Presentation by Christine Nightingale (REF Equalities and Diversity Advisory Panel and Head of Equality and Diversity, De Montfort University) at the Vitae event 'Preparing for the Research Excellence Framework: Researcher development, the environment and future impact' on 11 July 2012 in Manchester www.vitae.ac.uk/preparingfortheref

1. Supporting and Promoting Equality
and Diversity Through REF
Dr Christine Nightingale, REF E&D Advisory
Panel (EDAP)

2. Outline
• Change in Equality legislation.
• The Equality considerations adopted by REF.
• The Equality and Diversity Advisory Panel.
• Codes of Practice.
• Procedures for staff individual and complex
circumstances.

3. Changing equalities context
= Since RAE 2008, equality law has been
strengthened and streamlined in England, Scotland
and Wales with the introduction of the Equality Act
2010.
– Change in types of conduct that are prohibited
– Types of prohibited conduct more in line with Northern Ireland
equalities law.
= Broader range of individual characteristics that
need to be consider in HEIs’ REF work to ensure
fair selection of staff.

4. Individual characteristics recognised in
REF
= Age = Sex (including
= Disability breastfeeding)
= Caring responsibilities = Sexual orientation
(children, disabled and = Welsh language (Wales
older people) only)
= Gender reassignment = paternity and adoption
= Marriage & civil partnership = Part-time and fixed-term
= Political opinion (NI only) employment status
= Pregnancy & maternity = Early career researchers
= Race = Junior clinical academic
= Religion & belief (without CCT)

5. • ‘A key success marker as a researcher is getting four
REF submittable papers – 3–4 star minimum in our HEI
– there is no accommodation for disability ... Career
promotion is dependent on a number of markers,
including presentation of research to conferences, etc. I
find travel problematic, very tiring, so I don’t attend as
many as my able-bodied colleagues – to my detriment
on this ‘success’ marker. Being able to work extra hours
– evenings and weekends – is pretty much essential at
my level of responsibility, which I find very hard to do
and not aggravate my disabilities.’ (ECU 2011:32
http://www.ecu.ac.uk/enabling-equality-furthering-
disability-equality-for-staff-in-HE.pdf )

6. = Because of the RAE academics have to produce so
many books and articles in a given time- there is
pressure to turn them out ... It is a nightmare. ... The
traditional route is not dyslexia friendly. .. I decided it
wasn’t worth the effort...
= I’m leaving academia. I’ve no desire to stay in a sector
that is so passive-aggressive towards those with
disabilities. .. Other sectors are more helpful, realistic
and welcoming...
= (‘From compliance to culture change’, NIACE 2008: 89
http://www.niace.org.uk/sites/default/files/from-
compliance-to-culture-change-final-report-
summary.pdf)

7. Lessons from the Research
Assessment Exercise 2008
= Report into ‘Selection of staff for inclusion in RAE
2008’:
– Selection rate for staff with declared disability lower than for staff
without declared disability.
– 67% of male permanent academic staff selected in comparison to
48% of women.
– Women aged 30-50 particularly low rate of selection.
– Selection rate of staff from the black ethnic group lower than for
staff from other ethnic groups.
Source: www.hefce.ac.uk/pubs/hefce/2009/09_34

8. Overall approach in REF
• Equalities firmly embedded through new Equality
and Diversity Advisory Panel (EDAP). Focus on
promotion, not just taking account of E&D.
• Much more consistency across panels.
• Only minor role for citations.
• Strengthened procedures for developing (and
auditing) Codes of Practice.
• Improved procedures for handling individual staff
circumstances.
• Improved post-exercise monitoring of staff
selection at sector level.

9. Codes of Practice
• Main purpose is to ensure that HEIs have in place fair and
transparent process for staff selection.
• Must address transparency, consistency, accountability and
inclusivity.
• Must be accessible.
• Must be signed off by Head of HEI and submitted to REF
team by 30 April 2012 or 31 July 2012.
• Are being reviewed by EDAP for adherence to guidance and
adoption of fair and transparent process.
• Refer to Equality Impact Assessment.
• Must be published on HEI website.
• Will be published on REF website in March 2015.

10. Disclosure within HEIs
• REF team advise proactive approach
• Recommend using central group to assess
cases and advise on decisions to protect
confidentiality where possible
• ECU have developed proforma for staff
disclosure.

11. 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
= Maternity, paternity and adoptive leave, secondments and career breaks.
= Early career researcher/ Junior clinical academics without CCT
– More complex circumstances
= Allows for disruption to research of an ongoing or sporadic nature during the REF
period due to an equality related reason.
= Disability, ill health, injury, mental health conditions, constraints relating to
maternity, paternity and adoption, carers responsibility, gender reassignment and
other related circumstances or activities protected by employment legislation.
= May include a clearly defined periods of leave.
– Cannot take onto account
= Work loading.
= Line management issues.

12. Submission of information
• Clearly defined circumstances
– Use REF 1b to describe circumstances, time periods,
etc (200 words).
• More complex circumstances
– Use REF 1b (300 words) to describe circumstances,
timing, effect on contracted hours and on ability to
work productively, and rationale for no. of outputs.
– Example cases on ECU website to provide guidance on
how to structure information and EDAP’s likely
response. http://www.ecu.ac.uk/documents/ref-
materials/complex-circumstances-examples

13. Reduced numbers of outputs
• Guidance on Submissions and Criteria proposed
tariffs for reduction in outputs in relation to:
– ECRs: Determined by date become independent
researchers, after 1 August 2009
– Statutory maternity or adoption leave
– Additional paternity or adoption leave
– Other clearly defined circumstances
• Tariffs can also be used to guide judgements for
more complex circumstances

14. How EDAP will feed into the
assessment process
• Will make judgements on extent to which complex
circumstances affected ability to carry out research
(not just on contracted hours).
• May need to request further information via REF team
or request audit.
• Will advise Main Panel Chairs (through REF team) on
recommendations, and rationale for these given
disclosed circumstances.
• Information confidential to EDAP, REF team and Main
Panel Chairs.
• Sub-panels will be informed of decisions and will assess
remaining outputs without any penalty.

15. Summary of EDAP responsibilities
• Work with ECU on training materials and worked
examples.
• Assess Codes of Practice.
• Consider cases of complex individual circumstances.
• Make recommendations to Main Panel Chairs.
• Chair will attend Main Panel meetings to describe
approach and procedures adopted, as necessary.
• Provide any other advice to REF team or Panels on E&D
related matters.
• Advise on post-exercise monitoring / evaluation.

16. Implications for you
= 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.
= Spreading the word to colleagues – who may be unaware that
they could submit with reduced outputs.