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Briefing Note 9

Publication of Research Assessment Exercise Results

1. This briefing note sets out the arrangements for publication of the results of the 2001 Research Assessment Exercise (RAE). It should be read in conjunction with RAE 2/99, Guidance on Submissions.

2. It is anticipated that the results of the RAE will be published in late December 2001. As in 1996, the results will be published in the form grade, full time equivalent (FTE) number of Category A and A* staff submitted, proportion of staff submitted (A plus A*) as research active. This last indicator will take the form of a letter denoting a band, using the following scale:

A95-100% staff submitted
B80-94.9%
C60-79.9%
D40-59.9%
E20-39.9%
Fbelow 20%

3. Grades will be given using the rating scale (1 to 5*) and descriptions for the RAE which were published in RAE 2/99 section 2, and are reproduced below.

5*Quality that equates to attainable levels of international excellence in more than half of the research activity submitted and attainable levels of national excellence in the remainder.
5Quality that equates to attainable levels of international excellence in up to half of the research activity submitted and to attainable levels of national excellence in virtually all of the remainder.
4Quality that equates to attainable levels of national excellence in virtually all of the research activity submitted, showing some evidence of international excellence.
3aQuality that equates to attainable levels of national excellence in over two thirds of the research activity submitted, possibly showing evidence of international excellence.
3bQuality that equates to attainable levels of national excellence in more than half of the research activity submitted.
2Quality that equates to attainable levels of national excellence in up to half of the research activity submitted.
1Quality that equates to attainable levels of national excellence in none, or virtually none, of the research activity submitted.

4. The attention of Higher Education Institutions (HEIs) is drawn to the notes on the use and interpretation of the RAE rating scale given in paragraphs 2.2-2.8 of RAE 2/99.

5. The results will be published as a series of tables, one for each Unit of Assessment (UoA). Each table will contain the grade listed for each HEI making a submission to the UoA concerned.

6. In the case of clinical medicine (UoAs 1, 2 and 3), the tables will also include the ratings awarded to any areas of work referred to the sub-panels of those UoAs at the request of the submitting HEI. These grades will take the form grade (using the standard 1 to 5* scale), FTE of Category A and A* submitted. RAE 5/99: Assessment Panels' Criteria and Working Methods, (3.1.4-3.1.7, 3.2.5-3.2.8 and 3.3.4-3.3.7 refer) contains further details.

7. For all UoAs, the results may also include flagged areas of research considered by the panel concerned to be at a standard equivalent to at least two points on the rating scale above the grade awarded to the whole submission. Such flagging will be at the discretion of the panel concerned.

8. For each UoA, the results will also include a table which ranks those submissions which have obtained a grade of 5 or 5* in accordance with the proportion of staff submitted (actual value) to obtain the grade.

9. The funding bodies, in conjunction with the Committee of Vice Chancellors and Principals, will develop a Code of Practice on the use of RAE results by HEIs in recruitment and other marketing materials.

10. The funding bodies will produce written feedback to each submitting HEI on the reasons for the grades awarded to it. This feedback will be sent in confidence to the head of the HEI concerned. It is anticipated that this feedback will be available in early 2002.

11. The funding bodies will publish a short report by each UoA panel based on its assessment work and commenting in general terms on the strengths and weaknesses in the field(s) of work assessed. These reports will be published in early 2002.

12. The funding bodies will publish on the Internet those parts of submissions that contain factual data and textual information about the research activity. This will include the names of selected staff and the listings of their research output. Personal and contractual details, and details of the future research plans of institutions, will be removed. Data on research students and research assistants supervised will be presented in aggregate. Institutions will be given an opportunity to indicate any staff who should be omitted from the published list for reasons of security. It is anticipated that the submissions will be published in the spring of 2002.

13. For further information please contact:

The RAE team,
Northavon House,
Bristol BS16 1QD

Email: rae@hefce.ac.uk

Last updated 29 August 2000

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