1. RESEARCH EXCELLENCE FRAMEWORK 2021
Information Sessions August 2018

2. March 2014 – Policy on Open Access in the post-2014 Research Excellence Framework July 2016 – Building on Success and Learning from Experience: an independent review of the Research Excellence Framework by Lord Nicholas Stern Dec 2016 – Consultation on the Second Research Excellence Framework Sept 2017 – Initial Decisions on the Research Excellence Framework Nov 2017 – Decisions on Staff and Outputs July REF Draft Guidance on Submission was published for consultation Jan 2019 – Final Guidance expected to be published

3. Reminder – What Stern recommended and what Ministers signed up for:
Robust and transparent exercise of assessment of research quality and impact, informed by metrics where possible
As far as possible, an end to game playing and REF transfer markets by ending output portability
Less divisive for researchers – end to staff selection
Reduction in administrative burden and therefore cost to the sector
Re-using, where possible, management information collated for other purposes
More emphasis on interdisciplinary research

4. REF 2021 guidance in a nutshell: Inclusive submissions – all eligible researchers have to be included with at least 1 or at most 5 outputs (average submission required: 2.5 outputs per FTE) Journal articles and conference contributions accepted after 1 April 2016 subject to open access rules Former members of staff – their outputs (up to 5) can be included in the submission by both former and current employing institution (provided publication date falls before departure date) Impact – increased weighting for REF outcome, now 25% of total Interdisciplinarity – descriptor of enablers required for research environment

5. Outputs
Impact
Environment
Research publications and other outputs, assessed by peer review, linked to eligible staff on payroll on census date and to former staff (publication date must fall within employment period)
Impact case studies, showcasing research that has produced benefits for research users and wider society
Description of research environment, facilities, E&D arrangements, open access, support for interdisciplinarity and research integrity, sustainability and vitality of submitting unit
Minimum 1, maximum 5 per researcher; average 2.5
1 for each unit of assessment + 1 for the first FTE and 1 for every further 15 FTE
Narrative
60% of overall outcome
25% of overall outcome
15% of overall outcome

6. REF HR Issues REF 1 – Staff Details Who is eligible?
Everyone who ‘has a significant responsibility to undertake research’
And whose FTE is 0.2 or above
And is on our payroll on census day (31 July 2020)
Fractional appointments (between 0.2 and 0.29 FTE) – statement (up to 200 words) required to show substantive connection to the submitting unit
Former members of staff who met the REF eligibility criteria at point of departure (they do not add to the volume factor)

7. REF 1 Staff Details Who is not eligible?
Research assistants/fellows who do not meet the REF independence criteria; PGR students
Staff on Scholarship contracts or administrative contracts (even if they were on teaching & research contracts previously)
Staff on fractional contracts of less than 0.2 FTE or where we are unable to demonstrate a substantial connection to the submitting unit
Staff on secondment at census date where the secondment is longer than 2 years
Proposed for REF2021: former members of staff who have been made redundant during the assessment period

8. REF 1 Staff Details Independent Researchers:
An individual who undertakes self-directed research, rather than carrying out another individual ‘s research programme. Includes postdoctoral staff who are:
Leading or acting as principal investigator or equivalent on an externally funded research project
Holding an independently won, competitively awarded fellowship where research independence is a requirement (illustrative list on )
Acting as a co-investigator on an externally funded research project (e.g. leading a work package or equivalent)
Leading a research group or substantial work package
Significant input into the design, conduct and interpretation of the research

9. REF 1 Staff Details
Two types of submission: Inclusive = 100% of all eligible staff to be submitted. For research intensive institutions: everyone on a ‘teaching and research’ contract, and everyone on an ‘academic related – research contract’ who is an independent researcher Selective = for teaching focused institutions where staff are on standard contracts, institutions can define what research active means by using role descriptors or workload plans. Submissions need to include 100% of those who meet the institutional criteria for research active Institutions may apply a mixed methods approach – i.e. inclusive in some units of assessment, selective in others We will need to develop an institutional Code of Practice that details how we identify REF-eligible researchers and how we select outputs for submission

10. REF 1 – Staff Details Individual Staff Circumstances include:
Early Career Researchers: eligible on census date and have started their careers as independent researchers on or after 1 August 2016
Absence from work due to secondments or career breaks
Qualifying periods of family-related leave
Circumstances equivalent to absence, including disability; ill health, injury or mental health conditions; caring responsibilities; gender reassignment; other circumstances relating to protected characteristics or relating to activities protected by employment legislation
Junior clinical academics who have not completed their clinical training

11. REF1 Staff Details
Reduction tariffs for individual staff circumstances Circumstances can be combined for reductions up to 1.5 outputs
Early career researchers – date at which individual first met the REF definition of an ECR
Absences due to career breaks or secondment outside HE –total months absent
Output pool may be reduced by up to:
On or before 31 July 2016
0 – 11.99
Between 1 Aug 16 and 31 July 17
12 – 27.99
0.5
Between 1 Aug 17 and 31 July 18
28 – 45.99 1
On or after 1 August 2018
46 or more
1.5

12. REF 1 Staff Details
Individual circumstances to remove the minimum requirement of 1 output:
Absence or inability to undertake research for at least 46 months during the assessment period, due to one or more circumstances (e.g. ECR, secondment, career break, family related leave, clinician in training)
Absence or inability to undertake research for at least 46 months, due to disability, ill health, injury or mental health conditions; constraints relating to pregnancy, maternity, paternity or adoption leave, caring responsibilities; gender reassignment; other circumstances relating to protected characteristics
Applications for reductions to go to EDAP by March 2020 and will be agreed or otherwise prior to submission date
Evidence to be retained by submitting HEIs, to be made available through audit requests where required

13. REF 1 Staff Details
Notification of individual staff circumstances can reduce the number of outputs required across the submission Exceptionally, (for absences or equivalent of 46 months or more or two or more qualifying periods of family related leave), the minimum requirement of one submitted output may be removed Applications for such circumstances to be made to and decided by EDAP in advance of the submission, via the REF submission system. Supporting evidence is not for submission but must be collected by the submitting institution for audit purposes. Deadline is March 2020.

14. REF 2 - Outputs
What is research? For the purposes of REF, research is defined as a process of investigation leading to new insights, effectively shared. It includes work of direct relevance to the needs of commerce, industry, culture, society, and to the public and voluntary sectors; scholarship; the invention and generation of ideas, images, performances, artefacts including design where these lead to new or substantially improved insights; and the use of existing knowledge in experimental development to produce new or substantially improved materials, devices, products and processes, including design and construction. It excludes routine testing and routine analysis of materials […], as distinct from the development of new analytical techniques. It also excludes the development of teaching materials that do not embody original research. It includes research that is published, disseminated or made publicly available in the form of assessable research outputs, and confidential reports.

15. REF 2 Outputs What can be submitted?
Wide variety of research outputs that meet the REF definition of research by REF eligible members of staff, or former REF eligible members of staff provided the publication date falls before departure date. For co-authored outputs, submitting authors must have made a significant contribution to the output
Published between 1 January 2014 and 31 December 2020 (or, in cases of confidential reports, lodged with the commissioning body during this period)
For journal articles and some conference proceedings, outputs that meet the REF open access requirements or have a valid exception

16. REF 2 Outputs What cannot be submitted?
Outputs that do not meet the REF definition of research
Outputs that were submitted previously to REF (i.e. as pre-print or early on-line)
Outputs by PGRs where REF eligible co-authors have not made a significant contribution
Work by former members of staff published while they were employed elsewhere (before start date or after end date)
Outputs that have significant material in common (overlap) – either within the REF2021 submission, or material that was previously assessed for REF2014

17. REF 2 Outputs
Open Access Rules (no change): Outputs accepted for publication before 1 April 2016 – not subject to REF open access rules Outputs accepted for publication from 1 April 2016 to 31 March 2018 – the outputs must have been deposited as soon after acceptance for publication as possible, and no later than 3 months after date of publication. Outputs accepted for publication from 1 April 2018 to 31 December 2020 – the output must have been deposited as soon after acceptance for publication as possible, and no later than three months after this date. Deposited means: gold open access or green open access (within acceptable embargo dates) or deposited with an agreed exception Proposal for consultation: For each submission, a maximum of 5% of in-scope outputs that do not meet the OA rules can be submitted.

18. REF 2 Outputs
Interdisciplinarity flag – indicates to the sub-panel if the output embodies interdisciplinary research (expected to cross main panels) Output allocation: where requested in the panel criteria, information (key words) to assist in allocating outputs to appropriate readers Research activity cost (UoA 4 only): indicate high cost/low cost research Open Access: for in-scope outputs only, compliance with REF open access rules Co-authorship: evidence of significant contribution where output has more than 10 authors (Panel A) or more than 25 authors (Panel B) Double weighting: encouraged by Panels C and D for books, monographs, novels and longer form outputs (exceptionally for others). Factual information about outputs: for non-text or practice based outputs (300 words); additional information required for Computing Science (UoA 11) and Engineering (UoA 12); Earth Systems and Environmental Sciences (UoA 7), Mathematical Sciences (UoA 10), UoA 11 and UoA 12 also require keywords from a subject specific taxonomy for each output Citations: will be used across all sub-panels in Panel A, UoAs 7, 8, 9 and 11 in Panel B and UoA 16 in Panel C. These will be provided by the REF team

19. REF 2 Outputs
Interdisciplinarity For the purposes of REF, interdisciplinary research is understood to achieve outcomes (including new approaches) that could not be achieved within the framework of a single discipline. Interdisciplinary research features significant interaction between two or more disciplines and/or moves beyond established disciplinary foundations in applying or integrating research approaches from other disciplines.

20. REF 3 Impact
Impact is defined as an effect on, change or benefit to the economy, society, culture, public policy or services, health, the environment or quality of life, beyond academia.
It includes an effect on, change or benefit to:
The activity, attitude, awareness, behaviour, capacity, opportunity, performance, policy, practice, process or understanding
Of an audience, beneficiary, community, constituency, organisation or individuals
In any geographic location whether locally, regionally, nationally or internationally
Includes the reduction or prevention of harm, risk, cost or other negative effects
Includes impacts on students, teaching or activities both within and beyond the submitting HEI
Excludes impact on research or the advancement of academic knowledge within the HE sector (whether UK or internationally)

21. REF 3 Impact What can be submitted?
Impacts that are based on excellent research carried out by the submitting unit at the University of Aberdeen from 1 January 2000 and that have occurred between 1 August 2013 and 31 July 2020
Impacts that follow on from case studies submitted to REF2014 – for these, only the impact that occurred in the current REF period will be assessed (same underpinning research and beneficiaries as for REF2014)
Impacts more explicitly based on public engagement; impacts on higher education
Impacts based on work by former members of staff
Excellent research means at least 2* research – evidence will be required.

22. REF 3 Impact What cannot be submitted?
Impacts based on work that does not meet the REF definition of research or 2* quality threshold
Impact based on work carried out at other HEIs
Impact based on work solely carried out by PGR students
Impacts that have occurred outwith the assessment period
Potential impact

23. REF 4, 5 Environment
Description of research environment, facilities, E&D arrangements, open access, support for interdisciplinarity and research integrity, sustainability and vitality of submitting unit
Two environment statements: a short, institutional statement that describes institutional/central policies and measures and a longer, unit of assessment based statement that describes the policies, processes and measures in place within the submitting unit.
REF metrics: research income, research income in kind and number of doctoral degrees awarded between 1 August 2013 to 31 July 2020 (from HESA)

24. REF 4,5 Environment REF environment for institutions (REF5a) :
Context and mission – overview of size, structure and mission of the institution
Strategy – institutional strategy for enabling research and supporting impact (including integrity, open research, interdisciplinary research) in the assessment period and for the next five year period
People – institutional staffing strategy, support and training for research students, evidence of how equality and diversity in research is supported and promoted
Income, infrastructure and facilities- institutional level resources and facilities available to support research, including mechanisms for supporting the reproducibility of research
All supported by appropriate metrics
REF5a provides context for the unit’s environment template only and will not be assessed.

25. REF 4, 5 Environment
REF environment for units of assessment (REF5b): Unit of assessment context and structure, research and impact strategy – achievements and strategic aims of the submitting unit. Includes support for open access, impact and interdisciplinarity People – staffing and staff development strategies, support mechanisms, evidence of training and supervision for PGRs students, evidence of how equality and diversity is promoted Income, infrastructure and facilities – how these relate to the unit’s research and research impact. Includes reproducibility and integrity of research Collaboration and contribution to the research base, economy and society – research collaborations, networks and partnerships, relationships with key research users, beneficiaries and audiences; wider activities and contributions to the research base, economy and society (including esteem factors).

26. Next Steps
Preparation of and consultation on institutional Code of Practice – this will include the institutional processes of
Identifying eligibility for REF2021
Selection of outputs for submission
Identification of individual circumstances that reduce the number of outputs required for submission by unit of assessment
Identification of individual circumstances that will allow submission of individuals with 0 outputs
Communications strategy
Training strategy (for all involved in REF decision making at institutional and School level)
To be submitted to Scottish Funding Council for approval by 7th June 2019

27. REF Structure

28. Why are we doing this? The biggest funding application the University submits, worth £140m in funding over the current REF assessment period Additional value in terms of reputation and rankings

29. Deadline for consultation is 15 October 2018
Full guidance documents available on:
Any questions or comments?
Contact: Professor Marion Campbell, V-P Research
Marlis Barraclough, Senior Policy Advisor