1. Towards REF 2020
What we know and think we know about the next Research Excellence Framework
Dr. Tim Brooks, Research Policy & REF Manager, RDCS
Anglia Ruskin REF Awayday, 28 October 2015

2. Why the REF is important
A periodic national assessment of research activity which:
Provides benchmarking information
Ensures public accountability for investment in research and its benefit
Enables the selective allocation of recurrent research grant (QR)

3. What is the REF?
A process of expert review which assesses research activity – outputs, impact, environment – over a period of c. 5 years
Organised by discipline, into 36 ‘sub panels’ covering a ‘Unit of Assessment’, and four ‘Main Panels’ to ensure consistency
Produces quality profiles rating research

4. Submissions
Institutions decide if to participate, and which UoA(s) to submit to.
Academic staff in post on the census date the key building block of each submission
Employment details
Any relevant personal circumstances

5. Research outputs
Outputs of research published during the REF assessment period
Selected on the basis of quality
Up to four outputs for every staff member, reduced where personal circumstances justify it
Worth 65% of the final mark

6. Impact Worth 20% of the final mark
An impact template (20%) about enabling impact from research during the assessment period
Case studies (80%) – examples of impacts realised during the assessment period, underpinned by ≥ 2* research, produced by the submitting unit in the previous 21 years
Number of case studies determined by FTE of staff in the submission.

7. Environment Data about doctoral awards and research grant income
Narrative statement describing the research environment, strategies and plans, structures and support.
Worth 15% of the final score

8. The next REF? When? (or even if??)
Rules and regulations not likely to appear before summer 2016, and more likely summer 2017.
In most cases little or no change e.g. UoA organization, staff eligibility, output requirements, environment markers.

9. The next REF? Impact Seen as a resounding success in REF 2014
Worth 25% next time? Or 40%?
Abandon ‘impact template’ document and/or add into research environment requirements?
Increase number of case studies required per FTE?

10. The next REF? Metrics
Recent independent review of metrics in research assessment
Confirms primacy of peer review but encourages increase in use of metrics where appropriate.
Call to increase metrics used to assess environment e.g.
total staff FTE
doctoral students FTE

11. The next REF? Timetable Summer 2016 or 2017: first guidance published
31 July 2019: end of environment & impact assessment periods (impact of research from 1 January 1999)
31 October 2019: staff census date
29 November 2019: submission deadline
31 December 2019: last date for publications

12. Open Access and the next REF
Ian Walker, Research Support Librarian, University Library
Anglia Ruskin REF Awayday, 28 October 2015

13. Overview : Green and Gold open access Policy environment
Finer details of the policy – what do authors need to do to comply?
Potential risks

14. Two routes to OA: Green open access: Delivered through repositories
Author self archives their output
“Free” route
Access may be subject to a publisher embargo period
Gold open access:
Immediate open access delivered through journals
An APC (article process charge) usually applies
Anglia Ruskin Open Access Fund established to cover the costs of gold open access

15. How did we get here?
2004 : House of Commons inquiry into publishing – advocated green open access
2012 : Finch report recommends “…UK embrace transition towards open access”
2013 : Revised RCUK policy on open access
2014 : HEFCE announce new policy on open access for post-2014 REF

16. Core principles:
Outputs submitted for post-2014 REF must be made open access
Requirement applies to journal articles and conference proceedings accepted for publication from 1st April 2016

17. Achieving compliance:
Final peer-reviewed draft deposited in ARRO on acceptance*
Repository record discoverable
Full text should be made discoverable ASAP (publisher embargoes respected)
* Within 3 months of publication until 1st April 2017

18. What does the policy apply to?
All journal articles and conference proceedings (with an ISSN)
Extra credit to institutions providing OA to a wider range of outputs
Final accepted peer-reviewed text (also known as Author Accepted Manuscript or Post Print) must be deposited

19.  

20. Embargoes: Panels A & B : 12 months Panels C & D : 24 months
96% of articles submitted to the 2014 REF compliant with this policy
HEFCE understand that not all outputs may be able to meet requirements – limited exceptions permitted
“Top 50” ARU journals all compliant – but authors still need to be careful to choose a journal which meets HEFCE’s requirements

21. How do I submit?
Within 3 months of acceptance, authors need to upload to ARRO
Complete basic bibliographic metadata
Upload the post-print
Faculty Administrator / Library will validate the record

22. Issues and challenges:
Need to engage with OA to be eligible for REF. Current engagement with ARRO is poor – c.10% of papers deposited
Deposit on acceptance means new workflows required
Who? No extra money provided by HEFCE to support policy

23. Thank you Any questions?
Ian Walker, Research Support Librarian, University Library
Dr. Tim Brooks, Research Policy & REF Manager, RDCS