Publication Categories Criteria Handbook

PUBLICATION CATEGORIES CRITERIA HANDBOOK.................................1

Introduction...........................................................................................................................................2
Publication categories table:.................................................................................................................2

DEEWR CATEGORY CRITERIA......................................................................3

DEEWR definition of research publication.......................................................................................3
DEEWR peer-review requirements......................................................................................................3
A1 Book.............................................................................................................................................5
B1 Book Chapter................................................................................................................................6
C1 Journal Article..............................................................................................................................7
E1 Conference Paper..........................................................................................................................8

FLINDERS CATEGORY CRITERIA..................................................................9

A2 - Book: Other...................................................................................................................................9
B2 - Book Chapter: Other.....................................................................................................................9
C2 - Journal Article: Other..................................................................................................................10
E2 Conference Output: Other..........................................................................................................10
I2 Patents..........................................................................................................................................10
J2 - Creative Work: Other...................................................................................................................11
K2 Academic Editing.......................................................................................................................11
Y2 - Other Public Output....................................................................................................................12

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.
Flinders University 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/ERA criteria 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
Book
Book Chapter
Journal Article
Conference Output
Patent
Creative Work
Academic Editing
Other

DEEWR Categories
A1 Book
B1 Book Chapter
C1 Journal Article
E1 Conference Paper

Flinders Categories
A2 Book: Other
B2 Book Chapter: Other
C2 Journal Article: Other
E2 Conference Output: Other
I2 Patent
J2 Creative Work
K2 Academic Editing
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 compilation of 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 humanitys 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
(http://www.isinet.com/journals); or
The journal is listed as Refereed in Ulrichsweb Global Serials Directory
(http://ulrichsweb.com/ulrichsweb/); or
There is a section 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 reviewers 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 reviewers 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 the K2 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
Introductions that 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-reviewed in 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 reviewed in full
The conference paper must have been published in full in one of:
o a volume of proceedings
o a special edition of a journal
o a normal issue of a journal
o a book or a monograph
o a CD-ROM; or
o 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

Flinders Category 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:
o do not have a commercial publisher; and/or
o are not available for sale; and/or
o 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:
o do not meet the peer-review requirements; and/or
o 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 abstracts of 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