Initial Equality Impact Assessment on REF Code of Practice

<strong>Initial</strong> <strong>Equality</strong> <strong>Impact</strong> <strong>Assessment</strong> on
REF Code of Practice
Purpose of This Document
The Research Excellence Framework (REF) is the new system for assessing the
quality of research in higher education institutions in the UK, and replaces the
Research <strong>Assessment</strong> Exercise (RAE), last conducted in 2008. 1
This document uses historical and current statistical information, external guidance
and research experience to identify potential barriers to access different groups of
people may experience.
Having identified potential barriers, it will also explain how the University of
Portsmouth (the University) intends to:
Mitigate against potential barriers on specific groups of people to ensure
equality of access for all the University's researchers;
Monitor levels of engagement with the REF by different groups of people;
Monitor success rates of researchers with different protected characteristics
Monitor the quantity/success rates of appeals.
Identifying Potential Areas of Inequality
In order to ensure that the processes and procedures used to identify, select and
submit all the University's appropriate research are fair, transparent and accessible
to all a variety of information needs to be considered.
The following section will detail the evidence that will be considered in the
development of the University's REF Code of Practice. Following on from that will be
the practical action taken in light of the evidence and ways in which the REF's impact
will be monitored.
Statistical Information
Information regarding the breakdown of eligible researchers by protected
characteristic, who of them applied, and who was submitted to the RAE 2008.
Information regarding the breakdown of eligible researchers for the REF 2014
by protected characteristic.
Information regarding numbers of appeals, numbers of successful appeals
and the breakdown of these by protected characteristic 2 .
1 REF 2014: assessment framework and guidance on submissions P4, July 2011.
2 This information may need to remain unpublished in order to protect the identities of the people
involved.

The University's Experience regarding the RAE 2008
Feedback on the 2008 process's audit;
Feedback from staff involved in 2008, both from the perspective of the
developers and users of the process; and
External Guidance
ECU guidance
HEFCE guidance
Feedback from other universities
Conclusions from analysis of the Evidence Base
- Across all Universities RAE2008 equality and diversity, around staff selection
was similar in composition to that seen in RAE2001.
- Data gathering in 2008 was not as detailed as would be expected with limited
information available around staff numbers who could have applied and did.
- Complaints process was not clearly defined with timescales and cut off dates,
and this has been addressed in the REF2014 process. The aim is also to
include staff at earlier stages around applications, through ADR’s, with the
aim of addressing issues without the need to progress to formal complaints.
- <strong>Equality</strong> data for REF2014 will be used to benchmark against Staff inclusion
for REF2014 which will be published by HEFCE
- Need to produce an <strong>Equality</strong> Analysis Report post REF2014
Actions to Promote <strong>Equality</strong>
The purpose of the EIA is to ensure that the REF code of practice is fair, transparent
and promotes equality where possible. However, the University recognises that with
finite resources a sense of proportionality is essential.
Therefore, the following actions have been recognised as those with the potential to
make the greatest impact to ensuring that the University's REF Code of Practice is
as transparent, consistent, accountable and inclusive as possible.
Key Actions Arising to Encourage Underrepresented Groups' to Apply
A REF 'portal' to be created hosting all information relating to the REF. Within
this there will be a specific area detailing eligibility for reduced outputs based
on protected characteristics.
Action to be taken to contact underrepresented groups directly through:
o the University's staff forums
o directly contacting staff undertaking maternity leave
o staff on disability-related leave to be contacted directly
Meetings to be arranged discussing the implications of the REF at a variety of
times suitable for researchers with young children for example

An all staff e-mail to be disseminated encouraging all researchers, regardless
of circumstances, to engage with the REF by specifically highlighting that
reduced outputs can be submitted in certain circumstances
Monitoring of applications to look at numbers applying from underrepresented
groups
Promoting REF to Staff Network Groups within the University
Monitor Staff Disclosure returns and take appropriate positive action to
encourage take-up.
Key Actions Arising to Ensure Fair Access
Ensure all staff involved in the REF complete the University's equality &
diversity e-learning training resource.
Ensure all staff on the selection panel have completed the University's
bespoke REF training.
Monitoring information to be gathered, analysed and reported upon regarding:
o Applications;
o Applicants' success rates; and
o Appeals and their success rates.
o Appeals
o Final submission
This data will be used to ensure any necessary changes to processes can be
made to prevent any discrimination or promote equality
Monitoring data will be collected on an ongoing basis throughout the REF
period across all REF processes, from initial staff disclosure to output
submissions. This will be shared with the REF Steering Group for discussion,
to ensure inclusion and fairness across all protected characterises. Where
issues arise actions will be put into place and further monitoring presented to
show outcomes. to be gathered throughout the process from initial staff
declarations to output submissions. Monitoring data will be part of the REF
steering group agenda and minutes. This is in-line with the University’s
<strong>Equality</strong> Analysis process which replaced the EIA procedure in 2011.
Conclusions
The aim of the University’s REF2014 process is to be open and inclusive with
actions focused around the REF aims of Transparency, Consistency, Accountability
and Inclusivity. How this will be delivered is clearly laid out in the Code of Practice.
Effort has been made to ensure that is document is a practical and clear open guide
for staff involved in the REF process. The CoP uses the recommendations
highlighted in this document to ensure that the REF process is open and fair to all.
If you have any queries regarding this document, the University's REF Code of
Practice or the REF in general please contact UoP REF Manager.
Date of completion: 8 th May 2012
Persons involved in assessment: EQ Team/REF Team