uk metris report_2012

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COUNTRY REPORT

Social Sciences andHumanities in the

United Kingdom

2012 Report

European Commission

DG-Research


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The Social Sciences and Humanities are influential for all Member Statesand for the European Commission. Thousands of researchers carry outresearch in a vast array of themes of national and international interest. They

do so taking into account their organizational structures, frameworkconditions, as well as cultural preferences and political priorities in theircountries.

METRIS is an initiative of the Directorate-General for Research andInnovation (DG RTD) which aims to become an entry and reference point forthe social sciences and humanities landscapes in Europe. Commissioned bythe ERA Directorate of DG RTD and performed via the Metris-Network, itpursues the collection, regular updating, and analysis of information onsocial sciences and humanities at national and European level.

METRIS products

All products are brought together under the website www.metrisnet.eu. Itprovides METRIS country profiles for all EU-27 countries plus another 15European and non-European countries, most of them Associated countriesto the European Unions Research Framework Programme. The websiteprovides access to the following services and publications, as they becomeavailable:

Regularly updated country profiles of SSH systems in 42 countries;

a news service;

annual monitoring reports for all countries covered;

synthesis reports bringing together key points;

links to relevant reports and websites

This document has been prepared within the framework of an initiative of theEuropean Commissions Research and Innovation Directorate-General,addressing the ERAWATCH Network asbl. The METRIS network ismanaged by Technopolis Consulting Group, the project manager is Dr. ViolaPeter ([email protected]).

The present report was prepared by Paul Cunningham and ThordisSveinsdottir, Manchester Institute of Innovation Research, University ofManchester: [email protected] [email protected]. The contents and views expressedin this report do not necessarily reflect the opinions of the Member States orthe European Commission.

The report covers the period from September 2011 to December 2012.

Copyright of the document belongs to the European Commission. Neitherthe European Commission, nor any person acting on its behalf, may be heldresponsible for the use to which information contained in this document maybe put, or for any errors which, despite careful preparation and checking,may appear.


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1. Country Overview 1

1.1 Overview of SSH System 1

1.1.1 Overview of the structure 1

1.1.2 Recent changes in the system 2

1.2 Policy challenges and developments 2

1.2.1 Main societal challenges translated into SSH research 2

1.2.2 New SSH policy developments 4

2. Policy Setting System 6

2.1 Government policy making and coordination 6

2.1.1 Policy formulation and coordination 6

2.1.2 SSH policy advice 6

2.1.3 Main implementing bodies 10

2.2 Impacting factors 13

2.2.1 Policy fields influencing SSH policies 13

2.2.2 Influence of European and international developments 14

2.2.3 Relevance of European and international SSH research 15

2.2.4 Impact of evaluations 16

2.2.4.1 Project evaluation 18

2.2.4.2 Programme evaluation 18

2.2.4.3 Institutional evaluation 20

2.3 Important policy documents 20

2.4 Thematic priorities at national level 23

2.5 Important research programmes 23

2.6 SSH research infrastructures 26

2.6.1 National infrastructures 26

2.6.2 International infrastructures 28

3. Funding System 30

3.1 Overview of funding flows 30

3.2 National public SSH research funding 32

3.2.1 Overview of funding importance 32

3.2.2 Institutional funding 33


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3.2.3 Individual funding 34

3.2.4 Programme Funding 34

3.3 Private research funding 34

3.4 Foundations/ not-for-profit funding 35

3.5 European and international funding 35

4. Performing System 37

4.1 Overview of the performers 37

4.2 Higher Education Institutions 37

4.2.1 HEIs as education performers 37

4.2.2 HEIs as research performers 39

4.3 Public Research Organisations 42

4.4 Private research performers 43

4.5 Research performance 44

4.5.1 Scientific publications 44

4.5.2 Interdisciplinarity 46

4.5.3 International Cooperation 48

References 51


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1. Country Overview

1.1 Overview of SSH System

1.1.1 Overview of the structure

The majority of SSH-related research in the UK is performed within theHigher Education (HE) system, hence this forms the central element of theoverall SSH research system and funding for SSH-related research followsthe same general pattern as does support for science, engineering andtechnology. The majority of funding for this research is provided by theHigher Education Funding Councils (for England, Scotland and Wales, while

an equivalent body operates in Northern Ireland) in the form of institutionalblock funding to HEIs. Funding for individual researchers, research groupsand centres (throughout the UK) is provided on a competitive (responsivemode) basis by the UK Research Councils. Of particular relevance to theSSH area are the Economic and Social Research Council (ESRC) and theArts and Humanities Research Council (AHRC), although other (natural andphysical sciences-oriented) Research Councils may also contribute to SSH-related research funding, particularly through cross-Research Council orinterdisciplinary programmes. Further funding for SSH research is providedby the British Academy (BA). Funding for the Higher Education FundingCouncil for England, the Research Councils and the BA originates from theDepartment for Business, Innovation and Skills (BIS). Other government

departments with SSH concerns as part of their overall policy portfolio willalso support SSH research, either intramurally or through external contracts,while policy coordination on these issues is overseen by the GovernmentSocial Research Unit.

Additional support is made by a number of charities and foundations whichalso make substantial funding contributions, and may conduct researchthemselves. The private sector is also a performer and funder of SSHresearch, either intra- or extramurally, although the scale of this activity isdifficult to measure as it ranges from research conducted in clearlyidentifiable SSH -oriented institutes to that conducted by or for companies(such as in the context of market research, etc.).

A major structural change within the past ten years has been the creation ofa fully-fledged Arts and Humanities Research Council from the previous Artsand Humanities Research Board. In addition, new policy research centreshave been set up and closed, particularly the various research centresestablished with ESRC time-limited funding, although this constant flux tendsnot to affect the overall structure and composition of the research communityitself.


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1.1.2 Recent changes in the system

No major structural changes occurred in the UK SSH system during2011-12, other than the new service announced below.

In July 2012, the ESRC announced funding of 17m (!20.1m) over fiveyears for the UK Data Service. Due to start in October 2012, the newservice provides a unified point of access to the extensive range ofeconomic and social data, including valuable census data. It has beendesigned to provide seamless access and support for the current andfuture research demands of both academic and non-academic users.

In August, the launch of the Centre for Copyright and New BusinessModels in the Creative Economy was announced. Run by a consortiumof UK universities led by the University of Glasgow, CREATe (Creativity,Regulation, Enterprise and Technology) will examine a range of issuesrelating to new digital technologies with a view to meeting some of thecentral challenges facing the UKs creative economy. CREATe is fundedby the AHRC, EPSRC and ESRC. CREATe comprises the University ofEdinburgh, University of Strathclyde, University of St Andrews, Universityof Nottinghams digital economy hub (Horizon), the University of EastAnglia (UEA) and Goldsmiths, University of London.

1.2 Policy challenges and developments

1.2.1 Main societal challenges translated into SSH research

According to the Strategic Plan 2008-11i of the UKs Government SocialResearch Service (the most recent available), the future strategic challengesthat the UK is facing demand a greater contribution from thesocial sciencesin generating and evaluating appropriate policy responses that represent anefficient use of public resources.

Meanwhile, the ESRC 2009-14 Strategic Plan notes that, after extensiveconsultation, seven areas of strategic challenge for economic and socialresearch have been identified. Some build on existing investments and helpconsolidate knowledge and also recognise emerging areas for socialscience:


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Global Economic Performance, Policy and Management

Health and Wellbeing

Understanding Individual Behaviour

New Technology, Innovation and Skills

Environment, Energy and Resilience

Security, Conflict and Justice

Social Diversity and Population Dynamics

Likewise, according to the Arts and Humanities Research Councils Arts andHumanities Research Landscapeii the strategic challenges specified by theCabinet Office Strategy Unit (2008) provide themes to which arts andhumanities research can contribute. These long term public policychallenges include:

the ageing of the population;

the intensification of cross-border economic competition as economicactivity shifts towards emerging markets such as China and India;

an acceleration in the pace of technological diffusion and a continuedincrease in the knowledge-intensity of goods and services;

uncertainty due to international terrorism and global conflict; and

increasing pressures on natural resources and global climate.

Additionally, the Cabinet Office Strategy Unit highlights the following work

areas: Public Service Reform

Employment

Maternity and Early Years services

Preventative NHS strategy

Police reform

Public Services Improvement Strategy

Youth

Future of the Economy Value for Money - understanding how best to embed value for money

across the public sector.

Other work areas include:

Social Europe, looking at the UKs approach towards Social Europe,and how the EU and Member States can best work together in the globalage to deliver social objectives.

Other important Science, Technology and Innovation (STI) policies furthersupport the impact of research, and especially social science research, ongrand challenges and vice versa leading to the specification of long-term

research challenges similar to those above. These are exemplified by the


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cross-Research Council programmes into strategic challenges. Thoseinvolving ESRC and/or AHRC are:

Digital Economy (ESRC, AHRC)

Energy (ESRC)

Global Food Security (ESRC)

Living with environmental change (ESRC, AHRC)

Global uncertainties: security for all in a changing world (ESRC, AHRC)

Lifelong Health and Wellbeing (ESRC, AHRC)

A further example of cross ESRC/AHRC collaboration is the ConnectedCommunities programme (see below).

Thus, the strategic challenges facing the UK SSH research system concern

mainly broader global challenges perceived at a supranational level, with afew particular challenges clearly emerging at national level. A furtherchallenge is to maximise impact, including initiating interaction between SSHand other disciplines supporting multidisciplinary research.

In terms of implementing and mobilising research to deal with these issues, itis clear that the overall portfolio of SSH research supported mainly by ESRCand AHRC (and further supported directly by relevant governmentdepartments, together with charitable trusts and not for profit organisations)provides a steady and comprehensive stream of evidence against whichfuture policies may be informed in order to address the challenges faced bythe UK.

1.2.2 New SSH policy developments

There have been no significant changes in either the personnel or thestructure of the main relevant SSH bodies. Other notable developmentsinclude:

Research Council budgets are to be maintained at the same (cash) leveluntil 2014-15. ESRC will receive an annual budget of 15,319m from2012-13, while AHRC will get 98,370m.

In common with the other Research Councils, both AHRC and ESRChave published impact reports:

Collaborative research, support for research training and connections

with the Creative Economy form the key features of The Impact ofAHRC Research 2010/11iii. The report shows how the AHRCencouraged collaboration in the UK and overseas, with 76% of AHRCawards being collaborative in 2011/12.

The ESRC Research Performance and Economic Impact Report2011/12iv shows how ESRC-funded research supports and developsthe wellbeing of UK citizens and the international competitiveness of thenation. It looks at the impact of ESRC-funded research from knowledgeexchange, public engagement and skilled people, the support of world-class research to enable impact, methodological developments andfuture challenges.


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In October 2012 the British Academy reinforced its longstandingrelationship with the Chinese Academy of Social Sciences (CASS) withthe signing of a new Memorandum of Understanding between the two

national academies.

In September 2012, the House of Commons Science and TechnologyCommittee published its report on the results of an enquiry into TheCensus and Social Science1.

The British Academy made its first awards under the new InternationalPartnership and Mobility Scheme. Fifty two one-year and three-yearawards were made, for research partnerships with a total of 26 differentcountries.

In January 2012, the British Academy and the Leverhulme Trustannounced a major new collaboration to support the award of Small

Research Grants (SRGs) across the Humanities and Social Sciences. In2011, the SRG scheme had resumed with reduced funding from theDepartment of Business, Innovation and Skills; the Leverhulme Trusthowever confirmed a grant of 1.5m over 3 years to support the scheme.

In common with other Research Councils, in March 2011 the ESRCpublished ESRC Delivery Plan 2011-15v. The plan announced asharpened focus around three priorities: Economic Performance andSustainable Growth; Influencing Behaviour and Informing Interventions;and A Vibrant and Fair Society.

1The report concludes that the Census has been a particularly useful resource forsocial scientists and historians, enabling them to carry out research, analyse policydevelopment and evaluate social behaviour and mobility. It also has long-run value.The Committee highlighted the potential value of other administrative data collectedby Government, but expressed concerns about the inefficiency of the process,including that of sharing it with others. See:http://www.publications.parliament.uk/pa/cm201213/cmselect/cmsctech/322/322.pdf


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2. Policy Setting System

2.1 Government policy making and coordination

2.1.1 Policy formulation and coordination

The UK has no separate framework for policy making for SSH; this lies withinthe general policy making framework that applies for all scientific disciplines.The main bodies coordinating SSH research policy are the Economic andSocial Research Council (ESRC) and the Arts and Humanities ResearchCouncil (AHRC). Both are independent Non-Departmental Public Bodiesoperated under and funded by the Department for Business, Innovation and

Skills (BIS). The Home Office also works closely with all Research Councilsand its relationship with ESRC and AHRC in particular has grown overrecent year: there is now a formal Home Office concordat with the ESRC.

The Government Chief Social Scientist leads the Government SocialResearch Service (GSR) and the supporting Government Economic andSocial Research team (GESR) based in HM Treasury. In consultation withgovernment departments and other stakeholders, the GSR has developed astrategy for government social research to improve its impact andcontribution to Government policy making and delivery. The GESR teamsupports the joint Heads of the Government Social Research Service inproviding strategic leadership to GSR and in delivering an effective service. It

offers objective, reliable, relevant and timely social research to support thedevelopment, implementation, review and evaluation of policy and delivery,and ensures that policy debate is informed by the best social scienceresearch evidence and thinking. Most Government Departments have fullGSR membership, indicating that in addition to BIS, the majority ofGovernment Departments have an interest in SSH research for policyadvice. The Department for International Development (DfID) has associatemembership of GSR, while the Ministry of Defence (MoD) is also likely tohave interests in SSH policy issues.

Some of the departments listed above include SSH policy making in theirmission statement and hence a designated part of their budget is allocated torelevant SSH activities. For others, SSH forms a smaller part of theiractivities, including participation in multi-disciplinary projects to addressSSH-related global challenges such as ageing, climate change, etc.

2.1.2 SSH policy advice

The UK Government puts much emphasis on the importance of scientificadvice for policy making, especially on issues significantly affecting society.Specific guidelines have been introduced for government departments,setting out key principles for the use and presentation of scientific advice forpolicy making, along with a Code of Practice for the Consultation forscientific advisory committees.

Policy advice is provided to the Government from a wide network of formallyinstituted committees and advisory boards, but also by independent expert


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bodies on an on demand basis or in the form of consultations. Advisorybodies are located at various levels, from Cabinet, through Parliament anddepartmental levels, down to various ad hocand standing committees, which

provide advice on science, engineering and technology (SET) issues,including SSH issues. As before, it must be emphasised that due to thepervasive nature of SSH issues across a range of policy domains (includingthose with a strong scientific or technology focus) it is not possible to make adistinction between advisory bodies that have a strong SSH focus and thosewhich do not (although this argument is mainly applicable to the use of socialsciences research rather than humanities research).

Formally instituted bodies

UK Parliament: Both the House of Commons and the House of Lords have anumber of Select Committees that focus on science (as defined broadly,including SSH), as well as the following committees: The House of

Commons Science and Technology Committee ensures that policy is basedon good scientific and engineering advice and examines the administration,expenditure and policy of the Government Office for Science (GO-Science)situated in BIS. The Business, Innovation and Skills select Committee alsoscrutinises BIS; The House of Lords Science and Technology Committeehas the broad remit to consider science and technology2. Other bodies arealso sources of information and debate, including the Parliamentary Office ofScience and Technology (POST) and the Parliamentary and ScientificCommittee.

GO-Science, headed by the Government Chief Scientific Adviser (GCSA)provides policy advice on SET issues directly to the Prime Minister and the

Cabinet. Moreover, the departmental Chief Scientific Adviser of BIS ensuresthat its strategy and policy is informed by robust scientific evidence.

The independent Council for Science and Technology (CST) advises thePrime Minister and the First Ministers of Scotland and Wales on strategicpolicies and the framework for research, science and society, education,science and Government, and technology innovation.

The Cabinet Office and its Committees3 identify and use the best availableevidence from science, particularly social science, in their work of deliveryand reform of government. Moreover, the Strategy Unit provides strategyand policy advice to the Prime Minister and government departments andalso identifies and disseminates emerging issues and policy challenges

focusing, inter alia, on issues with SSH relevance such as education, healthand home affairs.

2 Other Select Committees relevant to SSH are The Select Committee on Environment, Food and Rural

Affairs, the Business, Enterprise and Regulatory Reform Select Committee and the Select Committeeson Defence and Health.

3 Ministerial Committees, 2010: European Affairs; Social Justice; Home Affairs; Public Health sub-

committee; Olympics sub-committee; Economic Affairs; Reducing Regulation sub-committee; BankingReform; Parliamentary Business and Legislation; Public Expenditure.


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Other support and advisory bodies

Another important source of scientific policy advice especially on specificpolicy topics are the non-departmental public bodies (NDPBs). These can beexecutive or advisory. There are also Departmental Executive Agencies thatbelong to a Government Department and have responsibility for particularbusiness areas.

The Economic and Social Research Council (ESRC) and the Arts andHumanities Research Council (AHRC). A small amount of the workconducted by other research councils may also involve trans-disciplinarywork in the social sciences. These include the Biotechnology & BiologicalSciences Research Council (BBSRC), Engineering and PhysicalSciences Research Council (EPRSC), Medical Research Council (MRC)and Natural Environment Research Council (NERC).

Research Councils UK (RCUK) is the body coordinating all ResearchCouncils in the UK.

Higher Education Funding Councils (HEFCs): Separate HEFCs, orequivalent bodies, exist for England, Scotland, Wales and NorthernIreland. They provide evidence-based advice to the government onhigher education, the funding required to meet the sectors objectives,etc.

The Technology Strategy Board (TSB): guides technology strategyacross government. The creative industries are a new application areafor the TSB.

Other relevant Advisory Committees and Groups

Two strategic advisory bodies which have a wider role and cover relevantethical and social issues in addition to scientific matters are the FoodStandards Agency and the Human Fertilisation and EmbryologyAuthority.

The UK Research Base Funders Forum has been set up to allowgovernmental and non-governmental funders of public good research toconsider the collective impact of their strategies on the sustainability,health and outputs of the Research Base.

The Global Science and Innovation Forum (GSIF) is designed to improvethe coordination of UK engagement in international science (including

SSH) and innovation activities. Its membership includes representativesof bodies with SSH remits including BIS, the DoH, DEFRA, RCUK andmore.

Other sources of advice include the Learned Societies, international bodies,professional associations, independent institutes and stakeholder groups,including consumer groups.

British Academy: This is the UKs national academy for the SSH.Amongst other tasks it provides an independent and authoritative sourceof advice as a national forum for SSH, and contributes to public policyand debate.


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The Academy of Learned Societies for the Social Sciences is composedof individual academics and researchers from the public and privatesectors and Learned Societies in the Social Sciences. Among other tasks

it responds to Government and other consultations on behalf of thesocial science community.

Individual associations and membership bodies, such as the BritishSociological Association (BSA), the professional organisationrepresenting sociologists in Britain, the Social Policy Association, theSocial Research Association, etc.

The Royal Society. As well as providing an authoritative voice andleadership for UK science, it provides objective advice for governmentand policymakers on science, its relationship with society and scienceeducation.

The National Endowment for Science, Technology and the Arts(NESTA): Amongst other activities it informs and shapes policy onScience, Technology and the Arts.

Universities UK, the representative body for UK HEIs. It undertakesresearch and policy development to enable UK universities to lead thenational debate in UK Higher Education (HE).

Centres of Excellence and Charities

There are many research organisations in the UK that, apart from funding orimplementing SSH research, provide support and advice to the governmentin the form of general social scientific knowledge, specialist expertise,consultation, and are potential contractors for commissioned work.

Academic centres that support evidence-based policy making on socialand economic issues include: Centre for Longitudinal Studies (CLS);Centre for Research in Social Policy (CRSP); Centre for EconomicPerformance; Research Unit for Research Utilisation (RURU); EuropeanSocial and Cultural Studies Centre (ESCUS) and Manchester Institute ofInnovation Research (MIoIR).

ESRC Research Centres and Groups (see Section 4.3).

Other independent Research Institutes and Centres: the National Centrefor Social Research (NatCen); the Institute of Fiscal Studies (IFS);National Institute of Economic and Social Research (NIERSR); the

Tavistock Institute; Policy Studies Institute (PSI); the Centre for Policy onAgeing; and more.

Charities that are also SSH research funders, include: The WellcomeTrust; the Leverhulme Trust, funder of the Leverhulme Centre forResearch on Globalisation and Economic Policy; the Joseph RowntreeFoundation (JRF) and the Joseph Rowntree Housing Trust (JRHT); theNuffield Foundation funder of the Nuffield Council on Bioethics, and theKings Fund. (see also below)

Think Tanks that produce and disseminate policy relevant information byproviding advice and ideas generated by discussion, data analysis andresearch: the Adam Smith Institute (supports market-based policies);

Centre for Policy Studies; DEMOS (aims to reinvigorate public policy and


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political thinking); The Work Foundation; The Institute for Public PolicyResearch (IPPR); the Institute of Economic Affairs (IEA); the NewEconomics Foundation (NEF); the New Policy Institute (NPI); the Social

Market Foundation (SMF) and more.

2.1.3 Main implementing bodies

The main implementing/funding bodies in the SSH domain in the UK are:

The Economic and Social Research Council (ESRC):

The ESRC is an independent Non-Departmental Public Body (NDPB)established by Royal Charter in 1965 as the Social Science ResearchCouncil. It is principally funded through the Science Budget by theDepartment for Business, Innovation and Skills (BIS). ESRC is the primarysource of social science and economic research funding across a wide range

of disciplines encompassing: sociology; economics; anthropology; politicalscience; area or regionally based research and geography; internationalrelations; cultural and media studies; law and linguistics; psychology.

The mission of ESRC is: to promote and support, by any means, high-quality basic, strategic and applied research and related postgraduatetraining in the social sciences; to advance knowledge and provide trainedsocial scientists who meet the needs of users and beneficiaries, therebycontributing to the economic competitiveness of the UK, the effectiveness ofpublic services and policy, and the quality of life; and to provide advice on,and disseminate knowledge and promote public understanding of, the socialsciencesvi. It supports independent, high quality research which has animpact on business, the public sector and the third sector. In 2012/13,

ESRCs total budget was 205m and the Council supports 4,000 researchersand postgraduate students in academic institutions and independentresearch institutes.

ESRC funding is delivered via a range of instruments which provide supportfor individuals or groups including research grants, fellowships, seminars andcentres. ESRC funds support a number of independent research centres andgroups which conduct research into specific aspects of the social sciences.

The Arts and Humanities Research Council (AHRC):

The AHRC was established in 2005 and is a Non-Departmental Public Body(NDPB) sponsored by BIS. It evolved from the Arts and Humanities

Research Board (AHRB) founded in 1988. It is the primary source of Artsand Humanities research funding in the UK supporting research across awide range of subjects including: history (ancient, medieval and modern);classics; archaeology; modern languages and linguistics; English languageand literature; the visual arts and media; librarianship, information andmuseum studies; philosophy, law, religious studies; music and creative andperforming arts.

AHRCs vision is to be a recognised world leader in advancing arts andhumanities research. This is achieved through four strategic aims: 1. Topromote and support the production of world-class research in the arts andhumanities; 2.To promote and support world-class postgraduate training

designed to equip graduates for research or other professional careers; 3.To


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strengthen the impact of arts and humanities research by encouragingresearchers to disseminate and transfer knowledge to other contexts whereit makes a difference; 4.To raise the profile of arts and humanities research

and to be an effective advocate for its social, cultural and economicsignificance.vii

AHRC funds postdoctoral research, post-graduate research, knowledgetransfer which supports collaborative activities between academic and non-academic partners, international research for those collaborating withresearchers from outside the UK, or for students looking to undertakeresearch abroad, and also has specific funding opportunities for Museumsand Galleries. AHRC offers opportunities for individuals not only in HigherEducation Institutions but also in recognised Independent ResearchOrganisations.

Despite the apparent division of disciplinary focus between the two Research

Councils, overlaps exist with some SSH disciplines being covered andfunded by both, including History, Linguistics, Law, Communications,Cultural and Media Studies and moreviii. In this respect the two councils haveissued a joint statement in which they declare that they wish to ensure thatno application falls into the gap between the two bodies and both supportwork which includes elements "that might plausibly have been supported bythe other body.

Apart from the ESRC and AHRC, the remaining Research Councils,including the Natural Environment Research Council (NERC), the MedicalResearch Council (MRC) and the Engineering and Physical SciencesResearch Council (EPSRC), fund some SSH-related research and

participate in SSH-related inter-disciplinary and multidisciplinary projects.The British Academy:

The British Academy is the UKs national academy for the humanities andsocial sciences, funding research in both these fields but with generallysmaller grants than the Research Councils. The Academy receives anannual Grant-In-Aid from BIS. Its fundamental purpose is to inspire,recognise and support excellence and high achievement in the humanitiesand social sciences, throughout the UK and internationally, and to championtheir role and valueix.

The Academy delivers its mission through four functions: as a Fellowship it

takes a lead in representing the humanities and social sciences, facilitatinginternational collaboration, providing an independent and authoritativesource of advice, and contributing to public policy and debate; as a learnedsociety, it seeks to foster and promote the full range of work that makes upthe humanities and social sciences, including inter- and multi-disciplinarywork; as a funding body it supports excellent ideas, individuals andintellectual resources in the humanities and social sciences, and as anational forum for the humanities and social sciences, it supports a range ofactivities and publications (print and electronic), which aim to stimulatecuriosity, to inspire and develop future generations of scholars, and toencourage appreciation of the social, economic and cultural value of thesedisciplines.


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The British Academy provides research funding to postdoctoral scholars inall SSH subjects to support ideas, individuals and intellectual resourcesthrough research grants, research posts research development, conference

grants, individual and joint projects and international research.

Additional funding is also provided by a number of foundations, trusts andcharities for research carried out mainly in Universities. These include socialpolicyresearch funders with their own thematic priority agendas, such as:

The Wellcome Trust, an independent charity, established in 1936, whichfunds research to improve human and animal health.

The Leverhulme Trust, an independent charity, which provides awards toindividuals to support education and research in all areas including SSH.

The Joseph Rowntree Foundation (JRF) which is an independent socialpolicy research and development charity that works together with the

Joseph Rowntree Housing Trust (JRHT) to understand the root causes ofsocial problems, identify ways of overcoming them, and show how socialneeds can be met in practice. JRF funds a UK-wide research anddevelopment programme on housing, social care and social policy, whileJRHT is a registered housing association. Together they aim to influencepolicy and practice by researching and presenting evidence andsolutions under four topics: poverty, places, empowerment and cross-cutting work.

The Nuffield Foundations mission is to support research, analysis anddebate that will 'advance social well being'. Apart from making grants toother organisations, the Foundation runs its own projects and activities.

Among its activities is the Nuffield Council on Bioethics that providesimpartial expert advice to policy makers and support public policyunderstanding of ethical issues stemming from biology and biomedicine.

The Kings Fund which works on the health and healthcare domains.

Furthermore, some learned bodies also offer funding for research in SSHfields or inter-disciplinary research with SSH relevance including: the RoyalSociety, which amongst others funds research in some SSH fields such asthe History of Science; the National Endowment for Science, Technologyand the Arts (NESTA) that funds research in the Arts; Universities UK; theTechnology Strategy Board (TSB) that has recently placed greater emphasison funding Arts and Humanities research and particularly research in the

Creative Industries and others.

Finally, apart from the discipline-based research bodies funding, a muchgreater amount of block funding is allocated to Higher Education Institutions(HEIs) by the Higher Education Funding Councils (HEFCs). However, afterthe allocation of this quality-related funding to HEIs, the latter are free toallocate the funds internally without having any disciplinary restriction (Alsosee: 4.2).


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2.2 Impacting factors

2.2.1 Policy fields influencing SSH policies

As noted above, a range of ministries and government departments areinvolved in SSH policy making. Some of those listed below include SSHpolicy making in their mission statement and thus have a designated part oftheir budget allocated to relevant SSH activities. For others, SSH forms asmaller part of their activities, including participation in multi-disciplinaryprojects to address SSH-related global challenges such as ageing, climatechange, etc. Most of them have full membership in the Government SocialResearch Service, which means that they use social research to inform theirpolicy decisions either by having a dedicated social research team or byhaving teams of social researchers integrated within groups of analysts andpolicymakers responsible for particular policy areas. Due to the pervasive

nature of SSH issues across a range of policy domains (including those witha strong scientific or technology focus) it is not possible to make a distinctionbetween government bodies that have a strong SSH focus and those whichdo not (although this argument is mainly applicable to the use of socialsciences research rather than humanities research). Departments with fullGSR membership are:

Department for Business, Innovation and Skills (BIS): policy areasinclude research, innovation, industry, enterprise, business regulation,education (universities), skills and more.

Department for Culture, Media and Sport (DCMS): Policy areas rangefrom the arts to gambling/lottery, sport and broadcasting.

Department for Transport (DfT): policies are oriented towards a transportsystem which balances the needs of the economy, the environment andsociety. Social researchers work on areas such as congestion,environmental behaviour change, etc.

Department of Health (DoH & National Health Service): provides healthand social care policy.

Department for Work and Pensions (DWP): in charge of welfare andpension reform - also works towards tackling child poverty and promotingequality.

Department of Energy and Climate Change (DECC) brings together the

energy policy and climate change mitigation policy areas.

Department for Education (DfE) is responsible for education, children'sservices, families and young people.

Department for Communities and Local Government (DCLG): sets policyon local government, housing, urban regeneration, fire safety, buildingregulations and is also responsible for race equality and communitycohesion related issues.

Department for Environment, Food and Rural Affairs (Defra): isresponsible for policy and regulations on the environment, food and ruralaffairs, including issues such as sustainable consumption and

production.


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The Cabinet Office: is the governments head office. Social researchersare located in the National School of Government which providescourses to social researchers, and to other civil servants who engage

with the evidence generated by social research; and in the PublicServices Reform.

Home Office: the government department for immigration and passports,drugs policy, counter-terrorism and police, dealing with issues such asdomestic and international crime, anti-social behaviour, home and publicspaces safety.

Ministry of Justice. Responsible for: civil liberties; freedom of information;data sharing and protection; law reform; the relationship between thethree devolved administrations (Northern Ireland, Scotland, Wales).

HM Revenues and Customs: is in charge of the UKs tax and customs

system, administering amongst others child benefits, environmentaltaxes, enforcing border and frontier protection etc, aiming to ensuresocietys financial well being.

HM Treasury: the UKs economics and finance ministry. Its aim is toraise the rate of sustainable growth, and achieve rising prosperity and abetter quality of life with economic and employment opportunities for allthrough economic and financial policies.

The Scottish Government and the Welsh Assembly Government: Thesedevolved governments are responsible for most of the issues of day-to-day concern to the people of their countries, including health, education,justice, rural affairs, and transport.

Other relevant bodies with full GSR membership are: the Legal ServicesCommission that runs the legal aid scheme in England and Wales; theNational Policing Improvement Agency4 that acts to improve public safety;the Office for National Statistics with 150 social researchers working on arange of topics: health, population, demography, geography, labour market,socio-economic inequalities and more; and the Northern Ireland Statisticsand Research Agency that is the principal source of official statistics andsocial research on Northern Irelands population and socio-economicconditions. The Department for International Development (DfID) hasassociate membership in GSR and aims to meet the challenges of tacklingworld poverty. Another Department that might also have a stake in SSH

policy making is the Ministry of Defence (MoD).

2.2.2 Influence of European and international developments

According to Griffin et al. (2005)x, the overall impact of the Bologna processon SSH policy making (and S&T policy making more generally) is negligible.This is because the state does not interfere in the daily management ofuniversities nor in the curricula or degrees offered. However, it does controlfunding, through the dual streams related to teaching (in which funding isgiven on the basis of student numbers) and research (which is allocated as

4Now in the process of transferring its functions to a number of successor organisations.


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block grants via a research allocation mechanism (the Research ExcellenceFramework - REF) or through competition-based applications to theResearch Councils for project or centre grants). Thanks to a number of

reforms in HE that occurred during the 1980s and 1990s (modularization,semesterisation, the Teaching Quality Assessment (TQA) and theRAE/REF), the British HE system has been placed close to the Bolognaobjectives. Furthermore, the two cycle degree structure (BA, and MA/PhD)pre-dated Bologna.

In general policy terms, the UK is supportive of various EU researchdevelopments, including the development of the ERA, whilst also seeking todirect these in order to ensure their optimal performance. UK participation inall the EU research funding frameworks is strongly supported at the policylevel and is matched by good levels of participation by UK public sectorresearchers (notably from HEIs) although business participation is somewhat

disappointing in comparison with similar sized EU neighbours. Broadlyspeaking, although ERA-related issues do not receive major attention in UKpolicy documents, they are discussed in more focused debates.

2.2.3 Relevance of European and international SSH research

In terms of participation in specific European activities, data provided for theprevious METRIS country report indicated that researchers based at UKinstitutions accounted for 200 out of 1,507 participations in SSH- related FP5projects about 13.3%. A wide range of UK HEIs and other institutions wererepresented but the highest numbers of participations were University ofOxford (11), University of Manchester (10), University of Essex (9) andLondon School of Economics (9).

Data provided for FP6 show that UK-based participants coordinated 26projects under Priority 7 and Priority 8, the second highest behind Germany.Of 169 Priority 7 and Priority 8 (SSH -related) projects, 253 UK-basedresearchers participated in 169 projects which had a total of 1,996participants (a participation rate of 12.7%).

The UK actively participates in three current SSH relevant ERA-NETs. SSHERA-NETs with UK participation are:

HERA JRP/ The Humanities in the European Research Area ERA-NET,facilitated in the UK through the AHRC.

HERA JRP Cultural Encounters, AHRC is the UK participant.

NORFACE Plus / New Opportunities for Research Funding Co-operationin Europe a Strategy for Social Sciences. ESRC is the UK participant.

The UK is the top host country for European Research Council (ERC) grantson SSH. In 2011, UK institutions hosted 18 out of the 54 funded ERCAdvanced Grants in the SSH domain; in 2012, the respective figures were 20out of 57. Similarly, the UK is a top host country for researchers receivingStarting Grants, with 38 out of 92 awards in SSH in 2011, and 36 out of 106awards in SSH in 2012 won by researchers in UK institutions.

Likewise, the UK is a leading partner in the COST initiative where, from the45 currently running actions mentioned in the domain Individuals, Societies,


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Cultures and Health (ISCH) all have been signed by the UK, 12 having a UKchairxi.

Activity is also intense in Networks of Excellence (NoEs), with UKorganisations participating in around 39 currently running SSH related NoEsand coordinating three of these.

Despite the intense activity and the high percentages of participation of UKbodies in EU research initiatives (of any type) this does not receive a highprofile in the general media.

2.2.4 Impact of evaluations

The UK has a long tradition of systematic reviews, evaluations5 andassessments as tools for strategic planning and evidence- based policy-making. This culture of using systematic evaluations and reviews in all levels

of policy-making and policy delivery is no different for SSH. The main SSHimplementing bodies have designated Evaluation Strategies and in thisframe regularly launch organisational (strategic-level) and programmeevaluations. Their results feed into their planning process improving theirstrategy, priorities and future actions. Additionally, such evaluations alsoinform policy-makers on the progress made towards the objectives, targetsand priorities set in the UK SIIF, by evaluating the condition of the SSHresearch base, the impact and quality of investments, recent developments,potential gaps and areas for improvement and more. Apart from BIS, whichis the main audience for such SSH evaluations, other governmentdepartments and agencies are also interested.

In more detail, the performance of all Research Councils, including AHRC

and ESRC, is evaluated as part of the Performance Management Systemthat BIS manages and applies in all government departments, agencies andcouncils to measure progress against government objectives. EachResearch Council publishes an individual annual Research Performance andEconomic Impact Report (RPEI). Each RPEI reports progress against anumber of metricsxii.

According to the 20011/12 EIRFxiii, ESRC highlights include:

The heavily-publicised BBC experiment, undertaken in collaboration withthe EROS network to explore how people handle tasks under stress;

The identification of the significant contribution of social science, and of

ESRC-funded research and researchers in reducing the risk of socialexclusion among young children in disadvantaged groups and areasthrough contribution to the Sure Start initiative;

The release in 2011 of the first longitudinal data from the ESRCsflagship study, Understanding Society;

5In the UK, the term evaluation is used explicitly in the context of post hoc performance appraisal of

projects, programmes and institutions. Assessment refers to the ex ante appraisal of awardapplications.


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The evidence from an economic impact evaluation of the ESDS revealinga net economic value for the service of around 18 million per annum more than five times ESDS operational costs.

Likewise, the 2011/12 AHRC impact reportxivnotes that:

The AHRC makes a vital contribution to world leading research andpostgraduate training and development in the UK. Support for collaborative,interdisciplinary and innovative projects increases knowledge andunderstanding and pushes at research boundaries. Themed research andknowledge exchange initiatives enable researchers to work withpolicymakers and industry to improve wellbeing and public services.Nurturing research excellence from postgraduates and early careerresearchers to established researchers ensures that the sustainability ofhuman capital and knowledge power is promoted across higher educationand the creative and cultural sectors. Connections with the Creative

Economy also contribute to economic growth.

Generally, according to its Evaluation Strategyxv, ESRC evaluates thequality and impact of all its research investments across its StrategicFramework. This activity is managed by the Evaluation Committee (EC),which advises the Council on the progress and further development of itsresearch strategy. The EC undertakes a broad range of evaluation activitiesrelated to ESRCs strategic priorities:

Impact through World Class Research

Impact through Skilled People

Impact through Infrastructure

Impact through International Leadership

Impact through Partnerships

Quality, Independence and Impact

The AHRC notes that it is committed to realising the impact of arts andhumanities research. By working with the arts and humanities researchcommunity, and with related organisations and sectors, it aims to increaseopportunities for impact and bring greater understanding of the results ofinvestments, interactions and activities. Impact evidence is nowsystematically collected through the new web-based Research OutcomesSystem (ROS), a collaboration involving five Research Councils. ROSpresents a common approach to gathering quantitative and qualitative data.This will help with strategy development. (2011/12 AHRC impact report).

The British Academy monitors the outcomes of each of its schemes in termsof distribution of applications and awards on a range of criteria including age,gender, institutional affiliation, subject classification, grade awarded, andnational base. Additionally, each programme is subject to periodic, usuallyannual, review by the Committee responsible for its administration. Thepublished guidance for applicants and conditions of award for each schemeare reviewed, and may be amended, annually. Once revised, theseregulations remain operative for the whole of the subsequent academicsession. From time to time, a survey of a cohort of applicants may be

undertaken (a) to ascertain further information about the progress of


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research/development of careers initially funded by the Academy; (b) toensure that the Academy's schemes are meeting the needs of the academiccommunity in terms of service delivery; and (c) to ensure that the

programmes offered by the Academy are judged to add value within thespectrum of public funding available nationallyxvi.

The principles underpinning the Academy's policy for monitoring theoutcome of awards and evaluating the success of its programmes are thatprocedures should be cost-effective, mainly qualitative, and deliberatelyproportionate to the scale of funding on offer.

Finally, the research funding allocated by the Higher Education FundingCouncils is directly connected to the evaluation of research, including SSHresearch, which, from 2014 will be done on the basis of the ResearchExcellence Framework (REF). For the first time the research assessment willexplicitly assess the impact of past research on the economy and society xvii.

The REFs peer reviewers evaluate researchers in universities every four tosix years grading departments and individual researchers along a 1-5 scale.The peer review process is strictly disciplinary, however even though thefunding depends on the grade allocated to the SSH and other departmentsthe allocation of the funding by the university following its receipt is notnecessarily related to the grading.

2.2.4.1 Project evaluation

ESRC evaluates all the research that it funds. On the project level grantholders are obliged to submit final reports after their award ends. The mainpurposes of this evaluation are to: provide an assessment of accountability,

i.e. whether public funds were spent as agreed; assess whether the projecthas been conducted effectively, whether it has met its objectives and tomake an early assessment of the quality and impact of the research; and toprovide award holders with some feedback about the management, qualityand rigour of the research, and to provide comments on uses or potentialuses of the researchxviii. On a day to day basis, the ESRC Evaluation andImpact Team is responsible for evaluation and the process is heavily relianton peer review.

AHRC also adopts similar end of award reporting requirements andendeavours to capture information on the outputs and outcomes of theresearch it funds.

The British Academy also requires that all recipients of research awardssubmit an end of grant report.

2.2.4.2 Programme evaluation

Note: the tendency to rely significantly on evaluation in the UK means thatthere are an enormous number of programme evaluations. Thus thefollowing is supplied for illustrative purposes only as a comprehensive listingcannot be provided.

Examples of recent ESRC evaluations includexix:

ESRC-MRC Interdisciplinary Studentship and Postdoctoral Fellowship

Scheme http://www.esrc.ac.uk/_images/Evaluation-of-ESRC-MRC-interdisciplinary-studentship-and-pdf-scheme_tcm8-24165.pdf


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ESRC Postdoctoral Fellowship Schemehttp://www.esrc.ac.uk/_images/ESRC_Postdoctoral_Fellowship_Scheme_Review_Report_tcm8-4866.pdf

ESRC-NERC Interdisciplinary Research Studentship Schemehttp://www.esrc.ac.uk/_images/ESRC-NERC_Scheme_Review_Final_Report_tcm8-4867.pdf

ESRC Small Grants Schemehttp://www.esrc.ac.uk/_images/ESRC_Small_Grants_Scheme_Evaluation_tcm8-4868.pdf

ESRC Research Seminars Schemehttp://www.esrc.ac.uk/_images/EC%20Full%20Report%20-%20Research%20Seminars%20Scheme_tcm8-22288.pdf

European Collaborative Research Projects

http://www.esrc.ac.uk/_images/ECRP_full_report_tcm8-22049.pdf

International Fellowship and Networking Schemeshttp://www.esrc.ac.uk/_images/International_Fellowships_Final_Report_tcm8-23222.pdf

Examples of recent AHRC evaluations include:

AHRC Research Networking Scheme (Spring 2011)

AHRC Small Grants Scheme 2005-2009 (Summer 2011)

AHRC Larger Research Grants Scheme 2005-2010 (Spring 2012)

Evolution of Cultural Diversity Research Centres evaluation (Winter

2012)

Irish and Scottish Studies Research Centre evaluation (Winter 2012)

Evaluation titleIndependent Review of Beacons for Public Engagement (BPE)Evaluation Findings

Programme title The Beacons for Public Engagement (BPE) Initiative

Type of programme Encouraging public engagement within six HEIs

Type of evaluation Pilot evaluation

Period covered Report, Oct 2010. Period covered N/A.

Objectives

BPE aims: Formalising and embedding public engagement in HEIs;building capacity for public engagement within institutions; strategyplans to include public engagement; creating networks to shareexpertise and good practice; creating different methods to sharepublic engagement. Evaluation objectives: to synthesise the availableevidence on the degree to which these aims are being delivered.

Approaches

Proposals submitted by individual BPEs; annual and other reports;reports from individual Beacon evaluators; other documents suppliedby Beacons. Qualitative analysis tool Nvivo was used to capturefindings and record emergent themes.

Key results andrecommendations

The BPE pilot has been successful so far in contributing to the fiveoverarching aims. The evaluation concluded that the BPE initiative

had stimulated the relevant activity and had made progress in


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delivering the desired culture within institutions participating in theBeacons. The pilot evaluation recommended that any furtherevaluation should focus on individual evaluations of the six Beacons.

Availability The initiative was funded by the UK higher education fundingcouncils, RCUK and the Wellcome Trust.

Tags Public engagement; capacity building; beacons; evaluating initiatives

2.2.4.3 Institutional evaluation

In April 2011, the Cabinet Office announced that all non-departmental publicbodies (NDPBs), which include the Research Councils and their institutes,would be subject to a substantive review at least once every three years.The first year of these reviews was 2011-12. The Triennial Reviews have twopurposes:

To provide a robust challenge of the continuing need for individual

NDPBs both their function and their form, employing the three testsdiscipline; and

To review the control and governance arrangements in place to ensurethat the public body is complying with recognised principles of goodcorporate governance.

However, responsibility for the review of Research Council Institutes restswith the parent Research Councils. Since neither the ESRC nor the AHRCprovide institutional funding, this issue does not arise. The ESRC doesprovide funding for research Centres: these are typically supported with fiveyears funding, with funding for a further five years, subject to a satisfactorymid-term review.

University departments are not evaluated per se although their researchoutput is assessed as part of the Higher Education Funding CouncilsResearch Excellence Framework (formerly the Research AssessmentExercise) which is used to inform allocations of university block grantfunding. However, entry of staff into the REF/RAE process is an electivedecision made by individual departments thus the process cannot beconsidered as an evaluation.

2.3 Important policy documents

The following documents recent6documents are relevant:

SSH specific documents AHRC, 2007. AHRC Vision and Strategy 2007 2012.

http://www.ahrc.ac.uk/News-and-Events/Publications/Documents/Vision-and-Strategy-2007-2012.pdf

AHRC, 2009. Arts and Humanities Research Landscape. AHRC: Bristolhttp://www.ahrc.ac.uk/News-and-Events/Publications/Documents/Arts-and-Humanities-Research-Landscape.pdf

6Older documents are included in the previous country reports as well as in the METRIS website.


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AHRC, 2009. AHRC Evaluation Strategy 2007-2012.http://www.ahrc.ac.uk/News-and-Events/Publications/Documents/Evaluation-Strategy.pdf

AHRC, 2010. AHRC Delivery Plan 20112015.http://www.ahrc.ac.uk/News-and-Events/Publications/Documents/Delivery-Plan-2011-2015.pdf

AHRC, 2013. The Impact of AHRC Research 2011/2012. Arts andHumanities Research Council, January 2013.http://www.ahrc.ac.uk/News-and-Events/Publications/Documents/AHRC%20Impact%20Report%202012.pdf

Bakhshi, H., Schneider, P. and Walker, C., 2008. Arts and HumanitiesResearch and Innovation. AHRC and NESTA: Bristol and London.

http://www.nesta.org.uk/library/documents/arts-humanities-innovation-report.pdf

BIS, 2011. Economics and social research strategy 2011/12: an overviewof economic and social research.https://www.gov.uk/government/publications/economics-and-social-research-strategy-2011-12

Government Social Research Service, 2008. Government SocialResearch Service Strategic Plan: 2008-11.http://www.civilservice.gov.uk/wp-content/uploads/2011/09/gsru_busplan0811_tcm6-5346.pdf

Hughes, A, Kitson, M. and Probert, J. Hidden Connections: Knowledge

exchange between the arts and humanities and the private, public andthird sectors May 2011. http://www.ahrc.ac.uk/News-and-Events/Publications/Documents/Hidden-Connections.pdf

ESRC, 2009. ESRC Strategic Plan 2009-2014 Delivering Impact throughSocial Science. http://www.esrc.ac.uk/_images/Strategic%20Plan_tcm8-3899.pdf

ESRC, 2010. Economic & Social Research Council, ResearchPerformance and Economic Impact Report 2011/12.http://www.esrc.ac.uk/_images/RPEI_report_2012_tcm8-24783.pdf

ESRC, 2011. ESRC Delivery Plan 2011-2015.

http://www.esrc.ac.uk/_images/ESRC%20Delivery%20Plan%202011-15_tcm8-13455.pdf

ESRC, 2012. Shaping Society: Annual Report and Accounts 2011/12.The Stationary Office.http://www.esrc.ac.uk/_images/ESRC_Annual_Report_2011_12_FOR_WEB_tcm8-22195.pdf

ESRC, 2012. Shaping Society: Vital Statistics 2011/12. The StationaryOffice.http://www.esrc.ac.uk/_images/Shaping_Society_Vital_Stats_tcm8-23317.pdf


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The British Academy, 2007. British Academy Strategic Framework 2008-2013. The British Academy: London. http://www.britac.ac.uk/about/strat-fram.cfm

The British Academy, 2007. British Academy Strategic Priorities 2008-2013. The British Academy: Londonhttp://www.britac.ac.uk/about/mission.cfm

The British Academy, 2007. Peer Review: the challenges for thehumanities and social sciences. British Academy: London.http://www.britac.ac.uk/templates/asset-relay.cfm?frmAssetFileID=6433

The British Academy, 2008. Punching our weight: the humanities andsocial sciences in public policy making. The British Academy: London.http://www.britac.ac.uk/policy/punching-our-weight.cfm

Policy inputs/reports

Cullen, J., Sullivan, F. and Junge, K., 2007. Evaluating Science andSociety Initiatives: A Framework for Evaluation. The Tavistock Institute.Prepared for the Department for Business, Innovation and Skills and theEconomic and Social Research Council.

Evidence Ltd. International Comparative Performance of the UKResearch Base, Report for the Department of Business, Innovation andSkills, September 2009.

Frontier Economics Ltd, 2007. Evaluating the impact of ESRC funding Areport prepared for the Economic and Social Research Council. ESRC.

Nederhof, A.J., Van Leeuwen, T.N. and Tijssen, R.J.W., Unknown.

International benchmarking and bibliometric monitoring of UK researchperformance in the social sciences. Centre for Science and TechnologyStudies (CWTS) University of Leiden. Report for the UK Economic &Social Research Council.

Further Important Documents

BIS, 2010. The Allocation of Science and Research Funding 2011/12-20014/15.https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/32478/10-1356-allocation-of-science-and-research-funding-2011-2015.pdf

The Strategy Unit, 2008. Realising Britains Potential: Future StrategicChallenges for Britain. February 2008. The Cabinet Office.


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2.4 Thematic priorities at national level! Priorities

! Behaviour, cognition. ESRC Strategic Plan 2009-2014! Competitiveness, Innovation. ESRC Strategic Plan 2009-2014! Conflicts, peace, security and human rights within the EU and beyond. ESRC

Strategic Plan 2009-2014Crime and Crime prevention (including drugs, organised crime etc.).Cultural heritage (including preservation and conservation)Democracy, governance, accountability and responsibilityDemography (Ageing, Fertility)

! Economy and finance. ESRC Strategic Plan 2009-2014Education, skills, knowledge and life-long learning

Employment, Work, Working conditionsEthics

! Families, life-styles and well-being. ESRC Strategic Plan 2009-2014Gender, gender equalityGlobalisation

! Health and Health systems. ESRC Strategic Plan 2009-2014Identity, religion, language, multiculturalismInternational relationsMigration

! Social cohesion, exclusion, inequalities, poverty. ESRC Strategic Plan 2009-2014

! Sustainable development. ESRC Strategic Plan 2009-2014Urban and rural developmentOthers

2.5 Important research programmes

The programmes presented below were selected based on the thematicprioritisation already presented, the amount of the budget allocated, and theemphasis given to them by major Government policy documents.Additionally collaborative programmes are also presented, including oneshared between the two main Research Councils for SSH, namely ESRCand AHRC, and cross-council research programmes with significantmonetary contribution from ESRC or/and AHRC. A British Academyprogramme is also included, in order to extend the range of coverage

beyond government/research council programmes. Although ESRC centresundertake significant programmes of research, space precludes mention ofthese although the titles of these centres provide an indication of the topicscovered by such programmes. Since many of the programmes have notchanged substantially since the 2010 METRIS UK Country Report, detailsmay be obtained from that source.


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Programme titleThe UK Household Longitudinal Study (UKHLS). Formerly theBritish Panel Household Survey (BHPS) until 2007.

Start date 1991 (2007 as UKHLS).

Planned end date March 2015

Planned total budget15.5m and 23.9m (ESRC Contribution)

2.61m (Partners Contribution)

Budget 2011/2012 not known

Implementingorganisation

ESRC

Target group

Research community; policy makers; general public. To providevaluable new evidence to inform research on issues of importanceto a wide scientific community of interest. It is the largest household

panel study in the world.

Key goalsTo assist with understanding the long term effects of social andeconomic change as well as the impact of policy interventions onthe general well-being of the UK population.

Website

http://www.esrc.ac.uk/funding-and-guidance/tools-and-resources/research-resources/surveys/understanding-society.aspx

https://www.understandingsociety.ac.uk/about

Tags Longitudinal; household panel study; social research

Programme title Lifelong Health and Wellbeing (LLHW) initiative

Start date 2008

Planned end date not known

Planned total budget 196m/!227m over 2011/12-2014/15

Budget 2011/2012 no data


MRC leads, with ESRC, AHRC, BBSRC, EPSRC and STFC

Target groupResearchers based at UK HEIs and other Research Instituteseligible for Research Council funding.

Key goals

To identify those factors likely to be major determinants of healthand wellbeing in later life. To further support high quality

multidisciplinary research in high priority areas not usuallysupported by existing schemes, providing funding through twomodes of support: Collaborative Grants, for high quality innovativeresearch by multidisciplinary teams of researchers in strategicpartnership with users and stakeholders; and CollaborativeDevelopment Networks, to establish multidisciplinary partnershipsfocused on developing a research strategy within specific priorityareas

Websitehttp://www.mrc.ac.uk/Ourresearch/ResearchInitiatives/LLHW/index.htm

Tags Health, Wellbeing,


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Programme title Living with Environmental Change Programme (LWEC)

Start date 2007

Planned end date 2017

Planned totalbudget

562m/!651m over 2011/12-2014/15

Budget 2011/2012 No breakdown of budget is available in the public domain


Led by Natural Environment Research Council (NERC) with AHRC,ESRC, BBSRC, EPSRC and MRC.

Target group

Researchers based at UK HEIs and other Research Institutes eligiblefor Research Council funding, through specific calls for proposals. Alsoinvolves policy makers and practitioners, such as governmentdepartments and environmental agencies

Key goals

To tackle environmental change and the societal challenges it poses,

and so to provide a firmer basis for people to deal with theunprecedented changes that the world will face over the next century.Specifically, LWEC aims to provide: the knowledge, tools, predictions,solutions and business opportunities needed to increase resilience to,and reduce economic costs of, environmental changes such as moresevere weather and reduced biodiversity; and the best information toenable sustainable management and protection of vital ecosystemservicessuch as clean air, fresh water, healthy soils, and flood anddisease protectionon the time and space scales on which theeconomy is managed

Website http://www.lwec.org.uk/

Tags Environmental Change, Societal Challenges

Programme title Global uncertainties; security for all in a changing world

Start date 2008

Planned end date 2018

Planned totalbudget

120m/!139m over 2011/12-2014/15

Budget2011/2012

No breakdown of budget is available in the public domain


Led by ESRC. All other Research Councils participate.

Target group

Researchers based at UK HEIs and other Research Institutes eligible forResearch Council funding, through specific calls for proposals. Theprogramme will have an impact not only on the research community buteventually on policy-makers, the private sector and the wider public.

Key goals

To address how five inter-related global threats to security createuncertainties which can under certain circumstances form the basis for anumber of threats and risks to the security of individuals, communities,organisations and nation states. These threats are Poverty (andInequality & Injustice), Conflict, Transnational Crime, EnvironmentalStress and Terrorism.

Website http://www.globaluncertainties.org.uk/

Tags Security, Poverty, Conflict, Crime, Terrorism, Environmental Stress


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Programme title Connected Communities

Start date 2011

Planned end date Not known

Planned totalbudget

Not known

Budget2011/2012

Not known


The programme is led by AHRC in partnership with ESRC, EPSRC,MRC and NERC

Target group

Researchers based at UK HEIs and other Research Institutes eligiblefor Research Council funding, through specific calls for proposals. Theprogramme will have an impact not only on the research community buteventually on policy-makers, the private sector and the wider public.

Key goals

To help understand the changing nature of communities in theirhistorical and cultural contexts and the role of communities in sustainingand enhancing our quality of life.

The programme seeks not only to connect research on communities,but to connect communities with research, bringing together community-engaged research across a number of core themes, includingcommunity health and wellbeing, community creativity, prosperity andregeneration, community values and participation, sustainablecommunity environments, places and spaces, and community cultures,diversity, cohesion, exclusion, and conflict.

Websitehttp://www.ahrc.ac.uk/Funding-Opportunities/Research-funding/Connected-Communities/Pages/Connected-Communities.aspx

Tags Community cohesion, Community Participation, Sustainable Community

2.6 SSH research infrastructures

2.6.1 National infrastructures

The nature of SSH research is such that it does not require the provision oflarge scale equipment or technical facilities as used in disciplinary areasassociated with the natural and physical sciences. However, the UKHousehold Longitudinal Study (UKHLS) (see Section 2.5) now known asUnderstanding Society is the first social science project funded by BIS LargeFacilities Capital Fund (LCFC) (12.5 million). The project is co-funded and

commissioned by the ESRC (3 million).

The new household panel study is the largest of its type in the world and thelargest single investment in academic social research resources everlaunched in the UK. It will provide valuable new evidence about the people ofthe UK, their lives, experiences, behaviours and beliefs, and will enable anunprecedented understanding of diversity within the population. Specifically,the UKHLS will assist with understanding the long-term effects of social andeconomic change, as well as policy interventions designed to impact uponthe general well-being of the UK population. UKHLS both replaces andincorporates the British Household Panel Survey (BHPS), which has beenrunning since 1991.


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According to BIS 2008 Large Facilities Roadmap, the BIS Large FacilitiesCapital Fund (LFCF) also included 28.5 million for a research facility forBirth Cohort Studies supporting the development at the interface between

biomedical and social sciences. The facility will enable unprecedentedunderstanding of how economic, social and biological factors combine toexplain human behaviour.

ESRC supports a number of Resource centres. These are major investmentsin one or more of the ESRC's key research challenges. They are funded foran initial period of ten years, subject to a satisfactory mid-term review:

Applied Quantitative Methods Network (AQMeN) (June 2012): acollaborative network co-funded by the Scottish Funding Council (SFC).It aims to build capacity in quantitative methods across the socialsciences in Scottish HEIs.

Centre for Microdata Methods and Practice (cemmap) (June 2012):provides a focus for development, understanding and methods formodelling individual behaviour, the influences on it and the impact ofpolicy interventions.

Digital Social Research (DSR) (March 2013): aims to maximise theuptake, use and impact of new digital technologies across the socialscience community.

National Centre for Research Methods (NCRM) (March 2014): forms partof ESRC's strategy to improve the standards of research methods acrossthe UK social science community.

Survey Resources Network (SRN) (January 2012): is a new service

which co-ordinates and develops ESRC activities relating to surveymethodology and research.

Wales Institute of Social and Economic Research, Data and Methods(WISERD) (March 2012): co-funded by the Higher Education FundingCouncil for Wales (HEFCW). It draws together and builds upon existingexpertise in quantitative and qualitative research methods andmethodologies at several Welsh universities.

ESRC data services provide data and support for researchers who wish toaccess key economic and social data.

Administrative Data Liaison Service (ADLS) (September 2012): supports

academic research and is the focal centre for knowledge, help andassistance with the major administrative datasets in the UK.

ESRC Census of Population Programme (July 2012): provides data andsupport services to allow users in UK Higher and Further Educationinstitutions to access the 1971, 1981, 1991 and 2001 UK censuses.

Economic and Social Data Service (ESDS) (September 2012): providesaccess and support for an extensive range of key economic and socialdata. It includes a number of specialist data services that promote andencourage data usage in teaching and research.

Secure Data Service (SDS) (September 2012): promotes excellence in

research by enabling safe and secure remote access to data previously


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deemed too sensitive, detailed, confidential or potentially disclosive to bemade available under standard arrangements.

UK Data Service (start October 2012): will integrate the Economic andSocial Data Service, the Census Programme, the Secure Data Serviceand other ESRC-supported data service elements to provide a unifiedpoint of access for high-quality economic and social data.

National Data Strategy (NDS) (2009-2012): sets out priorities for thedevelopment of research data resources both within the social sciencesand at the boundaries between the social sciences and other areas ofscientific enquiry.

2.6.2 International infrastructures

The UK operates an extensive number of international cooperation

agreements with a range of countries worldwide and at a variety of levels,from those between individual researchers, through departmental andinstitutional level arrangements up to inter-agency agreements andpartnerships and inter-governmental memoranda of understanding andtreaties. Examples of arrangements and strategic policies towardsinternational cooperation are given in section 4.5.2.

The UK is a partner in all five SSH research initiatives of the EuropeanStrategy Forum on Research Infrastructures (ESFRI)xx. The five initiativesare:

Council of European Social Science Data Archives (CESSDA). Anumbrella organization for improving access to social science data

archives across Europe since the 1970s. It currently has 19 EU partners.The UK Data Archive, as part of this collaboration, is funded by theESRC, Joint Information Systems Committee (JISC) and the Universityof Essex.

The European Social Survey (ESS). A social survey charting theinteraction between Europe's changing institutions and the attitudes,beliefs and behaviour of its diverse populations. The survey covers morethan 30 nations. It is among the first social science projects to receivefunding to support its infrastructure and has been nominated by ESFRIas a possible future European Research Infrastructure Consortium. TheESS is co-ordinated by the Centre for Comparative Social Surveys, CityUniversity, UK.

Survey of Health, Ageing and Retirement in Europe(SHARE-ERIC7)is a group of EU-sponsored projects. It is a multidisciplinary, cross-national panel database of micro data on health, socio-economic statusand social and family networks of more than 45,000 individuals aged 50or over. In 2008 it was selected as one of the projects to be implementedin the ESFRI. The English Longitudinal Study of Ageing (ELSA), based atUniversity College London in the Department of Epidemiology and PublicHealth, is part of this network. Other UK partners are the Universities of

7ERIC stands for European Research Infrastructure Consortium.


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Manchester, Oxford, Cambridge, Nottingham, East Anglia and Exeterand the Institute of Fiscal Studies and the National Centre for SocialResearch.

Common Language Resources and Technology Infrastructure(CLARIN-ERIC). CLARIN has the remit is to establish an integrated andinteroperable research infrastructure of language resources and itstechnology and reduce the current fragmentation, offering a stable,persistent, accessible and extendable infrastructure, therefore enablingeHumanities. From the UK, Lancaster University (Department ofLinguistics and English Language), Sheffield University (Department ofComputer Science) and the Oxford Text Archive (Oxford UniversityComputing Services) are partners.

Digital Research Infrastructure for the Arts and Humanities(DARIAH). This is a project to support the digitisation of arts and

humanities data across Europe and enable enhanced data-sharingamong research communities. It hopes to develop and maintain aninfrastructure in support of ICT-based research practices. It has appliedto be a European Research Infrastructure Consortium. DARIAH iscurrently establishing links with CLARIN.


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3. Funding System

3.1 Overview of funding flows

The specific flow of funding for SSH research is difficult to determineprecisely. In broad terms, the bulk of research funding for the universitiescomes via the Science Budget (funded by BIS), of which the majority ofSSH-related research funding will be distributed through the ESRC (153.3min 2012/13) and AHRC (98.37m in 2012/13). The projected expenditure of


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ESRC and AHRC are planned to reach 615.65m and 395m, respectivelyover the entire Comprehensive Spending Review Period (2010-15). Themajority of this funding is made to university-based researchers, either

through competitive grants and studentships or, in the case of ESRC,through its supported research centres.

University departments will also receive substantial funding through the QR(Quality Related) part of the block funding allocated by the Higher EducationFunding Councils) for England and the equivalent bodies for the DevolvedAdministrations (Scotland, Wales and Northern Ireland). Teaching incomewill also be distributed to HEIs from the HEFCs. The amount of fundingallocated to departments undertaking SSH-related activities is againunknown (although relatively dated figures for A&H funding are given below).

A third source of funding is that from SSH-related charities and foundations.The latest available estimates are for 2005/06 (see below) and put this

amount of funding at around 140m, while figures from AHRC (2006/07 see below) state that around 20m came from this source for A&H-relatedsubjects.

Government departments which include SSH concerns in their policy remitswill also undertake related research, either in- house, through relatedinstitutes or as contracted out activities. Those likely to have substantial SSHconcerns are listed below, together with the estimated amount spent onSSH-related R&D (2005/06 data - the most recent period for which figurescan be found). In 2005/06 this totalled around 493 million, although thesefigures are broad estimates in some cases. Where available, the amountsspent on intramural R&D are also presented.

Department for Culture, Media and Sport: 23m (museums, NESTA andpolicy support); 11.6m intramural

Department for Environment, Food and Rural Affairs: 25.8 million (ruralenvironment, central administration & economic studies, energyefficiency, environmental protection statistics rough estimate);

Department for Education and Skills (now DfE): 24.5 million (policysupport); 15.1 million intramural;

Department for International Development: 204.2 million (Education,Other social research, Political structure of society research, Researchinto social change, processes & conflict); 1.4 million intramural;

Department for Transport: 33.2 million (various policy support); 4.2million intramural;

Department of Health (excluding National Health Service): 20.6 million(policy support);

Department of Trade and Industry (now BIS): 73.7 million (policysupport);

Forestry Commission: 6.2 million (policy support);

Health and Safety Commission: 17.4 million (policy support);

Home Office: 4.2 million (policy support);


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Department for Communities and Local Government: 28.4 million(policy support);

Department for Work and Pensions: 18.1 million; (2.8 millionintramural);

Other Govt. departments: 13.6 million.

More recent figures on Government Budgetary Appropriations or Outlays onR&D (GBAORD) by socio-economic objective for 2010 give the followingfigures for the UK: Education 50.1m; Culture, recreation religion and massmedia 224.8m; Political and social systems, structures and processes156.2m. However, significantly greater resources may also be allocatedunder the objective of General advancement of knowledge.

Lastly, the private sector will fund research into SSH-related issues, either aspart of companies' intramural R&D or as contract research. Specific figures

on the SSH-related elements of this are not readily identifiable (but seebelow for A&H funding).

Figures from the AHRC provide the following breakdown of a total of414.8m of arts and humanities-related research funding by source for2005/06 (figures in parentheses indicate proportion of total funding). It isassumed that this refers to research funded within UK HEIs. Similar figuresfor social science research do not seem to be availablexxi:

QR from funding councils: 273.7m (66%);

Research Councils: 60.9m (14.7%);

UK-based charities: 20m (4.8%);

UK central Government, local authorities, health authorities, etc.: 28m(6.8%);

UK industry, commerce, public corporations: 10.1m (2.5%);

EU Government: 9.4m (2.3%);

Other EU: 2m (0.5%);

Other overseas: 4.7m (1.1%);

Other sources: 5.4m (1.3%).

3.2 National public SSH research funding

3.2.1 Overview of funding importance

The majority of SSH-related research in the UK is conducted within UKuniversities, by researchers based in university departments, faculties andschools, etc. or within specialist centres and groups. Some of these centresand groups may receive core funding from the ESRC and much SSHresearch is funded by research grants and related forms of support from theResearch Councils (notably ESRC and AHRC, although the other researchcouncils do fund SSH-related research where it is integrated with othersubjects/disciplines (for example in the areas of IT, life sciences, health,etc.), albeit at a much lower level).


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The largest proportion of (non-directed) support for research is provided bythe UK higher education funding bodies in the form of block grant funding.This supports the research infrastructure and enables institutions to

undertake ground-breaking research in keeping with their own missions. Inaddition to grants for specific projects and programmes provided by theResearch Councils, further support is also available from charities, theEuropean Union, government departments and other sources.

Additional public SSH research is undertaken in the context of researchundertaken in support of policy objectives. Whilst some of this will becontracted out to external researchers (including those based in universitiesas noted above), a number of government departments also host their ownin-house research teams.

It is not possible to obtain a clear picture of funding allocated specifically toSSH research in the UK, although some general data are available:

Science Budget allocations to the ESRC in 2012/13 are 153.3m, an amountto be maintained in cash terms until 2014/15 and therefore subject to erosiondue to inflation, etc. Figures for the AHRC for 2012/13 are 98.37m, again tobe maintained in cash terms until 2014/15.

In 2012/13, the UK Higher Education Funding Councils allocated 1,586m toR&D. Of this, 24.5% (389m) was allocated to SSH subject areasxxii. Thiscomprised 255.5m for social science R&D and 133.7m for arts andhumanities related subjects.

In the context of the routes outlined in the flows diagram presented above, itis not easy to distinguish separate budgetary streams, particularly with

regard to funding to individual researchers/teams, and contract research (assuch support may originate from private or public sources). Programmefunding is generally not applied in the UK context; in general research grantsare broadly organised according to research themes, programmes orschemes.

3.2.2 Institutional funding

The majority of research funds provided to universities directly (i.e.institutional funding) are from the Higher Education Funding Council forEngland and the equivalent bodies for the devolved administrations ofScotland, Wales and Northern Ireland. Funding from the Research Councilstends to be allocated to research groups or individual researchers not toHEIs. In 2012/13, this amounted to 1,586m from HEFCE, with an additional223m from the Scottish Higher Education Funding Council, 71m from theWelsh Higher Education Funding Council and 50.7m from the Departmentfor Employment and Learning Northern Irelandxxiii.

ESR