Research Excellence Framework 2014: A briefing for Staff Professor Ros Foskett Deputy Vice Chancellor

History of Research Assessment  Undertaken periodically on behalf of the Funding Councils  Determines the QR (Quality-rated) funding for each HEI  Previous exercises in 1986, 1989, 1992, 1996, 2001, 2008  Set up under Thatcher during tight budgetary restrictions.  Originally called the Research Selectivity Exercise, the Research Assessment Exercise (RAE) and now the Research Excellence Framework (REF)  Submission for REF 2014 will cover the period January 1 st 2008 – December 31 st 2013.

What is it?  Process of expert review by academic peers of an institution’s research  Assessment by four Main Panels covering the spread of academic disciplines.  Panel A: Medicine, Health and Biological Sciences  Panel B: Physical Sciences, Mathematics, Computing, Engineering  Panel C: Social Sciences  Panel D: Arts and Humanities

How is the REF used? By Government  To inform research funding allocations by the four UK HE funding bodies (approximately £2 billion per year)  Provide accountability for public funding of research and demonstrate its benefits By Universities  To demonstrate that funding and reputation are contestable  To help frame their strategic direction External environment  To provide benchmarks and reputational yardsticks  To provide comprehensible ratings of research excellence in all disciplines in HEIs across the UK

Key changes since the 2008 RAE  Inclusion of assessment of impact  Fewer Units of Assessment (UoAs)/panels, operating more consistently  Strengthened equality and diversity measures  Revised eligibility criteria for staff  Addition of (limited) use of citation data in some UoAs  Removal of ‘esteem’ as a distinct element  Revised approach to ‘environment’ and data collection  Increased ‘user’ input; and an integrated role for additional assessors  Publication of overall quality profiles in 1% steps

Timetable 2011 Panels appointed (Feb) Guidance on submissions (Jul) Draft panel criteria for consultation (Jul) Close of consultation (Oct) 2012 Final panel criteria and methods (Jan) HEIs submit codes of practice (Jul) Requests for multiple submissions (Dec) Survey of submission intentions (Dec) 2013 Launch REF submissions system (Jan) Recruit additional assessors Staff census date (31 Oct) Submissions deadline (29 Nov) 2014 Panels assess submissions Publish outcomes (De c)

The assessment framework Overall quality Outputs Maximum of 4 outputs per researcher Impact Impact template and case studies Environment Environment data and template 65% 20% 15%

Assessment Criteria for assessing:  quality of outputs originality, significance and rigour  impacts reach and significance  Environment vitality and sustainability

Assessment OutputsImpactEnvironment 4*World-leadingOutstanding impactsConducive to producing research of world-leading quality 3*Internationally excellentVery considerable impacts Conducive to research of internationally excellent quality 2*Internationally recognised Considerable impactsConducive to research of internationally recognised quality 1*Nationally recognisedRecognised but modest impacts Conducive to research of nationally recognised quality U/CFalls below quality of ‘nationally recognised’ or does not meet the definition of ‘research’ Impact of little or no reach and significance or ineligible according to the definition Not conducive to producing research of national quality

Objectives for UW REF2014  To demonstrate an increase in research activity in terms of breadth and depth for reputational enhancement  To maximise the submission as far as possible in terms of QR funding received (which will only be for 3* and 4* research in REF)  To submit a greater number of members staff and a higher proportion of the academic staff than in RAE 2008  To make a submission to an increased number of Units of Assessment than in RAE 2008

UW REF2014 We will aim to:  Be as inclusive as possible yet aspire to maximise reputation and income  Maximise the fundable research 3* and 4* outputs and impact case studies  Include 1* and 2* research for reputational reasons  Exclude anything which might attract an Unclassified score

RAE 2008 Results UoA Staff FTE returned % of research activity in the submission judged to meet the standard for: 4*3*2*1*U/C Allied Health Professions and Studies English Language and Literature Geography and Environmental Studies History

Units of Assessment for REF2014 Main Panel Potential Units of AssessmentCurrent REF Lead A3. Allied Health Professions, Dentistry, Nursing and PharmacyProfessor Dominic Upton A4. Psychology, Psychiatry and NeuroscienceProfessor Dominic Upton A5. Biological SciencesProfessor John Newbury B11. Computer Science and InformaticsProfessor Howard Cox C17. Geography, Environmental Studies and ArchaeologyProfessor Nick Evans C19. Business and Management StudiesProfessor Howard Cox C25. EducationDr Richard Woolley C26. Sport and Exercise Sciences, Leisure and TourismProfessor Derek Peters D29. English Language and LiteratureProfessor Antonia Payne D30. HistoryProfessor Antonia Payne D34. Art and Design: History, Practice and TheoryProfessor Antonia Payne D35. Music, Drama, Dance and Performing ArtsProfessor Antonia Payne

UW Preparation  Submission being led by Deputy Vice Chancellor and Director of Research Development (Dr John-Paul Wilson)  REF Working Group established 2011 (Institutes, Personnel, ASU)  Mock exercise has been undertaken on outputs to identify potential Units of Assessment  Code of Practice for Submission of Staff (for 31 st July 2012)  Impact Case Study workshops (June/July 2012)  Equality Impact Assessments (EIAs) undertaken at each stage  Reports to Vice Chancellor’s Advisory Group, Research and Knowledge Transfer Committee, Academic Board

NOW  All outputs should have been put on the WRAP  Collect outputs and update the record of outputs  New staff will be asked whether they intend to submit  Survey of staff circumstances  Champions for each UoA to be finalised  Preparation of Impact Case Studies  Drafting of Research Environment templates  Preparation for Survey of Submission Intentions (5 th December)  REF Submission Pilot

Outputs  Submitted staff will need to have produced 4 outputs (publications and other assessable items) since January 2008 unless they have special individual circumstances  Judgements need to be made about the likely quality of these outputs and whether they adhere to the definition of research in the REF  Some external advice is being sought  Co-authorship is allowed  Citation data will be used to assess ‘at the margins’ in some UoAs  Double weighting of items can be argued

What is an ‘output’?  Product of research “process of investigation leading to new insights, effectively shared” (see handout)  First brought into public domain during period 01/01/08 – 31/12/13  By a member of staff (i.e. not a research student)  Can include:  printed academic work;  new materials, devices, images, artefacts, products and buildings;  confidential or technical reports;  intellectual property including patents and other forms;  performances, exhibits or events;  work published in non-print media;  reviews, textbooks or edited works (if they embody research)

Impact  ‘an effect on, change or benefit to the economy, society, culture, public policy or services, health, the environment or quality of life, beyond academia’  Impact template (20% weighting) sets out the general approach to supporting impact from research  Impact case studies (80% weighting) includes examples of impacts with evidence of impacts already achieved  Impact relates to the period of the REF ( ) and the underpinning research (of at least 2* quality) must have been undertaken since 1993  1 Case study per 10 staff ftes +1 extra per UoA

Environment  Environment data will include: Research doctoral degrees awarded Research income Research income in kind  Qualitative information on the environment in the University and the Unit of Assessment. The narrative will include: Overview of research environment Research strategy People (staffing strategy, staff development, research students) Income, infrastructure and facilities Collaboration and contribution to the discipline

Code of Practice  Submitted in July 2012 (available on the Research Portal)  Underpinned by principles of fairness and transparency  REF Equality and Diversity Panel will examine all CoPs  CoP will be published alongside our submission at end of REF  CoP covers: purpose; principles; legal framework; roles & responsibilities; selection; disclosure of individual circumstances; feedback and appeals  Clearly defined circumstances (ECR; PT working; maternity, paternity or adoption leave; secondments outside the HEI sector)  Complex circumstances (disability; ill-health or injury; mental health conditions; constraints related to pregnancy or maternity; childcare or caring responsibilities; gender reassignment; Other circumstances relating to the above)

Submission System  Pilot submission system open now until November 2012  Full submission system will open from 1 st January 2013 until 29 th November  JPW and RF have login permissions – inputting can be extended to others in the institution (maybe academic or administrative staff)  Full manual is available from the REF website:  Research portal will be used to store useful information (including this presentation and the Code of Practice) under ‘Research Excellence Framework’

Audit and Results  Audit and verification All processes will be audited All institutions will be audited against at least one element  Results: An overall quality profile (in 1% steps) will be published for each UoA against each starred level Institution will also get a commentary for each UoA Results will be published December 2014 Publication of submissions, panel overview reports and sub-profiles in Spring 2015

ANY QUESTIONS?