National Report

Excellence
in Research for
Australia 2012
Commonwealth of Australia 2012
This work is copyright. Apart from any use as permited under the Copyright Act 1968, no part may be reproduced by any process
without prior writen permission from the Commonwealth. Requests and inquiries concerning reproducton and rights for this
document should be addressed to the Executve General Manager, Australian Research Council, GPO Box 2702, Canberra, ACT 2601
or communicatons@arc.gov.au.
ISBN 978-0-9807997-7-4
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MINISTERS FOREWORD
Australian universites and researchers have a long history of competng
with the worlds best in a wide range of disciplines.
Thats why it gives me great pleasure to present the Excellence in Research
for Australia (ERA) 2012 Natonal Report that shows why Australias scientfc
and research eforts contnue to shine on the world stage.
The ERA report outlines how the quality research undertaken by our
universites stacks up against a rigorous evaluaton process.
It highlights the specifc research strengths of individual Australian
universites as well as the research strengths of the higher educaton sector
as a whole.
ERA 2012 confrms that researchers at Australian universites compete with the worlds best in a
wide range of disciplines. World standard research performance in Australia occurs at universites
of all shapes and sizes and in all States and Territories. Results like these prove our investment in
publiclyfunded research is working and is money well spent.
The higher educaton sector is the second largest contributor to Australias research and development
expenditureand almost half of it is spent on applied research.
Under the Gillard Government, the sectors expenditure on research and development has reached
new heights.
We are making sure Australia remains at the forefront of science and research with more than $1 billion
in grants to universites this fnancial year.
Given the scale and importance of research actvity, developing the quality of research is critcal
something that this report will help to achieve.
As only the second report of its kind, it ofers great new insights that will guide research planning and
investment strategies.
It allows us to track the actvity and performance of the research disciplines at our universites.
ERA data is also increasingly being used to highlight opportunites for collaboratonso that we can all
beneft from the worldclass eforts of Australian researchers.
It gives confdence to industry to work in partnership with the sector to innovate and turn research into
commercial products and services. This type of collaboraton fuels innovaton and in turn contributes to
a productve and resilient economy.
These partnerships are also helping small and medium sized businesses to grow and create new jobs.
Around 13,700 businesses collaborated for innovaton purposes with a university or other higher
educaton insttuton in Australia in 201011.
We need to know where the strengths in the sector are in order to exploit those strengths to the
natons advantage. Thats why this report is such an important achievement.
I congratulate the Australian Research Council and the universites involved in developing this report
on research in Australia.
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CEOS FOREWORD
The release of the Excellence in Research for Australia (ERA) 2012 Natonal
Report marks the conclusion of the second comprehensive review of
research at Australian universites. With the completon of two rounds of
ERA evaluatons, we are now able to track the achievements of the sector
both over tme and relatve to world standards.
The ERA indicators of excellence refect extensive consultaton with the
range of disciplines across the sector. All Australian universites submited
comprehensive informaton on their research actvites for ERA 2012
including detailed data in relaton to 413,477 publicatons and other
research outputs, 60,668 salaried and nonsalaried researchers and
related staf, $8,767,725,070 of external research income and 781 patents.
Over 1,000 leading researchers from Australia and abroad partcipated in the assessment process as
evaluaton commitee members or peer reviewers.
While the primary purpose of ERA is to identfy research quality and assure Australians their investment
in research is being spent wisely, ERA data also provide other valuable informaton about the research
actvites of universites. It provides insights into research capacity and paterns of research applicaton,
knowledge transfer and collaboraton. And it can illuminate the pathways to research impact; which
disciplines are growing and how fast; and the contributon made by staf at all levels. From ERA data,
for example, we can determine which disciplines received the highest share of income from applied
sources and whether this mirrors the share of patents atributed to those disciplines. We can even
track paterns of collaboraton between universites and paterns of coauthorship by discipline.
ERA provides a rich vein of data that will contnue to yield valuable insights. Future iteratons of ERA will
provide additonal opportunites to extend ERAs reach, partcularly in relaton to indicators of research
applicaton, knowledge transfer and collaboraton. The ARC will contnue to work with universites
to ensure that ERA remains a dynamic and fexible system of research evaluatonone that can fully
capture the critcal contributon university research makes to the Australian innovaton system.
The ARC appreciates the efort and expertse expended on the assessment process by both individuals
and partcipatng universites and acknowledges that this contributon is essental to ERAs success.
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TABLE OF CONTENTS
ABBREVIATIONS XII
GUIDE TO THE REPORT XIII
INTRODUCTION 1
ERA Overview 3
Defniton of Research 3
Use of Informaton from ERA 4
Key ERA 2012 Documents 4
ERA 2012 Evaluaton Process 4
ERA 2012 Discipline Clusters 5
ERA 2012 Indicators 5
Fields of Research (FoR) Codes 6
Unit of Evaluaton 6
Low Volume Threshold 6
ERA 2012 Reference Periods 7
ERA Ratng Scale 7
Changes for ERA 2012 8
Use of the ERA Natonal Report 9
SECTION 1: ERA NATIONAL OVERVIEW 10
Research Quality 13
Assessed Units of Evaluaton 14
Comparison of ERA 2010 and ERA 2012 Research Output,
Applied and Esteem Measures 16
Natonal ERA 2012 Volume at a Glance 17
Research Outputs 25
FTE Stafng Profle 27
HERDC Research Income Summary (All Categories) 28
HERDC Category 1Australian Compettve Grants Research Income 29
HERDC Category 2Other Public Sector Research Income 30
HERDC Category 3Industry and Other Research Income 31
HERDC Category 4CRC Research Income 32
Research Commercialisaton Income 33
Patents Sealed 34
Plant Breeders Rights 35
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Registered Designs 35
NHMRC Endorsed Guidelines 35
Esteem measures 36
Emerging Disciplines, Research Applicaton and Impact 37
Emerging Disciplines: Discipline Growth 37
Emerging Disciplines: Twodigit Growth Rates 40
Emerging Disciplines: Multdisciplinary Research 41
Emerging Disciplines: Research Capacity 43
Research Applicaton and Pathways to Research Impact 45
Research Applicaton: NonTraditonal Research Outputs 45
Research Applicaton: Studies in Creatve Arts and Writng 47
Research Applicaton: Built Environment and Design 47
Research Applicaton: Economics and Studies in Human Society 48
Research Applicaton: Patents 49
Research Applicaton: Engineering 50
Research Applicaton: Medical and Health Sciences 51
Pathways to Research Impact: Knowledge Transfer 52
Pathways to Research Impact: Collaboraton 53
Pathways to Research Impact: Coauthorship 54
SECTION 2: RESULTS BY FIELDS OF RESEARCH CODE 55
01 Mathematcal Sciences 61
0101 Pure Mathematcs 65
0102 Applied Mathematcs 65
0103 Numerical and Computatonal Mathematcs 65
0104 Statstcs 66
0105 Mathematcal Physics 66
0199 Other Mathematcal Sciences 66
02 Physical Sciences 67
0201 Astronomical and Space Sciences 71
0202 Atomic, Molecular, Nuclear, Partcle and Plasma Physics 71
0203 Classical Physics 71
0204 Condensed Mater Physics 72
0205 Optcal Physics 72
0206 Quantum Physics 72
0299 Other Physical Sciences 73
03 Chemical Sciences 74
0301 Analytcal Chemistry 78
0302 Inorganic Chemistry 78
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0303 Macromolecular and Materials Chemistry 78
0304 Medicinal and Biomolecular Chemistry 79
0305 Organic Chemistry 79
0306 Physical Chemistry (Incl. Structural) 79
0307 Theoretcal and Computatonal Chemistry 80
0399 Other Chemical Sciences 80
04 Earth Sciences 81
0401 Atmospheric Sciences 85
0402 Geochemistry 85
0403 Geology 85
0404 Geophysics 86
0405 Oceanography 86
0406 Physical Geography and Environmental Geoscience 86
0499 Other Earth Sciences 87
05 Environmental Sciences 88
0501 Ecological Applicatons 92
0502 Environmental Science and Management 92
0503 Soil Sciences 92
0599 Other Environmental Sciences 93
06 Biological Sciences 94
0601 Biochemistry and Cell Biology 98
0602 Ecology 98
0603 Evolutonary Biology 98
0604 Genetcs 99
0605 Microbiology 99
0606 Physiology 99
0607 Plant Biology 100
0608 Zoology 100
0699 Other Biological Sciences 100
07 Agricultural and Veterinary Sciences 101
0701 Agriculture, Land and Farm Management 105
0702 Animal Producton 105
0703 Crop and Pasture Producton 105
0704 Fisheries Sciences 106
0705 Forestry Sciences 106
0706 Hortcultural Producton 106
0707 Veterinary Sciences 107
0799 Other Agricultural and Veterinary Sciences 107
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08 Informaton and Computng Sciences 108
0801 Artfcial Intelligence and Image Processing 112
0802 Computaton Theory and Mathematcs 112
0803 Computer Sofware 112
0804 Data Format 113
0805 Distributed Computng 113
0806 Informaton Systems 113
0807 Library and Informaton Studies 114
0899 Other Informaton and Computng Sciences 114
09 Engineering 115
0901 Aerospace Engineering 120
0902 Automotve Engineering 120
0903 Biomedical Engineering 120
0904 Chemical Engineering 121
0905 Civil Engineering 121
0906 Electrical and Electronic Engineering 121
0907 Environmental Engineering 122
0908 Food Sciences 122
0909 Geomatc Engineering 122
0910 Manufacturing Engineering 123
0911 Maritme Engineering 123
0912 Materials Engineering 123
0913 Mechanical Engineering 124
0914 Resources Engineering and Extractve Metallurgy 124
0915 Interdisciplinary Engineering 124
0999 Other Engineering 125
10 Technology 126
1001 Agricultural Biotechnology 130
1002 Environmental Biotechnology 130
1003 Industrial Biotechnology 130
1004 Medical Biotechnology 131
1005 Communicatons Technologies 131
1006 Computer Hardware 131
1007 Nanotechnology 132
1099 Other Technology 132
11 Medical and Health Sciences 133
1101 Medical Biochemistry and Metabolomics 139
1102 Cardiovascular Medicine and Haematology 139
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1103 Clinical Sciences 139
1104 Complementary and Alternatve Medicine 140
1105 Dentstry 140
1106 Human Movement and Sports Science 140
1107 Immunology 141
1108 Medical Microbiology 141
1109 Neurosciences 141
1110 Nursing 142
1111 Nutriton and Dietetcs 142
1112 Oncology and Carcinogenesis 142
1113 Ophthalmology and Optometry 143
1114 Paediatrics and Reproductve Medicine 143
1115 Pharmacology and Pharmaceutcal Sciences 143
1116 Medical Physiology 144
1117 Public Health and Health Services 144
1199 Other Medical and Health Sciences 144
12 Built Environment and Design 145
1201 Architecture 149
1202 Building 149
1203 Design Practce and Management 149
1204 Engineering Design 150
1205 Urban and Regional Planning 150
1299 Other Built Environment and Design 150
13 Educaton 151
1301 Educaton Systems 155
1302 Curriculum and Pedagogy 155
1303 Specialist Studies in Educaton 155
1399 Other Educaton 156
14 Economics 157
1401 Economic Theory 161
1402 Applied Economics 161
1403 Econometrics 161
1499 Other Economics 162
15 Commerce, Management, Tourism and Services 163
1501 Accountng, Auditng and Accountability 167
1502 Banking, Finance and Investment 167
1503 Business and Management 167
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1504 Commercial Services 168
1505 Marketng 168
1506 Tourism 168
1507 Transportaton and Freight Services 169
1599 Other Commerce, Management, Tourism and Services 169
16 Studies in Human Society 170
1601 Anthropology 174
1602 Criminology 174
1603 Demography 174
1604 Human Geography 175
1605 Policy and Administraton 175
1606 Politcal Science 175
1607 Social Work 176
1608 Sociology 176
1699 Other Studies in Human Society 176
17 Psychology and Cognitve Sciences 177
1701 Psychology 181
1702 Cognitve Sciences 181
1799 Other Psychology and Cognitve Sciences 181
18 Law and Legal Studies 182
1801 Law 185
1802 Maori Law 185
1899 Other Law and Legal Studies 185
19 Studies in Creatve Arts and Writng 186
1901 Art Theory and Critcism 190
1902 Film, Television and Digital Media 190
1903 Journalism and Professional Writng 190
1904 Performing Arts and Creatve Writng 191
1905 Visual Arts and Crafs 191
1999 Other Studies in Creatve Arts and Writng 191
20 Language, Communicaton and Culture 192
2001 Communicaton and Media Studies 196
2002 Cultural Studies 196
2003 Language Studies 196
2004 Linguistcs 197
2005 Literary Studies 197
2099 Other Language, Communicaton and Culture 197
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21 History and Archaeology 198
2101 Archaeology 202
2102 Curatorial and Related Studies 202
2103 Historical Studies 202
2199 Other History and Archaeology 203
22 Philosophy and Religious Studies 204
2201 Applied Ethics 208
2202 History and Philosophy of Specifc Fields 208
2203 Philosophy 208
2204 Religion and Religious Studies 209
2299 Other Philosophy and Religious Studies 209
SECTION 3: NATIONAL PROFILES BY FIELDS
OF RESEARCH CODE 210
Research Outputs by Type 216
Research Outputs by Year 223
HERDC Category 1Australian Compettve Grants
Research Income 230
HERDC Category 2Other Public Sector Research Income 237
HERDC Category 3Industry and Other Research Income 244
HERDC Category 3Industry and Other Research
Income (Australian) 251
HERDC Category 3Industry and Other Research
Income (Internatonal A) 258
HERDC Category 3Industry and Other Research
Income (Internatonal B) 265
HERDC Category 4CRC Research Income 272
Stafng Profle 279
Research Commercialisaton Income 286
Patents Sealed 293
Plant Breeders Rights 298
NHMRC Endorsed Guidelines 298
Esteem 299
SECTION 4: ERA 2012 INSTITUTION REPORT 306
01 Mathematcal Sciences 309
02 Physical Sciences 310
03 Chemical Sciences 311
04 Earth Sciences 312
05 Environmental Sciences 313
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06 Biological Sciences 314
07 Agricultural and Veterinary Sciences 315
08 Informaton and Computng Sciences 316
09 Engineering 317
10 Technology 318
11 Medical and Health Sciences 319
12 Built Environment and Design 320
13 Educaton 321
14 Economics 322
15 Commerce, Management, Tourism and Services 323
16 Studies in Human Society 324
17 Psychology and Cognitve Sciences 325
18 Law and Legal Studies 326
19 Studies in Creatve Arts and Writng 327
20 Language, Communicaton and Culture 328
21 History and Archaeology 329
22 Philosophy and Religious Studies 330
GLOSSARY 331
APPENDIX 1: ELIGIBLE INSTITUTIONS 338
APPENDIX 2: ANZSRC FIELDS OF RESEARCH
(FoR) CODES 339
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ABBREVIATIONS
AIATSIS Australian Insttute of Aboriginal and Torres Strait Islander Studies
ANZSRC Australian and New Zealand Standard Research Classifcaton (ANZSRC) 2008
ARC Australian Research Council
BB Biological and Biotechnological Sciences discipline cluster/Research Evaluaton Commitee
Comm. Commercialisaton
CRC Cooperatve Research Centre
DIISRTE Department of Industry, Innovaton, Science, Research and Tertary Educaton
EC Economics and Commerce discipline cluster/Research Evaluaton Commitee
EE Engineering and Environmental Sciences discipline cluster/Research Evaluaton Commitee
EHS Educaton and Human Society discipline cluster/Research Evaluaton Commitee
EPO European Patent Ofce
ERA Excellence in Research for Australia
FoR Fields of Research (ANZSRC)
FTE FullTime Equivalent
HCA Humanites and Creatve Arts discipline cluster/Research Evaluaton Commitee
HERDC Higher Educaton Research Data Collecton
HESDC Higher Educaton Staf Data Collecton
JPO Japan Patent Ofce
MHS Medical and Health Sciences discipline cluster/Research Evaluaton Commitee
MIC Mathematcal, Informaton and Computng Sciences discipline cluster/
Research Evaluaton Commitee
n/a Not assessed due to low volume
NHMRC Natonal Health and Medical Research Council
NTRO Nontraditonal research outputs
PBRs Plant Breeders Rights
PCE Physical, Chemical and Earth Sciences discipline cluster/Research Evaluaton Commitee
REC Research Evaluaton Commitee
R&D Research and Development
Res. comm. Research commercialisaton
UoE Unit of Evaluaton
USPTO United States Patent and Trademark Ofce
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GUIDE TO THE REPORT
The Excellence in Research for Australia (ERA) 2012 Natonal Report presents a comprehensive assessment
by discipline of the quality of research actvity conducted in Australias higher educaton insttutons.
This report provides informaton on the disciplinespecifc research actvity of each eligible Australian higher
educaton insttuton (see Appendix 1: Eligible Insttutons), and the contributon of each discipline to the
natonal landscape.
The ERA 2012 Natonal Report is divided into fve sectons which are listed below:
The Introducton provides an overview of the ERA framework and methodology.
Secton 1: ERA 2012 Natonal Overview provides a natonal summary of world standard research
performance, a summary of all data submited for the purposes of ERA evaluaton, and some
observatons arising from ERA 2012 submission data.
Secton 2: Results by Fields of Research (FoR) Code provides a summary of evaluaton outcomes and
data for each FoR code, including ERA ratng outcomes, informaton about interdisciplinary research,
and key volume and actvity informaton.
Secton 3: Natonal Profles by FoR Code provides a detailed breakdown of ERA data by twodigit and
fourdigit FoR codes.
Secton 4: ERA 2012 Insttuton Report provides the ERA ratngs for each assessable Unit of Evaluaton
(UoE) for each of the 41 insttutons eligible for ERA.
Enquiries about the ERA 2012 Natonal Report should be directed to:
Leanne Harvey
Executve General Manager
Australian Research Council
Tel: +61 6287 6755
Email: era@arc.gov.au
This report is available on the ARC website at: www.arc.gov.au/era
If you have issues with obtaining any informaton or document on our website, please contact the ARC on
+02 6287 6600 or web@arc.gov.au.
Introduction
ERA Overview 3
Defniton of Research 3
Use of Informaton from ERA 4
Key ERA 2012 Documents 4
ERA 2012 Evaluaton Process 4
ERA 2012 Discipline Clusters 5
ERA 2012 Indicators 5
Fields of Research (FoR) Codes 6
Unit of Evaluaton 6
Low Volume Threshold 6
ERA 2012 Reference Periods 7
ERA Ratng Scale 7
Changes for ERA 2012 8
Use of the ERA Natonal Report 9
Introduction
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INTRODUCTION
In 2012, the Australian Research Council (ARC) conducted the second full Excellence in Research for
Australia (ERA) evaluaton. The evaluaton collected data regarding the quality of research actvity
undertaken at all eligible higher educaton research insttutons
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within the ERA 2012 reference period.
These data were then evaluated by eight Research Evaluaton Commitees (RECs), established at a
discipline cluster level, and comprised of distnguished and internatonallyrecognised researchers with
expertse in research evaluaton.
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This Natonal Report provides an overview of the data collected from and the outcomes of the ERA 2012
evaluaton process.
ERA Overview
ERA aims to identfy and promote excellence across the full spectrum of research actvity, including both
discovery and applied research, within Australian higher educaton insttutons.
The objectves of ERA are to:
1. Establish an evaluaton framework that gives government, industry, business and the
wider community assurance of the excellence of research conducted in Australias higher
educaton insttutons.
2. Provide a natonal stocktake of disciplinelevel areas of research strength and areas where there
is opportunity for development in Australias higher educaton insttutons.
3. Identfy excellence across the full spectrum of research performance.
4. Identfy emerging research areas and opportunites for further development.
5. Allow for comparisons of Australias research natonally and internatonally for all discipline areas.
Definition of Research
For the purposes of ERA, research is defned as the creaton of new knowledge and/or the use of existng
knowledge in a new and creatve way so as to generate new concepts, methodologies and understandings.
This could include synthesis and analysis of previous research to the extent that it is new and creatve.
This defniton of research is consistent with a broad noton of research and experimental development
(R&D) as comprising creatve work undertaken on a systematc basis in order to increase the stock of
knowledge, including knowledge of humanity, culture and society, and the use of this stock of knowledge
to devise applicatons.
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Insttutons were asked to use this defniton of research when assessing the eligibility of research outputs
for submission in ERA.
1 See Appendix 1 for a list of eligible insttutons.
2 A list of ERA 2012 REC members is available at: htp://www.arc.gov.au/era/recs_2012/recs_2012.htm
3 OECD (2002), Frascat Manual: Proposed Standard Practce for Surveys on Research and Experimental Development, Paris.
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Use of Information from ERA
ERA is included as a key measure of performance in the 20112013 missionbased compacts between the
Australian Government and insttutons and has already informed the development of the Governments
Research Workforce Strategy (RWS). ERA 2012 outcomes will also inform:
the 201416 missionbased compacts between the Australian Government and insttutons;
the allocaton of some funding through the Sustainable Research Excellence in
Universites (SRE) initatve;
the new minimum standards for higher educaton research and research training, to be
administered by the Tertary Educaton Quality and Standards Agency (TEQSA).
For further informaton please refer to the Department of Industry, Innovaton, Science, Research and
Tertary Educaton (DIISRTE) website at www.innovaton.gov.au.
Key ERA 2012 Documents
There are several documents that provide more detailed informaton about various aspects of the ERA
2012 evaluaton. These include:
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ERA 2012 Submission Guidelinesprovides guidance to insttutons about ERA 2012 submission rules
and components.
ERA 2012 Discipline Matrixshows the indicators that apply to each FoR code.
ERA 2012 Journal Listdefnes the scholarly, peer reviewed journals in which an artcle must have
been published to be eligible for submission to ERA as a journal artcle.
ERA 2012 Evaluaton Handbookprovides detailed informaton about the ERA 2012 indicators,
evaluaton approach and process.
Further informaton about ERA is available on the ARC website at:
htp://www.arc.gov.au/era/era_2012/key_documents_2012.htm
ERA 2012 Evaluation Process
Evaluaton of data submited for ERA 2012 was undertaken by eight Research Evaluaton Commitees
(RECs),
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broadly representatve of eight discipline clusters. The ERA 2012 Research Evaluaton Commitees
were comprised of 147 individual distnguished and internatonally recognised researchers from Australia
and overseas, with expertse in their felds and in research evaluaton.
Further details concerning the ERA 2012 Evaluaton process, including moderaton and confict of interest
procedures, can be found in the ERA 2012 Evaluaton Handbook.
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4 ERA 2012 key documents are available at: htp://www.arc.gov.au/era/era_2012/key_documents_2012.htm
5 See htp://www.arc.gov.au/era/recs_2012/recs_2012.htm for a list of REC members.
6 The ERA 2012 Evaluaton Handbook is available from: htp://www.arc.gov.au/era/era_2012/key_documents_2012.htm
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ERA 2012 Discipline Clusters
The ERA 2012 evaluaton collected data and undertook evaluatons across eight discipline clusters.
Discipline clusters are a construct developed primarily to assist in balancing workload across the various
FoR codes. The discipline clusters for ERA 2012 are:
Physical, Chemical and Earth Sciences (PCE)
Humanites and Creatve Arts (HCA)
Engineering and Environmental Sciences (EE)
Educaton and Human Society (EHS)
Economics and Commerce (EC)
Mathematcal, Informaton and Computng Sciences (MIC)
Biological and Biotechnological Sciences (BB)
Medical and Health Sciences (MHS)
See Appendix 2 for a full list of FoR codes and their discipline cluster for ERA 2012 purposes.
ERA 2012 Indicators
ERA is based on the principle of expert review informed by indicators. The ERA 2012 evaluatons
undertaken by RECs were informed by four broad categories of indicators:
1. Indicators of research quality
Research quality was considered on the basis of a publishing profle, citaton analysis, ERA peer
review, and peer reviewed Australian and internatonal research income.
2. Indicators of research volume and actvity
Research volume and actvity was considered on the basis of total research outputs, research income
and other research items within the context of the profle of eligible researchers.
3. Indicators of research applicaton
Research applicaton was considered on the basis of research commercialisaton income and other
applied measures.
4. Indicators of recogniton
Research recogniton was considered on the basis of a range of esteem measures.
More detailed informaton about each of the ERA indicators is available in the ERA 2012
Evaluaton Handbook.
The ERA indicators are underpinned by the ERA Indicator Principles.
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The ERA Indicator Principles were
developed by the ARC in accordance with internatonal best practce and informed by the ERA Indicator
Development Group with analytcal testng of data from the Australian higher educaton sector.
The ERA indicator suite was developed to align with the research behaviours of each discipline. For this
reason, there are diferences in the selecton of indicators. The indicators that apply to each discipline
(as defned by twodigit or fourdigit FoRs) are shown in the ERA 2012 Discipline Matrix.
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7 The ERA Indicator Principles are available at: htp://www.arc.gov.au/era/era_2012/key_documents_2012.htm
8 The ERA 2012 Discipline Matrix is available at: htp://www.arc.gov.au/era/era_2012/key_documents_2012.htm
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Fields of Research (FoR) Codes
For the purposes of ERA, disciplines are defned as twodigit and fourdigit Fields of Research (FoRs) codes
as identfed in the Australia and New Zealand Standard Research Classifcaton (ANZSRC) 2008 released
by the Australian Bureau of Statstcs and Statstcs New Zealand. The ANZSRC provides 22 twodigit
FoR codes, 157 fourdigit FoR codes, and an extensive range of sixdigit codes.
The FoR codes as used in ERA 2012 are listed in Appendix 2. ERA undertakes evaluaton at both the
two and fourdigit FoR code level. Insttutons submited data to ERA at the fourdigit level and these
were aggregated to form the two and fourdigit Units of Evaluaton (UoEs).
The twodigit FoR code is the highest level of the ANZSRC hierarchy; it relates to a broad discipline feld,
for example, Physical Sciences (02) or History and Archaeology (21). A twodigit FoR code consists of a
collecton of related fourdigit FoR codes.
The fourdigit FoR code is the second level of the ANZSRC hierarchy and relates to a specifc discipline feld
of a twodigit FoR code. For example, Astronomical and Space Sciences (0201) or Archaeology (2101).
Unit of Evaluation
The Unit of Evaluaton for ERA is the research discipline for each insttuton as defned by FoR codes.
Evaluatons occurred at the two and fourdigit FoR code levels for UoEs that met the low volume
threshold. UoEs do not correspond to named disciplines, departments or research groups within
an insttuton.
Natonallevel profles of disciplines aggregated across insttutons at the two and fourdigit FoR code
level include informaton from all submitng insttutons, including from those which did not meet the
low volume threshold and were therefore not assessed.
Low Volume Threshold
Fourdigit and twodigit UoEs were only assessed where there was a meaningful level of data to
be evaluated. An insttuton is only evaluated in ERA in a fourdigit or twodigit discipline if the number
of research outputs submited reaches the low volume threshold.
For disciplines where citaton analysis was used, the low volume threshold was 50 apportoned indexed
journal artcles. No evaluaton was conducted for the FoR at a given insttuton if the submited number of
apportoned indexed journal artcles over the sixyear research outputs reference period was fewer than
50 in any two or fourdigit FoR.
For disciplines where citaton analysis was not used and peer review was undertaken, the low volume
threshold was 50 apportoned weighted outputs. For these disciplines, books were given an efectve
weightng of 5:1 compared with other research outputs. Books were weighted only for the purposes of
determining the low volume threshold; in every other instance they were regarded as a single research
output. Portolios of works were counted as one output for the purposes of determining the low volume
threshold. No evaluaton was conducted for an FoR at a given insttuton where, over the sixyear research
outputs reference period, there were less than the equivalent of 50 apportoned weighted research
outputs submited.
For some FoRs at some insttutons, there was insufcient research volume to undertake a valid analysis
at the fourdigit FoR level, but sufcient research volume at the twodigit FoR level. In these instances,
evaluaton took place at the twodigit FoR level only.
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Where the low volume threshold was not met, the UoE for a given insttuton was automatcally treated
as not assessed due to low volume, and is reported as n/a. This means that data submited on research
outputs, research income, applied measures and esteem measures for the relevant two or fourdigit
FoR for that insttuton was collected but not evaluated under ERA 2012. The insttuton, therefore,
was not considered as research actve for that discipline for purposes of ERA 2012. However, the data
submited stll contributed to the constructon of the ERA benchmarks and all ERA data was aggregated
for natonallevel reportng irrespectve of whether any FoRs within a specifc insttuton met the low
volume threshold.
ERA 2012 Reference Periods
Data for the following reference periods was collected for ERA 2012:
Data Type Reference Period Years
Research Outputs 1 January 2005 31 December 2010 6
Research Income 1 January 2008 31 December 2010 3
Applied Measures 1 January 2008 31 December 2010 3
Esteem Measures 1 January 2008 31 December 2010 3
Staf Eligibility Period As at 31 March 2011 Census Date
Citaton Data Period 1 January 2005 1 March 2012 7 years 2 months
ERA Rating Scale
ERA utlises a fvepoint ratng scale. The ratng scale is broadly consistent with the approach taken in
research evaluaton processes in other countries to allow for internatonal comparison.
Ratng Descriptor
5
The Unit of Evaluaton profle is characterised by evidence of outstanding performance well above
world standard presented by the suite of indicators used for evaluaton.
4
The Unit of Evaluaton profle is characterised by evidence of performance above world standard presented
by the suite of indicators used for evaluaton.
3
The Unit of Evaluaton profle is characterised by evidence of average performance at world standard
presented by the suite of indicators used for evaluaton.
2
The Unit of Evaluaton profle is characterised by evidence of performance below world standard presented
by the suite of indicators used for evaluaton.
1
The Unit of Evaluaton profle is characterised by evidence of performance well below world standard
presented by the suite of indicators used for evaluaton.
n/a
Not assessed due to low volume. The number of research outputs does not meet the volume threshold
standard for evaluaton in ERA.
Notes on the Rating Scale
World Standard refers to a quality standard. It does not refer to the nature or geographical scope of
partcular subjects, or to the locus of research nor its place of disseminaton.
Each point within the ratng scale represents a quality band. For example, one UoE might be rated
highly within the 4 band and another rated lower within the same band, but the ratng for both will
be a 4. Only whole ratngs are given (not 4.2, 4.5 etc).
The banding of quality ratngs assists RECs in determining a fnal ratng. If, for example, a Unit of
Evaluaton has a preliminary ratng at the top margin of the 4 band based on the assessment of the
quality of the research outputs, other indicators (e.g. income or esteem measures) may be sufcient
to raise the ratng into the 5 band. The lack of such indicators will not, however, be used to lower
a ratng.
The ERA evaluaton measures research quality, not scale or productvity. Volume informaton is
presented to the RECs for the purposes of providing context to the research.
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The methodology and ratng scale allow for UoEs with diferent volumes of output to achieve the
same ratng. So, for example, a UoE with a small number of outputs can achieve a ratng of 5 where
the UoE meets the standard for that ratng point, similar to a UoE with a large number of outputs.
Each UoE is assessed against the absolute standards of the ratng scale, not against other
UoEs. One of the key objectves of ERA is to identfy excellence across the full spectrum of
research performance.
RECs exercise their knowledge, judgment and expertse to reach a single ratng for each UoE.
In reaching a ratng, RECs take account of all of the supportng evidence which is submited for the
UoE. RECs do not make comment about the contributons of individual researchers.
The ratng for each UoE refects the RECs expert and informed view of the characteristcs of the
UoE as a whole. In all cases the quality judgments relate to all of the evidence, including the entre
indicator suite, and the ERA Ratng Scale. In order to achieve a ratng at a partcular point on the scale,
the majority of the output from the UoE will normally be expected to meet the standard for that
ratng point. Experience has demonstrated that there is normally a variety of quality within a UoE.
Further details concerning the ERA Evaluaton process can be found in the ERA 2012 Evaluaton Handbook.
Changes for ERA 2012
Modifcatons were made to the ERA process in light of ERA 2010 and consultaton with members of
the Australian higher educaton research sector, ERA 2010 Research Evaluaton Commitee Members,
and members of the public. Key changes are listed below.
Reassignment Exception
In the case of journal artcles, insttutons apportoned an artcle to any or all of those FoR codes assigned
to the journal in the ERA 2012 Journal List. The ARC introduced an excepton to this rule for ERA 2012:
where a journal artcle has signifcant content (66% or greater) that could best be described by a partcular
FoR code that is not available for the journal it is published in (as assigned in the ERA 2012 Journal List),
the insttuton may assign that FoR code to the artcle to a minimum of 66%.
Low Volume Threshold Change for Peer Review Disciplines
For Peer Review disciplines, there was an increase in the low volume threshold to 50 apportoned
weighted outputs, bringing it into line with the threshold for citaton disciplines of 50 apportoned indexed
journal artcles. The 5:1 weightng for books in Peer Review disciplines remains for purposes of calculatng
the low volume threshold.
Movement from Citation Analysis to Peer Review Disciplines
As a result of consultatons held afer ERA 2010, all fourdigit and twodigit codes in 08 Informaton
and Computng Sciences used peer review instead of citaton analysis in ERA 2012, allowing conference
publicatons to be included in the calculaton of the low volume threshold. The fourdigit codes 1005,
1006 have also moved to Peer Review.
Non-traditional Research Outputs
The category of Nontraditonal Research Outputs (NTRO) was made available to disciplines in twodigit
FoR codes Economics (14) and Studies in Human Society (16) (and all fourdigit FoR codes that sit beneath
them) in additon to those ofered in ERA 2010. This allowed insttutons to submit research outputs such
as policy documents for these disciplines.
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Attribution of Applied Measures to Individuals as well as Institutions
Applied measures including Patents, Plant Breeders Rights and Registered Designs assigned to individual
eligible researchers as well those assigned to insttutons were eligible for submission to ERA 2012.
Esteem measures
The esteem measure editor prestgious works of reference became eligible to be submited in the
fourdigit FoR codes Building (1202) and Engineering Design (1204).
Use of the ERA National Report
The Excellence in Research for Australia (ERA) 2012 Natonal Report presents data submited as part of a
comprehensive assessment by discipline of the research quality and research actvity within Australias
higher educaton insttutons.
Coverage
ERA retrospectvely evaluates the quality of research conducted within the specifc reference periods
(as shown above). As the ERA 2012 research outputs reference period ended on 31 December 2010,
research quality may have changed since that tme.
Comparison across data items
Each UoE is assessed against the ERA ratng scale. As no comparisons are made between UoEs, ERA
ratngs cannot be used as a ranking device. Further, as each ERA ratng point might include a range of
performances, and the gap between ratng points is not defned, it is not appropriate to average ratngs
even within disciplines.
ERA has been designed to provide fexibility for, and recogniton of, disciplinespecifc research behaviours
at both the fourdigit and twodigit FoR levels rather than comparison between disciplines or disciplinary
clusters. ERA evaluatons are conducted by discipline experts interpretng the indicators for each UoE in
the context of their own expert knowledge of the discipline. Diferent indicators apply to each discipline,
as outlined in the ERA 2012 Discipline Matrix. For this reason it is not appropriate to make productvity
statements about or comparisons between disciplines.
Where possible the data presented in this report is deduplicated. This does not represent the exact
data submited to ERA 2012 for the purposes of evaluaton (which potentally contained duplicate data
submited by multple insttutons).