1. REF 2021
Briefing 25 January 2018

2. REF 2021 Briefing CHANGES SINCE 2014
Submission of all staff with significant responsibility for research
Transitional approach to non-portability of outputs
Decoupling of staff from outputs
Broadening and deepening of definitions of impact
Open access requirements
More structured environment statement with additional sections (impact, institutional-level information, interdisciplinary research)
Weightings (60/25/15)

3. REF 2021 Briefing STAFF ‘Category A eligible’ staff:
Teaching and research or research-only
Independent researcher
Minimum of 0.2 fte
Substantive connection
Census date of 31 July 2020
This is number on which submission rates will be calculated
Expectation that HEIs will submit 100% of eligible staff

4. REF 2021 Briefing STAFF ‘Category A submitted’ staff:
Those eligible staff identified as having significant responsibility for research on census date
‘Those for whom explicit time and resources are made available to engage actively in independent research, and that is an expectation of their job role.’
For York, this is assumed to be all staff on T&R contracts plus those on research contracts meeting the definition of Independent
This is used to set the FTE for the calculation of the number of outputs and case studies

5. REF 2021 Briefing STAFF Independent Researchers
Applies to Staff on research only contracts
Will be further defined as part of Panel Guidance
Will build on generic definition used in REF 2014 (undertaking ‘independent research, leading or acting as principal investigator or equivalent on a research grant or significant piece of work)
Current Assumption Grade 8 and above or those PI on a research grant

6. REF 2021 Briefing Code of Practice
All submitting HEIs required to provide information on the institution’s processes for ensuring a fair approach to selecting outputs
Those not submitting 100% of staff will also need to cover the institution’s processes for identifying ‘Category A submitted’ staff

7. REF 2021 Briefing
OUTPUTS
Number of outputs determined by FTE of ‘category A submitted’ staff.
The average number of outputs required per FTE will be 2.5.
Minimum of one and maximum of five outputs per individual staff member submitted.
The maximum does not limit co-authored papers
Maximum number of outputs also applies to staff who have left (but, obviously, not minimum figure)

8. REF 2021 Briefing OUTPUTS In exceptional circumstances
Individual circumstances: staff may be returned without minimum of one output (ie very early career staff, long term illness over whole of REF period).
Unit circumstances: reduction in outputs for unit as a whole (ie new Department)

9. REF 2021 Briefing OUTPUTS - Portability
Transitional approach to non-portability
Outputs may be submitted by:
the institution where the research was demonstrably generated; and
the institution employing the staff member on the census date
‘Demonstrably generated’ -date when the output was first made publicly available
Outputs by staff who have left academia may be submitted

10. REF 2021 Briefing OUTPUTS Worked Example
20 Staff but with 8 staff working part time
Head count of 20 with an FTE of 16
Total number of outputs required is 16*2.5= 40
Of Which
20 must be from current staff (1 per person)
Remaining 20 can be from current staff or where an eligible member of staff was employed by the institution at the point the output was published.

11. REF 2021 Briefing OUTPUTS – Cat c staff
Staff not employed by institution but with clear link
Outputs are not returnable
Contribution described in Environment Template
Emeritus staff are not expected to be eligible to be Cat C or Cat A Staff (based on REF2014)

12. REF 2021 Briefing Open access
Outputs deposited as soon after the point of acceptance as possible, and no later than three months after this date from 1 April 2018.
Deposit exception from 1 April outputs remain compliant if they are deposited up to three months after the date of publication.

13. REF 2021 Briefing IMPACT Additional guidance on:
Criteria of ‘reach and significance’
Impact arising from public engagement
One case study + one further case study per up to 15 FTE returned, for the first 105 FTE. After 105 FTE, one further case
Timeframe:
1 January December 2020 for underpinning research
1 August July 2020 for impacts

14. REF 2021 Briefing Case study numbers If you have: You will submit:
1 – FTE
2 case studies
15 – FTE
3 case studies
30 – FTE
4 case studies
45 – FTE
5 case studies
60 – FTE
6 case studies
75 – FTE
7 case studies
90 – FTE
8 case studies
105 – FTE
9 case studies

15. REF 2021 Briefing Environment
Introduction of a more structured template
Will include information on:
Equality and diversity
Approach to enabling impact
Approach to supporting collaboration
Structures to support interdisciplinary research
Section on open research
Use of more quantitative data but detail still being discussed

16. REF 2021 Briefing Timetable Autumn 2017 Appoint sub-panel chairs
Invite nominations for panel members
Further decisions on the arrangements for submitting staff and outputs
Winter
Appoint panels
Spring 2018
Panels meet to develop criteria
Summer to Autumn 2018
Publish draft guidance, and consultation on panel criteria
Winter
Publish final guidance and criteria
2019
Complete preparation of submission systems
2020
Submission phase
2021
Assessment phase

17. REF 2021 Briefing York ref2021 preparations
Since last REF, have introduced/reviewed
ADRRs
Research Performance Expectations and Triggers
Performance Reviews
Post REF Reviews
REF Check Exercise (will be one in 2018)
Impact Case Study scoping exercise (Jan 2017)
Impact Leads in Departments plus Faculty Impact Managers

18. REF 2021 Briefing REF Strategy Group – more agile than URC
York ref2021 preparations
REF Strategy Group – more agile than URC
Appointment of REF Manager
Appointment of Critical Friends/ Output Reviewers
Development of Internal Timetable of deadlines/activities
Regular REF Briefings

19. REF 2021 Briefing York ref2021 KEY messages
All Eligible Staff will be returned
Does everyone have at least one 3* (preferably 4*) paper?
Grading outputs will be key
More Impact Case Studies will be needed
Do Departments/UoAs have sufficient case studies of sufficient quality?
Benchmarking and Comparison of Performance
Is there evidence that other institutions are improving faster than us? How can we use this to help us understand and improve our own performance?