Guidance on submissions
Chris Taylor, Deputy REF Manager
Graeme Rosenberg, REF Manager
Survey of submissions intentions
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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
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Submission intentions for each UOA:
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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
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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
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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
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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
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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:
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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
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Each case study must:
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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
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Impacts will be ‘graded’ in terms of their ‘reach and
significance’
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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
social,
economic or
cultural effect,
change or
benefit
Actions or decisions of
individuals and organisations
Wider knowledge base
Research by an HEI
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
Research by HEI/unit 2
Research by HEI/unit 3
Impact
Impact underpinned by research
Research by
HEI/unit 1
Research by
HEI/unit 2
Impact
Impact underpinned by research
Research by
Dr. Z at HEI 1
Research by
Dr. Z at HEI 2
Impact
Impact underpinned by research
General expertise
Communication skills
Research
Dr. X
engages with
the public
Effect on
public
attitude,
awareness,
understanding
or behaviour
Impact underpinned by research
Professional expertise
Reputation/standing
Research
Prof. Z acts
as policy
adviser
Effect on
policy
making
Corroborating sources
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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:
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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