Research Collection Manual 2010 Collection of 2009 Data · Research Collection Manual . 2010...

Research Collection Manual

2010 Collection of 2009 Data

For enquiries, please contact [email protected]

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CONTENTS 1 BACKGROUND ............................................................................................................... 3

1.1 Introduction to the research collection ...................................................................... 3

1.2 Research collection process ..................................................................................... 3

1.3 ResearchMaster (RM) .............................................................................................. 4

1.4 Research collection timeline ..................................................................................... 4

1.5 Who must complete the research collection? ........................................................... 4

1.6 RM Publications Module Workflow ........................................................................... 5

1.7 Definitions ................................................................................................................. 6

2 HERDC-ELIGIBLE RESEARCH PUBLICATIONS FOR 2009 ....................................... 10

2.1 HERDC-eligible categories ..................................................................................... 10

2.2 Verification summary for HERDC-eligible publications ........................................... 11

2.3 How to find verification materials for the four HERDC-eligible categories .............. 11

2.4 Descriptions, ACU checklists and coversheets for each HERDC-eligible category 12

3 CREATIVE WORKS ...................................................................................................... 24

4 UNIVERSITY-ONLY PUBLICATIONS AND OTHER OUTPUTS FOR 2009 ................. 29

4.1 University-only categories ...................................................................................... 29

4.2 Descriptions and ACU coversheets for each University-only category ................... 29

5 RESEARCH PROJECTS AND SUPERVISION FOR 2009 ........................................... 48

5.1 University-only categories ...................................................................................... 48

5.2 Descriptions and ACU coversheets for each University-only category ................... 48

APPENDIX 1 ......................................................................................................................... 52

AUTHOR AFFILIATION FORM - 2009 PUBLICATION ................................................... 52

APPENDIX 2 ......................................................................................................................... 53

NIL RETURN FORM ......................................................................................................... 53

1 BACKGROUND

1.1 Introduction to the research collection Each year Australian Catholic University (ACU) collects details of research publications and other outputs, funded and unfunded research projects and research supervision for the preceding year. This 2010 research collection will be used to provide 2009 research data:

• to DIISR for the Higher Education Research Data Collection (HERDC) that partly determines the University's funding under the seven Research Block Grant programs run by the Department of Innovation, Industry, Science and Research (DIISR), these include the Research Training Scheme, the Institutional Grants Scheme and the Commercialisation Training Scheme;

• for evaluation of ACU’s research through the Excellence in Research for Australia (ERA) initiative; • for the ACU Research Bank that will make ACU research publications available to the public; • to determine if the University is achieving its strategic targets with regard to research

1.2 Research collection process

GATHER your research activities for 2009 (publications and other outputs, research projects, research supervision etc)

CHECK what verification is needed to correctly categorise your research activities

COMPLETE for each activity - the evidence requirements for verification and checklist (where stipulated) and the appropriate ACU coversheet and provide together with the copy of your publication (as applicable) to your School/Centre Research Data Collection Coodinator (RDCC) for data entry into ResearchMaster (RM).

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1.3 ResearchMaster (RM) ResearchMaster (RM) is a comprehensive software solution that supports research management. From December 2009 all HERDC-eligible research publications will be recorded in RM. Academics will complete the relevant category coversheet and a verification checklist (available from the ACU Research Services website and contained in this manual) and provide this to the Research Data Collection Coordinator (RDCC) in their school or centre. The RDCC will then enter the research publication data directly into the RM database. RM will also contain all ACU’s publications data from 2002 and is capable of generating reports at individual, school/centre and faculty level. Please refer to the ResearchMaster Publications Module Workflow document (page 5) for the steps undertaken during the process of submission, data entry, auditing, verification, copyright and storage of HERDC-eligible publications. At the school and faculty level, the steps taken by the RDCC, School Academic Auditor and Associate Dean (Research), as outlined in the workflow, can be consultative provided the timelines below are met. A digital copy of all HERDC publications will be stored in ACU Research Bank and a hard copy will be stored at Research Services. Research Services is required to keep a hard copy for auditing purposes.

1.4 Research collection timeline Date Action 30 Nov 2009 – 9 Dec 2009 Training for Research Data Collection Coordinators

14 Dec 2009 – 1 April 2010 Each researcher provides their completed research collection (hard copy publication evidence) to their designated Research Data Collection Coordinator for entry into RM and checking by Academic Auditor.

6 April – 23 April Research Data Collection Coordinator completes Verification Level 1 details in RM and forwards research collection to relevant Associate Dean (Research)

26 April – 14 May Associate Deans check and audit data, complete Verification Level 2 in RM and forward research collection to Research Services

17 May – 11 June

HERDC return is finalised for submission to DIISR

1.5 Who must complete the research collection? Every ACU academic staff member must complete the research collection. Research and scholarship are part of the academic role. Even if your research activities are unfunded or unpublished they must be reported. If ACU research higher degree (RHD) students or general staff members have research publications that are eligible for HERDC they must be reported. Researchers are responsible for providing their designated Research Data Collection Coordinator (see relevant Faculty list) with the required materials. A designated senior academic in each School (School Academic Auditor) will oversee the collection in each School and provide advice as needed. The Research Data Collection Coordinators are responsible for collating and submitting accurate data to the appropriate Associate Dean (Research). Queries should be directed to the relevant Associate Dean (Research). Where there are multiple ACU authors, it is the responsibility of the first-named ACU author to report the publication.

Only if an academic has a nil return should the Nil Return Form be completed and it must be authorised by your supervisor and provided to your Research Data Collection Coordinator by 1 April 2010.

1.6 RM Publications Module Workflow

Academic receives notification of published work

Academic 1. Fills out coversheet (Word) 2. Emails coversheet to School Research Data Collection Coordinator (RDCC) (optional) 3. Prints copy of coversheet and attaches to hard copy of work 4. Delivers hard copy to RDCC

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R(School/Centre/Organisational Unit)

1. Checks data on coversheet 2. Collects missing data 3. Enters data into ResearchMaster (RM) 4. Forwards hard copy to School Academic Auditor for checking and signature

DCC

Academic Auditor 1. Verifies the publication and signs the coversheet 2. Returns hard copy to RDCC

R1. Completes Verification Level 1 details in 2. Forwards hardcopy to Associate Dean (Re earch) (or nominee) for checking

Asso earch) 1. Checks the publication and completes Verification Level 2 details in RM 2. Sends coversheet and publication evidence in hard copy to Research Services (RS)

ciate Dean (Res

Researc Services 1. Checks data 2. Follows up missing / erroneous data 3. Completes Verification Level 3 details in 4. Sends RM report of outputs to Librar ding into Research Bank

h

RMy for uploa

Research nk / Library

1. Receives electronic report of outputs from RS 2. Enters/imports data into Research Bank 3. Checks data 4. Determines copyright status and obtains copyright clearance, where required 5. Locates digital version of publication, where required 6. Requests hard copy from Re7. Deposits digital version into Research Bank 8. Applies appropriate authentication and p rmissions as required to comply with copyright 9. Notifies academic, school admin or RS of either successful deposit / problem to resolve 10. Enters repository url into RM 11. Informs RS of completed process

Ba

search Services if required

e

DCC RM

s

Research Services

1. Checks Research Master link to publication 2. Ticks “Publications Verification Complete” checkbox – this marks the record as closed

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1.7 Definitions Research

For the purposes of this collection, the essential characteristic of research activity is that it leads to publicly verifiable outcomes which are open to peer appraisal. Research comprises:

• creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of humanity, culture and society, and the use of this stock of knowledge to devise new applications.

• any activity classified as research and experimental development is characterised by

originality; it should have investigation as a primary objective and should have the potential to produce results that are sufficiently general for humanity's stock of knowledge (theoretical and/or practical) to be recognisably increased. Most higher education research work would qualify as research.

Research includes pure basic research, strategic basic research, applied research and experimental development. Activities that support research and meet the definition used by ABS for their survey of research and development include:

• provision of professional, technical, administrative or clerical support and/or assistance to staff directly engaged in research;

• management of staff who are either directly engaged in research and experimental development or are providing professional, technical or clerical support or assistance to those staff;

• activities of students undertaking postgraduate research courses; • development of postgraduate research courses; and • supervision of students undertaking postgraduate research courses.

Activities that do not support research must be excluded. Such activities may include:

• preparation for teaching; • scientific and technical information services; • general purpose or routine data collection; • standardisation and routine testing; • feasibility studies (except into research and experimental development projects); • specialised routine medical care; • commercial, legal and administrative aspects of patenting, copyright or licensing

activities; or • routine computer programming, systems work or software maintenance (research and

experimental development into applications software, new programming languages and new operating systems would normally meet the definition of research).

Codes and classification of research The Australian and New Zealand Standard Research Classification 2008 (ANZSRC) is jointly produced by the Australian Bureau of Statistics (ABS) and Statistics New Zealand (Statistics NZ). ANZSRC is the collective name for a set of three related classifications developed for use in the measurement and analysis of research and experimental development (R&D) undertaken in Australia and New Zealand. The three constituent classifications included in the ANZSRC are:

• Types of Activity (ToA) • Fields of Research (FoR) • Socio-Economic Objective (SEO)

Classification codes are available at: http://www.acu.edu.au/about_acu/research/for_researchers/research_classification_codes/

http://www.acu.edu.au/about_acu/research/for_researchers/research_classification_codes/

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Types of Activity (ToA) codes

Each research project can be classified into one or more research types.

• Pure basic research (PB) is experimental and theoretical work undertaken to acquire new knowledge without looking for long term benefits other than the advancement of knowledge.

• Strategic basic research (SB) is experimental and theoretical work undertaken to acquire new knowledge directed into specified broad areas in the expectation of useful discoveries. It provides the broad base of knowledge necessary for the solution of recognized practical problems.

• Applied research (AR) is original work undertaken primarily to acquire new knowledge with a specific application in view. It is undertaken either to determine possible uses for the findings of basic research or to determine new ways of achieving some specific and predetermined objectives.

• Experimental development (ED) is systematic work, using existing knowledge gained from research or practical experience for the purpose of creating new or improved products/processes.

Most research projects will probably be classified 100% to one type of research activity. However, where a research project is classifiable by more than one type, the proportion of resources classifiable to each should be allocated to each type. The %s allocated to ToA must sum to 100%.

Field of Research (FoR) codes The FoR classification enables research and development to be classified in terms of its discipline and describes the nature of the research being done. When coding a project to FoRs

1. Determine the division in which the research is performed , then 2. Determine the most relevant group(s), and then 3. Select the most relevant field(s) within that group.

Up to a maximum of three FoRs, at the 6 digit level, can be nominated for each project and the %s allocated to FoRs must sum to 100%. FoR codes are available at: http://www.acu.edu.au/about_acu/research/for_researchers/research_classification_codes/

Socio-Economic Objective (SEO) codes The SEO classification allows research and development activities to be classified in terms of the main area of expected national benefit. It describes the end purpose of the research being performed. The purpose categories take account of processes, products, health, education and other social and environmental aspects of particular interest. When coding a project to SEOs

1. Determine the most relevant sector in which the largest component of the research project is being performed , then

2. Determine the most relevant division(s), and then 3. Determine the most relevant group(s), and then 4. Select the most relevant objective(s) within that group.

Up to a maximum of three SEOs, at the 6 digit level, can be nominated for each project and the %s allocated to SEOs must sum to 100%. SEO codes are available at: http://www.acu.edu.au/about_acu/research/for_researchers/research_classification_codes/

Research Worker Type (RWT)

The following codes for "Research Worker Type” (RWT) are used for recording data on publications, research projects and postgraduate supervision coversheets: PI Principal Investigator (internal to ACU) CI Co-Investigator (internal to ACU) EI External Co-Investigator (external to ACU and in Australia) HI Honorary Investigator at ACU OI Overseas Collaborating Investigator PM Project Manager PS Principal Supervisor (internal to ACU) TS Temporary Principal Supervisor (internal to ACU) CS Co-Supervisor (internal to ACU)


http://www.abs.gov.au/AUSSTATS/[email protected]/Latestproducts/25AA55D93A67F9E5CA257418000539C7?opendocument


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TC Temporary Co-Supervisor (internal to ACU) AS Associate Supervisor (external to ACU) SR ACU Research Degree Student NSR Non-ACU Research Degree Student NDS ACU Non-Research Degree Student

Research publication

For the purposes of HERDC eligibility, a “research publication” is characterised by: • scholarly activity, as evidenced by discussion of the relevant literature, an awareness

of the history and antecedents of work described, and a format which allows a reader to trace sources of the work, including through citations, footnotes etc;

• originality, that is, it is not a compilation of existing works; • veracity/validity through a peer validation process or by satisfying the commercial

publisher processes; • increasing the stock of knowledge; and • being in a form that enables dissemination of knowledge.

Each research publication must:

• meet the definition of research and • only be counted once. If, for example, a conference paper is published in

conference proceedings and is subsequently included as a chapter in a book, it can be counted as a chapter or as a conference paper but not both.

The following unpublished activities are not to be counted as publications:

• unpublished items such as conference proceedings distributed only to participants and confidential reports;

• unpublished theses submitted for degrees. (Lodgment in the University library does not count as publication.)

Year of publication

The research must have been published in 2009 and the date of publication must appear within or on the work being claimed. Letters from authors, editors etc stating that a work was published in 2009 is not acceptable evidence of year of publication. There are three exceptions:

• For journal articles or conference publications that are produced on CD Rom or are web-based and no date exists within or on the publication, a letter from the editor of the journal or the conference organiser stating that a work was published in 2009 may be accepted.

• The date that a conference was held may be acceptable evidence of the year of publication.

• a 2008 publication that was not published until after June 30 2009 i.e. the deadline for the submission to DIISR of the 2008 HERDC. A letter from the publisher is required in such a case as proof as verification of the claim.

Author Affiliation

The author of the research publication must be affiliated with ACU and must be identified within or on the work being claimed. Where institutional affiliation is not identified within a work, each ACU author must complete an Author Affiliation form (Appendix 1) to declare that the author was an ACU staff member or student when the research leading to the publication was conducted. Research Services will obtain confirmation from ACU Human Resources or the relevant Faculty in the case of students.

Where a publication shows that an author has affiliation to more than one institution (eg Janet Harvey, Tutor in Economics, University of X; PhD student, University of Y), each Australian university named in that by-line can claim the publication at full value.

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

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Commercial Publisher The concept of a commercial publisher is used as a surrogate quality test for books and book chapters in place of any formal peer review requirement. A recognised commercial publisher is an entity for which the core business is producing books and distributing them for sale. If publishing is not the core business of an organisation but there is a distinct organisational entity devoted to commercial publication and its publications are not completely paid for or subsidised by the parent organisation or a third party, the publisher is acceptable as a commercial publisher. University presses are regarded as commercial publishers, provided that they have responsibility for the distribution of the publication, in addition to its printing. A register of acceptable commercial publishers is available at: http://www.innovation.gov.au/ScienceAndResearch/programs_funding/Documents/f195f5c03128468bbd92b3fd86999c25RegisterofAcceptableCommercialPublishers31Dec05.pdf

Although the Register is no longer maintained by DIISR it is still available to assist Higher Education Providers in determining whether a publisher satisfies the HERDC Commercial Publisher Requirements. This list is not intended to be a comprehensive list of all acceptable publishers. Institutions will need to be satisfied that a publisher not on the list satisfies the criteria for a commercial publisher. Note that 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 publications very carefully against the definition of research and only count those publications which report research activities.

Peer review

For the purposes of this collection, an acceptable peer review process is one that involves an independent, expert review of the publication:

• in its entirety – not merely an abstract or extract; • before publication; and • by independent, qualified experts. Independent in this context means independent of

the author. For journal articles, any of the following are acceptable as evidence:

• the journal is listed in one of the Institute for Scientific Information indexes www.isinet.com/journals ;

• the journal is classified as “refereed” in Ulrich’s International Periodicals Directory (Volume 5 - Refereed Serials) or via Ulrich’s web site www.ulrichsweb.com ;

• the journal is included in DIISR’s Register of Refereed Journals (available but no longer maintained);

• there is a statement in the journal which shows that contributions are peer reviewed; • there is a statement or acknowledgement from the journal editor which shows that

contributions are peer reviewed; or • a copy of a reviewer’s assessment relating to the article.

Note:

• a statement from an author that a publication was peer reviewed will not be accepted; • the existence of a national or international advisory board is not sufficient evidence

that all relevant publications are assessed by members of it. • For the purposes of HERDC “refereeing” and “peer review” are interchangeable terms,

but note that “reviewed” without the word “peer” before it is not sufficient.

http://www.innovation.gov.au/ScienceAndResearch/programs_funding/Documents/f195f5c03128468bbd92b3fd86999c25RegisterofAcceptableCommercialPublishers31Dec05.pdf


http://www.isinet.com/journals

http://www.ulrichsweb.com/

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2 HERDC-ELIGIBLE RESEARCH PUBLICATIONS FOR 2009 These category publications will be entered into ResearchMaster by the Research Data Collection Coordinator.

2.1 HERDC-eligible categories Although ACU collects information about research activities in a number of different categories, only research publications in four categories are eligible for the HERDC. There are strict criteria which require verification for the four categories as set out in the HERDC specifications which are available on the following website: http://www.innovation.gov.au/Section/Research/Pages/highereducationresearchdatacollection.aspx To be eligible for the HERDC collection:

• Your research publication must fall into one or more of the following categories:

o Book – Authored Research; o Book Chapter - Commercial Publisher; o Journal Article – Refereed, Scholarly Journal; o Conference Publication – Full Paper, Refereed.

• The publication must be a research publication and it must be a research output which meets the definition of research.

• The year of publication must be 2009 (the exception being a 2008 publication that was not available until after June 2009 ie the deadline for the submission to DIISR of the 2008 HERDC. A letter from the publisher is required in such a case as proof to support the claim).

• The author affiliation must be ACU during the time the research was carried out. The author may be an ACU staff member or student.

• The publication must have a commercial publisher, be offered for sale, and available for distribution to the wider research community.

• The publication must have undergone an acceptable peer review process, if a journal article or conference paper.

Foreign language publications and electronic works

Foreign language publications and electronic works are eligible to be counted, provided they meet all the verification criteria of the publications category against which they are being claimed and that the verification evidence is provided in English. Verification A publication will only be categorised as a HERDC-eligible publication when all verification material is provided, as these publications may be subject to external audit.

The University is penalised for incorrect data and this will decrease the funds provided to the University based on its research performance. It is essential, therefore, that all information is provided with the highest level of accuracy.

In all cases, the final decision on the category in which the publication belongs and its eligibility will be determined by Research Services.

A summary of the verification required for each of the four HERDC categories is shown on the next page.

http://www.innovation.gov.au/Section/Research/Pages/highereducationresearchdatacollection.aspx

http://www.research.swinburne.edu.au/our-research/publications/eligibility/index.html#research

http://www.research.swinburne.edu.au/our-research/publications/eligibility/index.html#researchdefinition

http://www.research.swinburne.edu.au/our-research/publications/eligibility/index.html#author

http://www.research.swinburne.edu.au/our-research/publications/eligibility/index.html#peer

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2.2 Verification summary for HERDC-eligible publications A1 Book B1 Chapter C1 Journal Article E1 Conference Paper

Full copy published chapter Full copy of published paper Full copy of published paper

Copy of title page Copy of title page

Proof of year of publication Proof of year of publication Proof of year of publication Proof of year of publication

Proof of ISBN Proof of ISBN Proof of ISSN or ISBN ISBN or ISSN if available

Proof of publisher (must be a commercial publisher)

Proof of publisher (must be a commercial publisher)

Proof of publisher Proof of publisher

Copy of preface/introduction Copy of preface/introduction Proof of journal

Proof of author affiliation Proof of author affiliation Proof of author affiliation Proof of author affiliation

The complete “Table of Contents” page(s)

The complete Table of Contents if available

The complete Table of Contents if available

Proof of peer review or refereeing (this may be available in 'Instructions to authors' or similar, or as part of the journal policy on the journal's website, rather than within each issue)

Proof of peer review or refereeing

Proof of conference dates, location and attendees (to prove national or international significance)

Proof of proceedings (eg. scanned copy of CD-rom or title page)

2.3 How to find verification materials for the four HERDC-eligible categories

• A1 Book – Authored Research; • B1 Book Chapter - Commercial Publisher; • C1 Journal Article – Refereed, Scholarly Journal; • E1 Conference Publication – Full Paper, Refereed

Books and book chapters Extracts from the DIISR Register of Commercial Publishers (no longer maintained) is acceptable proof of a commercial publisher. http://www.innovation.gov.au/ScienceAndResearch/programs_funding/Documents/f195f5c03128468bbd92b3fd86999c25RegisterofAcceptableCommercialPublishers31Dec05.pdf

Journal articles Extracts from the following resources may be used for proof of refereeing and ISSNs if: • the journal is listed by the Institute for Scientific Information (ISI) Web of Knowledge

http://www.isinet.com/journals or • the journal is listed in Ulrich’s International Periodicals Directory (Volume 5 - Refereed Serials) or

http://www.ulrichsweb.com/ulrichsweb/Search/advancedSearch.asp?navPage=1& or

Conference publications For proof of peer review, national or international significance relevant statements saved as PDF files from the conference website are acceptable.



http://www.isinet.com/journals

http://www.ulrichsweb.com/ulrichsweb/Search/advancedSearch.asp?navPage=1&&cxxhs=045035950986488

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2.4 Descriptions, ACU checklists and coversheets for each HERDC-eligible category A1 Book – Authored Research

Weighting 5 Eligibility To be included in this category the publication must meet the definition of research, the key characteristics of research publications and:

• must be a major work of scholarship; • must be offered for sale

o for hard copies, bound; o for CD-ROMs, packaged; o for e-books, on subscription or fee basis

• must have an International Standard Book Number (ISBN); • must be written entirely by a single author, or by joint authors who share responsibility for the

whole book; • must have been published by a commercial publisher • the author must be affiliated with the claiming institution

The types of books that may meet the criteria include:

• critical scholarly texts (for example music, medieval or classical texts); • new interpretations of historical events; • new ideas or perspectives based on established research findings.

The types of books that are unlikely to meet the criteria include:

• textbooks; • anthologies; • edited books; • creative works such as novels; • translations; and • revisions/new editions.

Note: many books published by professional bodies do not report original research findings but report the results of evaluations, or repackage existing information for the benefit of professionals or practitioners. It is important that these publications be assessed carefully against the key characteristics of research publications, and only count those which report research activities.

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Checklist: A1 Book – Authored Research Provide the following items for verification for a HERDC eligible book

must meet the definition of research and the definition of a research publication

copy of front cover of the book

copy of the title page

copy of the full table of contents

evidence that the year of publication was 2009

evidence of the name of the publisher

evidence of place of publication

evidence of authorship:

by-line in publication indicating that research was undertaken as ACU staff member or student of the

University; OR

signed statement on Author Affiliation Form

if multiple authors, first named ACU author is submitting publication; AND

authors are listed in correct order

copy of preface and introduction from the book

evidence of ISBN

proof that the book was published by a commercial publisher

Signatures of Verification:

Signature

Date

Author:

School / Unit Academic Auditor:

Research Data Collection Co-ordinator:

Please note ResearchMaster Reference No:

*Verification Level 1 Associate Dean/or nominee:

*Verification Level 2 Research Services: CHECK AND CONFIRM ENTRY OF URL INTO RESEARCH BANK

*Verification Level 3 (*verification level ticked in Research Master database)

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Australian Catholic University Research Data Collection 2010 Collection Year

2010 Category A1 Book – Authored Research (HERDC)

First ACU Author Surname:

First Name:

Book

Title

Publ

isher

City,

Country of Publication

Volume No: Revision No. Edition No. ISBN No.

Year Published: 2009 AOU Code (School/Unit)

Serie

s title

Book

Editors

All Author(s) (in order as listed on publication)

Title Surname, Given Names AOU

School/ Unit

RWT % FTE time spent

Institution/Country Course Code if Student

CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6-digit level.

TYPE CODE No. Classification Description Total % of each type %

If this

publication is linked to a funded project please provide the name and project code details.

DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the DIISR definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

A1 ‐ HERDCBOOK

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B1 Book Chapter- Commercial Publisher Weighting: according to DIISR formula To be included in this category, the publication must consist of substantially new material, and contribute to an edited compilation in which the material is subject to editorial scrutiny. It must also meet the definition of research and the key characteristics of research publications and:

• must be offered for sale: o for hard copies, bound; o for CD-ROMs, packaged; o for e-books, on subscription or fee basis

• must have an International Standard Book Number (ISBN) • must have been published by a commercial publisher • the author must be affiliated with the claiming institution

A book chapter may be included if it has been published previously as long as it constitutes substantial new knowledge and is original research. The types of book chapters that may meet the criteria include:

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

• a critical scholarly text of chapter length, eg. in music, medieval or classical texts; and • critical reviews of current research.

The types of book chapters that are unlikely to meet the criteria include:

• chapters in textbooks; • entries in reference books; • anthologies; • revisions of chapters in edited books; • forewords; • brief introductions; • brief editorials; • appendices; • literary or creative pieces such as collections of short stories; and • translations.

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Checklist: B1 Book Chapter- Commercial Publisher Provide the following items for verification for a HERDC eligible book chapter

constitutes substantial new knowledge and is original research.

copy of front cover of the book

copy of complete chapter from the published book

copy of editor(s)




evidence of place of publication


byline in publication indicating research undertaken in author's capacity as a staff member or

student of the University; OR




copy of preface and introduction from the book

If new chapter in a revised edition, include also evidence indicating that chapter is new.

evidence of ISBN

Signatures of verification: Signature Date Author:






*Verification Level 3 (verification level ticked in Research Master database)

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Australian Catholic University Research Data Collection 2010 Collection Year

2010 Category B1 Book Chapter (HERDC)


First Name:

Chap

ter Title

Full B

ook Title

Nam

e of Commercial Publisher

City, C

ountry of Publication

Volume No: Revision No. Edition No.

Start Page No. End Page No. ISBN/ISSN No

No. of Chapters in Book Year Published: 2009 AOU Code School /Unit

Serie

s Title

Book

Editors

All Author(s) (in order as listed on the publication)

Title Surname, Given Names or Init(s) AOU School/Unit RWT

% FTE time spent




If this



B1 ‐ HERDCBOOK CHAPTER

C1 Journal Article – Refereed, Scholarly Journal

Weighting: 1 To be included in this category the journal article must meet the definition of research as amplified in the key characteristics of research publications and must:

• be published in a scholarly journal; • have been peer reviewed (note that the fact that an article has been peer reviewed does not

automatically mean that it is eligible. The article must still meet all other criteria); • have an International Standard Serial Number (ISSN)

o Some journals may be regularly published as separate volumes with an ISBN rather than an ISSN. Provided that the publication is clearly identified as an edition of a journal, and not a book, articles in such publications may be eligible if they meet all other criteria.

o If an ISSN does not appear in the journal, external evidence such as an ISSN number being cited in an extract from Ulrich's or ISI is sufficient to demonstrate the existence of the number; and

• the author must be affiliated with the claiming institution The types of journal articles that may meet the criteria include:

• commentaries and communications of original research; • research notes; • letters to journals, provided that the letter satisfies the definition of research as well as all other

criteria; • 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 types of journal articles that are unlikely to meet the criteria include: • letters to the editor; • case studies; • articles designed to inform practitioners on existing knowledge in a professional field; • articles in newspapers and popular magazines; • editorials; • book reviews; • brief commentaries and communications of original research; or • reviews of art exhibitions, concerts, theatre productions.

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Checklist: C1 Journal Article – Refereed, Scholarly Journal Provide the following items for verification for a HERDC eligible journal article

copy of full article from the journal or provide off print given to the author




evidence of the place of publication


byline in publication indicating research undertaken in author's capacity as a staff member or student of

the University; OR


evidence of ISSN (If an ISSN does not appear in the journal, a PDF or scan of the ISSN from an extract from

Ulrich’s or ISI is sufficient proof of the existence of the number)

evidence of refereeing:

extract from Institute for Scientific Information (Citation Indexes (ISI)); OR

extract from Ulrich's listing indicating refereed journal; OR

statement in journal confirming peer-reviewed; OR

statement from journal editor confirming peer-reviewed; OR

copy of reviewer’s assessment of journal article



Signatures of verification: Signature Date Author:







20

Australian Catholic University Research Data Collection 2010

Collection Year 2010 Category

C1 Journal Article – Refereed, Scholarly Journal (HERDC)

First ACU Author: Surname:

First Name:

Artic

le Title

Journal Nam

e

Nam

e of Commercial Publisher

City, C

ountry Publisher

Volume No: Issue No. Edition No.

Start Page No. End Page No. ISBN/ISSN No Year Published 2009 AOU Code

(School/Unit)

Proof of Refereeing

CI=Citation Indices; U= Ulrich; DL=DEST List; SP= Statement in Publication; SO = Statement by Editor/Organiser Attached; A = Assessment attached



% FTE time spent




If this



C1 ‐ HERDCJOURNAL ARTICLE

E1 Conference Publication – Full Paper, Refereed

Weighting 1 To be included in this category the conference publication must meet the definition of research as amplified in the key characteristics of research publications and must:

• be published in full. The papers may appear in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, CD Rom or conference or organisational web site;

• be peer reviewed; and • be presented at conferences, workshops or seminars of national or international significance; • the author must be affiliated with the claiming institution

Keynote addresses and invited papers may be included where all other papers for the conference are peer reviewed, and evidence is provided both of the keynote status of the address (eg. contents page) and of the other contributions to the conference being peer reviewed (eg. a statement in the introduction to proceedings indicating this). The types of conference publications that are unlikely to meet the criteria include papers that appear only in a volume (print or CD Rom) handed out to conference participants.

21

22

Checklist: E1 Conference Publication – Full Paper, Refereed Provide the following items for verification for a HERDC eligible conference publication

copy of front cover of the proceedings or the CD-rom, if published on CD-rom

evidence of name, date and location of conference

copy of full article from the proceedings OR provide offprint given to author




evidence of the place of publication


byline in publication indicating research undertaken in author's capacity as a staff member or student of

the University; OR

evidence of signed statement on Author's Affiliation Form

copy of preface and introductory pages

evidence of ISBN (if available)

evidence of refereeing:

statement in proceedings - full papers peer reviewed or refereed; OR

statement from conference organiser/editor that full papers were refereed; OR

copy of referee's assessment showing that the full paper and not just the abstract was peer reviewed; OR

(if applicable) proof of keynote status and evidence that all other conference papers were peer reviewed.

proof of national/international significance (if not clearly shown in documents above)


authors are listed in correct order Signatures of verification: Signature Date Author:







23


Collection Year 2010 Category

E1 Conference Publication – Full Paper, Refereed (HERDC)


First Name:

Title o

f Paper

Title o

f the Conference Publication

Name

of Commercial Publisher

City, C ountry Published

Locati

on of Conference

Volume No:

Start Page No. End Page No. ISBN/ISSN No

Year Published: 2009 AOU Code School/Unit

Start Date of the Conference dd/mm/yyyy

Name

of Conference

Proof of Refereeing

CI=Citation Indices; U= Ulrich; DL=DEST List; SP= Statement in Publication; SO = Statement by Editor/Organiser Attached; A = Assessment attached

Editor

s of the Conference Publication



% FTE time spent



TYPE

CODE No. Classification Description Total % of each type %

If this


DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the DIISR definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ………………………………………………………................ Date: …………/………../…………

E1 ‐ HERDC CONFERENCE PUBLICATION

3 CREATIVE WORKS These category publications will be entered onto a spreadsheet by the Research Data Collection Coordinator. The publication or research output must meet the definition of research as amplified in the key characteristics of research publications. J Creative Works This category refers to major written or recorded original creative works that are publicly and commercially distributed, and to curated individual exhibitions of original art. To be included in this category the publication must meet the definition of research as amplified in the key characteristics of research publications and must be: For major written or recorded original creative works: • of at least 20 minutes duration if a film, play or musical score; • published or recorded for the first time in 2009; and • separately bound/packaged and offered for sale under the imprint of a recognised commercial press or

publisher; or • recorded for commercial distribution. To be recorded for commercial distribution the recording can be in any media such as CD, video, world wide web etc, but must be commercially distributed by an entity whose core business is producing creative recordings and distributing them for sale.

For curated exhibitions, the works must be: • exhibited for the first time in 2009 (the first day of exhibition must occur in 2009 even if the majority of the

exhibition occurs in another year); • substantial collections of original work by an individual artist exhibited for the first time in a recognised

gallery or museum • accompanied by a published catalogue identifying the individual works and the timing and location of the

exhibition; and • advertised in the arts or State or national press, or in professional journals.

The types of creative works that may meet the criteria include: • novels; • books of poetry; • published play or film scripts; • published scores of musical works; • recordings of live music, theatre or dance performances; • films, multimedia productions or sound productions.

Exclude completely from J1:

• reviews of art exhibitions, concerts, theatre productions, etc. (possibly C4); • live music, theatre or dance performances unless the performance is recorded for commercial distribution;

(excluded completely); • any creative work which has already been counted in a previous collection or one which is already

counted in this collection under another category, even if it qualifies for inclusion under J1 on a number of grounds, e.g. a play whose script is published and whose production is recorded for commercial distribution or an exhibition that is exhibited at various locations may only be counted once;

• exhibitions which have more than one exhibitor, even if one person is the main exhibitor; • any published material whose date of publication is other than 2009; • any recorded material whose date of recording is other than 2009; • exhibitions whose first day of exhibition does not occur in the collection year even if the majority of the

exhibition does.

24

Creative Works in ERA Under the Excellence for Research Australia (ERA) initiative, eligible research output types under the Humanities and Creative Arts cluster include Creative Works. The ERA 2009 guidelines on Creative Works are included here for your reference. Original Creative Work This category refers to original creative works where the researcher/author is the creator of the creative work. Creative Works fall under the following sub-categories: Visual art work Fine arts and crafts work, diagram, map, photographic image, sculpture or installation. Design/Architectural work Realised, constructed, fabricated or unrealized building and design projects. Textual work Written creative work that is not eligible as a book or journal article, such as a novel or art

review. Includes exhibition catalogues and catalogue entries. Other Other outputs that do not fit in the above categories. Live Performance of Creative Works The research output for this category is the actual public performance of the original creative work. Live Performances fall under the following sub-categories: 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 new work or a demonstrably new or innovative interpretation or production of an

existing work. Recorded/Rendered Creative Works The research component for this category is contained within the recording/rendering. Recorded/Rendered works fall under the following sub-categories: Film/Video Film or video. Performance Performances 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

Creative 3D models, including digital outputs of architectural and design projects, computer programs, games and visual artworks.

Website/web exhibitions

These are eligible if the researcher/author is the creator of the creative works featured in the website.

Other Other recorded/rendered creative works not listed above. Curated or Produced Substantial Public Exhibitions and Events This category is specifically for research outputs produced by curators rather than artists. The curator may claim exhibitions, festivals and other events as research outputs. Curated or Produced Exhibitions and Events fall under the following sub-categories: 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 recognized gallery, museum or event. This should be accompanied by a well researched publication that includes the time 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 perspective and/or experiences.

Other

Curated or substantial public exhibitions and events that do not fit into the above output types.

25

J2 Minor Written or Recorded Work This refers to relatively brief or small-scale creative or scholarly works bound separately or as a part of a collection of works and offered for sale under the imprint of a recognised commercial press or publisher, or recorded for commercial distribution.

Include:

• short stories; • individual poems; • individual songs or other short musical works.

Exclude completely from J2: • reviews of art exhibitions, concerts, theatre productions, etc. (possibly C4); • concert performances (excluded completely); • theatre production (excluded completely); • articles in newspapers and popular magazines (excluded completely). J3 Individual Exhibition of a small number of original works This refers to a small number of original works by an individual artist exhibited for the first time in a recognised gallery or museum. This should be accompanied by a published catalogue identifying the individual works and the timing and location of the exhibition. The gallery or museum should be registered as an independent public or commercial organisation and be managed as a full time operation. J4 Representation of original art This refers to a collection of at least three original works by an individual artist exhibited for the first time in a recognised gallery or museum. These works should be individually listed in a published catalogue identifying the timing and location of the exhibition. The gallery or museum should be registered as an independent public or commercial organisation and be managed as a full time operation.

J5 Major live performance This category refers to major live or recorded performances which are not available for commercial sale, but which meet all other criteria of J1. J6 Minor performance This category refers to minor live or recorded performances which are not available for commercial sale and do NOT meet the criteria of J5.

26

J ‐ ACUCREATIVE WORKS

27

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category (circle one): J1 Major Original Creative Work

J2 Minor Written or Recorded Work J3 Individual Exhibition of Original Art J4 Representation of Original Art J5 Major live performance J6 Minor live performance

Year Published: 2009

Creator(s) (in order as listed on work)

Title Surname, Given Names or Init(s) School/Unit RWT % FTE time spent


For published works Title of Work Name of Publisher Where Published (City, Country)

ISBN / ISSN Volume / Edition No.

For recorded works Type of Work Duration (minutes) Date of Recording Date first performed Distribution medium Name of Distributer

For exhibitions Title of Exhibition Date & place of Exhibition Date and place of advertisement

28

FOR ALL WORKS: CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6-digit level.

TYPE CODE No. Classification Description % Total % of each type

To which PROJECT is this Major Written or Recorded Work linked?

DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned Major Written or Recorded Work and the details provided comply fully with the University definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the work, I also declare that the raw data associated with this work is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

4 UNIVERSITY-ONLY PUBLICATIONS AND OTHER OUTPUTS FOR 2009

4.1 University-only categories There are a number of University-only categories described below. Note that the correct category must be determined based on these descriptions - there are no checklists and only the appropriate ACU coversheet must be completed. These category publications will be entered onto a spreadsheet by the Research Data Collection Coordinator. 4.2 Descriptions and ACU coversheets for each University-only category A Book A2 Book – Authored Other This refers to books which must be written solely by the author(s). Publications in this category must be a substantial work of scholarship.

• research monographs published by university departments; • textbooks (consisting mainly of new combinations of existing knowledge or updating of a body of

established knowledge to make it more readily accessible) aimed primarily at a university audience;

• books published by private individuals, university departments and privately funded companies, eg. “vanity presses”;

• evaluative and investigative government department publications, eg. DIISR Evaluations and Investigations Program reports;

• translations of published books and other authored books or monographs not classified in A1 above or M below;

• annotated anthologies. Exclude completely from A2:

• creative works such as novels, depending mainly upon the imagination of the author rather than upon a publicly accessible body of agreed fact (possibly J);

• university departmental Working Papers, Technical Reports, Discussion Papers and the like (excluded completely)

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

• The following unpublished activities are not to be counted as publications: • unpublished reports. A3 Book – Edited

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

Exclude completely from A3:

• editorship of journals (excluded completely

A4 Book – Revised/New Edition

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

Exclude completely from A4:

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

29

30


Collection Year: 2010 Category (circle one): A2 Book – Authored other A3 Book – Edited A4 Book – Revised / New Edition


Author(s) (in order as listed on publication)



Book T itle

Publis her

Where

Published (City, Country)

Edition No. Revision No.

e No. ISBN No. Volum

Book E ditors

Series

title

CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6 digit level.

TYPE No. Classification Description Total % of each type CODE %

To whic

h PROJECT is this publication linked?

DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ………………………………………Date: ……/……/……

A ‐ ACUBOOK

B Book Chapter B2 Book Chapter – Authored Other

This refers to a contribution, consisting substantially of material that does not meet the DIISR definition. Publications in this category must be a substantial work of scholarship. Chapters in B2 may include any of the following:

• contribution to a research monographs published by university schools and available for sale commercially;

• chapters in a textbook published by a commercial publisher; • revisions of chapters in edited books; • contribution to creative works such as collections of short stories, which do not meet the

definition of Category J; • chapters in books published by private individuals, university departments and privately funded

companies, eg. “vanity presses”; • chapters in government department publications not covered by Category A2; • chapters in translations (includes commentaries not covered by A2 or B1) • annotated anthologies (unless incorporating a critical scholarly text which is a major work of

scholarship in its own right) (possibly A2); • chapters in books published by professional or research organisations which have other

functions besides publishing.

Exclude completely from B2

• works already published independently, eg. as journal articles or in conference proceedings (excluded completely);

• entries in reference works, including encyclopaedias which are less than 4,000 words (excluded completely)

• entries in reference works, including encyclopaedias which are more than 4,000 words (possibly D);

• forewords (excluded completely); • brief introductions (excluded completely); • brief editorials (excluded completely); • collections of university, school or centre Working Papers, Technical Reports, Discussion

Papers, unpublished reports and the like (excluded completely); • appendices (excluded completely).

31

32

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: B2 Book Chapter - Other





Chapte r Title

Book T

itle

Publis her

Where


Edition No. Revision No.

e No. ISBN No. Volum

Book E ditors

Series

title



To whic


DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

BOOK CHAPTERB ‐ ACU

C Journal Article C2 Journal Article – Other Refereed, Scholarly Journal This refers to commentaries and brief communications of original research that are subject to a formal process of peer review and are published in a scholarly journal controlled by an editorial board.

Include:

• publications such as Research Notes which are refereed and Letters to Nature; • critical scholarly texts, eg. medieval or classical texts which appear in article form. Exclude completely from C2:

• editorials (possibly C4); • letters to the editor (possibly C4); • articles designed to inform practitioners in a professional field, such as a set of guidelines or the state of

knowledge in a field (possibly C3); • book reviews (possibly C4); • articles in newspapers and popular magazines (excluded completely). C3 Journal Article – Non- Refereed, Scholarly or Professional Journal This refers to non-refereed works of scholarship published in a scholarly or professional journal controlled by an editorial board.

Include:

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

• medical case histories.

Exclude completely from C3:

• editorials (possibly C4); • letters to the editor (possibly C4); • book reviews (possibly C4); • non-scholarly, non-research articles (excluded completely); • articles in newspapers and popular magazines (excluded completely).

C4 Letter or Note This refers to non-refereed communications (including editorial commentary) published in a journal controlled by an editorial board.

Include:

• commentaries and brief communications of original research that are not subject to peer review; • editorials; • book reviews; • letters to the editor; • reviews of art exhibitions, concerts, theatre productions (by members of appropriate academic

departments).

Exclude completely from C4:

• non-scholarly, non-research articles (excluded completely); • articles in newspapers and popular magazines (excluded completely).

33

34

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category (circle one): C2 Journal article – other refereed, scholarly

C3 Journal article – non-refereed, scholarly, Professional C4 Letter or note





Full titl

e of the Journal

Name


Where


Edition No. Revision No. Volume No. ISSN No.

Title o

f the Article

Beginning Page No. End Page No.

Proof of Refereeing CI=Citation Indices; U=Ulrich; DL=DEST List; SP=Statement in Publication; SO=Statement by Editor/Organiser attached; A= Assessment attached



To whic



C ‐ ACUJOURNAL ARTICLE

35

D Major review/Reference Entry

D1 Major Review This refers to a review of multiple works or of an entire field of research which places other works in context and makes a substantial contribution in its own right. This type of review can appear in monograph form (for example “annual review of (immunology, plant physiology etc)”) or in a journal controlled by an editorial board. Include: • contributions to reference works, including encyclopaedias provided they are more than 4,000 words in

length. D2 Reference Entry This refers to commissioned contributions to prestigious works of reference, including dictionaries, encyclopaedias and companion volumes provided they are more than 700 words in length. Exclude completely from D:

• book reviews (possibly C4); • monographs that “review” institutional practices, government programs, and the like rather than being a

review of a field of research (possibly A); • articles that “review” institutional practices, government programs, and the like rather than being a review

of a field of research (possibly C).

E Conference E2 Conference Publication – Full Paper, Non-Refereed This refers to written versions of conference presentations subsequently published which were not subject to peer review or formal assessment by an editorial board.

E3 Extract of Paper This refers to extracts or synopses of conference papers that are published in the conference proceedings.

E4 Edited Volume of Conference Proceedings This refers to edited volumes of conference proceedings in which one or more members of institutional staff are identified as having editorial responsibility for the proceedings.

Exclude completely from E4:

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

36

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category (circle one): D1 Major Review

D2 Reference Entry





Full titl

e of the Book/Journal (in which the review was published)

Name


Where


Title o

f the Review




To whic


DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines.

Signature: ……………………………………………………….. Date: …………/………../…………

D – ACUREVIEW/REFERENCE

37


Collection Year: 2010 Category (circle one): E2 Conference Publication – Full paper, non-refereed E3 Extract of Paper E4 Edited Volume of Conference Proceedings


Name of Author(s) (in order as listed in publication)


Institution/Country Course Code Student

Full ti

tle of the Conference Publication

Name


Wher

e Published (City, Country)

e and or Issue No. ISBN No.

VolumEdito

rs of the Conference Publication

Title o

f the Paper Delivered


Proof of Refereeing CI=Citation Indices; U=Ulrich; DL=DEST List; SP=Statement in Publication; SO=Statement by Editor/Organiser attached; A= Assessment attached

Name of the Conference Location of Conference

Start

date of Conference (dd/mm/yyyy)

CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and each type must total 100%. FOR and SEO codes must be coded to the 6 digit level.

TYPE No. Classification Description Total % of each type CODE % To whic



E ‐ ACUCONFERENCE PUBLICATION

F Audio-Visual Recordings This refers to substantial and scholarly works presented in audio-visual form and offered for sale under the imprint of a recognised commercial publisher or distributor. It should cover the presentation of research findings and factual information. Examples include an ethnographic film, an audio-visual presentation of dynamic research output, eg. fluid mechanics, robotics, visual motion, new surgery techniques, conference presentations, a guide to collected sound recordings. Exclude completely from F:

• creative works (possibly J); • audio-visual teaching material (excluded completely). G Computer Software This refers to innovative software products of commercial quality and offered for sale or distributed as Shareware through a recognised publisher or distributor.

38

39

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: F Audio-visual Recordings

Year Published: 2009 Author(s) (in order as listed on recording)



Full title of the Recording

Name and Address of Publisher

Where Published (City, Country)

Length of Recording (Mins)

Type of Audio-Visual Recording CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6 digit level.


To which PROJECT is this recording linked? DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines.

Signature: ……………………………………………………….. Date: …………/………../…………

F ‐ ACUAUDIO VISUAL

40

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: G Computer Software

Year Published: 2009 Author(s) (in order as listed)



Full title of the Computer Software

Name and Address of Commercial Publisher


Version No.

Computer Language



To which PROJECT is this software linked? DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

G ‐ ACUCOMPUTER SOFTWARE

H Refereed Designs This category refers to major works in design disciplines such as architecture, creative arts, engineering, information technology, etc. To be included in this category the publication must meet the definition of research as amplified in the key characteristics of research publications and must: To be counted in this category a design work must have been recognised via a publicly understood refereeing process, which is conducted by an independent review panel formed from qualified peers in the design discipline who are recognised as such by their national or international professional association. For refereed designs the award must be: • the winner of a major design award offered by national or international organisations in the field, e.g. the

Royal Australian Institute of Architects; • of at least national standard, with entries welcomed from throughout Australia; and • must have been awarded in 2009. Types of awards that may meet this criteria include: • awards that are received at the State or territory level or higher, e.g. if a major design award has both

state and national winners, then both those who receive state or territory level awards and the national winner are eligible to be reported as part of this collection; and

• awards for or exhibitions of software and fashion design as long as these designs satisfy all other criteria. For curated exhibitions of original design by an individual designer, the exhibition must: • be exhibited for the first time in 2009 (the first day of exhibition must occur in 2009 even if the majority of

the exhibition occurs in another year); • be exhibited in a recognised independent gallery or museum • be accompanied by a published catalogue identifying the individual designs and the timing and location of

the exhibition; and • be advertised in either the industry press, professional journals or State or national newspapers. I Patents This category refers to patents (or its equivalent) on specific products or processes granted for the first time, either in Australia or in an overseas country. To be included in this category the patent must meet the definition of research as amplified in the key characteristics of research publications and must: • be for a product or process for which a full patent (or its equivalent) has been granted; • be granted for the first time in 2009; and • be either:

o owned by the university, a commercial subsidy, controlled entity or affiliated institution; or o the research leading to the patent must have been undertaken at the claiming university.

Patents equivalents that meet the criteria include: • plant breeder rights

41

42

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category (circle one): H1 Refereed Design

H2 Exhibited Design

Year Published: 2009 Designer(s) (in order as listed on title page)



Full title of the Design Award / Exhibited Design

Organisation conferring the Award

Date of Presentation of the Award / Date and Place of advertisement for Exhibition (dd/mm/yyyy)

Name of the Curator (Exhibition)

Place of Exhibition

Date of Exhibition (dd/mm/yyyy) CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6 digit level.


To which PROJECT is this publication linked? DECLARATION OF AUTHORSHIP: I hereby declare that I am the recipient of the above mentioned Design Award and the details provided comply fully with the University definitions and are correct in all respects. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ………………………………………………………………… Date: ………………/……………./…………..

DESIGNH – ACU

43

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: I Patent

Year Published: 2009 Patentee(s) (in order as listed on title page)



Full title of the Patent Patent owned by Country where patented Patent number



To which PROJECT is this publication linked? DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal author or co-author of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

I – ACUPATENT

K Journal Editorship This refers to journals which publish works of scholarship, not merely works of composition of a professional or even non-professional nature. K1 Editor of a Refereed Journal This refers to the editorship of a journal which publishes substantial works of scholarship following a process of peer review (that is, all articles are refereed by two or more professional colleagues.) The journal is controlled by an editorial board which assesses the reports of referees. K2 Editor of a Non-Refereed Journal This category refers to the editorship of a journal which publishes articles of scholarship but does not follow a process of sending submissions to colleagues to undertake peer review (that is, articles are not refereed by two or more professional colleagues.) The journal may have a single editor or may be controlled by an editorial board. L Published Pamphlet or Consultant’s Report This refers to the publication of professional reports of a scholarly nature or of small pamphlets prepared as the result of a Commercial Research Contract or as Paid Outside Work which has been approved by the University. L1 Published Pamphlet This refers to the publishing of a pamphlet by an organisation which commissioned a small study and which wishes the findings of that study to be available publicly and which may be available either gratis or for a set fee. L2 Published Consultant’s Report This refers to the publishing of a professional report of a scholarly nature by an organisation which commissioned the research and which wishes the report or the findings of the study to be available publicly and which may be available either gratis or for a set fee. L3 Unpublished Consultant’s Report This category refers to the preparation and submission of a professional report to an organisation which commissioned a research project and which does not wish the report to be available publicly. M Translations Publication of professional translations of a scholarly nature (unless accompanied by a critical scholarly text which is a major work of scholarship in its own right).

44

K ‐ ACUJOURNAL EDITORSHIP

45

Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category (circle one): K1 Refereed Journal

K2 Non-refereed Journal


Editor(s) (in order as listed on title page)



Full title of the Journal

Name and address of the Publisher


Volume and or Issue No.



To which PROJECT is this publication linked?

DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal editor or co-editor of the above mentioned publication and the details provided are correct in all respects. I also declare that the role of editor or co-editor was undertaken while I was a staff member at ACU. Signature: ……………………………………………………….. Date: …………/………../…………

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Collection Year: 2010 Category (circle one): L1 Published Pamphlet L2 Published Consultant Report L3 Unpublished Consultant Report





Title of the work

Name and address of Publisher


Total No. of Pages CLASSIFICATIONS TOA, FOR and SEO Codes are to be entered here and must total 100% for each Type. FOR and SEO codes must be coded to the 6 digit level.




PAMPHLETS & CONSULTANTSL ‐ ACU

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Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: M Published Translation


Translator(s) (in order as listed on title page)



Full title of the Journal

Name and address of Publisher





DECLARATION OF AUTHORSHIP: I hereby declare that I am the principal translator or co-translator of the above mentioned publication and the details provided comply fully with the University definitions and are correct in all respects. I also declare that the research was undertaken while I was a staff member at ACU. Where I am the principal author of the publication, I also declare that the raw data associated with this publication is being held in accordance with all relevant guidelines. Signature: ……………………………………………………….. Date: …………/………../…………

M – ACUTRANSLATION

5 RESEARCH PROJECTS AND SUPERVISION FOR 2009 5.1 University-only categories Most academic staff conduct funded and/or unfunded research projects and/or supervise students undertaking research projects. Both funded and unfunded projects and the supervision of research students are included it the definition of research and development for the purposes of the ABS survey. Many staff spend the equivalent of at least one day per week on research and research training during the teaching terms, plus full time during term breaks, excluding 4 weeks annual leave. According to DIISR statistics, approximately one-third of academic staff-time is funded to undertake research. The University is required to report this research expenditure to the ABS. 5.2 Descriptions and ACU coversheets for each University-only category If you conducted externally funded research in 2009 and the funds you received in support of your research and money was transferred to ACU via Research Services, you do not need to complete any data return coversheets for these projects – Research Services already has the necessary information. Staff in receipt of research grants with colleagues at other institutions or in receipt of commercial research funding with colleagues at other institutions will earn proportional credit towards the Research Quantum provided monies have actually been transferred to ACU. To be eligible for this credit of research grants with colleagues at other institutions, recipients of such grants should provide copies of the following documentation to Research Services, if they have not already done so:

• a copy of the research application or tender document • a copy of the letter of offer, and • a copy of any conditions of award, contract or agreement governing use of the funds.

These documents are required for the annual financial audit by the External Auditors.

R Research Projects R1 Other externally funded research project This applies if you received an external research grant or research consultancy in 2009 and no money was transferred to ACU. Staff may not claim credit for receipt of private consultancy funding or work undertaken under the University Paid Outside Work Policy. All monies, which have been banked privately, constitute taxable income and must be reported to the Australian Taxation Office by the recipient.

R2 ACU funded staff research project This applies if you received funds from ACU or your Faculty to support a research project. R3 Unfunded staff research projects Many ACU staff conduct research that is unfunded. It is very important that you complete the template for each unfunded research project conducted in 2009.

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Collection Year: 2010 Category (circle one): R1 Other Externally Funded R2 ACU Funded Staff Research R3 Unfunded Staff Research Projects

Year of Project: 2009

Category R RESEARCH PROJECTS

All persons working on research project, beginning with Principal Researcher



Title o

f the Project

Name and address of the grantor of the funding. Name and address of the institution administering the funding if not ACU

If ACU administered any part of this funding in 2009, identify the full account code. otal $ amount T re

ceived by ACU

T2 Code (Cost Centre) T3 Code (Gcode)

Status of the project in 2009 A = Active; E = Ended; I = Inactive; R = Resumed


TYPE

No. Classification Description Total % of each type CODE

%

To whic

h RESEARCH PROJECT is this grant/consultancy linked?

DECLARATION: I hereby declare that I am the principal recipient or co-recipient of the above mentioned research funding and the details provided comply fully with the DIISR definitions and are correct in all respects. If the funding is administered at another institution, I also attach a copy of the application for funding, the letter of offer of funding and any agreement or contract associated with this funding.. Signature: ……………………………………………………….. Date: …………/………../…………

P Supervision of research higher degree students The ABS definition of research (page 3) includes the supervision of students undertaking postgraduate research courses. The University is required to report biennially to the ABS the percentage of staff time spent in supervision of higher degree research students. Research Services has records of supervision of ACU students in higher degree research courses (Research Masters, MPhil, EdD, PhD) so you do not have to provide data on the supervision of these students. P2 Supervision of postgraduate research students at other universities This category refers to your supervision involvement with higher degree research students at other universities.

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Australian Catholic University Research Data Collection 2010 Collection Year: 2010 Category: P2 Non-ACU Students

Higher Degree Research students at other Universities

Year Supervised: 2009 Name of Principal supervisor, Co-supervisor(s), Associate Supervisor(s) and Student in that order



Dissertation or Thesis Topic Title:

Expected or actual period of supervision From To

% of qualification represented by research

Status of the project in 2009: select one: Active, Completed, Inactive, Resumed



DECLARATION: I hereby declare that I am the principal supervisor or a co-supervisor of the named student identified above and that the above information is correct in all respects. Signature: ……………………………………………………….. Date: …………/………../…………

POSTGRADUATE SUPERVISIONP ‐ ACU

APPENDIX 1 Australian Catholic University Research Data Collection 2010

AUTHOR AFFILIATION FORM - 2009 PUBLICATION Each publication submitted to DIISR must be able to prove the affiliation of the author(s) to Australian Catholic University, at the time the research leading to the publication was conducted. This form should be completed only

- when the publication does not include a by-line or footnote stating the author’s affiliation with Australian Catholic University.

- for HERDC-eligible publications ie A1, B1, C1 and E1

Declaration by Staff / Student

I, _____________________________, certify that I undertook the research leading to the

publication listed below and published either in the year 2009 (or have a 2008 publication date

but not have been published until after 30 June 2009) in my capacity as a staff member /

student at Australian Catholic University.

Title of Publication

Authors as they appear on the

publication

Tick one only

Staff member Student

Name (please print):

Signature:

Date:

Research Services will obtain the confirmation of employment from the Director, Human Resources or

confirmation of student status from the relevant Faculty in the case of students.

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APPENDIX 2 Australian Catholic University Research Data Collection 2010

NIL RETURN FORM No research to report for 2009 I, _________________________ (print name) of School ________________________ certify that I have had no research inputs and/or outputs in the following categories in 2009. Please tick the relevant boxes

Research Output Types Comments, if any

No publications in the HERDC-eligible or University-only categories

No work on funded research projects

No work on unfunded research projects

No supervision of theses for higher

degree research courses.

Categories recorded by Research

Services (funded projects and supervision of ACU research higher degree students)

Signature: _______________________________ Date: ___________________

Authorised by:

Head of School (or supervisor): _________________ Date: ___________________

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