Background
[6.] The last UK Research Assessment Exercise (RAE) was completed in 2008. This was the sixth in a series of assessments that started with the Research Selectivity Exercise conducted by the University Grants Committee in 1986. The purpose of the exercises was to provide authoritative and comprehensible quality ratings for research in all disciplines carried out in universities and colleges across the UK, to inform the UK higher education (HE) funding bodies’ allocation of grant for research. It reflected the established policy of the UK Government, devolved administrations and funding bodies: that these resources should be allocated selectively according to research quality. The exercises also had important roles in providing information and benchmarks – both for the public and as management information within universities and colleges – and to provide accountability for public expenditure on research in HE.
[7.] In December 2006 the Department for Education and Skills announced that a new framework for research assessment and funding would replace the RAE after the 2008 exercise in England. The underlying policy of allocating research funding selectively on the basis of quality remained unchanged; the intention was that the mechanisms should become simpler and less burdensome.
[8.] Since 2007 there has been substantial development work on the new arrangements, now known as the Research Excellence Framework (REF). This work has been led by HEFCE, working in partnership with the other UK HE funding bodies, and overseen by a UK steering group. In this document therefore, ‘we’ refers to all of the UK HE funding bodies unless otherwise specified.
[9.] In late 2007 we held initial consultations on key elements of the REF1, and in May 2008, HEFCE announced a number of changes to those initial proposals, responding to feedback from the sector2.
[1. These proposals were based on a metrics-driven approach for the science-based disciplines, and the use of light-touch expert review for the arts, humanities and social sciences. For further information, see HEFCE 2007/34, HEFCW W07/48HE and SFC/06/2007C.
2. The main change was to move away from separate approaches for the science-based and for the other disciplines, and to develop a unified approach across all disciplines. This was announced in HEFCE Circular letter 13/2008 and in HEFCW W08/20HE and SFC/34/2008.]
[10.] In developing our proposals we have taken into account the UK Government’s aims for the publicly funded research sector and its expectations as to the role that the REF should play in delivering these. The Government has made plain its view that maintaining the capacity of the HE sector to produce world-leading research across a broad range of academic disciplines is essential to underpin economic growth and national well-being; and that to this end the HE sector can and should do more to ensure that its excellent research achieves its full potential impact. The devolved administrations have expressed broadly similar views.
[11.] In his letter of 22 January 2009 to the HEFCE Chair about funding for 2009-10, the Secretary of State emphasised that the REF should take better account of the impact research makes on the economy and society, and gave further guidance on particular activities that the REF should encourage:
‘The REF should continue to incentivise research excellence, but also reflect the quality of researchers’ contribution to public policy making and to public engagement, and not create disincentives to researchers moving between academia and the private sector.’
[12.] It remains the funding bodies’ aim that the REF should provide a unified UK-wide framework for research quality assessment, recognising that decisions on funding allocations will be taken by each funding body for its own country or territory. In particular:
[a.] In Wales, the Welsh Assembly Government is requiring higher education institutions (HEIs) to increasingly align their activities with its key policy directions and ambitions for economic growth. In so doing it recognises that Welsh research must continue to stand comparison with that in the rest of the UK and internationally.
[b.] In Scotland, the Scottish Funding Council (SFC) has yet to take a position on the use of the REF to inform funding.
[c.] In Northern Ireland the Department for Employment and Learning (DEL) is committed to maintaining a UK-wide quality assessment regime; the way in which assessment outcomes will be used for funding purposes will be determined by DEL following consultation with the Northern Ireland HE sector.
[13.] This document sets out proposals for the REF and invites responses to the questions at Annex A.
Aims of research assessment
[14.] The UK funding bodies each aim to develop and sustain a dynamic and internationally competitive research sector in their country or territory that makes a major contribution to economic prosperity, national wellbeing and the expansion and dissemination of knowledge. Research assessment is a key means through which we pursue this strategic aim. In particular, the policy aim of research assessment is to secure the continuation of a world-class, dynamic and responsive research base across the full academic spectrum within HE. This will be achieved through:
- funding: selective funding allocations informed by quality assessment
- benchmarking and information: establishing reputational yardsticks
- accountability: demonstrating that investment in research is effective and delivers public benefits.
[15.] To this end, the REF as a framework for assessment – and for funding where adopted – will aim to:
[a.] Drive up quality across the HE research base and in all forms of research.
[b.] Support and encourage innovative and curiosity-driven research, including new approaches, new fields and interdisciplinary work.
[c.] Reward and encourage the effective sharing, dissemination and application of research findings and the productive interchange of research staff and ideas between HEIs, business and other research users.
[d.] Reward and encourage HEIs that deliver benefits to business, the economy and society by building on excellent research.
[e.] Produce and publish quality assessments that are comprehensible, produced by a transparent process, and benchmarked against international standards and which identify the very best HE research wherever this is carried out.
[f.] Support better management and sustainability of the research base.
Development of the REF
[16.] Following the initial consultation exercise that ended in spring 2008 (HEFCE 2007/34), HEFCE, in collaboration with the other UK HE funding bodies, developed proposals for the REF through a programme of work including:
[a.] A substantive pilot of bibliometrics indicators of research quality, as a significant new element in the framework.
[b.] Considering lessons learned from the 2008 RAE.
[c.] Convening Expert Advisory Groups (EAGs) to draw on advice of senior practising researchers from across the range of disciplines, research users and other funders.
[d.] A wide range of discussions, including with institutions, representative bodies, learned societies, research users and other research funders.
[e.] Workshops on key issues including impact, accountability burden and research information management.
[f.] Consultancy advice, including on approaches to assessing impact in other countries.
[17.] We have worked closely with the UK Research Councils to ensure that our proposals for the REF will be effective in pursuing shared objectives with them, particularly in terms of rewarding excellent research and its impact. Both the Research Councils and the UK HE funding bodies believe that the REF will complement the work of the Research Councils in a way that strengthens the operation of the dual-support research funding system. We remain in continued dialogue with them, including about the scope for better coordination of our respective data collection requirements.
[18.] Reports and documents from the development work that have provided the evidence base for our proposals are available on the web at www.hefce.ac.uk/ref. These are listed at Annex B.
[19.] We are grateful to members of the EAGs who gave of their time to provide constructive advice, and to the considerable efforts of the HEIs that took part in the bibliometrics pilot exercise.
Proposals
[20.] The sections below set out our proposals for:
- defining research excellence and the key features of the assessment framework
- assessing the quality of research outputs – including the use of citation information
- assessing the impact of research on the economy and society
- assessing the research environment
- the overall outcomes of the assessment
- the configuration of panels and units of assessment (UOAs), and how to achieve appropriate levels of consistency between these measures to promote equalities and diversity
- the timetable for implementation of the REF
- the accountability burden implications of the REF.
[21.] We invite responses to questions on each of these sections. Questions are presented throughout the text. Responses to the consultation should be made by completing and returning the form at Annex A. Respondents should complete the electronic version of the form, which can be found on the HEFCE web-site www.hefce.ac.uk, alongside this document under Publications, and e-mail it by midday on Wednesday 16 December 2009.
[22.] All responses should be e-mailed to ref@hefce.ac.uk. In addition:
[a.] Responses from institutions in Scotland should be copied to Pauline Jones, Scottish Funding Council, e-mail pjones@sfc.ac.uk.
[b.] Responses from institutions in Wales should be copied to Linda Tiller, Higher Education Funding Council for Wales, e-mail linda.tiller@hefcw.ac.uk.
[c.] Responses from institutions in Northern Ireland should be copied to the Department for Employment and Learning, e-mail research.branch@delni.gov.uk.