1. Research Assessment Exercise
Riad Bayoumi

2. 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.

3. 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.

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. The Advancement of Learning
Discovery
Integration
The University
Application
Teaching

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

12. Overall
Quality Profile
Research Environment
Esteem
Research Outputs

13. 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

14. 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%)

15. 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

16. 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.

17. 75% 20% 5% Overall Quality Profile Research Environment Esteem
Research Outputs
75%
20% 5%

18. 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

19. 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. 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

21. 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

22. eg 70% eg 20% eg 10% Overall Quality Profile Research Environment4* 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%)

23. 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%)

24. 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%)

25. 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%)

26. RAE in UK
The first RAE was undertaken in 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.

27. 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.

28. 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

29. 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.

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

31. Thank You

33. 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