HERDC Publication Categories

Research HERDC Publication Categories

The publications component of the Higher Education Research Data Collection (HERDC) measures the nation’s research output quantitatively based on research publications from universities. The data collected is currently used in the calculation of the Institutional Grant Scheme and the Research Training Scheme.

The publications component is intended as a broad indicator only and is not a comprehensive count of all quality research output.

For the purposes of the HERDC, a “research publication” is characterised by:

  • substantial scholarly activity;

  • originality, that is, it is not a compilation of existing works;

  • veracity/validity through a peer validation process or by satisfying the commercial publisher process;

  • increasing the stock of knowledge; and

  • being in a form that enables dissemination of knowledge.

HERDC recognises four publication categories:

A1 - Book (authored research, commercially published)

Is a major work of scholarship bound (or if in electronic format, such as a CD-ROM, packaged) and offered for sale;

Has an International Standard Book Number (ISBN);

Is published by a recognised commercial press or publisher (including self-supporting arms of other bodies such as university presses);

Is written entirely by a single author, or by joint authors who share responsibility for the whole book (i.e. individual chapters are not attributed to different authors); and

Consists mainly of previously unpublished material, making a substantial contribution to a defined area of knowledge.

And is not part of any of the following exclusions:

  • textbooks; edited books; revisions/new editions; technical and contract reports; creative works such as novels, depending mainly upon the imagination of the author; translations or annotated anthologies.

B1 - Chapter in a scholarly Book

A contribution of chapter length, consisting substantially of new material,

Published in an edited compilation in which the material is subject to editorial scrutiny.

Include:

A scholarly introduction of chapter length where the content of the introduction reports research undertaken by the editor and makes a substantial contribution to a defined area of knowledge; or

A critical scholarly text of chapter length, e.g. in music, medieval or classical texts, or critical reviews of current research

And the book …

  • is a major work of scholarship bound and offered for sale;

  • published by a recognised commercial press or publisher;

  • has an International Standard Book Number (ISBN); and

  • makes a substantial contribution to a defined area of knowledge.

And the chapter is not part of any of the following exclusions:

  • entries in reference works ; forewords; brief/general introductions; brief editorials; appendices; revisions of chapters, and works already published independently, e.g. as journal articles or in conference proceedings, and previously counted in one of those categories.

  • chapter in a textbook , in a book published by private individuals, or privately funded companies, e.g. “vanity presses”, in a government department publication , as well as book chapters published by academic, professional or research organisations that have a major function other than publishing .

  • chapters in translations, annotated anthologies and creative works such as a collection of short stories, unless the chapter is a critical scholarly text which is a major work of scholarship in its own right

C1 - Article in a scholarly refereed journal

A substantial work of scholarship published in a scholarly journal following a formal process of peer review.

If the paper is in a non-standard category (e.g. invited paper, research notes, letter to the editor, etc.) evidence that this material has been peer reviewed will be required.

And is not part of any of the following exclusions:

  • editorials ; book reviews ; letters to the editor ; non-scholarly, non-research articles; articles in newspapers and popular magazines; reviews of art exhibitions, concerts and theatre productions; medical case histories or data reports, that are not full journal articles; commentaries and brief communications of original research that are not subject to peer review; articles designed to inform practitioners in a professional field, such as a set of guidelines or the state of knowledge in a field.

Proof that the publication is refereed through either

  • the journal's ISI listing

  • an Ulrich's listing as a refereed journal

  • listed in DEST's Register of Refereed Journals

  • a statement in the journal or on the publication

  • a statement by the journal's editor

  • a copy of a referee's assessment relating to the publication

E1 - Conference Publication - Full Paper - refereed

Written version of a conference presentation published in proceedings (not an extended abstract)

Made available for international circulation

Presented at a conference, workshop or seminar of national and/or international significance

The publication has usually an ISSN or ISBN.

And is not part of any of the following exclusions:

  • papers that appear only in a volume handed out or sold to conference participants (e.g. “Program and Abstracts” books); invited papers; papers presented at minor conferences, workshops or seminars that are not regarded as having national significance; conference papers assessed only by an editorial board; conference papers accepted for presentation (and publication) on the basis of peer review of a submitted extract or abstract only; or one page abstracts or summaries of poster presentations

Proof the publication is refereed through either

  • the journal's ISI listing

  • an Ulrich's listing as a refereed journal

  • listed in DEST's Register of Refereed Journals

  • a statement in the Journal or on the publication

  • a statement by the journal's editor

  • a copy of a referee's assessment relating to the publication