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

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: =23 rd April, circulated to all research active staff =Return by 3 rd 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: 1.Clearly defined circumstances =Clear period/s of leave during the REF period =Part time working =Early career researcher

10. Clearly defined circumstances Table 1. Table 2.

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 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

14. 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?

15. 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.