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 AY to 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

Impact underpinned by research 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

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

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 Distinct and material contribution

Impact underpinned by research 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

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

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

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

Impact underpinned by research General expertise Effect on public attitude, awareness, understanding or behaviour Communication skills Research Dr. X engages with the public

Impact underpinned by research Professional expertise Effect 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