Falmouth University Code of Practice on the Selection of Staff for the Research Excellence Framework 2021 Version: 9th October 2020 This document is available in Microsoft Word, PDF, large print or audio. Please contact the Equality Engagement and Development Manager for more information, or if you require an alternative format. Contents Part 1: Introduction 3 • Principles 3 • Governance 4 • Equality & Diversity 7 • Communication 8 Part 2: Identifying significant responsibility for research 11 • Methodology for identifying significant responsibility for research 12 • Appeals Process 17 • Late Appointments 18 • Equality Impact Assessment 18 Part 3: Determining research independence 18 • Policies & Procedures 18 • Staff, Committees & Training 19 • Appeals 19 • Equality Impact Assessment 19 Part 4: Output selection 19 • Policies & Procedures 19 • Submitting outputs of former staff 22 • Staff, committees and training 22 • Process for declaring individual circumstances 22 • Fixed term and part time staff 24 • Equality Impact Assessment 24 Appendices 25 2 Part 1: Introduction 1. The Research Excellence Framework (REF) is a national exercise to assess the quality of research in UK Higher Education Institutions. The REF is undertaken by the four UK higher education funding bodies: Research England, the Scottish Funding Council (SFC), the Higher Education Funding Council for Wales (HEFCW), and the Department for the Economy, Northern Ireland (DfE). 2. Following a review of the REF in 2016 by Lord Stern, the staff selection methodology for the REF changed from a qualitative assessment of outputs to whether research is an expectation of job role, referred to as determining a ‘significant responsibility for research’. 3. It is a requirement of the Research Excellence Framework 2021 (REF2021) that Falmouth University (‘Falmouth’) establishes a Code of Practice which outlines; a. the processes for identifying staff with significant responsibility for research, b. the processes for determining research independence, c. the selection of outputs for REF submissions. 4. All processes articulated within the Code of Practice must operate within the context of all relevant equality legislation as well as the University's own equality and diversity policy. 5. The Code has been developed in accordance with the guidelines published by Research England and has been informed by our approach to the Research Excellence Framework 2014 (REF2014). 6. Since the last REF in 2014, there have been a number of significant developments in research and innovation activity at Falmouth. A strategic review of Research and Innovation in 2015 culminated in the creation of Falmouth’s three research and innovation themes; Design Thinking, Creative Connected Communities and Digital Economy. In 2017, research and innovation programmes were introduced to support the development of a critical mass within each theme. Individual Research and Innovation Plans (IRIPs) were introduced in 2018 to provide an opportunity for individuals to highlight their personal contributions to the development of Falmouth’s research portfolio. Principles 7. The Code of Practice follows the four principles set out in the ‘Draft guidance on Codes of Practice’, Research England, 2018. a. Transparency – The Code of Practice contains clear guidelines for identifying staff with significant responsibility for research, determining research independence and selecting outputs for inclusion in Falmouth’s REF submission. The 3 Code is available on the University’s intranet and has been widely publicised to all staff, including through personal emails, briefings in Departmental Boards and personal correspondence for staff currently absent from work. b. Consistency - The principles underpinning all aspects of identifying staff with significant responsibility for research are overseen by the REF Steering Group,1 who will ensure their consistent application. c. Accountability - The Code of Practice defines the roles and responsibilities of the individuals involved in all three stages of Falmouth’s REF submission, in addition to outlining details of the training they have received. Details of the operating criteria and terms of reference for individuals, committees, advisory groups and other bodies included in these processes are also included. d. Inclusivity - The process of identification outlined in the Code of Practice seeks to identify all staff who have a significant responsibility for research, all staff who are independent researchers, and the excellent research produced by all staff across all protected groups. Governance 8. The following section outlines the governance structure for the delivery of Falmouth’s REF2021 submission. 9. This Code of Practice has been authored by: a. Professor Alan Murray, Deputy Vice Chancellor (Academic) b. Professor David Prior, Director of Research c. Research & Innovation Theme Chairs d. Dan Jones, Director of HR e. Mhairi Ambler, Research & Development Projects Officer 10. The draft Code of Practice has been reviewed by the Chair of the Academic Board Diagram 1: Falmouth’s REF Governance system Ref Governance Report s to the academic board & research & innovation committee Appeals Panel 4 11. REF Steering Group 12. The REF Steering Group was established by the Vice Chancellor in February 2019 to oversee the developments of Falmouth University’s preparation for the REF2021. This group replaced the former research governance groups. The group are responsible for making recommendations to the Vice Chancellor on all aspects of the University’s submission including; determining Unit of Assessment selection, selecting and developing impact case studies, developing the Environment statement, identifying staff with significant responsibility for research, determining research independence and selecting outputs. The group are responsible for ensuring implementation of the Code of Practice is in adherence to its principles and to Equality & Diversity policy, receiving outcomes of the Appeals Panel request and of the requests for individual circumstances. Table 1: Overview of REF Steering Group membership Role Role fit within Falmouth Rationale for inclusion in the REF University’s management Steering Group framework Deputy Vice Chancellor Responsible for overseeing Responsible for chairing the group Research & Innovation the University’s 2030 and overseeing the University’s Research & Innovation preparation for the REF. Strategy Director of Research & Responsible for overseeing To ensure that all academic staff are Creative Connected the University’s Research aware of the University’s preparation Communities Chair. and Innovation 2030 for REF2021 and to provide strategic Deputy Chair of REF Strategy guidance on Falmouth’s REF2021 Steering Group submission, including output selection, environment statements and impact case studies Research Chair Digital Economy R&I Chair Strategic lead for Falmouth’s REF2021 submission, including output selection, environment statements and impact case studies Research Chair Design Thinking R&I Chair Strategic lead for Falmouth’s REF2021 submission, including output selection, environment statements and impact case studies Head of Employee Responsible for delivery of To provide advice and guidance on HR Relations & HR Business the University’s 2030 issues, with specific reference to Partnering, Chair of People Strategy Equality & Diversity in relation to Equality & Diversity identification of staff with significant Group responsibility for research. Internal Communications Responsible for the To advise on appropriate internal Officer management of the communication channels. University’s internal communication 5 REF Manager & Responsible for the delivery To ensure the University’s preparation Institutional REF Contact of the University’s strategic for REF, adhere to Research England research projects; REF & guidance and sector best practice. Research Degree Awarding Powers (RDAP). Research & Innovation Responsible for providing To provide secretarial support to the Administrator comprehensive, proactive REF Steering Group. and confidential administrative support to the Research and Innovation teams. 13. REF Advisory Panel 14. The REF Advisory Panel was appointed by the Director of Research in March 2019 to provide subject specialist advice to the REF Steering Group. The group will be involved in the implementation of the Code of Practice by reviewing all IRIP returns to; identify staff with significant responsibility for research, determine research independence and select outputs. Members of the REF Advisory Panel are responsible for communicating the methodology of the Code of Practice to all substantive academic staff, providing guidance and support and advising staff on the appeals and declaration of individual circumstances processes. 15. Table 2: Overview of REF Advisory Panel membership Role Role fit within Falmouth Rationale for inclusion in the University’s management REF Advisory Panel framework Director of Research & Responsible for overseeing To provide leadership and Creative Connected the University’s Research and guidance to the REF Advisory Communities Chair. Deputy Innovation 2030 Strategy Panel. Strategic lead for Chair of REF Steering Group Falmouth’s REF2021 submission, including output selection, environment statements and impact case studies Research & Innovation Digital Economy R&I Chair & Strategic lead for Falmouth’s Chair Programme Lead REF2021 submission, including output selection, environment statements and impact