• Section 1 - Purpose
• Section 2 - Scope / Application
• Section 3 - Terms / Definitions
• Section 4 - Policy Statement and Principles
• Processing and Timelines
• Workflow for E-forms
• Classification of Special Publication Types
• Section 5 - Review
• Section 6 - Further Assistance

Section 1 - Purpose

(1) This Procedure outlines the process for the yearly collection of publication metadata at the Australian Catholic University (ACU). It aligns with the Classification of Research Outputs Policy, and is informed by the ERA 2023 Submission Guidelines, and the 2014 HERDC Specifications where ERA 2023 Specifications do not provide guidance.

(2) This Procedure ensures that the publications records stored in the University’s research information system conform to the Australian Code for the Responsible Conduct of Research 2018 and the TEQSA Guidance Note: Research and Research Training.

(3) The University conducts an annual collection of publications metadata and will endeavour to process all publication e-forms for the prior year by the end of April in the current year. To ensure this deadline is met, the Office of the Deputy Vice-Chancellor (Research and Enterprise) (ODVCRE) will check e-forms for completeness and required documentation, and will submit publications on behalf of authors, if necessary, to prevent a backlog. Where stated timelines are not met, authors will be required to take further action to finalise the submission and provide any outstanding information.

Section 2 - Scope / Application

(4) This Procedure applies to all academic staff, researchers, and administrative personnel involved in the collection, validation, and classification of research outputs.

Section 3 - Terms / Definitions

Section 4 - Policy Statement and Principles

Processing and Timelines

(5) Scopus Harvest: Publications with more than three pages that are categorised as Article, Review, or Book Chapter are harvested fortnightly. Authors receive notifications upon metadata import.

(6) The ODVCRE will manually check the e-form for missing metadata and attempt to source a soft copy of the published output once the e-form has been created.

(7) Newly recruited staff: The ODVCRE will create e-forms for publications for the current year and six years prior the current year upon request, prioritising ERA-eligible outputs.

(8) To meet the TEQSA requirements that Research outputs of staff and research candidates are recorded, and records are current, there is an expectation that current academic staff will check and submit their e-forms in a timely manner (within four working weeks of the e-forms creation).

(9) Publications are classified according to their content, to the FoR / SEO and ToA codes.

(10) Authors may manually enter publication metadata if the publication does not exist in Orion. Authors are strongly encouraged to submit the e-form to the Faculty only after the research output has been published, the metadata has been updated, and the published soft copy has been uploaded to the e-form. Detailed instructions can be found on the Orion home page.

(11) The ODVCRE may return e-forms to the author, if the publication has not been published.

(12) The Faculty may on review re-classify research types to non-research types and vice versa. A listing of the research eligible works and works of scholarship types is available on the Orion home page.

(13) The ODVCRE will verify completeness, check soft copy evidence and their technical eligibility for ERA.

(14) Publications in Journals on the ERA 2023 Journal List are classified as C1 / C1-N, otherwise the publication is classified as C2, unless the submitting author modifies the classification.

Workflow for E-forms

(15) E-forms must include all mandatory metadata (items required to complete an APA style citation for the output), a soft copy of the publication, and classification codes (FoR / SEO / ToA) before submission.

(16) Publications without parent outputs (e.g., books, journals, publishers) must be manually created in Orion by the ODVCRE before submission.

(17) Non-research outputs or works published six years to the current year are reviewed by the ODVCRE.

(18) Non-Faculty publications are reviewed by the ODVCRE if an Associate Dean, Research (ADR) does not have oversight.

(19) All remaining submissions proceed to Faculty Review State.

Classification of Special Publication Types

(20) Study Protocols / Research Protocols: These do not meet the originality requirement for research and are classified as non-research.

(21) Systematic Reviews: Eligible if they contain substantial metadata analysis.

(22) Consortia Authorship: Only ACU staff or students listed as authors in the published output can claim authorship.

(23) Position Statements: Eligible only if they meet research requirements; all other versions are recorded as duplicates.

(24) Republished Works: If a book or book chapter is republished in a later volume, it must contain at least 50% new content to be eligible.

Section 5 - Review

(25) This Procedure is scheduled for review every five years in accordance with the Policy Development and Review Policy. Earlier reviews may be conducted if required.

Section 6 - Further Assistance

(26)  For additional guidance, refer to the Orion home page or contact the relevant Associate Dean, Research in your Faculty or the ODVCRE at Res.Performance@acu.edu.au.