Research Excellence Framework : Equality and Diversity Working Methods and Code of Practice

1. Research Excellence Framework: Equality and Diversity Working Methods and Code of Practice University of Wales, Trinity Saint David Matt Briggs Eleri Page 27th April 2012

2. Context and aim of training • Funding bodies have embedded equality and diversity requirements into the REF. • UWTSD required to develop and work to a REF Equality and Diversity Code of Practice: • To help ensure UWTSD fulfils obligations under equalities and employment law (Equality Act 2012). • To ensure staff eligible for submission are treated fairly and are not discriminated against. • To ensure transparency, consistency, accountability and inclusivity in the selection process.

3. This session: outline of the REF Working Group’s methods • How ‘protected characteristics’ must be treated in calculating reductions in outputs: - Individual Staff Circumstances Disclosure Form. - Equality and Diversity Sub-group. - Data protection. - Tariffs for non-complex circumstances - Tariffs for complex circumstances <<<Key Difference between Quality and Equality >>>

4. Implications for your role • Understanding and observing institutional REF policies • If involved in the development of policies for the selection of staff ensuring that equality has been considered in the development of policies and procedures • Ensuring decisions on selection are purely based on research quality and not a staff members personal characteristics • Being aware of circumstances that may entitle staff to a reduction in research outputs • Considering equality provisions when discussing REF submissions with staff

5. Tariffs available for a reduction in outputs • “As a key measure to support equality and diversity in research careers individuals may be returned with fewer than 4 outputs, without penalty in the assessment, where their individual circumstances have significantly constrained their ability to produce 4 outputs or work productively throughout the assessment period” • 1 output minimum • 4 outputs maximum

6. Individual characteristics recognised and protected in REF: • Age • Disability & Ill health • Caring responsibilities (children, disabled and older people) • Gender reassignment • Marriage & civil partnership • Pregnancy & maternity • Race • Religion & belief • Sex (including breastfeeding) • Sexual orientation • Welsh language • Paternity and adoption • Part-time and fixed-term employment status • Early career researchers

7. Disclosure of Individual Staff Circumstances. = Individual Staff Circumstances Disclosure Form: • 23rd April, circulated to all research active staff • Return by 3rd May. • Letter describing process. • Approved by ECU / EDAP. • Resubmit if circumstances arise until Oct 2013. • Data protection: • A statement and declaration is included on the Disclosure form. Data will be limited to used for REF purposes as outlined in the REF E&D CoP (S18)

8. Ensuring confidentiality • Internally: • Sensitive data will be limited internally to the Equality and Diversity Sub-Group. • A request to discuss these circumstances with Human Resources can be made on the disclosure form. • Externally: • Sensitive data in ‘clearly defined circumstances’ will be seen by the relevant REF sub-panel, REF panel secretariat and REF Team. • Sensitive data in ‘complex circumstances will be seen by EDAP, REF Main Panel Chairs, and REF Team. • If necessary, data may be shared with institutions with whom joint submissions are made.

9. Individual staff circumstances and reduced research outputs • Panel criteria allow for reduction in research outputs in relation to: • Clearly defined circumstances • Clear period/s of leave during the REF period • Part time working • Early career researcher

10. Clearly defined circumstances Table 1. Table2.

11. Complex Circumstances • 2. More complex circumstances: • Allows for disruption to research of an ongoing or sporadic nature during the REF period due to an equality related reason although may include a clearly defined periods of leave. • Disability. • Ill-health or injury. • Mental health conditions. • Constraints due to pregnancy, maternity, paternity, adoption or childcare. • Other caring responsibilities (e.g. disabled parent or spouse). • Gender reassignment.

12. Reductions for complex circumstances • Collected confidentially in form REF 1b: • Estimate of how many months absent or significantly ..….constrained by the protected characteristics. • Reduction calculated by E&D Sub-group on basis of ….Table 2. • Requests for complex circumstances considered by the …REF Equality and Diversity Advisory Panel. • Chairs, REF WG, E&D Committee, Director of HR, REF PM • Sub-Panels will be informed of the decision. • Worked examples on ECU website.(www.ecu.ac.uk).

13. Activity 2: Identifying Clearly Defined & Complex Circumstances • Identify which of the 6 scenarios are Cleary Defined Circumstances and which are Complex Circumstances • Calculate reduction in outputs for Clearly Defined • Refer to Annex 2 of REF ED COP • Refer to tables 1 & 2

14. Activity 3:Recognising Complex Circumstances For each of the four scenarios: Do you have any concerns? How would you advise the member of staff? Would they be eligible for a reduction in outputs?

15. Activity 4: Calculating Complex Circumstances • For each of the 4 scenarios: • Determine the number of outputs that are likely to be required. • Consider the overall period of time that ability to conduct research was affected (i.e. the effects on the research) and absence from work. • Effectiveness of reasonable adjustments that have been put in place to support the researcher.