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December 2000

Ref: RAEjr546sw

To: RAE Contacts
c.c: Heads of HEFCE, SHEFC, HEFCW AND DHFETE funded institutions

Dear Colleague

Sourcing Research Outputs for Assessment

I am writing to set out the arrangements which will apply to the provision of research outputs listed in submissions for the 2001 Research Assessment Exercise (RAE).

As stated in the Guidance on Submissions (RAE 2/99, May 1999), institutions must supply (or, where this is not feasible because of the nature of the output, arrange access to) any research output which is listed on form RA2 of their RAE submission(s). Any output requested must be received by the RAE Team within three working days of the request being made. If, for any reason, outputs are not supplied within this period they will be discounted automatically from the assessment. Institutions may wish, therefore, to obtain proof that they have dispatched items requested to the RAE Team. Proof of posting will be acceptable; it is not necessary to use recorded delivery.

All requests for outputs will be made through the RAE Team and institutions should not supply material directly to panel members in any circumstances.

The system will operate as follows:

  1. The RAE Team will request each output individually from institutions. Requests may be made at any time from the closing date for submissions (30 April 2001) until the end of October 2001. Requests will be made by email to the designated RAE contact. The RAE contactís email address already supplied to the RAE Team will be used unless notification of an alternative email (one per institution) is sent to the RAE Team before 30 April 2001. If you wish to confirm the email we will use please contact the RAE Administration Team on 0117 931 7012.
  2. On receipt of a request, the institution should immediately dispatch the output to the RAE Team together with a printed copy of the request email. For printed outputs, a photocopy of the item will be acceptable provided it includes the title or imprint page of the book, journal, or other publication concerned. Institutions are reminded that, in the case of electronic publications not on an independently dated website (such as a recognised e-journal), they must supply a copy of the publication, on floppy disk or CD-ROM, as it appeared within the assessment period. This copy should be derived from a verifiable source (for example, an institutional web-server) and contain an internal date stamp giving the date at which the copy was taken. The date must be no later than 31st December 2000.
  3. If the nature of the output makes it impractical to send, the institution must contact the RAE Team within three working days to discuss access arrangements.
  4. Institutions should note that the RAE Team will attach a cover sheet to all outputs received. In the case of articles and similar material the cover sheet will be stapled to the front cover. In the case of books the cover sheet will be stapled to the first inside page. The cover sheet will be attached to other types of outputs in an appropriate manner. Any items of special value should, therefore, be accompanied by a letter to that effect.
  5. On receipt of an output, an email acknowledgement will be sent to the institution by the RAE Team. In any case of non-receipt the institution will be informed and advised that the output has been discounted. Such notification will be by email. If you are notified that an item has been discounted but believe you have sent it, you should contact the RAE Team without delay.
  6. All outputs supplied will be returned to the institution by the RAE Team. RAE contacts will be notified by email when outputs are being returned. It is anticipated that all outputs will be returned by the end of 2001.
  7. Each request made for a research output will have a unique request identifier, which will include a sequential count of the number of requests made to an institution. The request identifier will be contained in the e-mail making the request.
  8. Institutions are required to supply one copy of any output listed if requested. Where an institutionís submissions include co-authored outputs or items contained in a single bound publication which are listed against more than one researcher, they must be able to supply one copy of the output for each time it is listed. As stated in 2 above, photocopies will be acceptable.
  9. Institutions are reminded of the special arrangements for confidential outputs, full details of which are contained in Briefing Note 5 - Confidential Research Outputs
  10. I would like to take this opportunity to remind you of the rules on eligibility of research outputs. With the exception of confidential reports, all outputs submitted must be in the public domain by 31 December 2000. The assessment period begins on 1 January 1996 (1 January 1994 for the Arts and Humanities, Units of Assessment 45 to 67 inclusive). Being in the public domain is defined according to the type of output submitted. For book publications, for example, the relevant date is the date of distribution for retail sale; for journals it is the date of distribution to subscribers; for exhibitions or performances it is the date of the exhibition opening or the first performance being given. Confidential outputs, while not in the public domain, must have been delivered to the commissioning organisation within the assessment period. In case of uncertainty over the eligibility of any output please contact the RAE Team for guidance.
  11. Please note that outputs may only be returned in the form in which they existed within the assessment period. For example, an article published before 31 December 2000 in an electronic version and after 31 December 2000 on paper may only be returned as an internet publication. The category of output, of course, does not affect the assessment of the work as all forms are regarded as being equally capable of demonstrating quality and will be assessed on their own merits. Forthcoming work, or work in press, is not eligible for inclusion.
  12. For further information on the arrangements for sourcing research outputs please contact the to the RAE Team.

    Yours sincerely

    Dr John Rogers
    RAE Manager
    Direct line 0117 931 7237
    Direct Fax 0117 931 7476
    Email: j.rogers@hefce.ac.uk

    Last updated 30 April 2001

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