The UK Experience of Quality Assurance in Research and Doctoral Education

1
The UK Experience ofQuality Assurance in
Research and Doctoral Education

• Dr Robin Humphrey
• Director of Research Postgraduate Training
• Faculty of Humanities and Social Sciences
• Newcastle University, UK

EUROPOS SAJUNGA Europos socialinis fondas
MYKOLO ROMERIO UNIVERSITETAS
2
Who am I?

• Active researcher
• Have a PhD!
• PhD Supervisor and Examiner
• PGR Director in Sociology, then GPS
• Director of PG Training Social Sciences , and
  then Arts and Humanities too
• EUA Doctoral Project, Coordinator
• Bologna Process, Brussels and Nice

3
Lessons from International Work

• UK Most experience with QAA and Training issues
• But, much to learn from others (Progression and
  Examination)
• However, Beware best practice from other
  contexts!
• Embedded in Institutions, and developed in own
  cultural and political national and local
  contexts
• So, Learn from others, but adapt to own
  circumstances

4
UK Context What is a Traditional UK PhD?

• Three years of Registration
• One or two supervisors
• 80,000 100,000 word thesis
• Examined by thesis
• And a viva
• Internal and external examiner

5
National Framework

• Research Assessment Exercise (RAE)
• QAA (Code of Practice)
• Research Councils (Scholarships and Training)

6
What is the Research Assessment Exercise (RAE)?

• Run by Higher Education Funding Council for
  England, to assess Universities research quality
  on basis of peer review of academic impact
• Started in 1986 occurs every few years
  previous RAE in 2001
• Details on website www.rae.ac.uk

7
Why is RAE important?

• Direct impact on University funding
• Long term impact on funding allocation for
  research (still funded on basis of 2001 results!)
• Dual support system for research
• Quality of Research (QR) funding from HEFCE
• Project funding from sponsors
• QR funding allocated on basis of RAE performance

8
Why is RAE important?

• Prestige of good RAE result enables University
  and individual subject areas
• To recruit and retain top quality staff
• To develop our reputation nationally and
  internationally as research institution
• To enhance student recruitment, esp. PG
• To encourage funders to invest in Newcastle
  research

9
RAE2008 - How it works

• Each area of research Unit of Assessment
  (UoA) makes a separate submission to its RAE
  panel
• RAE2008 has 67 individual panels to which
  submissions are made, grouped in 15 Main Panels
• Panels include experts in the field, and
  international observers
• Assessment based on peer review

10
RAE2008

• Each UoAs submission includes
• Research-active staff details (RA1)
• (NB not all staff are entered)
• Publications research outputs (RA2)
• Research students studentships (RA3)
• Research income (RA4)
• Description of UoA, including research
  environment and esteem indicators (RA5)

11
RAE2008

• On basis of this information, panels allocate
  scores for
• Outputs
• Environment
• Esteem
• This leads to an overall quality profile for each
  UoA
• NB weighting between 3 elements different in each
  panel

12
Quality Profile built up from 3 elements
13
Research Outputs (70)

• 4 outputs (journal articles) per submitted staff
  member
• Must be published between 1 January 2001 and 31
  December 2007
• Early Career Researchers (appointed after 1
  August, 2003) may submit fewer
• All cited outputs will be reviewed individually
• (all abstracts will be read, plus a of full
  papers)

14
Grades 1 - 4

• 1 - research judged to be original, significant
  and rigorous, which has made or is likely to make
  a contribution to knowledge, theory, practice or
  policy.
• 2 - research judged to be of a quality to be at
  an international standard of quality in terms of
  originality, significance and rigour which has
  made or is likely to make a significant
  contribution to knowledge, theory, practice or
  policy.

15
Grades 1 - 4 (Continued)

• 3 - research judged to be of a quality that is
  internationally excellent in terms of
  originality, significance and rigour which has
  made or is likely to make a highly significant
  contribution to knowledge, theory, practice or
  policy.
• 4 - research judged to be of a quality which is
  world-leading in terms of originality,
  significance and rigour regarded as a primary
  point of reference in its field, which has made
  or is likely to make an outstanding contribution
  to knowledge, theory, practice or policy.

16
Research Environment (20)

• Research Students and Studentships
• Research Income
• Sources of Research Income
• Research Structure
• Staffing Policy
• Research Strategy

17
Esteem Indicators (10)

• Keynote conference papers
• Impact on government policy
• Impact on practice
• Honours and awards
• Chairmanship of research committees
• Service on advisory bodies
• Editorial activities
• International collaboration

18
(No Transcript)
19
Doctoral Students in the RAE

• Explicit in Research environment
• Cant be a Research Univeristy with Doctoral
  Students
• If top third of grade, then receive income from
  HEFCE for each doctoral student.

20
Quality in Doctoral Education

• The Quality Assurance Agency (QAA)

21
Quality Assurance Agency (QAA)

• http//www.qaa.ac.uk/
• safeguard and help to improve the academic
  standards and quality of higher education in the
  UK

22
QAAs Code of Practice for Research Degrees

• Government focus on improving quality of research
  degrees
• QAA producing a country-wide Code of Practice for
  all Universities (see www.qaa.ac.uk for latest
  details)
• Will be included in QAA audit in future

23
QAAs Code of Practice General Points

• General points
• Emphasis on the student experience
• A list of precepts to apply to research students
  through entire University life - from
  recruitment to award of degree, ensuring equity
  for all students
• Producing a document that
• is usable by and useful to diverse institutions
• covers the majority of research students
• can be applied to a wide range of research
  qualifications
• For use in Institutional Audit

24
Nature of Institutional Audit (QAA slide)

• Peer review process
• Based on self-evaluation
• Joint agenda institution / QAA
• Question re. Research Postgraduates
• How to include PGR activities in internal
  quality assurance processes that will show
  auditors institution is maintaining academic
  standards and delivering a high quality student
  experience?

25
QAAs Code of PracticeKey Features

• Requirements for institutional arrangements
• Quality of the research environment, including
  critical mass of students and staff, and adequate
  resources
• Selection, admission and induction
• Quality, frequency and range of supervision and
  support
• Need for recognition and development of research
  and other skills
• Explicit guidance for the conduct of vivas and
  clear, fair assessment methods