RAE 2008 Submissions
Equality and Diversity Code of Practice

The University is required by the Funding Councils to draw up and put into operation a code of practice to address the issues of equality and diversity in the preparation of RAE 2008 submissions. The University is fully committed to being an equal opportunities employer and providing equality of opportunity to all its staff. The University does not discriminate on grounds of age, disability, race, religion or belief, sex or sexual orientation.

1 Introduction

1.1 The Research Assessment Exercise is designed to assess the quality of research in UK universities. The output of the exercise is used by the Funding Councils to allocate the quality-related, dual support funding for research infrastructure to individual universities. The output of the assessment determines funding for a five year period or more and for this University the RAE 2008 submission will influence about £80M income to the University.

1.2 The RAE involves the rating of the research performance of staff grouped by subject Units of Assessment against world leading, international and national standards of research excellence. Research output will be graded (unclassified,1,2,3 or 4 star) in order of increasing research excellence (see RAE Guidance on Submission).

1.3 The Guidance on Submissions identifies "Equality" as one of the principles which will govern the conduct of the RAE and states: "HEI's are encouraged to submit the work of all their excellent researchers, including those whose volume of research output has been limited for reasons covered by equal opportunities guidelines. The RAE Panels have been instructed on current and pending equality and diversity legislation which may have an effect on RAE 2008 and the panel criteria will consider this".

1.4 The purpose of this document is to lay out the policy that the University will pursue in relation to its submission in RAE 2008 and to define the Code of Practice for selection of academic staff for submission in the exercise.

1.5 Eligible staff who are not selected for submission to RAE 2008 may continue to receive mentoring and appropriate support for research as defined via the normal mentoring process.

2 Principles for Academic Staff Selection for RAE 2008

2.1 All eligible academic staff (defined in RAE documentation) will be considered for inclusion in the RAE 2008 submission.

2.2 The decision to include staff will be based on the quality of their research output over the eligible period.

2.3 Only staff who are considered to contribute output at category 1 star or above will be submitted.

2.4 The normal expectation is that 4 pieces of research output will be required from each member of staff (some Units of Assessment may differ).

2.5 The University will seek to maximise the number of staff submitted.

2.6 Selection of staff for submission will be conducted in a manner consistent with the Code of Practice described in this document (3 below). Staff involved in the selection procedures should be familiar with the information included in the Equality Challenge Unit website Guidance for RAE submission (see appendix).

2.7 An appeal mechanism for staff challenging decisions for RAE 2008 inclusion will be in place (5 below).

3 Code of Practice on Equality & Diversity for RAE 2008 submission process

3.1 The purpose of this code of practice is to ensure that the maximum number of staff who are conducting excellent research have their work included in submissions in the RAE 2008. The Code also aims to make all the processes concerned with selection of staff for inclusion in RAE 2008 submission fair, transparent and consistent across the institution.

3.2 The Code has been drafted in accordance with the guidance provided in Annex G of the RAE 2008 Guidance on Submissions. The Code has been prepared fully within the context of the Equality and Diversity legislative requirements and framework.

3.3 The Principal is required to confirm that the University has, in preparing its submissions and selecting staff for inclusion, developed, adopted and documented an appropriate internal code of practice, which attends to all relevant equality and diversity legislation in force on the submission date. The University may be required to submit this for verification.

3.4 The framework of equality and diversity legislation and the University's policies will be applied throughout the RAE 2008 process to ensure equality, transparency and fairness. The Code will be applied consistently across the University taking into consideration local and individual circumstances and specific Unit of Assessment (UoA) panel guidelines.

3.5 The Code of Practice describes processes concerned with selection of staff for inclusion in the RAE 2008 submission. It clearly defines responsibilities and terms of reference for committees.

3.6 The Code will be widely publicised and will be available on the University website.

3.7 It is important that the University can demonstrate that selection of staff for submission to RAE 2008 has been carried out in a non-discriminatory manner. The University will provide specific training on equality and diversity issues in relation to RAE 2008. All persons involved in the selection process are strongly encouraged to take part in this training.

3.8 All relevant RAE Guidance, equality legislation and University policies are listed at the end of this document.

4 Procedures

4.1 Overall responsibility for the preparation and content of the University's submission in RAE 2008 lies with the Vice-Principal of Research and Enterprise who is responsible for the implementation of the University research strategy with particular focus on the RAE 2008 submission.

4.2 The University Research Committee will advise the Vice Principal for Research & Enterprise on matters relating to the University submission for RAE 2008.

4.3 Initial selection of staff for submission will be carried out at the Unit of Assessment level.

4.4 For each Unit of Assessment an Academic Leader will be appointed by the appropriate Dean/or Head(s) of College/Faculty/School. The UOA Academic Leader will normally be a senior academic of Professorial or Reader level. In appointing staff to this role, Deans will take into account ability to assess research quality across the discipline and aptitude for open and inclusive working with fellow academic staff.

4.5 A Unit of Assessment Planning Group will be constituted under the direction of the UOA Academic Leader. The Planning Group, which will have a defined membership and will be responsible for the initial selection of staff for submission. A minimum of one member of this group is required to have undertaken Equality and Diversity training (see 3.7). The Planning Group will report to the relevant Head(s) of the lead College/Faculty/School.

4.6 The Planning Group will be required to carry out an assessment of the quality of research output for all academic staff who may be considered for inclusion within that Unit of Assessment.

4.7 The Planning Group will be required to produce specific criteria for the assessment of the quality of research output of individuals considered for inclusion (see UOA Guidelines for criteria to be used in the RAE 2008).

4.8 A written record of the selection process must be produced by the Academic Leader of the UOA Planning Group. Sections of this record, specific to an individual, must be made available to that academic staff member (considered for the UOA) if he or she so requests. This record will be required in any subsequent appeal process.

4.9 Staff who object to the initial UOA Planning Group decision on their inclusion and/or who consider that their circumstances merit special consideration should inform in writing within 10 working days to their Head of School/Faculty/College, who will ensure in consultation with the UOA Academic Leader that consideration is given to their circumstances in the selection process. The Head of College/Faculty/School will inform such staff in writing of the outcome of such discussions within 10 working days.

4.10 The Unit of Assessment Planning Group will ensure that staff who have not been initially selected for submission are informed by 1^st May 2007.

4.11 Academic staff who disagree with the decision for inclusion after discussion with the Head(s) of the relevant Colleges/Faculties/Schools should so inform the Vice-Principal for Research and Enterprise in writing stating clearly the reasons for their disagreement before 8 June 2007. The Vice Principal will discuss the matter with the relevant Head(s) and the academic leader and possibly others to finalise the University's decision for submission.

4.12 The Vice-Principal for Research and Enterprise will consider the inclusion of staff in alternative Unit of Assessment submissions as appropriate.

4.13 The University will give special consideration to excellent researchers whose volume of research output in the assessment period may have been limited or affected by one of the following circumstances:

1. Absence due to maternity/parental/adoption/carer's leave.
2. Women returning to part-time work after maternity leave in the period 1 January 2001 to 31 October 2007 (RAE assessment period).
3. Parents returning to part-time work after maternity/paternal/adoption/carer's leave in the RAE assessment period.
4. Part-time work/fixed-term contracts.
5. Disability, including temporary incapacity that lasts for at least 12 months. Disability Discrimination Act 2005 also covers people with cancer, Multiple Sclerosis and HIV from the point of diagnosis.
6. Early career researchers or mature staff who entered a research career or the profession during the period 1 January 2001 to 31 October 2007.
7. Absence for more than six months consecutively during the assessment period due to secondment, career break, ill-health or injury (including disability)
8. Any health and safety restrictions imposed in pregnant and breastfeeding women which may have prevented them from undertaking some types of laboratory based research during the period 1 January 2001 to 31 October 2007. Similar consideration should be given to the restrictions that pregnancy and breastfeeding might place on fieldwork.

The University acknowledges that the above listing of individual personal circumstances is not exhaustive.

4.14 The Vice Principal for Research and Enterprise will aim to inform the staff member of the University's final decisions regarding their inclusion in the RAE 2008 submission by 29 June 2007.

4.15 Specific allowance is made for the confidential inclusion of individual staff circumstances which may have influenced research output in the RAE 2008 submission (RA 5b).

4.16 The University will ensure that those individual members of academic staff who are to be included in a submission with fewer than four outputs for reasons such as those set out in 4.12 have given consent to the inclusion of personal information in the submission which relates to their particular circumstances (Section RA 5(b)).

4.17 The University will ensure that academic and research staff who are eligible for submission to the RAE 2008 are kept informed of progress in formulating submissions and receive individual feedback on the inclusion or otherwise of their work in the submission as required.

5 Disagreement with Decision

5.1 The procedures described above allow for informal consideration of individual staff concerns. The Vice Principal for Research and Enterprise will confirm the University's decision for staff not selected for RAE 2008 submission by 29 June 2007.

5.2 Academic staff may appeal against the University's decision for non selection.

5.2.1 All eligible academic staff who have been identified for exclusion will have the right to appeal on the grounds that:

• any 'special circumstances' as outlined in 4.12, above, have not been given appropriate consideration;
• the processes on selection outlined in this Code of Practice were not applied or applied incorrectly or inconsistently.

5.2.2 The Director of HR will set up an Appeal Panel constituted as follows:

• Minimum of three members of academic staff:
  • a minimum of two will be selected from the Academic members of staff serving on RAE 2008 Unit of Assessment Planning Groups.
  • none of whom shall be from the same Department as the employee;
  • nor have been previously otherwise involved in the case.
• The Director of HR will appoint one of the three members as Chair;
• Member of the Administrative staff will act as a secretary to the Appeals Panel and provide a written note of the appeal hearing.

5.2.3 Subject to 5.3 below the appellant is entitled to:

• reasonable written notice (normally at least 5 working days, but less by mutual agreement) of the date of the appeal hearing;
• the opportunity to be accompanied by a trade union representative or a colleague from work for the purpose of presenting their case;
• postpone the meeting to another reasonable time within 5 working days of the original date, if their representative will not be available at the time proposed;
• have access to all material relevant to their case;
• present their perspective of the issues under consideration;
• be given the decision in writing.

5.2.4 The panel hearing the case will:

• conduct the meeting to establish the relevant facts, ensuring good order and natural justice;
• have access to all material relevant to the case;
• consider valid grounds of appeal;
• reject any invalid grounds of appeal and explain their reasons for doing so;
• confirm the panel's decision and the reasons for it, in writing, to the individual and the Vice-Principal (Research and Enterprise), within 5 working days of the hearing.

5.2.5 There is no further right of appeal under this procedure. This decision is final in respect of the University RAE 2008 submission.

5.3 Any appeals or complaints by an individual member of staff in relation to their exclusion from the RAE 2008 submission on the grounds of potential discrimination must be lodged with the Director of Human Resources by 31 July 2007.

5.4 All appeals will be heard during the months of August and September 2007.

5.5 Decisions on all appeals will be reached by 30 September 2007.

5.6 Special arrangements will be made for those staff who joined the University late in the submission process.

6 Data Protection Issues

6.1 The University has an obligation to provide some personal information on staff for the purposes of the RAE. The University will only share information which it is under an obligation to provide. The staff have a right of access to data held which relates to them personally and due care should therefore be taken in record-keeping during RAE preparations to ensue what is recorded is accurate and defensible, particular as regards any matters of opinion rather than fact.

7 Impact Assessment

7.1 The University will produce an equality profile of staff in terms of age, disability, gender and ethnicity of staff that are eligible for submission and indicate those who are submitted and those who are not. This will be done at a Faculty/School level, although we may consider undertaking impact assessments of UOA levels.

8 Fixed-Term and Part-Time Staff

8.1 The University has a positive approach to various part-time, flexible and job share patterns of working. All staff development and career development opportunities available to full-time staff are also available to equivalent staff working part-time. All part-time members of academic staff who meet the RAE 2008 eligibility criteria are encouraged to submit for inclusion.

9 Responsibilities and Terms of Reference

9.1 Research Committee has responsibility for developing and implementing research strategy, policies and procedures in the University. The Committee has overall responsibility for overseeing the RAE 2008 submission process. The alignment of institutional level research objectives with faculty strategic planning processes is a primary function of the Committee. The Committee is a sub-committee of the University Senate and is chaired by the Vice-Principal for Research & Enterprise who is directly supported in its work by the University's technology transfer office, Research & Innovation Services. List of membership ( see Appendix 1).

9.2 Vice-Principal for Research & Enterprise has overall responsibility for the preparation and content of the University's submission in RAE 2008 and is also responsible for the implementation of the University research strategy with particular focus on the RAE 2008.The Vice-Principal Research & Enterprise currently chairs the University Research Committee. Ultimately, the decision on which work is to be submitted to the RAE 2008 will lay with the Vice-Principal Research & Enterprise. The Vice-Principal for Research & Enterprise will deal with issues of extenuating circumstances for staff who have not been resolved at the College/Faculty level.

9.3 Dean/Head of College/Faculty/School is responsible for ensuring that the process for the selection of work for consideration by the UoA Planning Group is undertaken in a transparent manner in accordance with the principles of the Code of Practice. Also, responsible for ensuring effective communication with staff during the process by which work is selected for RAE 2008. Deans/Heads will be responsible for providing written feedback to individuals regarding their research profile and the outcomes of Mock Runs and preparation for the final submission. The Dean/Head of College will be responsible for appointing the Head of UOA Planning Group and also for approving the membership of the UOA Planning Group. The Dean/Head of College will be responsible for dealing with extenuating individual staff circumstances at the first level.

9.4 UoA Academic Leader is appointed by the Dean/Head of College/Faculty/School. The Academic Leader is responsible for selection of the members of the UOA Planning Group in agreement with the Dean/Head of College/School. Academic Leader should be of appropriate academic standing and be able to demonstrate an aptitude for open and inclusive working with fellow academic staff. Academic Leader will be responsible for compiling data on eligible staff and their research profile including information regarding individual special circumstances, as well as, to lead the planning and preparation of submissions within the department and across the University. Academic Leader will be responsible for providing written record of staff members who are considered for submission. Academic Leader will be responsible for ensuring that clear decisions are reached at by the UoA Planning Group regarding the inclusion/exclusion of individuals.

9.5 UoA Planning Group will be responsible for the initial selection of staff for submission. The Group will be responsible for carrying out an assessment of the quality of research output for all academic staff who may be considered for inclusion within that Unit of Assessment The Group will be responsible for producing specific criteria for the assessment of the quality of research output of individuals considered for inclusion. The Planning Group will provide all staff that have submitted evidence of research with a general statement of the outcome of the exercise. The Planning Group will communicate normally through the Academic Leader and will report as requested to Vice-Principal Research & Enterprise and to the Dean/Head of the lead College/School. The Planning Group will not look at individual circumstances at the initial selection of staff for submission.

9.6 RAE 2008 Submissions Equality & Diversity Working Group is responsible for overseeing the preparation and development of the Code of Practice. The Working Group will consider and approve the final draft version of the Code of Practice for forwarding to the Research Committee ( sub-committee of the Senate) and to the Human Resources Committee ( sub-committee of the University Court) for final approval. Once approved the Code of Practice will be published and disseminated widely. All staff with RAE 2008 responsibilities will be provided with a copy of the Code of Practice. The Working Group will be responsible for organising appropriate Equality and Diversity training for all individuals and groups involved in making decisions regarding RAE 2008 submissions. The Working Group is chaired by Director of Human Resources. For membership composition ( see Appendix 2 ).

9.7 Appeals Panel will be set up by the Director of Human Resources. Membership of the Panel will consist a minimum of three academic staff selected from the Academic member of staff serving on the RAE 2008 UoA Groups. The Panel will ensure that none of the staff had prior involvement in the case. Main responsibility of the Panel will be to hear appeals on the grounds of potential discrimination in relation to the selection of staff for RAE 2008. The Panel will be responsible in hearing the evidence, assessing if discrimination took place and also review the decisions taken by the informal processes at the UoA Planning Group and Vice-Principal Research & Enterprise level. The Appeals Panel will have the ultimate power to reinstate the individual into RAE 2008 Submission. All decisions taken by the Panel will be final and binding and there will be no further right of appeal under this procedure.

10 Key Dates for RAE 2008

11 Relevant Equality Legislation

• Sex Discrimination Act 1975
• Gender Recognition Act 2004
• Equality Bill 2005 (Implementation expected in April 2007)
• Race Relations Act 1976
• Race Relations Amendment Act 2000
• Disability Discrimination Act 1995
• Disability Discrimination Amendment Act 2003
• Employment Equality (Sexual Orientation) Regulations 2003
• Employment Equality (Religion or Belief) Regulations 2003
• Gender Recognition Act 2004
• Age Regulations October 2006
• Fixed-Term Employees (prevention of less favourable treatment) Regulations 2002
• Part-Time Workers (prevention of less favourable treatment) Regulations 2000

12 Relevant University policies

• Equal Opportunities Policy
• Race Equality Policy and Action Plan
• Dignity at Work and Study Policy
• Family Friendly Policies

13 Useful Contacts/ Websites

• Internal Equality and Diversity website: www.somis.dundee.ac.uk/personnel/equalops/
• Internal University RAE website: www.somis.dundee.ac.uk/rae/rae2008/
• National RAE website : www.rae.ac.uk
• Equality Challenge Unit : www.ecu.ac.uk
• Equal Opportunities Commission: www.eoc.org.uk
• Commission for Race Equality: www.cre.gov.uk
• Disability Rights Commission: www.drc-gb.org/

14 Further Information

For information about RAE 2008, please contact Professor David Boxer, Vice-Principal Research & Enterprise on 01382 385560.

For information on Equality & Diversity matters, please contact, Ajit Trivedi, Equality & Diversity Officer on 01382 388951.

Appendix 1: University Research Committee

Appendix 2: Equality & Diversity Working Group