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RAE96 2/95 Guidance on Submissions

1996 Research Assessment Exercise:  Guidance on Submissions

NOTE:  This version of the Circular contains amendments and additional 
material not in the full published version of November 1995,  
reflecting the supplementary guidance issued in February 1996.  
Amended paragraphs and new material are clearly identified as such 
below using square brackets.

To
Heads of HEFCE, SHEFC, HEFCW and DENI funded 
Institutions
Bodies invited to nominate panel members - for 
information

Summary
This Circular announces the data requirements for 
the 1996 Research Assessment Exercise and the 
arrangements for making submissions for assessment.

Reference RAE96 2/95

Response
Submissions for assessment by 30 April 1996
Survey of submission intentions by 20 December 1995
Notification of intention to make multiple 
submissions by 28 February 1996

Publication Date November 1995

Enquiries to
HEFCE - Sokha Bloom (0117 9317 128) or
Michelle Coupland  (0117 9317 315)
(email: rae@hefce.ac.uk)
SHEFC - Richard Hancock (0131 313 6587)
(email:  rhancock@shefc.ac.uk)
HEFCW - Ann Hughes (01222 761 861)
DENI/NIHEC - John Coote (01247 279 333)

Introduction and Summary

1.	Circular RAE96 1/94, published by the four UK higher education 
funding bodies in June 1994, provided information about the framework, 
timetable and data requirements for the 1996 Research Assessment 
Exercise (RAE).  This Circular is a revised version of that document, 
reflecting comments made by higher education institutions (HEIs) and 
others in the meantime as well as some changes in the wider 
arrangements for data collection in HE.  It invites HEIs to make 
submissions for assessment in 1996; and sets out in their final form 
the administrative and data collection arrangements for the exercise.

Purpose and Conduct of the RAE

2.	The purpose of the 1996 RAE is to produce ratings of research 
quality which will be used by the HE funding bodies in the 
determination of grant for research to the institutions which they 
fund with effect from 1997-98.  

3.	The RAE is being mounted jointly by the three Higher Education 
Funding Councils and the Department for Education for Northern Ireland 
(DENI).  Day to day management of the exercise is undertaken by the 
RAE Team, based at HEFCE, on behalf of the four funding bodies.  All 
UK HEIs receiving funding from these bodies are eligible to 
participate.

4.	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.  The 
assessments will be carried out on the basis of written submissions in 
a standard form which includes both quantitative and descriptive 
elements.  As well as providing information specifically requested by 
the funding bodies, institutions will have the opportunity to draw to 
the attention of the panels any relevant matters which they consider 
particularly significant in relation to judgements of research 
quality.

5.	The assessment process is not mechanistic. The panels will be 
seeking to form a view about the quality of the research described in 
each submission in the round, taking into account all of the evidence 
presented.  They will form their judgements in the context of 
statements of criteria for assessment which each panel has already 
prepared and which are being published alongside this Circular (RAE96 
3/95).

6.	The census date for the Exercise is 31 March 1996.  Institutions 
are invited to provide data on staff in post on that date and on 
publications and other forms of assessable output which they have 
produced (see paragraph 21c below).  All information must be submitted 
by 30 April 1996.  The timetable for the exercise is at Annex F. 

7.	Institutions need put forward for assessment only selected 
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.  

8.	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  publicly available 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. 

9.	The panels' ratings of research quality will be expressed in terms 
of a standard numerical scale being adopted for the exercise (at Annex 
B) and will be published early in 1997.

Assessment Procedures and Framework

Coverage: Research to be Assessed

10.	The definition of Research which applies in this Exercise is 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. Panels will 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, basic 
or strategic, will be given equal weight: panels will be concerned 
only with the quality of the work submitted for review.  

Units of Assessment

11.	The subject units of assessment (UOAs) are substantially those 
used in the 1992 RAE.  Following wide consultation, some changes to 
these were announced in Circular RAE96 3/94 (November 1994).  In 
addition, the names of three UOAs have now been changed, and a revised 
list incorporating these changes is at Annex E.  The definitions of 
all UOAs set out in the earlier Circular remain current.

Assessment Panels

12.	The members of the assessment panels and the method of  selection, 
together with some account of their role and operation, were set out 
in Circular RAE96 1/95 (July 1995).  It is anticipated that a revised 
list of panel members will appear later in 1995  including the names 
of a small number of panel members appointed since July and some 
information about sub-panels.

Assessment Ratings

13.	While the method of assessment used by panels will reflect the 
nature of the subjects which they are assessing, their ratings will 
indicate quality of a broadly similar level across all subjects.  As 
in previous Exercises the ratings will therefore be made on a common 
scale with common definitions of the points. The rating scale with 
definitions of rating points is given at Annex B. 

14.	Points 1, 2, 4 and 5 are retained with the same definition as in 
1992. Point 3 is divided into 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.  As in the 1992 RAE, stars will be given to 
submissions rated 1 to 4 where they contain research groups which are 
identified as having particular excellence in research above the 
overall rating for the submission. 

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

Multiple Submissions to One Unit of Assessment  

16.	In general there should be only one submission per UOA per 
institution.  However, an institution may be allowed to make more than 
one submission to the same UOA if it is returning both an 
interdisciplinary research group, and a department or other single-
subject research grouping, to the same UOA.  Multiple submissions may 
also be allowed in circumstances where an institution would otherwise 
be required to combine research groups from substantially divergent 
disciplines  within the same UOA.  In both cases institutions should 
seek the advice of the funding bodies before making multiple 
submissions so that the assessment panel concerned may be consulted.

17.	In general, multiple submissions are more likely to be acceptable 
where there are two groups of reasonable size  (or, exceptionally, two 
comparatively small groups of roughly equal size) than where one group 
is much smaller than the other.  Where two or more HEIs make a joint 
submission to a UOA it will be permissible, if they wish, for any or 
all of them also to make their own submission covering work within the 
UOA not conducted in collaboration with the others.  

18.	Arrangements for handling requests to make multiple submission to 
one UOA were set out in paragraph 20 of Circular RAE96 1/95.  
Institutions wishing to make multiple submissions should approach one 
of the funding body contact points as soon as they are ready, and by 
28 February 1996 at the latest.  They should indicate the areas of 
research covered by the groups concerned and the approximate numbers 
of research active staff expected to be returned in each. 

Joint Submissions

19.	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.

Interdisciplinary Research

20.	Institutions are encouraged to return interdisciplinary research 
groups to a single UOA.  As an extension to the principle of previous 
Exercises,  institutions will be invited at the time of submission to 
suggest other UOAs to which submissions of an interdisciplinary nature 
might 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.

Information Required

21.	Details of the information required are given at Annex C.  It 
should be noted that this has undergone a considerable number of 
changes, mainly in detail, since it was published in an earlier 
version as Annex C to Circular RAE96 1/94; and only the version in the 
present Circular is now current.  In summary, information will be 
required under eight heads:

a.	Overall staff summary

Summary information on all academic staff and academic support 
staff in each submitting institution.

b.	Research active staff details

Detailed information on academic staff selected by the institution 
for inclusion as research active. 

c.	Publications and other public output

For each member of staff named as research active and in post on 
31 March 1996, up to four works (publications or other forms of 
assessable public output) produced during the period 1 January 
1990 to 31 March 1996 in the case of humanities subjects (UOA 45 
to 67); and 1 January 1992 to 31 March 1996 in the case of other 
subjects (UOA 1 to 44, 68 and 69).  The works selected should be 
those which best reflect the quality of the individual's research 
work.  Institutions must be able to make copies available upon 
request.  

d.	Research students

Numbers of full-time and part-time postgraduate research students 
and degrees awarded.

e.	Research studentships

Numbers of postgraduate research studentships and source of 
funding.

f.	External research income

Amounts and sources of external funding.

g.	Research environment and plans

Including information about the department's structure, policies 
and plans; and any plans in response to the Government's 
Technology Foresight Programme and Forward Look exercises.

h.	General observations and additional information

Including information about indicators of research excellence and 
peer esteem which cannot be given elsewhere in the return.

22.	When the submissions are circulated to the assessment panels 
certain standard analyses of the quantitative data will be made 
available as a matter of course (for example, relating research income 
and numbers of research students to numbers of research active staff).  
Further specific analyses of the data may be made available if 
requested by individual panels.  In addition, it will be open to 
panels to call for supplementary information; and, in exceptional 
cases, to ask HEIs to provide further information where a submission 
lists works (especially works not published in standard text-based 
media) whose research content and significance may not be immediately 
clear.  

Checking and Verification

23.	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. 

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

Submission of Information

25.	Institutions eligible to make submissions are receiving, under 
separate cover, computer discs and instructions for electronic return 
of data.  If all institutions are able to make their returns in this 
way there will be considerable benefits in terms of the speedy and 
efficient validation and processing of the data.

26.	Completed submissions (discs plus a single hard copy) must be 
received by the RAE Team at HEFCE by 5.00 pm on 30 April 1996.

Survey of Submission Intentions

27.	Accompanying the instructions for data return, institutions are 
receiving a request to complete a brief provisional statement of their 
submission intentions (by 20 December 1995.)  This will indicate in 
which UOAs they think it likely they will submit; the approximate 
number of research active staff they might list in each; and, where 
possible and appropriate, the main sub-areas of activity within the 
UOA to be covered in their return.  This information will assist the 
RAE Team and panels to plan, and in particular to consider further any 
necessary arrangements to identify specialist advisers or to establish 
sub-panels.  While institutions will not be held to what is said in 
this return, it will be helpful if it is as full and as definite as 
possible.  

Regional Seminars

28.	Institutions eligible to participate have been invited to send one 
or two people closely involved in the preparation and handling of 
their submissions to regional seminars to be mounted by the RAE Team 
in late November and early December 1995.  At these, further guidance 
will be available on rules and procedures and on data definitions, as 
well as guidance on the mechanics of completing the electronic data 
returns.

Publication of the Results

29.	The full list of results will be published in January 1997.  This 
will show the rating awarded to each submission and the number and 
proportion of staff submitted for assessment in each case.  In 
addition panels may at their discretion offer developmental feedback 
in confidence to some or all participating institutions. Feedback will 
be channelled through the funding bodies.

Other Relevant Material

30.	In addition to this document, institutions and departments 
compiling submissions for assessment may wish to refer to any or all 
of the following:

	[Added Feb 96:  Guidance on Submissions: Supplement (circulated 
	February 1996) ]

Circular RAE96 3/94, 1996 Research Assessment Exercise: Units of 
Assessment

Circular RAE96 1/95, 1996 Research Assessment Exercise:  
Membership of Assessment Panels

Circular RAE96 3/95, 1996 Research Assessment Exercise:  Criteria 
for Assessment 

RAE96 Data Application Manual for electronic data returns (to be 
issued at the same time as this Circular but only to colleagues 
responsible for co-ordinating each institution's submissions).

Enquiries

31.	HEIs have been asked to identify a central contact point to handle 
enquiries from within the institution about the RAE.  Any remaining 
queries about the conduct of the Exercise should be addressed to one 
of the following:


 Sokha Bloom (0117 9317 128) or Michelle 
Coupland  (0117 9317 315) at HEFCE
(email: rae@hefce.ac.uk)

Richard Hancock (0131 313 6587) at SHEFC
(email:  rhancock@shefc.ac.uk)

Ann Hughes (01222 761 861) at HEFCW

John Coote (01247 279 333) at DENI/NIHEC


32.	Responses to the survey of submission intentions, and full 
submissions for assessment, should be returned to the RAE Team at 
HEFCE in all cases.  Technical questions about the completion of these 
returns should be addressed to the RAE Team (names and contact numbers 
are given in the letter accompanying the discs and manual for 
electronic returns).


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.)
----------------------------------------------------------------------

Notes

1.	The concept of a 'sub-area' of research activity is applicable to 
the work of individual researchers as well as to that of groups. A 
sub-area is a coherent sub-set of a unit of assessment, and could 
refer either to the research of a group of staff in a submission, for 
example high energy physics in a submission from a physics department, 
or to the disparate research interests of an individual, for example 
an individual studying both cosmology and high energy physics. The 
sub-areas relate only to the individual submission and will vary 
between submissions. 

2.	'Attainable' levels of excellence refers to an absolute standard 
of quality in each unit of assessment, and should be independent from 
the conditions for research within individual departments.

3.	The international criterion adopted should equate to a level of 
excellence that it is reasonable to expect for the unit of assessment, 
even though there may be no current examples of such a level whether 
in the UK or elsewhere. In the absence of current examples, standards 
in cognate research areas where international comparisons do exist, 
will need to be adopted. The same approach should be adopted when 
assessing studies with a regional basis against 'national' and 
'international' standards.

4.	For the Research Assessment Exercise, 'national' refers to the 
United Kingdom of Great Britain and Northern Ireland.


Annex C
Notes of Guidance for Collection of Information

General

1.	These notes of guidance are designed to assist in the completion 
of the RA forms, copies of which will be found at Annex D below.  They 
should be read for that purpose with the data application manual for 
the software for electronic return, and with the criteria for 
assessment for the relevant units of assessment. 

2.	Throughout these notes of guidance:

"Department" means the organisational unit within which the 
research described in a submission takes place, whether a 
conventional department or some other arrangement.  (See 
paragraphs 4-5 below on conventional departments or units making 
more than one submission within the RAE.)

"Unit of assessment" means an academic subject area or grouping as 
defined in Circular RAE96 3/94.

"Submission" means a set of returns (RA0 to RA6) describing the 
research submitted by a department for assessment.

"Full-time equivalent" refers to the extent of the contracted 
duties of a member of staff over the academic year, as compared to 
those of a typical full-time member of academic staff.  It does 
not take into account the length of time within the year for which 
he or she was employed nor the relative proportion of total 
contracted time spent on research.  Unless otherwise stated, FTE 
should be expressed to 2 decimal places both for individuals and 
in summing the full-time equivalence of groups of staff.

"Research student" [amended Feb 96] means a postgraduate student 
registered for a research based higher degree.  This should be a 
degree awarded primarily in recognition of the completion by the 
student of a substantial thesis or dissertation (or equivalent 
output in another form) resulting from original research by the 
student.  The regulations concerning the appointment of examiners 
for the degree should normally stipulate that each student's work 
must be examined by at least two examiners appointed individually 
for the student, one of whom should be an external examiner.  A 
student taking a course of study leading to the award of a degree 
primarily on the basis of taught course instruction should not be 
counted as a research student.

"The assessment period" means the period from 1 January 1992 to 31 
March 1996. [Added Feb 96:  The sole exception to this is in 
respect of the listing of works in certain UOAs on Form RA2 - see 
paragraph 47 below - and, exceptionally, of any additional 
commentary on RA5 or RA6 in respect of works so listed.]

References to numbered paragraphs are references to paragraphs of 
these notes unless stated otherwise. 

3.	All data provided should be capable of subsequent verification, 
and may be subject to audit.

Joint Submissions and Departments Making Multiple Submissions

4.	The following applies where an academic grouping recognised as a 
discrete unit within an HEI (including a "department" in the 
conventional sense of the word) makes more than one submission - 
including submissions to two or more different panels, multiple 
submission to a single panel, and joint submissions where one or more 
departments or units concerned also make a separate single submission:

a.	Quantitative information- numbers of staff, students etc. and 
information about research grants- should as far as possible be 
returned matching the research active staff and their research 
interests listed in each submission.  There should be no double 
counting between submissions.

b.	Non quantitative information - research plans, general 
observations, and additional information - should be given making 
it clear how far what is said in each submission relates only to 
the body of work returned within that submission and how far to a 
broader coherent academic grouping within the HEI.

5.	Where two or more HEIs make a joint submission to a single UOA, 
each should submit a separate set of returns RA0 to RA4 covering the 
staff which it employs, students counted to it and research income 
received by it; and should indicate on the cover sheet (see paragraph 
7 below)  that it is part of a joint submission.  Forms RA5 and RA6 
may be submitted jointly.  The RAE Team will aggregate the returns as 
necessary for circulation to panels. Submission in this form will 
simplify verification of data.

Notes on Completion of RA Forms

6.	Each of the following sections contains a description of the 
information to be entered on one of the RA forms followed by some 
explanatory notes.

Cover Sheet

7.	Each submission should be sent under a cover sheet ( provided 
within the software for electronic submission) giving the following 
information:

	a.	Name and Higher Education Statistics Agency (HESA) code of 
institution.

	b.	Name and number of unit of assessment.

c.	Where an institution is making two returns in one UOA, a 
statement to that effect.

d.	Where two or more institutions are making a joint return, the 
name(s) of the other institution(s) concerned..

e	Names of any other panels which the institution considers 
should be invited to look at any part of the submission.

Overall Staff Summary - RA0

8.	Each submitting institution should complete one Form RA0 giving 
the information listed below for all of the units of assessment (UOAs) 
in which it has made a submission for assessment; and giving numbers 
of academic staff only in any other UOAs in which it is academically 
active (teaching, research or both) but has not made a submission in 
the RAE. 
This information will be used by panels to understand the context 
within which the research described in each submission took place.  

9.	The following data will be required:

a.	Unit of assessment: enter the number of each UOA in which the 
HEI is making a submission.  Where two submissions are made in one 
UOA add A or B to distinguish between them.  The UOA numbers are 
shown at Annex E and with some definitions in RAE96 3/94.

b.	Category A staff selected: number (FTE) of Category A 
academic staff in post on 31 March 1996 entered as research 
active: this should be the same as the sum of the FTE column on 
the relevant RA1.  (For definitions of Category A and of academic 
staff see paragraphs 20-21 below).  

c.	Category A staff not selected:   number (FTE) of Category A 
academic staff in post on 31 March 1996 not entered as research 
active within the RAE.  This includes academic staff working in 
departments for which the institution is not making a submission 
for assessment and who would, if selected as research active, be 
eligible for inclusion in Category A:  these should be assigned to 
an appropriate UOA, which may include a UOA in which a submission 
is being made.  [Added Feb 96: we are seeking to collect 
information on all academic staff including those who are not 
research active and those working within units of assessment where 
no submission is made.  In UOAs where no submission is made it is 
recognised that the attribution of staff to UOAs cannot be exact 
in all cases, but institutions are asked to submit figures which 
indicate their best estimate of the subject focus of their non 
research active staff.]

d.	Postdoctoral research assistants:  number (FTE) of 
postdoctoral research assistants in post on 31 March 1996.

e.	Postgraduate research assistants:  number (FTE) of 
postgraduate research assistants in post on 31 March 1996.

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

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

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

I. 	Other: number (FTE) of other staff in post on 31 March 1996 
specifically devoted to the support of research, such as, where 
appropriate, computing staff employed within the department.  This 
should only include secretarial staff where exceptionally their 
support for research goes beyond normal secretarial duties.

10.	All research assistants, technicians, scientific and experimental 
officers and other research support staff returned in RA0 should be 
associated with at least one member of academic staff returned as 
research active (Category A or C) on RA1.  However, in the case of 
departments which operate on a "pool" system with regard to staff 
specifically devoted to the support of research, institutions may 
supply the total FTE effort under each of the headings above in 
support of research.

11.	Research assistants are employed by the institution to carry out 
another individual's research programme rather than as independent 
researchers in their own right (but see paragraph 28 below).  They are 
often employed on short term contracts funded by research grants or 
contracts from research councils, charities or industry.  

12.	[word in caps below corrected Feb 96.] Postgraduate research 
assistants should be distinguished from postdoctoral research 
assistants.  The former normally have a first degree only and are more 
junior.  In former Universities Funding Council (UFC) funded 
institutions they are typically employed  on the RAIB pay scale, and 
in former Polytechnics and Colleges Funding Council (PCFC) 
institutions on Grade A.  They may register for a PhD but are not 
normally regarded as full-time research students (but see paragraph 15 
below).  Postdoctoral research ASSISTANTS normally have a higher 
degree, although RAIBs with sufficient experience may be promoted to 
these scales and should then be entered as postdoctoral. In former 
PCFC institutions they are normally employed on Grade B and above. 

13.	Research assistants should not in general be listed as research 
active academic staff.  However there may be cases where they may 
appropriately be so returned in Category A or B, for example where 
they are named as principal investigator on a research grant or 
contract, or where they function in that capacity but are not so 
listed solely because the sponsor requires the named principal 
investigator to be a permanent member of staff.  

14.	Senior research assistants not listed on RA1 as research active 
under the terms of the previous paragraph should be returned as 
research assistants on RA0.

15.	Postgraduate research assistants who are registered for a PhD 
should be returned as part-time research assistants (50% of contracted 
FTE) except where registration for a higher degree is a condition of 
their employment. In that case they should be included as students in 
RA1 and RA3a but should not be returned as research assistants at all 
and should therefore not be listed on RA0.

16.	The terms technician, scientific officer and experimental officer 
are generic terms and will need to be related to local practice.  
Where an individual within these groups has a split role between 
teaching and research, only the FTE devoted to research should be 
recorded; and where this is a minor part of their job description 
(less than 0.2 FTE) they should be omitted from RA0 entirely.

[Added Feb 96:

Unit of Assessment 99

Where an institution has staff employed as academic staff on the 
census date, on terms making them eligible for inclusion as research 
active, but whom it would find it impossible to assign to a UOA 
because they have no academic duties (teaching or research) at that 
time, these may be returned under "UOA 99".  This will normally apply 
to staff who are employed on an academic contract but have moved to 
purely administrative duties.  It is not possible to return research 
active staff to UOA 99.]


Research Active Staff (RA1)

17.	A number of assessment panels have asked for research active staff 
and their publications to be listed grouped by academic sub-area.  
Research active staff may therefore  be recorded in alphabetical 
order, or grouped by Category (A,B,C,D) or by sub-area, as long as 
each individual appears once only. Internal headings should not 
however be added to the return. The following data will be required in 
respect of all staff returned as research active in any of the four 
categories defined in paragraph 20 below:

a.	Staff reference code:  a code to be originated by the 
institution and unique to each individual within a UOA; this will 
facilitate cross-referencing between RA1 and RA2.

b.	Surname.

c.	Initials.

d.	Year of birth:  four digits.

e.	FTE at 31 March 1996: Category A staff only: see paragraph 2 
above.

f.	Research Fellow:  Category A and C staff only: enter Yes 
where the individual holds the title Research Fellow at 31 March 
1996.  [See paragraphs 25 and 26 below.] 

g.	NHS funded staff:  Category A staff only: enter Yes where the 
individual is ultimately funded wholly or partly by the NHS at 31 
March 1996.

h.	Salary from general funds:  Category A staff only: % as a 
whole number. For Category A  staff the percentage of their salary 
paid from general funds should be shown,  entering 0 for staff 
funded wholly from specific income.  General income is that which 
may be applied to any activity of the institution at the 
discretion of the institution.  Specific income is that which can 
be applied only for a specific purpose designated by the grantor 
or donor.  Staff should be considered to be funded from specific 
income to the extent that they are engaged in activities so 
funded. 

[Added Feb 96:  h. above is confirmed for the 1996 Exercise. In 
the particular case of staff working in medical schools (including 
postgraduate medical schools) it should be noted that the 
questions how these staff are treated in allocating funding for 
research subsequent to the exercise, and what data drawn from RAE 
or other sources are used in making these allocations, remain open 
for later determination by the UK HE funding bodies. ]

i.	In post throughout:  Category A and C only: enter Yes if 
employed as academic staff by the institution, or carrying out 
research there, throughout the assessment period.  Certain changes 
of status are recorded at n. below.

j.	Starting date and leaving date:  dates of starting and (if 
applicable) leaving employment as academic staff at the 
institution - if within the assessment period in either case.  
Enter day, month and year (in the style 02/04/94).  

k.	Former institution: for staff joining the institution during 
the assessment period and previously employed within that period 
as Category A academic staff by another HE institution in the UK, 
enter that institution's  HESA code in the form used for the 
Exercise.

l.	On fixed term contract: for staff employed on a fixed term 
contract at 31 March 1996, enter Yes and the start and end dates 
of the contract (day, month, year in the style 02/04/94). [Added 
Feb 96: We understand that some HEIs employ significant numbers of 
staff on rolling contracts - which we understand for this purpose 
to mean a contract which is in force for a fixed period but where 
the employer has voluntarily created an expectation that it will 
be renewed.  This might include for example posts which have not 
been made permanent  because funding for them is currently only 
available for a fixed period and it is not known whether further 
support will be forthcoming.  For such staff, on Form RA1, 
institutions should enter that they are on a fixed term contract 
and report the contract expiry date.  They may also wish to draw 
attention to the presence of staff on rolling contracts on RA6, 
especially where these have a nominal expiry date soon after the 
census date.]
  

m.	Category of staff: Enter the category (A,B,C or D as defined 
at paragraph 20 below) at 31 March 1996.

n.	Change of status indicator and date:  Category A and C staff 
only: for staff having experienced one of the changes of status 
noted below, enter the single-letter code for their most recent 
listed change of status and its date (day, month, year in the 
style 02/04/94):

code L:	from research fellow to lecturer

code M:	from one UOA to another within the same institution.  
This should be used only where staff are returned both as 
Category A or C on 31 March 1996, and as Category B or D in 
another UOA at an earlier date, by the same institution.

code N:	from Category A to Category C within the same 
institution (including a continuing unpaid contribution to 
the research of a department after retirement)

code S:	released on unpaid leave, still on leave on 31 March 
1996, and contracted to return within two years (enter date 
from which unpaid leave began: see paragraph 22 below)

o.	Research assistants and research students supervised:  enter 
the numbers (FTE) of research assistants and research students 
supervised by the individual at 31 March 1996.  (Paragraphs 10 to 
15 above apply.)  Jointly supervised students and assistants 
should be split between the staff concerned..

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

Research Active Staff

19.	As in the 1992 RAE institutions are invited to put forward for 
assessment those staff in a department who are actively engaged in 
research.  Both full-time and part-time staff may be put forward. It 
is for institutions to decide which staff they choose to submit and 
they will need to be aware that research funding is at present 
influenced by the volume of research (including staff) assessed. 

20.	Research active staff should be returned in one of the following 
four categories:

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

b.	Category B staff - research active academic staff who were on 
the payroll of the institution  after 1 January 1992 and who left 
the institution (or, exceptionally, transferred into a department 
returned under a different UOA) after that date and before 31 
March 1996.

c.	Category C staff - other staff active in research in the 
department as independent investigators at 31 March 1996.

d.	Category D staff - other staff active in research in the 
department as independent investigators after 1 January 1992 but 
not at 31 March 1996.


Categories A and B

21.	The individually named staff eligible to be included in Categories 
A and B are those who have (or had) a contract with the institution 
requiring them to undertake academic duties (including teaching, 
research, or both) and who receive (or received) a salary from it 
however funded.  They may include NHS "A+B" staff, research fellows 
and, exceptionally, certain research assistants (see paragraph 27 
below); and pensioned staff who continue in salary contracted to carry 
out academic duties. They should not include staff working for the 
institution on a different contractual basis, for example self-
employed staff receiving a fee as consultants.  Some teaching 
assistants are also excluded (see paragraph 28).  

22.	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 on the census 
date may be listed as Category A if they are contracted to return to 
their normal duties within two years from the start of their period of 
absence, as long as any staff recruited specifically to cover their 
duties are not listed as Category A as well.  Staff absent from their 
"home" institution on these terms but working as contracted academic 
staff at another UK HE institution on the census date may be returned 
by either or both institutions but in any case must not be returned as 
a total FTE within the Exercise in excess of that implied by their 
contract with their main employer.  In such a case the individual and 
the institutions should agree how the return is to be made.

23.	Staff engaged in research work as independent investigators who 
are not eligible for inclusion in Category A may be eligible for 
inclusion in Category C (see below).  

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

25.	[Expanded Feb 96.] Research fellows are defined for RAE as 
individuals who hold specific awards on the basis of their own 
research record or research proposals - for example, Research Council 
Fellows (senior, advanced or postdoctoral) and Royal Society Research 
Fellows and Professors.  Panels will wish to identify clearly the 
cases where such awards indicate a significant measure of peer esteem 
beyond the department. Research fellowships should therefore be 
recorded as such only where:

a.	there is a significant measure of external funding for the 
post; and

b.	the title was awarded to a named individual in recognition of 
independent research achieved or proposed and following a process 
of expert peer review (including competitive review), generally 
involving an input from outside the institution.

Research Fellows may be listed as Category A staff if they are on the 
payroll of the institution and employed by it.

26.	Research fellows who receive funding directly from their 
sponsoring bodies, as is the case for NATO and UN fellowships, may not 
be returned as Category A or B staff - unless so sponsored while on 
unpaid leave under arrangements covered by paragraph 22 above - but 
are eligible for inclusion in Category C or D.  

27.	[Revised Feb 96] Research assistants should not in general be 
listed as research active academic staff. However there may be cases 
where they may appropriately be so returned in Category A or B, on the 
basis that there are solid grounds for describing them as the lead or 
principal investigators on a significant piece of research work: for 
example, where they are named as principal investigator on a research 
grant or contract, or where they function in that capacity but are not 
so listed solely because the sponsor requires the named principal 
investigator to be a permanent member of staff.  They should not be 
listed as Category A or B research staff purely on the basis that they 
have one or more publications to their name.  Research assistants 
listed as Category A research staff should not also be included in the 
RA1 count of research assistants supervised by other research active 
staff.

28.	Teaching assistants (such as foreign language assistants/lectors) 
who are not employed as academic staff cannot be included as research 
active members of staff and nor should they be returned within the 
overall staff summary.  [Added Feb 96: However an institution which 
decided that some of its teaching assistants or lectors were by the 
terms of their contracts eligible to be considered as academic staff 
for the purposes of Form RA1 should also return any staff employed on 
the same terms, and not selected as research active, as "category A 
staff not selected" on Form RA0.] 

Categories C and D 

29.	The individually named staff to be included in the return under 
Categories C and D are any staff who make (or have made within the 
assessment period) an independent contribution to the research of the 
department (including staff not attached to an academic department but 
making a significant contribution to the research of the institution 
as a whole); but who are excluded from Categories A and B because they 
do not have a contract with the institution, do not receive a salary 
from it, or are not academic staff. The department (or, exceptionally, 
the institution more widely) must be the focus of the research 
activities of such staff - those carrying out their research wholly or 
mainly outside the institution, and having a less direct or 
significant research relationship with it, are not eligible.  

30.	Categories C and D include, among others, the following wherever 
they meet the criteria in the previous paragraph:

Vice Chancellors or Principals

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 35 below for instructions on how such staff should be 
returned in submissions made by the Federal University.

Staff in "embedded" research council units - further guidance will 
issue on this to the institutions concerned shortly.

Retired staff who are still active in research including those re-
employed on a teaching only basis after having taken premature 
retirement. 


31.	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, but left 
before 31 March 1996.

32.	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. Where staff on unpaid 
leave are returned as Category A under the terms of paragraph 22 
above,  any staff recruited specifically to cover their duties who are 
research active may be returned as Category C only. 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 76-78 below).

Other Notes

33.	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 (and it is possible in 
principle that staff employed part-time at one institution may 
contribute to the research activity of another).  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 which 
an individual may be returned by more than one institution as either 
or both of Category A or C. In such cases information will be returned 
in the following way:

a.	RAO
The FTE of the individual at the returning institution; the two 
institutions should ensure that this sums to no more than the 
lower of 1.0 or the individual's total contracted FTE duties.

b.	RA1
FTE of the individual at that institution (as above).
Number of research assistants employed at that institution under 
the supervision of that individual.
Number of research students supervised by the individual at that 
institution.

c.	RA2
The same research works should be cited in both returns (unless 
exceptionally the individual is listed in different UOAs by the 
two institutions).

d.	RA3a
Only students supervised by the individual and satisfying the 
conditions to be counted by that institution will be eligible.

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

34.	No individual member of staff may be returned as active on 31 
March 1996 in more than one UOA, with the sole exception of staff 
returned  as research active (Category A or C or both)  by two 
institutions as described above.  Staff whose research has within the 
assessment period undergone a significant shift in subject focus 
could, if they so wished, be returned as Category A in one UOA (at 31 
March 1996) with a start date later than 1 January 1992 and as 
Category B, up to that date, in another UOA at either the same or a 
different institution.

35.	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)

36.	A count of works produced by the department (Form RA2b in the 1992 
RAE) is not required as part of the 1996 RAE and no full list or count 
produced by other means will be referred to within the Exercise.

37.	Institutions are asked to supply details of up to four works 
produced by each Category A or C staff member during the assessment 
period. These works should 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 the 
outcomes of research (as defined at Annex A) which best reflect the 
quality of work of the member of staff. 

38.	Staff may cite any works produced during the assessment period 
regardless of whether they have moved institution during the period. 

39. [Revised Feb 96] Where, having regard to any preference expressed 
by an assessment panel, an institution wishes to identify sub-areas of 
work within the field covered by the department, the listed works may 
be grouped accordingly.  Where appropriate, an individual member of 
staff may appear in more than one sub-area (up to four) but no work 
should be attributed to more than one sub-area by the same individual.

40.	The following information is required for each member of Category 
A or C staff listed on Form RA1:

a.	Staff reference code:  as on RA1 (paragraph 17a above).

b.	Surname : unless the listed works are grouped by sub-area or 
in some other significant form staff should be listed in 
alphabetical order.  

c.	Publication output number:  sequentially from 1 to no higher 
than 4 for each member of staff.   Where an individual's output is 
listed within more than one sub-area the numbering for that 
individual should be sequential across the form as a whole.

d.	Sub-area:  where listed works are grouped by sub-area, each 
sub-area should be assigned a number (there is a facility to 
provide a key).  Where works are not so grouped this column should 
be left blank.

e.	Year of publication/output:  this should be the year of 
publication of the listed output. 

f.	Type of output: the form taken by the output should be 
indicated by a single letter as follows (note: this will be used 
as a preliminary indication of medium of publication only):

	A:  Books

	B:  Chapters in books 

	C:  Articles in journals

	D: Conference contributions

	E:  Other  

g.	Title or description of the output/publication followed by

	Names of co-authors: or, where applicable, name of a research 
student or research assistant having produced a work cited by their 
supervisor (see below.)

	Name of journal, publisher, conference or venue

	Volume number and pagination if applicable

	Other relevant details (limit 64 characters alpha/numeric: 
see paragraph 49).

h.	ISBN/ISSN number where applicable.

41.	All research active staff listed in Category A or C on RA1 must be 
listed again on RA2; where they list no output their name and staff 
reference number should appear once with the other columns left blank.  

42.	PhD theses, and other theses, dissertations or other works 
submitted for a research degree, may not be listed as such on RA2 
though other assessable works based on research carried out for a PhD 
or other research degree may be listed.  Departments may if they wish 
draw attention to PhDs or similar awards conferred upon their staff 
during the assessment period in RA6.

43.	Edited works (including both editions of texts and the bringing to 
press of work by others) and translations may be included wherever 
these embody a significant research output; departments are advised to 
check what is said in the relevant subject criteria statement.  
Editorships of journals, and other activities associated with the 
dissemination of research findings, will not generally be regarded as 
research leading to assessable output but may be mentioned where 
appropriate on RA6.  

44.	Category 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 
supervised at the time and who are or were associated with the 
department.  Institutions must ensure that appropriate credit for 
authorship of the work is recorded: the work should be listed against 
the supervisor's name (in the surname column) and the name of the 
person producing the work entered as first co-author followed 
immediately by the observation "(Supervised author)" .  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. 

45. [Revised Feb 96] 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 on the census date should be noted with an asterisk.   
Where two or more co-authors of a work are returned on RA1 (in either 
the same or different departments and UOAs) any or all of these may 
list the work against their names on RA2 if they so wish. 

46.	Material embodying research outcomes published by electronic means 
may be cited.  Refereed journal articles published through electronic 
means will be treated on the same basis as those appearing in printed 
journals.

47.	For humanities and arts subjects (UOAs 45 to 67 in the present 
Exercise) 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. 

48.	For each work cited enough information should be given to enable 
the panel to determine precisely what is being listed, whether it is a 
product of sole or multiple authorship, and where it may be found.  
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 (including other short works such as 
contributions to collections of essays published in book form) - 
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 of 
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, 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 public exhibitions the gallery where the 
exhibition was held, the number of pieces exhibited and the 
opening and closing dates of  the exhibition will be required.

49.	In each of the above cases there is a new facility for adding 
brief relevant factual information (under the heading "other relevant 
details").  This is intended primarily to make it possible to identify 
relevant factual circumstances associated with the commissioning or 
publication of a work.  It is not expected to be completed in every 
case.  It may be used for example to identify a keynote address to a 
conference; an invited conference paper especially where the perceived 
status of the conference is high; in the case of a non-text output, to 
give further information as to the present whereabouts of a work or to 
note that a photographic or electronic record exists.  It should not 
be used to describe the research content or significance of the work 
nor to volunteer opinions as to its relative quality.  In that context 
it should be noted that in certain exceptional circumstances panels 
may ask for more information about the content and significance of 
listed works: see paragraph 22 of the main text of this Circular.

Research Students (RA3a) 

50.	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 is that the HESA reference 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 FTE research students on each of the above 
dates counting part-time students as an appropriate fraction.

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

e.	Total number of research Masters degrees awarded (the date of 
approval for conferment of the degree rather than the subsequent 
award ceremony) in calendar years 1992, 1993, 1994, and 1995.

51.	Research students should be returned by the institution where they 
are registered, except in the case of submissions from institutions in 
Scotland in which research students should be included under the 
institution where they are carrying out their studies.  (This 
difference reflects differences between the countries in the way in 
which students are currently counted for funding purposes.)  Research 
postgraduate students are normally supervised and registered for a 
research-based higher degree as defined at  paragraph 2 above. 
[Added Feb 96:  Where a department contains postgraduate students not 
covered by the definition at paragraph 2 but whose presence is 
considered significant attention may be drawn to these on Form RA6.]
 Members of academic staff who are registered for a PhD may be 
included, and would normally be classified as part-time students. 
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 part-time students except those for whom 
registration for a higher degree is a condition of employment, who 
should be returned as full-time research students and not as research 
assistants (see paragraph 15 above).

[Added Feb 96:  In some cases students may be enrolled to study for a 
research based higher degree at an institution which does not have, or 
until recently did not have, the power to award its own higher degrees 
at the appropriate level; such students may be required to register 
for a higher degree at another institution which validates their 
course and awards their degree.  In these cases the students should be 
counted for Form RA3a by the institution where they are enrolled and 
pay the tuition fee.  It follows that the validating institution 
should not count these students on Form RA3a.  ]

52.	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. [Added Feb 96: Equally 
students paying a "continuation fee", on the basis that they have 
completed the normal period of preparation for a research based degree 
and are still writing up a thesis or equivalent output, are excluded 
from the count (and, if their fees are being paid by an external 
sponsor, are also excluded from Form RA3b).  Such students may however 
be counted on Form RA1 where there is a significant measure of 
continuing supervision at the census date. ]

53.	A student whose registration is suspended at any of the relevant 
dates should not be included.

54.	Some students may be registered for a taught postgraduate degree 
before transferring to a research postgraduate degree. They should not 
be included unless they had already transferred to the research degree 
by the relevant date.

55.	Medical and dental postgraduates registered for degrees such as 
MD, MS, MDS, may be included as part-time students (under the 
institution where they are counted - see paragraph 51) where such 
studies lead to submission of a thesis under the terms of the 
definition at paragraph 2 above. 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 registered) where their studies lead to the submission of a 
thesis.

[Added Feb 96: Research students preparing for the MD degree are not 
infrequently enrolled at one institution (which may be the institution 
which awarded their first degree) and supervised by a member of staff 
at another.  The assessment panels covering the medical units of 
assessment will wish to know how many such students are working in 
submitting departments.  It will be helpful if departments affected by 
this return their numbers of research students supervised and working 
for the MD in their departments on Form RA6 (on the same general basis 
as for Form RA3a).]

56.	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.  Teaching Company employees 
registered for a research based higher degree may be included  where 
they are based within the department for the majority of their study.  
(In the event that they are also returned as research assistants, 
paragraph 51 above will also apply.)

57.	Research students should normally be returned to the UOA in which 
their supervisor is returned.  Where a student is supervised by more 
than one member of staff and these supervisors are returned in more 
than one UOA, the student may be returned split either according to 
the agreed division of responsibility or in proportion to the number 
of supervisors.

[Added Feb 96:  Where a student has undertaken work in preparation for 
a higher degree within more than one department, their degree awarded 
should be returned in one UOA only - generally that to which their 
principal supervisor is returned.  ]

Research Studentships (RA3b)

58.	The number of new studentships held in the department in each 
calendar year (1992, 1993, 1994 and 1995) against various sources of 
studentship 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. 

59.	Research studentships should be returned under the following 
headings:

a.	OST Research Councils et al - includes studentships awarded 
by research councils covered by the Office of Science and 
Technology, the British Academy, the Scottish Office Department of 
Education and Industry, the Scottish Office Home Department,  the 
Scottish Office Department of Health, 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, health and hospital authorities.

e.	UK industry, commerce and public corporations.

f.	Institutional self funded - includes studentships funded by 
institutions whether from grant or endowment income or from other 
sources.

g.	Overseas.

h.	Other - funded from any other source (please specify source).  
Several entries may be made under this heading.

[Added Feb 96: Students receiving support in respect of fees or 
maintenance only, including "part fees" awards, from one of the 
sources indicated may be returned on Form RA3b.  Students not 
receiving institutional or external support in respect of either fees 
or maintenance should not be counted.]

External research income (RA4)

60.	The external research income 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 requirement will extend to those former public 
sector institutions whose financial years were not consistent with the 
academic year at the time.   Where information for 1992-93 is 
available only as a single figure for 16 months this may be split 
proportionately to produce a figure for 12 months.

61.	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.  For this purpose the HESA 
definition of research income will apply - that is, all income in 
respect of externally sponsored research carried out by the 
institution (or its subsidiary organisation -see below) and for which 
directly related expenditure has been incurred (including recovery of 
indirect costs).

62.	External research income data should be collected against the 
heads listed below (drawn from the relevant definitions in HESA):

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 Scheme (IGDS) and European Social Fund (ESF) 
grants are excluded from this return.  Income in respect of 
studentships, and Research Training Support Grants, are also 
excluded.

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 bodies, local, health and hospital 
authorities  - includes all research grants and research contract 
income from UK central government bodies, UK local authorities and 
UK health and hospital authorities, except research councils and 
UK public corporations. This therefore includes 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.  It 
excludes NHS funding in respect of clinical or non-clinical 
teaching.

d.	UK industry, commerce and public corporations - includes all 
research grant and contract income from industrial and commercial 
companies operating in the United Kingdom. UK public corporations 
(defined as publicly owned trading bodies, usually statutory 
corporations, with a substantial degree of financial independence) 
include the nationalised industries and bodies such as the 
Ordnance Survey and the Housing Corporation.

e.	EU government bodies  - 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'.

f.	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'.

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

h.	Other sources - includes all research grants and contract 
income not covered by the heads described above (please specify 
source).  Several entries may be made under this heading.


[Added Feb 96: All grant and contract income in respect of research 
activities, as defined in Annex A to the Circular, and meeting the 
other criteria set out in paragraphs 60 to 71 of Annex C, may in 
principle be included.  This includes research income under Teaching 
Company schemes for example and the RAE definition may therefore in 
practice be a little wider than that applied in HESA.  It excludes all 
income in respect of studentships or tuition fees.

[Research grant or contract income in respect of building projects may 
be entered on Form RA4.  Such income, whatever its source, should be 
entered under "other" identifying the source and adding "(building)".  
(See also Annex C paragraph 64.)

[Where a institution has income from endowments made for research 
purposes, and has incurred directly related expenditure on research 
with which at least one member of staff submitted as research active 
is associated, this may be returned on RA4 - in a single line under 
"other", identified as endowments, in each related submission. 

[Gifts of any kind for research purposes for which the institution did 
not incur qualifying direct expenditure, including all gifts of 
equipment, may be identified on Form RA6, but they should not be 
included on form RA4. ]


63.	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 (in one of the four categories A to D) by 
the department.	Subject to this, all income in respect of research 
carried out at the institution and for which directly related 
expenditure has been incurred should be returned. 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.  Amounts in respect of costs for 
existing staff or facilities within research grants or contracts may 
be included.

64.	Income which has been administered through the institution's own 
accounts should be included.  So should income administered through 
the accounts of a subsidiary company wherever that income was 
consolidated in the institution's finance return made in the relevant 
year to the HE funding body from which it received grant at the time.  
Income not handled in either of these ways - including income received 
directly by individuals working in the department -  may however be 
referred to in General Observations (RA6).  Similarly, gifts of 
equipment, and funding for building work not paid as part of the grant 
or contract for a specified research project, may also be cited in 
General Observations.

65.	Where a grant or contract is held, or the work conducted,  across 
more than one UOA it should be divided between departments reflecting 
the manner in which the income 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. 

66.	Where a project is being undertaken by a number of institutions 
and one institution acts as the 'lead institution', only income 
received by the institution making the return, and relating to the 
work actually being undertaken by it, should be included. The lead 
institution should therefore not include any portion of income in a 
particular year passed on to co-operating institutions.

67.	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. 

68.	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 applies only to awards that 
are specifically allocated at the start to individuals at more than 
one institution, not in the case of individuals who move institution 
after the award is announced.

69.	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.

70.	Department of Health Clinical Awards administered by the Clinical 
Research Awards Advisory Committee may similarly be included under 
Research Councils et al.

71.	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 if 
appropriate pass it on to HEIs who will then need to return it in the 
relevant part of the form.  The funding bodies, and the "assessors" 
nominated to the Panels by the research councils and others, may also 
obtain and pass on to the panels other information about individual 
grants and contracts.

[Added Feb 96: The significance of the observation "Net VAT" on Form 
RA4 is that where - exceptionally - VAT is payable on all or part of a 
research grant or contract at the point where the money is paid to the 
HEI, this should not be included as part of the institution's research 
income in respect of the project. ]

Statements of Research Environment and Plans (RA5)

72.	The former RA5a and RA5b returns are replaced by this single 
return. Institutions should supply written details of their current 
arrangements for promoting and supporting research, and their research 
plans for the future. This will be used by assessment panels to 
understand the context in which the research activity within the 
department has taken, and will take, place. The mechanisms that exist 
to promote, manage and monitor the department's research should be 
identified.  Departments may wish to draw attention to their staffing 
structure and policies - including for example the nature and extent 
of their research infrastructure and any particular arrangements for 
supporting and developing young or inexperienced researchers.  Future 
research plans should outline the direction in which the research in 
the department is intended to move during the next five years and, 
where relevant, the department's response to the Government's 
Technology Foresight Programme and Forward Look exercises.  

73.	Clearly defined plans including verifiable targets are likely to 
be regarded as more impressive than generalised statements of intent.  
Institutions and departments which submitted research plans on Form 
RA5b in the 1992 RAE will wish to note that these will be available to 
the 1996 assessment panels where appropriate and may wish to note and 
briefly explain any significant divergence from these in practice.

74.	Departments should refer to the criteria statement for the UOA 
which may identify topics of particular concern to the assessment 
panel. 

75.	Submissions will be subject to a length limit.  This applies to 
the two returns RA5 and RA6 taken together: no more than six sides of 
A4 paper for up to 40 members of Category A staff listed in form RA1, 
plus one page for each additional 40 or part thereof.  (Thus for 
example the joint limit for a department of 150 Category A staff would 
be 9 pages.)   The limit is based upon the standard incorporated in 
the software for electronic submission: 10-point type spaced at 5 
lines per inch with 1 inch margins all round.  [Added Feb 96:  the 
limit applies to the two returns together counting part pages at their 
actual length. ]

[Added Feb 96:  Forms RA5 and RA6 should normally be completed using 
standard typescript and figures only: it is envisaged that these will 
in most cases consist of prose (including in note form) and simple 
tables.  Graphs, diagrams and pictures should not be included and the 
software for electronic submission does not support these. ]

General Observations (RA6)

76.	Institutions will be invited to put forward any other evidence or 
specific circumstances they wish panels to take into account in 
assessing the submission.  They are advised to examine the relevant 
criteria statement before completing this return since a number of 
panels have asked to see information which cannot be given elsewhere 
in the RA forms.  They should also refer to the general statement on 
criteria (Part I of Circular RAE96 3/95).  Institutions are encouraged 
to be brief and to use this return to draw attention to highlights 
rather than seeking to describe their full research activity in 
detail.  There is no penalty for not taking up the full space allowed: 
panels will be looking for evidence of quality and significant peer 
recognition rather than of volume of activity.  

77.	Among other matters which the institution wishes to mention the 
following might be covered:

a.	Significant instances of external recognition, collaboration 
with outside bodies and overseas academics, provision of research 
facilities and academic visitors to the department.

b.	Research grants or contracts awarded to individual staff and 
therefore not returned on RA4.

c.	The reasons for any unusually rapid staff turnover.

d.	The reasons for a below average number of citations per 
researcher on RA2 especially where the panel has indicated that it 
will normally expect four cited works per established researcher.

e.	In cases where a significant proportion of research output is 
not published as printed text (for example outputs in the creative 
and performing arts), an indication of the research content and 
significance of the work and its relationship to the department's 
overall research effort. 

f.	The contribution to the research effort of the department of 
staff who have now left (and are returned as Category B or D), 
where this is considered particularly significant.

78.	The length limit for RA5 and RA6 jointly is set out in paragraph 
75 above.


Annex D

RA Forms  

Note:  it was not possible to present these in a form suitable for 
electronic transmission through NISS.  Annex C gives a full picture of 
the datasets to be collected.


Annex E

List of Units of Assessment

Number Title

01 Clinical Laboratory Sciences

02 Community Based Clinical Subjects

03 Hospital Based Clinical Subjects

04 Clinical Dentistry

05 Pre-Clinical Studies

06 Anatomy

07 Physiology

08 Pharmacology

09 Pharmacy

10 Nursing

11 Other Studies and Professions Allied to Medicine

12 Biochemistry

13 Psychology

14 Biological Sciences

15 Agriculture

16 Food Science and Technology

17 Veterinary Science

18 Chemistry

19 Physics

20 Earth Sciences

21 Environmental Sciences

22 Pure Mathematics

23 Applied Mathematics

24 Statistics and Operational 
Research

25 Computer Science

26 General Engineering

27 Chemical Engineering

28 Civil Engineering

29 Electrical and Electronic Engineering

30 Mechanical, Aeronautical and Manufacturing Engineering

31 Mineral and Mining Engineering

32 Metallurgy and Materials

33 Built Environment

34 Town and County Planning

35 Geography

36 Law

37 Anthropology

38 Economics and Econometrics

39 Politics and International Studies

40 Social Policy and Administration

41 Social Work

42 Sociology

43 Business and Management Studies

44 Accountancy

45 American Studies (Canada, the Caribbean, Latin America and the USA)

46 Middle Eastern and African Studies

47 Asian Studies

48 European Studies

49 Celtic Studies

50 English Language and Literature

51 French

52 German, Dutch and Scandinavian Languages 

53 Italian

54 Russian Slavonic and East European Languages

55 Iberian and Latin American Languages

56 Linguistics

57 Classics, Ancient History, Byzantine and Modern Greek Studies

58 Archaeology

59 History

60 History of Art, Architecture and Design

61 Library and Information Management

62 Philosophy

63 Theology, Divinity and Religious Studies

64 Art and Design

65 Communication, Cultural and Media Studies

66 Drama, Dance and Performing Arts

67 Music

68 Education

69 Sports Related Subjects 


Annex F

Revised Timetable

Autumn 1994

Publish definitive lists of UOAs.

Invite nominations for panel membership.

Spring 1995

Appoint panel Chairs and members.

July 1995

Publish names of panel Chairs and members.

Panels begin to meet to discuss criteria and working methods.

November 1995

Publish assessment panels' statements of criteria and working methods.

Reissue RAE guidance with mainly minor amendments.

Issue detailed instructions on how submissions should be made 
including format.

November/December 1995

Regional workshops to explain how submissions should be made.

20 December 1995

Closing date for survey of submission intentions.

28 February 1996

Closing date for requests to make multiple submissions to a single 
UOA.

30 April 1996

Receipt of submissions.


December 1996

Ratings passed to funding bodies.

January 1997

Publish outcome.