Section 3 – Volume Measure guidance

Overview

The volume measure ensures that the scale of a higher education institution’s (HEIs) submission is proportionate to its research capacity and provides important information on the size and shape of the sector. The funding bodies may also use the volume measure to inform the allocation of block grant funding.

This section provides guidance on determining the volume measure in REF 2029. It covers:

• technical detail on how the volume measure operates
• the definition of eligible contracts for determining the volume measure
• an overview of the role of Codes of Practice in identifying volume contributing contracts
• guidance on how to identify Significant Responsibility for Research (SRR) and Research Independence (RI)
• variations in approach for atypical contracts
• the role of the REFUOA2029 field in the HESA Staff record
• allocating contracts to UoAs
• the audit process
• information on amendments to the HESA Staff record.

Introduction

The Research Excellence Framework (REF) 2029 will assess the quality and impact of research conducted in UK higher education institutions (HEIs). The volume measure ensures that the scale of an institution’s submission is proportionate to its research capacity, as well as providing important information on the size and shape of the sector.

It is important to note that the volume measure acts as a proxy measure to determine research capacity only.  The inclusion of a specific contract in the calculation does not dictate whether an output or impact case study can be included in the submission, or which Unit of Assessment it should be assigned to. HEIs will be able to submit any output for which they can evidence a demonstrable and substantive link. The Initial Decisions contains further details on the rationale for this change. Further detail on the eligibility of outputs and impact case studies will be published as part of future policy modules in 2025.

This guidance outlines the methodology for calculating the volume measure in REF 2029.

Key changes in REF 2029

HEIs will not submit staff information to REF 2029.

The volume measure in REF 2029 will capture the information relating to the same group of staff as submitted to REF 2021 i.e., staff with Significant Responsibility for Research (SRR) and Research Independence (RI), with the data on staff contracts being gathered directly from the Higher Education Statistics Agency (HESA) Staff record to determine the volume.

The volume measure will be calculated using the percentage of a full-time equivalent year of contracts that have significant responsibility for research (SRR) and research independence (RI). This figure will be taken from the Contract.CONFTE field in the HESA Staff record.

The 2024-25 Staff record collection will be treated as a pilot year. After that collection the CONFTE of volume contributing contracts across academic years 2025-26 and 2026-27 will be averaged to calculate the REF 2029 volume measure.

The Initial Decisions contains further details on the rationale for these changes.

In the long term, it is expected that the HESA Staff record will become the definitive record of research active staff within the sector in any given year, with this data providing insight into the sector, beyond REF exercises.

Individual Staff Circumstances are not a feature of REF 2029, significantly reducing the burden of the exercise. The decoupling of outputs and staff includes the removal of the requirement for all staff submitted to submit at least one output. Full guidance on unit circumstances will be included in the Contributions to Knowledge and Understanding guidance module.

The volume measure

The volume measure in REF 2029 ensures that the scale of an institution’s submission aligns with its research capacity. It will be used to determine the number of outputs and impact case studies required for each Unit of Assessment (UoA) submission, ensuring proportionality.

Only ‘Research Only’ (Contract.ACEMPFUN 2) and ‘Teaching and Research’ (Contract.ACEMPFUN 3) contract types will contribute to the volume measure calculation.

The volume measure for REF 2029 will be calculated based on the percentage of a full-time equivalent year (CONFTE) of these contracts that have significant responsibility for research (SRR), and research independence (RI).

This approach marks a significant shift from previous REF exercises. Instead of a single census date where staff lists were submitted, REF 2029 will calculate the volume measure by averaging the CONFTE of volume contributing contracts across the two academic years 2025-26 and 2026-27.

The volume measure will be expressed as a decimal. The funding bodies will make this calculation by totalling CONFTE for volume contributing contracts and dividing the total by 100, for example a CONFTE of 250% would be expressed as 2.5.

In future, the intention is to calculate the volume measure on an ongoing basis using HESA data from the 2027-28 academic year onwards. HEIs may be requested by audit to provide a reasonable rationale if there is a major difference between the HESA data used to calculate the REF 2029 volume measure, and that submitted to the 2027-28 HESA Staff record.

Comprehensive guidance on the definitions and scope of the HESA Staff record can be found on the HESA website.

Technical detail

HESA fields

The metric used in the volume measure is derived from specific HESA fields.

Contract.CONFTE: represents the percentage of a full-time equivalent year worked by staff on the contract.

Contract.REFQUALCON: identifies contracts eligible for the REF 2029 volume measure.

Contract.REFUOA2029: identifies the UoA associated with contracts contributing to the volume measure.

Calculating the number of submission outputs

The number of outputs required in a submission is determined by multiplying the volume measure by 2.5 at UoA level. The result is then rounded to the nearest whole number.

Illustrative examples:

• Scenario 1: A UoA with a volume measure of 10 would need to submit 25 outputs (10 x 2.5 = 25)
• Scenario 2: If a UoA has a volume measure of 7.3, the submission requirement would be 18 outputs (7.3 x 2.5 = 18.25, rounded to the nearest whole number)
• Scenario 3: If a UoA has a volume measure of 5, the submission requirement would be 13 outputs (5 x 2.5 =12.5, rounded to the nearest whole number)

Calculating the number of submission impact case studies

The volume measure for each UoA also determines the number of impact case studies required. While the baseline is one impact case study per UoA submission, the precise number will be outlined in the specific REF 2029 guidance module pertaining to impact case studies, to be published in 2025.

Eligible contracts

Eligible contracts are those that fulfil all the following criteria:

• Academic staff: the contract belongs to an academic staff member whose primary employment function is to undertake either ‘teaching and research’ (ACEMPFUN 3) or ‘research only’ (ACEMPFUN 2) activities, as recorded in the HESA Staff record ACEMPFUN field.
• Payroll and REF period: the staff member is on the payroll of the submitting institution within the REF period (i.e., academic year 2025-26 to 2026-27 for the relevant HESA Staff record collections).

Two tests determine if an eligible contract qualifies for inclusion in the volume measure.

• Significant Responsibility for Research (SRR): for ‘teaching and research’ contracts.
• Research Independence (RI): for ‘research only’ contracts.

Contracts meeting either of these tests should be marked with the REFQUALCON flag in the HESA Staff record, signifying inclusion in the volume measure.

‘Teaching only’ (ACEMPFUN 1) contracts cannot be included in the volume measure calculation. Even if those contracts meet the tests for Significant Responsibility for Research (SRR) or Research Independence (RI) they may not be included. HEIs are encouraged to accurately reflect the primary employment function of staff in the HESA Staff record. The inclusion of a specific contract in the calculation does not dictate whether an output or impact case study can be included in the submission.

HEIs wishing to submit to the exercise must have an approved Code of Practice (CoP) that must be applied to the identification of contracts with significant responsibility for research or for determining which contracts have research independence. This link will take you to the CoP volume measure guidance.

Research activity for the eligible contract pool must be principally associated with one of the 34 Units of Assessment (UoA). HEIs are best placed to determine the appropriate association of contracts to UoAs but may be requested by audit to provide a reasonable rationale for their decisions.

Codes of Practice (CoP)

Institutional CoP are a requirement for REF 2029. The CoP embed a framework of principles for the key decisions that shape REF 2029 submissions. The Code of Practice guidance can be found here.

HEIs wishing to submit to REF 2029 must have an approved CoP that is applied to the identification of contracts with significant responsibility for research and determining who has research independence.

Significant responsibility for research

If an institution’s ‘teaching and research’ (ACEMPFUN 3) contracts in their HESA Staff record precisely identify all contracts with significant responsibility for research (SRR), this should be simply stated in the CoP. The REFQUALCON flag must be applied to all such contracts in the HESA Staff record.

If an institution’s ‘teaching and research’ (ACEMPFUN 3) contracts in their HESA Staff record do not precisely identify all contracts with significant responsibility for research (SRR), submitting HEIs must develop process and procedures for identifying significant responsibility for research, in line with the REF 2029 Code of Practice guidance and guidance below. The REFQUALCON flag must be applied to all contracts with significant responsibility for research.

Research independence

All submitting HEIs must develop process and procedures for identifying Research Independence (RI) for ‘Research only’ (ACEMPFUN 2) contracts in line with the REF 2029 Code of Practice guidance and the guidance below. The REFQUALCON flag should be applied to all such identified in the HESA Staff record.

Identifying contracts with Significant Responsibility for Research (SRR)

Inclusion in volume measure

All eligible ‘teaching and research’ (ACEMPFUN 3) contracts with significant responsibility for research (SRR) should be included in the REF 2029 volume measure.

Identifying SRR

Where ‘teaching and research’ (ACEMPFUN 3) contracts do not precisely identify all contracts with significant responsibility for research, submitting HEIs must implement a process to determine this. This process, including the criteria used, should be:

• developed in consultation with staff and their representatives
• documented in the institution’s Code of Practice
• used to identify contracts with SRR, which are then marked as REFQUALCON in the HESA Staff record

Essential criteria characteristics

The criteria for identifying SRR must be:

• Objective: based on clear, measurable factors, not subjective opinions. In all instances this should be based upon the expectations of contracts as a function of employment, and not upon the quality or volume of what has been delivered as a result of that employment function.
• Inclusive and non-discriminatory: applied fairly and consistently, without bias, and promote inclusion in the HEI’s research community.
• Transparent: clearly communicated and accessible to all staff.

REF 2029 definition of SRR

Contracts with significant responsibility for research are those for whom explicit time and resources are made available to engage actively in independent research, and that is an expectation of the job role.

‘Explicit time and resources are made available’. Indicators of this could include one or more of:

• a specific proportion of time allocated for research, as determined in the context of the institution’s practices, and applied in a consistent way
• research allocation in a workload model or equivalent

‘To engage actively in independent research’. Indicators of this could include one or more of (HEIs are also advised to refer to the indicators of independence, as additional guidance on this aspect):

• eligibility to apply for external research funding as the lead or co-applicant
• access to research leave or sabbaticals
• membership of research centres or institutes within the HEI

 ‘And that is an expectation of the job role’. Indicators of this could include one or more of:

• current research responsibilities as indicated in, for example, career pathways or stated objectives
• expectations of research by role as indicated in, for example, job descriptions and appraisals

Expectation of indicators

The indicators provided here are examples to guide HEIs in developing their own processes for identifying staff with significant responsibility for research. Meeting all indicators is not mandatory, and HEIs have flexibility in setting their own criteria and documenting this in their Code of Practice. However, criteria and a process that routinely excludes staff who meet most of these indicators would likely be considered inappropriate.

Variations in submission approach

The submission approach may vary by UoA where employment practices vary at this level. It is expected that variations will be based on disciplinary norms (for example, close working with industry, NHS staff, Creative industries), rather than purely local differences in practice, and be documented in the Code of Practice.

Outputs not a sufficient indicator

Being named on research outputs alone does not necessarily qualify a contract for inclusion.

Processes for identifying contracts with research independence (RI)

Identifying research independence

HEIs must implement a process to determine if ‘research only’ contracts demonstrate research independence (RI). This process, including the criteria used, should be:

• documented in the institution’s Code of Practice
• used to identify contracts with research independence, which are then marked as REFQUALCON in the HESA Staff record

Definition of research independence

A ‘research only’ contract is considered to demonstrate research independence if the staff member undertakes self-directed research, rather than primarily carrying out another individual’s research programme.

Indicators of research independence

Contracts typically exhibiting research independence (RI) are those where staff members:

• act as lead applicant on externally funded research projects
• hold an independently won, competitively awarded fellowship requiring research independence. We will work to develop an indicative list of eligible fellowships.
• lead a research group or a substantial/specialised work package
• where research independence is an inherent expectation of a contract
• for UoAs 13-34 this may also include:
  • being named as a co-applicant on an externally funded research grant/award
  • having significant input into the design, conduct and interpretation of the research

Expectation of indicators

The indicators provided here are examples to guide HEIs in developing their own processes for identifying staff with research independence. Meeting all indicators is not mandatory, and HEIs have flexibility in setting their own criteria and documenting this in their Code of Practice. However, criteria and a process that routinely excludes staff who meet most of these indicators would likely be considered inappropriate.

Research independence should be considered persistent

Only in exceptional cases should independence be removed.

Variations in submission approach

The approach to identifying research independence might vary across Units of Assessment (UoAs) due to disciplinary or employment practices. Any variations should be rooted in disciplinary norms, not local preferences, and be documented in the institutional Code of Practice.

Research assistants

Research assistants are primarily employed to support another individuals’ research rather than pursuing independent research. They are usually funded from research grants or contracts from Research Councils, charities, the European Union (EU) or other overseas sources, industry, or other commercial enterprises, but they may also be funded from the institution’s own funds.

Exception for independent research assistants: in exceptional cases, the contracts of research assistants who meet the definition of an independent researcher and are on the submitting institution’s payroll with a ‘research only’ contract can be included. Their contracts should be flagged as REFQUALCON in the HESA Staff record.

Outputs not sufficient

Being named on research outputs alone does not necessarily qualify a contract for inclusion.

Volume measure contributing contracts diagram

We have created a diagram to give an overview of the process of identifying volume measure contributing contracts for REF 2029. Please consider this alongside the Volume Measure guidance for full details.

Variations

Sabbaticals

For the contracts of staff on sabbatical, adhere to the HESA Staff record guidance regarding recording sabbaticals. We are working with HESA to develop a process for recording relevant sabbaticals.

Staff with joint HEI and NHS appointments

The contracts of staff holding joint appointments with both the institution and the NHS are eligible if their contract meets the general REF 2029 eligibility criteria.

CONFTE Calculation

• HEI as Primary Employer: the full CONFTE of their primary employment contract at the HEI should be returned.
• Dual Employer Contracts: if they have two employer contracts, (one from the HEI and one from another organisation), the HEI can return the contract for the fraction of their employment dedicated to the HEI.

Pensioned staff

The contracts of pensioned staff who continue in salaried employment with a research contract and meet the general eligibility criteria are also eligible for inclusion.

Unpaid leave and secondment

Refer to the HESA Staff record guidance for handling the contracts of staff on unpaid leave or secondment to any organisation that is not a UK HEI. We are working with HESA to develop a process for recording relevant secondments.

Secondment to another UK HEI

The contracts of staff seconded to another UK HEI can be submitted by both their employing institution and the host institution.

CONFTE Limit: the combined CONFTE submitted for the staff member across both HEIs must not exceed 100% CONFTE.

Further Guidance: consult the HESA Staff record guidance on CONFTE for detailed instructions.

Staff on hourly or daily pay

Eligibility: the contracts of hourly or daily paid staff meeting the eligibility criteria for significant responsibility for research or research independence should be included.

CONFTE Calculation: calculate their CONFTE as outlined in the HESA Staff record guidance on CONFTE.

Staff working outside the UK

Only contracts within the HESA Staff record are eligible (with noted exceptions below). The HESA Staff record covers staff employed by a UK provider only.

Staff employed wholly overseas: the contracts of these staff, including those at overseas campuses not on a UK HEI’s payroll, must not be included.

Part-time UK employment: if staff work partly in the UK and partly overseas, the record should reflect only the UK resident employment time.

Exception for normal UK-based employment: if time abroad is part of normal UK-based employment, the CONFTE should not be reduced.

Overseas department/unit: the contracts of staff employed by a UK HEI but based overseas should not be included unless their activity is clearly and directly connected to a UK-based department/unit.

Multiple contracts

Submission by multiple HEIs: the contracts of staff with eligible contracts at multiple HEIs can be returned by each HEI.

Multiple contracts at the same institution: staff members holding multiple eligible contracts at the same institution will have their CONFTE calculated across all these contracts.

CONFTE limit: the total combined CONFTE across all submissions for an individual must not exceed 100% CONFTE.

Verification and adjustment: if the combined CONFTE exceeds 100%, the REF team will verify the CONFTE at each HEI and adjust appropriately.

Eligible contracts that cannot currently be included in the HESA return

The funding bodies are aware of a small number of HEIs where, for historic reasons, eligible contracts cannot currently be included in the HESA return. Our expectation is that all HEIs will move towards full submission to the HESA Staff record. The REF team is actively collaborating with the affected HEIs to develop a reliable alternative method to ensure fair and consistent identification of all eligible contracts in the interim.

Allocating eligible contracts to UoAs

UoA assignment

HEIs will be responsible for mapping CONFTE to Units of Assessment (UoAs). Each eligible contract should be linked to the UoA to which it is principally associated. This allocation is to be done using the REFUOA2029 field in the HESA Staff record.

Staff with multiple contracts

Where more than one contract is attributable to an individual, each contract may be returned to a different UoA.

Annual variation

UoA allocation may change between annual returns, reflecting the evolving nature of research and substantive connections.

HESA cost centres

While often related, HESA cost centres and UoAs are not the same, and as long as the allocation of contracts to a UoA is logical and a rationale can be provided for the approach taken, it is acceptable for HESA cost centres and UoAs not to align exactly.

Amendments

The REF Team is working with HESA to explore whether a process for amendments could be developed.

Outputs

As outputs have been decoupled from staff, they do not have to be returned to the UoA that an output’s author’s contract is principally associated with. Full details of how outputs should be assigned to a UoA will be released as part of a future Contribution to Knowledge and Understanding (CKU) guidance module.

Demonstrating the association of eligible contracts with a UoA

Requirement: eligible contracts must have a clear association with the submitting Unit of Assessment (UoA). This association should be reflected in the REFUOA2029 field in the HESA Staff record. The Code of Practice should consider equality impacts when making UoA allocation decisions.

The funding bodies recognise that in many circumstances, eligible contracts cannot be perfectly mapped on to the 34 UoAs. HEIs are best placed to determine the appropriate association of contracts to UoAs. HEIs should assess whether these allocations disproportionately affect staff with certain protected characteristics.

HEIs may be requested by audit to provide a reasonable rationale for their decisions. Equality considerations may be requested as part of this ensuring that UoA allocations are fair and inclusive.

The REF Director, advised by the Head of REF Information Governance, will make the final decision on UoA allocation eligibility.

Audit

The full audit guidance for REF 2029 is being developed and will be subject to change so this entire section (section 14), will be updated at a later date.

We anticipate that REF 2029 will audit robustly. Audit may focus on, but not be limited to, the following.

Verification of exclusions

HEIs must be prepared to demonstrate through an audit that any eligible contracts not included in the submission genuinely lack significant responsibility for independent research (SRR) or research independence (RI), as applicable. The evidence for this should be directly tied to the institution’s documented processes outlined in its Code of Practice.

Verification of inclusions

HEIs must also be prepared to demonstrate that all contracts included in the submission genuinely meet the eligibility criteria for SRR or RI, as applicable. The evidence for this should also be tied to the documented processes in the Code of Practice.

Verification of CONFTE UoA associations

HEIs should be prepared to demonstrate the rationale for associating contracts with a UoA.

Major changes in institutional or UoA volume

HEIs may be asked to explain major changes in volume at institutional level or for individual UoAs.

Consequences of Non-Compliance

Unsubmitted volume contributing contracts: if the audit identifies volume contributing contracts with SRR or RI that were not submitted, their CONFTE will be added to the unit’s volume measure. The total output requirement will be recalculated, and if identified after submission, an unclassified score will be assigned for each missing output in the revised total.

Ineligible contracts included: if the audit finds that ineligible contracts were included in the submission, their CONFTE will be removed from the unit’s volume measure. The total output requirement will be recalculated accordingly, and if identified after submission, a proportionate number of outputs will be removed from the unit’s submission.

Amendments to the HESA record

Process in development

The detailed process for amending the HESA record is currently under development in collaboration with HESA so this entire section will be updated.

Flexibility for 2025-26

Recognising the challenges of implementing the new approach, especially in the current sector context, we are working to support flexibility for making amendments in the 2025-26 academic year submission.

Standard HESA approach thereafter

From the end of the 2026-27 academic year onwards, it’s anticipated that amendments will revert to HESA’s standard processes.

Further information

The finalised process for making amendments will be published in due course.