Accessing Research Outputs for RAE 2008

1. Accessing Research Outputsfor RAE 2008 UKSG Ed Hughes, RAE Manager

2. Agenda • Overview of RAE 2008 • Data Collection for RAE 2008 • Data Validation and Verification • Collecting Research Outputs • CLA licence agreement Questions & Discussion

3. Why do we have the RAE? • Policy of Selective Public Funding RAE assesses research quality … … to advise funding allocations • Begun in 1986; RAE 2008 will be 6th(and last in current form!) • Stimulus to improvement in research quality overall

4. Why? Some Key HEI Issues Strategy…. • Why is my institution submitting to the RAE? • What does it hope to achieve? • Maximising Cash v Maximising Reputation … and Tactics Where to submit, who to submit, how to submit Institutional decisions but PEOPLE matter…

5. How?The RAE Process • UK-wide exercise, run by HEFCE on behalf of all four UK funding bodies • Once every six years approx • 200 Higher Education Institutions • 2,500 submissions • 55,000 researchers • Ongoing review and development • “Roberts Review” 2003 • 2006 Budget

6. How it all works… Policy Decisions Academic Judgements 15 Main panels CHIEF EXECUTIVES OF FUNDING BODIES RAE TEAM INCLUDING PANEL SECRETARIES 67 Sub-panels UK FUNDING BODIES RAE STEERING GROUP Special advisors HEI’s

7. RAE timetable

8. Quality Profile

9. Take account of ALL Key Components of an RAE Submission ? 4* 3* 2* 1* u/c Building a Quality Profile PGR Numbers Strategy Components of Quality Profile Research Income Research Outputs Esteem Indicators

10. Data Requirements RA0 – summary information RA1 – staffing information RA2 – research outputs RA3 – postgraduate research students RA4 – research funding RA5 – textual commentary - includes individual staff circumstances (eg early career researchers, absences from research)

11. RAE Data Collection System • Data Collection system live since January 2007 • Encrypted, password protected, web-based system, • Allows a variety of data entry methods – including bulk import/web services/web interface for direct entry • Rebuild scheduled in June 2007 to incorporate final submission process functionality • Continuing to develop the back end functions of the system through load testing, disaster recovery processes etc

12. Form RA2 – Research Outputs – part 1 Outputs must be assigned to a submitted member of staff

13. Type determines what fields need to be completed Form RA2 – Research Outputs – part 2 Uses EditLive to allow text editing (eg for symbols)

14. Form RA2 – Research Outputs – part 3 Must be between 01/01/2001 and 31/12/2007 DOI: For journal articles

15. Form RA2 – Research Outputs – part 4 Max 300 words If required In event of commercial conflict

16. Collecting Outputs A practical issue facing the RAE team How should the RAE collect research outputs from HEIs to get them to the panel members for assessment?

17. Outputs • Electronic collection and storage • Journal articles = 70% of cited outputs in RAE 2001 • Agreement with CLA on licensing agreement to collect alongside submissions • Collecting physical outputs • Anticipate collecting Dec 2007 / Jan 2008 • Addressing storage issues

18. Working with the PLS and CLA • Discussed arrangements for collecting outputs with PLS and some publishers • Agreed an approach to allow scanning / copying of research outputs by HEIs and HEFCE • Access to research outputs by RAE panel members via Athens where available • Final agreement signed with CLA with PLS support

19. Licence with CLA • Permits panel members, and the RAE Team • to display the material on screen or to print a copy for assessment; • to download and store copies of such material in digital form for the purpose of assessing any RAE submission; • to link to research outputs referred to in any submission via the DOI.

20. Licence (2) • Permits HEIs to submit a copy in digital form or provide a photocopy of the full text of research outputs in any submission • Where an HEI has a subscription permitting access to the full-text of a submitted research output, the HEI is authorised to download the publisher's PDF file for transmission to the RAE Team for RAE assessment purposes. • For research outputs available in print, HEIs may provide photocopies or (where appropriate) the scanned digital form of the research output required for assessment.

21. Submitting Journal Articles • Outputs of the type D Journal articleonly must be submitted in electronic format • Alongside the other bibliographic data in RA2, we need the article’s Digital Object Identifier (DOI) • The DOI will enable the RAE team and panels to access the published version of journal articles in electronic form via publishers’ websites • Journal articles with no DOI must still be made available “electronically” via PDF

22. Is it a journal article? If NO If YES Prepare to submit physical copy MUST provide a DOI if available Submit scanned pdf when physical outputs are collected Is a DOI assigned? If NO If YES Use CrossRef to check DOI Include in RA2 No need to submit hard copy

23. Working with CrossRef • We appreciate DOIs may be new to some! • We are working with CrossRef to allow HEIs to obtain and check the information required for the DOI field. • Functionality has been added to the RAE data collection system to enable this. • The CrossRef web-site supports the retrieval of DOIs through • individual and • small batch searches. • Further information is at www.crossref.org

24. Query on Cross Ref Can also look up batches

25. Other Research Outputs • Other electronic material • Such as “Transient outputs” eg web-sites, some scholarly editions – we will require some physical evidence of the output at a fixed point during the publication period. • Other published material – submit in paper form or scanned pdf (where licensed) • Guidance, in matrix format, of the requirements for each output type, ie what needs to be supplied in each case and when

27. Contacts • Data Queries – data@rae.ac.uk • Reporting Bugs – bugs@rae.ac.uk • Policy Queries – info@rae.ac.uk RAE website at www.rae.ac.uk

28. Questions and Discussion