electronic Location Required if nominated for ERA peer review Available in an Open Access Repository

Required (Yes/No)

Four-digit FoR Code Assignment

Required (a maximum of three)

Four-digit FoR Code Apportionment

Required

Nominated FoR Code for Peer Review

Optional (a maximum of three)

Indigenous Research Optional Institutional Unit(s) Optional

5.4.8.3. Chapters in Research Books Institutions are required to submit information on all eligible book chapters for each year of the research outputs reference period. Eligible book chapters are those that meet all of the following criteria (in addition to the criteria outlined in section 5.4.1):

(a) be a contribution, consisting substantially of new material, 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, provided it constitutes substantial new knowledge and constitutes original research;

(b) be a chapter in a book that is offered for sale in the form of: • hard copies, bound, • CD-ROMs, packaged, and/or • e-books, on subscription or fee basis;

(c) be a chapter in a book that has an International Standard Book Number (ISBN); and

(d) be a chapter in a book that has been published by a commercial publisher. The above requirements apply whether the publication is in print and/or online form. However, the ARC recognises that there are cases where a book chapter has only been made available online, and has not been published by a commercial publisher and/or offered for sale. In these cases, the institution can only report the book chapter if it has been through an acceptable peer review process and otherwise meets the relevant eligibility criteria, including meeting the definition of research. Institutions should note that publishing online by an individual—i.e. not by recognised commercial publishers, institutions or other organisations—is unlikely to meet the peer review requirements or provide sufficient editorial scrutiny. For ERA purposes, an acceptable peer review process is one that involves an assessment or review, before publication, of the research output in its entirety by independent, qualified experts. The term ‘independent’ in this context means independent of the author. A statement from an author that a research output was peer reviewed is not sufficient evidence. The following types of book chapters are likely to meet the eligibility criteria for the ‘Book Chapter’ research output type:


• 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;

• critical scholarly text of chapter length; and

• critical review of current research.

The following types of book chapters are unlikely to meet the eligibility criteria for the ‘Book Chapter’ research output type:

• chapters in textbooks;

• entries in reference books;

• anthologies;

• revisions of chapters in edited books;

• forewords;

• brief introductions;

• brief editorials;

• chapters in books that are not published by a commercial publisher and/or offered for sale; and

• appendices. For some fields of research, these types of chapters may be eligible to be submitted using the other research output categories outlined at section 5.4.9. For the submission of chapters in research books, institutions will be required to select an ERA Publisher ID from the ERA 2015 Submission Publisher List. The list includes an ‘other’ category for institutions to select if the publisher does not appear on the ERA 2015 Submission Publisher List. 5.4.8.4. Summary of Data Requirements for Chapters in Research Books Outlined in the following table is a summary of information to be submitted by institutions for each book chapter.

Data Item Requirement to include for each book chapter Staff Creator(s) Required for all authors who are eligible researchers Creator(s) Required to list all authors of the book chapter Editor(s) Required to list all editors of the book Title of the book chapter Required Title of the book Required Place of Publication Required ERA Publisher ID Required (selected from the ERA 2015 Submission

Publisher List) Year Published Required Year Available Optional ISBN Required Extent Required Edition Optional Version Optional Translated Optional


Sensitive Optional Sensitive Handling Note Required if output is sensitive Electronic Location Required if nominated for ERA peer review Available in Open Access Repository

Required (Yes/No)




Required




5.4.8.5. Journal Articles—Refereed, Scholarly Journal Institutions are required to submit information on all eligible journal articles for each year of the research outputs reference period. Eligible journal articles are those that, in addition to the criteria outlined in section 5.4.1, have been published in a scholarly peer reviewed journal listed in the ERA 2015 Submission Journal List. To be included in the ERA 2015 Submission Journal List, a journal must have been active, peer reviewed, have published original research and have an International Standard Serial Number (ISSN), during the reference period (1 January 2008 – 31 December 2013). An acceptable peer review process is one that involves an assessment or review, before publication, of the research output in its entirety by independent, qualified experts. The term ‘independent’ in this context means independent of the author. Articles in journals that are not listed in the ERA 2015 Submission Journal List cannot be submitted as journal articles. For some fields of research, they may be eligible for submission using the other research output types outlined at section 5.4.9. The following types of journal article are likely to meet the eligibility criteria for the ‘Journal Article’ research output type:

• 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 provided above;

• 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; and

• articles in a standalone series.


The following types of journal article are unlikely to meet the eligibility criteria for the ‘Journal Article’ research output type:

• 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; and

• brief commentaries and brief communications of original research. Indexed Journal Articles and Non-indexed Journal Articles Journal articles are defined as either indexed or non-indexed. An ‘indexed journal article’ is an article that has been published in a journal indexed by the ERA 2015 citation provider as of the ERA 2015 citation census date and has a unique electronic identifier (EID). The EIDs will be provided by the citation provider during the tagging process. For fields of research where citation analysis is used (see the ERA 2015 Discipline Matrix), a ‘non-indexed journal article’ is an article that has been published in a journal which is on the ERA 2015 Submission Journal List but which is not indexed by the citation provider and therefore does not have a unique EID. For fields of research where citation analysis is not used (see the ERA 2015 Discipline Matrix), all journal articles are non-indexed for the purposes of ERA. For fields of research which use citation analysis, the number of apportioned indexed journal articles in an institution’s submission for a particular discipline is used to determine whether it meets or exceeds the low volume threshold at the four-digit FoR level, the two-digit FoR level, or not at all. For citation analysis fields of research, non-indexed journal articles and other research outputs do not contribute to the number of articles that determine whether sufficient volume exists for citation analysis (that is, the low volume threshold), whether at the four-digit or two-digit FoR level (see section 3.6). For articles to be submitted in fields of research using citation analysis, institutions are required to provide a unique EID for each indexed journal article included in the submission of the institution. EID Tagging—indexed journal articles only The citation provider will communicate directly with institutions regarding the tagging of journal articles with EIDs. It is the responsibility of the institution to work with the citation provider within the specified tagging period and to check the accuracy of the outputs tagged. As part of the tagging service, the citation provider will return its metadata to institutions for each tagged journal article. This will allow institutions to verify that the correct journal article has been tagged and to improve the accuracy of their institutional dataset. Only those journal articles that are indexed by the citation provider on or before the citation census date will be successfully validated by SEER and contribute to the low volume threshold. Data Validation—indexed journal articles only


The ARC will undertake a number of validation checks on submitted journal articles. These checks will be detailed in the ERA–SEER 2015 Technical Specifications. It is recommended that institutions use the metadata returned by the citation provider for submission purposes. The ARC will undertake data validation of the journal articles submitted by institutions against the dataset of the citation provider. Year Published versus Year Available For indexed journal articles, only those articles with a ‘Year Published’ within the ERA 2015 research outputs reference period will count towards the low volume threshold and be eligible for evaluation. Where an institution submits a ‘Year Published’ for an indexed journal article that differs from the ‘Year Published’ for that article within the citation provider’s dataset, the ‘Year Published’ of the citation provider will be used by SEER to determine the eligibility of that journal article. This is to enable indexed journal articles to undergo citation analysis. For non-indexed journal articles, at least one of ‘Year Published’ or ‘Year Available’ must be within the ERA 2015 research outputs reference period. 5.4.8.6. Summary of Data Requirements for Journal Articles—Refereed, Scholarly Journals The following table summarises information to be submitted by institutions for each journal article.

Data Item Requirement to include for each journal article Staff Creator(s) Required for all authors who are eligible researchers Creator(s) Required to list all authors of the journal article Article Title Required Journal Title Required (supplied by the ERA 2015 Submission Journal List) Place of Publication Optional Year Published Required Year Available Optional Volume Optional Issue Optional ISSN Required (supplied by the ERA 2015 Submission Journal List) Extent Required Translated Optional Sensitive Optional Sensitive Handling Note

Required if output is sensitive

Electronic Location Required if nominated for ERA peer review Available in Open Access Repository

Required (Yes/No)

Electronic identifier (EID)

Required for indexed journal articles

ERA Journal ID Required (supplied by the ERA 2015 Submission Journal List) Four-digit FoR Code Assignment

Required (identified by the ERA 2015 Submission Journal List or selected by the institution in the following circumstances only: two-digit journals, multidisciplinary journals, or journal articles with significant content (66%) not represented in the pre-assigned FoRs within the ERA 2015 Submission Journal List.)


Required





5.4.8.7. Conference Publications—Full Paper Refereed Institutions are required to submit information on all eligible peer reviewed conference publications for each year of the research outputs reference period. Eligibility Criteria for all Conference Publications A conference publication must be submitted provided that it meets the following criteria (in addition to the criteria outlined in section 5.4.1):

(a) be published in full (The publication 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, digitally or conference or organisational website);

(b) be peer reviewed (For ERA purposes, an acceptable peer review process is one that involves an assessment or review, before publication, of the research output in its entirety by independent, qualified experts. The term ‘independent’ in this context means independent of the author. A statement from an author that a research output was peer reviewed is not sufficient evidence); and

(c) be presented at a conference, workshop or seminar of national or international significance. The types of conference publications that are unlikely to meet the criteria include:

• keynote addresses;

• plenary addresses;

• participation in discussions as a panel member;

• poster presentations;

• facilitation of workshops at conferences; and

• abstracts of conference publications. As with all other output types, the ARC will undertake validation to ensure that the submissions of institutions are broadly in line with their returns to the HERDC. For the submission of conference publications, institutions will be required to select the ERA Conference ID from a pre-determined conference series list developed by the ARC. The list includes an ‘other’ category for institutions to select if the conference publication was not presented at a conference listed on the ERA 2015 Submission Conference List.


5.4.8.8. Summary of Data Requirements for Conference Publications—Full Paper Refereed The following table summarises the information that institutions are required to submit for each conference publication.

Data Item Requirement to include for each conference publication

Staff Creator(s) Required for all authors who are eligible researchers Creator(s) Required to list all authors of conference publication Conference Paper Title Required Conference Outlet Title Required ERA Conference ID Required (selected from the ERA 2015 Submission

Conference List) Conference Venue Required Publisher of Conference Publication

Required

ISSN Optional ISBN Optional Place of Publication Required Year Published Required Year Available Optional Issue Optional Volume Optional Extent Required Translated Optional Sensitive Optional Sensitive Handling Note Required if output is sensitive Electronic Location Required if nominated for ERA peer review Available in Open Access Repository

Required (Yes/No)




Required



Indigenous Research Optional Institutional Unit (s) Optional


5.4.9. Non-Traditional Eligible Research Output Types Eligible research output types include the following non-traditional research output types:

• Original Creative Works;

• Live Performance of Creative Works;

• Recorded/Rendered Creative Works;

• Curated or Produced Substantial Public Exhibitions and Events; and

• Research Reports for an External Body. To be eligible, non-traditional research outputs must have been made available publicly during the ERA 2015 research outputs reference period. For fields of research that conduct ERA peer review (see the ERA 2015 Discipline Matrix), non-traditional research outputs may be submitted under any of the five non-traditional research output types given above. However, citation fields of research may only submit non-traditional research outputs under the ‘Research Reports for an External Body’ output type. ‘Research Reports for an External Body’ submitted within citation fields of research will not be eligible for peer review. Where institutions have nominated non-traditional research outputs for ERA peer review, institutions must provide a statement identifying the research component of the output, known as a ‘Research Statement for ERA Peer Review of Non-Traditional Research Outputs’ (see section 5.4.9.1 and Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs). Multiple exhibitions/performances of non-traditional research output types may be counted as separate outputs where each subsequent exhibition/performance introduces a new research component to the work that builds upon the initial research component of the output. 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. Institutions may submit a portfolio of items as a single non-traditional research output. A portfolio is a collection of individual items that are derived from the same underlying research endeavour but do not in themselves constitute a research output. The portfolio must be able to demonstrate coherent research content. In addition, the individual items should be related in a way so that the resulting portfolio constitutes research. For such items, institutions must identify the relationship using a portfolio name and portfolio number. Portfolios are only eligible to be submitted within fields of research which are flagged with “other NTRO” (see the ERA 2015 Discipline Matrix). 5.4.9.1. Research Statement for ERA Peer Review of Non-Traditional Research Outputs Where non-traditional research outputs are nominated by an institution for ERA peer review, a statement identifying the research component of each such research output must be provided as part of the submission of the institution.


The requirements for the ‘Research Statement for ERA Peer Review of Non-Traditional Research Outputs’ are set out in Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs. 5.4.9.2. Summary of Data Requirements for Non-Traditional Research Output Types Outlined in the following table is a summary of information to be submitted by institutions for each non-traditional research output type.

Data Item Requirement to include for each non-traditional research output

Staff Creator(s) Required for all authors who are eligible researchers Creator(s) Required to list all authors of the output Title Required Place of Publication Required Publisher Required if available Year Published or Year Publicly Available

Required

Year Presented Optional Standard Number Optional (e.g. International Standard Music Number

(ISMN)) Issue Optional Volume Optional Extent Required Translated Optional Sensitive Optional Sensitive Handling Note Required if output is sensitive Non-Traditional Output Category

Required*

Media Required if available (e.g. interactive video installation, website)

Notes Required if available (e.g. include venue name and type, venue commissioner, role of creator).

Electronic Location Required if nominated for ERA peer review Available in Open Access Repository

Required (Yes/No)





Indigenous Research Optional Institutional Unit(s) Optional Portfolio Name Required for items that are part of a portfolio Portfolio Number Required for items that are part of a portfolio Research Statement Required if nominated for ERA peer review (in the case

of portfolios, only one statement should be submitted) * For ERA 2015, there are five categories of Non-Traditional Research Outputs: Original Creative Works; Live Performance of Creative Works; Recorded/Rendered Works, Curated or Produced Substantial Public Exhibitions or Events; and Research Reports for an External Body.


5.4.9.3. Original Creative Works Research outputs are eligible as Original Creative Works 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. If an institution selects an original creative work for ERA peer review, institutions must supply additional documentation as part of the Research Statement for ERA Peer Review of Non-Traditional Research Outputs. The exhibition of an original creative work can be used to demonstrate that the work has been made publicly available, but each instance of such a research output can only be claimed once. Exhibited creative works can be submitted as either:

• a single item exhibited as an individual creative work (equal to one research output); or

• a portfolio of works exhibited as a cohesive/thematic collection of the work of a single creator (also equal to one research output).

Sub-categories of Original Creative Works are as follows:

Research Output Description Visual art work A research output such as a fine arts and crafts work,

diagram, map, photographic image, sculpture or installation.

Design/Architectural work

Realised, constructed, fabricated or unrealised building and design projects. ‘Unrealised’ projects must have an statement that provides evidence of the research involved.

Textual work Written creative work that is not eligible to be submitted as a book or journal article, such as a novel or art review. Exhibition catalogues and catalogue entries may be submitted in this sub-category.

Other Original creative works that do not fit the other research outputs types. For example, scholarly editions, scholarly translations may be submitted under this sub-category, provided they meet the relevant eligibility criteria, including meeting the definition of research.


5.4.9.4. Live Performance of Creative Works For Live Performance of Creative Works, the actual public performance is what is claimed. If these research outputs are selected for ERA peer review, then some form of supporting documentation, in addition to the Research Statement for ERA Peer Review of Non-Traditional Research Outputs, should be made available via the institutionally supported repository to facilitate the ERA peer review process. Documentation may be in the form of a recording of the performance, reviews, performance programs or other material that the institution considers useful to the ERA peer review process. Sub-categories of the Live Performance of Creative Works research output type are as follows:

Research Output Description Music New work or a demonstrably new or innovative

interpretation or production of an existing work. Play New work or a demonstrably new or innovative

interpretation or production of an existing work. Dance New work or a demonstrably new or innovative

interpretation or production of an existing work. Other Other Live Performance of Creative Works not listed

above. New work or demonstrably new or innovative interpretation or production of an existing work.

5.4.9.5. Recorded/Rendered Creative Works For Recorded/Rendered Creative Works, 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 section 5.4.9.4). Sub-categories of Recorded/Rendered Creative Works are as follows:

Research Output Description Audio/Visual Recording

Research outputs presented in an audio-visual format, such as films, documentaries or audio-visual presentations.

Performance Performances (in music, dance, theatre, etc.) that have been created specifically for a recorded medium.

Inter-arts Recorded/rendered creative works, often experimental, produced in association with other researchers in other disciplinary fields.

Digital creative work Digital creative works, including creative 3D models, digital outputs of architectural and design projects, computer programs, games and visual artworks.

Website/Web based 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.

Other Other recorded/rendered creative works not listed above.


5.4.9.6. Curated or Produced Substantial Public Exhibitions and Events The Curated or Produced Substantial Public Exhibitions and Events research output type is specifically aimed at research outputs produced by curators rather than artists (although exhibition catalogues written by curators should be submitted as Original Creative Works, in the ‘textual work’ subcategory—see section 5.4.9.3). Where a curator is an eligible researcher, the curator may claim exhibitions, festivals and other events as research outputs. Artists may claim exhibitions of their original creative works under the Original Creative Works research output type (see section 5.4.9.3), 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. Multiple exhibitions/events may be counted where each subsequent exhibition/event introduces a new research component to the work that builds upon the initial research 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. Sub-categories of Curated or Produced Substantial Public Exhibitions and Events are as follows:

Research Output Description Web based exhibition

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.

Exhibition/Event 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. This should be accompanied by a well-researched publication that includes the date and location of the exhibition.

Festival 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.

Other Curated or substantial public exhibitions and events that do not fit into the above sub-categories of the Curated or Produced Substantial Public Exhibitions and Events research output type.


5.4.9.7. Research Reports for an External Body A Research Report for an External Body is a written research output commissioned or solicited by an external body such as a government department or private company. Sub-categories of Research Report for an External Body are as follows: Research Output Description Public Sector A research report that has been undertaken for an Australian,

state, territory, local, foreign or international government body or organisation.

Industry A research report that has been undertaken for a company, industry organisation, industry peak body, or an employer/employee association.

Not-For-Profit A research report that has been undertaken for a body or organisation operating in the not-for-profit sector.

Other A research report undertaken for an organisation not covered by the above sub-categories.

Portfolios are eligible for submission in this subcategory only within fields of research which are flagged with “other NTRO” (see the ERA 2015 Discipline Matrix). The following examples are likely to be ineligible for submission under this subcategory:

• submissions to public inquiries and consultations, including government or parliamentary inquiries;

• policy blogs or online commentaries/articles; and • briefing notes.

In some cases, the above items may be eligible as part of a portfolio.


5.5. Research Income Institutions are required to submit information on all research income falling within eligible income category types. In order for research income to be submitted, it must:

1. be in an eligible research income category type (see section 5.5.3); and

2. meet the research income reference period requirements (see section 5.5.1). Research income data will be collected in alignment with the following categories collected as part of the Higher Education Research Data Collection (HERDC):

• Australian Competitive Grants (Category 1);

• Other Public Sector Research Income (Category 2);

• Industry and Other Research Income (Category 3): o Australian; o International A (Competitive, Peer Reviewed Research Grant Income); o International B (Other Income); and

• Cooperative Research Centre Research Income (Category 4). For HERDC, institutions are required to disaggregate Industry and Other research income into three sub-categories: Australian; International Competitive, Peer Reviewed Research Grant Income; and Other International Income. For ERA, institutions must submit information on research income using these three sub-categories for each year of the research income reference period as specified in section 5.5.1 HERDC also includes data collection of “HDR Fees for domestic students” and “International C: HDR fees for international students”. These two data fields (of student fees) should not be reported for ERA. All research income must be reported at the four-digit FoR level. Research income must be assigned to a relevant year based on the HERDC method. Details regarding the format in which this information must be submitted for ERA are outlined in the ERA–SEER 2015 Technical Specifications. Research commercialisation income is separate from the above mentioned research income types and is addressed in 5.6.2.7. 5.5.1. Research Income Reference Period For an institution to include research income, it must have been reported as part of HERDC for the relevant year of the research income reference period. The research income reference period for ERA is defined as the three year period from 1 January 2011 to 31 December 2013 inclusive. It is recognised that the year a grant is awarded may differ from the year(s) income was received. Institutions may therefore include a grant where all or only some of the income was received in the reference period. In these cases, institutions must identify the proportion of the grant which falls within the reference period.


5.5.1.1. Reporting Negative Income The overarching principle for reporting all categories of research income (including Categories 1–4 and Research Commercialisation Income) is that where the total amount (for a grant/category) across the reference period is zero or negative it should not be reported for ERA. Individual negative amounts for particular grants or years should be deducted in calculations made by institutions. The remaining total is what is reported in the ERA submission. Where the remaining total is zero or negative no income should be reported for that category or subcategory. Please refer to the ERA–SEER 2015 Technical Specifications for further instructions on submitting negative income. 5.5.2. Assignment and Apportionment of FoR Codes for Research Income Institutions must assign to each item of research income as many four-digit FoR codes as are relevant. For each item of research income, institutions must determine the percentage apportionment of each of the FoR codes assigned to the item. The percentages apportioned to each FoR code must total 100% for each item of research income. 5.5.3. Eligible Research Income Category Types 5.5.3.1. Australian Competitive Grants Institutions must only submit grant information on Australian Competitive Grants that were submitted as part of HERDC for the relevant year of the research income reference period. Institutions must submit each research grant received in this category by four-digit FoR code for each year of the research income reference period. The four-digit code may change across years for an individual grant. Institutions are required to provide information on each eligible grant as outlined in the ERA XML schema provided as part of the ERA–SEER 2015 Technology Pack. Australian Competitive Grants must be reported on an individual grant basis so that a total number of grants received can be derived from the submission. This only applies for Australian Competitive Grants. The list of eligible programs for the reference period is provided as a Code Table as part of the ERA–SEER 2015 Technology Pack. A grant held over two or more years of the research income reference period will be counted as only one grant. Where part of a grant falls outside the reference period, institutions must indicate the proportion of the grant that occurs in the reference period. 5.5.3.2. Summary of Data Requirements for Australian Competitive Grants Outlined in the following table is a summary of information to be submitted by institutions for Australian Competitive Grants. Data Item Requirement to include for Australian Competitive

Grant Research (ACGR) Income


Total Amount Received Required Percentage of grant within reference period

Required

Reference Year Required ACGR code Required Four-digit FoR Code Assignment

Required (as many as are relevant)


Required

5.5.3.3. Other Public Sector Research Income Institutions must only submit Other Public Sector Research Income that was submitted as part of HERDC for the relevant year. Institutions must submit research income received in this category by four-digit FoR code for each year of the research income reference period. Institutions are required to provide information on Other Public Sector Research Income as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack. 5.5.3.4. Summary of Data Requirements for Other Public Sector Research Income Outlined in the following table is a summary of information to be submitted by institutions for Other Public Sector Research Income. Data Item Requirement to include for Other Public Sector

Research Income Total Amount Received Required Reference Year Required Four-digit FoR Code Assignment



Required

5.5.3.5. Industry and Other Research Income Institutions must only submit Industry and Other Research Income that was submitted as part of HERDC for the relevant year. Institutions are required to disaggregate all research income data in this category according to the following sub-categories:

• Australian (Category 3i);

• International A (Competitive, Peer Reviewed Research Grant Income) (Category 3ii); and

• International B (Other Income) (Category 3iii). Institutions are required to submit research income received under this category by four-digit FoR code by sub-category for each year of the research income reference period.


Institutions are required to provide information on Industry and Other Research Income as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack. 5.5.3.6. Summary of Data Requirements for Industry and Other Research Income Outlined in the following table is a summary of information to be submitted by institutions for Industry and Other Research Income. Data Item Requirement to include for Industry and Other

Research Income (all sub categories) Total Amount Received Required Reference Year Required Four-digit FoR Code Assignment



Required

5.5.3.7. Cooperative Research Centre (CRC) Research Income Institutions must only submit Cooperative Research Centre (CRC) Research Income that was submitted as part of HERDC for the relevant year. Institutions are required to submit research income received in this category by four-digit FoR code for each year of the research income reference period. Institutions are required to provide information on CRC Research Income as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack. 5.5.3.8. Summary of Data Requirements for Cooperative Research Centre (CRC) Research

Income Outlined in the following table is a summary of information to be submitted by institutions for Cooperative Research Centre (CRC) Research Income. Data Item Requirement to include for Cooperative Research

Centre (CRC) Research Income Total Amount Received Required Reference Year Required Four-digit FoR Code Assignment



Required


5.6. Applied Measures Institutions must submit information against a range of applied measures. Not all applied measures apply to all fields of research. The ERA 2015 Discipline Matrix specifies which applied measures are applicable to which FoR code. Further information relating to indicators of research application in ERA can be found at section 1.4. The ERA applied measures comprise:

• Plant Breeder’s Rights;

• Patents;

• Registered designs;

• Research commercialisation income; and

• NHMRC endorsed guidelines. The applied measures reference period is the three years from 1 January 2011 – 31 December 2013 inclusive. Further details on each of these applied measures are provided below. 5.6.1. Assignment and Apportionment of FoR Codes for Applied Measures Institutions must assign to each applied measure one to three four-digit FoR codes, except for research commercialisation income which may have assigned to it as many four-digit FoR codes as are relevant. For each applied measure, institutions must determine the percentage apportionment of each of the FoR codes assigned to the item. The percentages apportioned to each FoR code must total 100% for each item. 5.6.2. Eligible Applied Measures 5.6.2.1. Plant Breeder’s Rights Plant Breeder’s Rights are proprietary rights held by breeders of new varieties of plants and fungi. These rights are legally enforceable and give exclusive commercial rights to market a new variety or its propagating material for the duration of the Plant Breeder’s Rights. Plant Breeder’s Rights are granted where a new variety of plant can be demonstrated:

• to be distinct from any other existing variety of common knowledge;

• to be uniform and stable;

• not to have been sold outside the allowable period; and

• to have a suitable name. For ERA purposes, Plant Breeder’s Rights are those granted under the Plant Breeder’s Rights Act 1994 (Cth) or their international equivalents, as listed in international Plant Breeder’s Rights equivalents below:


• countries or intergovernmental organisations listed as Members of the International Union for the Protection of New Varieties of Plants (UPOV);7

• the Plant Patent and Utility Patent systems of the United States of America (as far as they apply to plant varieties); and

• such other countries or intergovernmental organisations as are from time to time assessed by IP Australia as having legislation compliant with the UPOV Convention.

ERA applied measures include a grant of Plant Breeder’s Rights, but do not include circumstances where varieties are only covered by provisional protection. Only Plant Breeder’s Rights that became enforceable within the ERA applied measures reference period are eligible for submission. For Australian Plant Breeder’s Rights, this means that the right must have been granted within that period. Furthermore, Plant Breeder’s Rights submitted to ERA must have been granted in the applied measures reference period to an eligible researcher, the institution, an institution-owned subsidiary, and/or a spinoff company that is associated with the institution. Institutions may submit Plant Breeder’s Rights where the research behind the Plant Breeder’s Rights is clearly identifiable as meeting the definition of research. The ARC may request the submitting institution to justify this inclusion. Income generated from Plant Breeder’s Rights is to be included in ERA under research commercialisation income (see section 5.6.2.7), provided that the additional requirements pertaining to this measure are met. If the same Plant Breeder’s Rights were issued in multiple jurisdictions, the Plant Breeder’s Rights should be submitted separately for each country or type. Institutions are required to identify those Plant Breeder’s Rights that are essentially the same Plant Breeder’s Rights registered in more than one country. The Plant Breeder’s Rights family name is a data tag which enables this kind of identification. It is up to institutions to devise their own Plant Breeder’s Rights family names. Where individual Plant Breeder’s Rights are submitted that do not relate to any other submitted Plant Breeder’s Rights, the Plant Breeder’s Rights family name should be the same as the individual Plant Breeder’s Rights name.

7 See http://www.upov.int/export/sites/upov/members/en/pdf/pub423.pdf

http://www.upov.int/export/sites/upov/members/en/pdf/pub423.pdf


5.6.2.2. Summary of Data Requirements for Plant Breeder’s Rights Outlined in the following table is a summary of information to be submitted by institutions for Plant Breeder’s Rights.

Data Item Requirement to include for each Plant Breeder’s Right PBR Family Name Required PBR Name Required PBR Number Required Country of Registration Required Year Enforceable Required Staff Reference(s) Required (if the Right is in the name of an eligible

researcher or eligible researchers) Four-digit FoR Code Assignment



Required

5.6.2.3. Patents A patent is “a right granted for any device, substance, method or process that is new, inventive and useful.” It is “legally enforceable and gives [the owner] exclusive rights to commercially exploit the invention for the life of the patent.”8 ERA applied measures include Australian standard patents and their international equivalents. However, Australian innovation patents are not eligible for ERA. Eligible patents are those patents issued in the countries or of the types which appear in the Code Table provided as part of the ERA–SEER 2015 Technical Specifications. These countries or types are:

• Australia (standard patents only);

• United States;

• Europe—European Patent Office (EPO) issued only;

• Japan;

• Other International; and

• Triadic patents—i.e. a series of corresponding patents filed at the EPO, the United States Patent and Trademark Office (USPTO) and the Japan Patent Office (JPO), for the same invention by the same applicant or inventor.

Only patents which became enforceable within the applied measures reference period are eligible. For Australian patents, this means that patents must have been sealed within that period. Where a series of triadic patents is submitted, then if the same patent was issued in different years in different jurisdictions, it must be submitted against the year in which it was granted provided that the relevant year falls within the applied measures reference period.

8 IP Australia, 23 November 2013, http://www.ipaustralia.gov.au/get-the-right-ip/patents/

http://www.ipaustralia.gov.au/get-the-right-ip/patents/


To be eligible, patents must have been granted in the applied measures reference period to an eligible researcher, the institution, an institution-owned subsidiary and/or a spinoff company that is associated with the institution. Institutions may submit patents only where the research behind the patent is clearly identifiable as meeting the definition of research. The ARC may request the submitting institution to justify this inclusion. Income generated from patents is to be included in ERA under research commercialisation income (see section 5.6.2.7), provided that the additional requirements pertaining to this measure are met. If the same patent was issued in multiple jurisdictions, the patent should be submitted separately for each country or type. Institutions are required to identify those patents that are essentially the same patent registered in more than one country. The patent family name is a data tag which enables this kind of identification. It is up to institutions to devise their own patent family names. Where an individual patent is submitted that does not relate to any other submitted patent, the patent family name should be the same as the individual patent name. 5.6.2.4. Summary of Data Requirements for Patents Outlined in the following table is a summary of information to be submitted by institutions for patents.

Data Item Requirement to include for each Patent Patent Family Name Required Patent Title Required Patent Registry Required Patent Number Required Year Granted Required Staff Reference(s) Required (if Patent is in the name of an eligible




Required

5.6.2.5. Registered Designs A registered design is a right granted for new and distinctive designs. Once a registered design has been examined and certified, the owner has an exclusive right to use, license and/or sell the registered design, and to enforce it against an infringer. In this context design refers to features which, when applied to a product, render it unique in appearance. This may include shape, pattern or ornamentation.9 To be eligible, registered designs must have been granted in the applied measures reference period to an eligible researcher, the institution, an institution-owned subsidiary and/or a spinoff company that is associated with the institution.

9 See IP Australia for information about designs: http://www.ipaustralia.gov.au/get-the-right-ip/designs/

http://www.ipaustralia.gov.au/get-the-right-ip/designs/


Institutions may submit registered designs where the research behind the registered design is clearly identifiable as meeting the definition of research. The ARC may request the submitting institution to justify this inclusion. Income generated from registered designs, either via licensing or otherwise, should be included in ERA under research commercialisation income (see section 5.6.2.7) provided that the additional requirements pertaining to this measure are met. 5.6.2.6. Summary of Data Requirements for Registered Designs Outlined in the following table is a summary of information to be submitted by institutions for registered designs.

Data Item Requirement to include for each Registered Design Registry Organisation Required Registered Design Name Required Register ID Required Year Certified Required Staff Reference(s) Required (if registered in the name of an eligible




Required

5.6.2.7. Research Commercialisation Income Institutions are required to report research commercialisation income at the four-digit level and income must be assigned to a relevant year. Institutions may provide information on research commercialisation income, which includes income resulting from licences, options and assignments (LOAs), including running royalties, cashed in equity and other types of income (see below for further detail). This includes only LOAs negotiated on full commercial terms, granting access to institutional intellectual property (patented or otherwise) in return for royalties or licence fees. Key terms in this section should be understood in accordance with their meaning in the National Survey of Research Commercialisation, collected by the Department of Industry.10 Research commercialisation income earned by institution-owned subsidiaries and spin off companies is eligible for inclusion in ERA provided that the institution can account for this income in its audited financial statements. Research commercialisation income does not include:

• commercial income from other sources such as research contracts and consultancies (which is included under 5.5.3.5 Industry and Other Research Income), commissioned works, student fees, the renting of space at universities or any other source; or

• CRC Research Income (which is included under section 5.5.3.7 CRC Research Income).

10 http://www.industry.gov.au/innovation/reportsandstudies/Pages/NationalSurveyofResearchCommercialisation.aspx

http://www.industry.gov.au/innovation/reportsandstudies/Pages/NationalSurveyofResearchCommercialisation.aspx


LOA income does not include:

• Material Transfer Agreements (MTAs);

• research funding;

• patent expense reimbursement;

• a valuation of equity not cashed in;

• trademark licensing royalties from university insignia; or

• income received in support of the cost to make and transfer materials under MTAs.

5.6.2.8. Summary of Data Requirements for Research Commercialisation Income Outlined in the following table is a summary of information to be submitted by institutions for research commercialisation income.

Data Item Requirement to include for Research Commercialisation Income

Total Amount Received Required Reference Year Required Four-digit FoR Code Assignment



Required

5.6.2.9. NHMRC Endorsed Guidelines Guidelines endorsed by the National Health and Medical Research Council (NHMRC) are eligible for inclusion in ERA submissions. NHMRC endorsed guidelines include those on population health, clinical practice, and ethics. Such guidelines may be produced by groups external to the NHMRC, or else developed by NHMRC with the assistance of expert working groups. Externally developed guidelines are approved by the NHMRC only if they meet NHMRC requirements and standards which are set out in legislation and in a series of NHMRC publications on the development, implementation and evaluation of guidelines. These requirements and standards are designed to ensure that the end product is based on the best available scientific evidence and presented in creative, innovative and effective ways. To be eligible for inclusion in ERA, NHMRC endorsed guidelines must:

• meet the definition of research (as per section 3.1);

• have been published by the NHMRC within the applied measures reference period; and

• have one or more eligible researchers listed as an author of, and/or contributor to, the guidelines (as per section 5.3.1).

NHMRC endorsed guidelines follow the eligible researcher(s) named on the guidelines. If the researcher named was at one institution when the guidelines were published by the NHMRC and at another institution at the staff census date (31 March 2014), the latter institution may claim the guidelines and the former institution may not. Where more than one eligible researcher from the same institution is an author of the same set of guidelines, that institution may claim only one applied measure for that set of guidelines. Where staff


from different institutions are authors of the same set of guidelines, each institution may claim that set of guidelines as an applied measure.

5.6.2.10. Summary of Data Requirements for NHMRC Endorsed Guidelines Outlined in the following table is a summary of information to be submitted by institutions for NHMRC endorsed guidelines.

Data Item Requirement to include for each NHMRC Endorsed Guidelines

Staff ID Required Guideline Name Required Year Published Required Four-digit FoR Code Assignment



Required


5.7. Esteem Measures ERA includes a number of measures of esteem that constitute recognition of the quality of eligible researchers and indicate that a researcher is held in particularly high regard by peers in their field of research and/or by other well qualified parties. Esteem measures that are eligible for ERA embody a measure of prestige and are recognised by experts within the discipline as a highly desired, highly regarded form of accolade or acknowledgement. Esteem measures included in ERA must be linked to research quality rather than to teaching or community engagement. The esteem measures eligible for ERA are:

• editor of a prestigious work of reference;

• fellowship of a learned academy and membership of the Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS);

• recipient of a nationally competitive research fellowship;

• membership of a statutory committee; and

• recipient of an Australia Council grant or Australia Council fellowship.

The esteem measures reference period is the three year period from 1 January 2011 – 31 December 2013 inclusive. Esteem measures follow the eligible researcher. If the researcher was at one institution when he or she received an Australia Council grant or fellowship and at another institution at the staff census date (31 March 2014), the latter institution may claim the esteem measure and the former institution may not. The only exception to this is nationally competitive research fellowships (see section 5.7.2.5). The esteem measures applicable to each field of research are specified in the ERA 2015 Discipline Matrix. Each eligible esteem measure can only be claimed once in the esteem measures reference period. Esteem measures will be presented to the RECs as raw counts of each type of measure for each UoE. Institutions must provide additional data relating to each measure for ARC auditing purposes only. Information relating to individual researchers for these measures will not be provided to the RECs. 5.7.1. Assignment and Apportionment of FoR Codes for Esteem Measures Institutions must assign to each esteem measure one to three four-digit FoR codes. For each esteem measure, institutions must determine the percentage apportionment of each of the FoR codes assigned to the item. The percentages apportioned to each FoR code must total 100% for each item. 5.7.2. Eligible Esteem Measures 5.7.2.1. Editor of a Prestigious Work of Reference In certain fields of research (identified in the ERA 2015 Discipline Matrix), editorship of a prestigious work of reference is a valid indicator of esteem. In those fields of research only,


institutions may identify eligible researchers who, within the esteem measures reference period, have held the role of editor of any of the prestigious works of reference listed below:

• The Australian Dictionary of Biography;

• The Oxford Dictionary of National Biography;

• The Oxford Companions and Handbooks series;

• Cambridge Companions and Handbooks series;

• Blackwell Companions;

• Oxford and Cambridge Encyclopaedias;

• Routledge Encyclopaedias;

• Dictionary of the Middle Ages;

• The Routledge Worlds series; and

• Encyclopaedias of Philosophy (Stanford Online, Routledge and Macmillan). Where an institution submits an editorship of a prestigious work in relation to an eligible researcher, that editorship can be submitted only once, regardless of how long and how many times that editorship was held by that researcher during the reference period. 5.7.2.2. Summary of Data Requirements for Editor of a Prestigious Work of Reference Outlined in the following table is a summary of information to be submitted by institutions for editor of a prestigious work of reference.

Data Item Requirement to include for each Editor of a Prestigious Work of Reference

Staff ID Required Title of Reference Work Required Four-digit FoR Code Assignment



Required

5.7.2.3. Fellowship of a Learned Academy and Membership of AIATSIS Institutions are required to submit details regarding an eligible researcher’s fellowship(s) of the following Learned Academies:

• the Academy of the Social Sciences in Australia;

• the Australian Academy of the Humanities;

• the Australian Academy of Science; and

• the Australian Academy of Technological Sciences and Engineering. Institutions are also required to submit details regarding an eligible researcher’s membership of the Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS). For the purposes of this esteem measure, ‘fellowship’ and ‘membership’ refer to eligible researchers who have:


1. been elected to fellowship/membership of the relevant academy or institute during the esteem measures reference period; and/or

2. held an ongoing fellowship/membership of the relevant academy or institute for any period within the esteem measures reference period.

Fellowship of a learned academy or membership of AIATSIS should be submitted only once for each eligible researcher who is a fellow or member during the reference period, regardless of whether the researcher was a fellow or member for one or more years of the reference period. 5.7.2.4. Summary of Data Requirements for Fellowship of a Learned Academy

and Membership of AIATSIS Outlined in the following table is a summary of information to be submitted by institutions for fellowship of a learned academy and membership of AIATSIS.

Data Item Requirement to include for each Fellowship of a Learned Academy and Membership of AIATSIS

Staff ID Required Academy Name Required Year of Election Required Four-digit FoR Code Assignment



Required

5.7.2.5. Recipient of a Nationally Competitive Research Fellowship The term ‘nationally competitive research fellowship’ refers to a fellowship held during the esteem measures reference period to an eligible researcher under a Category 1 program listed on the Australian Competitive Grants Register.11 Such fellowships are characterised by:

• a highly competitive process open to applicants from any Australian State or Territory;

• a strong element of peer review; and

• a minimum tenure of two years full time equivalent. Only fellowships in the following programs are eligible:

• ARC Discovery—Australian Laureate Fellowships;

• ARC Discovery—Federation Fellowships;

• ARC Discovery—Future Fellowships;

• ARC Discovery—Indigenous Researchers’ Development;

• ARC Discovery—Projects (including Australian Professorial Fellowships, Queen Elizabeth II Fellowships, and Australian Postdoctoral Fellowships);

• ARC Linkage—International;

• ARC Linkage—Projects (including Australian Postdoctoral (Industry) Fellowships);

• NHMRC Practitioner Fellowships (Formerly Practitioner Fellowships Scheme);

• NHMRC Research Fellowships;

11 See: http://www.education.gov.au/australian-competitive-grants-register

http://www.education.gov.au/australian-competitive-grants-register


• NHMRC Australia Fellowship (Formerly Australia Fellowship Scheme);

• NHMRC Career Development Fellowships (Formerly Career Development Awards);

• NHMRC Early Career Fellowships (Formerly Postdoctoral Training Fellowships);

• NHMRC Sir MacFarlane Burnett Fellowship;

• NHMRC John Cade Fellowship in Mental Health Research; and

• NHMRC Translating Research Into Practice (TRIP) Fellowships. Institutions are required to submit details of eligible fellowships for which they have been administering/host organisation at any time during the esteem measures reference period, regardless of the recipient’s place of employment as at the staff census date. A nationally competitive research fellowship should be submitted once for the reference period regardless of when in the reference period it was awarded, or the duration of the fellowship. 5.7.2.6. Summary of Data Requirements for Nationally Competitive Research Fellowships Outlined in the following table is a summary of information to be submitted by institutions for nationally competitive research fellowships.

Data Item Requirement to include for each Nationally Competitive Research Fellowship

Recipient Name Required NCRF Code Required Four-digit FoR Code Assignment



Required

5.7.2.7. Membership of a Statutory Committee In certain fields of research (identified in the ERA 2015 Discipline Matrix), membership of recognised statutory committees is an indication of esteem. Statutory committees are legislative working groups established by statute. In the relevant fields of research, institutions must submit membership of statutory committees relating to eligible researchers, where those statutory committees are recognised by the following bodies:

• Commonwealth Government agencies, including the National Health and Medical Research Council; and

• the United Nations, including the World Health Organization. As there is no exhaustive list of such statutory committees available, institutions should check with the agencies concerned (for example, by reviewing the relevant websites) as to whether the committees nominated by eligible researchers of the institution are in fact statutory committees recognised by the above bodies. Each membership of a statutory committee should be submitted only once for each eligible researcher, regardless of how long or how many times the researcher was a member of the committee during the reference period.


5.7.2.8. Summary of Data Requirements for Membership of a Statutory Committee Outlined in the following table is a summary of information to be submitted by institutions for membership of a statutory committee.

Data Item Requirement to include for each Membership of a Statutory Committee

Staff ID Required Reference Year Required Committee Name Required Four-digit FoR Code Assignment



Required

5.7.2.9. Recipient of an Australia Council Grant or Australia Council Fellowship Eligible Australia Council grant and fellowship programs are characterised by a strong element of peer review, are open to applicants from any State or Territory, have a minimum tenure of two years full time equivalent and are awarded to an individual. Institutions are required to submit information about the following grants and fellowships held by eligible researchers:

• Fellowships—Aboriginal and Torres Strait Islander Arts, Dance, Literature, Music, Theatre and Visual Arts and Australia Council Creative Australia Fellowships;

• Project Fellowships—Music;

• Residencies—Literature, Inter-Arts;

• Skills and Arts Development Studio Residencies—Visual Arts;

• Experimental Arts Grants – Emerging and Experimental Arts (formerly Inter-Arts);

• Synapse – Emerging and Experimental Arts (formerly Inter-Arts); and

• Research Program—Research and Strategic Analysis. For each Australia Council grant held during the esteem measures reference period to an eligible researcher, institutions may submit only one per institution, regardless of whether one or more eligible researchers at that institution were involved in the grant. Where a grant involves a group of individuals from a number of institutions, each such institution may count the grant (but each may count it only once, regardless of the number of eligible researchers involved from any given institution). An Australia Council grant or Australia Council fellowship should be submitted only once for the reference period regardless of when in the reference period it was awarded, or the duration of the grant or fellowship. The list of eligible Australia Council grant and fellowship schemes is provided as a Code Table as part of the ERA–SEER 2015 Technology Pack.


5.7.2.10. Summary of Data Requirements for Australia Council Grants or Australia Council

Fellowships Outlined in the following table is a summary of information to be submitted by institutions for Australia Council grants or Australia Council fellowships.

Data Item Requirement to include for each Australia Council Grant or Australia Council Fellowship

Recipient Name Required Australia Council Grant Name

Required, as applicable

Australia Council Fellowship Name

Required, as applicable




Required


6. Other Matters

6.1. Sensitivity—Confidential or Sensitive Research Outputs For those research outputs nominated for peer review in ERA, institutions are responsible for indicating the conditions under which it is appropriate or inappropriate for a research output to be viewed by ARC staff and ERA reviewers. Where applicable, the sensitivity of the research output must be specifically identified as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack. The ARC will treat research outputs in accordance with the type of sensitivity assigned to the output by institutions. Any disclosure of a research output that exceeds the terms allowed by the institution will be treated as unauthorised. Sensitive research outputs may include, but are not limited to, research outputs that are:

• commercially sensitive;

• culturally sensitive; and/or

• non-public. Institutions are responsible for identifying the nature of the sensitivity, the damage that may flow if sensitivity is not maintained or respected, and the conditions under which the research outputs may be reviewed by ERA reviewers. Where institutions identify research outputs as sensitive, the ARC will treat the output accordingly, unless required to do otherwise by law. Institutions are responsible for ensuring that any necessary permission has been obtained from the organisation which commissioned the research output, or from the researcher who conducted the research, as determined by the intellectual property arrangements in any commissioning contract or similar legally binding arrangement. Institutions are responsible for ensuring that the information included in the submission identifies the conditions under which ERA reviewers may view a sensitive research output submitted by the institution (as outlined in the ERA XML schema that is provided as part of the ERA–SEER 2015 Technology Pack). 6.1.1. Commercially Sensitive Research Outputs A research output that includes commercially sensitive information may be included as part of a submission provided the necessary permissions have been obtained. The ARC must be appropriately advised of the sensitivities. 6.1.2. Culturally Sensitive Research Outputs A research output that is culturally sensitive may be included as part of a submission provided that the ARC is appropriately advised of the sensitivities. 6.1.3. Australian Government Security Classified Research Outputs A research output that includes information classified in line with the Australian Protective Security Manual as either ‘In-Confidence’ or greater, or ‘Restricted’ or greater, must not be included in a submission.


6.2. Managing Physical or Technical Limitations Where a research output has been nominated for ERA peer review, it must be stored in an institutionally supported repository in digital form. Where the output file size exceeds the limit specified in the ERA–SEER 2015 Technical Specifications, the research output file can be split into two or more files and corresponding repository links. Where it is impractical to digitise the entire research output, institutions may choose to digitise and store relevant parts of the research output. In such cases, the digitised content must give peer reviewers the opportunity to make robust judgements on the quality of the output. For example:

• where a book is not available in digital form, the cover page, introduction or first chapter, index (as appropriate), and other relevant sections of the book (sufficient for a robust evaluation of the work) should be digitised and stored in the institutional repository; and

• in the case of a non-traditional research output such as artworks or sculptures, some digital

form (for example, scanning, audio, or video), which when reviewed in conjunction with the relevant Research Statement for ERA Peer Review of Non-Traditional Research Outputs (see Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs), will provide adequate information for a peer reviewer.

6.3. Privacy Complaints and Advice The ARC is bound, in administering ERA, by the provisions of the Privacy Act 1988 (Cth) (‘Privacy Act’). Schedule 1 of the Privacy Act contains the Australian Privacy Principles (APPs), which cover the collection, use, disclosure and storage of personal information. Complaints about breaches of privacy should be referred to:

The Privacy Contact Officer Australian Research Council GPO Box 2702 Canberra ACT 2601

Privacy complaints may also be emailed to privacy[@]arc.gov.au. Privacy complaints can be made directly to the Office of the Australian Information Commissioner. However, the Commissioner prefers that the ARC be given an opportunity to deal with the complaint in the first instance. 6.4. Freedom of Information All documents sent to the ARC with regard to ERA are subject to the Freedom of Information Act 1982 (Cth) (‘FOI Act’). Decisions regarding requests for access will be made by an authorised FOI decision maker in accordance with the requirements of the FOI Act. FOI requests should be referred to:

The FOI Contact Officer Australian Research Council



GPO Box 2702 Canberra ACT 2601

FOI requests may also be emailed to foi[@]arc.gov.au. 6.5. Intellectual Property in ERA Related Material The ARC does not assert or require ownership of any intellectual property that forms part of any material submitted by an institution for ERA. However, where the intellectual property is owned by the institution or the institution has a right to sub-license, institutions are required to give an express licence to the ARC for the use of material in ERA submissions, from time to time as required, for the purposes of ERA and for policy development and program management other than for ERA purposes.

This requirement to give an express licence applies to the submission itself rather than to research outputs (see section 6.6). The Commonwealth of Australia, as represented by the ARC, retains the intellectual property in all materials created for the purposes of ERA by the ARC, or under the direction or control of the ARC, except where otherwise agreed. 6.6. Managing Copyright in Research Outputs Nominated for ERA Peer Review

and Related Material Within this section, the term ‘relevant material’ means research outputs nominated by institutions for ERA peer review and related material (such as reviews of live performances). The ARC is concerned to ensure that any requirements of the Copyright Act 1968 (Cth) (the ‘Copyright Act’) are complied with in the implementation of ERA. For fields of research subject to ERA peer review, ERA requires institutions to ensure that the ARC and ERA reviewers have appropriate access to relevant material in order to facilitate the ERA peer review process. Institutions must facilitate access by:

(a) storing research outputs in institutionally supported repositories in digital form;

(b) subsequently enabling RECs or ERA peer reviewers to view research outputs through the System to Evaluate the Excellence of Research (SEER) and through institutionally supported repositories for ERA evaluation purposes; and

(c) facilitating any copyright uses of the relevant research outputs required for ERA purposes in accordance with these ERA 2015 Submission Guidelines.

Where institutions do not own the copyright of relevant material, they will be required under ERA to ensure access to such relevant material for ARC staff and ERA reviewers using one of the following methods:

• placing the relevant material in repositories accessible only by ARC staff and ERA reviewers (in addition to those staff of institutions responsible for maintaining repositories). Institutions must take appropriate measures to ensure that any other access to such relevant material is not permitted; or

• arranging links to the relevant material via publishers’ platforms.



Other acts that institutions may foreseeably perform in implementing ERA are also examples of acts comprised in the copyright of the relevant material (e.g. copying or scanning copies of a research output contained in a journal ‘reproduction’). While the ARC expects that the ERA process will have only minimal impact on the rights of copyright owners, institutions are required to ensure that they comply with the relevant provisions of the Copyright Act. 6.6.1. Where Copyright Is Owned by Institutions Where an institution owns the copyright in relevant material, the institution must provide the ARC and ERA reviewers with access to such relevant material, as described in section 6.6. 6.6.2. Where Copyright Is Owned by Eligible Researchers Where one or more eligible researcher(s) own the copyright in relevant material, then the researcher(s) should be encouraged to give permission for that material to be used for the purposes of ERA so as to allow access to it as described in section 6.6. The permission should allow relevant research outputs, where available in electronic form, to be stored in an institutionally supported repository in digital form. Where such eligible researchers do not expressly consent to the provision of access to relevant material for ERA purposes in the manner described in 6.6, copyright will be managed in accordance with 6.6.3. Where depositing research outputs in an ‘open access’ repository was a condition of any funding which enabled the research to be undertaken, full public access to the research output(s) should exist, irrespective of the ERA submission process, as a result of the eligible researcher complying with that funding condition. 6.6.3. Where Copyright Is Owned by Third Parties Where copyright in relevant material is not owned by institutions—including where copyright is owned by eligible researchers whose express consent has not been obtained for research outputs to be used (e.g. reproduced and communicated) for ERA purposes—access to relevant material should still be provided in accordance with section 6.6. To prevent copyright infringement, the ARC will grant an authorisation under section 183(1) of the Copyright Act to institutions (representing the Commonwealth). Under section 183(1) of the Copyright Act, copyright will not be infringed by a person authorised in writing by the Commonwealth to do acts comprised in the copyright—provided that the acts are done for the services of the Commonwealth. However, in such circumstances the Commonwealth must both notify the copyright owner and be prepared to agree terms with the copyright owner for the doing of such acts. A notice to copyright owners is on the ‘Research Excellence’ page of the ARC website: http://www.arc.gov.au/copyright.htm#era. Acting under section 183(1), the ARC (representing the Commonwealth) on 04 July 2014 authorised each institution participating in ERA to do acts in the copyright of relevant material owned by third parties for the purposes of ERA. This authorisation means that an institution participating in ERA may make all uses of relevant material owned by third parties that are necessary or convenient to enable it to participate in ERA.

http://www.arc.gov.au/copyright.htm#era


The section 183(1) authorisation is strictly limited to each institution’s participation in ERA and does not extend to any uses of third party copyright in relevant material which are done for any purpose(s) unrelated to the institution’s participation in ERA. The terms of the authorisation (including payment to third party copyright owners of all uses which fall within the scope of the authorisation) will be managed by the ARC. 6.7. Moral Rights The ARC is concerned to ensure that moral rights under the Copyright Act are respected in the implementation of ERA. 6.8. Incomplete, False or Misleading Information If the ARC considers that any information provided by an institution as part of its submission is incomplete or inaccurate, or contains false or misleading information, the ARC may in its absolute discretion decide not to provide this information to RECs or other ERA reviewers for consideration. If the ARC withholds such information from a REC, it will advise the institution of this action and provide a statement of reasons. If it appears that any institution or person has knowingly provided false or misleading information, or knowingly omitted any matter or thing without which the information is misleading, or it appears that any other offence may have been committed, the ARC may investigate the matter with a view to prosecution under Commonwealth law. The Commonwealth is committed to protecting its revenue, expenditure and property from any attempt, by members of the public, contractors, sub-contractors, agents, intermediaries or its own employees, to gain financial or other benefits by deceit.


7. Submission Certification

Institutions are required to certify their ERA submissions. Institutions are responsible for collecting, validating and transmitting to the Australian Research Council (ARC) all information in their submissions by the due date. Institutions are also responsible for certifying that all information in submissions is accurate and comprehensive. Certification takes the form of a signature, in both digital and hard copy form, of a submission Certification Statement by the Vice-Chancellor or equivalent of the institution.

The final pre-certification step involves the finalisation of the submission at Stage 2 of the submission process. This finalisation step will lock the submission so that no further changes can be made prior to data integrity checks by the ARC. Following the resolution of any data integrity issues identified by the ARC, the submission must be certified by the Vice-Chancellor or equivalent. 7.1. Certification Statement The Vice-Chancellor or equivalent of each institution is required to provide a signed Certification Statement in both electronic and hard copy form. No part of any submission is eligible for ERA evaluation in the absence of such a statement. Vice-Chancellors or equivalents are not required to certify the accuracy of any data that have been externally obtained and appended to their submissions, including data sourced from the citation data supplier. The Certification Statement signed by the Vice-Chancellor or equivalent must certify that:

Accuracy and comprehensiveness 1. All information in the submission is accurate and appropriately comprehensive (not

extending to the citation data provider sourced unique identifier tagging component of indexed journal articles or to electronic repository links).

2. The person signing the Certification Statement has made all reasonable efforts to verify that the information submitted as part of the submission is correct, accurate, and sufficiently comprehensive.

Compliance with ERA requirements 3. In compiling its submission, the institution has complied with:

• these ERA 2015 Submission Guidelines (“the Submission Guidelines”); • the ERA–SEER 2015 Technology Pack (“the Technology Pack”); • the terms of the Commonwealth’s authorisation of the institution under section 183(1)

of the Copyright Act 1968 (Cth), dated 04 July 2014, and the accompanying document, also dated 04 July 2014: ERA Copyright Issues: Supplementary ARC Advice Accompanying Section 183(1) Authorisation of an Institution; and

• any supplementary advice issued by the ARC after the publication of the Submission Guidelines and the Technology Pack but no fewer than 14 days before the deadline for lodging submissions.

Privacy 4. In compiling its submission, the institution has complied with relevant privacy

requirements and taken reasonable steps to ensure awareness of the inclusion in the submission of relevant information and of its use in the ERA process (including provision to RECs and other ERA reviewers) on the part of:


a. all eligible researchers referred to in the submission who maintain any continuing affiliation with the institution; and

b. to the maximum extent feasible, all eligible researchers referred to in the submission who no longer maintain an affiliation with the institution.

Granting of express licence 5. Consistent with the requirement set out at section 6.5 of the Submission Guidelines, the

institution grants to the ARC a permanent, irrevocable, non-exclusive licence to reproduce, combine with other material, or otherwise use the material submitted as part of ERA in all cases where the institution either owns, or has the right to sub-license, the relevant intellectual property in that material. This express licence extends to material in the submission itself, but not to the contents of research outputs. It authorises the Commonwealth’s use of material in the ERA submission, from time to time as required, for the purposes of ERA and for policy development and program management other than for ERA purposes.

Matters acknowledged, accepted and agreed to by institution 6. The institution acknowledges and agrees that the Commonwealth of Australia, as

represented by the ARC, retains the intellectual property in all materials created for the purposes of ERA by the ARC, or under the direction or control of the ARC, except where otherwise agreed (see section 6.5 of the Submission Guidelines).

7. The institution acknowledges and agrees that outcomes of the ERA evaluation will be distributed and published in the manner described in the Submission Guidelines.

8. The institution acknowledges and agrees that all information in its submission may be used by the Commonwealth for the purposes described at paragraph 5 above.

9. In relation to relevant data items, the institution acknowledges and accepts any warnings provided by the System to Evaluate the Excellence of Research (SEER) which are outlined in ‘Appendix A: SEER Warnings’ to the Certification Statement. ‘Appendix A: SEER Warnings’ forms an integral part of that statement.

The SEER warnings referred to in paragraph 9 are designed to alert institutions to a range of issues which may benefit from special checking, such as the apparent existence of two or more eligible researchers with an identical name. Such warnings appear in ‘Appendix A: SEER Warnings’, which lists any warnings associated with the verification process that are due to legitimate discrepancies between the submission and the SEER business rules. The Vice-Chancellor or equivalent is required in this part of the Certification Statement to indicate that such discrepancies are legitimate and do not reflect problems with the submission of the institution (if this is not the case, institutions should rectify the problems highlighted by the warnings before proceeding to the certification stage).


7.2. Transmission to ARC of Certification Statement The ARC will provide a proforma certification statement through SEER. Signature of the Certification Statement must occur in both digital and hard copy form. Once the electronic certification of an institution has been completed, the relevant officer at the institution should select ‘Print Certification Statement’ in SEER and ensure that it is this statement (not the Draft Certification Statement) which is signed by the Vice-Chancellor or equivalent. Please note that the ‘Appendix A: SEER Warnings’ form is a part of the Certification Statement and must be included in the hard copy material sent to the ARC. The signed Certification Statement together with ‘Appendix A: SEER Warnings’ should be sent:

• By mail to:

Excellence in Research for Australia Australian Research Council GPO Box 2702 Canberra ACT 2601

• Or by courier to:

Excellence in Research for Australia Australian Research Council 11 Lancaster Place Canberra Airport ACT 2609

Submission certification deadlines are as follows: Deadline for electronic certification

via SEER Deadline for hard copy Certification

Statement to arrive at ARC 5 pm AEST, 13 April 2015 5 pm AEST, 20 April 2015

Late Certification Statements will be accepted only in exceptional circumstances considered by the ARC to be beyond the control of the institution. An institution must provide any evidence requested by the ARC to support its claim that failure to meet the deadline was for reasons beyond its control, and the ARC reserves the right to seek additional evidence. Evidence which might be considered includes proof of submission or posting of the Certification Statement which clearly shows the time and date of submission or posting. The decision of the ARC will be final as to whether exceptional circumstances existed beyond the control of the institution, and no correspondence will be entered into (other than to inform the institution of the decision).


Appendix A: Eligible Institutions

Australian Catholic University Batchelor Institute of Indigenous Tertiary Education Bond University Central Queensland University Charles Darwin University Charles Sturt University Curtin University of Technology Deakin University Edith Cowan University Flinders University Federation University Australia Griffith University James Cook University La Trobe University Macquarie University Monash University Murdoch University Queensland University of Technology RMIT University Southern Cross University Swinburne University of Technology The Australian National University The University of Adelaide The University of Melbourne The University of New England The University of New South Wales The University of Newcastle The University of Notre Dame Australia The University of Queensland The University of Sydney The University of the Sunshine Coast The University of Western Australia University of Canberra University of Divinity University of South Australia University of Southern Queensland University of Tasmania (incorporating Australian Maritime College) University of Technology, Sydney University of Western Sydney University of Wollongong Victoria University


Appendix B: ERA Survey Questions12

Background New to ERA 2015, institutions are asked to provide information regarding the time spent on ERA 2015 preparation activities. The Australian Research Council (ARC) wishes to ensure that the ERA operates in a properly cost-effective manner. For this purpose, information on costs that universities themselves incur in order to respond to ERA’s data collection exercise will be an essential input. Universities are therefore being asked to assist in costing the effort that they undertake. In order to estimate the costs of the ERA exercise for this purpose, it is critically important that universities attempt to identify the additional costs of providing ERA with the requisite data over and above the resources that universities would use either to collect and analyse research data for internal purposes or to meet any other external data requirements. This is to say, what ERA-specific costs are being incurred? ERA has been designed to draw on existing university data where possible. In particular universities have been collecting and reporting data for:

• The Higher Education Research Data Collection (HERDC) • The National Survey of Research Commercialisation (NSRC) • The Higher Education Staff Data Collection (HESDC)

In addition, ERA has overlapping reference periods and some data collected for the previous ERA 2012 round will likely be re-used (albeit with modifications) for the ERA 2015 round. All of this needs to be taken into account. Questions Institutions are required to provide answers to the following questions as a part of the Stage 2 Submission verification:

(1) Approximately how many person hours in total will have been expended in planning and preparation, collection, submission and completion of your institution’s 2015 ERA Submission?

(2) Of the total number of person hours in question 1, please indicate approximately the proportion of those hours spent by persons who are: • Senior staff with a salary over $150,000 • Mid-level staff with a salary from $75,000 to $150,000 • Other staff with a salary below $75,000

(3) Of the total number of person hours in question 1, please indicate approximately the proportion of those hours spent preparing for ERA 2015 in each year since the conclusion of ERA 2012 and up to finalisation of the 2015 ERA exercise: • 2012/13 • 2013/14 • 2014/15

12 The questions and advice in this Appendix were prepared on behalf of the Australian Research Council by Aegis Consulting and Applied Economics.


(4) Please advise in a few sentences if there are any other significant costs to be accounted for (for example IT costs). If there are any, can you please indicate the nature and approximate amount of these costs?

Additional information The questionnaire only asks four questions to identify these costs. The first question seeks to find the total time taken across all the various components of the ERA data collection exercise, namely (i) setting up and oversighting the exercise, (ii) collecting the data and (iii) collating and submitting and validating the data. Setting up and oversighting relates to the general preparation for ERA 2015, including management and administrative and academic staff time for planning, new training and updating on guidelines, developing IT software systems and communications with staff to take into account any new elements in the 2015 data collection exercise. ARC consultations with the university itself are also relevant e.g. consultation on draft submission documentation. In so far as there are infrastructure costs associated with implementing an IT solution to undertake ERA 2015, these can be noted and explained separately at question (4). Earlier infrastructure for previous ERA evaluations are regarded as sunk costs and are not for inclusion here. The collection of data refers to the time taken by research and administrative staff to record the publication and other activity data. This figure should only include any additional effort that is involved in preparing the ERA 2015 submission (e.g. appending FoR codes to research outputs for the purposes of ERA 2015 and the EID tagging process). Also, as emphasised, this should only include new data that is collected for this ERA round. Preparation for a submission will include consolidation of the data for submission and may include, for example, the time associated with optimising the ERA data for submission (ERA panels within the university to compile and optimise the ERA data, management and administrative oversight, explanatory statements etc. plus response for warnings and feedback on the submission). This said, it is acknowledged that there are not hard and fast definitions as regards boundaries as between the activities and so that only a total for all 2015 ERA Submission activity is requested in question (1) and not its break up by activity. Question (2) is asked because dollar values need to be attached to the time taken so that proper costing can proceed. This does require a break up of the total time in relation to the salary level of the persons involved. These dollar values will vary of course with the seniority of the persons involved. We have simplified the process by limiting it to three general categories of staff (and wages). Reporting should be in direct salary cost terms. The ARC will make any necessary allowances for any on-costs or overheads (e.g. superannuation and long service leave) in due course. If casual staff are used, equivalent full-time employee salary can be estimated instead. Question (3) does seek some decomposition of the total asked for in question (1), but in relation to the year in which costs were incurred in preparing for ERA 2015. This should only include ERA 2015 preparation activities that took place after the conclusion of ERA 2012. This is important as the value of a dollar across years will differ in a cost-benefit analysis. So some approximate annual time distribution of the whole of the 2015 ERA Submission project costs is sought. The fourth question is asked to allow universities to cite any additional significant expenses that are not recognised in the first three questions. This may include either additional time costs or non-time costs, such as hardware costs.


The ERA Submission does require some distinct approaches to data that mean the existing formal collections do not transfer automatically. Hence extra cost is incurred on top of simple compilation, transmission, certification etc. For example:

• Assignment and apportionment of FoRs to each research output; • Selecting 30% sample of research outputs for ERA peer review; • Research Statements for Non-Traditional Research Outputs (NTROs) selected for ERA peer

review; • Research outputs nominated for peer review must be held in a digital repository accessible to

ERA peer reviewers; • Electronic Identifier (EID) tagging; • Matching journals to ERA journal IDs; • Matching conference publications to ERA conference IDs; • Matching Books and Book chapters to ERA Publisher IDs; • Open access status (new and mandatory for ERA 2015); • NTROs; • Esteem measures; • Explanatory Statements; or • Data associated with the System to Evaluate the Excellence of Research (SEER).

The costing questions being asked of respondents seek to ascertain the additional costs over and above preceding internal and formal research data collection by institutions. The concern is therefore that of ERA 2015-specific costings. It is understood that university staff may contribute other resources to the ERA exercise beyond the institution’s own reporting obligations to the ARC, for example when senior staff contribute to the Research Evaluation Committee or Peer Review process or when individual academics respond to public consultations either as a part of a peak body or on their own behalf. ARC will account for these activities separately. Costs for this present exercise should be those incurred by the institution on its behalf as an entity. Contact If universities have any difficulty with completing these four questions, please contact Dr Tim Cahill, Director Research Evaluation on +61 2 6287 6695.


Appendix C: Contents of Research Statement for ERA Peer Review of Non-Traditional Research Outputs

For non-traditional research outputs which are nominated for ERA peer review, a statement identifying the research component of the output must be provided as part of the submission of an institution. The statement must be no more than 2000 characters including spaces (around 250 words) and cannot contain any embedded links. Research statements should address the following categories:

1. Research Background • Field • Context • Research Question

2. Research Contribution

• Innovation • New Knowledge

3. Research Significance

• Evidence of Excellence The following is an example of an acceptable visual arts research statement: Research Background

Current international developments in painting have identified the need to establish complex forms for representing identity in terms of facial expression. While this research recognises the significance of facial expression, it has overlooked the unstable nature of identity itself.

Research Contribution The paintings Multiple Perspectives by Y address the question of the unstable nature of identity as expressed in painterly terms through a study in unstable facial phenomenon using the philosophical concept of ‘becoming’. In doing so it arrives at a new benchmark for the field of research in understanding visual identity, namely that identity is not bound to stable facial phenomena but, like other forms of meaning, is constantly undergoing change.

Research Significance The significance of this research is that it overcomes barriers for visually understanding the complex nature of identity and its expressive painterly possibilities. Its value is attested to by the following indicators: selection of the painting for inclusion in the international exhibition Documenta, Kassel, Germany; its inclusion as a case study in the renowned Courtauld Institute, University of London, Issues in Contemporary Art graduate seminar series; its being the subject of a chapter in the book Identity Reframed published by Thames and Hudson and authored by the renowned art historian Z; its forming part of a competitively funded ARC project.

REC members and ERA peer reviewers will evaluate non-traditional research outputs selected for ERA peer review in the context of the research component as identified in the research statement.


Appendix D: Abbreviations

ACGR Australian Competitive Grants Register AEST Australian Eastern Standard Time AIATSIS Australian Institute of Aboriginal and Torres Strait Islander Studies ANZSRC Australian and New Zealand Standard Research Classification APPs Australian Privacy Principles ARC Australian Research Council CRC Cooperative Research Centre DOI Digital Object Identifier EID Electronic Identifier EPO European Patent Office ERA Excellence in Research for Australia FOI Freedom of Information FoR Field of Research (ANZSRC) FTE Full Time Equivalent HDR Higher Degree by Research (student) HEP Higher Education Provider HERDC Higher Education Research Data Collection HESDC Higher Education Staff Data Collection IP Intellectual Property ISBN International Standard Book Number ISMN International Standard Music Number ISSN International Standard Serial Number JPO Japan Patent Office LOA Licences, Options and Acquisitions MTA Material Transfer Agreements NCRF Nationally Competitive Research Fellowship NHMRC National Health and Medical Research Council PBR Plant Breeder’s Rights REC Research Evaluation Committee RTS Research Training Scheme SEER System to Evaluate the Excellence of Research UPOV International Union for the Protection of New Varieties of Plants USPTO United States Patent and Trademark Office XML eXstensible Markup Language

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ERA 2015 SUBMISSION GUIDELINES