Research Funding and Assessment: Beyond 2008

Government funding for Research:

what is it for and how should it be distributed? Michael Driscoll

Middlesex University

June 2006

• Background

• Models of Universities

• The current distribution model

• Getting the formula right

• Concentration

• Conclusions

Background

Science and innovation investment framework

2004 – 2014: Next Steps

“The Government’s firm presumption is that after the 2008 RAE the system for assessing research quality

and allocating QR will be mainly metrics based”

A report into the social and economic impact of publicly funded research in 35 participating

universities. Arthur D Little May 2006

“the research base of institutions of the type broadly represented by the participating universities

represents an important, distinct and valuable component of the wider UK research base,”

PUs use a modest publicly funded base to attract substantial additional contract research from a diverse range of customers

PUs

Russell Group

1994 Group

Funding Council

Investment (£)Multipliers

57,135,924

794,647,255

195.205.139

3.03

1.77

1.18

“PUs are outstandingly successful in attracting research contracts from government agencies and public bodies, helping to inform a wide swathe of public policy.”

“PUs have strong research relationships with multinational and national industries as well as SMEs and emerging industries”

“PUs play a major role in delivering the regional regeneration and economic development agendas.”

“PUs are highly effective in attracting EU funding to the UK.”

What is public funding of research in universities for?

• to deepen and widen the research base

• to support high risk research

• to support research with high public benefits

• to support the development of know-how of value to the public and private sectors

• to support excellent teaching and learning

What should it not be for?

• maintaining the general funding of, and established elite of, institutions

• promoting the standing of institutions in league tables

• providing hidden subsidies

• research which should be funded by users

Models of Universities (1)

• Teaching and research are separate activities carried-out by different people – teachers teach, researchers research

• Teaching only universities providing services to business

• History is banned

• Research only universities?

• Sector diversity is described by the mix of teaching, research and knowledge transfer

A The Charles Clark model

Models of Universities (2)

• Teaching and research are integral activities carried out by the same people – teacher/researcher

• Teaching, research, innovation and knowledge transfer are mutually supporting

• Sector diversity is described by subject coverage and student profile

B The universal model

The current distribution model (1)

Dual funding: Grant and Project

What is grant (RAE) funding for?

• well-founded research environment

• stable element of research funding

• high-risk research

• strategic investment

The current distribution model (2)

Characteristics

• distribution determined by complex peer-review system

• allocations fixed for long periods

• outcomes can be set aside by political intervention

• highly competitive process with non-competitive outcomes

What is wrong with the RAE?

• high cost

• obstructs planning

• does not support inter-disciplinary research

• excellent user-focussed research not rewarded

• discourages collaboration

• drives a wedge between teaching and research

• discourages high-risk research

• drives up the costs of research (transfer market)

• encourages over-trading

Will a formula based model be better?

Yes, if it:

• uses publicly available data

• is continuous (annual)

• avoids excess volatility (moderation)

• removes all distinctions between different types of research

• gives high weight to teaching volume

The benefits of basing grant funding on teaching volume

• All HEIs receive a research funding based on student population

• Avoids patterns of funding being ossified

• Reduces resistance to high risk research

• Achieves a better distribution of funding

Concentration (1)

Drivers for Concentration

• Treasury policy

• RAE (with added political intervention)

• Full economic cost

Concentration (2)

Effects

• less research at higher cost

• but better quality?

• narrows research base

• reduces research opportunities for academic staff

• threatens “British Higher Education” brand

• undermines knowledge transfer and ‘employer engagement’

• widens inequality in the student experience

Conclusions

• The global challenge cannot be met by a handful of universities.

• The potential of the whole university sector needs to be harnessed