Staff disclosure of individual circumstances

A range of individual circumstances may impact on the number of research outputs staff have produced over the Research Excellence Framework 2014 (REF) census period, which should be taken into account by the panel selecting staff for submission to the REF.

In certain cases, eligible staff may be submitted to the REF with fewer than four research outputs. In line with the REF Panel criteria and working methods (Forthcoming, January 2012), higher education institutions will take the following circumstances into consideration:

• Early career researchers (started career as an independent researcher on or after 1 August 2009)
• Junior clinical academic staff who have not gained a Certificate of Completion of Training by 31 October 2013
• Part time employment
• Career break or secondment outside of the HE sector in which the individual did not undertake academic research
• Maternity leave, statutory adoption leave and additional paternity leave (taken by partners of new mothers or co-adopters
• Disability (including conditions such as cancer and chronic fatigue)
• Ill health or injury
• Mental health conditions
• Constraints relating to pregnancy, maternity, breastfeeding, adoption, paternity or childcare in addition to periods of maternity, statutory adoption or additional paternity leave taken.
• Other caring responsibilities (including caring for an elderly or disabled relative)
• Gender reassignment

Enabling staff disclosure

The four UK funding bodies recommend that HEIs submitting to the REF develop robust procedures to enable staff to disclose individual circumstances that may impact on the number of research outputs that they have produced.

The Assessment framework and guidance on submissions recommends a proactive approach to encourage all staff eligible for submission to the REF to complete a form about their individual circumstances (see Templates below).

To encourage staff disclosure of individual circumstances that may be sensitive, HEIs should consider how to:

• reassure staff about the way in which data will be stored
• communicate any safeguards that exist to protect staff members' confidentiality and privacy
• support staff who disclose individual circumstances that they were previously unaware of
  

Data protection and confidentiality

The Data Protection Act 1998 requires HEIs to comply with a number of important principles regarding privacy and disclosure when handling personal data. This includes ensuring such data are processed and used for limited purposes, are accurate and up to date.

Some of the data that HEIs will need to collect for REF purposes on individual staff circumstances are classed as sensitive personal data under the Act and are subject to stricter forms of processing. HEIs may want to consult their human resources division, or data manager, on requirements for storing and handling such data.

You can also find information from the Information Commissioner's Office.

If a member of staff informs someone of their personal circumstances their permission must be sought before the information is passed on or stored. Where staff do not provide permission HEIs may be limited in the actions they can take. Staff cannot be compelled to provide information about their circumstances or to give permission for it to be stored or passed on.

Templates

ECU and the REF Team have designed a template disclosure form and covering note, which can be adapted by HEIs submitting to the REF.

All staff eligible for submission to the REF should be encouraged to complete the form.

• Template covering note

• Template individual circumstances disclosure form

These examples of staff disclosure forms used in the Research Assessment Exercise 2008 may also be useful:

• RAE 2008 staff disclosure examples