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

University of Wales, Trinity Saint David Matt BriggsEleri Page

27th April 2012

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.

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 >>>

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

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

Individual characteristics recognised and protected in REF:

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)

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.

Individual staff circumstances and reduced research outputs

Panel criteria allow for reduction in research outputs in relation to:

1.Clearly defined circumstances= Clear period/s of leave during the REF period= Part time working= Early career researcher

Clearly defined circumstances

Table 1.

Table 2.

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.

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).

Activity 2: Identifying Clearly Defined & Complex Circumstances

1. Identify which of the 6 scenarios are Cleary Defined Circumstances and which are Complex Circumstances

2. Calculate reduction in outputs for Clearly Defined

• Refer to Annex 2 of REF ED COP • Refer to tables 1 & 2

Activity 3:Recognising Complex Circumstances

For each of the four scenarios:

1. Do you have any concerns?2. How would you advise the member of

staff?3. Would they be eligible for a reduction in

outputs?

Activity 4: Calculating Complex Circumstances

For each of the 4 scenarios:

1.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.