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Monash University Research Publication 2008 Collection of 2007 DataDefinitionsAuthorship A staff member is defined as a person who at the time the research leading to the publication was employed by or affiliated with Monash University. This includes:
Award Course Student (Monash guidelines section 4.2) An award course student is defined as a person who was a candidate for a higher education award at the time the research leading to the publication was conducted. This includes undergraduate, honours, masters and doctoral students (refer to point 6 Appendix 2). Students who publish work as part of private business may not have
the work included in the collection if there is no direct connection
between the publication and the course of study. Subsidiaries (Controlled Entities) (Monash guidelines section 4.3) Monash University is the primary shareholder of various entities
these are referred to as Monash Subsidiaries (refer to point 7 Appendix
2). Subsidiaries of Monash University include the following:
Cooperative Research Centres (Monash guidelines section 4.4) Authors affiliated with a University academic organisational unit
and involved in a CRC may claim the publication for the University. If
Monash University is not included in the by-line, or if it has only a
CRC byline, the appropriate author affiliation documents should be
provided. Faculty/Org Unit(or AOU) (Monash guidelines section 4.5) It is important that any publication counted be linked to a faculty and/or an HR-SAP Organisational Unit, previously known as an Academic Organisational Unit. NOTE: RM4 still refers to this organisational Unit as an AOU. This ensures appropriate allocation when the weight of the research publication is apportioned. Faculties will be required to enter the author AOU/s to match their SAP-HR org unit affiliation on the publications in RM4/PWI. Do not alter the author AOU from what is recorded in the RM4 Personnel module unless it falls in the categories outlined in section 3, point 1. Under special circumstances where an author has multiple primary AOU affiliations (i.e. more than one payslip location) they can now split their individual contributions on their publications between AOUs (refer to point 1 Appendix 2). Note: The primary publication AOU should reflect the AOU for the first named Monash author. Fields of Research (Monash guidelines section 4.6) The Australian Bureau of Statistics categorises fields of research into Research Fields, Courses and Discipline (RFCD) codes. Doing so allows for analysis of research by discipline and field and is an important part of managing research information. The full field of research classifications including Divisional
Codes, Group Codes and Subject Codes is available on the RO website to
assist in determining the correct Divisional code. http://www.monash.edu.au/research/academics/funding/codes-lists/rfcd/index.html As a result of the RQF Monash University will be required to enter 6 digit RFCD codes for each publication. One RFCD code is required where the research covers one discipline area. Where publications overlap fields of research, classify the item according to the relevant field codes. Publications should be apportioned across field codes where the research spans more than one discipline (i.e. if the publication research is inclusive of different research areas then the RFCD can be split up to three different codes adding up to a total of 100%) (Refer to point 5 Appendix 2). Example: Research Classifications (list from highest % to lowest %)
In order for an author to be listed in RM4 they must meet the Monash definition of authorship. The minimum requirement for authorship on a publication should accord with the 'Vancouver Protocol'. (http://www.monash.edu.au/research/statements/opmanual/res2914.html). Authorship is substantial participation, where all the following conditions are met:
Participation solely in the acquisition of funding or the collection of data does not justify authorship. General supervision of the research group is not sufficient for authorship. Any part of an article critical to its main conclusion must be the responsibility of at least one author. An author's role in a research output must be sufficient for that person to take public responsibility for at least that part of the output in that person's area of expertise. No person who is an author, consistent with this definition, must be excluded as an author in publication without their permission in writing (refer to Point 12 Appendix 2). DEEWR Points (Monash guidelines section 4.8) Publication counts are calculated for DEEWR categories A1, C1 and E1 (for B1-Book Chapters refer to Appendix 1), to equal one count for a sole author who is from Monash. Where there is more than one author, apportion the count according to total number of Monash authors in relation to all authors. For example, if there are three authors on a publication, then each Monash author's contribution is equivalent to one third. When the total counts (contributions from Monash authors) for one or more publications equals one this total is referred to as a DEEWR point. Certification by Submitting Author (Monash guidelines section 4.9) In order to avoid multiple publication entries in RM4 the author submitting the publication should preferably be the first named Monash author on that publication (refer to Point 2 Appendix 2). The DEEWR points for the publication are based on the relative contribution of each Monash author regardless of their order (in relation to other external authors) and are allocated to their respective organisation unit (or AOU) based on their relative contribution. * External author refers to an individual who is not affiliated to Monash. * The first named (or alternate)
Monash author on the publication is required to submit:
Where the submitting author has not by-lined the publication to
Monash University, they are required to show evidence they were
affiliated to Monash University when the publication was produced.
Certification of Form 1 plus an extract from the
staff list (or evidence of student enrolments) will satisfy this
requirement. All other Monash authors on a publication are not required to submit
publication details. The only exception is where no byline exists on
the paper then these authors must submit a FORM 3 (refer to 5.2.3). Where a new internal author needs to be created the administrator
must submit a "creation or modification of Internal Staff or Student"
form to the RM4 service desk via the web link http://monash.edu.au/research/academics/service-desk/ro-rm4-personnel-maintenance-form.html
External authors can be created by the administrator through the Personnel module. Foreign Language Publications (DEEWR HERDC guidelines section 9.8) Foreign language publications are eligible to be counted. The same verification evidence is required, in English, as for any other works. It is not necessary to translate the entire publication, but all relevant sections required for the verification of information to demonstrate that it meets the criteria of the category against which it is being claimed. This includes evidence that the work meets the definition of research. Note: The Australian Academy of the Humanities has advised DEEWR that they are no longer in a position to assist HEPs in the verification of foreign language publications in the fields of the humanities. Electronic Publications (DEEWR HERDC guidelines section 9.9) Electronic Works are eligible to be counted, provided they meet all the relevant criteria in these specifications for the publication category against which they are being claimed. Reference period (Monash guidelines section 4.12) Only publications published in the 2007 calendar year are to be included. Year of Publication (DEEWR HERDC guidelines section 9.2)The fundamental principles that underpin the publications data are:
To be able to count publications in the 2008 submission of Research Publications Returns-Return 2:
The definition of published in this context is the date the publication was released to its intended audience. Letters from authors, editors, creators etc. stating that a research publication was published in 2007, even though 2007 is not stated within or on the work as the year of publication, are not acceptable evidence of the year of publication. There are two exceptions:
Pages showing the stated year of publication must be included in verification material (see section 9.7 of part C). Expanded Year of Publication DefinitionHEPs must be able to demonstrate (in the verification material that they maintain) that the publication was not produced until after the submission date for that year's publication return. i.e. that the publication, although containing a 2006 publication date, was not published until after 30 June 2007. A letter from the publisher will be considered sufficient verification material to support the claim. Only those publications which:
Research (DEEWR HERDC guidelines section 1.3.9) For the purposes of these specifications, research comprises:
Activities that support research and meet this definition of research include:
Activities that do not support research must be excluded, such as:
Definition of Research (Monash guidelines section 4.13) DEEWR deems that the essential characteristic of research activity is that it leads to original, publicly verifiable outcomes which are open to peer appraisal. Peer View (DEEWR HERDC guidelines section 9.6) For the purposes of the HERDC, an acceptable peer review process is one that involves an assessment or review of the research publication in its entirety before publication by independent, qualified experts. Independent in this context means independent of the author. Peer review is relevant for journal articles and conference publications counted in the Research Publications Return - Return 2. (DEEWR HERDC guidelines section 1.3.8) For the purposes of the HERDC, an acceptable peer review process is one that involves an assessment or review of the research publication in its entirety before publication by independent, qualified experts. Independent in this context means independent of the author. Peer review is relevant for journal articles and conference publications being counted in the Research Publications Return - Return 2. For journal articles, any of the following are acceptable as evidence of peer review:
Note: a statement from an author that a publication was peer reviewed is not acceptable. The existence of a national or international advisory board is also not sufficient evidence that all relevant publications were assessed by members of it. For books and book chapters, the concept of a commercial publisher (as defined at 1.3.4., page 6) is used as a surrogate test of quality in place of a peer review requirement. Commercial Publisher (DEEWR HERDC guidelines section 1.3.4) For the purposes of these specifications, a commercial publisher is an entity for which the core business is producing books and distributing them for sale. If publishing is not the core business of an organisation but there is a distinct organisational entity devoted to commercial publication and its publications are not completely paid for or subsidised by the parent organisation or a third party, the publisher is acceptable as a commercial publisher. For the purposes of these specifications, HEP and other self-supporting HEP presses are also regarded as commercial publishers, provided that they have responsibility for the distribution of the publication, in addition to its printing. |