guidance on submissions chris taylor, deputy ref manager graeme rosenberg, ref manager

Guidance on submissions

Chris Taylor, Deputy REF Manager

Graeme Rosenberg, REF Manager

Survey of submissions intentions

• Collect information about the submission intentions of HEIs

• Request multiple submissions (only for reasons as defined in GOS/Panel Criteria) to a single unit of assessment

• Available to REF institutional contacts in October 2012

• Deadline for completion December 2012

• Response from REF team by end Jan

Survey of submissions intentions

• Submission intentions for each UOA:

• Total volume of submitted staff

• Impact areas (and details of highly confidential impacts?)

• Research specialism (and volume)

• Outputs in welsh/other languages (and volume)

• Work where cross-referral will be requested?

Submissions system update

• Usability improvements on RAE system

• New approach to narrative templates (PDF)

• More intuitive approach to user admin

• Currently finalising user requirements based on GOS and in-house development now underway

• Data dictionary, output information requirements, XML schema and example import/export files available early October

• Available to pilot in September 2012

• System live Jan 2013

Submitting outputs

• REF team will attempt to source all submitted journal articles and conference proceedings in electronic format

• Working with PLS to gain agreement for access as in 2008 RAE

• For all other output types, and where not available from publisher, we will require the output in either electronic form or a physical copy/appropriate evidence

• Electronic wherever possible

Citation data• Following a tendering process we have appointed Elsevier

to provide citation data for the 2014 REF

• Outputs entered onto the REF submission system will be

matched to Scopus using DOIs and other bibliographic data

• HEIs will be able to view and verify the matched records

through the submission system, and query problems with

Elsevier (dedicated user support)

• Citation counts for matched outputs will be available on the

submission system. They will be updated during the

process, and no HEI subscription will be required for this

• The citation counts to be reported to the REF panels will be

taken shortly after the submission deadline

HESA data• We will provide HESA data for AY2008-09 to 2011-12 to be

used in preparing REF4a/b

• Spreadsheets containing whole HEI data can be downloaded

from the submission system (soon after launch)

• Data then needs to be allocated and submitted to REF UOAs

• The submission system will limit how far the provided data

can be exceeded by the HEI as a whole. Our working

proposal is:

– 5%, in total for all UOAs across all years

– 10%, in total for all UOAs, per year/income category

– These limits may also have a number element

– If an HEI expects this would be unachievable, they should have early discussion with the relevant funding body

Impact case studies

• Each case study must:

– Describe and reference the underpinning research

– Explain the link between the research and the impact

– Explain and provide evidence of the nature and extent of the impact

– Provide sources that could be used to corroborate key claims made

• Impacts will be ‘graded’ in terms of their ‘reach and significance’

• Case studies must be eligible and meet ‘threshold’ criteria for the underpinning research and for the link between the research and impact

Impact underpinned by research

Political, economic and social environment

Actions or decisions of individuals and organisations

Wider knowledge base

Research by an HEI

social, economic or cultural

effect, change or

benefit


Research by an HEI

• Conducted by one or more staff while at the submitting HEI

• In the relevant UOA

• Evidenced by one or more output(s) between 1 Jan 93 – 31 Dec 13

• Whether or not submitted to RAE/REF

Quality that is equivalent to at least two star





Research by an HEI


effect, change or

benefit





Research by an HEI


effect, change or

benefitDistinct and material contribution


Distinct and material contribution

No particular ‘model’ of impact generation is assumed. The contribution may be:

• Direct, indirect, linear, non-linear, diffuse, planned, unplanned, etc.

• The sole research contribution, part of a collaboration or a wider body of research

• The HEI need not have been involved in ‘exploiting’ the research


Research by HEI/unit 1

ImpactResearch by HEI/unit 2




ImpactResearch by HEI/unit 2


Research by Dr. Z at HEI 1 Impact

Research by Dr. Z at HEI 2


General expertiseEffect on

public attitude,

awareness,

understanding or

behaviour

Communication skills

Research

Dr. X engages with

the public


Professional expertiseEffect

on policy

making

Reputation/standing

Research

Prof. Z acts as policy adviser

Corroborating sources

• In section 5, case studies should include sources that could be used to corroborate specific claims about the impact, and the contribution of the unit’s research

• Sources could include:

– Documentation, web-content or reports (whether in the public domain or available from the HEI)

– Details of individual ‘users’ who could be contacted by the REF team

– Details of factual statements by ‘users’ that the HEI has collected, and can be made available to the REF team

• Sources will be used for audit purposes only - to verify claims not provide additional evidence

guidance on submissions chris taylor, deputy ref manager graeme rosenberg, ref manager

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