Data Collection Statement for Impact Case Studies

About the REF

The purpose of the Research Excellence Framework 2029 (REF 2029) is to assess the quality of UK research and to inform the selective distribution of public funds for research by the four UK higher education funding bodies. It was preceded by the Research Assessment Exercise (RAE) which ran from 1986-2008, and the University has successfully participated in all previous exercises. The REF outcomes are used to calculate about £2 billion per year of public funding for universities’ research and affect their international reputations. The results also inform strategic decisions about national research priorities. The next REF will be undertaken in 2029.

An important element of REF is the impact of universities’ research beyond academia, namely (research) impact. Impact refers to the positive changes to the economy, society, culture, public policy and services, health, the environment and quality of life – within the UK and internationally – that are attributable to academic research. It is assessed through the submission of case studies, which describe the changes or benefits brought about by research undertaken at the institution. External stakeholders, partners and collaborators are usually important contributors to case studies, particularly with respect to evidence of the impact claimed. In addition, institutions submit a series of “structured explanatory statements” covering Impact; People, Culture and Environment; and Contribution to Knowledge and Understanding, which describe the context in which researchers operate and how they are supported to deliver high quality research and impact and disseminate the outcome of their research.

A database of impact case studies submitted in 2014 can be found on the REF impact case studies webpage and the database of case studies and environment statements (previous name for what is now the Structured explanatory statement for People, Culture and Environment; the statements for Impact and CKU are new for REF 2029) submitted in 2021 can be found on the REF2021 impact case study database.

Data collection

The REF is managed by the REF team, based at Research England (RE), on behalf of the four UK higher education funding bodies. RE is part of UK Research and Innovation (UKRI), and under this arrangement UKRI has the role of ‘data controller’ for personal data submitted by us to the REF.

You may have provided information for one or more impact case studies or structured explanatory statements as part of our submission to the REF 2029. In 2029 we will send information about impact case studies and structured explanatory statements to UKRI for the purpose of the REF 2028. The information will not be in coded form and your name - and details such as your job title and organisational affiliation - may be provided in these narrative statements. We refer to this information about you as ‘your data’.

You can find further information about what data were collected for REF 2021 on the REF website, in particular publication 2019/01, ‘Guidance on Submissions’. Annex G of that document sets out the data that we were required to share with UKRI for the last REF exercise. A similar approach may be expected for REF 2029, and further information about what data are being collected will be available on the REF 2029 website in due course.

The processing of your personal data for these purposes is based on public task. It is deemed to be necessary for the performance of tasks we carry out in the public interest (e.g. teaching and research).

If we require your consent for any specific use of your personal data, we will collect it at the appropriate time, explaining why we are collecting the data and how we will use it, and you can withdraw this at any time.

Sharing information about you

UKRI are expected to pass your data, or parts of it, to any of the following organisations that need it to inform the selective distribution of public funds for research and to carry out their statutory functions connected with funding higher education:

• Department for the Economy, Northern Ireland (DfE)
• Higher Education Funding Council for Wales (HEFCW)
• Scottish Funding Council (SFC)

UKRI and the organisations listed above are expected to use the information to analyse and monitor the REF 2029. This may result in information being released to other users including academic researchers or consultants (commissioned by the funding bodies), to carry out research or analysis, in accordance with the Data Protection Act 2018 and the General Data Protection Regulation (GDPR) (Regulation (EU) 2016/679). Where information not previously published is released to third parties, this will be anonymised where practicable.

For REF 2021, UKRI required that anyone who had access to personal data, held in UKRI’s records, paper or electronic, respected its confidentiality and only processed it in accordance with instructions issued for the purposes specified by UKRI. It is anticipated a similar commitment will be issued for REF 2029 in due course, and this statement will be updated as appropriate in that eventuality.

Parts of your data will be passed to the REF expert panels for the purpose of conducting a systematic evaluation of submissions, in accordance with predetermined criteria and methods. All panel members will be bound by confidentiality arrangements.

Publishing information about your part in our submission

The results of the assessment exercise will be published by UKRI, on behalf of the four UK higher education funding bodies, at a date to be confirmed in Winter 2029.

Those parts of submissions that contain factual data and textual information about research activity will also be published by UKRI, on behalf of the four UK higher education funding bodies and will be made available online. Published information is likely to include textual information including impact case studies and structured explanatory statements in which you may be referenced. Your name and job title may be included in this textual information. Other personal details will normally be removed.

The University of Birmingham will not normally submit impact case studies, structured explanatory statements and other textual information with personal information (other than names and job titles) included, and will remove any personal information (other than names and job titles) in the redacted version(s) that are submitted.

Note: A separate process exists to ensure confidentiality of case studies where this is appropriate; this includes redaction of key material, case studies not being published at all, and a process for handling case studies where national security vetting clearance is required. Details will be published by the Funding Councils in due course, and the equivalent process for REF 2021 can be accessed in Guidance on Submissions, paragraph 307.

Data storage and deletion

The University stores data about its REF submissions on its Current Research Information System (currently Pure). This data is held indefinitely. Please see the University’s data retention policy and schedule for more information on this, at: Data Protection (birmingham.ac.uk).

Submissions are also published by the Funding Councils (REF 2029, which links to previous iterations of the REF and its predecessor, the Research Assessment Exercise (RAE)). Case studies marked as confidential are not published, and those marked redacted are published in a redacted format (ie with key information removed, usually in agreement with partner organisations to whom the impact relates).

Accessing your personal data

More information about the University’s approach to Data Protection is available on the University's privacy pages.

Queries and complaints

Queries regarding your personal data and requests for a copy of your personal data (known as a Data Subject Access Request (DSAR)) can be submitted to the following:

General queries:

The Information Compliance Manager
The University of Birmingham
Edgbaston
Birmingham
B15 2TT

Tel: 0121 414 3916
Email: legalservices@contacts.bham.ac.uk

DSARs:

Email: dataprotection@contacts.bham.ac.uk

Data protection information on the University of Birmingham website

You also have the right to lodge a complaint with the Information Commissioner in relation to the University’s processing of your personal data. The ICO can be contacted at:

Information Commissioner's Office
Wycliffe House, Water Lane
Wilmslow, Cheshire
SK9 5AF

Tel: 0303 123 1113 (local rate) / 01625 545 745 (national rate number)
Email: casework@ico.org.uk