Addendum 6 1How to use this Publication 7

Peer Review

Peer review occurs at the four-digit and two-digit level, for each assessable UoE which meets the low-volume threshold. REC members and selected peer reviewers review outputs nominated for peer review to inform the rating for a UoE. There is no separate rating for individual outputs or for the nominated peer review sample.

• 
  Original creative works
  
• 
  Live performance of creative works
  
• 
  Recorded / rendered creative works
  
• 
  Curated or produced substantial public exhibitions and events
  
• 
  Research reports for an external body.
  

These outputs may be submitted as individual items or, where individual works that are derived from the same underlying research endeavour but do not in themselves constitute research, they may be submitted as a ‘Portfolio’, which in ERA constitutes a single

1. 
   Research Background
   

• 
  Field
  
• 
  Context
  
• 
  Research Question
  

2. 
   Research Contribution
   

• 
  Innovation
  
• 
  New Knowledge
  

3. 
   Research Significance
   

• 
  Evidence of Excellence.
  

REC members and ERA peer reviewers will evaluate NTROs selected for ERA peer review in the context of the research component as identified in the research statement.

FoR code specific issues

Indicator tables and interpretation

Table 20: Available outputs for Peer Review

Low Expertise 1 2 3 4 High Expertise 5

The assumption is that a peer reviewer who rates expertise at ‘5’ is well-qualified in the discipline to comment on the assigned work. This information will assist REC members to incorporate peer reviewer reports into the overall evaluation of the UoE under consideration.
Peer reviewers must indicate each output they read by marking that output as ‘Read’ in SEER. This is a helpful guide for peer reviewers as they work through the allocation of items for review and it is information which the REC members will use both to determine what outputs have contributed to a Peer Review Report and for any additional reading which might be necessary during subsequent stages of evaluation to ensure a broad range of the outputs submitted for peer review have been read.

Types of outputs reviewed?

Articles	Books	Book Ch	NTRO	Conf Pub	Total number of outputs reviewed
#	#	#	#	#	#

[auto-populated by SEER “read” items]
The types of outputs read for each UoE will be auto-populated and show in the individual Peer Review Reports.
The Peer Review Report includes a section for peer reviewers to describe their sampling strategy.
Sampling Strategy [Please make a statement about the sampling strategy you employed to select outputs for peer review. This may include reference to disciplinary expertise, types of outputs (books, journals articles, etc.), prior familiarity with work etc.]

It is useful for the REC members to have an indication of the range of output types that have been read, the extent to which the peer reviewer was familiar with these outputs prior to the evaluation, and the extent to which these outputs were within the peer reviewers disciplinary expertise. This information will assist REC members in applying the information in the report to their task of evaluating the UoE as a whole.

In each moderation stage, REC members will have access to peer review reports and the UoE reports of co-assigned REC members. REC members will also have access to a ‘Moderation Report’, a summary of the quality distribution.

Benchmarks and comparators

Relationship with other indicators

Drilldowns

Relevant warnings

7. Research Income

1. 
   Category 1: Australian competitive grants
   
2. 
   Category 2: Other public sector research income
   
3. 
   Category 3: Total Industry and other research income
   

• 
  3 (i): Australian
  
• 
  3 (ii): International A (competitive, peer reviewed)
  
• 
  3 (iii): International B (other international income)
  

4. 
   Category 4: Cooperative Research Centre (CRC) research income.
   

Institutions are required to submit information on all research income falling within eligible income category types. In order for research income to be submitted, it must:

• 
  be an eligible research income category type
  

• 
  meet the research income reference period requirements (1 January 2011 to 31 December 2013).
  

FoR code specific issues

Indicator tables and interpretation

• 
  total income by each year of the reference period for each category
  
• 
  the UoE’s contribution to the Australian HEP FoR total for each category
  
• 
  the total amount of income received for each category, including a breakdown of
  Category 3 income by sub-categories.
  

• 
  the number of grants for Category 1 income only
  
• 
  average dollar per grant for Category 1 income only
  
• 
  average dollars in each funding category per FTE.
  
• 
  ‘Benchmark $ per FTE (Levels A–E Only)’—the average dollar per FTE (Levels A–E Only) for all Australian HEPs for the FoR code
  
• 
  ratio of UoE’s ‘Average $ per FTE (Level A–E Only)’ against ‘Benchmark $ per FTE (Level A–E Only)’
  
• 
  total FTE (levels A–E Only).
  

• 
  the number of grants for Category 1 income only
  
• 
  average dollar per grant for Category 1 income only
  
• 
  average dollars in each funding category per total FTE
  
• 
  ‘Benchmark $ per total FTE’—the average dollar per total FTE for all Australian HEPs for the FoR code
  
• 
  ratio of UoE’s ‘Average $ per total FTE against Benchmark $ per total FTE
  
• 
  total FTE (Levels A–E and Other).
  

Table 22: HERDC research income summary with FTE (Level A–E Only)

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

• 
  if the FTE (Level A–E Only), Total FTEs or HERDC Category 1 No. of Grants is less than 1, the ‘Average $ per grant’ and ‘Average $ per FTE’ will not be shown. This warning will be shown: “Average Dollar per Grant or Dollar Per FTE not shown due to FTE or number of Grants being less than 1”.
  
• 
  if FTE is less than or equal to 5.0, this warning will be shown: “FTE is less than 5.0”.
  

Drilldowns

8. Applied Measures

• 
  patents
  
• 
  research commercialisation income
  
• 
  registered designs
  
• 
  plant breeder’s rights
  
• 
  NHMRC endorsed guidelines.
  

The Applied Measures reference period is 1 January 2011 to 31 December 2013. Institutions may assign up to three four-digit FoR codes to these measures, except for Research Commercialisation Income which may have as many four-digit FoR codes assigned to it as are relevant. Similar to the Research Income indicators, institutions have determined the percentage apportionment of each Applied Measure across the assigned FoR codes totalling 100% (the minimum apportionment of any FoR code is 20%).

1. Research Commercialisation Income

Research Commercialisation Income does not include:

• 
  commercial income from other sources such as research contracts and consultancies (which is included under Research Income), commissioned works, student fees, the renting of space at universities or any other source
  
• 
  CRC research income (which is included under Research Income).
  

LOA income does not include:

• 
  Material Transfer Agreements (MTAs)
  
• 
  research funding
  
• 
  patent expense reimbursement
  
• 
  a valuation of equity not cashed-in
  
• 
  trademark licensing royalties from university insignia
  
• 
  income received in support of the cost to make and transfer materials under MTAs.
  

FoR code specific issues

Indicator tables and interpretation

• 
  the total amount of research commercialisation income received
  
• 
  total research commercialisation income by each year of the reference period
  
• 
  the total percentage contribution of each research income type to Australian HEP FoR.
  

• 
  amount of commercialisation income per FTE (Levels A–E only)
  
• 
  ‘Benchmark $ per total FTE (Levels A–E only)’—the average dollar per FTE (Levels
  A–E only) for the Australian HEP for the FoR code
  
• 
  ratio of UoE’s ‘Average $ per FTE (Levels A–E only)’ against ‘Benchmark $ per FTE (Levels A–E only)’
  
• 
  total FTE (Levels A–E only).
  

• 
  amount of research commercialisation income per total FTE
  
• 
  ‘Benchmark $ per total FTE’—the average dollar per total FTE for the Australian HEP for the FoR code
  
• 
  ratio of UoE’s ‘Average $ per total FTE’ against ‘Benchmark $ per total FTE’
  
• 
  total FTE (Levels A–E and ‘Other’).
  

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

• 
  If the FTE is less than 1, then ‘$ per FTE’ will not be shown. This warning will be shown: “The average(s) and/or ratio(s) are not shown due to FTE or Number of Grants being < 1.0”.
  
• 
  If FTE is less than or equal to 5.0, this warning will be shown: “FTE is less than 5.0”.
  

Drilldowns

2. Patents

• 
  Australia (standard patents only)
  
• 
  United States
  
• 
  Europe—European Patent Office (EPO) issued only
  
• 
  Japan
  
• 
  Other International
  
• 
  Triadic patents—a set of patents filed at the EPO, the United States Patent and Trademark Office (USPTO) and the Japan Patent Office (JPO) that share one or more priorities. The triadic patent families cover a homogeneous set of inventions.
  

Only patents which became enforceable within the Applied Measures reference period

FoR code specific issues

Indicator tables and interpretation

• 
  number of apportioned patents sealed by eligible countries
  
• 
  number of patents sealed by eligible countries (whole counts)
  
• 
  total number of patent families.
  

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

• 
  Where patent families exist, the warning of “Profile contains ## patent families—see drilldowns” will be shown. Patent family members will be identified in the drilldowns. Patent families are patents that have been sealed in multiple jurisdictions, but are counted as one unique patent in ‘No. of Patents Sealed (whole counted)’ in the profile. Patents that have been sealed in multiple jurisdictions can be identified in the drilldowns by the unique identifier in the ‘Patent Family Name’ field.
  
• 
  The following note will be shown, “Triadic patents count as 3 for total”.
  

Drilldowns

3. Registered Designs

Registered Designs are not automatically included in ERA 2015. However, in those cases where there is a clear link between the Registered Design and the related research (based on the ERA definition of research), an institution can submit the design for inclusion.

Only those Registered Designs which were certified in Australia within the applied measures reference period are eligible as ERA Applied Measures.
Registered Designs may be granted to either institutions or eligible researchers.

Income generated from Registered Designs, either via licensing or otherwise, is included in ERA 2015 under Research Commercialisation Income, providing the additional requirements pertaining to this measure are met.

FoR code specific issues

Indicator tables and interpretation

• 
  number of apportioned Registered Designs
  
• 
  number of Registered Designs (whole counts).
  

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

Drilldowns

4. Plant Breeder’s Rights

• 
  countries or intergovernmental organisations listed as members of the International Union for the Protection of New Varieties of Plants (UPOV)
  
• 
  the Plant Patent and Utility Patent systems of the United States of America (as far as they apply to plant varieties)
  
• 
  such other countries or intergovernmental organisations as are from time to time assessed by IP Australia as having legislation compliant with the UPOV Convention.
  

FoR code specific issues

Indicator tables and interpretation

• 
  number of apportioned PBRs
  
• 
  number of PBRs (whole counts)
  
• 
  total unique PBRs.
  

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

Drilldowns

5. NHMRC Endorsed Guidelines

• 
  meet the definition of research (as per Section 3.1 of the ERA 2015 Submission Guidelines)
  
• 
  have been published by the NHMRC within the applied measures reference period
  
• 
  have one or more eligible researchers listed as an author of, and/or contributor to, the guidelines (as per Section 5.3.1 of the ERA 2015 Submission Guidelines).
  

FoR code specific issues

Indicator tables and interpretation

• 
  number of apportioned NHMRC Endorsed Guidelines
  
• 
  number of NHMRC Endorsed Guidelines (whole counts).
  
  
  

Benchmarks and Comparators

Relationship with other indicators

Relevant warnings

Drilldowns

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