Reporting of academic publications in the health, institute and HE sectors

The document describes the reporting requirements for academic publication in the health, institute and higher education sector (HE sector) for publications from 2017.

Deadlines

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1. Definition of academic publication

An academic publication is defined by four criteria, all of which must be met.

An academic publication must:

  • present new insight
  • be presented in a form which makes the results verifiable or usable in new research
  • be presented in a language and have a distribution which makes it accessible for the majority of researchers who may be interested in it
  • be in a publication channel (journal, series, publisher, web site) with routines for "peer review".

Further explanation of the definition can be found in chapter 3 of the report "Vekt på forskning" by The Norwegian Association of Higher Education Institutions, p. 24-26.

The responsibility for the two last bullet points is supervised centrally through the operation of the channel registry. But both the channel and the publication itself must be academic. Responsibility for making sure that the reporting follows the two first bullet points rests with the individual institutions. The institution is responsible for ensuring that the contents and formulation of the reported publication is academic according to the demands of good research by the academic community of the subject in question.

Regarding the channel registry, the National Publication Committee has compiled the following definition of peer review for use in approved publication channels:

  1. Peer review always occurs before publication. 
    Peer review is a process which always occurs before the publication of original research findings.
  2. At least one peer must be without ties to the publisher or the author.
    A manuscript must be reviewed by at least one expert within the field who is without ties to the publisher or the author. The expert may be known or anonymous
  3. The peer review must adhere to academic originality and quality.
    The assessment of academic originality must be included in the written assessment.

The institutions must also follow this definition when reporting each publication.

2. Work flow and responsibility

Each institution is responsible for making sure that the registration includes correct data for academic publications in valid publication channels. This includes the responsibility for establishing locally adapted guidelines and routines for the collection and quality control of data.

As of 2011 Cristin is established as a common research information system for the health, institute and HE sectors. All institutions which comprise the publication indicator of the funding systems of the health, institute and HE sectors use Cristin as their reporting system. Cristin is in this connection used for the registration of complete bibliographical references for academic publications which at the same time can be unambiguously connected to persons working at institutions which are a part of Cristin.

In support of the reporting Cristin imports bibliographical data from several sources, (see section on bibliographical data). These data support the registration of the main part of the articles in academic journals and to some degree books and chapters of books. Likewise Cristin maintains common authority registers with standardized names of publication channels, institutions and their underlying organizational structure.

Norwegian Social Science Data Services (NSD) are responsible for the register of academic publication channels and deliver quality controlled data to Cristin through channels which are at all times approved by the National Publication Committee (NPU).

The parent process for the reporting of academic publication is illustrated in the figure below:

Arbeidsflyt

In conjunction with the reporting Cristtin will provide the institutions with guidance and training, with emphasis on what may be reported as an academic publication. Cristin will also point out any errors and discrepancies discovered before the deadline. After this point in time the ministries have different procedures for securing that the data basis on which the proposition for the allocation of performance based grants for research in the national budget for the following year is correct.

NSD is responsible for calculating the publication points for the institutions of the HE sector to be used in among other things the calculations by the Ministry of Education and Research of the research incentives of the funding system, the departmental management and condition reports.

The Ministry of Health has assigned NIFU the task of calculating the final publication points consisting of article points from academic publications during the past three years, doctorate points and the assignment of external funding from the EU and The Research Council of Norway in the Regional Health Authorities. These calculations are the basis of the allocations by the Ministry of Health of the performance based grants to research in the Regional Health Authorities.

The Regional Health Authorities will, as a part of the performance based funding system, also report separately on completed doctorates to NIFU. This measure is not based on self-reporting. NIFU develops lists of completed doctorates which are sent to the Health Authorities for control and supplementation. The Regional Health Authorities must also report separately to NIFU on received external funds from EU and The Research Council of Norway respectively in a separate form which is distributed in conjunction with the yearly reporting of resource use for research in the Health Authorities. Further information on the calculation system for research results in the Health Authorities can be found at regjeringen.no.

The Research Council calculates publication points for the institute sector.

3. Data basis: information elements, bibliographical data, self-reporting

3.1. Information elements

The basis of the reporting must be data on academic publication at the institutions. Information elements which are to be included in the reporting is:

  • Title of work
  • Publisher information with standard codes for authority registers for journal, publisher, series and published books
  • Identification elements like volume, year of publication, page references, and ISBN for published books
  • All authors and their institutions. Listed in the same order as in the publication
  • Specific marking of those authors who list the reporting institution as the author address
  • Form of publication

For auditing purposes the institutions must store and be able to present all data included in the basis for the reporting.

Data reported shall be counted at institutional level in the HE sector. For the health sector data reported is counted from institutions which are part of the national funding system for research results in the Health Sector.

3.2. Addressing of publications

In certain cases an author may want to give credit to several institutions, by listing several authors' addresses in the publication (eg a Health Authority and an institute).

The following principles apply for crediting:

  1. An institution shall be listed as an address in a publication if it has given a necessary or significant contribution to or basis for an author's contribution to the published work.
  2. The same author should list the address of other institutions as well if these in each case also meet the requirements of paragraph 1.
  3. Employment or supervision of graduate students can be considered a basis for crediting an institution if the requirement of paragraph 1 is met.

3.3. Import from bibliographical data sources

Cristin currently has an agreement with Elsevier (for the data source Scopus), The National Library of Norway (for the data source Norart) and BIBSYS concerning the supply of bibliographical data for indexed journal articles as a support of the reporting in Cristin. The import from the data sources is run by a joint service of NSD and USIT.

Cristin's secretariat imports bibliographical references on behalf of the institutions. Associations to Norwegian and foreign institutions are added by Cristin. As a result of this work, for most academic journal articles there exists a searchable suggestion for bibliographical data to be reported from each institution in advance. After an imported reference has been used for registration, the person in charge of reporting at the institution must ensure the quality of the data and make sure that they are correct and complete.

As a main rule imported data from bibliographical data sources should be used if available.

3.4. Posts without bibliographical data sources (manually registered posts)

For academic publications in book form chapters and monographs are imported from BIBSYS, but the import does not cover all publications. In addition there are journals which are not indexed in the data source, and there are journal articles which have not yet been indexed at the time of desired reporting. Such publications must be registered by the institution (manually).

All registered posts must be reviewed by the institutions in order to ensure that they are correctly marked according to the criteria. The institutions must perform an especially thorough control of those publications which are registered without any bibliographical data source (ie manually registered).

4. Publications, year of publication

4.1. Year of publication

Only academic publications with the reporting year given as the year of publication may be reported. Furthermore only first time publications shall be reported. Revised works shall not be reported. 

In some cases there is no correlation between the given year of publication and the actual year of publication. Publications with the year of publication given as the current year of reporting, but which are not published until the following year, may be reported if it can be documented that the publication in fact is or will be published before the reporting deadline.

Publications published with a year of publication previous to the year of reporting shall not be reported. These publications may be registered in Cristin, but without being reported and considered in conjunction with the funding system.

4.2. Electronic versus printed article

In some cases an article may be published considerably earlier in the electronic version of the journal than in the printed one. In such cases the electronic version should normally be the basis of the reporting, provided that it is identified with DOI (Digital Object Identifier). The institutions must make sure that this form of double publishing does not lead to double reporting. It is especially important to beware of the danger of double reporting in those cases where the printed version is published in a later year than the electronic version. 

In some cases the electronic version is published later than the printed version. In such cases this version may be reported provided that the printed version has not been reported earlier and it is indicated in the electronic version that it has been published in the year of reporting.

4.3. Late reporting 

In some cases publications are discovered which ought to have been included as part of any earlier reporting. Late reporting of such publications is not allowed.

5. Publication channels

The publication must be published in an approved publication channel. Academic publication channels are periodicals, series, websites and publishers which are organized editorially for the publishing of academic publications in accordance with the definition of academic publication.

Academic publication channels are separated into two main types: 

  • Periodicals, series and web pages with ISSN 
  • Publishers of publications with ISBN 

In addition the publication channel cannot be local, ie represent authors from a single institution in more than two thirds of the publications which are published in the channel.

NSD administers the register of academic publication channels. The register contains both ISSN titles and publishers of ISBN titles and is accessible here: https://dbh.nsd.uib.no/publiseringskanaler/Forside

The register is updated by new proposals being made to NSD. NSD in turn ensures that all proposals are considered by the National Publication Committee during the year of publication. If a publication channel is found to be missing, a proposal for a new channel for level 1 may be sent within the deadline of November 30. the year of reporting. If the proposal is approved for level 1, it will apply to the year of reporting. The National Publication Committee usually has 4 meetings per year, and approved channels are regularly made available in Cristin.

Questions concerning academic publication channels may be directed to publiseringskanaler@nsd.uib.no

5.1. Works in mixed publication channels

Certain professional journals with separate sections for academic publishing are accepted as approved publication channels. From these only academic articles which have been peer reviewed shall be reported. See section beneath on types of publication.

5.2. Specifically on series

Series have, like periodicals (journals and yearbooks), a separate title and ISSN, but are often published less regularly. Series may consist of both monographs and collections of articles where each publication has an individual ISBN. For serial publications the parent ISSN title is considered the publication channel (not the publisher). 

For serial publications the following applies: 

  • Any publication which may be linked to an ISSN, either directly or via an ISBN publication with a parent ISSN number, must be registered with the series (ISSN) as the publication channel. The title of the series must be approved in the register. 
  • Only publications which only have an ISBN an no connection to an ISSN title shall be registered with the publisher as the channel. This may apply to book series or proceedings series which do not have an ISSN. The publisher must be approved in the register.

6. Publication forms

6.1. Groups of publications to be reported 

Publications within three basic groups shall be reported in all three sectors:

  • Academic monographs: The publication has a title with an ISBN. It may have one or more authors, and the names are listed in connection with the title. 
  • Academic articles in anthologies: The publication is without a separate number, but is connected to a title with an ISBN. It may have one ore more authors, and the names are listed in connection to each publication. 
  • Academic articles in periodicals, series and web pages (ISSN titles): The publication is without a separate number, but is connected to a title which has an ISSN. It may have one or more authors, and the names are listed in connection with each publication.

Even though a publication channel is approved, not all publications from these channels may be reported, cf. definition of academic publication in section 1. 

  • In academic journals or series only original articles or academic overview articles shall be reported, not other material, eg. editorials, commentaries, debates, book reviews, interviews/current affairs, bibliographies, etc.
  • In professional journals only articles in the academic section of the journal should be reported. If the journal lacks a academic section, each article must have been explicitly peer reviewed, and the requirements of academic content must in any case be met.
  • In academic anthologies each reported article must meet the requirements of academic content. The genre of the book is included in the comprehensive assessment even though each anthology article is the basis of reporting. In addition the publisher must have provided a peer review.
  • In academic monographs the requirements of academic content apply to the book as a whole. In addition the publisher must have provided a peer review.

6.2. Review articles

Review articles are articles which describe the status of a research field by going through all significant material on the subject. Review articles are counted in the same way as ordinary academic articles. Book reviews, in the form of evaluations and reviews of one or more new works, cannot be counted as review articles.

6.3. Proceedings

Articles must only be counted once. In some cases an article is published in several approved channels. For instance, a conference paper is normally published in the conference proceedings, but may also be published later in a journal or a book. Normally an academic publication channel with peer reviewing will not accept a manuscript which has been previously published. Those proceedings which may be reported as academic will therefore be limited to those which are published in approved channels which follow the rule that the publication must be original and not previously published.

Proceedings are counted in the same way as journal articles if they are connected with an approved ISSN title in the register, and in the same way as anthology articles if they are connected to an approved ISBN publisher in the register. Such publications should be reported in the stated year of publication, which is not necessarily the year in which the conference was held. It is the series or publisher which is the channel, not the specific and dated conference. In disciplines where conference publication is common and conferences are held regularly, the proceedings are normally connected to a serial title (ISSN) or with publisher, an institution or an association which is a regular distributor (ISBN publisher). Preliminary publications which are only distributed at the conference and cannot be connected to either an ISSN title or an ISBN publisher shall not be reported. It is the final publication in an approved channel which should be reported.

In order for a conference paper to count it must be peer reviewed and published in book form, a journal or on a CD with normal distribution in approved distribution channels, and must have an ISSN and/or ISBN. In Cristin the contribution must be registered as an article, the chapter of a book or an article in an ISSN series/journal.

6.4 Theses

Doctoral theses may be reported if they are published in an approved channel and satisfy the general criteria for academic publication. This entails among other things that the peer reviews must have been incorporated.

6.5. Monographs and anthology articles

The term monograph entails a cohesive work written by a single person, or several persons who are responsible for the work in its entirety. It is the book which should be counted, not the individual chapters. An academic monograph or anthology is a larger publication which conveys new, research based knowledge primarily targeting an academic community. 

The distinction is as follows: Monographs are publications where the title of the publication has an ISBN. The name of the author is connected to this title. Anthology articles have titles without an individual ISBN, but are published in connection with a (parent) ISBN title. The name of the author is connected to the title of the article. 

Monographs and anthology articles must be peer reviewed in the same manner as journal articles. In this connection peer review means that books and articles have been reviewed by an expert in the field who is without ties to the publisher or the author. 

Not all monographs and anthologies meet the criteria for academic content. "A Bibliometric Model for Performance-based Budgeting of Research Institutions" specifically mentions textbooks (books written specifically for teaching purposes), and books targeting the general market, as categories which should not count as academic monographs. Based on the general definition the following publication types will also normally not be accepted: 

  • Popular science books, debate books 
  • Work reports and notes
  • Encyclopedias, anthologies/article collections, edited works
  • Other nonfiction/academic literature which is not based on original research
  • Fiction

6.6. Publications which have received funds from The Norwegian Association of Higher Education Institutions' textbook committee:

Books which have received funds from the Norwegian Association of Higher Education Institutions' textbook committee should not normally be reported as academic publications. For exceptions the institution must provide professional grounds.

6.7. Academic commentary editions, text editions and critical editing of music

Characteristic for an academic edition is that it has an introduction which contains an exact text account of the primary material, an explanation of the publishing principles which underlies the reproduction of the text and an establishment of the text of the edition in accordance with the explanation and the publishing principles. This separates a academic publication from popular editions, school editions etc where the text is normally obtained from a academic edition. Academic editions must be peer reviewed in order to count. Most academic editions are published in series where this requirement is met. 

An academic commentary may be an independent publication or be part of an academic edition. In order for a commentary to be counted, it must contain an examination of all significant research about the work and have placed it in a new philological and analytical context. It applies to commentaries too that they are usually published in series, and likely in connection with an edition. If the commentary is a part of an academic edition, the combined edition and commentary may only be counted as one publication.

Critical editing of music is a variation of the academic commentary edition in the field of musicology. The academic and technical requirements are the same, with the distinction that it is notes, not texts, which are commented on and reproduced in a new edition based on the academic work present. This form of publication may be reported as an academic publication provided it meets the standard requirements, including an external peer review. 

An academic commentary to a score will usually contain a summary and incorporation of earlier research and a commentary to the work as a whole and its parts. Essentially an authoritative commentary should contain an examination of all significant research about the work and have placed it in a new musical and analytical context.

6.8. Other limitations

Only original literature shall be counted – not new editions and translations. Each book which is reported must be publicly available and be identified by ISBN. In cases where books are published in series with ISSN this should be used as a reference and the series must be approved as a publication channel. Series which do not have an ISSN will not be considered as a publication channel. Instead the publisher may be considered as a publication channel.

7. Crediting of addresses of institutions and author shares

In order for an institution to count a publication wholly or partially for reporting the name of the institution must be listed as an author's address in the publication itself. See section 3.2 for instructions for addressing. Publication shares which are credited to the peripheral zone of the institutions shall not be counted. 

It is sufficient to list the name of the institution as the address of the author in connection with the work in question. The address of the author may be listed on the cover, the colophon page, in separate sections in the front or back of journals, or (most commonly) in connection with individual articles. 

"Corresponding address" may be accepted as the author's address only in those cases where the publisher do not list the ordinary address of the author, and "Corresponding address" refers to the institution(s) the author was connected to when the work on the publication was executed.

Authors should at the same time have a documented connection to the institution, as an employee, a research fellow, temporarily affiliated, a student, etc, either at the time of counting or at the time of the creation of the publication. 

Only the role of the author of a publication should be credited. Editors, illustrators, etc are not regarded as authors of a work, and shall not be part of the calculation of the indicators.

8. Data format, data delivery

You can find a guide to data delivery on cristin.no (in norwegian).

This web page will be updated with a guide to how the institutions should report data about 2015-publications well in advance of the reporting deadline. Cristin will extract the reports of the institutions and send them on to the data controllers in the respective sectors after the reporting deadline.

Appendix to the reporting instructions

9. Calculation of points for academic publications

In the budget proposal for 2016 which was presented in October 2015, the government announced that there will be an adjustment of the publication indicator. 

All three  sectors will adjust the calculation of the publication indicator with effect for 2015 publications.

The new method of calculation is described in Orientering om forslag til statsbudsjettet 2016 UH, chapter 5.3.2.1 Change in the publication indicator, page 59-60.

The adjustment entails no changes in what the institutions should report in the Cristin system.

9.1. Data basis for the calculation of points for academic publications

Data from Cristin should be used to calculate points for academic publications in the three sectors. Points for academic articles are a weighted number based on each work's combination of

  • quality level of the publication channel (journal/publisher) 
  • publication form (book, article in an ISSN publication, article in an ISBN-publication)
  • international cooperation
  • The author shares of the institution

9.2. Levels of channels

The national measuring systems for academic publications are based on a tiered classification of academic journals based on an evaluation of the quality of the journals. The purpose of a classification by quality of journals is to stimulate to high quality of the publication of academic articles. If the channel is at level 1 or 2, this means that it is approved. Level 2 is channels with higher international prestige. 

NSD prepares all cases for channels at level 1, while the National Publication Committee of The Norwegian Association of Higher Education Institutions coordinates the placing of channels at level 2. This is done based on input from the many national expert bodies of The Norwegian Association of Higher Education Institutions.

The goal is for the volume of publication at level 2 channels to be about 20 percent of the total publication volume (ie 20 percent of the publication volume , not 20 percent of the publication channels). These 20 percent are distributed within each field as well, which is administered by a an expert body. This entails a limitation of the number of channels at level 2 and it sometimes follows that channels are moved from level 1 to 2 or vice versa. When the national academic councils are done ranking channels on level 2 and the changes are processed by the National Publication Committee, NSD updates it register of academic publication channels with valid academic channels at level 1 and 2 and make these available to the research sector via the Cristin system.

Through NSD's web page one may search for disciplines, see the distribution of journals at level 1 and 2 within the different disciplines (eg rheumatology, public health, otorhinolaryngology, etc): http://dbh.nsd.uib.no/kanaler/?search=advanced.

All three sectors (HE, health and institute sectors) are involved in the level division of channels via the representation in the National Publication Committee. 

9.3. Weighting of publication form and quality level

When the points are calculated the author shares should be weighted (multiplied) with an academically determined number. The combinations of publication form and quality level form categories which form the basis for weighting. 

The weights which are used in the funding systems of the three sectors are as follows:

Category

Level 1

Level 2

Monograph (ISBN/ISSN)

5

8

Article in anthology (ISBN)

0,7

1

Article in periodicals and series (ISSN)

1

3

9.4. Weighting of collaborations

Collaboration is rewarded with extra weight.

The health care and HE sectors: The points of the institutions are multiplied by a factor of 1,3 for international co-authorship. 

The institute sector: The description will be updated when a decision has been made for the model for calculating publication points in this sector.

9.5. Description of the new publication indicator based on the author shares of the institutions

In 2013 the Danish Centre for Studies in Research and Research Policy at the University of Aarhus conducted an Evaluation of the Norwegian publication indicator on behalf of the Norwegian Association of Higher Education Institutions. The evaluation found among other things that the indicator does not balance the disciplines well enough as a measurement of academic productivity. This is a problem because the indicator is used for the redistribution of research funds between institutions with different academic profiles. In 2014 the National Publication Committee using simulations has found a solution to the calculation of publication points at the institution level which balances the disciplines better. The solution will be introduced in the budget distribution for 2017 based on data from academic publication in 2015. The solution has the following consequences, which are all considered desirable:

  • A more discipline neutral publication indicator
  • Increased stimulation to cooperation between institutions and countries with regards to academic publication.
  • A continued counteraction of a possible wish to list more authors than reasonable in the publication
  • Increased difficulties in using the indicator at an individual level
  • No change in the weighting of level and publication form
  • No change in the institutions' reporting of publication data to Cristin

The solution is connected to the calculation of the institutions' author shares in publications to which more than one institution contribute. In such cases the publication point has so far been multiplied by a fraction which equals the sum of the institution's author points divided by the total number of author shares in the publication. Henceforth the institution's publication points should be multiplied by the square root of the same fraction. This solution softens the effect of the fraction, but the institutions must still divide the count between them.

In the interests of publications where one author credits more than one institution, author share is still defined as each unique combination of author and institution in the publication. As an example a publication with two authors, one of whom gives credit to two institutions, will have three author shares.

Method for calculating publication points in the new publication indicator:

For a publication which is connected to more than one institution, the publication points are calculated as follows:

  1. Calculate the total number of author shares in the publication. An author share is each unique combination of author and institution in the publication
  2. Calculate how many author shares the institution has, and divide by the total number of author shares
  3. Calculate the square root of the number (the fraction) in section 2
  4. Multiply by points for the level ant publication form
  5. Multiply by 1,3 if the publication is connected to foreign institutions

For publications which are connected only to one institution only points for level and publication form should be used.

Published Oct. 17, 2017 12:30 PM - Last modified Dec. 7, 2017 12:51 PM