Research Assessment Exercise Riad Bayoumi

Research Assessment Exercise The Research Assessment Exercise (RAE) is a periodic national exercise which assesses the quality of research. The information obtained is used for the selective distribution of public funds for research by the Institutes of Higher Education funding bodies. It is also used as a variable in various ranking exercises by other national and international bodies.

The Research Assessment Exercise is conducted jointly by the Higher Education Funding Councils The primary purpose of the RAE is to produce quality profiles for each submission of research activity made by research institutions. The higher education funding bodies use the quality profiles to determine their grants for research to the institution which they fund. Any Higher Education Institution that is eligible to receive research funding from one of the funding bodies is eligible to participate in the exercise.

Establishing Excellence Qualities of Surprise and Delight Transparency of Argument and Evidence Commitment to Rigor and Peer Review Communication and Dissemination of Standards and Examples

Scholarship “Is it possible to define the work of faculty in ways that reflect more realistically the full range of academic and civic mandates?” “… the work of the professoriate might be thought of as having four separate, yet overlapping, functions” Discovery Integration Application Teaching Continues to be the best-selling publication of the Foundation

Discovery Scholarship that makes a commitment to knowledge for its own sake, to freedom of inquiry and to following in a disciplined fashion an investigation wherever it may lead … Comes closest to what is usually meant when we speak of “Research” Continues to be the best-selling publication of the Foundation

Integration Scholarship that makes connections across the disciplines, in a larger context, at the boundaries where fields converge … that seeks to interpret, draw together, and bring new insight to bear on original research … Interdisciplinary, interpretive, integrative Continues to be the best-selling publication of the Foundation

Application Scholarship that serves the interest of the larger community by addressing consequential problems … bringing knowledge to bear on the issues faced by members of the society. The community’s issues themselves define the agenda for scholarly investigation Continues to be the best-selling publication of the Foundation

Teaching Scholarship using disciplinary methods and practice to study and improve student learning … building on, peer reviewing, and sharing knowledge gained through investigation to improve teaching and learning. Not only transmitting knowledge, but transforming and extending it as well. Continues to be the best-selling publication of the Foundation

The Advancement of Learning Discovery Integration The University Application Teaching

Quality Profile The overall quality profile is comprised of the aggregate of the weighted profiles produced for: Research Outputs, Research Environment, and Esteem Indicators.

Overall Quality Profile Research Environment Esteem Research Outputs

Content of Submissions RAE Forms: RA0 – Summary information RA1 – Staff: RA2 – Research outputs RA3 – Research students & studentships RA4 – Research income RA5 – Esteem and environment RA5b – Confidential staff information

Main Panel Co-ordinate criteria for assessment and working methods across sub-panels Help consistency between sub-panels during the assessment phase Endorse quality profiles Co-ordinate requests for specialist advice beyond expertise of the sub-panel International members (30%)

Criteria and Consultations Internal consistency checks and legal advice Published draft criteria and working methods Opportunity for subject communities to have input to the criteria and working methods for their disciplines Final criteria Finalise and publish

4* 3* 2* 1* u/c Overall Quality Profile Research Environment Esteem Research Outputs 4* Quality that is world-leading in terms of originality, significance and rigour 3* Quality that is internationally excellent in terms of originality, significance and rigour but which nonetheless falls short of the highest standards of excellence 2* Quality that is recognised internationally in terms of originality, significance and rigour. 1* Quality that is recognised nationally in terms of originality, significance and rigour. u/c Quality that falls below the standard of nationally recognised work. Or work which does not meet the published definition of research for the purposes of this assessment.

75% 20% 5% Overall Quality Profile Research Environment Esteem Research Outputs 75% 20% 5%

Normal expectation: 4 research outputs/ person/ year 75% Research Outputs Inclusive approach: Refereed jnl articles, books, authored/edited, professional/practitioner jnls., research reports etc. Textbooks/teaching material considered if they embody research. Normal expectation: 4 research outputs/ person/ year Assessed through excellence in - originality, significance/impact and rigour - all types of research (applied, interdisciplinary, practice-based) given equal weighting

To include research students and grant income 20% Environment To include research students and grant income Students – numbers, studentships and degrees awarded – External research income Pattern of grants more important than total value

20% Environment The institution’s vision, strategy, relevant update on research Plans Mechanisms and practices for promoting research and sustaining research culture Nature and quality of research infrastructure Arrangements for supporting interdisciplinary and collaborative research Arrangements for collaboration with public, private and voluntary sectors, involvement of service- users, relationship – critical or supportive to government policy technology transfer and for interactions with end- users Approach to developing and supporting staff

Esteem of user community 5% Esteem Plenary addresses, prizes, honours and awards, editorships, learned society engagement, membership of research councils or similar Esteem of user community Advisor to govt, parlt., voluntary bodies, contributions to public service International collaborations, visiting research posts Contributions to academic/professional associations

eg 70% eg 20% eg 10% Overall Quality Profile Research Environment 4* 10 15 30 25 u/c 1* 2* 3* Quality Level % of Research Activity Research Environment Esteem Indicators Research Outputs 4* 3* 2* 1* u/c 15 25 35 10 4* 3* 2* 1* u/c 25 15 20 4* 3* 2* 1* u/c 30 20 10 eg 70% eg 20% eg 10% (Minimum 50%) (Minimum 5%) (Minimum 5%)

Research Outputs in the public domain, Overall Quality Profile Research Outputs in the public domain, includes journal articles, monographs, chapters, conference proceedings, confidential reports, patents 20 4* 10 15 30 25 u/c 1* 2* 3* Quality Level % of Research Activity Research Environment Esteem Indicators Research Outputs 4* 3* 2* 1* u/c 15 25 35 10 4* 3* 2* 1* u/c 25 15 20 4* 3* 2* 1* u/c 30 20 10 eg 70% eg 20% eg 10% (Minimum 50%) (Minimum 5%) (Minimum 5%)

Environment may include for example Overall Quality Profile Environment may include for example Issues of:- Sustainability and Vitality Strategy & Plans, Research Income, Research Students collaboration with business/industry 20 4* 10 15 30 25 u/c 1* 2* 3* Quality Level % of Research Activity Research Environment Esteem Indicators Research Outputs 4* 3* 2* 1* u/c 15 25 35 10 4* 3* 2* 1* u/c 25 15 20 4* 3* 2* 1* u/c 30 20 10 eg 70% eg 20% eg 10% (Minimum 50%) (Minimum 5%) (Minimum 5%)

Esteem Indicators might include: Overall Quality Profile Esteem Indicators might include: Fellowships, Editorial Board positions, Prizes; Prestigious Grants/Studentships Advisory Roles for Industry Collective and Individual 20 4* 10 15 30 25 u/c 1* 2* 3* Quality Level % of Research Activity Research Environment Esteem Indicators Research Outputs 4* 3* 2* 1* u/c 15 25 35 10 4* 3* 2* 1* u/c 25 15 20 4* 3* 2* 1* u/c 30 20 10 eg 70% eg 20% eg 10% (Minimum 50%) (Minimum 5%) (Minimum 5%)

RAE in UK The first RAE was undertaken in 1986. For the first time it introduced an explicit and formalized assessment process of the quality of research. Further exercises held in 1989, 1992 and 1996 became gradually more transparent, comprehensive and systematic.

RAE in UK The fifth exercise in 2001 was the most rigorous and thorough exercise to date. It considered the work of almost 50,000 researchers in 2,598 submissions from 173 IHE. The RAE is the principal means by which institutions assure themselves of the quality of the research undertaken in the HE sector. The next RAE is in 2008, with a closing date for submissions of November 2007.

Impact Generates further research funding Contributes to the research productivity and financial support of the researcher’s institution Advances the researcher’s careers Promotes research progress

Impact II Note the direct connection between open access, impact, research assessment and funding. Measures the size of a research contribution to further research (“publish or perish”), e.g. citation-counts, co-citations, now we also have usage-measures (“hits”, webmetrics), time-course analyses, early predictors, etc.

Outcome of RAE RAE has been effective as a means of: Informing funding Symbolizing Public Accountability Inducing improvement in research

Thank You

Sub Panels Draft criteria for assessment and working methods Produce draft quality profiles and brief feedback on each submission Advise the main panel on cross-referrals and need for specialist advice