Guidance on submissions

1. Guidance on submissions Chris Taylor, Deputy REF Manager Graeme Rosenberg, REF Manager

2. 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

3. Survey of submissions intentions • Submission intentions: • 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?

4. 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 end September • Available to pilot in September 2012 • System live Jan 2013

5. 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

6. 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 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

7. 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

8. 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 meet ‘threshold’ criteria for the quality of underpinning research and for the link between the research and impact

9. Impact underpinned by research Political, economic and social environment Actions or decisions of individuals and organisations Wider knowledge base social, economic or cultural effect, change or benefit Research by an HEI

10. Impact underpinned by research Political, economic and social environment Actions or decisions of individuals and organisations Wider knowledge base social, economic or cultural effect, change or benefit Distinct and material contribution Research by an HEI

11. Impact underpinned by research Research by an HEI • Conducted by staff while at the submitting HEI • In the relevant UOA • Evidenced by output(s) between 1 Jan 93 – 31 Dec 13 • Whether or not submitted to the RAE or REF One or more individuals, teams or groups Quality that is equivalent to at least two star

12. Impact underpinned by research Distinct and material contribution • No particular ‘model’ of impact generation is assumed: • May be direct, indirect, linear, non-linear, diffuse, planned, unplanned, etc. • May be the sole research contribution, or one of many • The HEI need not have been involved in ‘exploiting’ the research

13. Impact underpinned by research Impact Research by HEI/unit 1 Research by HEI/unit 2 Research by HEI/unit 3

14. Impact underpinned by research Impact Research by HEI/unit 1 Research by HEI/unit 2

15. Impact underpinned by research Impact Research by Dr. Z at HEI 1 Research by Dr. Z at HEI 2

16. Impact underpinned by research Impact General expertise Dr. X engages with the public Communication skills Research

17. Impact underpinned by research Impact Professional expertise Prof. Z acts as policy adviser Reputation/standing Research

18. 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, and can be made available to the REF team • Sources will be used for audit purposes only – not to inform the ‘grading’ of impacts