Research funding and Research funding and assessment: beyond 2008assessment: beyond 2008

Professor David EastwoodProfessor David EastwoodVice Chancellor University of East Anglia,Vice Chancellor University of East Anglia,

Chair 1994 Group,Chair 1994 Group,Chief Executive Designate HEFCEChief Executive Designate HEFCE

Dual SupportDual Support

““The Government remains committed to The Government remains committed to developing Dual Support developing Dual Support as the organizing as the organizing principle for funding university research, principle for funding university research, combining growth in core annual funding for combining growth in core annual funding for institutions through the higher education institutions through the higher education funding bodies, with growth in project and funding bodies, with growth in project and programme funding from the Research programme funding from the Research Councils.”Councils.”Source: Science & innovation investment framework 2004-2014 (HM Treasury)

Dual SupportDual Support

QR serves two distinctive roles:QR serves two distinctive roles: Enables HEIs to maintain a world-class Enables HEIs to maintain a world-class

research base capable of carrying out research base capable of carrying out research projects funded by othersresearch projects funded by others

QR is the only public funding stream to QR is the only public funding stream to give HEIs flexibility to pursue new give HEIs flexibility to pursue new research ideas before these are research ideas before these are sufficiently established to be supported sufficiently established to be supported by project fundersby project funders

English HEI’s research income by English HEI’s research income by source, 2003-04source, 2003-04

UK industry £200M

Research Councils £689M

Overseas & other £161M

EU £171M

QR £1019M

Charities £575M

UK Govt £398M

Total = £3213M

QR funding by HEI (2003-04 in QR funding by HEI (2003-04 in £0,000s)£0,000s)

£0

£10,000

£20,000

£30,000

£40,000

£50,000

£60,000

£70,000

£80,000

75% of QR went to 25 HEIs(84% of RC funding went to 25 HEIs)

RAE impact: positiveRAE impact: positive

Funding informed by quality judgementFunding informed by quality judgementStrategic management of researchStrategic management of researchPerformance managementPerformance managementFocus on qualityFocus on qualityCritical mass – particularly in hard sciencesCritical mass – particularly in hard sciencesBenchmarking data nationally and internationallyBenchmarking data nationally and internationallyBroad confidence in RAE judgementsBroad confidence in RAE judgements

Improved ratings for total submitted Improved ratings for total submitted staff over timestaff over time

0

10,000

20,000

30,000

40,000

50,000

1992 1996 2001

5*

5

4

1-3

RAE exercise

Num

ber

of s

ubm

itted

sta

ff

Focus on qualityFocus on quality

RAE impact: negative?RAE impact: negative?

Distorting institutional missionsDistorting institutional missions

Encouraging more volumeEncouraging more volume

Games playing – behaviour on publications Games playing – behaviour on publications & staff recruitment& staff recruitment

Administrative burdenAdministrative burden

Need to recognise all aspects of excellenceNeed to recognise all aspects of excellence

Identifying pockets of excellenceIdentifying pockets of excellence

Financial sustainabilityFinancial sustainability

Financial sustainabilityFinancial sustainability

Income Income sourcesource IncomeIncome

Income as % Income as % of full of full

economic economic costcost

Full economic Full economic cost of work to cost of work to

be donebe doneHEI HEI

contributioncontribution

Research Research CouncilsCouncils 689689 64%64% 10771077 388388

HEIs’ HEIs’ prioritiespriorities 940940 940940

UK gvtUK gvt 398398 64%64% 622622 224224

CharitiesCharities 575575 55%55% 10451045 470470

EUEU 146146 59%59% 247247 101101

TotalTotal 18081808 39313931 21232123

QR grantQR grant 10191019

ShortfallShortfall 11041104

Derived from 2003-04 HESA data

Funding and assessment beyond 2008Funding and assessment beyond 2008

Organic development from where we Organic development from where we are – not starting from scratchare – not starting from scratch

Key policy principles still apply:Key policy principles still apply: Dual supportDual support ExcellenceExcellence Responsiveness and dynamismResponsiveness and dynamism Benchmarking qualityBenchmarking quality Must command broad supportMust command broad support

Funding and assessment beyond 2008Funding and assessment beyond 2008

So RAE 2008 will go ahead and is crucial:So RAE 2008 will go ahead and is crucial: To update quality assessment in all subjectsTo update quality assessment in all subjects To provide firm baseline for funding after 2008To provide firm baseline for funding after 2008 To allow the possibility of phasing-in metrics-To allow the possibility of phasing-in metrics-

informed QR allocationsinformed QR allocations To evaluate putative metrics-based alternativesTo evaluate putative metrics-based alternatives To underscore the UK’s international reputationTo underscore the UK’s international reputation

What is the Government consulting on?What is the Government consulting on?

The principles underpinning a metrics-informed The principles underpinning a metrics-informed approach to quality assessment and research approach to quality assessment and research fundingfunding

The range of available metricsThe range of available metrics

The likely effects of a new systemThe likely effects of a new system

The need to balance costs and incentives across the The need to balance costs and incentives across the dual support systemdual support system

The position of arts and humanities, and cognate The position of arts and humanities, and cognate disciplinesdisciplines

The balance of metrics in the 2008 exerciseThe balance of metrics in the 2008 exercise

Funding and assessment beyond 2008Funding and assessment beyond 2008

Metrics will be tested alongside RAE2008Metrics will be tested alongside RAE2008Aims for a metrics based system:Aims for a metrics based system: Quality indicators and benchmarking as well Quality indicators and benchmarking as well

as grant allocationas grant allocation Reflect subject differences (differentiated Reflect subject differences (differentiated

approach) approach) Continue to carry the sector with usContinue to carry the sector with usFunding selectively and with right degree of Funding selectively and with right degree of disaggregationdisaggregation

But…But…

The models are indicative: suggestions for The models are indicative: suggestions for alternative approaches will be considered alternative approaches will be considered seriouslyseriously

RAE 2008 must be conducted in a robust RAE 2008 must be conducted in a robust manner and command confidencemanner and command confidence

HEFCE/AHRC working group on approaches HEFCE/AHRC working group on approaches for arts and humanitiesfor arts and humanities

Research funding is a devolved responsibilityResearch funding is a devolved responsibility

Funding and assessment beyond 2008Funding and assessment beyond 2008

Please respond to the consultation!Please respond to the consultation!

http://www.dfes.gov.uk/consultations/http://www.dfes.gov.uk/consultations/