COMPARISON OF REF RESEARCH ENVIRONMENT GUIDANCE
Note: text from the REF Panel Criteria and Working Methods for the specific content of research environment statements is included here. Bold text is added here for emphasis, and does not follow the original formatting. Each
statement below is numbered to allow each Main Panel’s statement to be read in published order, but are grouped here by content/emphasis to show the similarities, and differences, in the four sets of panel criteria. This document
should not be used as a substitute for the REF Panel Criteria which, in the event of any discrepancy, should be regarded as definitive.
MAIN PANEL A (UoAs 1-6)
MAIN PANEL B (UoAs 7-15)
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
OVERVIEW
25% of sub-profile (with Research Strategy)
Does not score
Does not score
Does not score
(1) Briefly describe the organisation and structure of
the unit to set the context for the sub-panels assessing
the submission.
(1) This will provide context for the sub-panel in
assessing the submission
(2) It should be used to describe brief contextual
information
(1) This section should briefly describe the
organisation and structure of the submitting unit, to
set the context for sub-panels assessing the
submission.
(2) Describe which research groups or units are
covered by the submission
(4) including, where appropriate, what research
groups or sub-units are covered by the submission
(3) describing what research groups or sub-units are
covered by the submissions, and
[no equivalent statement]
(3) and how research is structured across the
submitted unit.
(3) Submitting units should describe how research is
structured across the unit
(4) how research is structured across the submitted
unit.
[no equivalent statement]
(4)This section will be assessed in combination with
the research strategy.
(2) and will not be assessed
(1) This section will not be assessed.
(2) This section will not be assessed.
[no equivalent statement]
(5) Given that there is no expectation that the
environment element of submissions will relate to a
single coherent organisational unit, groups may be
organisational units such as departments or schools
and/or research groups
[no equivalent statement]
(3) Note that there is no expectation that this section
needs to refer to a single ‘department’ or coherent
organisational unit.
[no equivalent statement]
(6) HEIs presenting staff in research groups should
allocate staff to research groups in the staff details
form (REF1a) of the submission. HEIs should note that
staff may be allocated to more than one research group
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(5) Neither the existence of groups, nor their
absence, is, in itself, considered significant by the
sub-panels.
[no equivalent statement]
25% of sub-profile (with Overview)
20% of sub-profile
25% of sub-profile
20% of sub-profile
(5) Provide evidence of the achievement of strategic
aims for research during the assessment period;
(7) Submitting units are invited to provide evidence of
the achievement of strategic aims for research
during the assessment period, as well as
(6) Evidence of the achievement of strategic aims for
research, and
(4) This section should provide evidence of the
achievement of strategic aims for research during
the assessment period, and
(6) Details of future strategic aims and goals for
research
(8) details of future strategic aims and goals for
research;
(7) details of future strategic aims and goals for
research;
(5) details of future strategic aims and goals for
research;
(7) How these relate to the structure described
above;
(9) how these relate to the structure described
above;
(8) how these relate to the structure described above
(6) how these relate to the structure described in the
overview section,
(8) And how they will be taken forward.
(10) and how they will be taken forward.
(9) and how they will be taken forward
(7) and how they will be taken forward
(9) Evidence and indicators may include, but are not
limited to: details of significant changes, if any, to the
research environment over the assessment period
(11) This should include (but is not limited to)
(10) This may include:
(8) This may include (but is not limited to) evidence of:
RESEARCH STRATEGY
MAIN PANEL A (UoAs 1-6)
(10) Evidence of strong research plans:
 (11) A statement of the main objectives and
activities in research over the next five years,
including
 (12) Capacity building







(13) Research student recruitment
(14) The involvement of service users
(15) Balance sought between long-term and
short-term research
(16) The development of infrastructure to
facilitate research
(17) Ongoing research work which is not
producing immediate visible outcomes
[no equivalent statement]
[no equivalent statement]
MAIN PANEL B (UoAs 7-15)
(12) vision, including strategic plans
 [no equivalent statement]

[no equivalent statement]



[no equivalent statement]
[no equivalent statement]
[no equivalent statement]

[equivalent statement under Income,
Infrastructure and Facilities, see (27)]
[no equivalent statement]



[no equivalent statement]
Equivalent statement under Income,
Infrastructure and Facilities, see (28)]
MAIN PANEL C (UoAs 16-26)
 (12) an outline of the main objectives and
activities in research for five years following
submission, and their drivers
 (15) identification of priority development
areas for the unit, including
 (18) postgraduate research activity
 [no equivalent statement]
 [no equivalent statement]
 (19) facilities, staffing, administration and
management
 (14) new and developing initiatives not yet
producing visible outcomes, or not yet
performing at national or international level, but
nevertheless of strategic importance.
 (16) research topics
 (17) funding streams
MAIN PANEL D (UoAs 27-36)
(10) The submitting unit’s plans and aspirations for
developing its research over the next five years (2014
to 2019), having due regard to sustainability and the
wider research context, and including how those
plans and aspirations will be realised. This should
cover the areas outlined by sections c to e below
[People; Income, Infrastructure and Facilities;
Collaboration and Contribution to the Discipline or
Research Base]
(18) Responsiveness to national and international
priorities and initiatives
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(19) Effective mechanisms for the development,
promotion and dissemination of research
[no equivalent statement]
(13) methods for monitoring attainment of targets
[no equivalent statement]
(20) Research groupings, their activities, their
rationale, how they operate and their main
achievements
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(21) Mechanisms and practices for promoting
research, and sustaining and developing an active
and vital research culture
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(22) Evidence of multi- and/or interdisciplinary
developments
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(13) an evaluation of the submitting unit’s current
position with reference to the research position
described in RAE 2008
(11) an evaluation of the strategy or strategies
outlined as part of RAE 2008 and subsequent
changes, where appropriate.
(9) where relevant, the submitting unit’s position with
reference to research plans described in RAE 2008,
including reasons for any significant change of
direction/strategy or profile.
25% of sub-profile
30% of sub-profile
25% of sub-profile
40% of sub-profile, split equally between staffing
strategy/staff development, and research students
(23) Staffing strategy and staff development within
the submitting unit. Evidence and indicators may
include, but are not limited to:
(14) Staffing strategy and staff development.
Submitting units are invited to describe staffing strategy
and staff development within the unit, including but not
limited to:
(20) Staffing strategy and staff development within
the submitted unit, including
(11) Staffing strategy and staff development. This
may include (but is not limited to):
(24) Evidence of how the staffing strategy relates to
the unit’s research strategy and physical infrastructure
(15) Evidence of how the staffing strategy relates to
the unit’s research strategy and physical infrastructure
(21) evidence of how the staffing strategy relates to
the unit’s research strategy and physical infrastructure
[no equivalent statement]
(25) Implementation of the Concordat to Support the
Career Development of Researchers
(17) evidence about the implementation of the
Concordat to Support the Career Development of
Researchers
(36) the implementation of the Concordat to Support
the Career Development of Researchers and of its
positive influence
(13) and the unit’s implementation of the Concordat to
Support the Career Development of Researchers
PEOPLE
MAIN PANEL A (UoAs 1-6)
MAIN PANEL B (UoAs 7-15)
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
(20) evidence of how the submitting unit supports
equalities and diversity
(24) evidence of how the submitting unit support [sic]
equalities and diversity
(20) as well as evidence of the submitting unit’s
strategies, activities and collaborations that
support diversity and enable staff drawn from a wide
cross-section of society to engage in research.
[no equivalent statement]
(37) where appropriate, the contribution of any
Category C staff to the strength, coherence and
research culture, and implementation of its research
strategy.
(18) The contribution of post-doctoral researchers to
the unit (where appropriate, the size and type of
submitting unit will be taken into account when
considering such information)
(28) Sustainable staff structure
[no equivalent statement]
(25) staffing policy and evidence of its effectiveness,
including
 (26) the balance between short-term and longterm contracts among Category A staff
 (27) the demographic profile of the unit and
how it affects current and future management of
research activity
 (28) the pattern of staff recruitment over the
assessment period, noting recent recruits and
how departures have affected research
 (29) succession planning, with particular
reference to early career researchers
 (30) the role and involvement of joint
appointments and fixed term appointments
 (31) the relationship of staffing policy to
strategy
[no equivalent statement]
(29) Arrangements for the effective development and
support of the research work of staff
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(22) support for early career researchers and
(14) Evidence of how individuals at the beginning of
their research careers are being supported and
integrated into the research culture of the submitting
unit, such as through lighter loads for early career
researchers.
(26) Evidence of how the submitting unit supports
equalities and diversity
(27) Effective integration of clinical academics and
NHS-employed active researchers
(32) Role of clinical researchers where relevant
(30) A description of how the unit has been developing
the research of early career researchers and support
for integrating them into a wider, supportive research
culture
(16) evidence about career development support at
all stages in research careers, including for research
assistants, early career researchers and established
academic staff
(31) Research career development of both nonclinical and clinical researchers
(23) career development at all stages in research
careers
(12) Staff development strategy for all staff pursuing
a career in research (including research assistants and
postdoctoral researchers), at all stages of their
careers, including the use of mentoring, probation and
appraisal and training
(17) Clear procedures for career progression of staff
at all stages of their careers (including fixed-term and
part-time staff).
[equivalent statement under Collaboration and
Contribution, see (56)]
(18) information on staff with personal research
fellowships won in open competition such as Royal
Society University Research Fellowships
(32) prestigious/competitive personal research
fellowships held by submitted staff during the
assessment period, and how these have contributed
to the development of the staff and the submitted unit.
[no equivalent statement]
[no equivalent statement]
(19) information on international staff appointments
(incoming and outgoing), international recruitment
and visiting scholars
[no equivalent statement]
[no equivalent statement]
MAIN PANEL A (UoAs 1-6)
[no equivalent statement]
MAIN PANEL B (UoAs 7-15)
[no equivalent statement]
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
(33) evidence that equality of opportunity is being
effectively promoted and delivered in arrangements for
developing the research careers of all staff (including,
where appropriate, Category C staff), including
 (34) study leave (evidence may include
numbers of staff and length of period of leave)
 (35) opportunities extended to develop the
research careers of part-time staff, staff whose
research has been interrupted for any reason,
and those seconded from outside academia
(19) Evidence of commitment to equal opportunities in
the recruitment and support of research staff;


(15) The policy for research leave/sabbatical
leave for all staff at all stages of their careers,
(16) (including fixed-term and part-time staff)
[no equivalent statement]
(38) mechanisms by which standards of research
quality and integrity are maintained (for example
ethics procedures and authorship policies).
[no equivalent statement]
[equivalent statement under Collaboration and
Contribution to the Research Base, see (64)-(68)]
[equivalent statement under Collaboration and
Contribution to the Research Base, see (35)]
[equivalent statement under Collaboration and
Contribution to the Research Base, see (57)]
(21) Evidence of procedures to stimulate and facilitate
exchanges between academia and business, industry,
or public or third sector bodies, for example through the
recruitment or secondment of research staff.
(33) Research students: the training and supervision
of postgraduate research (PGR) students. Evidence
and indicators may include, but are not limited to, the
following:
(21) Research students: submitting units are invited to
provide evidence of the quality of training and
supervision of postgraduate research students,
including but not limited to:
(39) Research students: evidence of the quality of
training and supervision of PGR students, which may
include:
(22) Research students: This may include (but is not
limited to):
(34) Effective and sustainable doctoral research
training
(23) information on training and support mechanisms
(42) support offered to PGR students (including
employability skills), and the contribution of
submitted staff to doctoral programmes.
(29) details of the support provided to research
students in terms of skills development and
preparation for their future career.
[no equivalent statement]
(41) evidence of a strong and integrated PGR culture,
indicating the contribution to the research environment
of both PhD candidates and those on professional
doctorates (where appropriate), including
(23) Evidence of the development of a research
culture into which research students are fully
integrated and are prepared for further research
activity
(36) Evidence of CASE awards and applications of
technology generated by research students
[no equivalent statement]
(40) prestigious/competitive studentships and how
they have contributed to the PGR research culture and
research environment
(25) and evidence of studentships from major
funding bodies (for example, RCUK), although subpanels recognise the challenges of recruiting doctoral
students in the current funding environment).
[Equivalent statement under Research Strategy, see
(13)].
(22) information on PGR recruitment such as
approaches to recruitment, and any discipline-specific
issues
[no equivalent statement]
(24) strong recruitment of doctoral research students
[no equivalent statement]
(24) information on progress monitoring
[no equivalent statement]
(28) details of monitoring and support mechanisms
linked to evidence of progress and of successful
completions
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(26) Evidence of support for equal opportunities in the
recruitment and support of research students
[no equivalent statement]
(27) Evidence of procedures to stimulate and facilitate
exchanges between academia and business,
industry or public and third sector bodies, through
the recruitment or secondment of research students.
[equivalent statement under Infrastructure, Income and
Facilities, see (47)].
(35) Evidence of a strong and integrated research
student culture
[no equivalent statement]
[no equivalent statement]
MAIN PANEL A (UoAs 1-6)
MAIN PANEL B (UoAs 7-15)
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
I N C O M E, I N F R A S T R U C T U R E A N D F A C I L I T I E S
25% of sub-profile
30% of sub-profile
25% of sub-profile
20% of sub-profile
(37) Information about research income,
infrastructure and facilities. Evidence and indicators
may include but are not limited to the following:
(25) Submitting units are invited to provide evidence
including (but not limited to):
(43) Information about research income,
infrastructure and facilities. This may include:
(29) Income, infrastructure and facilities. This may
include:
(46) evidence of infrastructure and/or facilities
supporting a vital and sustainable research
environment [which] could include the nature/quality of
research infrastructure, including
 (49) significant equipment
 (50) technical support staff
 (51) space/facilities available for PGR students
and research groups, including library and IT
provision.
(31) Scholarly infrastructure supporting research,
including significant archives and collections, with a
description of their development and use
(32) Organisational infrastructure supporting
research, for example, evidence of areas where there
has been significant investment, or through the
development of research clusters that focus on
distinctive areas of work
(38) The nature and quality of the research
infrastructure and facilities, including
 (39) Significant equipment
 (40) Research facilities
 (41) Facilities for research students
(26) information on provision and operation of
specialist infrastructure and facilities
(42) Evidence of cross-HEI, shared or collaborative
use of research infrastructure
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(43) Significance of major benefits-in-kind (including,
for example
 (44) Donated items of equipment
 (45) Sponsorships secured
 (46) Other arrangements directly related to
research
[no equivalent statement]
(47) major infrastructure funding
[no equivalent statement]
(47) Policy and practice in relation to research
governance
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(48) university investment and policies to support the
research environment
(34) The strategy by which an appropriate balance
between the scholarly, organisation and operational
infrastructures is established, and by which these
elements are prioritised and maintained.
[equivalent statement under Research Strategy, see
(16)]
[no equivalent statement]
(27) evidence of investments (both current and
planned) in infrastructure and facilities
(28) information on the research funding portfolio,
including future plans
(44) research funding, including that allocated as part
of larger research consortia, links between research
funding and high quality research output, and major
and prestigious grant awards made by external bodies
on a competitive basis
(45) strategies for generating grant income
appropriate to the discipline
[no equivalent statement]
(29) information on consultancies and professional
services
[no equivalent statement]
(33) Operational infrastructure supporting research
within the submitting unit (and, where relevant, within
the institution more widely) including technical and
support staff as well as estate and facilities;
advanced equipment; or IT resources.
(30) Evidence of the successful generation of
research income – although allowance will be made
for disciplines that find it more difficult to attract
research funding because of the nature of the research,
and where more early career researchers are involved.
In particular submissions should detail funding
received through sources not reported in Higher
Education Statistics Agency returns, such as
commissions from artistic organisations.
[no equivalent statement]
[equivalent statement under Collaboration and
Contribution to the Discipline or Research Base, see
(44)]
MAIN PANEL A (UoAs 1-6)
COLLABORATION AND
MAIN PANEL B (UoAs 7-15)
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
CONTRIBUTION TO THE DISCIPLINE OR RESEARCH BASE
25% of sub-profile
20% of sub-profile
25% of sub-profile
20% of sub-profile
(48) Contributions to the wider research base,
including
 (49) Work with other researchers outside the
submitted unit whether locally, nationally or
internationally
 (50) Support for research collaboration, and
 (51) Interdisciplinary research.
Evidence and indicators may include but are not limited
to the following:
(30) Submitting units are invited to provide evidence
and information relating to the wider research base,
including
 (31) work with other researchers outside the
submitted unit, whether locally, nationally or
internationally
 (33) information on support for and exemplars of
research collaborations, including national or
international research collaborations, with
academic, industry and other bodies
 (34) information on support for and exemplars of
interdisciplinary research
(52) Contributions to the wider research base,
including
 (53) work with other researchers outside the
submitted unit whether locally, nationally or
internationally
 (54) support for research collaboration and
 (55) interdisciplinary research, and
(35) This may include (but is not limited to)
(52) Indicators of wider influence or contributions to
the discipline or research base
(32) indicators of wider influence or contributions to
the discipline or research base. This may include (but is
not limited to)
(56) indicators of wider influence or contributions to
the research base. This may include:
[no equivalent statement]
(53) Participation in the peer-review process (for
example
 (54) National and international grants
committees
 (55) Editorial boards
(36) exemplars of leadership in the academic
community such as national or international advisory
board membership,
[no equivalent statement]
(43) refereeing academic publications or research
proposals
(56) Fellowships and relevant awards
(42) and fellowships, awards and prizes.
[no equivalent statement]
(45) scholarly awards or fellowships
(57) Journal editorships
(41) Journal editorships
(64) contribution to journal editorship and preparation (40) editorial positions
[no equivalent statement]
(62) evidence of national and international academic
collaborations including indicators of their success
(36) collaborative arrangements, partnerships,
networks and joint research projects with academic
colleagues in other institutions, locally, nationally, and
internationally, including where these arrangements
are interdisciplinary
(59) Extent of collaboration or integration with
external bodies, such as
 (60) NHS Research and Development
 (61) Industry
 (62) Government agencies
[no equivalent statement]
(58) details of existing networks and clusters and of
research collaborations with
 (59) industry
 (60) commerce
 (61) third sector, and other users of research
and how these have enriched the research environment
[no equivalent statement]
(63) Responsiveness to national and international
priorities and initiatives
[no equivalent statement]
[no equivalent statement]
[no equivalent statement]
(64) Effective mechanisms to promote
 (65) collaborative research
 (66) collaboration at national and
international level
- (67) within the academic community
- (68) with users of research (whether with
industry or the public sector)
(35) information on how research collaborations with
research users including industry users, have informed
research activities and strategy
(57) interdisciplinary research, where appropriate,
including what disciplines are involved, and
arrangements to support interdisciplinary or
collaborative research
[Equivalent statement under People, see (21)]
(58) Effective academic collaboration
MAIN PANEL A (UoAs 1-6)
MAIN PANEL B (UoAs 7-15)
MAIN PANEL C (UoAs 16-26)
MAIN PANEL D (UoAs 27-36)
(37) leadership roles in industry, commerce, Research
Councils, learned societies or professional bodies;
[no equivalent statement]
[no equivalent statement]
(63) seminar series
(38) conference programme chairs;
(65) conferences
[no equivalent statement
(39) invited keynote lectures
[no equivalent statement]
(46) invited keynotes, lectures and/or performances
[no equivalent statement]
[no equivalent statement]
(66) research-based CPD
[no equivalent statement]
[no equivalent statement]
(40) election to membership or fellowship of learned
societies
(67) contribution to professional associations or
learned societies
(39) leading positions in professional subject
associations and learned societies
[no equivalent statement]
[no equivalent statement]
(68) and developmental disciplinary initiatives, both
national and international
(38) involvement in university research advisory
panels, or national/international research strategy or
review boards
[no equivalent statement]
[no equivalent statement]
(69) co-operation and collaborative arrangements for
PGR training, including whether these have received
formal recognition nationally or internationally.
(41) examination of doctorates
[no equivalent statement]
[equivalent statement under Infrastructure, Income and
Facilities, see (29)
[no equivalent statement]
(44) HEI consultancies
[no equivalent statement]
[no equivalent statement]
(37) membership of Research Council or similar
national and international committees
(42) organisation of conferences and scholarly
encounters