ioe.ac.uk

REF2014

Pauline Muya

Jo Lakey

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Contents

1 What is the REF?

2 Elements of Assessment: Outputs, Environment, Impact

3 REF Timetable

4 Staff eligibility

5 Code of Practice

6 Staff circumstances

What is the REF?

Part of the system of funding HEIs

Funding formula requires a measure of research quality

Previously called Research Assessment Exercise (1986 – 2008), now Research Excellence Framework (2014 onwards)

Quality judgements by discipline-based panels of expert peer reviewers

Each unit of assessment awarded quality profile (0 to 4*)

Results translated into funding formula multiplier

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Selectivity and Performance

Funding is increasingly selective1999-2000 - 75% of QR funds to 26 HEIs2002-2003 - 75% of QR funds to 23 HEIs, 27% QR funds to ‘big four’ HEIs2012-13 – 30% to big four

Selective funding drives sector performance“in the period since the first RAE in 1986, the effectiveness and productivity of the UK research base has significantly increased”

The Role of Selectivity and the Characteristics of Excellence, Evidence Ltd, 2000.

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Quality Profiles

By percentage of research activity in the submission judged to reach quality standard

Sub-Panel x Cat A FTE Staff submitted for assessment

4* 3* 2* 1* Unclassified

University A 50 15 25 40 15 5

University B 20 0 5 40 45 10

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Overall quality profile: education

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Research Outputs Research Environment Esteem Indicators

4* 3* 2* 1* u/c

25 25 15 20 15

4* 3* 2* 1* u/c

30 20 10 20 20

70%

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4*

10153025

u/c1*2*3*

4* 3* 2* 1* u/c

15 25 35 15 10

20% 10%

Quality Level

% of Research Activity

Funding the RAE2008Funding Councils take profiles and devise a funding formula (each FC uses a different formula and it can change each year)Formula is adjusted to fit overall funds availableFurther performance improvement across the sectorPrioritisation of STEM subjectsFurther concentration of resources – islands of excellence

volume changesrelative quality changes

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IOE Funding from RAE2008

218.03 FTE entered

35% 4*, 30% 3*, 25% 2*, 10% 1*

Funding allocated 3:1 in favour of 4*:3*, no funds for 2* and lower

Funding in 2012/13 of £7,854,108

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Research Excellence Framework

Selection of outputs from members of “research active” staff

Research environment: grant funding, PGR students, research degrees awarded

New element of Impact

Profiles will be 65% outputs, 15% environment, 20% impact

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REF TimetableIntention to submit: December 2012

Submit: November 2013

Results: December 2014

Funding decision: March 2015

Funding: August 2015

Census date 31 October 2013

Outputs 1 January 2008 to 31 December 2013

Environment and Impact 1 January 2008 to 31 July 2013

Data 1 August 2008 to 31 July 2013

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Elements of Assessment

Research outputs 65%

Originality, significance and rigour

Environment 15%

Sustainability and vitality

Impact 20%

Significance and reach

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OutputsThe sub-panels will assess the quality of submitted research outputs in terms of their ‘originality, significance and rigour’, with reference to international research quality standards

All forms of outputs: articles, books, chapters, exhibitions, performances, compositions, media, reports, patents, software, etc.

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Outputs

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EnvironmentCriteria:

Vitality will be understood as the extent to which a unit provides an encouraging environment for research, has an effective strategy, is engaged with the national and international research and user communities, and is able to attract excellent postgraduate and postdoctoral researchers

Sustainability will be assessed by considering leadership, vision for the future and investment in people and infrastructure and, where appropriate for the subject area, the extent to which activity is supported by a portfolio of research funding

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Environment: elementsData relating to research income and doctoral degrees awarded

Overview – 0%, Panel C gives equal weighting to all other sections

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ImpactTwo criteria for impact:

• how significant or transformative the impacts have been

• their reach (how widely the impacts have been felt)

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Impact: general guidanceImpact will count for 20% of overall profile

Research conducted at institution

Underpinning research has to be of high quality (deemed ≥2* or originating from a peer-reviewed competitive project)

2 case-studies up to 14.99 FTE, 1 more every 10 FTE

Research between January 1993 and December 2013

Impact occurring between January 2008 and July 2013

Impact statement to describe approach to impact and future strategies (20%)

Assessors from user communities

Staff eligibility

Contract of at least 0.2 FTE

All staff on ‘teaching & research’ or ‘research only’ contracts as per HESA definitions

Independent researchers – usually Grade 8 and above, but some Grade 7 staff will be eligible (i.e. John Adams Fellows)

Not eligible if employed to carry out another individual’s research programme rather than as independent researchers in their own right

Usually 4 outputs for each staff member submitted

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Code of Practice

Institutional practices that ensure the REF submission is transparent, inclusive and consistent

Staff circumstances survey – December 2012

Standard circumstances (maternity/early career/part-time)

Complex circumstances (case by case)

Inclusion threshold – not yet decided

Clearly defined circumstances: ECR

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Date at which the individual first met the REF definition of an early career researcher:

Number of outputs may be reduced by up to:

On or before 31 July 2009 0

Between 1 August 2009 and 31 July 2010 inclusive 1

Between 1 August 2010 and 31 July 2011 inclusive 2

On or after 1 August 2011 3

Clearly defined circumstances: part-time working, secondment, career breakTotal months absent between 1 January 2008 and 31 October 2013 due to working part-time, secondment or career break:

Number of outputs may be reduced by up to:

0-11.99 0

12-27.99 1

28-45.99 2

46 or more 3

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Clearly defined circumstances: maternity, paternity or adoption leave

Individuals may reduce the number of outputs by one, for each discrete period of:

Statutory maternity leave or statutory adoption leave taken substantially during the period 1 January 2008 to 31 October 2013, regardless of the length of the leave

Additional paternity or adoption leave lasting for four months or more, taken substantially during the period 1 January 2008 to 31 October 2013.

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Complex circumstances

Circumstances which have impacted on an individual’s ability to work productively throughout the assessment period

Confidential submission via the staff survey

Panel will make decisions about the number of outputs each member of staff needs to submit

Panel will consist of HR, RCS and academic representatives

Appeals panel

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IOE Preparations

Internal REF exercise

Reviews over Spring term with feedback April 2013

Decisions about threshold for inclusion made by Director, advised by Pro-Director, Research and Development and theme leaders

Combined with results of staff survey to determine which staff will be submitted

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Any questions?

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