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Reduction Requests
The Guidance on Submissions indicated that where a given unit has been disproportionately affected by equality-related circumstances, it is appropriate for the institution to seek a reduction to the total number of outputs required for that unit.
The University has set out within the Code of Practice (paragraph 45) that requests to Research England for reductions to the output pool should be limited to those Units of Assessment where the cumulative effect of any required reduction is greater than 20% of their overall anticipated output profile (2.5 x FTE).
Research England has provided detail on the various equality related circumstances that would apply when considering output reduction requests.
Early Career Researchers: Permitted reduction in outputs
Table L1 sets out the permitted reduction in outputs without penalty in the assessment that HEIs may request for ECRs who started their career as independent researchers on or after 1 August 2016. For the purposes of REF, an individual is deemed to have started their career as an independent researcher from the point at which: a) they held a contract of employment of 0.2 or greater, which included a primary employment function of undertaking 'research' or 'teaching and research', with any HEI or other organisation, whether in the UK or overseas, and b) they first met the definition of an independent researcher, i.e. an individual who undertakes self-directed research, rather than carrying out another individual's research programme.
| Date at which the individual first met the REF definition of an ECR: | Output pool may be reduced by up to: |
|---|---|
| On or before 31 July 2016 | 0 |
| Between 1 August 2016 and 31 July 2017 inclusive | 0.5 |
| Between 1 August 2017 and 31 July 2018 inclusive | 1 |
| On or after 1 August 2018 | 1.5 |
Secondments or career breaks: Permitted reduction in outputs
Table L2 sets out the permitted reduction in outputs without penalty in the assessment that HEIs may request for absence from work due to secondments or career breaks outside of the HE sector, and in which the individual did not undertake academic research.
| Total months absent between 1 January 2014 and 31 July 2020 due to a staff member's secondment or career break: | Output pool may be reduced by up to: |
|---|---|
| Fewer than 12 calendar months | 0 |
| At least 12 calendar months but less than 28 | 0.5 |
| At least 28 calendar months but less than 46 | 1 |
| 46 calendar months or more | 1.5 |
Qualifying periods of family-related leave: Permitted reduction in outputs
The total output pool may be reduced by 0.5 for each discrete period of:
| Output pool may be reduced by up to: | |
|---|---|
| Statutory maternity leave or statutory adoption leave taken substantially during the period 1 January 2014 to 31 July 2020, regardless of the length of the leave. | 0.5 |
| Additional paternity of adoption leave, or shared parental leave lasting for four months or more, taken substantially during the period 1 January 2014 to 31 July 2020. | 0.5 |
While the above reduction of outputs due to additional paternity or adoption leave is subject to a minimum period of four months, shorter periods of leave could be taken into account, for example where there are additional circumstances.
Circumstances that require judgement
Circumstances with an equivalent effect to absence, that require a judgement about the appropriate reduction in outputs are listed below. Where staff have had any of these circumstances during the assessment period including in combination with any circumstances with a defined reduction in outputs, the instituion will need to make a judgement about the effect of the circumstances in terms of the equivalent period of time absent, and apply the reductions as set out in Table L2 by analogy.
| Disability |
| Ill health, injury or mental health conditions |
| Constraints relating to pregnancy, maternity, paternity, adoption or childcare |
| Other caring responsibilities (such as caring for an elderly or disabled family member) |
| Gender reassignment |
| Other circumstances relating to protected characteristics or related to activities protected by employment legislation |
Combining circumstances
Where individuals have had a combination of circumstances that have a defined reduction in outputs, these may be accumulated up to a maximum reduction of 1.5 outputs.
Other circumstances that apply in UoAs 1-6
In UoAs 1 - 6, the number of outputs may be reduced by up to one without penalty in the assessment, for submitted staff who are junior clinical academics. These are defined as clinically qualified academics who are still completing their clinical training in medicine or dentistry and have not gained a Certificate of Completion of Training (CCT) or its equivalent prior to 31 July 2020. Where the individual meets this criterion, and has had significant additional circumstances, the institution can make a case for further reductions in the unit reduction request.
Part-time working
As part-time working is taken account of within the calculation for the overall number of outputs required for the unit, (which is determined by multiplying the unit's FTE by 2.5), reduction requests on the cases of part-time working hours will only be made exceptionally.