You are in : RAE 1996


RAE96 1/94 1996 Research Assessment Exercise

To	Heads of HEFCE, SHEFC, HEFCW and DENI funded Institutions

Summary	This Circular sets out the framework and data requirements for 
the next Research Assessment Exercise.

Reference	RAE96 1/94

Publication Date	June 1994

Response by 	No response is required

Enquiries to	HEFCE - David Price (0272 317315)
		SHEFC - Morag Campbell (031 3136567)
		HEFCW - Ann Hughes (0222 761861)
		DENI - John Coote (0247 279279)

Introduction

1.	The higher education funding councils (HEFCs) published a common 
consultation paper in June 1993 inviting comments on the future conduct 
of research assessment by the Councils, drawing on the experience of the 
1992 Research Assessment Exercise (RAE). This circular describes how the 
next RAE will be conducted and what information will be required from 
participating higher education institutions (HEIs). 

2.	Over 250 replies to the consultation paper were received from 
HEIs, professional and learned bodies, subject associations, individuals 
and other interested parties. These have been carefully studied and taken 
into account in defining the arrangements for the next RAE.

3.	Preliminary comments provided by HEIs and other interested 
bodies immediately after the 1992 RAE, discussions held with the chairmen 
of assessment panels and responses to questionnaires issued to all 
members and assessors of individual subject panels and to panel chairmen 
have also been taken into consideration.

Purpose of the RAE

4.	The Government's wish to see selectivity in the allocation of 
research resources based on assessments of the quality of research was 
stated in Letters of Guidance: from the Secretary of State for Education 
to the Chairman of the HEFCE in June 1992; from the Secretary of State 
for Scotland to the Chairman of the SHEFC in June 1992; from the 
Secretary of State for Wales to the Chairman of the HEFCW in May 1992; 
and from the Northern Ireland Minister with responsibility for Higher 
Education to the Chairman of the Northern Ireland Higher Education 
Council (NIHEC) in May 1993. 

5.	The purpose of the next RAE will be to produce quality ratings 
of research which will be used by the HEFCs and the Department of 
Education for Northern Ireland (DENI) in the determination of grant for 
research to the institutions which they fund with effect from 1997-98. 

Timetable and Conduct of the RAE

6.	A common RAE will be undertaken by the HEFCs and DENI. All UK 
HEIs in receipt of funding from these bodies will be eligible to 
participate in the next RAE.

7.	The census date for the RAE will be 31 March 1996. Institutions 
will be asked to provide data on publications and other forms of 
assessable output and other information in respect of staff who are in 
post on 31 March 1996. Information requested from HEIs must be submitted 
by 30 April 1996.  

8.	The 1996 RAE will follow broadly the same approach as in 1992: 
the information supplied by HEIs will provide the basis for peer review 
assessment of research quality by a number of specialist panels. 

9.	Institutions will be invited to list up to four works for each 
member of staff whose research is to be taken into account. These may be 
publications or other forms of assessable output including work which is 
relevant to industrial, business and other users of research, and will 
provide the basis for the judgements of research quality. 

10.	HEIs need put forward for assessment only those academic staff 
in a department who are actively engaged in research. They will be asked 
to provide only summary information about any academic staff not 
submitted for assessment.  

Coverage: Research to be Assessed

11.	'Research' is defined at Annex A. Although account will be taken 
of the full range of research there will be no separate submission and 
assessment of basic/strategic and applied research. In accordance with 
the Government's policy for publicly-funded research set out in the 
science and technology White Paper Realising our Potential (Cm 2250), 
panels will be instructed to give full recognition to work of direct 
relevance to the needs of commerce and industry, as well as to the public 
and voluntary sectors. All research, whether applied or basic/strategic, 
will be given equal weight: panels will be concerned only with the 
quality of the work submitted for review.

Units of Assessment

12.	It is likely that the units of assessment (UOAs) will 
substantially be those used in the 1992 RAE. However, the consultation 
paper issued with this circular invites the sector to comment on a small 
number of proposed alterations which may be needed to capture properly 
the current layout of the research "map" and to reflect emerging 
disciplines. The closing date for responses to this consultation is 1 
August 1994.  The number and definitions of the UOAs to be used in the 
next RAE will be announced in autumn 1994. 

13.	In general there should only be one submission per UOA per 
institution. However, more than one submission per UOA may be allowed if 
an institution is returning both an interdisciplinary research group and 
a department to the same UOA. Multiple submissions to a UOA may also be 
permitted in circumstances where an institution would be required to 
combine research groups from substantially divergent disciplines in order 
to make a single return to a UOA for example.  The consultation on the 
number and definitions of UOAs (see paragraph 12 above) will help to 
identify the UOAs to which widely different disciplines may subscribe. 
Institutions should seek advice from the funding bodies before making 
multiple submissions to a single UOA, but should not approach the funding 
bodies on this matter until the list of UOAs is published in autumn 1994.

Interdisciplinary Research

14.	Feedback from the 1992 RAE has indicated that institutions would 
prefer, in the main, to return interdisciplinary research groups as 
single groups to the most appropriate UOA rather than breaking up such 
groups into their constituent parts. However, there is some concern that 
adequate expertise has not always been brought to bear on all parts of 
interdisciplinary submissions. 

15.	Institutions are encouraged to return interdisciplinary research 
groups to a single UOA.  As an extension to the principle of previous 
RAEs, HEIs will be invited at the time of submission to suggest other 
UOAs to which submissions of an interdisciplinary nature should be 
referred. In addition, assessment panels will decide whether additional 
expertise from other panels, or from external sources, should be brought 
to bear. Panels will be instructed to give full attention to the special 
nature of interdisciplinary research and of its assessment.

Joint Submissions

16.	Institutions will be permitted to make joint submissions in 
circumstances where there are genuine collaborative arrangements between 
HEIs and where the action to tender a joint submission has been agreed by 
all the parties involved. Each institution will receive the rating 
achieved by the joint submission. The rating will be used, together with 
appropriate volume data from each institution, returned in the joint 
submission, to establish the research funding due to each institution in 
respect of the UOA concerned.

Assessment Panels

17.	Each UOA will be assessed by a panel with appropriate specialist 
membership including members from overseas and from industry and other 
user groups where appropriate. Pre-eminence in research will continue to 
be the main criterion for appointment to assessment panels. 

18.	As in previous RAEs the funding bodies will invite subject 
associations, learned societies, professional associations, relevant 
industrial and business organisations and other interested bodies to make 
nominations for membership of panels. The funding bodies are consulting 
the higher education sector, in a consultation paper issued with this 
circular, on the list of organisations that should be invited to make 
nominations for panel membership. In the light of the emphasis on 
developing the partnership between higher education and the users of 
research in the science and technology White Paper, the funding bodies 
will look in particular for additional organisations which are prominent 
in or representative of user communities and knowledgeable about 
research, which could be approached to make recommendations for panel 
membership. 

19.	Assessment panels will be established around nine months in 
advance of the census date so that they can determine how they intend to 
conduct their business and decide the criteria they intend to adopt in 
forming their judgements. These criteria will be published approximately 
six months in advance of the census date. The names of panel chairmen and 
panel members will also be published. 

Assessment Ratings

20.	While the method of assessment used by panels will reflect the 
nature of the subjects which they are assessing, ratings must indicate 
quality of a broadly similar level across all subjects.  As in previous 
RAEs the ratings will therefore be made on a common scale with common 
definitions of the points. 

21.	Points 1, 2, 4 and 5 are retained with the same definition as in 
1992. Point 3 is divided in to points 3a and 3b which together encompass 
the same definition as point 3 previously. Starred 5s will be awarded to 
5-rated submissions the majority of whose work is of international 
excellence. Stars will be given to submissions rated 1-4 when they 
contain research groups which are identified as having particular 
excellence in research above the overall rating for the submission, as in 
the 1992 RAE. The rating scale with definitions of rating points is given 
at Annex B. 

22.	Submissions which contain no evidence of research will not be 
awarded a rating.

Information to be Requested

23.	In deciding which data to collect, the funding bodies' 
overriding concern has been the utility of the information for the 
purpose of assessing research quality. However, account has also been 
taken of the cost to HEIs of providing the information and of the need to 
keep the volume of information at a manageable level for panels.

24.	The main change compared with previous exercises is that 
submissions will not be required to include a summary count of 
publications and other forms of assessable output for each member of 
staff submitted. In deciding to discontinue the publication count, the 
funding bodies wish to signal clearly that the RAE is concerned with 
research quality, and that the number of publications and other forms of 
assessable output is not considered necessarily to be an indicator of 
research quality.

25.	Details of the information required is provided at Annex C. In 
summary, information will be required under eight heads:

a.	Overall staff summary
Summary information on all academic staff and research support staff.

b.	Research active staff details
Detailed information on research active staff.

c.	Publications and other public output
For each named member of staff in post on 31 March 1996 up to four works 
(whether publications or other public output) produced during the period 
1 January 1990 to 31 March 1996 in the case of arts and humanities 
subjects; and the period 
1 January 1992 to 31 March 1996 in the case of all other subjects. 
Institutions must be able to make these cited works available on request. 
	
Staff may cite any of their works published during the assessment period, 
which will be attributed to their institution at the census date, 
regardless of whether they have moved institution during the period.

Outputs produced by research students and research assistants who are 
supervised by staff submitted in the RAE will be eligible for inclusion 
within the four works cited by a member of academic staff even where the 
member of staff is not a joint author with the research assistant or 
research student. Authorship of such works must be acknowledged in the 
return.

In the light of the recommendations of the Joint Funding Councils' 
Libraries Review Group Report (published in December 1993) refereed 
journal articles published through electronic means will be treated on 
the same basis as those appearing in printed journals.

Work accepted for publication but not yet published (or the equivalent 
for other types of outputs) will be ineligible.

d.	Research students 
Full-time and part-time postgraduate research students. 

e	Research studentships
Postgraduate research studentships. 

f.	External research income 
Amounts and sources of external funding.

g.	Statement of research plans
Including responses emerging from the Government's Technology Foresight 

Programme and Forward Look exercises.

General observations

26.	As in previous RAEs assessment panels may call for supplementary 
information which they may require to help them form their judgements, 
and this may include any performance indicators which may be collected 
following the work of the HEFCs' Joint Performance Indicators Working 
Group. The funding bodies will be consulting on proposed performance 
indicators during summer 1994 and expect to publish the results of this 
consultation in autumn 1994.

Submission of Information

27.	The funding bodies will advise institutions of the details of 
the submission of information in the second half of 1995. Pilot studies 
will be conducted by the funding bodies to evaluate the scope for 
institutions to use electronic means to submit data.

Checking and Verification

28.	A proportion of submissions submitted by each institution will 
be audited as a matter of course. In addition panel members will be asked 
to draw attention to areas of concern.  Institutions should therefore be 
prepared to provide detailed justification for the information submitted. 
Where discrepancies are identified a more detailed audit will be 
conducted. The funding bodies will consider what action to take in cases 
where significant discrepancies are found. 

29.	Assessment panels will be instructed to channel requests for 
clarification of data through the funding bodies and not to contact 
institutions directly.

Publication of the Results

30.	The full list of results, including an indication of the number 
and/or proportion of staff assessed in each submission, will be published 
as soon as possible after completion of the RAE. It is expected that this 
will be in December 1996 so that the data are available for use in the 
funding round for the allocation of research funding for 1997-98.

Enquiries

31.	Institutions are asked to identify a central contact point for 
the RAE. This individual should act as an initial contact point for 
enquiries within the institution. If queries still remain, then he or she 
should contact: 

	David Price (0272 317315) or 
	Alice Frost (0272 317123) at HEFCE, 
	Morag Campbell (031 3136567) at SHEFC, 
	Ann Hughes (0222 761861) at HEFCW or 
	John Coote (0247 279279) at DENI.




Annex A
Definition of Research

'Research' for the purpose of the RAE is to be understood as original 
investigation undertaken in order to gain knowledge and understanding.  
It includes work of direct relevance to the needs of commerce and 
industry, as well as to the public and voluntary sectors; scholarship*; 
the invention and generation of ideas, images, performances and 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 analysis of materials, components and processes, eg for the 
maintenance of national standards, as distinct from the development of 
new analytical techniques.

*  Scholarship embraces a spectrum of activities including the 
development of teaching material; the latter is excluded from the RAE.




Annex B

The Rating Scale and Descriptions

The following rating scale and accompanying descriptions will be used 
for the next Exercise.  For convenience the new scale and description 
is given as well as the scale and description (in brackets) used in 
the 1989 and 1992 RAEs.

----------------------------------------------------------------------
5*		

Research quality that equates to attainable levels of international 
excellence in a majority of sub-areas of activity and attainable 
levels of national excellence in all others.
----------------------------------------------------------------------
5 (5)

Research quality that equates to attainable levels of international 
excellence in some sub-areas of activity and to attainable levels of 
national excellence in virtually all others.

(Research Quality that equates to attainable levels of international 
excellence in some sub-areas of activity and to attainable levels of 
national excellence in virtually all others.)
----------------------------------------------------------------------
4 (4)	

Research quality that equates to attainable levels of national 
excellence in virtually all sub-areas of activity, possibly showing 
some evidence of international	excellence, or to international level 
in some and at least national level in a majority.

(Research quality that equates to attainable levels of national 
excellence in virtually all sub-areas of activity, possibly showing 
some evidence of international excellence, or to international level 
in some and at least national level in a majority.)
----------------------------------------------------------------------
3a (3)	

Research quality that equates to attainable levels of national 
excellence in a substantial majority of the sub-areas of activity, or 
to international level in some and to national level in others 
together comprising a majority.

(Research quality that equates to attainable levels of national 
excellence in a majority of the sub-areas of activity, or to 
international level in some.)
----------------------------------------------------------------------
3b (3)

Research quality that equates to attainable levels of national 
excellence in the majority of sub-areas of activity.

(Research quality that equates to attainable levels of national 
excellence in a majority of the sub-areas of activity, or to 
international level in some.)
----------------------------------------------------------------------
2 (2)		

Research quality that equates to attainable levels of national 
excellence in up to 	half the sub-areas of activity.

(Research quality that equates to attainable levels of national 
excellence in up to half the sub-areas of activity.)

----------------------------------------------------------------------
1 (1)		

Research quality that equates to attainable levels of national 
excellence in none, or virtually none, of the sub-areas of activity.

(Research quality that equates to attainable levels of national 
excellence in none, or virtually none, of the sub-areas of activity.)





Annex C

Notes of Guidance for Collection of Information


General
1.	Throughout these notes of guidance, the term "department" refers 
to the organisational unit within which the research described in the 
submission takes place.  This may be a conventional department or may be 
some other arrangement of staff.

2.	Each section of this guidance is intended to be self-contained, 
therefore the reader will notice some degree of repetition where data 
definitions and categorisations are outlined.

3.	Information on research students and external research income 
will be collected against different dates to reflect the manner in which 
HESA will be collecting such information and to minimise the 
administrative burden on HEIs.

4.	The following notes will be re-issued in the second half of 1995 
when detailed instructions concerning the practicalities of how 
information should be submitted are announced.  

Overall Staff Summary - RA0 

5.	Summary information will be required on all academic staff (as 
defined in paragraph 19 below). The information will be used by 
assessment panels to understand the context in which the research 
activity within the submission took place. The following data will be 
required for each submission:

a.	Number (FTE) of academic staff in post on 
31 March 1996 entered as research active. (For a definition of research 
active staff see paragraphs 19 to 27 below.)

b.	Number (FTE) of academic staff in post on 
31 March 1996 not entered to the RAE. 

c.	The number (FTE) of academic staff in post on 31 March 1996 in 
departments not entered to the RAE will be required. The number of such 
staff must be returned against the appropriate UOA. 

d.	Number (FTE) of postdoctoral research assistants in post on 31 
March 1996.

e.	Number (FTE) of postgraduate research assistants in post on 31 
March 1996.

f.	Number (FTE) of technicians in post on 
31 March 1996 devoted to the support of research.

g.	Number (FTE) of scientific officers in post on 31 March 1996 
devoted to the support of research.

h.	Number (FTE) of experimental officers in post on 31 March 1996 
devoted to the support of research.

i.	Number (FTE) of other staff specifically devoted to the support 
of research on 31 March 1996 such as, where appropriate, computing staff 
employed within the department. This would only exceptionally include 
secretarial staff.

6.	All research assistants, technicians, scientific officers, 
experimental officers and research support staff returned to the RAE 
should be associated in the submission with at least one member of 
academic staff who is actively involved in research. However, in the case 
of departments which operate on a "pool" system with regard to 
technicians, scientific officers, experimental officers and other staff 
specifically devoted to the support of research, institutions may supply 
the total FTE of effort in support of research.

7.	Research assistants are employed by the institution to carry out 
a research programme. They have normally been returned to the USR as 
Category 12 (Academic, Research only) by institutions who were formerly 
funded by the UFC. They are often employed on short term appointments 
funded by research grants or contracts from research councils, charities 
or industry. If they are employed on such a contract to carry out another 
individual's research programme they are not independent researchers and 
so are not eligible for inclusion as research active staff; they should 
be recorded in the institution's Overall Staff Summary as research 
assistants. 

8.	Postgraduate research assistants should be distinguished from 
postdoctoral research assistants. The former normally have a first degree 
only and are more junior. In former UFC funded HEIs they are employed on 
the RAIB pay scale, in former PCFC funded institutions on Grade A. 
Postgraduate research assistants may register for a PhD, but they are not 
normally regarded as full-time research students (see paragraph 10 
below). Postdoctoral research assistants normally have a higher degree, 
although RAIBs with sufficient experience can be promoted to these 
scales. In former PCFC funded HEIs they are normally employed on grade B 
and above. 

9.	Some senior research assistants may be employed by the 
institution from general funds and may be named originators (or principal 
investigators) of a research grant or contract. Also, some funders of 
research grants or contracts may require a permanent academic member of 
staff to be the named originator; and in these circumstances the research 
assistant, supported on specific funds, may act as the principal 
investigator, that is formulate the application and manage the research 
programme. Such research assistants are eligible to be included as 
research active staff and should not be recorded as research support 
staff (i.e. research assistants) in the Overall Staff Summary. If such 
senior research assistants are not returned as research active members of 
staff they must be returned to the Overall Staff Summary according to the 
instructions outlined in paragraph 5b. above.

10.	Postgraduate research assistants who are registered for a PhD 
should be returned as part time research assistants (0.5 FTE) except if 
registration for a higher degree is a condition of employment, in which 
case they should be included as full time research students in forms RA1 
and RA3a (see paragraphs 13h. and 44 below), but should be excluded from 
form RA0.

11.	Research fellows (as defined in paragraph 20 below) should be 
returned as research active staff for the RAE.

12.	The terms technician, scientific officer and experimental 
officer are generic terms that will need to be related to local practice. 
Where an individual has a split role between teaching support and 
research support only the FTE devoted to research support should be 
recorded. Individuals whose role in supporting research only constitutes 
a minor part of their job description (typically less than 0.2 FTE) 
should be omitted.

Research Active Staff Details (RA1) 

Information Required

13.	Institutions will be required to give the following details in 
respect of the categories of staff listed in paragraph 17 below:

a.	Surname, initials, year of birth - all categories of staff.

b	Full-time equivalence as at 31 March 1996 in the case of 
Category A staff.  In this context full-time equivalence refers to the 
nature and pattern of duties of a member of staff as compared with a 
typical full-time employee at the census date and does not take into 
account the length of time during the year for which he/she was employed.

c.	Staff in Categories A and B will typically fall into one or 
other of two groups as regards their source of funding, namely financed 
wholly from general income or funded partly or wholly from other funds. 
Details of source of funding (general income, other income and partly 
general income partly other income) will be required for Category A staff 
only. General income is income that can be applied at the discretion of 
the institution. 

d.	Category A staff who are ultimately funded by the NHS, 
indirectly through general funds or directly through other funds, should 
be identified. 

e.	The following employment history of all categories of staff will 
be required:

i.	Starting and/or leaving dates at the institution (for those 
staff not in post throughout).

ii.	Name of previous institution for those staff who joined the 
institution during the period of assessment.

f.	Where a member of staff changes status during the assessment 
period the date of that change should be entered: such a change may be 
from funded professor to emeritus professor or from research fellow to 
lecturer.

g.	Some emeritus professors may have previously been on the 
academic staff of the department during part of the assessment period. 
The date at which such individuals achieved this status should be 
recorded.

h.	The number (FTE) of research assistants for whom each Category A 
or C staff member is responsible on 31 March 1996. Jointly managed 
research assistants should be counted pro-rata by each member of staff.  
If a postgraduate research assistant is also registered for a PhD the 
individual should be counted as a 0.5 FTE research assistant and as a 0.5 
FTE research student except if registration for a higher degree is a 
condition of employment, in which case he/she should be considered as a 
full time research student. 

i.	The number (FTE) of postgraduate research students whom each 
Category A or C staff member is supervising on 31 March 1996.  Jointly 
supervised students should be counted pro-rata by each member of staff. 

14.	All personal information (as defined by the Data Protection Act 
1984) will be held in confidence by the funding bodies.
Research Active Staff

15.	As in the 1992 RAE institutions are invited to put forward for 
assessment those staff in a department who are actively engaged in 
research. It is for institutions to determine which staff they choose to 
submit and they will need to be aware that research funding will continue 
to be influenced by the volume of research (including staff) assessed. 
Staff may only be returned as Category A or C staff in one submission.

16.	Research active staff may be employed on a full-time or part-
time basis.

17.	Research active staff will be categorised in one of the 
following ways:

a.	Category A staff - those research active academic staff on the 
payroll of the institution and in post on 31 March 1996.

b.	Category B staff - those research active academic staff who were 
on the payroll of the institution after 1 January 1992 but who left 
before 31 March 1996.

c.	Category C staff - other staff active in research in the 
department as independent investigators, and who are in post on 31 March 
1996.

d.	Category D staff - other staff active in research in the 
department as independent investigators after 1 January 1992 but not in 
post on 31 March 1996.
Categories A and B

18.	A distinction is made between Categories A and B staff on the 
one hand, and Categories C and D staff on the other. The principle 
underpinning this distinction is that staff who are categorised as A and 
B should be academic staff
on the payroll of the institution, whereas staff categorised as C and D 
are independent investigators who conduct their research in the 
department but who are not on the payroll of the institution or are on 
the payroll as academic-related staff (for example vice chancellors and 
librarians). The application of this principle is described in paragraphs 
19 to 31 below.

19.	The individually named staff to be included as Categories A and 
B are those who are classified as academic departmental staff (teaching, 
teaching/research or research only) and who have a contract with the 
institution and receive a salary from it, irrespective of source of 
funds. For former UFC funded HEIs this means those who have normally been 
classified in the USR Staff Record as staff code 11 (teaching or teaching 
and research) or staff code 12 (research only), excluding, for the 
purposes of this RAE, research assistants (with the exceptions outlined 
in paragraphs 22 and 23 below) and retired academic staff re-employed on 
teaching contracts. For former PCFC funded HEIs this means those on whom 
data on core fields has normally been kept (teaching and research or 
research only staff). Categories A and B include amongst others research 
fellows funded by, for example, the Royal Society, where these fellows 
are on the payroll of the institution, and NHS 'A+B' staff.

20.	Research fellows are individuals who hold specific awards on the 
basis of their own research record or research proposals. Fellowships are 
often for a fixed term, typically three or five years. Funding for these 
awards comes from a range of sources outside HEIs, but can be channelled 
through the HEI so that the individual remains an employee of the 
institution. Examples of fellowships are Research Council Fellows 
(Senior, Advanced and Postdoctoral) and Royal Society Fellows and 
Professors. 

21.	Research fellows who receive funding directly from their 
sponsoring bodies, as is the case for NATO and UN fellowships, may not be 
returned as Categories A and B staff. They are, however, eligible to be 
included as Category C staff. 
22.	As explained in paragraph 9 above, some senior research 
assistants may be employed by the institution and financed from general 
funds and may be named originators (or principal investigators) of a 
research grant or contract. In such cases the senior research assistants 
can be regarded as independent investigators and so will be eligible to 
be included as Categories A or B staff. If such senior research 
assistants are not selected as research active staff they should then be 
returned in the Overall Staff Summary according to the instructions 
outlined in paragraph 5b. above.

23.	As set out in paragraph 9 above, some research assistants 
supported on specific income may function as principal researchers even 
though they are not the originators of a research grant or contract. This 
may occur in cases where certain funders require an academic member of 
staff to be the named originator but where it is the research assistant 
who is responsible for the formulation of the application and who is in 
charge of the research programme. In such circumstances research 
assistants are eligible to be included as Categories A or B staff. In 
general, however, research assistants should not be regarded as 
independent researchers.

24.	Staff on sabbatical, study or maternity leave may be included as 
research active staff if they are still on the institution's payroll. 
Academic staff on unpaid leave of absence or secondment may not be 
included as Category A staff, although they may qualify as Category B 
staff. 

25.	Staff who die while in post before 31 March 1996 may not be 
returned as Category A staff although they are eligible for inclusion as 
Category B staff.

26.	Teaching assistants (such as foreign language 
assistants/lectors) who are not employed as academic staff cannot be 
included as research active members of staff neither should they be 
returned within the Overall Staff Summary. However, those teaching 
assistants who have normally been coded as 11 (or 12) on the USR Staff 
Record (in the case of former UFC funded HEIs) or on whom data on core 
fields has normally been kept (in the case of former PCFC funded HEIs) 
may be returned as Categories A or B. If such staff are not selected as 
research active they should be returned within the Overall Staff Summary 
according to the instructions outlined in paragraph 5b.

27.	Dental instructors and anatomy instructors should be treated on 
the same basis as teaching assistants, as set out in paragraph 26 above.
Categories C and D

28.	The individually named staff to be included in the return under 
Categories C and D are any staff who make an independent contribution to 
the research of the unit/department, but do not have a contract with the 
institution, or do not receive a salary from it, or who are not academic 
staff and hence are excluded from Categories A and B. The department must 
be the focus of the research activities of such staff. It includes, for 
example, vice chancellors, librarians, staff in university museums, NHS 
consultants, some Oxford and Cambridge College Fellows, staff employed 
directly by the Federal University of Wales but returned in the 
submissions of its constituent colleges (see paragraph 33 below for 
instructions on how such staff should be returned in submissions made by 
the Federal University), staff in research council units that are an 
integral part of the department, staff on PRCS and other retirement 
schemes and emeritus professors. It does not include staff in independent 
research council units. Nor does it include research assistants. 

29.	Category C staff should be currently working in the 
unit/department on 31 March 1996; Category D staff are those who were 
associated with the department during the assessment period (1 January 
1992 to 31 March 1996), but left before 31 March 1996.

30.	Staff on PRCS or other retirement schemes who have been re-
employed by the institution on teaching only contracts, although they 
have normally been listed as academic staff in USR, for the RAE should be 
included in Categories C or D as appropriate, if they continue to make a 
contribution to the research of the department. Although PRCS staff 
cannot be considered as Categories A or B they must nevertheless be 
returned with the institution's Overall Staff Summary according to the 
instructions outlined in paragraph 5b. above thereby allowing the balance 
between research and teaching staff within a department to be calculated.

31.	Visiting professors, fellows and lecturers should be excluded 
from submissions if they normally carry out their research outside the 
department (e.g. in an industrial research laboratory or research council 
institute). However, if such individuals carry out the majority of their 
research work in the department, then they may be included in Categories 
C or D as appropriate.  Short term (one year or less) visiting staff 
should not be considered as research active staff. They can, however, be 
referred to in General Observations (see paragraphs 72 and 73 below).

Other Notes

32.	In general staff should only be returned by one institution. 
However, a small number of individuals may have a contract with, and 
receive a salary from, two institutions. If they are active in research 
at both institutions then they may be returned under the submissions from 
each institution: this is the only situation in where an individual may 
be returned by more than one institution as Category A or C. In such 
cases information will be returned in the following way:

a.	RAO
	The FTE of the individual at that institution.

b.	RA1
	FTE of the individual at that institution.
	Number of research assistants employed at that institution under 
the supervision of that institution.
	Number of research students supervised by the individual at that 
institution; normally they should be registered at that institution.

c.	RA2
	The same research works will be cited in both returns.

d.	RA3a
	Only students supervised by the individual 
	and based at that institution will be eligible.

e.	RA4
	Only grants/contracts held by the individual 
	that are administered through that 
	institution will be eligible.

33.	Staff employed directly by the Federal University of Wales may 
be returned in the university's submissions as Category A or B or in 
those of its constituent institutions as Category C or D. However, the 
same member of staff may not be returned by both the Federal University 
and any of its constituent institutions.

Publications and Other Forms of Other Output (RA2)

34.	A count of works produced by the department (Form RA2b in the 
1992 RAE) will not be sought as part of the 1996 RAE.

35.	Institutions will be asked to supply details of up to four works 
produced by each Category A or C staff member during the assessment 
period. These works may be publications or other forms of assessable 
output, including work that is relevant to industrial, business and other 
users of research. The items selected should be research output (as 
defined at Annex A) which best reflect the quality of work of the member 
of staff. 

36.	Staff may cite any works produced during the assessment period 
regardless of whether they have moved institution during the period. 
These works will be attributed to their institution at the census date.

37.	Categories A and C staff will be able to include, with their own 
cited works, even if they are not credited as co-authors, works produced 
by research assistants and research students whose work they supervise 
and who are associated with the department. Institutions must ensure that 
appropriate credit for authorship of the work is recorded. Staff will 
remain restricted to citing up to four works irrespective of whether 
these include works produced by research assistants and research students 
alongside their own works. 

38.	The names of research active staff who have no works to list 
must be included in Form RA2. 

39.	Co-authored works should not be counted pro-rata, but the names 
of other authors concerned will need to be recorded. If there are more 
than four co-authors the names of three (in addition to the member of 
staff listing the publication) and a record of the number of other co-
authors will be required. Any co-authors who are not members of staff, or 
research assistants or research students at the institution should be 
noted with an asterisk. 

40.	Refereed journal articles published through electronic means 
will be treated on the same basis as those appearing in printed journals.

41.	For humanities and arts subjects (UOAs 48-70 in the 1992 RAE) 
works published or otherwise produced in the period 1 January 1990 to 31 
March 1996 may be cited. For all other subjects the relevant period will 
be 1 January 1992 to 31 March 1996. Only work which has been published 
(or equivalent for other media) by 31 March 1996 will be eligible for 
inclusion. Institutions must be able to make available cited works on 
request. 

42.	Publications and other forms of assessable output to be included 
in submissions will not be categorised. However, the following details 
will be required for each work cited:

a.	Books - title, number of pages, publisher, date published, ISBN 
number. (The date of publication of a book should be taken to be that 
indicated by its imprint.)

b.	Chapters in books - title of chapter, pagination of chapter, 
title of book, name(s) of editor(s), publisher, date of publication, ISBN 
number. 

c.	Articles in journals - title of article, pagination in article, 
name of journal, volume number, date of publication, ISSN number.

d.	Conference contributions - name of conference/published 
proceedings, number of pages, date published (or in the case of non-text 
based material such as abstracts, posters and the like, date of 
conference and media of output).

e.	All other works - title, date of publication or, in the case of 
non-text based material, date at which output was made publicly 
available. In the case of exhibitions the gallery where the exhibition 
was held, the number of pieces exhibited, the length of the exhibition 
and the date of public opening of the exhibition will be required.

Research Students (RA3a) 

The following information on research students in the department will be 
required:

a.	Total number of full-time research students on 31 December in 
1992, 31 December 1993, 1 December 1994 and 1 December 1995. (The reason 
for the change in date here and in paragraph 43b. below is that the HESA 
census date and the USR and FESR census dates are different.)

b.	Total number of part-time research students on 31 December in 
1992, 31 
December 1993, 1 December 1994 and 1 December 1995.

c.	Total number of doctoral degrees (see paragraph 44 below for 
definition) awarded (the date of approval for conferment of the degree 
rather than the subsequent award ceremony) in calendar years 1992, 1993, 
1994, and 1995.

d.	Total number of research masters degrees (see paragraph 44 below 
for definition) awarded (the date of approval for conferment of the 
degree rather than the subsequent award ceremony) in calendar years 1992, 
1993, 1994, and 1995.

44.	All research students included should be supervised by at least 
one member of research active staff. Research postgraduate students are 
normally supervised and registered for a research-based degree, typically 
a doctoral (PhD, DPhil, MD) or Masters (MPhil) degree. Members of 
academic staff who are registered for a PhD, and who have normally been 
identified as such in USR and FESR, may be included, and would normally 
be classified as part-time. Those students who are formally employees of 
the institution, paid as research assistants or the like from research 
council grants or contracts, are not regarded as being able to study as 
full-time students, and should be counted as part-time. Postgraduate 
research assistants who are registered for a research-based higher degree 
should be returned as 0.5 FTE research students except those for whom 
registration for a higher degree is a condition of employment, who should 
be returned as full-time research students (see paragraphs 8 and 10 
above).

45.	Students who have completed the work of the course but have yet 
to complete the requirements for the award (writing up a thesis, for 
example), thereby not making any significant demand on the institution's 
resources, should be excluded. Such students are those who have normally 
been coded 5 under 'Method of Study' in the USR return. 

46.	Students studying for a degree at one institution whilst 
registered at another must be included under the former.

47.	Some students may be registered for a taught postgraduate degree 
before transferring to a research postgraduate degree. Such students have 
normally been recorded in USR or FESR as being on a taught course and 
should be excluded.

48.	Medical and dental postgraduates studying for degrees such as 
MD, MS, MDS, may be included as part-time students (under the institution 
where they are studying) where such studies lead to submission of a 
thesis. Individuals studying for degrees awarded on the basis of 
submitted papers should not be included. Postgraduates studying for other 
vocational qualifications such as DBA and DEd are eligible for inclusion 
(under the institution where they are studying) where studies lead to a 
submission of a thesis.

49.	Students employed by outside research organisations and based 
outside the department for the majority of their study should normally be 
excluded. However, students engaged on new forms of work-based learning 
such as PTPs (Postgraduate Training Partnerships) and the new Engineering 
Doctorate may be included if they meet the criteria set out in paragraph 
44 above.

50.	Students supervised by staff who are returned in more than one 
submission (UOA) should be returned split either according to the agreed 
division of responsibility or pro rata to the number of supervisors.

51.	 A part-time student should be counted as 0.5 FTE.

52.	Further guidance may be necessary following any new forms of 
postgraduate training which may arise out of the science and technology 
White Paper Realising our Potential (Cm 2250). This guidance will be 
provided once proposals have been finalised.

Research Studentships (RA3b)

53.	The number of new studentships held in the department in each 
calendar year (1992, 1993, 1994 and 1995) against various sources of 
studentship (see paragraph 55 below) will be required. The number of new 
research studentships held by postgraduate research students registered 
for doctoral or masters degrees should be recorded. Each new studentship 
should be counted once only and placed against the calendar year in which 
it first started. An extension to the life of a studentship should not be 
regarded as new for the purpose of this return. 

54.	Studentships funded by the institution, whether from grant, 
endowment income or otherwise may be included.

55.	Research studentships should be collected under the following 
headings:

a.	'OST Research council et al' - includes studentships awarded by 
research councils covered by the Office of Science and Technology, the 
British Academy, the Scottish Office Education Department, the Scottish 
Office Home and Health Department, the Department for Education for 
Northern Ireland and the Department of Agriculture for Northern Ireland. 
It excludes research assistantships funded by research councils.

b.	'UK-based charities' - studentships awarded by charitable 
foundations, charitable trusts etc., based in the United Kingdom and 
which are registered with the Charities Commission, exempt charities 
(except those specifically included under other headings) or those 
recognised as charities by the Inland Revenue in Scotland.

c.	'UK central government' - includes studentships awarded by the 
British Council and the Overseas Development Administration.

d.	'UK local authorities'.

e.	'UK public corporations'

f.	'UK industry and commerce'

g.	'UK health and hospital authorities'.

h	'Institutional self funded' - includes studentships funded by 
institutions whether from grant or endowment income.

i.	'Overseas'.

j.	'Other' if funding is from another source.

External research income (RA4)

56.	The external research income and expenditure in each of 
financial years (1 August to 31 July) 1992-93, 1993-94, 1994-95 and 
1995-96 is required. 1995-96 will be a partial return covering the period 
1 August 1995 to 31 March 1996. This information will differ from that 
provided in Form RA4 of the 1992 RAE in that the actual research income 
from external grants or contracts received in a particular year will be 
sought rather than the initial value of the grants or contracts.   

57.	Data on external research income for 1992-93 (and beyond) will 
be required on an academic year basis (1 August to 31 July). This 
requirement will extend to those former public sector institutions whose 
financial years were not consistent with the academic year at the time.

58.	Grants or contracts for which income is included in this return 
should be associated with at least one member of staff who are returned 
as research active by the department.

59.	Income which has not been administered through the institution's 
own accounts or through the accounts of a wholly owned subsidiary company 
is to be excluded. Such income may, however, be referred to in General 
Observations (see paragraphs 72 and 73 below). Similarly gifts of 
equipment should also be cited in 
General Observations.

60.	Where a grant or contract is likely to be held across more than 
one UOA it should be divided. It will be for institutions to determine 
how such grants and contracts should be divided. However, the 
apportionment of income between departments will be expected to match the 
manner in which it has been used.  Research projects which are funded 
from a number of sources should have their income allocated between 
respective headings to reflect the actual source of the income. 

61.	The heads should include all income in respect of research 
carried out at the institution and for which directly related expenditure 
has been incurred. Income should be stated at full value including any 
recovery for indirect costs whether retained by the institution or 
department, or at the disposal of an individual within a department. 

62.	Amounts in respect of costs for existing staff or facilities 
within research grants or contracts may be included.

63.	Where a project is being undertaken by a number of institutions 
and one institution acts as the 'lead institution', only that income 
which relates to the work actually being undertaken by the institution 
itself should be included. The lead institution should not include any 
payment made in a particular year to co-operating institutions who will 
include such payments in their own return.

64.	Investigators will on occasion move between institutions during 
the progress of a grant or contract. If the original institution 
continues to receive income from the grant/contract then this should be 
accounted to that institution alone. If the old grant/contract is 
cancelled and a new grant/contract is issued to the new institution, then 
the income from each should be cited by the appropriate institution. 

65.	If an individual moves institution but continues to work on a 
grant/contract held jointly with other members of staff at the original 
institution, the income may be cited only by the institution which 
received it. The ruling on grants/contracts held by investigators at more 
than one institution only applies to awards that are specifically 
allocated to individuals at more than one institution, not in the case of 
individuals who move institution after the award is announced.

66.	External research income data should be collected against the 
heads listed below:

a.	'OST Research councils et al' - includes all research grants and 
contract income from research councils covered by the Office of Science 
and Technology and the British Academy. Integrated Graduate Development 
Schemes (IGDS), European Social Fund Grants (ESF) and Teaching Company 
Schemes should not be included under this heading. For teaching company 
see paragraph 66k. below; IGDS and ESF awards are excluded from this 
return.

b.	'UK-based charities' - research grants and contract income from 
all charitable foundations, charitable trusts etc., based in the United 
Kingdom and which are registered with the Charities Commission, exempt 
charities (except those specifically included under other headings) or 
those recognised as charities by the Inland Revenue in Scotland.

c.	'UK central government' - includes all research grants and 
contract income from UK central government bodies except research 
councils, UK public corporations and the National Health Service, and 
hence should include government departments, Northern Ireland departments 
and all organisations financed from central government funds. Income from 
non-departmental public bodies (NDPBs), including the British Council and 
the Royal Society, should be returned under this heading.

d.	 'UK local authorities' - includes all research grant and 
contract income from UK local authorities.

e.	'UK public corporations' - includes all research grant and 
contract income from public corporations (defined as publicly owned 
trading bodies, usually statutory corporations, with a substantial degree 
of financial independence). They include the nationalised industries and 
bodies such as the Ordnance Survey and the Housing Corporation.

f.	'UK industry and commerce' - includes all research grant and 
contract income from industrial and commercial companies operating in the 
United Kingdom, except for public corporations.

g.	'UK health and hospital authorities' - includes all research 
grant and contract income from UK health or hospital authorities except 
for the funding of clinical and non-clinical academic teaching posts or 
the provision of services.

h.	'EU' - should include all research grant and contract income 
from all government bodies operating in the EU, including the EC but 
excluding the UK. ERASMUS, TEMPUS and similar grants are excluded from 
this return. Where an institution is acting as a co-ordinator for an EC 
award it should only include the funds that will be directly spent in 
that institution as one of the contractors for the award. In respect of 
those countries joining the EU in January 1995, income should only be 
included from the date of enrolment onwards - income received prior to 
the date of enrolment should be returned under 'other overseas'.

i.	'EU other' - should include all research grants and contract 
income from all non-government bodies operating in the EU, excluding the 
UK.  In respect of those countries joining the EU in January 1995, income 
should only be included from the date of enrolment onwards - income 
received prior to the date of enrolment should be returned under 'other 
overseas'.

i.	'Other overseas' - include all research grant and contract 
income from bodies operating outside the EU.

k.	'Teaching company' - includes income for teaching company 
schemes, with the amounts from research councils and companies separately 
identified.

l.	'Other sources' - includes all research grants and contract 
income not covered by the heads described above. Specify major sources of 
such income.

67.	Where Scottish HEIs hold small biomedical and clinical research 
grants and contracts income from the Chief Scientist at the Scottish Home 
and Health Department they may be included under research councils et al, 
as such awards are made in competition against a pool of research funds. 
Where the Scottish Office awards a grant or contract for a specific study 
as part of its role as a government department, the grant/contract should 
be returned under UK central government.

68.	Department of Health Clinical Awards administered by the 
Clinical Research Awards Advisory Committee may similarly be included 
under research councils et al.

69.	The value of research council central facilities used by 
researchers in the department will be required. The funding bodies will 
request this information from research councils and will pass it on to 
HEIs who will need to return it in the appropriate part of the form. 

Statements of Current Research Plans (RA5a) and Future Research Plans 
(RA5b)

70.	Institutions should supply written details of their current 
(RA5a) and future research (RA5b) plans. The mechanisms that exist to 
promote, manage and monitor the department's research should be 
identified in current research plans.  Future research plans should 
outline the direction in which the research in the department is intended 
to move during the next five years and reflect, where relevant, the 
department's response to the Government's Technology Foresight Programme 
and Forward Look exercises. Information on research plans will be used by 
assessment panels to understand the context in which the research 
activity within the department has taken, and will take, place.

71.	As in the 1992 RAE, submissions will be allowed up to one side 
of A4 paper per 40 members of Category A staff listed in form RA1.

General Observations (RA6)

72.	Institutions will be invited to put forward any other evidence 
or specific circumstances they wish panels to take into account in 
assessing the submission. Significant instances of external recognition, 
collaboration with outside bodies and overseas academics, provision of 
research facilities and academic visitors to the department, for example, 
may be mentioned.

73.	As in the 1992 RAE, submissions will be allowed up to one side 
of A4 paper per 40 members of Category A staff listed in form RA1.


Annex D

Provisional Timetable

The timetable below sets out the provisional timing of various key stages 
in the 1996 RAE.  With the exception of receipt of submissions, dates are 
indicative and may be changed.

Autumn 1994 
Publish definitive list of UOAs.
Invite nominations for panel membership.

Spring 1995
Appoint panel chairmen and panel members.

Summer 1995
Publish assessment panels decisions on how they will conduct their 
business and what criteria they will use in forming their judgements.
Publish names of panel chairmen and panel members.

Autumn 1995
Reissue RAE guidance.
Issue detailed instructions on the details of the submission (eg format 
of submission, number of copies required).
Regional workshops to explain how submissions should be made.

30 April 1996 
Receipt of submissions

Winter 1996-7
Publish outcome.