Guidance |Appendix 1 |Appendix 2 |Appendix 3 |Appendix 4 |Appendix 5

Guidance for Staff in Academic Departments on the University's Time Allocation Requirements for 2009/10

1. Background

   The ‘transparent approach to costing’ (TRAC) is now the standard costing approach used by higher education institutions in the UK to cost teaching, research and commercial activities.  Time Allocation plays a central role in TRAC.  It is used in the calculation of the full economic cost (fEC) of research projects and directly affects the amount of funding the University can recover from grants funded by the Research Councils and Government Departments. It also informs the level of funding requested from other research sponsors.  In addition, TRAC for Teaching data is now being used by HEFCE to inform the funding of teaching.  Therefore, it is crucial that the data provided by all staff is as accurate and robust as possible.
   
   The time allocation exercise needs to be carried out triennially and the next period will run from 1 August 2009 to 31 July 2010.  During 2009-10, the University will ask ALL staff (paid wholly or partially from general funds) within academic departments to provide three retrospective analyses of how their time was spent during the year.  Taken together the three analyses will cover the whole year as each will cover a four-month period as follows:
   

   Period 1: 1 August 2009 – 30 November 2009
   Period 2: 1 December 2009 – 31 March 2010
   Period 3: 1 April 2010 – 31 July 2010

2. Changes to the TRAC Process

The methodology remains broadly similar to that used in 2006-7 but there are some potential changes which need to be discussed with the Unions.  The basic tenet that the data will not be used for any personnel-related activities, such as promotions, salary increases, early retirements etc remains unchanged.  The potential changes are described below:

After the last time allocation exercise in 2006-7, it was noted that the method of data collection was administratively burdensome for TRAC Co-ordinators in academic departments and for data analysis centrally. Hence there is currently work underway in BUCS to provide an electronic system for collection of the time allocation data via the web. 

This should hopefully be completed in time for the first data collection in December 2009. Although the data collection, chasing of late returns and analysis will be carried out centrally, the Heads of Department will still need to review the summarised time allocation data to ensure that the data reflects the activities of the Department. The raw data will only be available to the TRAC Accountant, one other member of the Finance department and the appropriate Head of Department.

From 2008-9 the TRAC Guidance also states that we should reconcile the time allocated to research sponsors in TRAC with the actual hours charged to sponsors.   There is also a need for staff engaged on EU projects to keep a record of full hours worked on all activities. Hence the TRAC Steering Group would like the data to be collected in hours rather than percentages for 2009-10.

The TRAC Steering Group has also reviewed the reporting categories. Most remain unchanged but the TRAC Steering Group feels that it would be beneficial to split time allocated to Teaching & Support for Teaching between Undergraduate and Postgraduate taught provision.  This will assist in identifying where course costing may be beneficial.

The above changes will be discussed with the Unions but in the meantime the data should be recorded as per this briefing.  In the event that these changes are not agreed the data will be reported and collected as per the last return in 2006-7.

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3. Responsibilities of Heads of Departments

   Heads of Department have a key role in supporting the time allocation exercise.

   Heads of Department are responsible for ensuring that the guidance is disseminated and that staff are aware of the requirements.  They should also try to ensure that all staff (i.e. administrative, clerical, manual and technical staff as well as academic staff) paid from general funds (i.e. excluding grant/project-funded posts) take part in the time allocation exercise. 

   Heads of Department should also note that individual members of staff should complete their own Time Allocation data and that Time Allocation data should not be completed on behalf of staff or altered by the Head of Department without full discussion with, and the agreement of, the member of staff concerned. Thus Heads of Department will need to ensure that staff who are about to leave the Department complete their Time Allocation sheets in good time.  Heads of Department should note that workload models do not meet the TRAC requirements unless they are robust, comprehensive and reflect reality.

   The data will need to be reviewed and authorized by the Heads of Department to ensure that the data reflects the activities of the department prior to use in the annual TRAC return. Heads of Department should ensure that staff time classified as Research in TRAC has an external sponsor, or is expected to lead to some research output.  Where there are significant levels of own funded research the Head of Department should ensure that they are satisfied that this time will lead to some research output otherwise the time should be reported as scholarship.
   

4. Guidance

   There are four appendices to this document
   

               Appendix 1:     Timetable for the first time allocation period
               Appendix 2:     Time Allocation: basic rules
               Appendix 3:     Description of activities: general principles
               Appendix 4:     The categorisation of specific activities
               Appendix 5:     Classification of Travel, Conferences and Sabbaticals

   In the event that the Appendices do not answer your queries, please contact Vicky Davis (extension: 3567, e-mail: V.Davis@bath.ac.uk)

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Appendix 1: Timetable for the first time allocation period

The timetable for Period 1 (1 August 2009 – 30 November 2009) is as follows:


End of July 2009:  Guidance Notes sent to Heads of Departments.  This will include a list of staff that are likely to take part
in the Time Allocation Exercise.



Beginning of August 2009: Notice put on Internal News page informing staff in academic departments that the new Time Allocation period starts on 1 August.  This will include a link to the guidance, optional diaries and template.


Early in December 2009: Email sent to eligible staff to inform them that time allocation data can be submitted via the web – web link provided.


Friday 8th January 2010: Deadline for returns for Period 1 to be submitted electronically

End of January 2010:  Summary data send to Heads of Department for verification and authorization.


The timetables for Period 2 (1 December 2009 – 31 March 2010) and Period 3
(1 April 2010 – 31 July 2010) will follow a similar pattern.  Details, including deadlines, will be circulated shortly before the start of each period.

Appendix 2: Time Allocation: basic rules

(a) Staff should provide hours of their ‘total effort’ rather than of their ‘notional paid hours’ under the twenty TRAC categories listed below at c.  (It is recognised that many staff carry out research, teaching-related activities and administration in ‘their own time’ and that this unpaid effort subsidises research, teaching and other activities across the University.) 


(b) An appropriate FTE value will be calculated and used in the return for any member of staff:


• with a part time contract
• who is appointed, retires or leaves during the period covered by the return
• who has a period of absence due to sickness for longer than 6 weeks
  
  

NB - No reduction in FTE needs to be made for ‘normal’ holiday periods (annual leave and bank holidays) and ‘normal’ periods of sickness (up to 6 weeks).
Replacements to cover long term sickness or maternity leave should complete time allocation sheets.

(c)  The twenty TRAC categories are:


1 .Publicly-funded Undergraduate Teaching
2. Publicly-funded Postgraduate Teaching (not PGR)

3. Non-publicly-funded Teaching

Publicly Funded Research – broken down by sponsor type/activity into:
4.         Institution/own-funded research
5.         Research Councils
6.         UK Government departments
7.         European Union
8.         PGR Supervision
Non-publicly-funded Research – broken down by sponsor type into:
9.         UK-based Charities
10.       UK Industry, Commerce & Public Corporations
11.       EU Individual Country Governments
12.       Other Overseas Sources

Other Activities - broken down into:
13.       Clinical Services
14.       Consultancy & Other Services

14. Support for Undergraduate Teaching
15. Support for Postgraduate Teaching (not PGR)
16. Support for Non-Publicly Funded Teaching

17. Support for Research

18.Support for Other


19. Professional Development & Scholarship

20.Management & Administration


Details of the general activities are included in Appendix 3, specific activities that are included in each of the twenty categories can be found in Appendix 4.

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Appendix 3: Description of Activities

General principles

ACADEMIC STAFF

Teaching
All teaching should be returned as publicly-funded undergraduate or postgraduate teaching with the exception of full cost short courses, non-credit bearing courses, courses held overseas and other commercial teaching.  (All award-bearing programmes are publicly funded; all non award-bearing programmes are non-publicly funded). 

Research
Activities returned as ‘Research’ should be consistent with the definition given in the 1994 Frascati Manual as follows:

“Research and Experimental Development (R&D) comprise creative work undertaken on a systematic basis in order to increase the stock of knowledge of man, culture and society and the use of this stock of knowledge to devise new applications.  R&D is a term covering three activities: basic research, applied research and experimental development.”

Basic research is experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundation of phenomena and observable facts, without any particular application or use in view.

Applied research is also original investigation undertaken in order to acquire new knowledge.  It is, however, directed primarily towards a specific practical aim or objective.

Experimental development is systematic work, drawing on existing knowledge gained from research and/or practical experience that is directed to producing new materials, products or devices, to installing new processes, systems and services, or to improving substantially those already produced or installed’.

Research can be a specific project, or blue skies/speculative in nature.  It may or may not have a defined sponsor.  However the time recorded as research in TRAC should either have a research sponsor, be related to PGR supervision or be expected to lead to some specific research output.  If it is unlikely to lead to some research output this time should be reported as scholarship. 

Routine testing (such as the routine testing and analysis of materials, components, products processes etc.; feasibility studies, routine software development, general purpose data collection) is excluded from R&D and should be reported as’ Other’ activities. 

Time spent on Research should be attributed to the appropriate research sponsor.  Research that has no specific external sponsor should be assigned to institution-own-funded research. However, where a research project is only partially funded by a sponsor (and the balance is met out of internal funds) then all of the time should be attributed to the research sponsor type represented by the external sponsor.  The time should not be split between the institution-own funded and external sponsor categories.  Work should only be attributed to institution-own-funded if there is no external sponsor of that project. 

Other
In TRAC, ‘Other’ has a specific meaning relating to consultancy work and other services rendered.  It should not be used for reporting general administration.  The range of activities falling into the ’Other’ category makes it harder the separate out academic from non-academic roles.  Again, if you are in doubt, contact Vicky Davis.

NON-ACADEMIC STAFF

Teaching: It is unusual but not impossible for non-academic staff’s time to be allocated to ‘Teaching’ rather than ‘Support for Teaching’.  Generally speaking, teaching-related activities carried out by non-academic staff under the direction of academic staff should be categorised as ‘Support for Teaching’.  However, an individual’s job description is the most reliable indicator of whether an activity should be considered as ‘Teaching’ or ‘Support for Teaching’.  If in doubt, contact Vicky Davis (extension: 3567; e-mail: V.Davis@bath.ac.uk).

Research: again, it is unusual but not impossible for non-academic staff time to be allocated to ‘Research’ rather than ‘Support for Research’.  All activities categorised as ‘Research’ must meet the Frascati definition of research set out above.  Again, an individual’s job description is the most reliable indicator but if doubts remain contact Vicky Davis.

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Appendix 4: The Categorisation of Specific Activities

TRAC Categories		Staff Group	Activities
Teaching	Publicly Funded Undergraduate Teaching All teaching activities associated with UK award/credit bearing courses at sub-degree or degree level including ESF, Erasmus & Tempus	Academic staff	Holding lectures, seminars, tutorials Project, workshop and laboratory supervision Preparing materials for lectures, tutorials and laboratory classes Preparing materials for an agreed new course Editing and updating course materials Organising placements and visiting placement students Preparing for, and leading, fieldwork Supervision and contact time relating to projects and dissertations and their assessment Other student contact time relating to educational matters including remedial classes Assessment, marking and examining (including external examining at own or other institutions, preparing examination papers, re-sits, orals, invigilation) Mentee/personal tutee meetings Academic counselling Outreach where teaching is the underlying activity (such as  Masterclasses)
		Non-academic staff	Please see the note on Non-academic staff in Appendix 3: General Principles.  Otherwise activities as above under Publicly Funded Teaching – Academic staff
	Publicly Funded Postgraduate Teaching All teaching activities associated with UK award/credit bearing courses at postgraduate level (but not postgraduate research students)	Academic staff	Activities as above under Publicly Funded Undergraduate Teaching – Academic
		Non-academic staff	Please see the note on Non-academic Staff in Appendix 3: General Principles.  Otherwise, activities as above under Publicly Funded Teaching  - Non-Academic staff above

 

TRAC Categories		Staff Group	Activities
Teaching	Non - Publicly Funded Teaching All teaching activities associated with non-award or non-credit bearing courses such as short courses, community courses, courses run overseas or funded directly by business / industry.	Academic staff	Activities as above under Publicly Funded Teaching – Academic
		Non-academic staff	Please see the note on Non-academic staff in Appendix 3: General Principles.  Otherwise activities as above under Publicly Funded Teaching – Academic staff

TRAC Categories		Staff Group	Activities
Research (All activities included in the 1994 Frascati definition of research)	Publicly Funded Research Institution /own funded (i.e. HEFCE QR funded or  where the research is not directed by an external sponsor, includes speculative research) Research Councils (EPSRC, BBSRC, ESRC, NERC etc.) Other UK government Departments (UK central government bodies/local authorities, health and hospital authorities) European Union (the Commission) and the European Social Fund  PGR supervision: all activities relating to the training, supervision and management (e.g. admissions) of Postgraduate research students	Academic staff	Fieldwork, laboratory, studio, desk/library work Management of projects, informal discussions, progress reports etc. Recruitment and supervision of research staff Attendance at conferences, seminars and society meetings that are directly connected with specific research projects Production of research reports (required under the terms of specific research grants), papers, books Training and supervision of PGR students including training in research methodology, review of drafts and preparation of thesis, and external examining Collaboration with other Departments where research is the underlying activity (i.e. research carried out through a Teaching Company Scheme or Knowledge Transfer Partnership) Speculative research undertaken to investigate the potential of ideas before preparing grant or contract bids or for publication
		Non-academic staff	Please see the note on Non-academic Staff in Appendix 3: General Principles.  Otherwise, activities as above under Publicly Funded Research - Academic staff above
	Non-publicly Funded Research UK-based charities UK industry, commerce and public corporations EU Other  (individual country governments) Other Overseas	Academic staff	Activities as above under Publicly Funded Research – Academic staff (except for PGR supervision which should always be reported as Publicly-Funded regardless of funding)
		Non-academic staff	Please see the note on Non-academic Staff in Appendix 3: General Principles.  Otherwise, activities as above under Publicly funded Research – Academic staff.

Note: All time reported under research should either have a research sponsor, be related to PGR supervision or be expected to lead to some specific research output otherwise the time should be reported as scholarship.

 

TRAC Category	Staff Group	Activities
Other	Academic & non-academic staff (please see the note on ‘Other’ in Appendix 3: General Principles)	Consultancy (excluding private work)  i.e. that is contracted to the institution and carried out in institutional time; including advisory work, journal editing, feasibility studies Other services rendered (OSR) including routine testing and non-research clinical trials (i.e. activities not covered under the Frascati Definition of research) Work carried out through trading units/subsidiary commercial companies that is not ‘Teaching’ or ‘Research’ Technology transfer work if remunerated through the University (e.g. directorships of start-up companies and/or consultancy contracts for the companies) – if it is not remunerated then it should be categorised as ‘Support for Other’ Outreach activity that is not ‘Teaching’ or ‘Research’ Note: private consultancy should not be included here (or anywhere)

TRAC Category	Staff Group	Activities
Support for Undergraduate Teaching (activities associated with UK award/credit bearing courses at sub-degree or degree level)	Academic staff	Timetabling Admissions work, UCAS days, open days , preparing prospectuses, interviewing, induction Schools liaison Degree ceremonies Examination Boards, SSLC, Boards of Study, Course Committees Personal tutoring (pastoral support not academic counselling or timetabled tutorials) Initial course development  (where the future of the course is uncertain – preparing for an agreed new course is ‘Teaching’) Programme development/review. Unit development/review (but subsequent updating is ‘Teaching’) Advancement of knowledge and skills relating to teaching (Higher Education Academy membership and teaching-related staff development) Writing books and other publications for teaching purposes Secondment or academic exchanges for teaching Publicity for teaching facilities and opportunities
	Non-academic staff	Support for the activities listed above under Teaching – Academic staff  and Support for Teaching – Academic staff Project, workshop and laboratory supervision of students and the preparation of materials for lectures, tutorials and laboratory classes, under the direction of academic staff Activities such as fieldwork, organising placements, laboratory and studio work related to teaching, under the direction of academic staff Note:  It is likely that non-academic staff time would be assigned to ‘Support for Teaching’ rather than ‘Teaching’ – see Appendix 3: General Principles

TRAC Category	Staff Group	Activities
Support for Postgraduate Teaching (activities associated with UK award/credit bearing courses at postgraduate level (but not postgraduate research students)	Academic staff	Timetabling Admissions work, UCAS days, open days , preparing prospectuses, interviewing, induction Schools liaison Degree ceremonies Examination Boards, SSLC, Boards of Study, Course Committees Personal tutoring (pastoral support not academic counselling or timetabled tutorials) Initial course development  (where the future of the course is uncertain – preparing for an agreed new course is ‘Teaching’) Programme development/review. Unit development/review (but subsequent updating is ‘Teaching’) Advancement of knowledge and skills relating to teaching (Higher Education Academy membership and teaching-related staff development) Writing books and other publications for teaching purposes Secondment or academic exchanges for teaching Publicity for teaching facilities and opportunities
	Non-academic staff	Support for the activities listed above under Teaching – Academic staff  and Support for Teaching – Academic staff Project, workshop and laboratory supervision of students and the preparation of materials for lectures, tutorials and laboratory classes, under the direction of academic staff Activities such as fieldwork, organising placements, laboratory and studio work related to teaching, under the direction of academic staff Note:  It is likely that non-academic staff time would be assigned to ‘Support for Teaching’ rather than ‘Teaching’ – see Appendix 3: General Principles

TRAC Category	Staff Group	Activities
Support for Non – Publicly Funded  Teaching	Academic staff	Activities as above under Publicly Funded Teaching –  Undergraduate - Academic
	Non-academic staff	Support for the activities listed above under Teaching – Academic staff  and Support for Teaching – Academic staff Project, workshop and laboratory supervision of students and the preparation of materials for lectures, tutorials and laboratory classes, under the direction of academic staff Activities such as fieldwork, organising placements, laboratory and studio work related to teaching, under the direction of academic staff Note:  It is likely that non-academic staff time would be assigned to ‘Support for Teaching’ rather than ‘Teaching’ – see Appendix 3: General Principles

TRAC Category	Staff Category	Activities
Support for Research	Academic staff	Drafting and redrafting proposals for new work and supporting bids to external bodies (note: where bids involve a significant amount of speculative research, that element can be attributed to Research) Quality assurance e.g. documentation for the RAE. Refereeing papers Research committees – Departmental, Faculty, University Advancement of knowledge and skills related to research Unpaid work advising government departments or committees, professional bodies or agencies in relation to research matters Block time in other institutions or research exchange schemes Publicity for research facilities and opportunities
	Non-academic staff	Support for the activities listed above under Research – Academic staff and Support for Research – Academic staff Activities such as fieldwork, laboratory and studio work related to research, under the direction of academic staff Staff recruitment and supervision related to research   Note: it is likely that non-academic staff time would be assigned to ‘Support for Research’ rather than ‘Research’ – see Appendix 3: General Principles

TRAC Category	Staff Category	Activities
Support for Other	All staff (academic and non-academic)	Drafting and redrafting proposals for new work and supporting bids to external bodies for consultancy and other services rendered activities (note: where bids involve a significant amount of speculative research, that element can be attributed to ‘Research’) Negotiating contract terms and conditions with external bodies Technology transfer work that is not private, nor remunerated through the institution (e.g. supporting patent applications, licence negotiations, formation of start-up companies)

TRAC Category	Staff Group	Activities
Scholarship  & continuing professional development (CPD) that cannot be attributed to Support for Teaching, Research or Other  Note: most scholarship and CPD can be attributed to Support for Teaching, Research or Other	All staff (Academic and non-academic)	Maintenance and advancement of own personal knowledge and skills (reading literature, attending professional conferences, maintaining professional or clinical skills, acquiring new skills). Consultancy that is carried out in institutional normal working hours which is done in agreement with the institution but which is not contracted to the institution i.e. private consultancy in institutional time – such as the maintenance or development of professional skills Own funded research that is unlikely to lead to research output   Note: private consultancy carried out in private time should not be included here (or anywhere)

TRAC Category	Staff Group	Activities
Management & Administration	All staff (academic & non-academic)	Management and administration including membership of/participation at faculty boards, senate, institutional committees etc. Management duties such as staff management, appraisal Publicity: representative work on behalf of the institution or department, careers advice Information returns Quality assurance contributions to the Sector e.g. on (unpaid) committees or secondments  to RAE panels (where the QA activity relates to Teaching or Research such as RAE Reviews, then it should be assigned to either Support for Teaching or Research) Secondments, exchanges, all other tasks not attributable to other TRAC categories   Note: not to be used as a dumping ground for ‘administration’ where this can be legitimately defined as Support for Teaching, Research or Other.

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Appendix 5: Classification of Travel, Conferences and Sabbaticals

Travel time should preferably be allocated in line with the purpose of the trip.  If the trip is being carried out for work for a specific project or programme then it should be directly attributed to Teaching, Research or Other as appropriate.  However, if work is being done during the travel that relates to another activity, then it should be charged to that other activity.  If neither of these applies, then the time should be attributed to Support.

Sabbatical leave carried out under research fellowships should generally be attributed to Research (unless the individual is still undertaking Teaching, Other or Support).

Time spent at conferences should be classified according to the main reason for attending:

if a (Research) paper is being presented at the conference, the time spent in preparing the paper/presentation, and in making the presentation, should be attributed to Research;

other time spent in attending the conference and participating in workshops would normally be attributed to Support for Research;

if a particular session in the conference is directly relevant to the individual’s active Research area, and the nature of the session constitutes Research activity, then the time should be attributed to Research;

time spent outside formal sessions would be treated as private time (and therefore not recorded on the time allocation schedule).  Some discussions during ‘free time’ might refer to Research matters, but these would need to be significant and constitute Research activity before the time is recorded as Research.

Time spent in preparation: 

In some cases, bid preparation involves some Research – e.g. preliminary bench work and/or literature research to test the viability of a project idea before it is offered.  If significant, that part of the bid time could be attributed to Research (institution-own-funded).

The preparation of research papers and books should be attributed to Research.

The time spent in designing and planning PGR programmes should generally be attributed to Support for Research.  Where this requires some investigation of its viability before it is offered, and this involves some Research, then part of the time can be attributed to Research.  Preparation of projects for PGRs can also involve some Research.

The preparation of teaching materials for existing courses and programmes should be attributed to Teaching.

Initial preparatory work for the development of a new course (speculative work, when the future of the course is not certain) should be attributed to Support for Teaching.

Preparation of materials for a new course (which has been agreed) should be attributed to Teaching.

References for staff should be classified as Management and Administration
References for PGR students should be classed as PGR and as support for teaching for other students.

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