Guidance on codes of practice

This document sets out the guidance to UK higher education institutions about submitting codes of practice in REF 2021. It is published alongside the ‘Guidance on submissions’ (REF 2019/01).

REF 2019/03January 2019

To Heads of higher education institutions in the UK

Of interest to those responsible for Research

Reference REF 2019/03

Publication date January 2019

Enquiries from staff at UK higher education institutions Email your institutional REF contact. (These are listed at www.ref.ac.uk under Contact.)

Other enquiries Hannah Daisley, tel 0117 931 7486, email info@ref.ac.uk

Guidance on codes of practice

Executive summaryPurpose

1. This document sets out guidance on drawing up a code of practice on:

• thefairandtransparentidentificationofstaffwith significantresponsibilityforresearch

• determiningwhoisanindependentresearcher• theselectionofoutputs.

Key points

2. Eachinstitutionmakingasubmissionisrequiredtodevelop, document and apply a code of practice on the fair and transparentidentificationofstaffwithsignificantresponsibilityfor research (where a higher education institute (HEI) is not submitting100percentofCategoryAeligiblestaff);determiningwhoisanindependentresearcher;andtheselectionofoutputs,includingapproachestosupportingstaffwithcircumstances.

3. Bothasemployersandpublicbodies,HEIsneedtoensurethat their REF procedures do not discriminate unlawfully against,orotherwisehavetheeffectofharassingorvictimisingindividualsbecauseofage,disability,genderidentity,marriageandcivilpartnership,race,religionorbelief,sexorsexualorientationorbecausetheyarepregnantorhaverecentlygivenbirth.Inaddition,inNorthernIreland,HEIsmustensurethattheir procedures do not discriminate on the grounds of political opinion.Notwithstandingtheguidanceandrequirementsofthisdocument,thisremainsadirectresponsibilityofeachHEI.

4. In developing and implementing their codes of practice, institutionsshouldbearinmindtheprinciplesbehindthekeypolicydecisionsregardingstaff,inparticulartherequirement thatHEIssubmitallstaffwithsignificantresponsibilityforresearch. This change was introduced in response to concerns thatselectingstaffinpreviousassessmentexerciseshadpotentiallydeleteriouseffectsonindividuals,theircareer choices, progression and morale.

5. The guidance set out in this document is intended to assist HEIs in drawing up a code of practice that frames their decision-makingprocessesinrelationtoREF2021inthecontextoftheprinciplesofequalityanddiversity,andallrelevantlegislation.

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6. Thedeadlineforsubmittingcodesofpracticeisnoon,7June2019.TheEqualityandDiversityAdvisoryPanel(EDAP)willexaminethecodesandadvisetheUKfundingbodiesontheiradherencetotheguidance,priortoapprovalandpublication.Allsubmittedandapprovedcodesofpracticewillbepublishedbeforethesubmissiondeadline.TheprovisionalpublicationdateisDecember2019.

Action required

7. This document is for information and to guide institutions in drawing up and implementingacodeofpractice.NoactionisrequiredbyHEIsatthisstage.

Further information

8. FurtherinformationabouttheREFisavailableatwww.ref.ac.uk.

9. EnquiriesfrommembersofstaffatUKHEIsshouldbedirectedinthefirstinstancetotheir institutional REF contact. These contacts for each institution are listed at www.ref.ac.uk under Contact.

10.Otherenquiriesshouldbeaddressedtoinfo@ref.ac.uk. 

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Introduction

11. The purpose of this guidance document is to support institutions in drawing up and implementingacodeofpracticeon:thefairandtransparentidentificationofstaffwithsignificantresponsibilityforresearch;determiningwhoisanindependentresearcher;andtheselectionofoutputs,includingapproachestosupportingstaffwithcircumstances.Thiswillaidinstitutionsintheirresponsibilitiesinrespectofpromotingequalityanddiversity,complyingwithlegislationandavoidingdiscrimination,whenpreparingsubmissionsto the REF.

12. Eachinstitutionmakingasubmissionisrequiredtodevelop,documentandapplyacode of practice on determining who is an independent researcher and the selection of outputsintheirREFsubmissions.Thoseinstitutionsnotsubmitting100percentofCategoryAeligiblestaffwillberequiredtoincludeinthecodeofpracticethecriteriaandprocesses,agreedwithstaff,foridentifyingstaffwithsignificantresponsibilityforresearch.Thecodeofpracticeshouldbeeffectivefromthepointatwhichitisapproved.Onmakingsubmissions,theheadofinstitutionwillberequiredtoconfirmadherencetothiscode.

13. Thefundingbodiesrequirethatinstitutions’codesofpracticebesubmittedtotheREFteambynoon,7June2019.EDAPwillexaminetheseandwillprovideadvicetothefundingbodiesonapprovingthecodes.Therewillbeanopportunityforinstitutionstorevisecodeswheretheneedisidentifiedaspartoftheapprovalprocess.Wewillpublishapprovedcodesofpracticebytheendof2019.

14. IfanHEIidentifiesanexceptionalneedtomakesignificantchangestothecontentofitscodeofpracticeafterithasbeenapprovedbytherelevantfundingbody,theHEImustprovidearevisedcodetotheREFteam.Finalversionsofcodesofpracticewillbecollectedfromallsubmittinginstitutionsinearly2021,forpublicationalongwiththesubmissions in 2022.

15. EDAPmayalsorefertoanHEI’scodeofpracticewhenprovidingadvicetothesub-panelsontheirassessmentofthe‘People’sectionoftheenvironmentstatement(REF5b)andmayusethisasabasisforaudit,wherenecessary.

16.WehavedevelopedtheguidancetoinstitutionssetoutbelowwithadvicefromEDAP.Itis intended to assist HEIs in drawing up a code of practice that frames their decision-making processesinrelationtoREF2021inthecontextoftheprinciplesofequalityanddiversity,andallrelevantlegislation.HowevercompliancewiththeirlegalobligationsinthisarearemainstheresponsibilityofeachHEI.

17.WeunderstandthatmostinstitutionstakingpartinREF2021willhavesubmittedacodeofpracticeonstaffselectionaspartofthe2014exercise.WhilethechangestothesubmissionprocessforREF2021requireinstitutionstofocustheircodesdifferently,inmostcasesweconsidertherewillbeaspectsofpreviouscodesthatparticipatinginstitutionswillbuilduponforthisexercise.Werecommendinstitutionsconsulttheoverviewreportwhichidentifiedareasofgoodpracticefoundinthe2014exercise(http://www.ref.ac.uk/2014/pubs/refcodesofpracticegoodpracticereport/#d.en.75885),asanaidtodevelopment.Wealso encourage institutions to review their REF 2014 impact assessments and any actions thattheycommittedtothatwereidentifiedthroughthatprocess.

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The legislative context

18. TheEqualityAct2010harmonisedandconsolidatedpreviousanti-discriminationlegislation.TheActcoverstheprotectedcharacteristicsof:

• age• disability• genderreassignment• marriageandcivilpartnership• pregnancyandmaternity• race• religionandbelief• sex• sexualorientation.

19. AswellasprohibitingdirectdiscriminationtheActprohibitsindirectdiscrimination–thatisfollowingapolicythat,althoughappliedequallytoeveryone,isharderforthose withaprotectedcharacteristictocomplywith.Indirectdiscriminationisnotabreachof theActifitisaproportionatemeansofachievingalegitimateaim.Directdiscriminationonthegroundsofagewillnotbeunlawfulifitisaproportionatemeansofachievingalegitimate aim.

20.Withtheexceptionsofmarriageandcivilpartnershipandpregnancyandmaternity,protectionfromdiscriminationextendstopeoplewhoareperceivedtohaveorareassociatedwithsomeonewhohasaprotectedcharacteristic.Forexample,ifaresearcheristreatedlessfavourablybecausetheycarefortheirdisabledparent,thatcouldbeunlawfuldisabilitydiscrimination.

21. Similarlytopreviouslegislation,itislawfultotreatadisabledpersonmorefavourablythananon-disabledperson,andpublicbodiesincludingHEIsarerequiredtomakereasonableadjustmentsfordisabledpeople.

22. TheEqualityActplacesrequirementsonthefundingbodiesaspublicsectororganisationsandonHEIsaspublicsectororganisationsandemployers.MostoftheAct,asitrelatestopublicfunctionsandemployment,cameintoforceinOctober2010.TheActcoversEngland,ScotlandandWales.Apartfromminorprovisions,NorthernIrelandisnotcoveredbytheAct.

23. ThepublicsectorequalitydutyoftheActcameintoforceinApril2011.Underthepublicsectorequalityduty,thehighereducation(HE)fundingbodiesandHEIsinEngland,ScotlandandWales,incarryingouttheirfunctions,musthavedueregardtotheneedto:

a. Eliminate discrimination, harassment, victimisation and any other conduct that is prohibitedbyorundertheAct.

b. Advanceequalityofopportunitybetweenpersonswhosharearelevantprotectedcharacteristic and persons who do not share it.

c. Fostergoodrelationsbetweenpersonswhosharearelevantprotectedcharacteristicand persons who do not share it.

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24. (Inthiscontexta‘relevant’protectedcharacteristicisoneotherthanmarriageandcivilpartnership.)

25. TherearespecificdutiesinforceforEngland,ScotlandandWales,tomeetthepublicsectorequalityduty:inEngland,theEqualityAct2010(SpecificDutiesandPublicAuthorities)Regulations2017;inScotland,theEqualityAct2010(SpecificDuties)(Scotland)Regulations2012,andAmendmentRegulations2015and2016;inWales,theEqualityAct2010(StatutoryDuties)(Wales)Regulations2011.

26. ThescopeofequalitylegislationinNorthernIrelandissimilartotheEqualityAct.Inaddition, it is unlawful to discriminate against people on the grounds of political opinion. Section75oftheNorthernIrelandAct1998alsoplacesastatutoryobligationontheDepartmentfortheEconomyNorthernIrelandandHEIsinNorthernIrelandincarryingouttheirpublicfunctionstohavedueregardtotheneedtopromoteequalityofopportunity:

• betweenpersonsofdifferentreligiousbelief,politicalopinion,racialgroup, age,maritalstatusorsexualorientation;

• betweenmenandwomengenerally;• betweenpersonswithadisabilityandpersonswithout;and• betweenpersonswithdependantsandpersonswithout.

Funding bodies’ legal responsibilities27. Inordertodemonstratecompliancewiththepublicsectorequalityduty,andsection75oftheNorthernIrelandAct,theHEfundingbodiesneedtoconsiderandunderstandtheimpactoftheirpoliciesonequality.ThefundingbodieshaveconsideredtheequalityimpactofpreviousexercisesinthedevelopmentoftheREF,andequalityhasbeenembeddedintoallrelevantelementsoftheREF.Thefundingbodieswillpublishananalysisexamininganyequalityimpactsatsectorleveltoinformtheirfuturework.

HEIs’ legal responsibilities28. ThefundingbodieshavemadeeveryefforttotrytoeliminateanyincentivestowardsdiscriminatorypracticesbyHEIsintheprocess,buttotheextentthatthereareanysuchinadvertentincentives,itisHEIs’responsibilityasemployersandpublicbodiestoensurethat they avoid engaging in discriminatory practices.

29.Bothasemployersandpublicbodies,HEIsneedtoensurethattheirREFproceduresdonotdiscriminateunlawfullyagainst,orotherwisehavetheeffectofharassingorvictimisingindividualsbecauseofage,disability,genderidentity,marriageandcivilpartnership,race,religionorbelief,sexorsexualorientationorbecausetheyarepregnantorhaverecentlygivenbirth.Inaddition,inNorthernIreland,HEIsmustensurethattheirproceduresdonotdiscriminate on the grounds of political opinion.

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30.WhendevelopingtheirREFprocedures,HEIswillalsoneedtobemindfulthatunderfixed-termemployeeandpart-timeworkersregulations,fixed-termemployeesandpart-timeworkershavetherightnottobetreatedbyanemployeranylessfavourablythantheemployertreatscomparableemployeesonopencontractsorfull-timeworkers.Therelevant regulations are:

• Part-timeWorkers(PreventionofLessFavourableTreatment)Regulations2000• Part-timeWorkers(PreventionofLessFavourableTreatment)Regulations

(NorthernIreland)2000• Fixed-termEmployees(PreventionofLessFavourableTreatment)Regulations2002• Fixed-termEmployees(PreventionofLessFavourableTreatment)Regulations

(NorthernIreland)2002.

31. Aspublicsectororganisations,inordertoshowcompliancewiththerequirementsofthepublicsectorequalitydutyintheEqualityAct2010,HEIsinEngland,ScotlandandWalesneedtoconsiderandunderstandtheeffectoftheirREFpoliciesonequality.EqualitieslegislationinScotland,NorthernIrelandandWalesplacesaspecificdutyonHEIstoconductequalityimpactassessments(EIAs)onnewandexistingpolicies,andonHEIsinEnglandtoshowdueregardtothegeneralduty.Consequently,thefundingbodiesrequireallHEIstoconductEIAsontheirpoliciesforselectingstafffortheREF.

Summary of legislation32.Asummaryoftheequalitylegislationwithwhichinstitutionshavetocomplygenerally,andwhichtheyshouldtakeintoaccountwhenpreparingREF2021submissions,isincludedinTable1.Panelchairs,members,advisersandsecretarieshavereceivedabriefingaboutthis legislation to inform their development of the panel criteria and working methods. The‘EqualitybriefingforREFpanels’isavailableatwww.ref.ac.uk,underPublications.

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Table 1: Summary of equality legislation

Age AllemployeeswithintheHEsectorareprotectedfromunlawfulagediscrimination, harassment and victimisation in employment under theEqualityAct2010andtheEmploymentEquality(Age)Regulations(NorthernIreland)2006.Individualsarealsoprotectediftheyareperceivedtobeoriftheyareassociatedwithapersonofaparticular age group.

Agediscriminationcanoccurwhenpeopleofaparticularagegrouparetreatedlessfavourablythanpeopleinotheragegroups.Anagegroupcouldbe,forexample,peopleofthesameage,theunder30sorpeopleaged45-50.Apersoncanbelongtoanumberofdifferentagegroups.

Agediscriminationwillnotbeunlawfulifitisaproportionatemeansofachievingalegitimateaim.However,inthecontextoftheREF,theviewofthefundingbodiesisthatifaresearcherproducesexcellentresearchanHEIwillnotbeabletojustifynotselectingtheiroutputsbecauseoftheirage group.

It is important to note that early career researchers (ECRs) are likely to comefromarangeofagegroups.ThedefinitionofECRusedintheREF(see’Guidanceonsubmissions’,paragraphs148to149)isnotlimitedtoyoung people.

HElsshouldalsonotethat,givendevelopmentsinequalitieslawinthe UKandEurope,thedefaultretirementagehasbeenabolishedfrom 1October2011inEngland,Scotland,WalesandNorthernIreland.

Disability TheEqualityAct2010,theDisabilityDiscriminationAct(1995)(NorthernIrelandonly)andtheDisabilityDiscrimination(NorthernIreland)Order2006 prevent unlawful discrimination, victimisation and harassment relat-ingtodisability.Individualsarealsoprotectediftheyareperceivedtohaveadisabilityoriftheyareassociatedwithapersonwhohasadisabil-ity(forexample,iftheyareresponsibleforcaringforafamilymemberwithadisability).

Apersonisconsideredtohaveadisabilityiftheyhaveorhavehadaphysicaland/ormentalimpairmentwhichhas‘asubstantialandlong-termadverseeffectontheirabilitytocarryoutnormalday-to-dayactivities’.Long-termimpairmentsincludethosethatlastorarelikelytolast for at least 12 months.

Cancer, HIV, multiple sclerosis and progressive/degenerative conditions are disabilitiestoo,eveniftheydonotcurrentlyhaveanadverseeffectonthecarryingoutofday-to-dayactivities.Animpairmentwhichismanagedbymedicationormedicaltreatment,butwhichwouldhavehadasubstantialandlong-termadverseeffectifnotsomanaged,isalsoadisability.

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Disability ThedefinitionofdisabilityisdifferentinNorthernIrelandinthatalistofday-to-day activities is referred to.

Thereisnolistofday-to-dayactivitiesforEngland,ScotlandandWalesbutday-to-dayactivitiesaretakentomeanactivitiesthatpeoplegenerally,notaspecificindividual,carryoutonadailyorfrequentbasis.

Whilethereisnodefinitivelistofwhatisconsideredadisability,itcoversa wide range of impairments including:

• sensoryimpairments• impairmentswithfluctuatingorrecurringeffectssuchas

rheumatoid arthritis, depression and epilepsy• progressiveimpairments,suchasmotorneuronedisease,

muscular dystrophy, HIV and cancer• organspecificimpairments,includingrespiratoryconditions

and cardiovascular diseases• developmentalimpairments,suchasautisticspectrumdisorders

anddyslexia• mentalhealthconditionssuchasdepressionandeatingdisorders• impairmentscausedbyinjurytothebodyorbrain.

ItisimportantforHElstonotethatpeoplewhohavehadapastdisabilityare also protected from discrimination, victimisation and harassment becauseofdisability.

EqualitylawrequiresHElstoanticipatetheneedsofpeoplewithdisabilitiesandmakereasonableadjustmentsforthem.Failuretomakearea-sonableadjustmentconstitutesdiscrimination.Ifaresearcher’simpairmenthasaffectedthequantityoftheirresearchoutputs,thesubmittingunitmayreturnareducednumberofoutputs(see‘Guidanceonsubmissions’,Part3,Section1,‘Staffcircumstances’).

Gender reassignment

TheEqualityAct2010andtheSexDiscrimination(GenderReassignment)Regulations(NorthernIreland)1999protectfromdiscrimination,harassment and victimisation of trans people who have proposed, startedorcompletedaprocesstochangetheirsex.StaffinHEdonothavetobeundermedicalsupervisiontobeaffordedprotectionbecausetheyaretransandstaffareprotectediftheyareperceivedtobeundergoingorhaveundergonerelatedprocedures.Theyarealsoprotected if they are associated with someone who has proposed, is undergoing or has undergone gender reassignment.

Trans people who undergo gender reassignment will need to take time offforappointmentsand,insomecases,formedicalassistance.Thetransition process is lengthy, often taking several years, and it is likely to beadifficultperiodforthetranspersonastheyseekrecognitionoftheirnew gender from their family, friends, employer and society as a whole.

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Gender reassignment

TheGenderRecognitionAct2004gaveenhancedprivacyrightstotranspeoplewhoundergogenderreassignment.Apersonactinginanofficialcapacitywhoacquiresinformationaboutaperson’sstatusasatranssexualmaycommitacriminaloffenceiftheypasstheinformationto a third party without consent.

Consequently,staffwithinHElswithresponsibilityforREFsubmissionsmustensurethattheinformationtheyreceiveaboutgenderreassignment is treated with particular care.

Ifastaffmember’sabilitytoworkproductivelythroughouttheREFassessmentperiodhasbeenconstrainedduetogenderreassignment,theunitmayreturnareducednumberofresearchoutputs(see‘Guidanceonsubmissions’,Part3,Section1,‘Staffcircumstances’).Informationaboutthememberofstaffwillbekeptconfidentialasdescribedin‘Guidanceonsubmissions’,paragraph195.

HEIs should note that the Scottish government recently consulted on, and the UK government is currently consulting on, reform of the Gender RecognitionAct2004,whichmayincludestreamliningtheproceduretolegally change gender.

Marriage and civil partnership

UndertheEqualityAct2010andtheSexDiscrimination(NorthernIreland) Order 1976 as amended, individuals are protected from unlawful discrimination, harassment and victimisation on the grounds of marriage and civil partnership status. The protection from discrimination is to ensure that people who are married or in a civil partnership receive thesamebenefitsandtreatmentinemployment.Theprotectionfromdiscrimination does not apply to single people.

HEls must ensure that their procedures and decision-making processes inrelationtoREF2021donotinadvertentlydiscriminateagainststaffwho are married or in civil partnerships.

Political opinion

TheFairEmploymentandTreatment(NorthernIreland)Order1998protectsstafffromunlawfuldiscriminationonthegroundsof political opinion.

HEls must ensure that their procedures and decision-making processes inrelationtoREF2021donotinadvertentlydiscriminateagainststaffbasedontheirpoliticalopinion.

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Pregnancy and maternity

UndertheEqualityAct2010andtheSexDiscrimination(NorthernIreland) Order 1976 women are protected from unlawful discrimination, harassment and victimisation related to pregnancy and maternity.

Consequently,whereresearchershavetakentimeoutofwork,ortheirabilitytoworkproductivelythroughouttheassessmentperiodhasbeenaffected,becauseofpregnancyand/ormaternity,thesubmittingunitmayreturnareducednumberofresearchoutputs,assetoutin‘Guidanceonsubmissions’,paragraphs169to172.

In addition, HEls should ensure that female researchers who are pregnantoronmaternityleavearekeptinformedaboutandincludedintheirsubmissionsprocess.

For the purposes of this summary it is important to note that primary adopters have similar entitlements to women on maternity leave.

Race TheEqualityAct2010andtheRaceRelations(NorthernIreland)Order1997protectHEIstafffromunlawfuldiscrimination,harassmentandvictimisationconnectedtorace.Thedefinitionofraceincludescolour,ethnic or national origins or nationality. Individuals are also protected iftheyareperceivedtobeorareassociatedwithapersonofa particular race.

HEls must ensure that their procedures and decision-making processes inrelationtoREF2021donotdiscriminateagainststaffbasedontheirraceorassumedrace(forexample,basedontheirname).

Religion and belief including non-belief

TheEqualityAct2010andtheFairEmploymentandTreatment(NorthernIreland)Order1998protectHEIstafffromunlawfuldiscrimination,har-assmentandvictimisationrelatedtoreligionorbelief.Individualsarealsoprotectediftheyareperceivedtobeorareassociatedwithapersonofaparticularreligionorbelief.

HEls must ensure that their procedures and decision-making processes inrelationtoREF2021donotdiscriminateagainststaffbasedontheiractualorperceivedreligionorbelief,includingnon-belief.‘Belief’includesanystructuredphilosophicalbeliefwithclearvaluesthathasaneffectonhow its adherents conduct their lives.

Sex (including breastfeeding and additional paternity and adoption leave)

TheEqualityAct2010andtheSexDiscrimination(NorthernIreland)Order1976protectHEIstafffromunlawfuldiscrimination,harassmentandvictimisationrelatedtosex.Employeesarealsoprotectedbecauseoftheirperceivedsexorbecauseoftheirassociationwithsomeoneofaparticularsex.

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Sex (including breastfeeding and additional paternity and adoption leave)

ThesexdiscriminationprovisionsoftheEqualityActexplicitlyprotectwomenfromlessfavourabletreatmentbecausetheyarebreastfeeding.Consequently,theimpactofbreastfeedingonawoman’sabilitytoworkproductivelywillbetakenintoaccount,assetoutin‘Guidanceonsubmissions’,Part3,Section1,‘Staffcircumstances’.

If a mother who meets the continuity of employment test wishes to returntoworkearlyorshortenhermaternityleave/pay,shewillbeentitled to shared parental leave with the father or her partner within thefirstyearofthebaby’sbirth.Partnersmayalsobeeligibleforsharedparental leave or pay. Fathers/partners who take additional paternity or adoption leave will have similar entitlements to women on maternity leaveandbarriersthatexisttotakingtheleave,orasaresultofhavingtakenit,couldconstituteunlawfulsexdiscrimination.Consequently,where researchers have taken additional paternity and adoption leave, thesubmittingunitmayreturnareducednumberofoutputs,assetoutin‘Guidanceonsubmissions’,AnnexL.

HElsneedtobewaryofimplementingproceduresanddecision-makingprocessesinrelationtoREF2021thatwouldbeeasierformentocomply with than women, or vice versa. There are many cases where a requirementtoworkfull-time(orlessfavourabletreatmentofpeopleworkingpart-timeorflexibly)hasbeenheldtodiscriminateunlawfullyagainst women.

HEIsshouldnotethattherearenowrequirementsunderUKandScottishlegislationforpublicauthorities(includingHEIs)toreportinformationonthepercentagedifferenceamongstemployeesbetweenmenandwomen’saveragehourlypay(excludingovertime).

Sexual orientation

TheEqualityAct2010andtheEmploymentEquality(SexualOrientation)Regulations(NorthernIreland)2003protectHEIstafffromunlawfuldiscrimination,harassmentandvictimisationrelatedtosexualorientation.Individualsarealsoprotectediftheyareperceivedtobeorareassociatedwithapersonwhoisofaparticularsexualorientation.

HEls must ensure that their procedures and decision-making processes inrelationtoREF2021donotdiscriminateagainststaffbasedontheiractualorperceivedsexualorientation.

Welsh language

TheWelshLanguageAct1993placesadutyonpublicbodiesinWalestotreatWelshandEnglishonanequalbasis.ThisisreinforcedbytheprovisionsoftheWelshLanguage(Wales)Measure2011andtheWelshLanguageStandards(No6)Regulations2017.

ThearrangementsfortheassessmentofoutputsinthemediumofWelshbytheREFpanelsaresetoutin‘Guidanceonsubmissions’,paragraphs284 and 285.

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Guidance to institutionsOverview33. ItisarequirementoftheREFthateachsubmittinginstitutionestablishesacodeofpractice.Thiswillneedtocovertheprocessesforidentifyingstaffwithsignificantresponsibilityforresearch(whereapplicable),fordeterminingresearchindependence,andontheselectionofoutputsforREFsubmissions.Theguidancehereprovidesacommonframeworkforinstitutions’developmentofpoliciesandprocedureswithintheREF,butdoesnotgenerateobligationsbeyondthosethatHEIswillinanycaseneedtoaddress.ItistheresponsibilityofHEIstoensurethattheircodesofpractice,andthemannerinwhichtheyparticipate in the REF, are lawful.

34.WorkingwithEDAP,wehavedevelopedatemplateforcodesofpractice(AnnexA),whichcanbeusedalongsidethisguidanceindeveloping,documentingandapplyingacodeofpractice.Thetemplateisdividedintofivemainsections.

a. Introduction, covering:i. Thecodeofpracticeinthecontextofotherinstitutionalpoliciesconcerning

equalityanddiversity.ii. AnupdateonanyrelevantactionstakensinceREF2014,withreferencetothe

2014EIA,whereappropriate.iii. Informationabouthowthecodeiscommunicatedtostaffacrosstheinstitution.

b. Whereapplicable,theagreedpolicyandproceduresforidentifying staff with significant responsibility for research in REF 2021, in accordance with the REF guidance(‘Guidanceonsubmissions’,paragraphs138to144).i. Thissectionwillonlyberequiredforinstitutionswhichhaveunitsthatdonot

include100percentofCategoryAeligiblestaff.ii. Whereaninstitutionhasmorethanoneprocessforidentifyingstaffwith

asignificantresponsibilityforresearchintheREF(forexample,whereemploymentpracticesvaryatthesubmittingunitlevelduetodisciplinarydifferences),thisshouldbereflectedinthecodeofpractice.

c. Policyandproceduresfordetermining whether staff meet the definition of an independent researcher. i. Allparticipatinginstitutionsarerequiredtocompletethissection.ii. Thecodeofpracticeshoulddescribethefairandtransparentprocesses for

determining research independence, in accordance with the REF guidance (‘Guidanceonsubmissions’,paragraphs128to134).

d. The policy and procedures for the fair and transparent selection of outputs in REF 2021,includingapproachestosupportingstaffwithcircumstances.AllinstitutionstakingpartintheREFprocesswillberequiredtocompletethissection.Institutionsshouldincludeinformationonhowtheoutputsofformerstaff,includingthosemaderedundant, are taken into account in selecting outputs.

e. Completed codes of practice should contain any referenced appendices.

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35. InsomecaseswewouldenvisagethatprocessesdescribedinParts2,3and4mightbeshared(forexample,theprocessforappointingcommitteesthatmakedecisionsaroundsignificantresponsibilitymaybethesameasthosethatmakedecisionsaboutresearchindependence,orprocessesforEIAsmaybethesame).Insuchcases,codesofpracticemaycross-referencethis,ratherthanduplicatingtext.

36. InstitutionsthatconductmockREFexercisesmightconsiderusingthemasanopportunitytoapplytheirdraftcodeandrefineitfurther.Whereexternaladvisersareusedinsuchexercises,institutionsshouldbriefthemabouttheirdevelopingREFcodesofpractice.MockexercisesshouldincludeEIAsaspartoftheprocess,andtheimplicationsoftheseshouldbeconsideredwhenpreparingthefinalsubmission(seeparagraphs59 to 72).

37.MorebroadlyEIAsshouldbeconductedperiodicallyduringthedevelopmentofpoliciesandprocedures,andtheprocessandeffectonpolicybeincorporatedineachsectionfori).identificationofstaffwithsignificantresponsibilityforresearch,ii).determiningresearchindependence and iii). the selection of outputs. Codes of practice should document the frequencyandtimingofEIAsanddescribehowtheresultsoftheassessmentsareusedtoinformprocesses.AnEIAshouldbeconductedonthefinalsubmissionofstaffandoutputs(see paragraphs 70 to 72).

38.Codesofpracticemustincludealltherelevantinformation;thefundingbodiesdonotconsiderthatlinkstoanorganisation’sintranetpagesprovideappropriateevidenceofanyaspect of a code of practice.

Principles39. Eachinstitution’scodeofpracticeshoulddemonstratefairnesstoitsstaffbyaddressingthe following principles:

a. Transparency:Allprocessesforidentifyingstaffwithsignificantresponsibilityforresearch(whereapplicable),determiningresearchindependence,andselectingoutputsforinclusioninREFsubmissionsshouldbetransparent.Codesofpracticeshouldbedrawnupandmadeavailableinaneasilyaccessibleformatandpublicisedtoallacademicstaffacrosstheinstitution,includingonthestaffintranet,anddrawntotheattentionofthoseabsentfromwork.Wewouldexpecttheretobea programme of communication activity to disseminate the code of practice and explaintheprocessesrelatedtoi).identifyingstaffwithsignificantresponsibilityforresearch(whereapplicable),ii).determiningresearchindependenceandiii).selectingoutputsforsubmission.Thisprogrammeshouldbedocumentedinthecode.Weencourageinstitutionstopublishtheircodesofpracticeontheirexternalwebsite.TheywillbepublishedbytheREFteambytheendof2019andanychangestofinalcodeswillbepublishedaspartofthesubmissionsin2022.

b. Consistency: Theprinciplesgoverningtheprocessescoveredbycodesofpracticeshouldbeconsistentacrosstheinstitution.Wewouldexpectthattheapproachtoidentifyingstaffwithsignificantresponsibilityforresearch(whereapplicable)wouldonlyvarybyunitofassessment(UOA)whereemploymentpracticesvaryatthislevelduetodisciplinarydifferences,andthedifferenceinpracticecanbeverifiedasnon-

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discriminatory in its own right. The code of practice should set out the principles to beappliedtoallaspects/stagesoftheprocessatalllevelswithintheinstitutionwheredecisionswillbemade.

c. Accountability: Responsibilitiesshouldbeclearlydefined,andindividualsandbodiesthatareinvolvedini).identifyingstaffwithsignificantresponsibilityforresearch, ii). determining research independence and iii). selecting outputs for REF submissionsshouldbeidentifiedbyrole.Codesshouldalsostatewhattrainingthose who are involved in the processes have had. Operating criteria and terms ofreferenceforindividuals,committees,advisorygroupsandanyotherbodiesconcernedwiththeseprocesses,shouldbemadereadilyavailabletoallindividualsand groups concerned.

d. Inclusivity: Theprocessesdescribedinthecodeshouldpromoteaninclusiveenvironment,enablinginstitutionstoidentifyallstaffwhohavesignificantresponsibilityforresearch,allstaffwhoareindependentresearchers,andtheexcellentresearchproducedbystaffacrossallprotectedgroups.

Policies and procedures40. Parts2,3and4ofaninstitution’scodeofpracticeshoulddetailthepoliciesandprocedurestheinstitutionwillfollowforsubmissionintheREF.Thisshouldincludeinformationaboutcriteriausedfordecision-makingandtheprocessbywhichdecisionswillbemade,includingthetimescalesfordeliveringdecisionsandthemethodandtimescaleinwhichfeedbackwillbeprovidedinrespectofthedecisionsmade.

Evidence relating to the development of policies and processes41.Assetoutin‘Guidanceonsubmissions’(paragraph142),itisarequirementthatanyprocessesestablishedtoidentifystaffwithsignificantresponsibilityforresearchareagreedwithstaff,throughappropriatestaffrepresentationmechanismswithintheHEI.Whereapplicable,therefore,inPart2thecodeofpracticeshoulddescribethedevelopmentofthepolicyandprocedures,includingdetailsaboutthestaffrepresentativemechanismsinplaceintheHEI,howtheappropriatestaffrepresentativeswereengagedintheprocess,andevidenceofagreementwithappropriatestaffrepresentation.

42. Inexceptionalcircumstances,whereithasnotbeenpossibletogainstaffagreementbeforethedeadlineof7June2019,anHEImaysubmititscodeofpractice‘pendingagreement’fromstaff.Inthisinstance,HEIsmustdemonstratehowtheyhaveengaged,andcontinuetoengage,withstaffthroughappropriaterepresentativemechanisms,andmustsetoutclearlythereasonswhyithasnotbeenpossibletogainagreementwithinthetimeframe.HEIsmustinformtherelevantfundingbodyoncetherequiredagreementhasbeenattained.

43. Anyconsultationsundertakenduringthedevelopmentofprocessesshoulddetailhowstaffwerecommunicatedwith(includingstaffwhoareabsentfromworkandstaffbasedinunitsoutsidetheUK,whereapplicable),andtheprovisionofinformation(inaccessibleformats),theverdictoftheconsultationandhowthishasimpacteduponthefinalprocess.

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Staff, committees and training44. StructuraldifferencesbetweenHEIsmeanthatthemethodofdevelopingsubmissionsandthepositionsofindividualsresponsibleforidentifyingstaff(inrelationtoresearchindependenceandsignificantresponsibilityforresearch),andforoutputselection,willnotbeuniformacrossthesector.Theproceduresforappointingdesignatedstaff(evenaseniorofficersuchasthePro-Vice-Chancellor/Vice-PrincipalforResearch)andestablishingcommitteesresponsibleforidentifyingstaffwithsignificantresponsibilityforresearch(whereapplicable),determiningresearchindependenceandselectingoutputsshouldbeclearly documented in the code of practice, as should their terms of reference. The rationale fortheseproceduresmustbeoutlined.

45. Codesofpracticeshoulddetailthestaffandcommitteesinvolvedinallprocessescoveredbythecode.StaffshouldbereferencedaccordingtotheirrolewithintheHEIandwherethatrolefitsintheinstitutionalmanagementframework.Codesofpracticeshouldindicatewhetherinvolvedstaffholdadvisoryordecision-makingresponsibilities.Timelinesandschematicsmaybeincludedasanaid,representingcommitteeandgroupstructures,interdependencies and processes.

46.Whereacommittee,panel,orgrouphasdesignatedREFresponsibilities–whetheritisatdepartmental,faculty,UOAorcentrallevel–theseshouldbedetailedinthecodeofpractice, including, for each committee:

• itsmembership• howthecommitteehasbeenformed,includingstepstakentoconsider

andreflectonrepresentativeness• itsresponsibilities(includingwhetheradvisoryordecision-making)withrespect

totheinstitution’spolicyandproceduresrelatingtoidentifyingstaff,determiningresearch independence, and/or output selection

• thestepstakentoensurethatmembersarewellinformedabouttheirownand theinstitution’slegalobligationsregardingequality,includinganyrelevanttraining.

47.Wherecommitteesconsiderreportsfromothercommitteesordesignatedstaffreportingtothem,thebasisofthediscussionmustbeclear,andrecordsmustbekept.

48. Staffinvolvedintheprocessesdescribedincodesofpracticemustbeprovidedwithtrainingonequalityanddiversity,whichwerecommendistailoredtotheREFprocesses.Thecodeshoulddetailtheequalitytrainingthatdesignatedpersonswilleitherundertakeor have undertaken during the assessment period, or the level of understanding of the issuestheywillberequiredtoattain.Trainingschedulesforstaffandcommitteesshouldbeincluded, with criteria for training clearly recorded.

Declaration of individual staff circumstances49. The‘Guidanceonsubmissions’(Part3,Section1:‘Staffcircumstances’)setsoutthemeasuresthatHEIsarerequiredtoputinplacetosupportstaffwithindividualcircumstances.Thisincludescreatingsafeandsupportivestructuresforenablingstafftodeclarevoluntarilyanyrelevantcircumstancesandputtinginplaceprocessestoadjustexpectationsofanindividual’scontributiontotheunit’soutputpool,wheretheindividualisentitledtoareduction.Wherethecumulativeeffectofindividualcircumstanceshas

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disproportionatelyaffectedaunit’soutputpool,aunitmayoptionallyrequestareductionwithoutpenaltyinthetotalnumberofoutputsrequiredforsubmission,wheretheindividualcircumstancesofCategoryAsubmittedstaffhaveconstrainedtheirabilitytoproduce outputs or to work productively throughout the assessment period. This includes measurestoremovetheminimumofonerequirementwhereanindividual’scircumstanceshavehadanexceptionaleffectontheirabilitytoworkproductively,sothattheindividualhasnotbeenabletoproduceaneligibleoutput.

50. InPart4ofthecodeofpractice,relatingtotheselectionofoutputs,theinstitution mustsetoutitsapproachestosupportingstaffwithcircumstances,including:

a. The structures in place to support voluntary declaration of circumstances.b. Theprocessesforadjustingexpectationsofanaffectedindividual’scontribution

totheunit’soutputpool.c. Theapproachtodeterminingwhetherareductionshouldbesoughttothetotal

numberofoutputsrequiredforsubmittingunits.

51. Thisshouldincludeadescriptionof:aninstitution’sprocedures,policiesandpersonnelinvolvedinmanagingandmakingdecisions;andalistofcircumstancesthatwillbetakenintoaccount.Theinstitution’sapproachmustbeconsistentwiththerangeofcircumstancesandproceduressetoutinthe‘Guidanceonsubmissions’,andmustbestandardacrossalldepartments.EIAsshouldincludetheimpactofthesepoliciesandprocesses.

52. Institutionsshouldhaverobustproceduresinplacetoenablestafftodeclaretheircircumstancesconfidentially.Particularattentionshouldbepaidtothedeclarationofsensitiveissuessuchasongoingillnessormentalhealthconditions.Toenableindividualstodeclarecircumstancesinconfidence,institutionsshouldnormallymanagethisprocesscentrally.HEIsmustsetouttheirprocessesforensuringthatstaffareawareoftheapplicablecircumstancesandtheadjustmentstowhichtheyareentitled.

53. InstitutionswillhavedifferentapproachestopreparingREFsubmissions,anditisnotappropriateforoneparticularapproachtobeprescribed.Therefore,anHEI’scodeofpracticewillneedtodescribehowtheinstitutionwilladjustitsexpectationsaboutstaffcontributionstotheoveralloutputpoolwherecircumstancesaredeclared.Institutions should include information on who is involved in taking decisions, how these are communicated to individuals and within what timeframe. They should consider the mechanismsthroughwhichexpectationsarecreatedandcommunicated,bothformallyandinformally,andhowadjustmentswillbebuiltintothesemechanisms.

54. Codesofpracticemustprovideguidanceonhowcircumstanceswillbetakenintoaccountindeterminingwhetherareductionshouldbesoughttothetotalnumberofoutputsrequiredforsubmittingunits.Thisshouldsetoutbroadcriteriafordeterminingwhentheoutputpoolhasbeenaffectedtotheextentthattheflexibilityofferedbydecouplingoffersinsufficientsupport.

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55. Codes of practice should also provide a clear and transparent description of an institution’sprocedures,policiesandpersonnelinvolvedinmanagingandmakingdecisionsthattakeaccountofexceptionaleffectsthatstaffcircumstancesmayhavehaduponanindividual’sabilitytoresearchproductivelythroughouttheperiodandproducetherequiredminimum of one output.

56.Ateachselectionstage,institutionsareencouragedtomonitorformallytheprocessfor identifying individuals whose circumstances might need special consideration, and to evidence decisions and actions.

Fixed-term and part-time staff57. InthelightoftheFixed-termandPart-timeRegulations(seeparagraph30), considerationwillalsoneedtobegiventohowtheinstitutioncandemonstratetheimplementationofequalityforthoseonfixed-term(relativetoopen)andpart-time (relative to full-time) contracts.

58. Thecodeofpracticeshouldthereforeincludeastatementabouthowtheinstitutionsupportsitsfixed-termandpart-timestaff,includingcontractresearchstaff,inrelationtoequalityanddiversity.

Equality impact assessment 59. ThefundingbodiesrequireallHEIstoconductEIAsontheirpolicyandproceduresforidentifyingstaffwithsignificantresponsibilityforresearch(whereapplicable),determiningresearch independence and for selecting outputs for the REF.

60.AnEIAshouldbeathoroughandsystematicanalysistodeterminewhethertheinstitution’sprocessesforidentifyingstaff,determiningresearchindependenceandoutputselectionfortheREFmayhaveadifferentialimpactonparticulargroupsbyreferencetooneormoreprotectedcharacteristic(s).Wheretheanalysisinvolvessmallnumbersthatcanheavilyinfluencepercentagesreportedinstatisticaldata,EIAsshouldreflectthiswhereappropriate, highlighting instances that have a marked impact for particular groups.

61.WhencarryingoutanEIAoftheoutputselectionprocess,institutionsshouldassesstherangeandbalanceofprocessesthatarebeingusedtoevaluatetherelativequalityoftheoutputsinthepool,forexample,theuseofcitationdataorotherbibliometricmeasures,andpeerreviewprocesses.ThefundingbodiesencourageHEIstouseresearchmetricsresponsibly,adheringtotheprinciplessetoutintheMetricTidereport.1

62. EIAsshouldinformtheinstitution’scodeofpracticeandbekeptunderreviewassubmissionsareprepared.ThecodeofpracticeshouldclearlysetoutinformationaboutthefindingsofEIAswithrespecttoeachpartofthecode,andhowtheanalysisinformedthefinalpolicyandproceduresdocumentedinthecode.AnycompletedEIAsmaybeincludedin the appendices of the code of practice.

1. ‘The Metric Tide: Report of the Independent Review of the Role of Metrics in Research Assessment and Management’ (2016). Available at: https://re.ukri.org/news-events-publications/publications/metric-tide/.

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63. EIAsshouldenableHEIstoidentifywherediscriminationmayinadvertentlyoccurwithintheirREFprocesses.TheywillalsoenableHEIstoidentifywhereaparticularpolicyorpracticehasapositiveimpactontheadvancementofequalityorwherethereisanopportunitytotakeastepthatwillhaveapositiveimpact.WherepotentialdiscriminationisidentifiedHEIswillneedtojustifythepolicyorpracticewithintheconstraintsofthelawor they will need to take actions to change the policy or practice. If a particular policy or practiceisfoundtohaveapositiveimpactonequality,HEIscanseektoapplyittootherareasoftheirREFwork.Ifanopportunitytoadvanceequalityisidentifieddueconsiderationshouldbegiventoimplementingit.

64. Thefundingbodiesrecognisethatitisbestpracticetouseinformationgainedfromengaging,consultingorinvolvingstafffromprotectedgroupstoinformanEIA. (Consultationisarequirementofsection75oftheNorthernIrelandAct1998andengagementisarequirementoftheWelshspecificdutiesoftheEqualityAct2010.EngagementisalsokeytoshowingdueregardtotherequirementsofthepublicsectorequalitydutyinEnglandandScotland.)

65. Forallpoliciesandproceduressetoutinthecodeofpractice,EIAsshouldbeinformedbyananalysisofdatainrespectofalltheprotectedcharacteristicsforwhichdataareavailable.Additionally:

• Forprocessesrelatedtoidentifyingstaff,theassessmentshouldconsiderdataonthecharacteristicsofstaffconsideredtomeetthecriteriaforhavingsignificantresponsibilityforresearchinthecontextofallstaffwhoareeligibleforsubmission,andallacademicstaff.

• Forpolicyandproceduresrelatingtotheidentificationofindependentresearchers,theassessmentshouldconsiderdataonthecharacteristicsofstaffdeterminedtomeetthedefinition,inthecontextofanappropriatecomparatorpoolforjunioracademicstaff(asappropriatetotheinstitution’scontext).

• Forpolicyandproceduresrelatingtooutputselection,theassessmentshouldconsiderdataonthedistributionofselectedoutputsacrossstaff,byprotectedcharacteristic,inthecontextofthecharacteristicsofthesubmittedstaffpool.

66.Overallconsiderationshouldbegiventothecombinedimpactofpoliciesandproceduresrelatingtotheidentificationofi).staffwithsignificantresponsibilityforresearch,ii).staffwhoareconsideredindependentresearchersandiii).theselectionofoutputs.

67.HEIswhoconductmockexercisescanusetheprocesstoinformtheirEIA(s),andHEIscanalsoconsiderinformationonequalityfromthepreviousREFandResearchAssessmentExercises(RAEs)inidentifyingpossiblebarrierstoparticipationandopportunitiestoadvanceequality.

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68. TheEIAshouldbereviewedatkeystagesoftheprocess,toensurethatanynecessarychangestopreventdiscriminationorpromoteequalityaretakenpriortothesubmissiondeadline.ExamplesofappropriatepointstoreviewtheEIAare:

• whenidentifyingstaffwithasignificantresponsibilityforresearch• whendeterminingresearchindependence• whenselectingoutputsforsubmission• whenconsideringappealsagainstidentificationofstaffwhodonothave

significantresponsibilityforresearchorwhoarenotindependentresearchers• whenpreparingthefinalsubmission.

69.Wheredataaresufficient,andfurtherin-depthanalysisisrequired,theHEImaywishtoconductanalysisatUOAlevel.

70. ThefundingbodieswillrequireHEIstosubmitthefinalversionoftheirEIA,afterthesubmissiondeadline.Thisshouldinclude:thefinalanalysisofdatacomparingthecharacteristicsofstaffwithsignificantresponsibilityforresearch,withthecharacteristicsofalleligiblestaff(whereapplicable);thefinalanalysisofdatacomparingthecharacteristicsofthosedeterminedtobeindependentresearchers,withanappropriatecomparatorpool;andanexaminationofthedistributionofoutputsacrossstaffintheunit.Itshouldalsoincludeanyactionstakentopreventdiscriminationoradvanceequalityduringthesubmissionprocessandtheiroutcomes,includingthejustificationforand/oractionstakentoaddressanydifferentialimpactthatstaffidentificationandoutputselectionprocessesmayhavehadonparticulargroups,andinformationaboutanypoliciesorpracticesthathadapositiveimpactonequalityduringthesubmissionprocess.

71. TheEIAswecollectwillbeusedbythefundingbodiesandEDAPtoassistwithevaluatingtheoveralleffectivenessoftheequalityanddiversityaspectsoftheREFatsectorlevel,andlessonslearnedforthefuture.EDAPwillnotformallyassessorcommentonindividualinstitutions’EIAs.

72. ThefundingbodiesexpectHEIstopublishthesefinalEIAsafterthesubmissionshavebeenmade,asamatterofgoodpractice.Thepublishedinformationshouldalsoincludetheoutcomesofanyactionstakentopreventdiscriminationoradvanceequality.Whereasignificantimpacthasbeenidentified,fullinformationshouldbepublished.PublicationisalegalrequirementinNorthernIrelandandinWaleswhereapolicyorpracticeisregardedashavingasignificantimpact.

Staff circumstances report73. FollowingtheREFsubmissiondeadlineinNovember2020,HEIswillalsoberequiredtosubmitareportreflectingontheirexperienceofsupportingstaffwithcircumstances.Thisshouldincludeabreakdownofthecircumstancesdeclared,usingthecategoriesinthe‘Guidanceonsubmissions’AnnexL(ECRs,secondmentsorcareerbreaks,family-relatedleave,juniorclinicalacademics,andcircumstancesrequiringajudgement),andthenumberofrequestsfortheremovaloftheminimumofonerequirement.HEIsshouldreflectonhowthecircumstancesdeclaredfedintodecisionsonwhethertorequestareductioninoutputsrequiredforsubmittingunits,indicatinghowoftenreductionswere/werenotrequestedandhowtheexpectationsmadeofindividualsweremanagedinbothcases.

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74. Thereportswillbecollectedprimarilyforanalysispurposesbutmaybetakenintoaccountwhenauditinganinstitution’scompliancewithitscodeofpractice.Furtherdetailsonthecontentofthereport,includingatemplate,willbeprovidedlaterin2019.

Feedback and appeals75. Thefundingbodiesexpectallinstitutionsthatareimplementingprocessestoidentifystaffwithsignificantresponsibilityforresearchanddeterminingresearchindependencetohave in place an appeals mechanism.

76.Appropriateandtimelyproceduresshouldbeputinplacetoinformstaffwhoarenotconsideredtohavesignificantresponsibilityforresearch,ortobeindependentresearchers,ofthereasonsbehindthedecisioninaccordancewiththeestablishedcriteria,andoftheappeals process.

77. ThefundingbodiesexpectHEIs’appealsproceduresto:

a. Allowmembersofstafftoappealaftertheyhavereceivedthisfeedback,and forthatappealtobeconsideredbytheHEIbeforethefinalsubmissionismade.

b. Ensurethattheindividualswhohandleappealsareindependentofthedecisionsaboutidentifyingstaffandreceiveappropriatetraining.

78. The code of practice should include details of the appeals procedures. Institutions shouldconsidercarefullybeforedecidingtouseexistingcomplaintreportingmechanisms,andshouldonlydosoiftheseareappropriateforthepurposeandcanbeconcludedpriortotheREFsubmissiondeadline.

Joint submissions79. Institutionsmakingjointsubmissionsmaywishtomaketheircodeofpracticeavailabletocollaboratinginstitutions.Inanycase,theyshouldensurethatjointdecision-makingacross institutions does not compromise their adherence to their respective codes of practice.Collaboratinginstitutionsmaychoosetoagreeonasharedapproachtoequality,sothatonecodeofpracticeisapprovedbyandusedonbehalfoftheotherinstitutionforthemanagementofthejointsubmittingunit.

Submitting codes of practice80.CodesofpracticeshouldbesubmittedtotheREFteamonorbeforenoon,Friday7June2019.EDAPwillexaminethecodesandadvisetheUKfundingbodiesontheiradherencetothisguidance,priortoapprovalandpublication.HEIswillhaveanopportunitytorevisetheircodeofpracticeafterguidancefromEDAP.IfEDAPadvisesthataninstitution’scodeofpracticedoesnotadheretothisguidancethefundingbodieswilltakeappropriateaction.

81. Allsubmittedandapprovedcodesofpracticewillbepublishedbeforethesubmissiondeadline.TheprovisionalpublicationdatewillbeDecember2019.

82. Thefundingbodiesplantoundertakeananalysisofthecodesofpracticeafterthe REFhasconcluded.Aswiththepreviousexercise,weanticipatethiswillidentifyareasofgood practice.

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Complaints83. Toensurethatinstitutions’approvedcodesofpracticeareimplementedfairlyandconsistently,thefundingbodieswillputinplacemeasurestoenableindividualstomakeaformalcomplaint,whereitisbelievedthattheagreedprocessesarenotbeingfollowed.Individualcomplaintswillnotbeabletochallengetheadequacyofanapprovedcodeitself.

84. ItisexpectedthatcomplaintsregardingtheimplementationofanHEI’scodeofpracticewillberesolvedthroughtheappealsprocessinherentwithinthecode.TheremaybeinstanceswherecomplaintsregardingtheimplementationofanHEI’scodeofpracticecannotbesatisfactorilyresolvedthroughanHEI’sappealsprocess.Forsuchcircumstances,theUKfundingbodieswillofferarobustandindependentprocessthatwilldulyconsidersuch complaints and appropriate action.

85.Complaintsmaybemadebyindividualsdirectlyaffectedbythe(non-)implementationofanHEI’scodeofpracticeorbythoseoutsidetheprocesswhohavereasontobelievethataninstitutionhasbreacheditsapprovedcodeofpractice.Thefundingbodiesaimtodevelopaprocessthatenablesindividualstoprovideinformationconfidentially.Furtherdetailsofthisprocesswillbesetoutbythefundingbodiesinautumn2019.

Useful resources86.GuidancefromAdvanceHEregardingEIAs–https://www.ecu.ac.uk/guidance-resources/governance-and-policies/equality-impact-assessment/ (see also https://www.advance-he.ac.uk/).  

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Annex A: Code of practice template

1. Thisannexprovidesthetemplateforinstitutions’codesofpractice,annotatedwithguidanceabouttheinformationrequiredineachofitssections.Thisshouldbereadalongside the full guidance on codes of practice in the main document. The code of practice templatewillalsobeavailableinWord.

2. LinkstoHEIintranetpagesshouldnotbeusedasevidenceofanyaspectofacode of practice.

Part 1: IntroductionCodes should address the following:

• Howthecoderelatestobroaderinstitutionalpolicies/strategiesthatpromoteandsupport E&D.

• AnupdateofactionstakensinceREF2014.

• HowtheinstitutionisaddressingtheprinciplesofTransparency,Consistency,Accountability,andInclusivityindemonstratingfairness(seeparagraph39).

• Referencetotheseprinciplesshouldalsobemade,asappropriate,incompletingthesectionsbelow.

• Howthecodeisbeingcommunicatedtostaffacrosstheinstitution(includingto thoseonleaveofabsence),throughvariousmechanismsandchannels,including thestaffintranet.

Part 2: Identifying staff with significant responsibility for researchPart2needonlybecompletedwheretheinstitutionwillnotbesubmitting100percentofCategoryAeligiblestaffinoneormoreUOA.Codes should address the following:

Policies and procedures–wherenotsubmitting100percentofeligiblestaff(seeparagraph 40).

• Criteriausedforidentifyingstaffwithsignificantresponsibilityforresearch,includinginformationabouthowthecriteriaarebeingapplied,andgroundsfordecisions taken.

• Howdecisionsarebeingmadeandcommunicatedtostaff,includingtimescale.

• Iftheapproachtoidentifyingstaffwithsignificantresponsibilityforresearchvaries,accordingtovariationinemploymentpracticesbytheUOA,codesofpracticeshould outline each process used.

• Codesofpracticeshoulddescribestagesofapproval(diagrams,schematicsandtimelinesmightbeincludedasanaid).

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Development of process(es) (see paragraphs 41 to 43).

• Howprocessestobefollowedhavebeenconsultedonandagreedwithstaffrepresentative groups.

• Howthefinalagreedprocesseshavebeen/arebeingcommunicatedtostaff,ifdifferenttothatdescribedinPart1:Introduction.

Staff, committees and training (see paragraphs 44 to 48).

• Proceduresforappointingdesignatedstaffandcommittees/panelsrespon-sibleforidentifyingstaffwithsignificantresponsibilityforresearch(distin-guishingbetweenthose with advisory and those with decision-making roles).

• Informationprovidedshouldincluderoledescriptionsforindividualsandtermsof reference for committees/panels, modes of operation, and record-keeping procedures,aswellasinformationaboutwheretheseroles/committees/panels fitintothewiderinstitutionalmanagementstructure.

• Detailsoftrainingprovidedtoindividualsandcommitteesinvolvedinidentify-ingstaff,thetimescalefordeliveryandcontent(includinghowithasbeentailoredtothe REF).

Appeals (see paragraphs 75 to 78).

• Howtheappealsprocesshasbeencommunicatedtostaff.

• Detailsoftheprocess,includinghowcasesaresubmitted,eligiblegrounds for appeal.

• Detailsofthoseinvolvedinhearinganyappeals(demonstratingtheirindependencefromearlierdecisionprocesses),timescalesandhowdecisionsarebeingcommunicatedtostaff.

Equality impact assessment (see paragraphs 59 to 72).

• HowanEIAhasbeenusedtoinformtheidentificationofstaffandmake finaldecisions.

Part 3: Determining research independence

Policies and procedures (see paragraph 40).

• Criteriausedfordeterminingstaffwhomeetthedefinitionofanindependentresearcher,includinginformationabouthowthecriteriaarebeingapplied.

• Howdecisionsarebeingmadeandcommunicatedtostaff,includingtimescale.

• Codesofpracticeshoulddescribestagesofapproval(diagrams,schematicsandtimelinesmightbeincludedasanaid).

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Staff, committees and training (see paragraphs 44 to 48). (Where such staff and committees are the same as those outlined in Part 2, institutions can cross-refer to that section)

• Proceduresforidentifyingdesignatedstaffandcommittees/panelsresponsiblefordeterminingresearchindependence(distinguishingbetweenthosewithadvisoryand those with decision-making roles).

• Informationprovidedshouldincluderoledescriptionsforindividualsandtermsof reference for committees/panels, modes of operation, and record-keeping procedures,aswellasinformationaboutwheretheseroles/committees/panelsfitinto the wider institutional management structure.

• Detailsoftrainingprovidedtoindividualsandcommitteesinvolvedinidentifyingstaff,thetimescalefordeliveryandcontent(includinghowithasbeentailoredtothe REF).

Appeals (see paragraphs 75 to 78).(Where the process follows that outlined in Part 2, institutions can cross-refer to that section)

• Howtheappealsprocesshasbeencommunicatedtostaff.

• Detailsoftheprocess,includinghowcasesaresubmitted,eligiblegrounds for appeal.

• Detailsofthoseinvolvedinhearinganyappeals(demonstratingtheirindependencefromearlierdecisionprocesses),timescalesandhowdecisionsarebeingcommunicatedtostaff.

Equality impact assessment (see paragraphs 59 to 72).

• HowanEIAhasbeenusedtoinformtheidentificationofstaffandmake finaldecisions.

Part 4: Selection of outputs Codes should address the following:

Policies and procedures (see paragraph 40).

• Detailsofproceduresthathavebeendevelopedtoensurethefairandtransparentselectionofoutputs,includingtheHEI’sapproachtosubmittingoutputsbyformerstaff,includingthosemaderedundant.

• Informationshouldbeprovidedabouthowprocessesforselectingoutputshavebeendevelopedandtherationaleforadoptedmethods.

• Codesofpracticeshoulddescribestagesofapproval(diagrams,schematicsandtimelinesmightbeincludedasanaid).

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Staff, committees and training (see paragraphs 44 to 48).(Where such staff and committees are the same as those outlined in Parts 2 or 3, institutions can cross-refer to that section)

• Proceduresforidentifyingdesignatedstaffandcommittees/panelsresponsibleforselectingoutputs(distinguishingbetweenthosewithadvisoryandthosewithdecision-making roles).

• Informationprovidedshouldincluderoledescriptionsforindividualsandtermsof reference for committees/panels, modes of operation, and record-keeping procedures,aswellasinformationaboutwheretheseroles/committees/panelsfitinto the wider institutional management structure.

• Detailsoftrainingprovidedtoindividualsandcommitteesinvolvedintheoutputselectionprocess,thetimescalefordeliveryandcontent(includinghowithasbeentailored to the REF).

Staff circumstances (see paragraphs 49 to 56).

• Proceduresfortakingintoaccountstaffwhosecircumstanceshaveaffectedtheirabilitytoresearchproductivelythroughouttheperiodinrelationtotheunit’stotaloutputrequirement.

• Proceduresfortakingintoaccounttheeffectofcircumstancesthathavehadanexceptionaleffectontheabilityofanindividualstaffmembertoresearchproductivelythroughouttheperiodsothattheydonothavetherequiredminimumof one output.

• Forbothoftheabovecases,proceduresfor:– stafftodeclarevoluntarilycircumstancesinaconfidentialmanner– unitstoadjustexpectationsaboutstaffcontributiontotheoutputpool,

as appropriate.

Equality impact assessment (see paragraphs 59 to 72).

• HowanEIAonthespreadofoutputsacrossstaff(inrelationtotheirprotectedcharacteristics)hasbeenusedtoinformthefinalselectionofoutputsto besubmitted.

Part 5: Appendices

Attachanyrelevantappendices.

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tel 0117 931 7392e-mail info@ref.ac.ukwww.ref.ac.uk