Staff eligibility in REF2021

18. 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.
    
19. In the case of University-employed staff, individuals who are identified on the annual return to HESA[1] with the contractual function of ‘Teaching and Research’, at a minimum 0.2 FTE, on the census date with a verifiable connection to the University will be considered Category A eligible. Individuals identified on the annual return to HESA with contractual function of ‘Research Only’ must, in addition, meet the criteria to determine research independence for REF purposes to be considered Category A eligible. (Figure 1)
    
20. In the case of College-employed staff, individuals who are identified in the annual College survey or by Units of Assessment, are on a College payroll and, whose contracts of employment specify research or teaching and research as their primary function and who engage actively in independent research during the REF period will be considered Category A eligible. Such staff will be considered on the same basis as those paid through the University payroll and will be identified against the comparable HESA class of Teaching and Research or Research Only.
    
21. Substantive connection to the collegiate University will be assumed for all members of staff on the University or College payroll with a contractual responsibility for research.  Where there is a question, the indicators of substantive connection, as outlined below from the guidance on submissions, along with the Unit of Assessment descriptors will inform decisions made about allocation of staff to the Unit of Assessment.
    
    
    a.  evidence of participation in and contribution to the unit’s research environment, such as involvement in research centres or clusters, research leadership activities, supervision of research staff, or supervision of postgraduate research (PGR) students
    
    b.  evidence of wider involvement in the collegiate University research community, for example through knowledge exchange, administrative, and/or governance roles and responsibilities
    
    c.  evidence of research activity focused in the institution (such as through publication affiliation, shared grant applications or grants held with the University)
    
    d.  period of time with the University  (including prospective time, as indicated through length of contract).
    
22. University employees holding the posts of University Teaching Officer (UTO), MRC Senior Investigator, Clinical Lecturer, where job descriptions are consistent and reflect clear and specific contractual expectations and responsibility for research, will be considered to have significant responsibility for independent research for REF purposes and be included as Category A eligible staff.
    
23. In exceptional cases, which are expected to be extremely limited, the submitting Unit of Assessment Committee will review individual cases against the criteria (Figure 1, pathway B), taking into account any requirements of the role which may prevent a staff member who would otherwise be considered to have significant responsibility for independent research, such as: long-term and significant administrative responsibilities; primary responsibility for managing a significant departmental facility; primary responsibility for managing a research laboratory. The rationale and justification for the determination that a member of staff is not eligible must be fully documented.
    
24. Staff who hold joint University/NHS appointments are eligible for the FTE for which they are University employees.
    
25. College employees holding the post of Junior or Senior Research Fellow or Director of Research will normally be considered to have significant responsibility for independent research for REF purposes and will be included as Category A eligible staff.
    
    For staff employed on Research Only contracts, University employees holding posts of Principal Research Associate (PRA), MRC Senior Investigator Scientist will be considered to have significant responsibility for independent research and will be included as Category A eligible staff.
    
    In exceptional cases, which are expected to be extremely limited, Unit of Assessment Committees will review individual cases against the criteria (Figure 1, pathway B) and the rationale and justification for the determination that a member of staff is not eligible must be fully documented.
    
26. Staff holding the post of Senior Research Associate (SRA) will normally be assumed to have significant responsibility for independent research. However, in Units of Assessment 1, 2, 4, 5, 9 and 12, where the role of SRA also includes individuals whose principal duties involve the support of knowledge transfer, project management (rather than project leadership), management of sponsor relationships, or the preparation of research proposals under the direction of an independent researcher, such staff will not normally be considered to be independent researchers for the purposes of REF.  Unit of Assessment Committees will review individual cases against the criteria  in paragraph32 (below) for determining research independence for REF purposes. 
    

27. The identification of eligible staff will be undertaken by Unit of Assessment Committees   at regular intervals corresponding to the annual progress reviews in July 2019 and continuing throughout 2020, in accordance with this Code of Practice and the Unit of Assessment Working Methods. Deadlines for receiving self-nominations will be set at regular intervals which will be published on the REF website and other appropriate websites (see paragraph 31).  As recommended in the Guidance on the Code of Practice, the application of the Code of Practice will be tested during the University Mock Submission in July 2019.  All staff whose eligibility is being considered will be alerted individually by Unit of Assessment Committees via a request to nominate publications. (See CoP paragraphs 51 – 54; Appendix A section 7).​​​​​​Determining Research Independence

28. For the purposes of REF2021, an independent researcher is defined as an individual who undertakes self-directed research as opposed to solely undertaking research under direction as part of others’ research programmes. The University will use the broad indicators of research independence as published in the Guidance on Submissions and as outlined below in paragraph 32.  
29. Staff holding the post of Postdoctoral Research Associate will only be considered independent researchers for the purposes of REF if they meet the criteria in paragraph 32 (below) for determining research independence.
    
30. Staff holding the post of MRC Investigator Scientist and College employees holding the post College Teaching Officers or Dean of Chapel will be assessed by Unit of Assessment Committees individually against the criteria for determining research independence.
    
31. Any member of academic staff will have the opportunity to self-nominate for consideration by the relevant Unit of Assessment Committee of their research independence against the criteria outlined in paragraph 32. Unit of Assessment Committees may also consider evidence from Line Managers and/or Principal Investigators to determine research independence against the criteria using the form downloadable from the REF website. Forms should be submitted to the relevant Unit of Assessment, copied to the REF Office by 7 June 2019 in order for their eligibility to be considered by the Mock Submission (deadline 12 July 2019).  Future deadlines will be announced from the Michaelmas Term 2019.
    
32. The Indicators of research independence applied by all Units of Assessment are consistent with the general principles as set out in the Guidance on Submission as follows:

All REF Panels

1. leading or acting as Principal Investigator or equivalent on an externally funded research project from a major funder.
   
2. holding an independently won, competitively awarded fellowship where research independence is a requirement. A list of fellowships is included as Appendix C.
   
3. leading a research group or a substantial or specialised work package.

REF Panels C & D supplementary criteria

4. being named as a Co-I on an externally funded research project from a major funder.
   
5. having significant input into the design, conduct and interpretation of the research.

In addition, Units of Assessment propose the following indicators which are consistent with the University’s approach to inclusivity.

6. acting as co-principal investigator on a significant externally funded research project from a major funder.
   
7. Significant input into the design, conduct and interpretation of research through leadership of a major element of a research project or programme.
   
8. Primary supervision of other researchers.
   
9. Supervision of PhD students.
   
10. Independent research publications as corresponding author.
    
    
    33.  Unit of Assessment Committees recognize that each indicator may not individually demonstrate independence and where appropriate multiple factors may need to be considered. To ensure consistency of application, Unit of Assessment Committees will record their decisions against the criteria (see paragraph 34 d).