1
Research Context and the RAE
John Saunders
Head of School, Aston Business School
IDEAS Factory
23/24 October 2006
2
General principles
 RAE: Research Assessment Exercise
 Research quality over period 2001–07 to be assessed
 Criteria and working methods finalised and published
 Grouping of sub-panels into main panel areas
 Affecting funding from 2009-10
3
Some history
 Previous proper RAEs in 1992, 1996, 2001
 Applied a single rating to the whole of a submission
 2001: each output rated as
 International, National or Sub-national quality
 5* implies
 >50% output of International standard
 Very little output rated below National level
 Grade applies to all staff submitted, however:
4
Main differences from 2001


R monies 2001
 Same amount for all staff in
department
 Leads to cliff edge funding
R monies post-2008
 No cliff edge
 Profile funding
£30.00
£25.00
£000s/head
£20.00
£15.00

Main panel I
 Accounting & finance
 Economics & econometrics
 Business & management Studies
 Library & information
management
£10.00
£5.00
2001 RAE rating
£0.00
5*

Staffing rules: no overlap period
5
4
3
2
1
5
RAE 2008 quality profile
 Quality level: 4*, 3*, 2*, 1*, unclassified
 Unclassified = zero stars
 Percentage of research activity in each category
 Based on FTE staff submitted
 No requirement to state % submitted
 To apply to
 research output,
 the research environment
 indicators of esteem & impact
6
RAE 2008: calculation of R monies
e.g. Univ of North Midlands enters 50 FTE staff activity
Quality level
4*
3*
2*
1*
u/c
% research activity
20
25
30
15
10
Income  20 . R 4  25 . R 3  30 . R 2  15 . R1
Where : R i  income/FTE
for i stars
*The sub-panel will not know what the R values will be
7
RAE 2008 quality criteria for outputs
Its originality,
significance & rigour
As a possible point of
reference* in field or sub-field
4*
World leading
Primary
3*
International standard of
excellence
Major
2*
International quality
Contributes
1*
National quality
Limited contribution
u/c
Below national
* To knowledge, theory, policy or practice
8
When is RAE 2008?
 2007
 31st July:
End of assessment period for
research income & research
student data
 31st October:
 30th November:
 31st December:
Census date (staff included)
Closing date for submissions
End of publication period (cut off
date for research output)
 December 2008: results published
 Academic year 2008-9 funding
9
Main panel I: Chair David Otley
Structure of main panel I
34: Economics & econometrics
(David Greenaway, Nottingham)
35: Accounting & finance
(Andy Stark, MBS)
Jane
Broadbent
36: Business & management
(Mike Pidd, Lancaster)
Ray Paul
37: Library and information mgt
(John Feather, Loughborough)
Denise
Osborne
Main panel I: FTE staff (%) submitted across
the 4 areas (2001)
LIM
8%
AcFin
7%
Econ
21%
B&MS
64%
10
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Elements of assessment
Research outputs: 4 per person
(70%)
Research
environment
(20%)
e.g.
Research income
PhD students
Staff development
Esteem &
impact
indicators
(10%)
Quality
profile
Weighted and aggregated across each submission
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Research outputs
 For established staff: 4 per person expected





Unless work is exceptional
Or time out from research (apply pro rata rule)
Part-timers (apply pro rata rule)
Multi-authored work: avoid joint submission from same department
unless work is exceptional
Different for early career researchers
 Should flag up (possibly)



Exceptional work (e.g. potential 4* but not in top-ranked outlet)
Early career researchers
People who’ve had time out or part-time (equal opps)
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Early career researchers
 Central RAE definition

“Entered the academic profession on employment terms that qualified
them for submission to RAE 2008 as Category A staff on or after 1st
August 2003.”
 Submission requirements: Business & Mgt




Appointed 1/8/03 to 31/7/05: normally 2 outputs
Appointed 1/8/05 or later: normally 1 output
Working papers may be submitted
The denominator will be adjusted so there is no point submitting
more than this
After RAE 2008:
Dual funding system for research
HEFCE R monies
Based on RAE
Pays for research
time & infrastructure
Other research income,
including research councils
Pays for research projects
& programmes
Research income
14
15
Future research funding
 RAE 2008 and before
 Peer assessed
 Research outputs (70%)
 Research environment (20%)
 Esteem & impact indicators (10%)
 Beyond RAE 2008


Rationale: To use a less expensive method
Motive: To concentrate research into a few “world leading”
institutions
 Metrics. These could be:
 Research Council income
 Broader definition of research income
 Citation indices
 All dangerous for Marketing!
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Questions & discussion
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RAE 2008 - Nottingham