ࡱ>  Lbjbj]q]q (??D. . uuuuut3s3u3u3u3u3u3u35L8\u3uu38uu;3888uus38s388-uu/ITR_./303u.888,/8/u/. ;:   Consultation questions Overall draft panel criteria and working methods The generic and four main panel statements achieve an appropriate balance between consistency across the exercise and allowing for justifiable differences between the four main panels. Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Are there particular aspects of the criteria and working methods that should be more consistent across all the main panels? Are there differences between the disciplines that justify further differentiation between the main panel criteria? Where referring to particular main panels, please state which one(s). As with the policy on individual circumstances 51 believes that the people element of the REF environment factor should be consistent across all panels. Under the people section there is some good practice identified in the various panels but we would like to see this presented in a consistent manner and in a way that the evidence of these indicators has a tangible and measurable benefit on staff strategy and staff development. We expand upon this in our response to question 7 on the research environment.  Individual staff circumstances The proposals for determining the number of outputs that may be reduced without penalty, for staff with a range of individual circumstances, are appropriate (Part 1, Tables 2 and 3). Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on these proposals. Respondents are also invited to comment specifically on: whether Tables 2 and 3 are set at appropriate levels the proposed options for taking account of pregnancy and maternity (Part 1, paragraph 62) whether a consistent approach across the exercise is appropriate, or whether there are any specific differences in the nature of research that justify differences in the approach between UOAs or main panels. If commenting in respect of particular panels or disciplines, please state which. We welcome the attempts made in the REF 2014 draft criteria and working methods to support staff whose ability to produce outputs has been negatively affected by their circumstances. We also welcome the move towards a more consistent approach towards dealing with equality and diversity, including clearer rules for the inclusion of early career researchers and a new centralised system for dealing with complex circumstances. However, we believe that there are three major deficiencies with the current proposals. First, one of the circumstances that can constrain an academics ability to produce four outputs or to work productively throughout the assessment period is trade union activity in higher education. We, therefore, suggest that trade union activity be included as one of the examples listed under individual staff circumstances. Second, the decision to opt for a 14 month minimum tariff period is extremely detrimental to staff who have taken maternity and adoption leave during the census period. For example, the draft proposals only benefit women who bear at least 2 children during a REF cycle and who take more than 7 months maternity leave for each child. The proposed tariff completely fails to recognise the disruptive nature of pregnancy, maternity and adoption leave on academic productivity. We have received numerous critical comments from 51 members on this aspect of the consultation document. These concerns are well summarised by the following response: As a woman university lecturer who has recently taken a period of maternity leave I find the proposed "allowance" for maternity leave under the REF deeply concerning. Despite taking a year's maternity leave when I had my son in 2010, under the main proposal in the draft this will make NO DIFFERENCE to the number of outputs required from me.The potential consequences of this rule for one's career are extremely serious. If one is not submitted for the REF (the likely consequence of not meeting the required number of outputs), then one is likely to be deemed non-research active by one's department/university and penalised accordingly in the allocation of teaching and admin duties, research funds, etc. As far as I am concerned, this would be the end of my academic career. We note that there is a proposal in the consultation document to allow women who have taken maternity leave to also apply via the complex circumstances route. However, this fails to address the fears of many women academics who believe that the complex circumstances route would leave too much discretion to individual institutions. In the 2008 RAE institutions were often reluctant to include women with less than four publications on the grounds that panels might judge one of the outputs as unclassified. It is important to avoid a similar scenario in the 2014 REF, where institutional pressures to adopt ultra-selective selection procedures are likely to be even greater. Because of these widespread concerns, 51 supports the alternative proposal in paragraph 62 to reduce the number of outputs by one for each discrete period of maternity leave taken during the REF cycle. (Another potential approach may be to reduce the tariff for all forms of individual staff circumstances). Thirdly, the decision to automatically exclude the bulk of fixed-term Research Assistants/Associates (Assessment framework and guidance on submissions, para. 80-1) may undermine the principles of equality and diversity supported by the REF. Women and BME academics are generally over-represented in these employment categories and therefore the staff eligibility requirements of the REF may reinforce discrimination against these groups. For the remaining questions, please provide a separate response for each main panel criteria statement (Parts 2A, 2B, 2C and 2D of this consultation) Main panel criteria and working methods The main panel statement achieves an appropriate balance between consistency and allowing for discipline-based differences between the sub-panels. Strongly Agree AgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on the balance between consistency and allowing for discipline-based differences between the sub-panels within this main panel. Please state the UOA(s) on which you are commenting.  Submissions and units of assessment (Section 1) Do the UOA descriptor and boundary statements provide a clear and appropriate description of the disciplines covered by the UOAs? Please include any suggestions for refining the descriptors and state which UOA(s) you are commenting on.  Please comment on the main panels criteria in relation to multiple submissions in its UOAs.  Assessment criteria: outputs (Section 2) Overall, the main panel criteria relating to outputs are clear and appropriate. Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on the criteria in Section 2, in particular on where further clarification is required or where refinements could be made. 51 continues to have major reservations about a research assessment process based on HEIs selecting particular academic staff for inclusion or non-inclusion. The 2008 RAE resulted in a significant amount of unfair and punitive treatment of academic staff and we fear that similar practices will occur in the 2014 REF. One of our major concerns is that there is a very fine line between the various starred levels and yet these distinctions will have a significant effect on funding levels and the potential to make or break an academics career. For example, there is likely to be a significant gap in the funding ratios between 4* and 3* research and yet panels will be expected to make difficult distinctions between research that is world-leading (4*) and research that is internationally excellent (3*). We are particularly concerned about the narrow distinction between research that is internationally excellent (3*) and research that is merely internationally recognised (2*). Early indications from 51 branches suggest that there will be significant pressure on academics to produce 4 three or four star publications. This is extremely onerous, particularly when other responsibilities are taken into account. It essentially means academics will be expected to produce a piece of world-leading research, or at least internationally excellent research every 18 months. Problems over the distinctions between the starred levels are amplified by the lack of transparency regarding the funding process. There is an assumption in the sector that only 3* and 4* star outputs will be funded and yet institutions are essentially trying to second-guess decision making processes that will be made in 2015. For many years 51 has argued that the funding levels for the different starred levels must be published prior to the exercise (as suggested by Gareth Roberts in his original report) and we urge the funding councils to pursue this with the various government departments. We welcome the fact that no panel will make use of journal rankings or journal impact factors (para. 72). However, we suspect that many submitting units, particularly in research-intensive universities, will continue to use journal rankings as one of the factors in their staff selection criteria, particularly as a way of cutting down the amount of time spent reading outputs. We are pleased that for most panels citation data will not be used (para. 71-3). There are a small number of panels, in particular the subjects that fall under Main Panel A, where citation data will be used. Although the intention is to use citation data as secondary or supplementary forms of information, we are concerned that it may be inappropriate to use it for some of the disciplines under Main Panel A (for example, social psychology, health studies etc). There are also ongoing concerns about the potential equality implications of using citation data as additional information and we suggest that this issue be included as part of the remit of the Equalities and Diversity Advisory Panel (EDAP).  Assessment criteria: impact (Section 3) Overall, the main panels criteria relating to impact are appropriate and helpful to institutions in preparing submissions. Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on the criteria in Section 3, in particular on where further clarification is required or where refinements could be made. From the beginning 51 has expressed major concerns about the imposition of impact criteria in peer review and in the REF. Many academics view the impact agenda as a government-led attack on core academic values and the ethos of university research. For example, in 2009 over eighteen thousand academics, higher education professionals and researchers signed a 51 petition calling for the UK funding councils to withdraw the original impact proposals for the REF. We, therefore, are disappointed that impact criteria have retained a 20% weighting in the 2014 REF. A more limited case study approach is preferable to requiring all academics to engage artificially with the impact agenda (i.e. as is required by the research councils). However, the current impact proposals are still likely to increase the bureaucratic requirements and games-playing potential of the REF. In addition, we suspect that the REF panels will find it very difficult to make valid and reliable distinctions between the various starred levels for assessing impact, i.e. outstanding, very considerable, considerable, recognised but modest.  Assessment criteria: environment (Section 4) Overall, the main panel criteria relating to environment are clear and appropriate. Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on the criteria in Section 4, in particular on where further clarification is required or where refinements could be made. Under the people element we believe that evidence of good practice should be presented in a consistent manner and in a way that the evidence of these indicators has a tangible and measurable benefit on staff strategy and staff development. Key within this should be indicators that measure how well research staff at all levels and at all career stages are supported, developed and encouraged to carry out their research. Evidence from our members engaged in research is that insecurity of employment remains a major barrier to these objectives so we think it is crucial that a measure of employment security is included in this factor. We also believe that there needs to be indicators relating to how well staff are supported within the research environment and what developmental opportunities are available to them. We therefore believe that the following evidence and indicators should be included under the Staffing strategy and staff development heading for each panel: Evidence of improving the security of employment of research only staff for example: evidence on the use of fixed-term contracts; levels of research staff turnover; facilities to allow research staff to move between projects; availability of bridging funds; effective redeployment systems (including an indication of the levels of success); and agreed policies on meaningful consultation with the aim of avoiding dismissal when research posts are at risk of redundancy Sustainable staff structure this should include: evidence of measures used to support research only staff moving between projects; and clear procedures for career progression of staff at all stages of their careers (including fixed-term staff). Staff development strategy and support, for all staff contracted to undertake research (including research assistants and early career researchers), at all stages of their careers, including: the use of mentoring; probation; appraisal; training; support on bidding for fellowships and / or research grants; opportunities for promotion; and provision of careers advice. Evidence of how individuals at the beginning of their research careers are being supported and integrated into the research culture of the submitting unit, such as through lighter loads for early career researchers. Implementation of the Concordat to Support the Career Development of Researchers and evidence of its positive influence. Evidence of how submitting units are listening to the views of research staff (e.g. use of the Careers in Research Online Survey (CROS) and Principal Investigator and Research Leader Survey (PIRLS)) Evidence of how the submitting unit supports equalities and diversity including: evidence that equality of opportunity is being effectively promoted and delivered in arrangements for developing the research careers of all staff (including, where appropriate, Category C staff) including: study leave (evidence may include numbers of staff and length of period of leave); opportunities extended to develop the research careers of part-time staff, staff whose research career has been interrupted for any reason, and those seconded from outside academia; evidence of commitment to equal opportunities in the recruitment and support of research staff; evidence of the submitting unit's strategies, activities and collaborations that support diversity and enable staff drawn from a wide cross-section of society to engage in research. Finally, although 51 welcomes the inclusion of the people element within the research environment, we are concerned that key aspects of the 2014 REF will undermine the potential to support, develop and encourage research staff. Of particular concern is the definition of Category A staff in the Assessment framework and guidance on submissions, which in practice will lead to the exclusion of most fixed-term Research Assistants/Associates. This automatic exclusion from the REF may, in turn, help to undermine flagship policies such as the Concordat to Support the Career Development of Researchers. We therefore call on the funding bodies to revisit the definitions relating to Research Assistants/Associates.  Working methods (Section 5) Overall, the working methods of the main panel and its sub-panels are clear and appropriate. Strongly AgreeAgreeNeither agree or disagreeDisagreeStrongly disagree Please comment on the working methods, in particular on where further clarification is required or where refinements could be made. We would like to comment on the process for appointing additional assessors (Annex C). Our comments stem from concerns about the overall representativeness of all REF panels, particularly in relation to BME membership. These concerns have been recognised in the Analysis of panel membership report published on behalf of all the funding bodies. In addition, 51 believes that there is an issue about the potential lack of expertise in the areas of race and ethnic studies on particular subject panels (e.g. Social Policy, Politics, Theology etc). We believe that the appointment of additional assessors in 2013 provides an opportunity to address concerns about panel representativeness (both in relation to ethnic composition and the lack of expertise in the areas of race and ethnic studies on relevant subject panels). We encourage the REF team to work with panels on addressing these issues in the recruitment process. We believe that this is likely to require sub-panels to seek new nominations from the various nominating bodies.  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