Definition of Research

For the purposes of this report, the OECD definition of Research and Experimental Development (R&D) was used:

Research and experimental development comprises creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man (sic), culture and society, and the use of this stock of knowledge to devise new applications.

Any activity classified as research and experimental development had investigation as a primary objective and had the potential to produce results that were sufficiently general for humanity's stock of knowledge (theoretical and/or practical) to be recognisably increased. Research included pure basic research, strategic basic research, applied research and experimental development.

Definitions of 1995-1999 Research Output Categories

A1. Authored Research Book

To have been included in this category the publication must have met all of the following requirements:

1. was a major work of scholarship bound (or if in electronic format, packaged) and offered for sale.
2. had an International Standard Book Number (ISBN).
3. was written entirely by a single author, or by joint authors who shared responsibility for the whole book (i.e. individual chapters were not attributed to different authors).
4. consisted mainly of previously unpublished material, and made some substantial contribution to a defined area of knowledge (e.g. new interpretations of historical events; new ideas or perspectives based on established research findings).
5. had been published by a recognised commercial press or publisher. (A recognised commercial press or publisher is an entity which as part of its core business produces books and distributes them for sale. University and other self-supporting higher education institution presses, the Australian Government Publishing Service (AGPS) and Government Departments and agencies are regarded as commercial publishers, provided that they have responsibility for the distribution of the publication and not only its printing).

This category excluded:

• creative works such as novels, which depend mainly upon the imagination of the author rather than upon a publicly accessible body of agreed fact (J1).
• books published by private individuals, university departments and centres and privately funded companies, e.g. "vanity presses" (A4, A5).
• evaluative and investigative government department publications (A2).
• translations or annotated anthologies (unless accompanied by a critical scholarly text which is a major work of scholarship in its own right) (A2).
• university departmental or centre Working Papers, Technical Reports, Discussion Papers, unpublished reports and the like (A4, A5).
• revisions/new editions (A3).
• textbooks (A2).
• edited books (A7).

A2. Other Authored book

This referred to books written solely by the author(s). Publications in this category must have been a substantial work of scholarship.

This included:

• books published by private individuals, schools, centres, faculties and privately funded companies, e.g. vanity presses.
• evaluation and investigative government department publications.
• translations of published books and other authored books or monographs not classified in A1;
• annotated anthologies.
• textbooks.

This excluded:

• creative works such as novels, depending mainly upon the imagination of the author;
• university departmental Working Papers, Technical Reports, Discussion Papers and the like;
• textbooks that are primarily aimed at secondary, primary or pre-school students.

A3. Revision or New Edition

This refers to a book in category A1 or A2 that has been previously published, which has been brought up-to-date by the substantial addition or alteration of material.

A4. Major Research Monograph

This refers to a substantial body of research published as a monograph, which contains several substantial chapters and contains original thematic ideas. Length should approximate over one hundred pages. The category includes books published privately e.g. by the Faculty or School or Centre, or by a government department or agency.

A5. Minor Research Monograph

This refers to a body of research published as a monograph, which contains several substantial chapters. Length would approximate less than 100 pages (although length in itself is not grounds for exclusion). Includes books published privately e.g. by the Faculty or School or Centre, or by a government department or agency.

A6. Research Report / Working Paper / Technical Paper

A monograph which is published as a separate entity, but contains no more material than would be comprised in a large journal article. Typically includes internal working papers / restricted access papers, or written technical reports that are either contract research or consultant reports. Includes books published privately e.g. by the Faculty or School or Centre, or by a government department or agency.

A7. Edited Book

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

This excludes editorship of journals.

AN. Other Book

This referred to books where the author had not attributed authorship to Deakin University.

B1. Book Chapter in A1 Category Book

This referred to a contribution, consisting substantially of new material, or to an edited compilation in which the material was subject to editorial scrutiny.

To have been included in this category the chapter must have been in a book which met all of the following requirements:

1. was a major work of scholarship bound (or if in electronic format, packaged) and offered for sale.
2. had an International Standard Book Number (ISBN).
3. consisted mainly of previously unpublished material, and made some substantial contribution to a defined area of knowledge (e.g. new interpretations of historical events; new ideas or perspectives based on established research findings).
4. had been published by a recognised commercial press or publisher. (A recognised commercial press or publisher is an entity which as part of its core business produces books and distributes them for sale. University and other self-supporting higher education institution presses, the Australian Government Publishing Service (AGPS) and Government Departments and agencies are regarded as commercial publishers, provided that they have responsibility for the distribution of the publication and not only its printing).

This category does not include:

• entries in reference works (D2);
• revisions of chapters in edited books;
• forewords, brief introductions or brief editorials;
• works already published independently, e.g. as journal articles / conference proceedings.

B2. Book Chapter in other published book

A book chapter that meets all of the criteria for B1 except that it is published privately, by a university Faculty or School or Centre, or by a government department or agency.  Also included research book chapters published in books which do not meet the A1 criteria (but may have been included in A2 category and published by a commercial press).

BN. Other Book Chapter

This referred to book chapters where the author had not attributed authorship to Deakin University, or where book chapters were published in books outside the definition of authored research book as contained in A1 and A2.

C1. Refereed Journal Paper

This included:

• commentaries and communications of original research, provided that these have been subject to a formal process of peer review and published in a scholarly journal.
• refereed articles in scholarly journals reviewing multiple works or an entire field of research,
• Invited papers in journals where it was standard practice to referee contributions

This excluded:

• articles designed to inform practitioners in a professional field, such as a set of guidelines;
• non-scholarly, non-research articles ;
• articles in newspapers and popular magazines
• letters to the editor or editorials
• book reviews;
• medical or other case histories, where not full journal articles in themselves;
• commentaries and brief communications of original research that were not subject to peer review;
• reviews of art exhibitions, concerts, theatre productions.

C2. Other Contribution to Refereed Journal

This referred to review articles or commentaries which may not have been subject to a formal process of peer review.

C3. Non-refereed Journal Article

This referred to non-refereed works of scholarship published in a professional or scholarly journal controlled by an editorial board.

This included:

• articles that were sets of guidelines or summaries of the state of knowledge in an areas, generally intended to inform practitioners in a professional field;
• medical case histories.

This excluded:

• editorials, book reviews (C4);
• non-scholarly, non-research articles;
• articles in newspapers and popular magazines.

C4. Letter or Note

This referred to non-refereed communications (including editorial commentary) which were published in a journal controlled by an editorial board.

This included:

• commentaries and brief communications of original research that were not subject to peer review;
• editorials; book reviews;
• letters to the editor;
• reviews of art exhibitions, concerts, theatre productions.

This excluded:

• non-scholarly, non-research articles;
• articles in newspapers and popular magazines.

CN. Other Journal Article

This included journal articles where author had not attributed authorship to Deakin University.

D1. Major Review

This included contributions to reference works, including encyclopaedias provided they were more than 4,000 words in length and excluded book reviews and articles that "reviewed" institutional practices, government programs etc.

D2. Reference Material

This included dictionary or encyclopaedia entries of less than 4000 words in length, i.e. minor entries or small reviews in reference works.

E1. Refereed Conference Paper

This referred to various versions of conference papers which were published. The papers may have appeared in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD rom or conference or organisational web site. Papers must have been presented at conferences of national and international significance. Papers must have been peer reviewed.

This included:

• keynote addresses to conferences of international or national significance

This excluded:

• papers that appeared only in a volume handed out to conference participants;
• papers presented at minor conferences, workshops or seminars that were not regarded as having national or international significance;
• papers (other than keynote addresses) not peer reviewed, even if formally assessed by an editorial board;
• conference papers accepted for presentation (and publication) on the basis of a submitted abstract which were subjected to peer review (Note: This exclusion applies to 1997 output only. 1995 and 1996 output included these papers).

E2. Full written paper - non-refereed

This referred to various versions of conference papers which have been published. The papers may have appeared in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD rom or conference or organisational web site. Papers must have been presented at conferences of national and international significance. This referred 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 referred to various versions of conference abstracts which have been published. The abstracts may have appeared in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD rom or conference or organisational web site. Papers must have been presented at conferences of national and international significance.

E4. Edited volume of conference proceedings

This referred to conference proceedings which have been published. The papers may have appeared in a number of different formats, eg. a volume of proceedings, a special edition of a journal, a normal issue of a journal, a book or a monograph, CD rom or conference or organisational web site. Papers must have been presented at conferences of national and international significance.

F. Audio-visual Recording

This referred to substantial and scholarly works presented in audio-visual form and offered for sale under the imprint of a recognised commercial publisher or distributor.

This excluded:

• creative works;
• audio-visual teaching material.

G. Computer Software

This referred to innovative software products of commercial quality either offered for sale or distributed as shareware through a recognised publisher or distributor.

H. Technical Drawing / Architectural Drawing & Industrial Design/Working Model

This referred to products of research which involved creative/scholarly innovation, and which were registered, sold or licensed for use through a recognised commercial distributor.

I. Patent

This referred to patents on specific products or processes granted for the first time, either in Australia or in an overseas country.

This included:

• a product or process for which a full patent has been granted.

This excluded:

• provisional patents.

J1. Major Written  Work

This referred to substantial creative or scholarly works (such as novels, long musical works or plays) separately bound and offered for sale under the imprint of a recognised commercial press or publisher, or recorded (on CD, video, etc) for commercial distribution.

This included:

• novels and books of poetry;
• long musical works (normally with a duration of at least 20 minutes in playing time);
• long plays (normally with a duration of at least one hour);
• scholarly, analytical and descriptive catalogues.

This excluded:

• reviews of art exhibitions, concerts, theatre productions, etc.;
• concert performances and theatre productions.

J2. Minor Written  Work

This referred 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.

This included:

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

This excluded:

• reviews of art exhibitions, concerts, theatre productions, etc. (C4);
• concert performances and theatre production;
• articles in newspapers and popular magazines.

J3. Poem

This included individual poems as a part of a collection of works.

J4. Individual Exhibition of Original Art

This referred to a substantial collection (J4)  of original works by an individual artist, exhibited for the first time in a recognised gallery or museum. The exhibition must have been accompanied by a published catalogue identifying the individual works and the timing and location of the exhibition. The gallery or museum must be registered as an independent public or commercial organisation and be managed as a full time operation.

J5. Representation of Original Art

This referred to up to three original works by an individual artist which were exhibited for the first time in a recognised gallery or museum. These works should have been individually listed in a published catalogue identifying the timing and location of the exhibition. The gallery or museum must be registered as an independent public or commercial organisation.

J6. Major Concert Performances or written script

This included major concert and theatre productions and excluded street theatre performances. Work must have been presented in a widely accessible, professional form of documentation (e.g. a published program) identifying

• author, director, choreographer, designer or conductor
• timing and location of the performance.

The work must have been undertaken by an artist with a recognised body of work.

Performance as research (as compared with other kinds of university-based theatre performance—e.g. professional practice or teaching) occurs when a production becomes an intervention in an established scholarly debate, dialogue or discourse, or when it initiates or seeks to initiate such a debate. Any performance-as-research project must make explicit its relationship with that debate, and communicate the ways in which the terms of the debate have been changed by the research project.

Creative Works in Theatre demonstrate innovation by contributing to the development of theatre through exploration of new content, new processes, forms or audiences.

Written Works refers to substantial works, such as playscripts, separately bound and offered for sale under the imprint of a recognised commercial press or publisher, or recorded (on CD, video etc.) for commercial distribution, or performed for the first time in a recognised public venue or on the electronic ], peer reviewed and appropriately documented and archived. Documentation must include a published program identifying the author and the timing and location of the performance. In the case of a performance, documentation must include a fair copy of the final version of the script or equivalent used as the basis for that performance.

Refereed Performances refers to a single performance of significant duration by a leading performer (actor, musician, dancer) presented for the first time in a recognised public venue, or on the electronic media, demonstrating new knowledge, or substantial new insights into existing knowledge, and appropriately documented and archived. Documentation must include a published program identifying the performer and the timing and location of the performance.

J7. Minor Concert Performances or written script

This follows the nature of guidelines of Category J6, and included concert performances in small theatres which are isolated. The researcher must have contributed to the script and the production.

J8. Major Dance Performance / J9. Minor Dance Performance

These embodied the principles of research performance as outlined for category J6, and exclude street performances.

L. Conference Publications: Distributed or Minor Conferences

This category included any conference materials which were only distributed at the conference (i.e., handed out to conference participants as the form of circulation), or where papers were presented at minor conferences, seminars or workshops (i.e. conferences not of international or national significance – see category E1).

L1. Refereed Paper at Minor Conference

This referred to full written peer reviewed versions of conference papers which were unpublished.

This included:

• papers that were only handed out to conference participants;
• papers presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

L2. Non-refereed Paper at Minor Conference

This referred to written but unpublished versions of conference presentations which were not subject to peer review or formal assessment by an editorial board, or where only the abstracts were put through a formal process of review.

This included:

• papers that were only handed out to conference participants;
• papers presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

L3. Abstract at Minor Conference

This referred to abstracts of conference papers presented at conferences where the abstracts were only handed out to conference participants, or where abstracts were presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

This included:

• papers that were only handed out to conference participants;
• papers presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

L4. Edited volume of conference proceedings

This referred to conference proceedings which have been distributed at conferences only, or where papers were presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

This included:

• volumes that were only handed out to conference participants;
• volumes presented at minor conferences, workshops or seminars that were not regarded as having national or international significance.

M. Public work / Other contributions

This referred to materials such as newspaper or magazine articles, media interviews, internal newsletters and the like.

N. Reference Work

This referred to dictionary or encyclopaedia entries less than 4000 words, i.e. minor entries or small reviews in reference works.

S. Principal Supervisor Of Higher Degree By Research Completion

This referred to a Deakin Univeristy staff member appointed to have primary responsibility for the supervision of the candidate.

T. Research Income - National Competitive Grant

This referred to grants allocated through national competitive granting schemes. Included Australian Research Schemes (ARC Large Grants, ARC Small Grants, ARC Fellowships, ARC Collaborative Grants), National Health & Medical Research Council Schemes (NHMRC Fellowships, NHMRC Project Grants, CARG Grants), and Industry Development Corporation Schemes (GRDC, RIRDC etc). Grants in which income was received over multiple years were listed as such.

U. Research Income - Other Public Sector Funding

This referred to any other research funding received from the Commonwealth not listed under National Competitive Research Grants (T). Included research funding from Commonwealth Government Business Enterprises; and competitive and non-competitive research funding (including contract research) from both State and Local Governments. Included research funding from State Government Business Enterprises. Grants in which income was received over multiple years were listed as such.

V. Research Income - Industry And Other Funding

This referred to contract research provided by industry or other non-Government agencies including industry collaborative research grants, grants for research from other than Government, donations and bequests for research from business, non-profit organisations, and individuals; and income received from Syndicated Research & Development arrangements.
Contract research covers research projects carried out with identified aims and objectives. Grants in which income was received over multiple years were listed as such.

W. Research Income - Funding From Deakin Central Research Funds

This referred to grants allocated under Deakin University central research grant schemes.

X. Research Income - Research Infrastructure

This referred to successful research infrastructure grants awarded to the institution and coordinated by the researcher, e.g. Australian Research Council Research Infrastructure, Equipment and Facilities Grants (RIEF).

Z. Other Significant Achievements

This refers to other significant achievements outside the scope of research output, such as significant awards, invitations, etc.

Research output categories were an adaptation and extension of the scheme used for the national institutional research output data collection.