Background

Research Assessment Exercise 2008

Research Excellence Framework

REF Timetable

Internal REF Timetable

University REF Strategy & FAQs

Background

Research in UK Universities is subject to periodic peer review to evaluate the quality of research. These reviews are carried out by the Higher Education Funding Council for England (HEFCE), along with the equivalent bodies in Scotland, Wales and Northern Ireland. The outcomes inform the selective distribution of block QR grants (Quality Related funding) by the funding councils. The formula used to allocate the grants reflects the results of RAE2008 and other metrics such as research income from charities and numbers of research students. This funding is used to support the research infrastructure, including the salaries of permanent academic staff, premises, libraries and central computing costs. Around 10% of the Leicester's annual income is derived from the QR allocation.

The first assessment of research in 1986 looked very different from following exercises (1992, 1996, 2001 and 2008), all of which followed a similar format. These later exercises were known as RAEs - Research Assessment Exercises. (N.B. by convention, RAE years indicate the year in which results were released, which is often the year after the submission of data). Information about the exercises in 1992, 1996 and 2001  can be found at the link. 

Research Assessment Exercise 2008

Submissions to the most recent exercise, RAE2008, were made in November 2007 and the results were announced in December 2008. The results affected university funding from 2009-10 onwards. The methodology, full submissions and results of RAE2008 can be found at the link.

Submissions were made by subject - Leicester made 32 submissions (there were 68 subject categories or Units of Assessment - UoA). Eligible staff (academic staff with selected senior researchers, honorary and emeritus staff) were assigned to a UoA. As well as staff details, universities submitted information on
• research grants income by type (e.g. Research Council, charity, government etc) and financial year
• research outputs (e.g. publications)
• research studentships awarded, numbers of active students and research degrees awarded

Each UoA also submitted a written narrative giving information on areas such as the research themes, how research was supported in the UoA and how early career researchers and PhD students were supported. In addition, each UoA submitted details of esteem factors – significant professional achievements – for all staff in the UoA. Examples included: prizes, directorships of spin-out companies, election as a fellow of British Academy, major keynote addresses etc.

 All submissions were reviewed by panels of experts including academics and non-academic users (e.g. industry and NHS representatives). The RAE2008 results were given as profiles giving the percentage of activity at 4*, 3*, 2*, 1* and U where
• 4* - Quality that is world-leading in terms of originality, significance and rigour.
• 3* - Quality that is internationally excellent in terms of originality, significance and rigour but which nonetheless falls short of the highest standards of excellence.
• 2* - Quality that is recognised internationally in terms of originality, significance and rigour.
• 1* - Quality that is recognised nationally in terms of originality, significance and rigour.
• Unclassified - Quality that falls below the standard of nationally recognised work. Or work which does not meet the published definition of research for the purposes of this assessment. 

Research Excellence Framework

Following RAE2008, the funding councils (led by HEFCE) are developing a new method for research assessment, the Research Excellence Framework (REF). The first submission to REF will take place in 2013 with the results due out in 2014. The current timetable can be found below.

Some of the elements of REF will be familiar from RAE while others are new. HEFCE have recently provided additional information on the regulations for REF2014 as well as a more detailed timetable of developments in the document 'Assessment framework and guidance on submissions' (published July 2011). A quick guide to REF  (pdf) and the results of the first consultation on REF (released March 2010) are also available. The key elements of REF are described below.

Staff

Staff must be in post at the University on 31st October 2013 in order to be eligible for submission to one of the 36 units of assessment. The guidelines for inclusion of (e.g.) honorary staff and for the treatment of equal opportunities issues, such as health effects and early career status, are still under development.

Outputs

Outputs will be weighted at 65% of the outcome. To be eligible for submission, outputs must have first come into the public domain between 1st January 2008 and 31st December 2013 (inclusive). Each person will submit 4 outputs, except where special circumstances apply. These will be assessed through a process of expert review, informed by citation information in subjects where robust data are available (for example, in medicine and science). There was a bibliometrics (citation) pilot exercise .

Impact

This new area will be weighted at 20% of the outcome. Each unit will submit case studies of impacts that have taken place between 1st January 2008 and 31st July 2013, underpinned by research produced in the period 1st January 1993 to 31st December 2013. In addition, each unit will submit a statement about how impact has been enabled and supported during the same period. The number of case studies and the length of the statement will depend on the number of staff included in a submission. The range of activities that will count as impact and the methodology by which these will be measured were examined in a pilot exercise. Internal pages on Research Impact.

Environment

Environment will be weighted at 15% of the outcome. It will include data on research income and postgraduate research students in the period 1st August 2008 to 31st July 2013. Each unit will also submit a research environment statement, using a template, covering the period 1st January 2008 to 31st July 2013. The length of the statement will depend on the number of staff submitted.

As with RAE2008, the outcome to REF will be a profile showing the proportion of activity at each of 4 levels and funding will be related to the profile.

Timetable

Internal REF Timetable

The University has developed an internal timetable for REF2014 preparations, outlining upcoming events and deadlines and who is involved in each of these. This document is intended to provide an easy reference guide for those involved in the REF preparations and as an aid for department/UoA planning, however it is also available to all other staff with an interest in the REF.

It can be found here.

University of Leicester Strategy for REF2014

The University's Strategy for REF2014 and associated responses to Frequently Asked Questions can be accessed here.