Code of Practice
A Code of Practice (CoP) is a requirement for REF. It sets a minimum standard for participation. The REF2021 Code of Practice set out the development and application of the processes that governed the University's preparations for the submission to REF2021. A revised Code of Practice for REF2029 is being developed following guidance provided by the funding bodies. The code is developed in consultation with individual staff and staff group representatives across the collegiate University. Until the new Code of Practice is in place the REF2021Code of Practice continues to inform the University's approach to REF 2029.
REF 2021 Code of Practice
The Code of Practice governed all decisions relating to REF2021. It described the processes the University put in place for the identification of staff with significant responsibility for research; the determination of who is an independent researcher; and the selection of the highest quality research outputs. The Code of Practice is underpinned by the principles of transparency, consistency, inclusivity and accountability.
Research England (on behalf of the four UK funding bodies responsible for the REF) required that the Code of Practice set out the University’s approach to ensuring equality and eliminating as far as possible bias in decision-making throughout the REF process.
Staff were encouraged to familiarise themselves with the REF2021 Code of Practice. Below is a brief summary of the key points within the Code of Practice and you can download a full copy of the Code, which contains links to further guidance and University policies.
Summary
One of the most significant changes to the requirements of REF 2021 was the partial decoupling of individual staff and outputs. This allowed for a more balanced institution-wide review of the research environment than was the case previously. This change was reflected in the processes for identifying staff and selecting research outputs outlined in the Code of Practice.
How did the University identify eligible staff?
For the purposes of REF, staff with significant responsibility for research are 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 (CoP, paragraph 18). University policy is to submit all staff across the collegiate University on ‘Teaching and Research’, or ‘Research Only’ contracts for whom it can be determined, either by the nature of their contract with the University or College, or by meeting the criteria set out for research independence (CoP, paragraph 32) that they have significant responsibility for research. Such staff are described as ‘Category A Eligible Staff’.
Research Independence
For the purposes of REF2021, an independent researcher was defined as an individual who undertakes self-directed research as opposed to solely undertaking research under direction as part of others’ research programmes. In the majority of cases eligibility was determined by the type of contract an individual holds. Staff lists derived from University and College HR records were provided to Units of Assessment so that the contractual status of researchers can be confirmed. The identification of eligible staff was undertaken by Unit of Assessment Committees at regular intervals corresponding to the annual progress reviews in July 2019 and 2020. All staff whose eligibility was considered were alerted individually by Unit of Assessment Committees via an email notification that was sent to each researcher. Where appropriate, the appeals process was outlined within these confirmation emails. Staff could also self-nominate by downloading a Self-Nomination Form.
For some members of staff on Research Only contracts, Unit of Assessment committees reviewed individual staff against the indicators of research independence outlined at paragraph 32. A summary of the decision process can be found here.
Output Selection
Each Unit of Assessment submission comprised a number of outputs equal to 2.5 times the combined FTE of all submitted staff (as determined above). The decoupling of staff and outputs in REF021 was intended to provide increased flexibility to institutions in building a portfolio of outputs for submission (Guidance on Submissions, paragraph 203). Each member of submitted Category A eligible staff had to have a minimum of one output attributed to them and a maximum of five. Unit of Assessment committees made a selection of outputs that in their collective academic judgement demonstrated the optimum presentation of the Unit’s research capabilities.
Equality
The UK HE funding bodies are committed to supporting and promoting equality and diversity in research careers and the University was therefore strongly encouraged to ensure transparency and fairness in all decision-making processes of REF2021. The Code of Practice was drafted in partnership with the University’s Equality and Diversity (E&D) Office and developed in accordance with the aims and objectives of the University’s Equality and Diversity Strategy 2016 – 2021. Its development was informed by the Equality Analysis of REF2014. The early involvement of the University’s E&D Office and the staged process for monitoring compliance with University policies was incorporated into the process in response to a key recommendation of the equality analysis. You can read more about University policy and initiatives around equality here.