The Green Paper: Nurse will see you now

The HE green paper signals a radical overhaul of the research funding system, but leaves the detail to be filled in by Sir Paul Nurse’s review of the research councils.

Like the fourth of the New Testament gospels, Part D of today’s HE green paper, on “reducing complexity and bureaucracy in research funding”, is its most enigmatic. While there can be little doubt about the desired destination –  ministerial aspirations for a simpler funding system have been well-trailed – the roadmap from here to there remains sketchy, and requires a certain amount of reading between lines. This is also the briefest section of the green paper: compared to the loving attention lavished on every detail of the TEF, the future of the REF merits just two pages of discussion.

Sir Paul Nurse looms large. While he’s no John Chilcot, slippage in the timetable for his review of the research councils (originally scheduled for the summer or early autumn) has prevented a neat sequential flow from Nurse to the green paper and then to the spending review. Once the decision had been made to abolish HEFCE and create the Office for Students (OfS), the green paper had no choice but to address the architecture of the research funding system, given HEFCE’s role in the REF and the allocation of quality-related funding. But a lot now hinges on Nurse’s conclusions, described as a “critical input” which the green paper doesn’t want to pre-empt.

At the same time, the green paper clearly ups the ante for Nurse. Early drafts of his review, which are now in circulation, suggest that he will recommend a series of incremental reforms, which will preserve the seven councils, but create a new ministerial-led committee to set overarching strategy and priorities for research funding. This would fit with the approach that the councils themselves have proposed in their ‘Research Councils Together’ plan.

But the fundamental reshaping of the HE institutional landscape envisaged in the green paper sits somewhat uncomfortably with such modest tinkering. The absence of any reference to the ‘Research Councils Together’ plan in the green paper, and the more radical thrust of Sajid Javid’s BIS2020 agenda, suggests that the option of a research council merger remains open for now, and Nurse will need to make a compelling case if he wants to preserve the status quo. Rumours suggests that his interim findings may still be published ahead of the 25 November spending review; but I wouldn’t be surprised if debates still raging behind the scenes hold it up for a little longer.

One aspect of the green paper that will be widely welcomed is its unambiguous endorsement of the dual support funding system. As the paper says, “Dual support is established and respected…[and] sustains a dynamic balance between research which is strategically relevant and internationally peer-reviewed and research which is directed from within institutions.” As a result, “we are committed to the retention of the dual support system as part of a reshaped research funding landscape.”

Of course, in a post-HEFCE world, the question then becomes who will administer the quality-related (QR) side of dual support? The green paper floats a range of options, including the creation of a new body specifically for this purpose. But given the wider push for simplification, the clear logic is for QR funding to move over to the research councils.

This raises a number of issues. First, there are questions of governance: how will the QR budget line be protected (a ring fence within a ring fence?) such that it can’t be raided to make up shortfalls in the research council system, or indeed to meet new priorities that emerge from Nurse’s overarching committee?  The green paper acknowledges the need to “ensure the integrity of the dual funding system”, but in the heat of a funding crisis two or three years down the line, it may prove harder to maintain this separation. The sector will be watching closely to see what safeguards are put in place, and how watertight these are.

A second set of questions concern capability: over successive cycles of RAE and now REF, HEFCE has built up unique expertise in the design and administration of research assessment processes, and in the way that these interact with HEI systems and cultures. No such expertise exists in the research councils, which by necessity, interact with HEIs in more siloed, disciplinary ways. The “Research Councils Together” plan makes no reference to how they would meet this new function. And a potential role for the councils in the REF/QR also lies beyond the formal terms of reference for the Nurse review (though may now be added to his report). Elsewhere in the green paper, there is a welcome acknowledgment of the need to preserve the expertise that resides within HEFCE. As part of this, I think it will be imperative that the experience and knowledge of key individuals, such as David Sweeney, Steven Hill and colleagues in HEFCE’s research policy team, is retained and moved across to the research councils. Otherwise, the councils will be starting from scratch to rebuild a sophisticated evaluation machine without any input from its principal designers and engineers

A final set of questions concerns methods. The green paper makes sensible points about the need to minimise the costs and administrative burden of processes like the REF. This leads it to reopen the issue of metrics, which my recent report The Metric Tide addressed in detail, and to consider a range of options for future REF exercises “such as making greater use of metrics and other measures to ‘refresh’ the REF results and capture pockets of research excellence in between full peer review.”

I met yesterday afternoon with Jo Johnson to discuss metrics in the context of the green paper, and without breaching any confidences, we talked about why – in the view of my independent review group – a wholesale shift to a metric-based REF would be impossible, even on the slightly-extended timetable of 2021. It is of course possible to design an algorithmic method for the allocation of QR funding, based on available blibliometrics. But the conclusion of my report still holds: “No set of numbers, however broad, is likely to be able to capture the multifaceted and nuanced judgements on the quality of research outputs that the REF process currently provides.”

Metrics can support expert peer review in the REF (as they did for some panels in 2014). But they can’t supplant it. And I shared with the minister some new data to illustrate why. Whatever Elsevier and Thomson Reuters may say, the challenge of blbliometric coverage and robustness across disciplines is still significant.

The table below highlights a sample of those HEIs for whom journal articles were a minor component of research submitted to REF 2014. It also includes a few larger research-intensive HEIs (Oxford, Cambridge, UCL, LSE etc) for whom the percentage is much smaller but the number of ‘missing’ outputs is significant. These figures demonstrate how much excellent research would not be counted using a purely citation-based approach.

HEI % of non-journal outputs submitted to the REF Number of ‘missing’ outputs QR funding FY2015/16
Royal Academy of Music 93 63 308,066
University for the Creative Arts 86 89 377,469
University of the Arts, London 81 352 3,519,985
Falmouth University 81 141 414,267
Royal College of Music 74 56 461,794
Glasgow School of Art 70 125
Goldsmiths’ College 46 417 5,437,357
University of Oxford 24 2,025 139,061,600
University of Cambridge 21 1,534 120,096,538
LSE 20 398 18,592,522
University of Bristol 15 603 46,556,048
UCL 15 1,381 131,610,416

 

So on metrics, while the thrust of the green paper is right, in seeking to incorporate quantitative date more intensively in research evaluation, there are no easy wins here. In measuring research outputs, there are serious issues of coverage, especially across arts, humanities and social sciences. And for impact, the task is even harder: as both my review and a separate study by Kings College and Digital Science show, we simply don’t have reliable quantitative indicators that can capture the richness and diversity of impacts in the near-7,000 REF case studies.

Instead of diving headlong into the metric tide, the focus for the next five years should be placed firmly on improving the robustness, coverage and interoperability of the datasets that we have, and applying them responsibly in the management of the research system. This is just one of the issues in the green paper which will I’m sure provoke a lot more debate over the coming weeks.

2 thoughts on “The Green Paper: Nurse will see you now”

  1. The sensible thing to do would be to put the block research funding role (and therefore QR and REF) into the part of BIS responsible for HE. Putting it into the RCs doesn’t only create the ring fence issues that James Wilsdon rightly raises above – it muddies the water of an already messy partial devolution of research funding in the UK. Remember that the Research Councils fund research UK-wide. HEFCE’s block research funding is for English institutions only. Giving an England-only responsibility to the RCs will blur their UK-wide role. This might raise concerns in Edinburgh, Cardiff and Belfast. At the same time, without proper ring fencing, English institutions should be concerned that it would be possible for the RCs to raid an England only budget to spend elsewhere in the UK. Once the decision has been made to abolish HEFCE, the only logical solution is to move its research functions into BIS, which is effectively England’s higher education ministry.

  2. Paul Kleiman says:

    The Green Paper – like so many HE policy initiatives – fails to grasp let alone get to grips with the sheer diversity of the sector; which the excellent article highlights.
    My report on that, for GuildHE (http://www.guildhe.ac.uk/blog/excellence-in-diversity-a-report-celebrating-the-diversity-of-uk-higher-education/) contained the following key point in relation to research and innovation especially in the smaller universities and small, specialist institutions.
    – Institutions across the entire sector continue to demonstrate their ability and capacity to address successfully some of the most pertinent and challenging questions facing society in the 21st century.
    – The diversity of research increasingly reflects the diversity of the UK innovation chain that looks to higher education to enrich international, national, regional and local research and innovation cultures.
    – The nation’s ability to compete globally with respect to new ideas, models and products is increasingly dependent on the growth and activities of SMEs and micro-businesses and the strength of the links in that innovation chain.
    – The smaller universities and specialist institutions possess a strong (and strengthening) track record of generating successful translational research, with benefits to the complex UK research and innovation supply chain.-
    – Strong evidence (e.g. REF 2014) points to the fact that the smaller and specialist institutions – embedded in international research and innovation systems, and working with public and private partners in specialist sectors including food security, the creative industries, heritage sectors, health, and social innovation – are increasing and sustaining their contributions to regional and sectorial economic growth.
    – The creativity, diversity and impact of the research across the sector demonstrate the importance of funding excellence wherever it is found.
    – All institutions now realise, perhaps more than ever, that the best teaching and learning are always informed and improved by excellent research.
    – In the smaller universities and specialist institutions, research and teaching are inextricably linked, and that link forms part of the DNA of the institutions in this sector. As a consequence, a research–teaching nexus is created that is diverse, eclectic and ultimately collaborative. It is an environment in which creativity and entrepreneurship combine with rigorous and innovative methods of enquiry to produce not only excellent research but also excellent teaching.

    [end]

    There is real danger that a predominantly metric-based research funding mechanism will exclude a grea mass of rich and invaluable research activity, output and genuine impact.

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