Rewards for Publications


Research Excellence Publication Incentive Scheme


Background

USP currently has a policy to reward staff publishing papers in highly ranked journals with a cash bonus in their salaries. The incentive scheme is based upon a formula of $5,000 for an A* publication, $3,000 for an A publication and $500 for a B publication, pro-rata for the number of authors on each publication. Research books, book chapters and patents have also been rewarded under the scheme through an equivalence arrangement.

It has been argued that the scheme has been successful to date, since the number of high ranked publications authored by University staff has been steadily increasing (see Fig. 1 below).

Documents by Year
YearDocuments
201995
2018239
2017218
2016200
2015155
2014188
2013150
2012122
201191
2010101
Documents

Year

Fig 1: USP registered  the highest number of publications in 2018, with 239 internationally recognized publications indexed by Scopus (see Fig. 1). This has surpassed the previous record of 218 set in 2017.  As at 10 June 2019, there are 95 new publications for the year 2019. The estimate for 2019 is 250.

However, the scheme has also been criticised on a number of grounds:

  1. A significant amount of money that is allocated for research support is in fact used for salary supplements and that this duplicates existing reward mechanisms in place through the Staff Review process.
  2. Money spent on personal rewards is poor use of the research budget as this money could be more effectively invested in research activity and support.
  3. The extension of the scheme to include Australian Innovations Patents provides poor value because the registration process does not involve any assessment of the worth of the patent and evidence of commercialisation of the patent is not currently a criterion of the USP scheme.

For these reasons SMT has agreed the following revisions to the Research Excellence Publication Incentive scheme.

The New Scheme

The elements of the new scheme will be as follows:

  1. Individual cash awards will be replaced by money allocated for research purposes. The principle will be retained that those individuals responsible for achieving University publication goals receive the benefits from those achievements. However, as we have been advised that tax implications mean that money cannot be held in individual research accounts there will be a Faculty fund from which money will be allocated for specific research activities on the basis of contribution. For example, if an individual is responsible for bringing $1000 into the Faculty fund they will be eligible for funding to support research activity from the fund up to $1000
  2. This fund will be administered at the Faculty level but half yearly reports must be submitted to the Research Office so that the relationship between contribution to the fund and allocations from the fund are scrutinised for fairness.
  3. In cases where allocations are disputed the DVCRII will make a final determination.
  4. Legitimate research purposes include, but may not be confined to, conference attendance, hire of research assistants, payment for research materials and facilities, graduate studentships, research support such as transcriptions, etc. In cases where there is a dispute about validity of the proposed expenditure the decision of the DVCRII will be final.
  5. The scheme will be a points based scheme. Staff will earn points for research outputs as follows:
    • Category A* publications – 6 points
    • Category A publications – 4 points
    • Category B publications – 2 points

    All USP staff members identified as authors on a research publication will be eligible to receive rewards pro rata (Appendix A provides guidance on the requirements of a research publication). Contributing authors will be expected to identify their contribution to the publication and in all cases contributions must be significant. For example, having merely supervised a student’s thesis will not be sufficient for the purposes of these awards. (Please see Appendix B for more detailed guidance on authorship requirements).

  6. A staff member must have received a minimum of 6 points (the equivalent of an A* paper) to be eligible for an award. Professors will not be eligible for an award without having recorded at least 1 A or A* ranked paper.
  7. Patents and Category C papers will no longer be eligible for rewards
  8. All rewards must stay within the allocated budget and the worth of a “point” under the system will be determined on the basis of the ratio between total eligible points and the allocated budget in each year.

APPENDIX A: Definition of Research & Experimental Development

USP adopts the Definition of Research & Experimental Development by the Australian Government’s Department of Education & Training, as outlined in the 2019 Higher Education Research Data Collection (HERDC).[1]

The HERDC definition of research and experimental development, abbreviated as R&D, is consistent with the OECD definition of research and experimental development set out in the 2015 Frascati Manual. R&D is defined as:

‘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[2].’

For an activity to be an R&D activity it must satisfy all five core criteria:

  • to be aimed at new findings (novel),
  • to be based on original, not obvious, concepts and hypotheses (creative),
  • to be uncertain about the final outcomes (uncertain),
  • to be planned and budgeted (systematic), and
  • to lead to results that could be possibly reproduced (transferable and/or reproducible)[3].

The above definition encompasses pure and oriented basic research, applied research and experimental development, defined as follows:

  • Basic research is experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular application or use in view.
    • Pure basic research is carried out for the advancement of knowledge, without seeking economic or social benefits or making an active effort to apply the results to practical problems or to transfer the results to sectors responsible for their application.
    • Oriented basic research is carried out with the expectation that it will produce a broad base of knowledge likely to form the basis of the solution to recognised or expected current or future problems or possibilities.
  • Applied Research is original investigation undertaken in order to acquire new knowledge. It is, however, directed primarily towards a specific, practical aim or objective (including a client-driven purpose).
  • Experimental development is systematic work, drawing on knowledge gained from research and practical experience and producing additional knowledge, which is directed to producing new products or processes or to improving existing products or processes.

Activities that meet the above definition of R&D include:

  1. professional, technical, administrative or clerical support staff directly engaged in activities essential to the conduct of R&D
  2. the activities of HDR[4] students enrolled at the HEP
  3. the development of HDR training and courses
  4. the supervision of HDR students enrolled at the HEP
  5. R&D into applications software, new programming languages and new operating systems
  6. prototype development and testing
  7. construction and operation of a pilot plant where the primary objective is to make further improvements
  8. trial production where there is full scale testing and subsequent further design and engineering
  9. phases I to III of clinical trials.

Activities that do not meet the definition of R&D include:

  1. scientific and technical information services,
  2. general purpose or routine data collection,
  3. standardisation and routine testing
  4. feasibility studies (except into R&D projects)
  5. specialised, routine medical care
  6. literature reviews that are predominantly a summary of the current knowledge and findings of a particular R&D field or topic and do not include any critical assessment or report any new findings or original experimental work
  7. commercial, legal and administrative aspects of patenting, plant breeders rights, copyright, material transfer agreements or intellectual property licensing, option and assignment activities, and royalties
  8. routine computer programming, systems work or software maintenance
  9. stages of product development that do not meet the five R&D criteria above
  10. pre-production development
  11. market research
  12. construction of fully tested prototypes for marketing purposes
  13. after sales service and trouble-shooting
  14. industrial engineering and design for production purposes
  15. artistic performance or expression
  16. R&D financing and support services.

Appendix B: Defining the Role of Authors and Contributors [5] The following Guidelines are drawn from the International Committee of Medical Journal Editors Recommendations.

1. Why Authorship Matters

Authorship confers credit and has important academic, social, and financial implications. Authorship also implies responsibility and accountability for published work. The following recommendations are intended to ensure that contributors who have made substantive intellectual contributions to a paper are given credit as authors, but also that contributors credited as authors understand their role in taking responsibility and being accountable for what is published.

Because authorship does not communicate what contributions qualified an individual to be an author, some journals now request and publish information about the contributions of each person named as having participated in a submitted study, at least for original research. Editors are strongly encouraged to develop and implement a contributorship policy. Such policies remove much of the ambiguity surrounding contributions, but leave unresolved the question of the quantity and quality of contribution that qualify an individual for authorship. The ICMJE has thus developed criteria for authorship that can be used by all journals, including those that distinguish authors from other contributors.

2. Who Is an Author?

Authorship be based on the following 4 criteria:

  • Substantial contributions to the conception or design of the work; or the acquisition, analysis, or interpretation of data for the work; AND
  • Drafting the work or revising it critically for important intellectual content; AND
  • Final approval of the version to be published; AND
  • Agreement to be accountable for all aspects of the work in ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved.

In addition to being accountable for the parts of the work he or she has done, an author should be able to identify which co-authors are responsible for specific other parts of the work. In addition, authors should have confidence in the integrity of the contributions of their co-authors.

All those designated as authors should meet all four criteria for authorship, and all who meet the four criteria should be identified as authors. Those who do not meet all four criteria should be acknowledged—see Section II.A.3 below. These authorship criteria are intended to reserve the status of authorship for those who deserve credit and can take responsibility for the work. The criteria are not intended for use as a means to disqualify colleagues from authorship who otherwise meet authorship criteria by denying them the opportunity to meet criterion #s 2 or 3. Therefore, all individuals who meet the first criterion should have the opportunity to participate in the review, drafting, and final approval of the manuscript.

The individuals who conduct the work are responsible for identifying who meets these criteria and ideally should do so when planning the work, making modifications as appropriate as the work progresses. We encourage collaboration and co-authorship with colleagues in the locations where the research is conducted. It is the collective responsibility of the authors, not the journal to which the work is submitted, to determine that all people named as authors meet all four criteria; it is not the role of journal editors to determine who qualifies or does not qualify for authorship or to arbitrate authorship conflicts. If agreement cannot be reached about who qualifies for authorship, the institution(s) where the work was performed, not the journal editor, should be asked to investigate. If authors request removal or addition of an author after manuscript submission or publication, journal editors should seek an explanation and signed statement of agreement for the requested change from all listed authors and from the author to be removed or added. 

The corresponding author is the one individual who takes primary responsibility for communication with the journal during the manuscript submission, peer review, and publication process, and typically ensures that all the journal’s administrative requirements, such as providing details of authorship, ethics committee approval, clinical trial registration documentation, and gathering conflict of interest forms and statements, are properly completed, although these duties may be delegated to one or more coauthors. The corresponding author should be available throughout the submission and peer review process to respond to editorial queries in a timely way, and should be available after publication to respond to critiques of the work and cooperate with any requests from the journal for data or additional information should questions about the paper arise after publication. Although the corresponding author has primary responsibility for correspondence with the journal, the ICMJE recommends that editors send copies of all correspondence to all listed authors.

When a large multi-author group has conducted the work, the group ideally should decide who will be an author before the work is started and confirm who is an author before submitting the manuscript for publication. All members of the group named as authors should meet all four criteria for authorship, including approval of the final manuscript, and they should be able to take public responsibility for the work and should have full confidence in the accuracy and integrity of the work of other group authors. They will also be expected as individuals to complete conflict-of-interest disclosure forms. 

Some large multi-author groups designate authorship by a group name, with or without the names of individuals. When submitting a manuscript authored by a group, the corresponding author should specify the group name if one exists, and clearly identify the group members who can take credit and responsibility for the work as authors. The byline of the article identifies who is directly responsible for the manuscript, and MEDLINE lists as authors whichever names appear on the byline. If the byline includes a group name, MEDLINE will list the names of individual group members who are authors or who are collaborators, sometimes called non-author contributors, if there is a note associated with the byline clearly stating that the individual names are elsewhere in the paper and whether those names are authors or collaborators.

3. Non-Author Contributors

Contributors who meet fewer than all 4 of the above criteria for authorship should not be listed as authors, but they should be acknowledged. Examples of activities that alone (without other contributions) do not qualify a contributor for authorship are acquisition of funding; general supervision of a research group or general administrative support; and writing assistance, technical editing, language editing, and proofreading. Those whose contributions do not justify authorship may be acknowledged individually or together as a group under a single heading (e.g. “Clinical Investigators” or “Participating Investigators”), and their contributions should be specified (e.g., “served as scientific advisors,” “critically reviewed the study proposal,” “collected data,” “provided and cared for study patients”, “participated in writing or technical editing of the manuscript”). 

Because acknowledgment may imply endorsement by acknowledged individuals of a study’s data and conclusions, editors are advised to require that the corresponding author obtain written permission to be acknowledged from all acknowledged individuals.

[1] https://docs.education.gov.au/node/51966

[2] OECD (2015), Frascati Manual 2015: Guidelines for Collecting and Reporting Data on Research and Experimental Development, The 46-48.Measurement of Scientific, Technological and Innovation Activities, OECD Publishing, Paris, pp 44-45.

[3] Ibid. pp

[4] Higher degree by research (HDR) training is training undertaken by students to achieve a Research Doctorate or Research Masters. A Research Doctorate means a Level 10 Doctoral Degree (Research) qualification as described in the Australian Qualifications Framework Professional Doctorates may be included but only where at least two-thirds of the qualification is research.and a Research Masters means a Level 9 Masters Degree (Research) qualification as described in the Australian Qualifications Framework.

[5] 2019 International Committee of Medical Journal Editors; http://www.icmje.org/recommendations/browse/roles-and-responsibilities/defining-the-role-of-authors-and-contributors.html

The University recognizes and rewards research active staff in a number of ways including a publications rewards scheme to reward high-quality research publications. These pages describe the scheme for rewarding publications (from the preceding year) by USP staff and students in journals, books, book chapters and conference proceedings that are ranked according to the current USP ranking system.

Two important features of this scheme are:

  1. Financial rewards under this scheme will be deposited either as part of salary, subject to income tax (staff) or as a cheque (students).
  2. If the total amount of eligible rewards exceeds the annual budget, then successful claimants will receive only an appropriate pro rata proportion of the amount calculated according to the criteria explained in these pages.

Section 1 of this document discusses the eligibility of USP staff and students for these rewards. Section 2 explains how the impact of publications is measured for this purpose. Section 3 provides information on Academic Research Patents and award eligibility. Section 4 explains the procedure for applying for these rewards.

Section 1. Eligibility

  1. Publications must meet the definition of ‘research’ as specified by the latest Higher Education Research Data Collection (HERDC) guidelines. Thus editorials, comments, news articles, conference reports, text books and reviews are not considered to be research publications. Review articles that provide synthesis and analysis of previous research to the extent that it leads to new and creative outcomes are eligible.
  2. Articles must be formally published, and citation indexed, in the calendar year under consideration (the year preceding the reward), including advanced online publications. Note that in the latter case, these cannot be rewarded again in the following years’ rewards event.
  3. Rewards will only be made for publications in which USP was stated as the affiliation of the author in the publication.
  4. Rewards payments will only be made to staff who hold (at time of award) a contract with USP or to students who were enrolled at USP when the work was undertaken.
  5. Articles must have undergone independent peer review. An acceptable peer review process is one that involves an assessment or review of the research publication in its entirety before publication by independent, qualified experts. Independent in this context means independent of the author.
  6. Only full journal articles, books or book chapters and published conference proceedings representing a substantial body of research are eligible for rewards. Brief communications and notes (e.g. less than one printed page) are not eligible.
  7. The publication details must be deposited in the USP Electronic Research Repository at least two months before the formal awards presentation which is normally held in November.
  8. The Vice Chancellor’s Prize for Best Research Output and Best Student Research supersede this rewards scheme and the recipient(s) will not receive an additional reward for their publication.

Section 2. Assessing publication impact

The journal listing currently used by USP is known as USP2015. It is a journal ranking list adapted from the Australian Research Council’s (ARC) ERA 2010 classification, which has a large coverage of journals (>20,000). This list is reviewed annually depending on the number of submissions received from staff with requests for journal inclusions and ranking reviews. Notifications for submissions will be sent out by the Research Office every year. USP will also use the current Australian Business Deans Council’s (ABDC) rankings of journals in the areas of business and economics. Both classifications (USP2015 and ABDC) place journals into quality groups A*, A, B, C or unranked. If a journal is entered in both USP2015 and Australian Business Deans Council (ABDC) classification, then claimants may use the higher ranking where they differ.

Section 3. Academic Research Patents and Reward

A patent is an exclusive right granted to the proprietor of an invention that prevents others from making, using, importing or selling the invention without permission. A patentable invention can be a product or a process that gives a new technical solution to a problem. As per the USP Intellectual Property and Copyright Policy:

“An individual’s creative effort belongs solely to that individual except where an employer (such as the University of the South Pacific) has engaged that individual in activities that may result in the production of Intellectual Property. It is assumed that, if an individual produces IP or Copyright while formally associated with the University, then the University has legal rights over the ownership of that IP or Copyright. At the same time, certain rights are retained by the individual.”

Any patentable invention produced as a result of research at USP, is eligible for rewards as shown in Table 1 below for the different levels of patenting.

Table 1. Rewards for Patents
Level of patenting Reward value attached to a patent (F$)
Fiji Regional
Certificate of Grant 7000 9000
Certificate of Examination 7000 9000

For multi-authored patents, the reward will be calculated using the same formula as that of journals (Table 3 below).

REWARDS FOR JOURNAL ARTICLES AND CONFERENCE PROCEEDINGS

The nominal reward value attached to an article published in each class of journal is shown in Table 2.

Table 2. Nominal reward value accounting for journal quality
Quality class of journal according to USP2015 journal Ranking Reward value attached to a journal article (F$)
Fiji Regional
A* 5000 7000
A 3000 5000
B 500 3000
<B none none

USP encourages collaboration and involvement of students and early-career researchers in publications. This scheme therefore specifically encourages multi-authored journal articles. Thus if a paper has two authors, the reward value of the paper is not merely halved with each author receiving an equal share to their research account. Instead the formula, 2/(number of authors+1) is applied, the adjusting factor is called f and is shown in Table 3. This formula is the same as adopted by Wollongong University in Australia.

Table 3. The adjusting factor ( f ) for multiple authored publications
Number of authors f, Proportion of reward value allocated to each author
1 1
2 0.67
3 0.50
4 0.40
5 0.33
6 0.29
7 0.25

Thus for a publication in a group B journal with three authors, each author would receive F$250 (500 x 0.5). The formula will apply to ALL authors irrespective of whether or not they are USP staff, thus with five authors but only one USP staff member, the individual reward value will be multiplied by 0.33 and the USP staff member will receive his or her allocation; the non-USP staff will not receive rewards.

REWARDS FOR BOOKS

Books and Book Chapters are ranked according to a criteria adapted from the Australian HERDC system.  All books that meet the criteria will by default ranked ‘B’ in the USP ranking system. However, an author may make a claim for a higher ranking (A or A*). If this occurs the author will need to make the case as to why their publication falls within the top 15% or 5% respectively of book length publications in their field. The DVC RI&I may also request an independent external peer review. In all cases the final decision will be that of the DVC RI&I.

The Reward value for the quality of publisher is in Table 4 below.

Table 4. Reward value for books published according to quality of publisher
Quality class for publisher Reward value(F$)
Fiji Regional
A* 5000 7000
A 4000 6000
B 3000 5000
<B none none

The reward for writing a book also incorporates the number of pages, set in blocks of 200 pages. The formula to calculate reward for a book is:

P x (N/200) x f

where P is the reward value according to whether the publisher is in class A, B or C; N is the number of pages; and f is a factor to capture the number of author(s). The value of f is the same as for multiple authored papers in journals.

For example:

Nunn, Patrick D. (2007) Climate, environment and society in the Pacific during the last millennium. Elsevier, Amsterdam, 316 pages.

Elsevier is classified as a Group B publisher. There are 316 pages, there is one author, therefore this book would attract a reward of 3000 x (316/200) x 1 = F$4740.

REWARDS FOR BOOKS CHAPTERS

For book chapters, the reward value is based on that of an entire book but reduced by a factor of 0.2. The numbers of pages is excluded from the calculation. The formula is:

(P/5) x f

The calculation for multi-authored book chapters will be the same as for journal articles, i.e. the value of f will be as in Table 3.

For example:

Thaman, Randolph R. and Elevitch, C.R. and Kennedy, J. (2006) Urban and homegarden agroforestry in the Pacific Islands: current status and future prospects. In: Tropical Home Gardens: A Time-Tested Example of Sustainable Agroforestry. Springer, Netherlands, pp. 25-41.

Springer is a B-ranked publisher. There are three authors, therefore this book chapter would attract a reward of (3000/5) x 0.5 = F$300 for each USP author.

Section 4. Procedure for claiming reward

Each year, usually by the end of March, the Research Office will circulate to all academic staff their publication record for the previous year deposited on USPERR. Academic staff must validate and sign the return to state that these publications meet the eligibility criteria. If there are any missing publications, staff must inform the Research Office immediately and enter the required data on to the USPERR repository within one month to be eligible for a reward. Academic staff must validate their USPERR outputs by September 1st to receive the award. The Research Office will collate the number of eligible publications, calculate the reward amount and, if this amount exceeds the budget, provide pro-rata rewards (total budget/total rewards * reward value in previous tables).