Publications Data Collection (PDC) 2008

Collection of publications produced in 2007

Handbook

For a quick guide of what you need to do, please see “Instructions for Authors”

Introduction

Impact on research funding

Changes in the PDC 2008

Publications Data Collection Process

Timetable

Instructions for Authors

DEST Publication Requirements

Research

Publication Date

Author Affiliation

Peer Review

More information

Publications categories

Books

Book Chapters

Journal Articles

Conference Proceedings

Patents

Creative Works

Academic Editing

Other

This document can be downloaded from:

Page 1 of 19

Introduction

Each year the University undertakes a process of collecting information on publications authored byFlindersstaff and students in the preceding calendar year.

The information collected during the PDC helpsFlindersUniversity to:

  • Understand the breadth of research activities undertaken and the fields in which this research activity occurs
  • Place media representatives, potential postgraduate students, interested industry research collaborators, and external researchers in contact with researchers
  • Better understand the research-related work commitments of researchers
  • ClaimCommonwealth funding for DEST category publicationsauthored by Flinders staff and students.

Impact on research funding

Publications claimed in DEST categories and submitted to DEST as part of the Higher Education Research Data Collection (HERDC) directly impact on University funding under the IGS and RTS block funding schemes. Publications receive funding based on the proportion of Flinders authors (eg for a journal article jointly authored by one Flinders affiliated author, and two non-Flinders affiliated authors, the University would receive a third of the total funding allocated).

A portion of these block funding schemes is competitively allocated to the Faculties based on the number of DEST category publications submitted during the PDC.

Changes in the PDC 2008

There are some innovations to the Publications Data Collection process beginning in December 2007 of which authors need to be aware. These include:

  • The Publications Data Collection is moving towards a continuous collection model where the publications data are entered as soon as they are published
  • Authors are now required to enter the publication details directly into the RMIS via the web. This means:
  • Authors will need to familiarise themselves with the criteria for each category code (A1, C2 etc)before entering their publications
  • RFCD/SEO codes are to be assigned by the first-named author
  • Schools will now verify publication data and hard copies before submission to the Office of Research

Publications Data Collection Process

All Flinders academic staff and postgraduate students are advised by email of the commencement of the PDC. Publication data are collected via the Research Management Information System (RMIS).

Staff and postgraduate student authors are asked to read the instructions below, taking particular note of the timetable below.

Timetable

Date / Activities
December 2007 / The collection process begins.
December 2007 to March 2008 / Publications are entered to the RMIS.
The Schools and Office of Research conduct verificationof the publications data.
31stMarch 2008 / All publications must be entered by this date. If a publicationcannot be enteredby this date, please email by31st March 2008.

Instructions for Authors

If you have any questions about this process, please contact your data coordinator or the Office of Research (email or phone 08 8201 7939.)

Authors should complete the following steps:

1. Obtain a list of works you have published in 2007.

2. Login to the RMIS

3. Check that your publications have not already been entered (if your publication has been entered but you are not listed as an author, please contact the Office of Research

4. Enter eachpublication into the RMIS. Detailed instructions on using the RMIS can be found here [link to RMIS manual]

5. Ensure you comply with other University/Faculty/School requirements (e.g. lodgment of Statement of Authorship and Location of Data form [link] etc.)

6. Complete the hard copy forms for the Office of Research.

  • For books, book chapters, journal articles and conference papers, use Form A (PDF 22KB) .
  • For patents , creative works , academic editing and other publications , use Form B (PDF 21KB) .

7. Make photocopies of the required information as listed on the form, and securely attach the photocopies to the form.

8. Submit the documentation to your School administrator.

The School and the Office of Research will verifyand if necessary, amendthe publications data. Authors will becontacted for additional material if required.

DEST Publication Requirements

Authors are no longer required to assign a publication category to each of their works. The Office of Research will assign a category during the verification stage of the process.

It is important for FlindersUniversity to claim as many publications in DEST categories as possible. Therefore, it is highly recommended that authors become familiar with the DEST category criteria to ensure that future publications can be included in the DEST claim.

In addition to the individual criteria set out in the Publication Categories section of this handbook, all DEST publications must meet the following criteria:

Research

All publications must be the result of research. DEST defines research activity as:

  • Creative work undertaken on a systematic basis in order to increase the stock of human knowledge, and the use of this knowledge to devise new applications.
  • Any activity classified as research which is characterised by originality; it should have investigation as a primary objective and should have the potential to produce results that are sufficiently general for humanity’s stock of knowledge (theoretical and/or practical) to be recognisably increased.
  • Pure basic research, strategic basic research, applied research and experimental development.

Publication Date

The research must have been published in 2007 and the date of publication must appear within or on the work being claimed. Letters from authors, editors, creators etc. stating that a work was published in 2007, even though no such date exists within the publication, are not acceptable evidence of year of publication. There are three exceptions:

  • For journal articles and/or conference proceedings that are produced on CD-ROM or are web-based, where no year of publication is stated within or on the work: here, a letter from a journal editor or conference organiser may be accepted to identify the year of publication.
  • The date a conference was held may be acceptable evidence of the year of publication, provided no other date exists within or on the conference publication being claimed.
  • A publication with a date of 2006may be able to be claimed if the author can provide evidence that the publication was not ready for inclusion in last years collection (e.g. was not available for sale until after the PDC 2007 closing date.)

The year of publication would normally be the latest of the nominal year, the year indicated as published, the year indicated as printed or the year of copyright. Copies of the pages showing the available publication details must be included in verification materials.

This means that if the first publication (eg Australian Journal of Astrophysics, December 2007) is shown as having been published, printed, or copyrighted in 2008, it cannot be counted in the current collection because the nominal year of publication has been overridden. It will have to be considered for the following collection of year 2008 publications.

Author Affiliation

Authors claiming publications during the PDC process must have conducted the research in their capacity as a staff, student or academic status-holder of FlindersUniversity.

The affiliation requirement may be validated by one of the following:

  • The author’s affiliation with FlindersUniversity is given in the by-line of the work.
  • No affiliations are given in the work and the author signs a statement of authorship (included in the publication forms).
  • The author is a Flinders academic status-holder whose affiliation in the by-line is a Flinders affiliated institution. Examples include Flinders Medical Centre, Repatriation GeneralHospital, Greater Green Triangle etc

NOTE: If multiple institutions are identified for an author in the by-line, each University can claim the publication at full value (eg. If “NT Clinical School” and “Menzies School of Health Research” are BOTH shown in the by-line, then both Universities can claim the publication).

If a non-Flinders affiliated institution is given in the by-line, the work cannot be counted;if the author can provide evidence that the research was undertaken in their capacity as a Flinders staff, student or academic status-holder, it may be possible to claim the work.

Peer Review

All DEST category publications must undergo some form of peer-review.

The peer-review process must involve assessment of the publication:

  • in its entirety – not merely an abstract or extract;
  • prior to publication; and
  • by appropriately qualified experts that are independent of the author

For books (A1) and book chapters (B1), this requirement is met if:

  • The book is published by a commercial publisher; and
  • The book is available for commercial sale

For journal articles (C1), any of the following are acceptable as evidence of peer-review:

  • The journal is listed in one of the Institute for Scientific Information indexes ()
  • A statement in the journal showing that contributions are peer-reviewed
  • A statement or acknowledgement from the journal editor showing that contributions are peer reviewed
  • A copy of the reviewer’s assessment relating to the article

For conference proceedings (E1), any of the following are acceptable as evidence of peer-review:

  • A statement in the proceedings showing that all papers are peer-reviewed in full
  • A statement or acknowledgement from the proceedings editor showing that all papers are peer-reviewed in full
  • A statement in a ‘call for submissions’ document showing that all papers are to be peer-reviewed in full
  • A copy of the reviewer’s assessment relating to the paper

More information

It is highly recommended that you read the HERDC Specification from DEST for a more detailed version of this document. This document can be downloaded from:

Available on web page. A link is to be inserted here ...

Publications categories

FlindersUniversity collects information on 12 different publications categories, each corresponding to a specific type of published work. Four of these are DEST categories for which the University receives Commonwealth funding.

PUBLICATION TYPE /

DEST CATEGORY

/ NON-DEST CATEGORY
Book / A1 / Book / A2 / Book: Other
Book Chapter / B1 / Book Chapter / B2 / Book Chapter: Other
Journal Article / C1 / Journal Article / C2 / Journal Article: Other
Conference Proceeding / E1 / Conference Proceeding / E2 / Conference Proceeding: Other
Patent / I2 / Patent
Creative Works / J2 / Creative Work
Academic Editing / K2 / Academic Editing
Other / Y2 / Other Public Output

Detailed information and criteria for each of these categories is provided on the following pages.

Books

A1 – Book

DEST category – Commonwealth funding is received for works produced in this category

To be included in the A1 category, the publication must meet the following criteria:

  • The book must be a major work of scholarship
  • The book must be offered for sale (for hard copies, bound; for CD-ROMs, packaged; for e-books, on subscription or fee basis)
  • The book must have an International Standard Book Number (ISBN)
  • The book must be written entirely by a single author, or by joint authors who share responsibility for the book as a whole. Authors who do not share responsibility for the book as a whole may be able to claim the work as individual chapters (see B1/B2.)
  • The book must have been published by a commercial publisher.
  • The book must meet the publication date requirements.
  • The book must meet the affiliation requirements.

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

  • New ideas or perspectives based on established research findings
  • Critical scholarly texts (for example music, medieval or classical texts)
  • New interpretations of historical events
  • Translations with original critical scholarly contributions amongst translated text

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

  • Textbooks or reference works (see A2)
  • Anthologies
  • Edited books (it may be possible to claim chapters in the B1 category)
  • Creative works such as novels (see J2)
  • Translations without original critical scholarly contributions amongst translated text (see Y2)
  • Revisions/new editions (it may be possible to claim a new chapter in a revised book/new edition in the B1 category).
A2 - Book: Other

NON-DEST Category: Only used for internal reporting purposes. No funding is received for works claimed for this category. Please ensure that the publication is not claimable in a DEST category before completing the A2 publication form and documentation requirements (if any).

To be included in the A2 category, the publication must meet the following criteria:

  • The book must be a major work of scholarship and bound (or if in electronic form, such as a CD-ROM, packaged)
  • The book must have an ISBN.
  • The book must meet the publication date requirements.
  • The book must be written entirely by a single author, or by joint authors who share responsibility for the book as a whole. Authors who do not share responsibility for the book as a whole may be able to claim the work as individual chapters (see B1/B2).
  • The author must have been a FlindersUniversity staff member, student or academic status-holder at the time the research leading to the publication was undertaken.

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

  • A textbook or reference work.
  • A book or research monograph published by private individuals, University departments or centres, privately funded companies (Vanity Presses), or by a professional or research organisation that has other functions besides publishing.
  • A government department publication, e.g. DEST Evaluations and Investigations Program reports.
  • An annotated anthology (not accompanied by a critical scholarly text which is a major work of scholarship in its own right).
  • A revision/new edition with substantial new material
  • A work that would otherwise meet the criteria for the A1 category but:
  • does not have a commercial publisher; and/or
  • is not available for sale; and/or
  • has no ISBN

Book Chapters

B1 – Book Chapter

DEST category – Commonwealth funding is received for works produced in this category

This category refers to a contribution to a compilation where the work consists substantially of new material and is subject to editorial scrutiny.

To be included in the B1 category, the publication must meet the following criteria:

  • The chapter must be within a book that is offered for sale (for hard copies, bound; for CD-ROMs, packaged; for e-books, on subscription or fee basis)
  • The chapter must be within a book that has an International Standard Book Number (ISBN)
  • The chapter must be within a book that has been published by a commercial publisher (as defined in the HERDC Specification.)
  • The chapter must be within a book that meets the publication date requirements.
  • The chapter must be within a book where the authors of each chapter are identified within the work.
  • The chapter must meet the affiliation requirements.

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

  • Critical reviews of current research
  • Scholarly introduction of chapter length to an edited volume, where the content of the introduction reports research undertaken by the editor and makes a substantial contribution to a defined area of knowledge
  • Critical scholarly text of chapter length, e.g. in music, medieval or classical texts

The types of 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
  • Creative works such as collections of short stories
  • Translations without original critical scholarly contributions amongst translated text (see Y2)
B2 - Book Chapter: Other

NON-DEST Category: Only used for internal reporting purposes. No funding is received for works claimed for this category. Please ensure that the publication is not claimable in a DEST category before completing the B2 publication form and documentation requirements (if any).

To be included in the B2 category, the publication must meet the following criteria:

  • The book in which the chapter appears must be a major work of scholarship bound and must have an ISBN.
  • The book in which the chapter appears must meet the publication date requirements.
  • The author must have been a FlindersUniversity staff member, student or academic status-holder at the time the research leading to the publication was undertaken.
  • The book in which the chapter appears must individually attribute the chapters to the contributing authors.

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

  • A chapter in a research monograph published by a University Department.
  • A chapter in a textbook.
  • A chapter in a book published by private individuals, university departments and privately funded companies (Vanity Presses).
  • A new or substantially revised chapter in a revised book/new edition. It may be possible to claim new chapters in revised books in the B1 category providing there is a clear indication that the chapter is entirely new.

Journal Articles

C1 – Refereed Journal Article

DEST category – Commonwealth funding is received for works produced in this category

To be included in the C1 category, the publication must meet the following criteria:

  • The article must be published in a scholarly journal
  • The article must have been peer reviewedin full
  • The journal in which the article appears must have an International Standard Serial Number (ISSN) [or ISBN if clearly identified as not a book]
  • The journal issue in which the article appears must meet the publication date requirements.
  • The article must meet the affiliation requirements.

The types of journal articles that are likely to meet the criteria include:

  • Commentaries and communications of original research
  • Research notes
  • Letters to Nature
  • Critical scholarly texts which appear in article form
  • Articles reviewing multiple works or an entire field of research
  • Invited papers in journals
  • Articles in journals which are targeted to both scholars and professionals
  • Articles in a stand-alone series.

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