REF 2014: Individual Staff Circumstances
HEIs are responsible for selecting eligible staff whose outputs are to be
included in their REF submissions. Up to four outputs must be listed against
each individual. However, this can be reduced without penalty where an
individual's circumstances have constrained their ability to work productively
throughout the REF assessment period. A wide range of circumstances will be
taken into account and HEFCE have provided as much clarity as possible about the
permitted reductions. Individual staff circumstances will be treated
consistently across the exercise. HEFCE have developed robust procedures and
confidentiality arrangements to enable staff to disclose sensitive information.
Individual staff circumstances may be either clearly defined circumstances or
complex circumstances.
- Status as an early career
researcher (ECR). These are individuals of
any age who meet the criteria to be selected
as Category A or Category C staff on the
census date (31 October 2013) and who
started their career as independent
researchers on or after 1 August 2009.
- Part-time working or
other flexible working arrangements.
- Absence on maternity,
paternity, parental or adoption leave and
arrangements on return to work following
these periods of leave.
- Prolonged absences
(absences for more than six months
consecutively in the assessment period) but
which do not fall into one of the categories
above. They include:
-
Secondment to non-academic
positions outside the higher
education sector, and in
which the individual did not
undertake academic research.
- Career breaks for
purposes unconnected with
research, teaching or other
academic duties.
- Disability, ill-health
and injury, including:
- Any disability to which
the Equality Act 2010
applies, including both
permanent disabilities and
any temporary disability;
- Absence from work on the
advice of a registered
medical practitioner.
- Constraints related to
pregnancy or maternity, in addition to a
clearly defined period of maternity leave,
including:
- Medical issues
associated with pregnancy or
maternity;
- Health and safety
restrictions in laboratory
or fieldwork during
pregnancy or breastfeeding;
- Constraints on the
ability to travel to
undertake fieldwork due to
pregnancy or breast-feeding.
- Time spent acting as a
carer or other domestic commitments.
- Gender reassignment.
- Other absences which the
institution is legally obliged to permit
including:
- Time off for religious
observance;
- Absence arising out of
involvement as a
representative of the
workforce.
- Any other personal
circumstances which are considered to have
significantly constrained an individual’s
ability to produce the expected volume of
research outputs in the assessment period.
For clearly defined circumstances, there is a 'tariff' to determine the
reduction in number of outputs that may be submitted without penalty in the
assessment. Where an individual has had a combination of circumstances with
clearly defined reductions in outputs, these may be accumulated up to a maximum
of three outputs.
Clearly defined circumstances tariff
-
Early career researchers
| Date at which the
individual first met the REF definition of an
early career researcher: |
Number of outputs may be reduced by up to: |
| On or before 1 August 2009 and 31 July 2010
inclusive |
0 |
| Between 1 August 2009 and 31 July 2010
inclusive |
1 |
| Between 1 August 2010 and 31 July 2011
inclusive |
2 |
| On or after 1 August 2011 |
3 |
-
Absence from work due to part-time working, secondments or
career breaks
| Total months absent
between 1 January 2008 and 31 October 2013 due
to working part-time, secondment or career
break: |
Number of outputs may be reduced by up to: |
| 0 - 11.99 |
0 |
| 12 - 27.99 |
1 |
| 28 - 45.99 |
2 |
| 46 or more |
3 |
The allowances are based on the length of the individual's absence or
time away from working in higher education. They are defined in terms of
total months absent from work. For part-time working, the equivalent 'total
months absent' should be calculated by multiplying the number of months
worked part-time by the full-time equivalent (FTE) not worked during those
months. For example, an individual worked part-time for 30 months at 0.6
FTE. The number of equivalent months absent = 30 x 0.4 = 12.
-
Qualifying periods of maternity, paternity or adoption
leave
Individuals may reduce the number of outputs by one, for each discrete
period of:
- Statutory maternity leave or statutory adoption leave
taken substantially during the period 1 January 2008 to 31
October 2013, regardless of the length of the leave.
- Additional paternity or adoption leave[1]
lasting for four months or more, taken substantially during
the period 1 January 2008 to 31 October 2013.
[1] ‘Additional paternity or adoption
leave’ refers to leave of up to 26 weeks which is taken to care for a child
where the person’s spouse, partner or civil partner was entitled to
statutory maternity leave or statutory adoption leave, and has since
returned to work. The term ‘additional paternity leave’ is often used to
describe this type of leave although it may be taken by parents of either
gender. For the purposes of the REF we refer to this leave as ‘additional
paternity or adoption leave’.
Complex circumstances
Where staff have had one or more complex circumstances - including in
combination with any circumstances with a clearly defined reduction in outputs -
the University will make a judgement on the appropriate reduction in the number
of outputs to be submitted
based on worked examples published by the Equality Challenge Unit (ECU). If
an appropriate worked example does not exist, the University will seek advice
from the ECU.
Disclosure of Individual Staff Circumstances
All staff potentially eligible for selection have been asked to complete an ‘Individual
Staff Circumstances Disclosure’ form about their individual circumstances.
These will be reviewed by the REF Individual Staff Circumstances Review Group to
ascertain whether there is evidence to support a reduction in the number of
research outputs required in order to be selected for inclusion in the REF
submission. The membership of the REF Individual Staff Circumstances Review
Group is Professor David Sanders, Pro-Vice-Chancellor (Research and Enterprise),
Professor Debi Roberson, Research Strategy Committee member, Sarah
Manning-Press, Research Governance and Planning Manager, and Karen Bush,
Equality and Diversity Manager. It should be noted that it is always in the
University’s interests to view sympathetically requests for individual staff
circumstances to be considered.
Downloads List
-
26 July 2012
Word Document
(28K)
Eligible staff have been invited to submit an individual
staff circumstances disclosure form. The form can be submitted at any time
until 30 June 2013. The file contains the invitation and the form.
-
May 2012
Adobe PDF File
(155Kb)
ECU case studies to illustrate complex circumstances,
with example decisions on the reduction of outputs. These have been approved
by the four Main panel chairs and by the REF Equality and Diversity Advisory
Panel. They demonstrate the information that institutions are required to
complete.
-
30 January 2012
Adobe PDF File
(155Kb)
This is an extract from an addendum to the 'Assessment
framework and guidance on submission' (REF 02.2011). It constitutes
amendments which appear in the 'Panel criteria and working methods' (REF
01.2012). The extract contains the full set of arrangements concerning
individual staff circumstances.