University of New England’s Repository Guidelines

This set of guidelines has been prepared by University of New England (UNE) Library staff with the intention to streamline the submission of research outputs to Research UNE (RUNE). The documents are designed to be read in conjunction with one another, and references to relevant material across the guidelines have been made when appropriate. The content of the guidelines is as follows:

• The University of New England’s Repository Guidelines consists of two parts. Part A outlines the features of the repository, its role in University reporting, and other relevant considerations. Part B outlines the submission process for Traditional Research Outputs (TROs), Non-Traditional Research Outputs (NTROs) and Datasets. Download via https://www.une.edu.au/library/home/UNEGuidelinesRUNE
• The University of New England’s Non-Traditional Research Outputs (NTROs) Guidelines outline the different types of NTROs, NTRO submission requirements and the NTRO review process. Download via https://www.une.edu.au/library/home/UNEGuidelinesNTRO
• The University of New England’s Guidelines to indexing publications in Research UNE for the Excellence in Research for Australia (awaiting approval from Research Committee) provides more information on research output requirements for Excellence in Research for Australia (ERA) submission. Download via https://www.une.edu.au/library/home/UNEGuidelinesERA (UNE log in required)                                                                                        
  

Part A of the UNE Repository Guidelines is available below. The remainder of the documents, including the full UNE Repository Guidelines, are available in PDF format and can be viewed and downloaded above.

Please note, these guidelines are currently in draft form and awaiting approval from the University Research Committee. The content of the guidelines is subject to change at the discretion of the RUNE team. Once approved, The University of New England’s Guidelines to indexing publications in Research UNE for the Excellence in Research for Australia will only be available to current UNE staff and students.

Contents

1. Forward
2. Executive Summary
3. Research UNE (RUNE) Overview
4. Account Set Up and Account Claiming
5. Benefits of contributing to Research UNE
6. Excellence in Research Australia (ERA)
7. Field of Research Codes (FOR)
8. Socio-Economic Objective Classification (SEO)
9. Research UNE and Open Access (OA)
10. Research UNE and Copyright
11. Research
12. Additional Considerations
13. Theses
14. Digital Object Identifier (DOI) Minting
15. Grant Information and Numbers
16. Research Output Reclassification Review

Appendix A - Research Outputs

Appendix B - Copyright

Appendix C - Theses

1.         Forward

These guidelines have been prepared with two points of need in mind. Firstly, these guidelines have been designed for readers both to gain a broad understanding of the University of New England’s (UNE) repository, Research UNE (RUNE), and of how RUNE fits into the UNE context and the larger research context of Australia. Secondly, Part B is a practical guide that shows UNE academics and professional staff how to submit a research output to the repository.

These guidelines are to be read, where applicable, in conjunction with:

• University of New England’s Guidelines to indexing publications in Research UNE for the Excellence in Research for Australia (UNE log in required) (https://www.une.edu.au/library/home/UNEGuidelinesERA);
• University of New England’s Non-Traditional Research Outputs (NTROs) Guidelines (https://www.une.edu.au/library/home/UNEGuidelinesNTRO); and
• Part B of University of New England's Repository Guidelines (https://www.une.edu.au/library/home/UNEGuidelinesRUNE).

The guidelines were compiled by UNE’s repository team in consultation with UNE Library, Research Services, Faculties, and researchers.

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2.         Executive Summary

UNE’s institutional repository, RUNE, stores bibliographic information on all published outputs generated by researchers (staff, adjuncts, and post-graduate students) at UNE.

It provides a central platform to showcase UNE’s research and a central point through which other researchers and the general public can access UNE’s research outputs. It is also the authoritative source used for the Excellence in Research for Australia (ERA) national assessment.

Part A of this document outlines the repository, including types of research outputs that can be submitted. Part B outlines how to submit research outputs. UNE takes its definition of research to be consistent with the ARC’s broad notion of Research and Experimental Development (R&D) comprised of creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of available knowledge (ERA Submission Guidelines 2018, 1.8).

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3.         Research UNE (RUNE) Overview

RUNE showcases the work of our academic and research staff and facilitates research collaboration. RUNE is also the single point of entry for recording new research outputs and forms the definitive record of research undertaken at UNE.

RUNE includes all types of scholarly materials including, though not limited to:

• Journal articles;
• Conference papers;
• Books and book chapters;
• Higher degree research theses;
• Research datasets; and
• Non-traditional research outputs (NTROs).

For a full list and definitions of research outputs see Part A, Appendix A in this document.

For more information on NTROs see University of New England’s Non-Traditional Research Outputs Guidelines (henceforth referred to as UNE’s NTRO Guidelines).

Recording all research outputs enables the University to have a complete register of its research and to meet reporting requirements for the federal government, including ERA. At UNE, it is mandatory to submit all research outputs to the institutional repository (RUNE). For more information, see Research UNE Deposit, Collection and Access Rule. For your research outputs to count towards internal reporting (e.g. academic promotions) and external reporting (e.g. ERA) they must be archived in RUNE.

Copies of research outputs held in RUNE are only made publicly available when allowed for under publisher permissions. Please note, the provision of published research outputs for these purposes does not always fulfil Open Access requirements. For more information about making an output Open Access see Part B, Stage 2 in this document.

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4.         Account Set Up and Account Claiming

RUNE is a repository that both holds your research outputs and generates your RUNE Researcher Profile. Your RUNE Researcher Profile is linked to all of your research outputs indexed in RUNE and can be connected with other author profiles such as ORCiD.

For more information on how to set up your RUNE Researcher Profile and how to submit a research output to RUNE see Part B, Stage 1 in this document.

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5.         Benefits of contributing to Research UNE

UNE Library manages RUNE as part of its collections. When you submit a research output to RUNE, this record will be archived in perpetuity. It is intended that current and future readers will always have access to a record of your work through RUNE. This has a number of advantages:

• Research is more visible: each of your publications has a permanent link, making dissemination of your research to colleagues quick and easy.
• Saves time: all your publications are accessible from one place, including forthcoming articles and those from before your employment at UNE. This will aid in processes such as academic promotion and grant submission.
• Increases your research impact: each of your publications has a free, full-text version (where permitted), and a link to the published version (where available), making it easy for people to discover and cite your work.
• Ensures longevity of your research: your research output will be archived in a stable, enduring location.

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6.         Excellence in Research Australia (ERA)

ERA is a national research assessment process administrated by the Australian Research Council (ARC) that evaluates research quality across Australia's higher education institutions. All eligible outputs published within the ERA reference period are submitted for assessment by the University at which you were employed on the designated ERA staff census date, which is announced by the ARC each ERA round.

Your outputs can be recorded in multiple repositories. This happens when researchers from different universities collaborate and co-author publications, or when an author moves from one institution to another.

If you have been employed at another institution within the last three years, it is important that you submit all outputs published while at your previous place(s) of employment, going back at least 6 full calendar years.

UNE researchers are responsible for ensuring their relevant research outputs are included in RUNE prior to these assessments being undertaken. It is UNE policy for all researchers to submit records to RUNE describing their research outputs. For more information, see Research UNE Deposit, Collection and Access Rule.

For more information on how UNE submits and reports published research to ERA, and which research outputs are eligible for ERA reporting, see University of New England’s Excellence in Research for Australia Guidelines (henceforth referred to as UNE’s ERA Guidelines).

Further information about ERA is available on the ERA website.

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7.         Field of Research Codes (FOR)

The 2020 Australian and New Zealand Standard Research Classification (ANZSRC) Field of Research (FoR) codes classify R&D activity by field of research according to common knowledge domains and/or methodologies used. It describes the nature of the research being performed and reflects the area of knowledge discovery. The categories in the classification include fields of research and emerging areas of study.

Every publication indexed in RUNE must be assigned one (1) six-digit FoR code and may be assigned up to three (3) six-digit FoR codes. The FoR code(s) must be assigned at the initial RUNE submission stage by either the UNE author(s) or a nominated representative, who is a subject expert.

For more on FoR Codes download the ABS Field of Research data cube.

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8.         Socio-Economic Objective Classification (SEO)

The 2020 ANZSRC Socio-Economic Objective (SEO) codes classify R&D activity according to the intended purpose or outcome as perceived by the researcher (or data provider). The appropriate SEO should reflect the industry, process, product, health, education or other social and environmental aspect that R&D activity aims to impact, improve or measure. The appropriate SEO may reflect the aspirations of the researchers and it may help to understand the goals of the research.

Every publication indexed in RUNE must be assigned one (1) six-digit SEO code and may be assigned up to three (3) six-digit SEO codes. The SEO code(s) must be assigned at the initial RUNE submission stage by either the UNE author(s) or a nominated representative, who is a subject expert.

For more on SEO Codes download the ABS Socio-Economic Objective data cube.

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9.         Research UNE and Open Access (OA)

Open Access (OA) refers to research outputs that are freely accessible online and can be read, downloaded, copied and distributed by any user. RUNE supports OA research by providing free public access to OA versions of UNE research (where available).

It is mandatory for all submitted research outputs to be made openly accessible via RUNE, except where this is restricted by publisher policy or incompatible licensing or assignment agreement. For more information, see Open Access to UNE Research Publications and Data Policy.

Many national (e.g. ARC, NHMRC) and international funding bodies require publicly funded research to be made OA, usually within a stipulated timeframe. If a publication is the result of an external grant or scheme, please refer to the funder’s OA policy and/or funding agreement for further information.

RUNE can provide OA to your work in two ways:

• Where the output has been published in an OA journal, RUNE provides a permanent and stable link directly to the full text copy on the publisher website.
• Where the output has been published in a subscription-based journal, or behind a paywall, RUNE provides access to a full-text copy of the pre-peer review version or post-peer review version of the output, when possible.

This will be done in accordance with publisher guidelines or restrictions stipulated by the author of the research.

For more information on selecting the correct OA option when submitting publications to RUNE see Part B, Stage 2 in this document. For more information on OA see the Australasian Open Access Strategy Group website.

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10.     Research UNE and Copyright

For every research output in RUNE, a copy of the published version must be submitted and will be held in the repository. RUNE is able to do this under the Research UNE Deposit, Collection and Access Rule and supports the University's Open Access to UNE Research Publications and Data Policy. If your research output cannot be made public, the published version will still be held by the repository but will not be accessible to the public.

For more information on copyright see Part A, Appendix B in this document.

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11.     Research

UNE takes its definition of Research from the ARC, who defines Research as "the creation of new knowledge and/or the use of existing knowledge in a new and creative way to generate new concepts, methodologies, inventions and understandings. This could include the synthesis and analysis of previous research to the extent that it is new and creative" (ERA Submission Guidelines 2018, Section 1.8, https://www.arc.gov.au/file/3781/download?token=Wq9o-CbM). Pure and strategic research, applied research, and experimental development are all considered to be included in this definition of research. This is in line with the Organisation for Economic Co-operation and Development (OECD) definition which states that research and experimental development (R&D) is “creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of available knowledge” (OECD, 2015, Frascati Manual: Guidelines for Collecting and Reporting Data on Research and Experimental Development, p. 28, Paris, https://dx.doi.org/10.1787/9789264239012-en).

For definitions of individual research outputs see Part A, Appendix A in this document.

11.1        Traditional Research Outputs

A Traditional Research Output (TRO) is a piece of work that meets the requirement of research as defined by the ARC (ERA Submission Guidelines 2018, Section 1.8).

For a full list of TROs see Part A, Appendix A.1 in this document.

For information on how to submit a TRO see Part B, Stage 2.1 in this document.

For a list of ERA eligible TRO research outputs see UNE’s ERA Guidelines Section 4.

11.2        Non-Traditional Research Outputs

A NTRO is a creative work, curated or produced event/exhibition, external report, or portfolio arising from a creator’s/curator’s research that is often not documented via a conventional publication format. These outputs constitute research as defined by the ARC (ERA Submission Guidelines 2018, Section 1.8).

NTROs must be published to be included in RUNE. For a NTRO to be defined as published it must be made publicly available, either through a commercial publisher or in an alternative format.

NTROs fall under the following categories:

• 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; and
• Portfolio.

Currently, RUNE only indexes ERA eligible NTROs. For more information on NTROs see UNE’s NTRO Guidelines.

For a full list of NTROs see Part A, Appendix A.2 in this document.

For information on how to submit a NTRO see Part B, Section 2.2 in this document.

For a full list of ERA eligible NTROs see UNE’s ERA Guidelines Section 4.4.

11.3        Datasets

If you have completed a research project at UNE that included the collection, generation, or manipulation of research data that produced original datasets, then, in accordance with the UNE Code of Conduct for Research Rule and Management and Storage of Research Data and Materials Policy, you are required to archive and register these datasets with RUNE.

Registration of research data in RUNE is achieved through the standard research output submissions process. Research data in digital format needs to be attached to the dataset record when submitting. For physical research data, storage needs to be arranged with your faculty and the storage location should be included in the dataset registration.

Datasets can be Open, Mediated, or Closed. For more information see Part B, Stage 2.3 in this document.

For information on how to submit a dataset see Part B, Stage 2.3 in this document.

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12.     Additional Considerations

12.1        Author

In accordance with the Authorship guide supporting the Australian Code for the Responsible Conduct of Research 2018 (ACRCR 2018), an author of a research output is defined at UNE as an individual who has:

• Made significant intellectual or scholarly contribution to the research and its output; and
• Agreed to be listed as an author.

12.2        Year of Publication

Year of publication refers to the copyright date assigned to the final published version of a research output. For example, the date at which a journal article is assigned a volume and issue number. For more information on ERA requirements for year of publication, see UNE’s ERA Guidelines, Section 4.6.

12.3        Peer Review

Peer review is the impartial and independent assessment of research by others working in the same or related fields. Books and book chapters must be published by a commercial publisher (see Section 12.4 in this document for definition of a Commercial Publisher). A statement from an independent, qualified expert that peer review has taken place may be accepted as evidence of peer review.

Please note, non-peer reviewed research outputs may be submitted to RUNE; however, they will not be counted for internal or external reporting purposes.

For more information on the peer review process as it relates to ERA see UNE’s ERA Guidelines, Section 4.7.

12.4        Commercial Publisher

A Commercial Publisher, as defined by UNE, is an individual or company whose primary business purpose is producing books, book chapters, etc. and distributing them for sale. A Commercial Publisher does the following:

• Internal robust quality control processes (e.g. peer review);
• Expert assessment or review;
• Editing;
• Design; and
• Formatting.

12.5        Self-publishing

Self-publishing is defined by UNE as an individual or group of people who produce and publish a research output independent of an existing publishing body. For self-publishing and ERA submission eligibility see UNE’s ERA Guidelines, Section 4.9.

12.6        Foreign Language Publications

Foreign language publications are outputs that have been published in a language other than English. Foreign language publications undergo the same review process in RUNE as research outputs published in English. RUNE includes an English translation and/or transliteration of the publication’s title, abstract and/or book or journal title (if different from the main title). For more information on ERA requirements for foreign language publications see UNE’s ERA Guidelines, Section 4.10.

12.7        Translations

UNE defines works of translation as research outputs when a research component has been added to the work, thus allowing it to meet all other criteria for being a research output (see Part A, Section 11 in this document for definition of Research).

12.8        Cultural Considerations

If a research output is, or contains, culturally sensitive material, this should be indicated during submission. If consideration needs to be taken when handling the output, sensitive handling notes should be added. Please refer to UNE’s Code of Conduct for Research Rule, with particular reference to 6(e), 6(f), 11(e), and 11(f) if your research and/or research outputs include culturally sensitive data, materials, or content.

With respect to Indigenous language and cultural sensitivities, RUNE takes guidance from the Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS). The AIATSIS states: “It is essential that Indigenous people are full participants in research projects that concern them, share an understanding of the aims and methods of the research, and share the results of this work. At every stage, research with and about Indigenous peoples must be founded on a process of meaningful engagement and reciprocity between the researcher and Indigenous people” (Guidelines for Ethical Research in Australian Indigenous Studies, AIATSIS, 2012, p. 3).

Particular attention is paid to principle 4 in the document, which states that information obtained from Indigenous peoples should be acknowledged in all publications (Guidelines for Ethical Research in Australian Indigenous Studies, AIATSIS, 2012, p. 7).

12.9        Retractions

If a publication is retracted, the repository will remove this publication when evidence of the retraction is provided.

12.10     Textbook

A textbook is a publication produced for use in study or teaching. Textbooks may be submitted to RUNE, but are generally not considered category one publications (i.e. publications that are eligible for ERA submission). For more information see Part A, Appendix A.1 in this document.

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13.     Theses

RUNE indexes theses completed by UNE students. Current Higher Degree Research (HDR) thesis records are added to RUNE via internal processes and through collaboration with Research Services and UNE administrators.

For a full list of degrees and thesis categories indexed by RUNE see Part A, Appendix C in this document.

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14.     Digital Object Identifier (DOI) Minting

RUNE can mint (i.e. create) Digital Object Identifiers (DOI) through services provided by the Australian Research Data Commons (ARDC). The ARDC currently delivers DOI services as a member of the global DataCite initiative. RUNE’s DOI minting is intended to service Research Datasets. Research publications and other research outputs are expected to provide DOIs as minted by their publisher

To mint DOIs for research outputs that are not datasets please contact the RUNE team so they can assess whether this is appropriate. Generally, DOIs can only be minted for UNE affiliated or hosted materials (i.e. a UNE thesis).

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15.     Grant Information and Numbers

Publications arising from research funded by grants from the ARC or the National Health and Medical Research Council (NHMRC) must have the grant number recorded in the RUNE submission. Names and grant numbers from other funding bodies should also be included in the RUNE submission. By including grant numbers in records, RUNE can make the research outputs contained in the repository easier to find and the associated data more useful for analysis.

Providing grant numbers allows for:

• Identifying research created under a specific grant;
• Collecting statistics on the number of grant-funded publications produced at UNE;
• Comparing the number of grant-funded publications coming from individual researchers; and
• Analysing the output and impact of UNE research year by year.

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16.     Research Output Reclassification Review

This process is still under review and is subject to approval by the University’s Research Committee.

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Appendix A - Research Outputs

Research outputs are defined by the ACRCR as that which "communicates or makes available the findings of research that may be in hardcopy, electronic or other form. Examples of research outputs include journal articles, book chapters, books, conference papers, reports, datasets, patents and patent applications, performances, videos and exhibitions" (Authorship: A guide supporting the Australian Code for the Responsible Conduct of Research, 2019, p. 6). Research output categories are assigned based on the type of research output submitted. These can be broadly seen as Traditional Research Outputs (TROs), Non-Traditional Research Outputs (NTROs), and Datasets.

N.B. These research output types are under review and subject to change at the discretion of the RUNE team.

1.      Traditional Research Output (TRO)

(*) research output may be eligible for ERA Submission. For more information see UNE’s ERA Guidelines, Sections 4.1 and 4.3.

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2.    Non-Traditional Research Output (NTRO) categories

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Appendix B - Copyright

1.    Copyright ownership

The copyright owner, usually the publisher or the author of a work, retains copyright ownership rights under copyright law.

UNE has a non-exclusive right to store and use content deposited in RUNE under the following UNE Policy documents:

• Research UNE Deposit, Collections and Access Policy; and
• Open Access to UNE Research Publications and Data Policy.

2.    Managing your copyright

UNE policy requires UNE authors to submit their research outputs to RUNE with a view to these being openly accessible.

3.    Reporting a copyright infringement

If you believe copyrighted work that is available in RUNE constitutes copyright infringement or a breach of agreed license or contract please contact RUNE (rune@une.edu.au) in the first instance.

4.    Licensing Framework

UNE provides access and reuse licensing under the Creative Commons, Public Domain, and Rights Reserved frameworks.

Creative Commons Licenses can be viewed at Creative Commons Australia.

The application of licenses to submitted research outputs is decided by the chief author/investigator of the output. Licensing needs to be applied in consideration of copyright restrictions. By default, submissions to RUNE will have All Rights Reserved licensing, unless otherwise selected.

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Appendix C - Theses

1.     Thesis Categories indexed in RUNE:

• Masters Research;
• Doctoral;
• Professional Doctorate; and
• Postgraduate.

2.     Degrees indexed in RUNE:

• Doctor of Education - EdD
• Doctor of Health Services Management - DHSM
• Doctor of Judicial Science - SJD
• Doctor of Philosophy - PhD
• Doctor of Philosophy (Clinical Psychology) - PhD ClinPsych
• Professional Doctorate for Industry/Professions - ProfD
• Master of Administrative Leadership with Honours - MAdminLead Hons
• Master of Arts with Honours - MA Hons
• Master of Business Research with Honours - MBusRes Hons
• Master of Counselling with Honours - MCouns Hons
• Master of Economics - MEc
• Master of Education with Honours - MEd Hons
• Master of Educational Administration with Honours - MEdAdmin Hons
• Master of Gerontology with Honours - MGeront Hons
• Master of Health Management with Honours - MHealthMgt Hons
• Master of Health Science with Honours - MHealthSci Hons
• Master of Laws by Research - MLawRes
• Master of Music with Honours - MMus Hons
• Master of Nursing with Honours - MNurs Hons
• Master of Professional Studies with Honours - MProfStud Hons
• Master of Resource Science - MResSci
• Master of Rural Science - MRurSci
• Master of Science - MSc
• Master of Urban and Regional Planning with Honours - MURP Hons

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