1. Supporting & promoting Equality & Diversity through REF Dianne Berry, Chair REF E&D Advisory Panel Ellen Pugh, Senior Policy Officer ECU

2. Outline Lessons learned from RAE 2008 Overall approach in REF Codes of Practice Equality Impact Assessments Individual staff circumstances Consultation and discussion

3. Lessons learned from RAE Outcomes of RAE evaluation suggested need: – More consistency across panels in criteria and processes relating to individual staff circumstances – Better (REF specific) training – Proactive proforma-based procedure for disclosing individual staff circumstances – Better communication of Codes of Practice – More timely appeals processes – To use next exercise to promote E&D more

4. Overall approach in REF Equalities embedded – Equality and Diversity Advisory Group / Panel (EDAP) – Promotion of equality and diversity through environment template HEIs required to develop, document and apply Code of Practice on staff selection to: – Ensure work of ALL excellent researchers, regardless of individual staff circumstances considered for submission – Help them comply with equality legislation – Avoid inadvertent discrimination Review of effectiveness of measures through post- exercise monitoring of staff selection at sector level

5. Individual staff circumstances covered in REF Age Disability (including carers of disabled people) Gender reassignment Marriage & civil partnership Pregnancy & maternity Race Religion or belief Sex (including breastfeeding and childcare) Sexual orientation Part-time and fixed-term employment status

6. Codes of practice Must be signed off by Head of HEI and submitted to REF team by July 2012 Will be reviewed by EDAP in advance of submission deadline Will be published with submissions at end of process

7. Underlying principles Code should demonstrate fairness to staff by addressing following principles: – Transparency – Consistency – Accountability – Inclusivity

8. What needs to be included Information on staff and committees responsible for staff selection, including terms of reference, role definitions, and training undertaken Information on criteria (and any thresholds) to be used, how communicated, feedback to staff, appeals process, and timescales ECU publishing guidance on their website

9. Equality Impact Assessments Required to conduct EIA on policy & procedures for selecting staff to determine whether selection policy may have differential impact on particular groups Should inform Code of Practice and be kept under review as submissions prepared Should be informed by analysis of range of data, including (eligible and submitted) staff data in respect of protected characteristics for which data available Should reviewed in light of mock exercises, appeals, and final submission Further information on ECU website

10. Individual staff circumstances Clearly defined circumstances – ECRs, Part-time working, maternity, paternity or adoptive leave, secondments or career breaks More complex circumstances – Disability, ill-health or injury, mental health conditions, constraints relating to pregnancy or maternity in addition to clearly defined period of leave, caring responsibilities, gender reassignment, other circumstances related to protected characteristics

11. Staff disclosure REF team advise proactive approach Recommend using central group to assess cases and advise on decisions HEIs will need to consider confidentiality in procedures for staff disclosure ECU developing suggested proforma for staff disclosure

12. Consideration of individual staff circumstances Clearly defined circumstances – Panel secretariat will examine cases and advise sub- panel on whether submitted no. of outputs is appropriate – Information seen by Sub-panel, and REF team More complex circumstances – Considered by EDAP who will advise main panel chairs on whether submitted no. of outputs is appropriate – Information seen by EDAP, main panel chairs & REF team

13. 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

14. Reduced outputs Proposed tariffs allow for reduction in outputs in relation to: – ECRS - determined by date become independent researcher during the census period – Other clearly defined circumstances –reduction in contracted hours / FTE worked over census period – Complex circumstances – as above but allowing for panel judgement on full circumstances including overall effects on research productivity

15. Consultation questions Overall processes for determining number of outputs that may be reduced without penalty Whether tariffs for number of outputs set at appropriate levels Proposed options for taking account of pregnancy and maternity Whether consistent approach across panels is appropriate

16. Pregnancy & maternity consultation 1.Handled in same way as other clearly defined circumstances (i.e. Need at least 14 months to qualify for reduction in outputs, unless other (complex) circumstances apply); or 2.Each period of leave merits reduction of one output