As per Lancaster's REF Code of Practice all academic staff with a contract of employment of 0.2 full-time equivalent (FTE) or greater, on the University payroll on the census date of 31 July 2020, whose primary employment function is to undertake either ‘teaching and research’ or ‘research only’ will be considered for inclusion in REF2021. These staff will have a substantive connection to the unit of assessment they are being returned in, will be independent researchers and will have significant responsibility for research.

The University considers that all staff on ‘teaching and research’ contracts have significant responsibility for research and are independent researchers and therefore will be submitted to REF2021.

Determining Research Independence

Academic staff whose primary function is ‘research only’ who are employed by the University to carry out another individual’s research (normally called research assistants but sometimes research associates or similar) are not eligible for submission in REF2021.

Lancaster University will identify independent researchers from ‘research only’ staff who are employed by the University on the census date on a ‘research only’ contract using the following criteria:

Employed on grade 7 or above (grade 6 roles are considered as developmental roles and staff in these roles are not yet independent researchers), and either

• Hold an independently won, competitively awarded fellowship where research independence is a requirement, and where this is an externally funded fellowship which the individual applied for and which was awarded through open competition. An illustrative, but not exhaustive, list of independent fellowships can be found at Annex 3 and on the official REF 2021 website; or
• Principal investigator on a substantial externally funded research project(s), typically of total award value of at least £250,000, on the census date; or
• Named co-investigator on substantial externally funded research project(s), typically of award value attributed to the co-investigator of at least £250,000, on the census date. This indicator of independence will only apply to researchers working within disciplinary boundaries of Main Panels C and D (as noted in the panel criteria and working methods).

Staff employed on ‘research only’ contracts who believe they may meet the criteria for research independence on the census date should have an initial discussion with their HoD and complete the research independence template as found in Appendix 5 of the university's REF Code of Practice.

All staff on ‘research only’ contracts who are identified as independent researchers through this decision making process will have significant responsibility for research so will be returned to REF2021.

Further detailed information about this process is available in the REF Code of Practice.

Appeals

As outlined in our staff may submit an appeal on the decision made to determine research independence on the eligible grounds described above. The appeals process is outlined within the Code of Practice. Appeal panel meetings will be held (if required) in weeks commencing 21st September, 19th October, 16th November and 7th December 2020.