21 October 2003

Statement by the UK higher education funding bodies on the review of research assessment

In May 2003 the four UK higher education funding bodies (see note 1) issued a consultation paper inviting comments on the recommendations of a review of research assessment led by Sir Gareth Roberts.

Consultations closed on 30 September with 302 responses received from higher education institutions, other stakeholder bodies and interested individuals. The sponsoring bodies have conducted an initial analysis of the responses to identify the main areas of consensus and also where opinion is more divided. They are conducting a full analysis of the responses, to be reported to a meeting of their chairs and chief executives at the end of this month. Thereafter, the timetable for reaching agreement on the new procedures will be made available.

In the mean time, and in view of the interest that this topic has aroused within and beyond higher education, we offer the following brief summary of the main points we have identified from our initial analysis.

Respondents were broadly in agreement on the following points in the review:

Research assessment should be conducted through a process of expert review and on a disciplinary basis.
The core of the assessment should be judgements of research quality. These may be strengthened by referring to appropriate quantitative data.
There was support for producing ratings expressed as starred quality profiles against a continuously graded rating scale.
The panels should develop assessment criteria capable of identifying excellence across the full range of work to be assessed including applied and practice based research, emerging disciplines and interdisciplinary research.
The emphasis on assuring consistency between the judgements of different panels was welcomed and the proposed new panel structure would help with this.
Quality assessments should focus on a submission presenting the work of a complete department, unit or group rather than on individuals. The proposal for enabling joint submissions was welcomed.
There was support for a six year assessment cycle. The timing of the next exercise should be decided taking into account the need to allow the panels time to undertake thorough assessments and to give early notice of the rules for submission and criteria for assessment.

There were a number of issues on which respondents' opinion was more divided:

The aim to make the assessment burden proportionate to the likely rewards was supported, but the proposed three track assessment process was considered by some to be unduly complex and burdensome.
Criterion referencing of quality assessments (grading submissions against clearly defined quality standards with no prior control over the distribution of rating points that this may produce) was preferred to norm referencing (deciding in advance the proportions of work in each subject to receive a particular rating point) but there were concerns about how this can best be implemented.
The principle of establishing accountability for "research competences" - institutions' research strategies, dissemination of outcomes, staff development and equal opportunities policies - was endorsed but it was not agreed that a separate return linked to the research assessment process was the best vehicle for achieving this.
There was not general support for the proposal for mid term monitoring of research volumes.

We hope to be in a position to make a further statement in early November.

Notes

1. The four UK higher education funding bodies are the Department for Education and Learning (DEL NI), the Higher Education Funding Council for England (HEFCE), the Higher Education Funding Council for Wales (HEFCW) and the Scottish Higher Education Funding Council (SHEFC).

2. For further information contact Linda Bradley at DEL NI (Linda.bradley@delni.gov.uk) Paul Hubbard at HEFCE (p.hubbard@hefce.ac.uk) Ann Hughes at HEFCW (ann.hughes@hefcw.ac.uk) or Gill Davenport at SHEFC (GDavenport@sfc.ac.uk)

3. The higher education funding bodies' "Joint consultation on the review of research assessment" was published in May 2003 (HEFCE 2003/22) inviting responses by 30 September. The consultation paper is available online at www.ra-review.ac.uk or in hard copy from publications@hefce.ac.uk