1. Research Excellence Framework 2014 and Open Access 23 rd October 2012

2. Research Excellence Framework REF 2014 The Research Excellence Framework (REF) is the new system for assessing the quality of research in UK higher education institutions (HEIs). It replaces the Research Assessment Exercise (RAE) and will be completed in 2014. The primary purpose of the REF is to produce assessment outcomes for each submission made by institutions: – The funding bodies intend to use the assessment outcomes to inform the selective allocation of their research funding to HEIs, with effect from 2015-16. – The assessment provides accountability for public investment in research and produces evidence of the benefits of this investment. – The assessment outcomes provide benchmarking information and establish reputational yardsticks. The REF is a process of expert review. HEIs will be invited to make submissions in 36 units of assessment.

3. The assessment framework: Overview Overall quality Outputs Maximum of 4 outputs per researcher Impact Impact template and case studies Environment Environment data and template 65% 20% 15%

4. Key Changes since RAE 2008 Automatic inclusion of all academics for all aspects of the Research Environment and the Impact Template Inclusion of assessment of impact as 20% of assessment Fewer UOAs/panels, operating more consistently Strengthened equality and diversity measures Revised eligibility criteria for staff: Category A and C only Addition of (limited) use of citation data in some UOAs Removal of ‘esteem’ as a distinct element Increased ‘user’ input on panels; and an integrated role for additional assessors Publication of overall quality profiles in 1% steps

5. REF 2014 Overview Institutions will make submissions by 29 November 2013, in each UOA they elect to submit in. Each submission will contain, in summary: 1.REF1a/b/c: Information on staff in post on the census date, 31 October 2013, selected by the institution to be included in the submission. 2.REF2: Details of publications and other forms of assessable output which they have produced during the publication period (1 January 2008 to 31 December 2013). Up to four outputs must be listed against each member of staff included in the submission. 3.REF3a/b: A completed template describing the submitted unit’s approach during the assessment period (1 January 2008 to 31 July 2013) to enabling impact from its research, and case studies describing specific examples of impacts achieved during the assessment period, underpinned by excellent research in the period 1 January 1993 to 31 December 2013. 4.REF4a/b/c: Data about research doctoral degrees awarded and research income related to the period 1 August 2008 to 31 July 2013. 5.REF5: A completed template describing the research environment, related to the period 1 January 2008 to 31 July 2013.

6. HEFCE Timetable 2011 Panels appointed (Feb) Guidance on submissions (Jul) Draft panel criteria for consultation (Jul) Close of consultation (5 Oct) 2012 Final panel criteria and methods (Jan) HEIs submit codes of practice (final deadline Jul) Requests for multiple submissions (final deadline Dec) Survey of submission intentions complete (Dec) 2013 Launch REF submissions system (Jan) Recruit additional assessors Staff census date (31 Oct) Submissions deadline (29 Nov) 2014 Panels assess submissions Publish outcomes (Dec)

7. Accountability for how public money is being spent? Douglas Hogg MP £1495 of public money on a ‘floating’ duck house The public and government ministers want to know how public money is being spent. Return on investment?

8. Demonstrating value for continued funding? ‘Higher Education has had an easy ride up until now, it is one of the last sectors to change’ Donors to charities want to know how their money is being spent The BBC works hard to demonstrate its worth to the public to carry on receiving public money

9. Outward facing Universities Government and the public want UK universities to be more outward facing HE and Academics engage with the Public (Beacons and PE Catalysts) More involvement with Education (A-levels, curriculum etc) Open Access to research Technology Transfer and intellectual property Knowledge Exchange Big change for Higher Education Institutions Additional infrastructure has been put in place (impact managers, public engagement practitioners, Open Access experts) Through the Research Excellence Framework (REF) and RCUK Pathways to impact universities are slowly becoming more outward facing.

10. Open Access in the REF Jan 2010 - UUK SUPPORTS OPEN ACCESS FOR REF CONTENT. As part of the Universities UK response to HEFCE's consultation on the Research Excellence Framework, UUK's reponse contains the following endorsement of an open access approach to the assessment process: "UUK supports the move toward 'open access' of research outputs and, although not mentioned in the consultation, would encourage the REF guidance to require that all submitted outputs are available through some form of open access mechanism. This would build on good research and information management practice. Work currently being undertaken by JISC and other stakeholders can support this process."UUK SUPPORTS OPEN ACCESS FOR REF CONTENT

11. RLUK Perspective “The REF is the best of UK research. We should be proud of it, promote it and have all universities be able to access it,” David Prosser, Executive Director, Research Libraries UK 02/09/2011

12. The REF and Open Access In the coming months, the four UK HE funding bodies will develop proposals for implementing a requirement that research outputs submitted to a REF or similar exercise after 2014 shall be as widely accessible as may be reasonably achievable at the time. We will consult all our partners in research funding, and a wide range of other interested bodies, before finalising our plans.

13. European Commission, Brussels, 17 July 2012 Scientific data: open access to research results will boost Europe's innovation capacity The European Commission today outlined measures to improve access to scientific information produced in Europe. Broader and more rapid access to scientific papers and data will make it easier for researchers and businesses to build on the findings of public-funded research. This will boost Europe's innovation capacity and give citizens quicker access to the benefits of scientific discoveries. In this way, it will give Europe a better return on its €87 billion annual investment in R&D. The measures complement the Commission's Communication to achieve a European Research Area (ERA), also adopted today. As a first step, the Commission will make open access to scientific publications a general principle of Horizon 2020, the EU's Research & Innovation funding programme for 2014- 2020. As of 2014, all articles produced with funding from Horizon 2020 will have to be accessible: articles will either immediately be made accessible online by the publisher ('Gold' open access) - up-front publication costs can be eligible for reimbursement by the European Commission; or researchers will make their articles available through an open access repository no later than six months (12 months for articles in the fields of social sciences and humanities) after publication ('Green' open access).

14. What does it mean for Exeter? New policy only affects research papers, not monographs or book chapters There is already a well-established route to green open access available to everyone at Exeter via ERIC Exeter supports a blended approach to open access - the gold open access route is more relevant to sciences and medicine at the moment and the green repository route for humanities arts and social sciences The choice of which OA route to take belongs to the researcher, subject (as now) to available funds if you want to pursue the gold open access route There are OA experts for consultation in the library to help researchers make choices and to help negotiate with publishers in the individual cases this is needed Academic freedom remains paramount at Exeter and will be at the heart of our approach to implementing the new RCUK policy

15. Open Access and REF: For discussion Academic freedom Humanities, Arts, Social Sciences Quantity and Quality Career Progression Co-authorship Equality of Opportunity? Is Green Golder on the other side? Strategic allocation of resources