Research Definition and Research Outputs: System Categorisation Guidelines


Application


All staff members and students at the University.

Purpose


The purpose of this document is to:

  • define what the University considers to be research (see definitions)
  • clarify the parameters of “Research Outputs” system categories, so that research outputs and other activities are recorded in a consistent manner across the University

Research Outputs System Categorisation


“Research Outputs” (researchoutputs.auckland.ac.nz/default.html) is the system the University uses to record its staff research outputs and activities.

The category descriptions below are in order to assist staff members to decide which system categories to use when recording their outputs and activities.

Meeting the criteria for one of the system’s categories below is neither necessary nor sufficient for an output or activity to be considered “research”. In order to be considered research, an output or activity must meet the definition of research (see definitions).

If an output or activity (a) does not fit into one of the specific categories below and (b) does not meet the definition of research, it may fit into one of the system’s “professional activities” categories.

Research output categories


System Category

System Sub-Category

Description and Examples of Inclusions How to record in Research Outputs 

1. Journal Article

a)   Article

  • Full research articles regardless of publishing venue (for example, professional journal, scholarly journal)
  • Critical scholarly texts which appear in article form

 

b)   Letter

  • Letters to the (Journal) Editor

 

c)   Review

  • Review articles in scholarly journals

Excludes:

  •  Book reviews

These should be listed in the “Other: Review” category.

 

d)   Rapid Commun-ication

  •  Short papers in scholarly journals presenting highly original and significant material

 

e)  
Corri-gendum

  • An author's correction to a journal article

 

f)    
Addendum

  • An author’s addition to a journal article subsequent to its publication

 

g)  
Editorial comment

  • Editorials in scholarly journals

 

h)  
Discussion paper

  • Short articles in scholarly journals that critically address specific results or data provided in a published research paper

 

2. Conferences

a)  
Abstract

  • Abstracts of papers that appear in published conference proceedings.
The conference proceedings will usually have an ISBN or ISSN and may be published in a number of formats such as:
  • Volume of proceedings
  • Special or normal edition of a journal
  • Book or a monographW
  • Website

 

b)  
Conference paper

  • Full written papers that do not appear in published conference proceedings.

 

c)  
Proceedings

  • Full written papers that appear in published conference proceedings.
  • The conference proceedings will usually have an ISBN or ISSN and may be published in a number of Volume of proceedings
  • Special or normal edition of a journal
  • Book or a monograph
  • Website

 

d)      
Other

  • Panel discussion, where the discussion is recorded

Excludes:

  • Conference abstract
  • Conference oral presentation
  • Conference paper
  • Conference paper published in the official proceedings
  • Conference poster

Session chairs and moderators

 

3. Presentation

Conference oral presentations

 

Verbal presentations made at a conference, including keynote or invited addresses.

Excludes:

  • Oral presentations  at a conference that have a full written paper or appear in a published conference proceeding (categorise in “conferences”) 

You can choose ‘Keynote’ or ‘Invited’ if and as appropriate.

‘Keynote’ includes all keynote presentations, whether they are invited or not.

 ‘Invited’ includes only invited presentations that are not keynote presentations.

Oral presentations not presented at a conference

 

Examples:
  • Inaugural professorial lecture
  • Public lecture 

 

4. Poster

 

Poster presentations at conferences, symposia and other events 

 

5. Chapter

 

This category refers to contributions to edited books.
  • Entries in edited books
  • Entries in encyclopaedias, dictionaries and reference works
  • Entries in textbooks incorporating significant research content
  • Entries in scholarly editions
  • Entries in revisions or new editions providing this includes substantial new research material
  • Editorials
  • Introductions
  • Prefaces
  • Chapter-length translations where these contain significant editorial work in the nature of research.

If your chapter is either an editorial, preface or introduction, state which of these it is in square brackets at the end of the title.

If you are the translator of a chapter, record this by checking “translator of” under “my relationship to this chapter”.

6. Report

a)  
Commissioned report

  • Reports, which are not confidential, commissioned and/or funded by an external organisation, including reports for private companies, Government departments, supra-national organisations and non- governmental organisations

 

b)  
Confidential report

  • Confidential reports commissioned and/or funded by an external organisation, including reports for private companies, Government departments, supra-national organisations and non- governmental organisations

 

c)  
Technical report

  • Reports that describe the process, progress, or results of research or the state of a research problem. These would normally be in a series produced by departments or research centres, often with an ISSN or ISBN number, and would be made widely available in paper-based or electronic form.

 

d)  
Working paper

  • Research papers disseminated to encourage discussion and suggestions for revision before final publication in refereed journals or other outlets. These would normally be in a series produced by departments or research centres, often with an ISSN or ISBN number, and would be made widely available in paper-based or electronic form.

 

7. Thesis/ Dissertation

a)   PhD thesis

  • The staff member's own Doctoral Thesis, whether PhD or other doctorate

Excludes:

  • Theses the staff member has supervised.

 

b)   Master’s thesis

  • The staff member's own Master's Thesis

Excludes:

  • Theses the staff member has supervised.

 

8. Book

a)   Book

Authored book: An authored book must be written entirely by a single author or by joint authors who share responsibility for the whole book.

Includes:

  • Book-length scholarly publications
  • Research monographs
  • Textbooks based on significant research by the author(s)
  • Revisions/new editions of the above providing this includes substantial new research material
  • Book-length novels, plays and screenplays
  • Book-length collections of plays, poems, short stories or other creative writing. 

Edited book: The editing of a book or volume in which individual chapters or contributions have been written by different authors.

Includes:

  • Edited books or volumes
  • Textbooks or encyclopaedias where significant background research is required
  • Annotated anthologies where research informs the annotations
  • Revisions or new editions of the above providing this includes substantial new research material

 

Authors: Choose either “Book” or “Monograph” sub-category, based on disciplinary norms

Editors: check “editor of” under “my relationship to this book”.

b) Monograph

Same as “book” sub-category above.

Choose either “book” or “monograph” sub-category depending on disciplinary norms

c)  
Translation

  • Literary translations, where these contain significant editorial work in the nature of research.

Excludes: 

  • Chapter-length translations even where these contain significant editorial work in the nature of research.

These should be categorised under “chapter”.

 

If you are the translator of a book, record this by checking “translator of” under “my relationship to this book”.

9. Performance

 

Works in the performing or media arts by  recognised leading practitioners (e.g. actor, musician, dancer, director, dramaturge, choreographer, designer, conductor or other creative artist). Includes solo performances, and significant contributions to performances made by a group or a number of individuals.
  • Concerts and recitals
  • Dance choreography including score, notations and objects
  • Directing and/or producing performances
  • Improvised performance
  • Radio or other sound recordings or audio-visual recordings made for public access, including CDs and DVDs
  • Theatre productions (drama, dance, opera, music theatre)

 

10. Media (Film/TV/ Video)

 

  • Film: The writing, directing, and/or producing of short films and/or feature films exhibited publicly
  • TV: The writing, directing, and/or producing of  television documentaries and/or programmes
  • Video: Scholarly works presented in audio-visual form which cover the presentation of research findings and factual information

 

11. Artefact

 

 

Examples:

  • Artefacts
  • Objects
  • Artwork in physical form
  • Craftwork

See also Exhibitions category.

 

12. Patent/ trade-mark

 

  • Published Patent Cooperation Treaty (PCT) filings or one of the published granted patents arising from an initial patent filing
  • Copyrights
  • Trademarks

 

13. Exhibition

 

  • Original artistic works and/or designs exhibited in a recognised gallery, museum, artist's book or electronic format
  • Curating of an exhibition
  • Solo exhibitions
  • Significant contributions to exhibitions by a group or a number of individuals.

 

14. Scholarly Edition

 

  • Editions and translations of pre-existing texts and documents with the aim of achieving reliability, often by including an introduction and explanatory annotations.

 

Editors: check “editor of” under “my relationship to this book”.

15. Software

 
  • Software products including details for Open Source code libraries (example SourceForge http://sourceforge.net/) and download sites for commercial products.

 

16. Dataset

 

Datasets containing permanent URLs for published datasets http://www.datacite.org/

Datasets usually provide raw data for analysis. This raw data often comes in spreadsheet form, but can be any collection of data, on which analysis can be performed.

 

17. Figure

 

Figures are generally photos, graphs and static images that would be represented in traditional pdf publications

 

18. Fileset

 

Groups of files that can be referenced as a single, citable URI (eg, URL, DOI)

 

19. Composition

 

  • A musical composition which has either a score or a recording (in the case of electronic music), or both
  • Music written for live performance that has both a score and a performance (e.g. recording, programme or review).

Excludes:

  • Improvised performance

These should be categorised as a “performance”.

 

20. Internet publication

 

  • Scholarly material published online, that does not meet the criteria for another specific category

 

21. Design

 


  • Attributable design standards or other standards, codes of practice, or design guidelines
  • Building, structure, architecture and urban design
  • Design of food products and processes
  • Design of materials, devices, and images
  • Fashion and textile design
  • Graphic design
  • Illustration
  • Interior design
  • Industrial and product design
  • Landscape architecture and design
  • Multimedia designP
  • rototype design
  • Visual communication design

 

22. Confidential Research Output

 

Only use to create a placeholder record in Research Outputs solely for use in an Evidence Portfolio for a PBRF exercise.

Never enter confidential information in Research Outputs. 

Excludes:

  • Confidential commissioned reports

These should be categorised as “reports”

 

23. Other

Any outputs that meet the definition of research and are not otherwise categorised in these guidelines. Examples include:

  • Factsheet
  • Government Submission
  • Clinical Guidelines
  • Exhibition Catalogue
  • Published geological and/or geomorphological maps, and explanatory texts
  • Broadcast and text-based media interviews (where these are research and not professional activities)
  • Newspaper articles
  • Reviews of films, books, catalogues, or exhibitions

Excludes:

Reviews that fit into the “Journal Article: Review” category

 

Definitions


Research is “original independent* investigation undertaken to contribute to knowledge and understanding and, in the case of some disciplines, cultural innovation or aesthetic refinement.

Research typically involves inquiry of an experimental or critical nature driven by hypotheses or intellectual positions capable of rigorous assessment by experts in a given discipline.

Research includes work of  direct relevance to the specific needs of iwi,  communities, government, industry and commerce. In some disciplines, research  may be embodied in the form of artistic works, performances or designs that lead  to new or substantially improved insights. Research may include:

  • contributions to the intellectual underpinning of subjects and disciplines (for  example, dictionaries and scholarly editions)**
  • the use of existing knowledge in experimental development to produce new  or substantially improved, materials, devices, products, communications or  
  • processesthe synthesis and analysis of previous research to the extent that it is new  and creative.

It is an independent*, creative, cumulative and often long-term activity conducted by people with specialist knowledge about the theories, methods and information concerning their field of enquiry. Its Research findings must be open to scrutiny or formal evaluation by experts within the field. This may be achieved through various forms of dissemination including,  but not limited to, publication, manufacture, construction, public presentation, or  provision of confidential reports.

Activities that are part of routine standard practice and do not embody original  research  are excluded, such as:

  • routine testing
  • data collection
  • preparation for teaching 
  • the legal and administrative aspects of intellectual property protection and  commercialisation activities.

* The term ‘independent’ here should not be construed to exclude collaborative work.

**The term ‘scholarly’ is defined as the creation, development and maintenance of the intellectual infrastructure of subjects and disciplines, in forms such as dictionaries, scholarly editions, catalogues and contributions to major research databases.”[1]

A research output is a particular dissemination, publication, presentation, communication or pathway in which research is made available to people other than the author.

A quality-assured research output is defined as any research output that, prior to its publication (public dissemination, presentation, performance, or exhibition), has successfully completed a formal quality-assurance process. This means the output has been “subject to formal, independent scrutiny by those with the necessary expertise and/or skills to assess its quality (including, where relevant, its rigour, logic, clarity, originality, intellectual significance, impact, applications, artistic merit, etc)”[2] A formal peer review process, as used by most scholarly journals, is one example of a quality assurance process.

University means the University of Auckland including all subsidiaries.

 

[1] PBRF Quality Evaluation Guidelines 2018, p. 24

[2] PBRF Quality Evaluation Guidelines 2012, p. 60

 

Document management and control


Content manager: Research

Owner: DVC (Research)

Approved by:  University Research Committee

Date approved: December 2016

Review date: July 2019