Publication Categories Criteria Handbook

Publication Categories Criteria Handbook

Publication Categories Criteria Handbook

Introduction

Publication categories table:

DEEWR Category Criteria

DEEWR definition of “research publication”

DEEWR peer-review requirements

A1 – Book

B1 – Book Chapter

C1 – Journal Article

E1 – Conference Paper

Flinders Category Criteria

A2 - Book: Other

B2 - Book Chapter: Other

C2 - Journal Article: Other

E2 – Conference Output: Other

I2 – Patents

J2 - Creative Work: Other

K2 – Academic Editing

Y2 - OtherPublic Output

Introduction

This purpose of this handbook is to assist RMIS (Research Management Information System) users in determining a publication category when entering publication data into the RMIS.

FlindersUniversity collects information on 12 different publications categories, each corresponding to a specific type of published work. Four of these are defined by DEEWR and usually attract Commonwealth funding.

NOTE: A DEEWR-category publication meeting all the criteria outlined in this document does not guarantee inclusion in a HERDC/ERA report. There are other HERDC/ERAcriteria that are not related to the category (e.g. author affiliation and year of publication) and are therefore beyond the scope of this document.

Publication categories table:

Publication Type / DEEWR Categories / Flinders Categories
Book / A1 / Book / A2 / Book: Other
Book Chapter / B1 / Book Chapter / B2 / Book Chapter: Other
Journal Article / C1 / Journal Article / C2 / Journal Article: Other
Conference Output / E1 / Conference Paper / E2 / Conference Output: Other
Patent / I2 / Patent
Creative Work / J2 / Creative Work
Academic Editing / K2 / Academic Editing
Other / Y2 / Other Public Output

DEEWR Category Criteria

*Commonwealth funding is usually received for works produced in these categories*

In order to be claimed in a DEEWR category, the publication must:

• Meet the DEEWR definition of a “research publication”
• Meet the DEEWR peer-review requirements
• Meet the DEEWR category criteria

DEEWR definition of“research publication”

DEEWR defines “research publications” as books, book chapters, journal articles and/or conference publications which are the result of research activity, and are characterised by:

• substantial scholarly activity, as evidenced by discussion of the relevant literature, an awareness of the history and antecedents of work described, and provided in a format which allows a reader to trace sources of the work, including through citations and footnotes
• originality (i.e. not a compilationof existing works)
• increasing the stock of knowledge
• being in a form that enables dissemination of knowledge

DEEWR defines “research activity” as:

• Creative work undertaken on a systematic basis in order to increase the stock of human knowledge, and the use of this knowledge to devise new applications.
• Any activity classified as research which is characterised by originality; it should have investigation as a primary objective and should have the potential to produce results that are sufficiently general for humanity’s stock of knowledge (theoretical and/or practical) to be recognisably increased.
• Pure basic research, strategic basic research, applied research and experimental development.

DEEWR peer-review requirements

The publication must have undergone a peer-review process that involves assessment of the publication:

• in its entirety – not merely an abstract or extract;
• prior to publication; and
• by appropriately qualified experts that are independent of the author

For books (A1) and book chapters (B1), this requirement is met if:

• The book is published by a commercial publisher; and
• The book is available for commercial sale

For journal articles (C1), this requirement is met if:

• The journal is listed in one of the Institute for Scientific Information indexes (); or
• The journal is listed as “Refereed” in Ulrichsweb Global Serials Directory (); or
• There is asection in the journal stating that contributions are peer-reviewed; or
• The author has a statement or acknowledgement from the journal editor showing that contributions are peer reviewed; or
• The author has a copy of the reviewer’s assessment relating to the article

For conference papers (E1), this requirement is met if:

• There is a statement in the proceedings that all papers are peer-reviewed in full
• The author has a statement or acknowledgement from the proceedings editor showing that all papers are peer-reviewed in full
• The ‘Call for Papers’ document states that all papers are to be peer-reviewed in full
• The author has a copy of the reviewer’s assessment relating to the paper

NOTE: Many conference papers are accepted by peer-review of the abstract only. These papers should use the E2 category since they do not meet the peer-review requirement.

A1 – Book

To be included in the A1 category, the publication must meet the following criteria:

• The book must meet the DEEWR definition of a “research publication”
• The book must have been published by a commercial publisher.
• The book must be offered for commercial sale (i.e. not just on a cost-recovery basis)
• The book must be a major work of scholarship
• The book must have an International Standard Book Number (ISBN)
• The book must be written entirely by a single author, or by joint authors who share responsibility for the book as a whole. Authors who do not share responsibility for the book as a whole may be able to claim the work as individual chapters (see B1/B2.)

Examples of books that are likely to meet the criteria include:

• Books that report new research findings
• Books that contain new ideas or perspectives on established research findings
• Critical scholarly texts (for example music, medieval or classical texts)
• Books with new interpretations of historical events

• Translations that include original critical scholarly contributions regarding the translated text

Examples of books that are unlikely to meet the criteria include:

• Textbooks or reference works (see A2)
• Anthologies of previously published works
• Edited books (editors may claim these in theK2 category)
• Creative works such as novels (see J2)
• Translations without original critical scholarly contributions (see Y2)
• Revisions/new editions (see A2, although it may be possible to claim any new chapters in the B1 category).

B1 – Book Chapter

To be included in the B1 category, the publication must meet the following criteria:

• The chapter must meet the DEEWR definition of a “research publication”
• The chapter must be within a book that has been published by a commercial publisher
• The chapter must be within a book that is offered for commercial sale (i.e. not just on a cost-recovery basis)
• The chapter must be within a book that has an International Standard Book Number (ISBN)
• The chapter must be within a book where the authors of each chapter are identified within the work

Examples of book chapters that are likely to meet the criteria include:

• A chapter that reports new research findings
• A critical review/analysis of current research
• A scholarly introduction of chapter length to an edited volume, that makes a substantial contribution to a defined area of knowledge

Examples of chapters that are unlikely to meet the criteria include:

• Chapters in textbooks (see B2)
• Entries in reference books that summarise existing knowledge(see B2)
• Revised chapters without substantial new research content (see B2)
• Forewords and appendices
• Introductionsthat summarise the book contents
• Editorials or opinion pieces
• Creative works such as short stories or poems(see J2)

C1 –Journal Article

To be included in the C1 category, the publication must meet the following criteria:

• The article must meet the DEEWR definition of a “research publication”
• The article must have been peer-reviewedin full
• The article must be published in a scholarly journal
• The journal in which the article appears must have an International Standard Serial Number (ISSN)

Examples of journal articles that are likely to meet the criteria include:

• Communications of original research
• Substantial research notes
• Critical scholarly texts which appear in article form
• Articles reviewing multiple works or an entire field of research
• Articles in journals which are targeted to both scholars and professionals
• Articles in a stand-alone series.

Examples of journal articles that are unlikely to meet the criteria include:

• Letters to the editor
• Case studies
• Invited research papers (unless peer-reviewed)
• Articles designed to inform practitioners on existing knowledge in a professional field
• Articles in newspapers and popular magazines
• Editorials or opinion pieces
• Book reviews
• Brief commentaries/communications of original research
• Reviews of art exhibitions, concerts, theatre productions.

E1 –Conference Paper

To be included in the E1 category, the publication must meet the following criteria:

• The conference paper must meet the DEEWR definition of a “research publication”
• The conference paper must have been peer reviewedin full
• The conference paper must have been published in full in one of:
• a volume of proceedings
• a special edition of a journal
• a normal issue of a journal
• a book or a monograph
• a CD-ROM; or
• an organisational web site
• The above proceedings must be publicly available
• The conference paper must have been presented at a conference, workshop or seminar of national/international significance

Examples of conference publications that are unlikely to meet the criteria include:

• Papers that appear only in a volume handed out to conference participants
• Published abstracts
• Published papers where only the abstract was peer-reviewed

FlindersCategory Criteria

*These categories are only used for internal reporting purposes. No funding is received for works claimed for these categories*

A2 - Book: Other

To be included in the A2 category, the publication must meet the following criteria:

• The work must be a book that does not meet the A1 criteria
• The book must be a major work of scholarship
• The book must be written entirely by a single author, or by joint authors who share responsibility for the book as a whole

Examples of books that are likely to meet the A2 criteria include:

• Works that would otherwise meet the criteria for the A1 category but:
• do not have a commercial publisher; and/or
• are not available for sale; and/or
• have no ISBN

• Textbooks or teaching aids
• Reference works that summarise existing knowledge
• Privately printed books or monographs
• Government department reports
• Revised/new editions of existing books without substantial new material

B2 - Book Chapter: Other

To be included in the B2 category, the publication must meet the following criteria:

• The work must be a book chapter that does not meet the B1 criteria

Examples of works that meet the B2 criteria:

• A chapter in a research monograph published by a University Department
• A chapter in a textbook or reference work
• A chapter in a book published by private individuals, university departments and privately funded companies (vanity presses)
• A new or substantially revised chapter in a revised book/new edition. It may be possible to claim new chapters in revised books in the B1 category providing there is a clear indication that the chapter is entirely or mostly new.

C2 - Journal Article: Other

To be included in the C2 category, the publication must meet the following criteria:

• The work must be a journal article that does not meet the C1 criteria

Examples of journal articles that are likely to meet the criteria include:

• Works that would otherwise meet the criteria for the C1 category but:
• do not meet the peer-review requirements; and/or
• are in a journal without an ISSN

• Articles designed to inform practitioners in a professional field, such as a set of guidelines or the state of knowledge in a field.

• Medical or other case studies

• A brief commentary or communication of original research
• An editorial, opinion piece or invited article

• A book review
• A letter to the editor
• A review of an art exhibition, concert, theatre production (by members of appropriate academic departments)

E2 – Conference Output: Other

To be included in the E2 category, the publication must meet the following criteria:

• The work must be a conference-related output that does not meet the E1 criteria

The types of conference papers that are likely to meet the criteria include:

• An unpublished presentation of research at a conference/workshop/seminar
• Published abstractsof conference presentations
• Conference posters

I2 – Patents

To be included in the I2 category, the publication must meet the following criteria:

• The patent must be for a product or process for which a full patent (or its equivalent) has been granted

J2 - Creative Work: Other

To be included in the J2 category, the publication must meet the following criteria:

• The work must not meet the criteria of any DEEWR categories
• The work must be substantially creative (depending mainly on the imagination of the author rather than a publicly accessible body of agreed fact.)

Examples of creative works that are likely to meet the criteria include:

• Published novels, poetry, plays or musical works
• Exhibitions or catalogues of original art
• Published audio-visual recordings with substantial creative content.

K2 – Academic Editing

To be included in the K2 category, the editing must meet the following criteria:

• The editing must be of an academic/scholarly research publication (journal, book, conference proceedings etc)
• The editing must be credited to the claimant within the work
• The editing of the work must include the overall responsibility for the scope and direction of the work

Examples of editing that are likely to meet the criteria include:

• Journal editing where the editor is responsible for setting the scope and direction of the journal (one claim per volume)
• Book editing where the editor is responsible for setting the scope and direction of the book

Examples of editing that are unlikely to meet the criteria include:

• Proof-reading or copy-editing of works
• Peer-reviewing of articles/conference papers
• Editorials in journals (see C2)
• Appendices (see Y2)

Y2 - Other Public Output

This category should be used to record any additional publications that do not fit other prescribed DEEWR or Flinders categories.

To be included in the Y2 category, the editing must meet the following criteria:

• The work is published or publicly available

Examples of works that are likely to meet the Y2 criteria include:

• University departmental or centre working papers, technical reports, discussion papers, etc.

• Small entries in reference works
• Forewords, brief introductions, brief editorials
• Appendices
• Audio-visual recordings
• Computer software
• Technical designs/drawings
• Direct translations of texts not accompanied by critical analysis
• Any other public output based on research