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University of the West of England, Bristol

Code of Practice for REF

University of the West of England, Bristol Code of Practice for REF Executive Summary Part 1: Introduction 1.1 The REF in the context of the UWE Bristol Strategy 2020 and 2030 1.2 Equality and Diversity 1.3 Transparency, Consistency, Fairness and Communication with staff 1.4 Accountability, staff, committees 1.5 Consultation 1.6 Training 1.7 Appeals 1.8 Equality impact Assessment Part 2: Identifying staff with significant responsibility for research 2.1 Category A eligible staff 2.2 Category A submitted staff 2.3 Significant Responsibility for Research 2.4 Process for determining SRR 2.5 Systems supporting the process 2.6 Decision-making process 2.7 Staff, committees and training 2.8 Communication with staff 2.9 Appeals 2.10 Equality impact Assessment Part 3: Determining Research Independence 3.1 Research Independence and research staff 3.2 Research Independence and research and teaching staff 3.3 Decision-making process

Appendix 9 – Output eligibility and selection process Appendix 10 - Guidance on Individual Circumstances Appendix 11 - Individual Circumstances Disclosure Form Appendix 12 – REF Timetable Appendix 13 - - Staff Data Collection Statement for the REF Appendix 14 – UWE Staff Data Privacy Notice Appendix 15 – REF Guidance Publications

Executive Summary

It is a requirement of REF2021 that Universities develop, agree and publish a Code of Practice that sets out the policies and procedures being undertaken with respect to their REF submission. Guidance published by the Funding Bodies in January 2019 provides the context within which the University has drafted this Code of Practice (and accompanying appendices). Following an initial consultation on the Key Elements of the Code of Practice (November 2018 - January 2019), a full consultation with all academic staff to finalise the Code of Practice took place in March/April 2019, culminating with approval by Academic Board in May. The Code will be submitted to the Funding Bodies for approval by 7 June 2019 and is expected to be published by December 2019. This document focusses on the three core areas of the Code which relate to:

• the process by which the university will determine staff considered to have ‘significant responsibility for research’ (and whose research outputs are therefore eligible for submission);
• the definition of ‘research independence’, a criterion we are expected to apply to staff in the early stages of their research career;
• the process of selecting the outputs to be submitted from the total pool of eligible outputs. Eligible staff For the purposes of REF2021, all academic staff will be designated as ‘eligible’ if they are academic staff with a contract of employment of 0.2 FTE or greater, on the payroll on the census date, whose primary employment function is to undertake either ‘research only’ or ‘teaching and research’. For staff on ‘research only’ contracts, the eligible pool will only include those who are independent researchers_._ ‘Submitted’ staff ‘Submitted’ staff will be designated as those from among the total pool of eligible staff who have been identified as having ‘significant responsibility for research’ on the census date of 31 July 2020. Eligible staff will typically be considered to have significant responsibility for research if, on that date, they: a) are Professors or Associate Professors, or b) have been allocated 110 bundles (approx. 20%) or more of ‘research time’ within their workload for 2019/20 (pro rata for part-time staff), and

period). The selection process will recognise the requirement to include at least one, and a maximum of five, outputs per submitted member of staff. Individual Circumstances Account will be taken as appropriate, of the individual circumstances of staff that may have affected their ability to generate research outputs over the assessment period (2014- 2020). However, the University has no expectation about the contribution any individual may make to the pool of outputs selected for submission. All submitted staff will be invited, voluntarily, to submit details of the individual circumstances, which will be treated in confidence and considered by an independent panel. Where a case is made that an individual has been unable to generate the minimum requirement of one output over the period, this will be considered in confidence and, if agreed, will be submitted to the Funding Bodies for consideration. Early Career Researchers Early Career Researchers will be identified in accordance with the REF definition and their outputs considered alongside those of all submitted staff and assessed against the same quality criteria. Equality Impact Analysis An initial equality impact assessment on the overall Code has been undertaken on the draft Code of Practice and a further, more detailed, equality analysis will be undertaken following the Mock REF in autumn 2019.

Part 1: Introduction

1.1 The REF in the context of the UWE Bristol Strategy 2020 and 2030 The University’s ambition for ‘Research with Impact’ 2020 Strategy is to achieve “ world-class performance in selected areas of research that meets the needs of our community, a sustainable economy and society and feeds the scholarship and enquiry that underpins our learning and teaching ”. As we approach REF2021, we recognise this as an important measure of our progress, a milestone in our development to establish critical volume and ensure the sustainability of our research. Successful engagement with the REF is the means by which we seek to maximise the reputational and financial benefits to the University but also to implement a process that is rigorous, transparent and fair, in line with the expectations of the Funding Bodies. It is important however that UWE Bristol’s REF strategy is seen in the context of our broader ambition and in particular our emerging Strategy 2030 which prioritises “working together to create, challenge, develop and apply knowledge to solve problems and broaden understanding”. Our strategy for the next decade is “to continue to drive and inspire a culture of transformation – locally, nationally and globally. We will be at the forefront of creating new solutions to worldwide challenges, and maximising the potential of our students and staff through our outstanding practice-led learning and teaching, research and enterprise. We want UWE Bristol to be recognised globally as a leader in real world focused teaching and research.” In doing so, we have identified five key values, including inclusivity. We aim to make UWE Bristol “a supportive and inspiring place to learn and work – somewhere where diversity of experience and perspective is encouraged, and learning and research is shared and accessible to as many people as possible.” This is reflected in our approach to REF which is designed to address the principles of transparency, consistency, accountability, and inclusivity. For example, in its approach to REF 2021, and in particular the criteria set out to identify staff with significant responsibility for research, the University has sought to be more inclusive of staff supported to undertake research than in previous exercises. This is in line with the outcome of the Stern Review and the framework for REF2021 set out by the Funding Bodies, as well as the institution's own inclusivity objectives. Initial estimates suggest that something like 33% more UWE staff are likely to have their research submitted to REF2021 than in REF2014.

submitted than men’ (32% of eligible men submitted compared to 22% of eligible women). We have therefore sought to provide further support to female researchers, most notably though active engagement with Athena SWAN. This is seen as a key strategy for fulfilling our commitment to the advancement of gender equality in academia. Led by two senior staff, one of whom is also a member of REFSIG, UWE Bristol renewed its Athena SWAN Bronze university status in 2017. Since 2014, three departments have had their Bronze awards renewed and two have made their first successful applications. The university also continues to promote the careers of women and early career researchers through a Women Researchers Mentoring Scheme and through the Vice Chancellor’s Early Career Researcher awards (in which the success rate for female applicants is higher than for male). The equality analyses being undertaken through the implementation of this Code of Practice will be scrutinised in particular to identify progress with regard to the inclusion of women researchers in the REF. Since 2014, the University has also reinforced its programme of support of Equality and Diversity through a rage of actions seeking to promote its objectives for inclusivity, led by a team of six Executive Deans and Heads of Professional Service serving as Senior Diversity Champions. This has included making online E&D training made mandatory for all staff since

2014. The UWE Manager training package, which includes a unit on ‘Creating an inclusive workplace’, also became mandatory for all people managers in 2017. Inclusivity 2020 (UWE Bristol’s four year Single Equality Scheme launched in 20 16 ) supports our aspiration for each protected characteristic group to have as good an experience and progression as every other protected characteristic group. For example, support for disabled staff included the launch in 2016 of a dedicated Support Service for Disabled Staff, including advice and support for staff and managers on Reasonable Adjustments, Access to Work, and Mental Health. UWE Bristol became a Disability Confident employer in 2016 and a Mindful Employer in 2017. In 2015, UWE Bristol was ranked 11th in the Stonewall Workplace Equality Index, the top university in the Index, We have remained a Stonewall Diversity Champion in subsequent years. We have sponsored Bristol Pride since its re-launch in 2010 and have been one of its six main sponsors since 2015. We were the inaugural Bristol Pride Accessibility Sponsor in July 2018. UWE Bristol has pioneered support for mental health and well-being issues through its Mental Health First strategy, led by the Vice Chancellor personally and comprising a range of support services, guidance and training. This includes a confidential and independent Employee Assistance Programme and a suite of training modules around mental health and well- being, including mandatory mental health and stress management training for managers.

1.3 Transparency, Consistency, Fairness and Communication with staff The process set out in this Code makes transparent the means by which we will identify staff with significant responsibility for research, determine research independence and select outputs for inclusion in REF submissions. These processes, as embodied in this Code of Practice, will be applied consistently and fairly across the institution. Key to this commitment is the importance of consulting and communicating with staff across the institution (including to those on leave of absence), through various mechanisms and channels, including the staff intranet. In addition to the consultation process described below, regular updates on progress in the development of the Code have been made via the University’s committee structures and other key fora. Once agreed by the Funding Bodies and published on the external web site and intranet, all staff will be alerted to the final version of the Code. 1.4 Accountability, staff, committees and training Ultimately the Vice Chancellor is responsible for ensuring the REF submission is made in accordance with the Code of Practice, which will require agreement by the Academic Board and with the staff body more widely, including the University and College Union. Responsibility for the day-to-day development and implementation of the Code of Practice, and for all aspects of the REF submission, lies with the REF Strategy Implementation Group (REFSIG) which comprises the senior research managers of the University. This is chaired by the Pro Vice Chancellor (Research & Enterprise) and comprises the Associate Deans (Research) in each of the four University Faculties and two Assistant Directors of Research, Business & Innovation (RBI), the professional service responsible for supporting research and innovation, including the REF. One of the Assistant Directors is also designated as the University REF Manager (see Appendix 1). REFSIG reports directly to the Vice Chancellor and also provides reports for the University’s Academic Board and its Research & Knowledge Exchange Committee. Communication with Faculties is via Faculty Executives and the Associate Deans (Research) who also chair Faculty Research & Knowledge Exchange Committees. For each Unit of Assessment the University is submitting to, a UoA leader (or Co-leaders) has been appointed through an open recruitment process. They are responsible for leading the development of the submission to that unit, reporting to the relevant Associate Dean (Research) and thence to REFSIG. Other staff or groups may be appointed within Faculties to support the Unit of Assessment leaders in that task.

1.6 Training All staff with a significant role in the implementation of the Code of Practice will undergo mandatory training with respect to equality and diversity, specifically tailored to the context of the REF and of the Code of Practice. This will include staff involved in the key processes of i) identifying staff with significant responsibility for research, ii) determining research independence and iii) selecting outputs to be submitted. It will therefore include members of REFSIG, the REF team in RBI, UoA leaders and members of the Appeals and Individual Circumstances Panels. Internal and external reviewers will also be invited to attend. The resources to support training will include material provided by Advance HE Equality, (Diversity, Inclusion and the Research Excellence Framework 2021: A workshop for practitioners) and the Funding Bodies (REF Guidance and associated webinars and presentation slides). Based on guidance provided by Advance HE, training will also include how to discuss ‘significant responsibility’ and ‘independence’ with staff and the impact of this on their career. An open event for all staff will also be organised to feedback on the REF process and its implications for staff careers, as well as advising where appropriate on the appeals process. This training will take place following the Mock REF in autumn 2019 and agreement of the Code by the Funding Bodies, in advance of the implementation of the Code and the decision-making process that will confirm who has been identified as having significant responsibility for research and the final selection of outputs to be submitted. (See Appendix 4 – Further information about the REF E&D Training Programme). 1.7 Appeals An appeals process, in relation to identifying staff with significant responsibility for research and determining research independence, is available to all staff. Appeals may be made once a provisional indication has been given of staff who would be considered Category A eligible and Category A submitted for REF2021. This will follow a Mock REF being undertaken in the summer/autumn 2019. Details of the appeals procedure will be communicated to all staff as part of the process of informing staff of their provisional designation as Category A eligible and Category A submitted, and any subsequent changes. This will include making available an appeals form and associated guidance. Once staff are aware of their provisional designation, appeals can be made anytime up to the REF census date of 31 July 2020. This will be considered initially as an informal appeal with the option of moving into a formal appeal if the member of staff concerned wishes to do so. Only staff whose status changes as a consequence of the implementation of the Code following the census date can appeal after that date, with a final deadline of 30 September

Appeals can only be made on the grounds that the process for determining significant responsibility for research or research independence has been incorrectly applied or is based on inaccurate information for the individual concerned. Appeals will be submitted to the REF Manager and considered by a panel reporting to REFSIG comprising an Executive Dean from a faculty different to that of the appellant, a member of the Board of Governors, the Head of Equality, Diversity & Inclusion and the Head of Human Resources, or nominee, supported by the Deputy REF Manager. Appeals will be considered and the outcome conveyed to the individual within a period of 15 working days. The decision of the Appeals Panel is final. Staff involved in the appeals process will also undergo REF-specific equality and diversity training. 1.8 Equality impact Assessment An initial equality impact assessment on the overall Code has been undertaken on the draft Code of Practice ( Appendix 5- Initial Equality Impact Assessment). This has been compiled in collaboration with the Equality & Diversity unit and published for consultation in March

A further, more detailed, equality analysis will be undertaken following the Mock REF in autumn 2019. This will look in particular at:

• the equality profile of Category A staff provisionally identified as having SRR, compared to the profile of all Category A eligible staff
• the equality profile of research-only staff provisionally considered to be independent researchers compared to the profile of all research staff
• the equality profile of the designated authors of provisionally selected outputs compared to the profile of the designated authors of the total pool of selectable outputs (including ECR status)
• the equality profile of staff allocated internally funded research time compared to the profile of those applying for such time In addition, intersectional analyses will be undertaken where the data is of sufficient detail to provide meaningful information. Following analysis and publication of the outcome, REFSIG will consider what, if any, actions should be taken in relation to the Code and advise the Vice Chancellor accordingly. Any significant changes to the Code will need to be agreed with the Funding Bodies.

Part 2: Identifying staff with significant responsibility for research

2.1 Category A eligible staff The University is required to identify REF-eligible staff. These staff will comprise the total pool of staff from which individuals deemed to have significant responsibility for research are identified and whose outputs will be eligible for submission. For the purposes of REF2021, all academic staff will be designated as ‘eligible’ if they meet the following definition, as provided in the guidance published by the Funding Bodies: Academic staff with a contract of employment of 0.2 full-time equivalent (FTE) or greater, on the payroll on the census date, whose primary employment function is to undertake either ‘research only’ or ‘teaching and research’. Staff should have a substantive connection with the submitting institution. For staff on ‘research only’ contracts, the eligible pool should only include those who are independent researchers. At UWE Bristol, eligible staff will include all staff on standard academic contracts with an FTE of 0.2 or greater on the census date (31 July 2020) and a substantive connection to the institution (see Appendix 6 – Definition of Key REF Terms). It will also, typically, include Senior Research Fellows given the expectation that their role requires them to undertake independent research. Research Fellows will be considered on a case by case basis against the definition of research independence given that there are variable practices and disciplinary differences in the way research at this level is organised. Research Associates, typically, will not be considered eligible as they are not normally considered to be undertaking independent research (see Part 3 below). 2.2 Category A submitted staff In line with the REF guidance, ‘submitted’ staff will be designated as those from among the total pool of eligible staff who have been identified as having significant responsibility for research on the census date. As a consequence of this designation, their outputs can be included in the institution’s submission. 2.3 Significant Responsibility for Research In the REF guidance, staff with significant responsibility for research are defined as “ those for whom explicit time and resources are made available to engage actively in independent research, and that is an expectation of their job role ”. In addition, it is specified that “ many institutions will want to draw on the proportion of time that is allocated for research to

identify staff in scope. The funding bodies consider that this will be an appropriate approach, where there is a clear and agreed rationale for the proportion that is set ". Based on this guidance, it is proposed that eligible staff at UWE Bristol will typically be considered to have ‘significant responsibility for research’ if they: d) are Professors or Associate Professors, or e) have been allocated 110 bundles or more of ‘research time’ (approx 20%) within their workload for the year of the specified REF census date, pro rata for part-time staff, and f) are operating as independent researchers. It is important to recognise that the criteria for defining significant responsibility for research apply on the census date of 31 July 2020 and do not reflect the status of staff over the whole assessment period. While the REF process assesses research over an extended period (2014 to 2020), in terms of staff eligibility, the REF (as with the RAE before it) is based on a snapshot on the census date. The criteria for significant responsibility therefore reflect expectations on staff in relation to their roles and workload position as they are on the census date and are not linked to any expectations about either the quality or number of outputs that are generated over the assessment period.

• Professors and Associate Professors Professors and Associate Professors are typically considered to have significant responsibility for research as an expectation of their roles. Exceptionally these titles may be used where there is no such expectation e.g. senior managers and those appointed on the basis of their expertise and role in support of knowledge exchange rather than research. Where this is the case such staff will not be considered to have significant responsibility for research. This expectation should be explicit in the terms of their employment.
• Workload allocation 110 workload bundles (broadly equivalent to 20% of workload) is considered to reflect sufficient time and resources to justify someone being considered to have significant responsibility for research on the census date of the REF. As indicated above, it is a requirement that this is determined on the census date, it is not specifically a measure of the time or resources required to generate outputs for the REF, either during the year of the census date (2019/20) or over the assessment period of REF2021 as a whole (2014-2020). The workload allocation of part-time staff will be treated pro rata so that, for example, an eligible member of staff on a 0.5 FTE contract on the census date would be considered to have significant responsibility if they have 55 workload bundles or more for independent research or more (i.e. equivalent to 20% of workload, consistent with the % threshold for full-time staff).

will include comparing the equality profile of staff being allocated research time with that of those applying for such allocations (see section 1.8).

• Externally funded research Workload associated with externally-funded research is also included within the workload model of academic staff. All applications for external research income are provided with Full Economic Cost estimates relating to the proposed inputs of staff associated with the project. These are converted into an individual’s workload regardless of the grade of the member(s) of staff involved. Where this is designated as research workload for Category A eligible staff, this will count towards the 110 workload bundles used in the Code in the criteria for SRR, provided they are associated with an expectation that the staff are undertaking independent research. 2.4 Process for determining SRR As noted, staff will be considered ‘submitted’ for REF 2021 if they are considered to have significant responsibility for research on the census date (31 July 2020) according to the above criteria. Where appropriate, workload allocations will be those reflected in the final version of their workload model for the year of the census date (2019/20). As part of the preparations for REF2021, a mock process will be undertaken with 31 July 2019 as the census date. As a result, all Category A eligible staff will be made aware of whether they meet the definition of having ‘significant responsibility for research’ as at that census date, based on provisional data for workloads in 2019/20, and where appropriate whether they are considered to be independent researchers. Any changes to this status as they emerge during 2019/20 in the lead up to the REF census date, including any changes required as a consequence of the review of our Code of Practice by the Funding Bodies, will be communicated to the individual staff affected, and once the final Code is published. Any further changes to this status as a consequence of the applying the Code as on the census date of 31 July 2020 will also be communicated to the individual staff affected. Category A eligible staff (excluding Professors and Associate Professors) who join the university during 2019/20, and whose workload allocation only covers part of the year, will be considered to have SRR if their research time consists of the equivalent of at least 110 workload bundles for the year, calculated pro rata from the FTE period of employment during the year. So, for example, someone joining the University on a full-time contract on 1 February 2020 and who has an allocation of 55 research wlbs for the remaining 6 months of 2019/20 will be identified as having SRR (the FTE equivalent of this allocation for 12 months being 110 wlbs).

The same principle will apply to staff who are on long-term absence for a specific period during 2019/20 and whose workload allocation is only agreed for part of the year, including those, for example, on maternity leave and long term sickness. In such circumstances the period of absence and the period of the workload should be clearly identified and recorded_._ 2.5 Systems supporting the process Advice, procedures and information systems in support of the REF process are provided by staff in Research, Business & Innovation (RBI), led by the designated REF Manager with a team comprising a Deputy REF Manager and Head of Research Information & Systems. All data about people, outputs and other aspects of the REF process are held on a central database managed by RBI, held in accordance with the University’s data protection policy. This includes a REFCV system linked to the institutional repository that includes information about the research outputs of staff, and the outcomes of reviews of those outputs. The database also includes information from HR about the employment status of staff and data about workload allocations acquired from the University’s workload management system. Staff considered to have significant responsibility for research are identified through this information according to the process outlined above and in Appendix 4. 2.6 Decision-making process For both the mock and final submission, the information regarding SRR and research independence will be presented to the REFSIG and shared with the relevant Unit of Assessment lead. Any issues raised by the process will be considered by the REFSIG who will be the decision-making body. 2.7 Staff, committees and training The process of defining Significant Responsibility for Research and of considering the position of individual staff will be governed by the same committees described in Part 1 above. 2.8 Communication with staff As noted above, all staff will be made aware of their provisional status with respect to REF2021 following the Mock REF in 2019 via individualised emails (or letters if absent from work for an extended periods). An appeals process will be available for staff who wish to have their position reviewed. Any changes in status will be communicated directly to the relevant staff, and will be confirmed once the final Code is applied on the census date of 31 July 2020.