The pianist Peter Donohoe recently posted an interesting piece of text on social media, in response to a question posed on Quora: ‘Is classical music truly “superior” to the popular music of any era? And, if so, why is it?’. There has been many a debate within musicological circles on this issue, not least as relate to the shaping of curricula for music education. In Anglophone musicology, it is very rare to find many scholars who would argue for any primary importance for classical music, with the result often being that it is becoming increasingly marginalised in a good deal of institutions. Those who have read this blog will know this is not a situation I favour, and have posted various things relating to the subject: see for example this set of responses to a radio talk given by Simon Zagorski-Thomas on a related subject, also another set of responses to an article by Stella Duffy on the arts, elitism and community (and this follow-up), not to mention the debate on teaching musical notation in schools following an article by Charlotte C. Gill. I have also posted some related articles on musical canons, and this on deskilling in musical education.
The dominant ideologies within academia are by no means necessarily shared more widely in the musical world – indeed can be quite antagonistic. I believe it is very important to encourage a wider discourse, involving many who care about music, on these subjects, and so with permission I am posting Donohoe’s text here, and also part of a response of my own drawing on a paper I gave on a few occasions in 2018 in musicological populism.
I welcome further responses from any angle (but would request that people refrain from any personalised insults or abuse towards others, and just address the arguments).
The following is Donohoe’s response:
This is a reply to recent tweet asking me my opinion of this: The tweeter in question asks: ‘Could it just be an era thing?’
It is only related to the era in that the determination with which the mediocre seeks to defeat the excellent is gaining ground.
However good pop music is – I include all the other brackets such as rock, country, blues, etc – by the side of the best classical music, it is always primarily commercialised, it is always primarily aimed at a majority audience, it is always the product of less skill on the part of both performer and listener, and it is always short-lived – even 40 years, as in the lasting effect of The Beatles is nothing compared to the greatest classical music. Jimi Hendrix, Bob Dylan, The Beach Boys, and The Beatles were all fantastic in their field, but not in the same field as the best classical music.
By what authority or standard of measurement is Jimi Hendrix the equal of Franz Liszt? The question also applies all the other absurd claims made in this piece. Dylan’s lyrics are more complex and deeper than the libretto of Mozart’s operas? The Beach Boys’ Pet Sounds as complex as a Haydn string quartet? The Beatles were every bit as ground-breaking as Beethoven. Give me a break – this is utter twaddle and has no basis in analysis. And who said greatness equates to complexity?
Pop music does not need to be taught as it is at its best a reactive protest against the status quo – in which case if it becomes part of the status quo it has no function – and at its worst it has considerably less content than most nursery rhymes, no harmonic grammar, no sense of shape, form and no skill. That it can be better than that is undoubtedly true, and I have a deep affection for certain pieces of pop music from across the years of my life, but to suggest that it equates to the best classical music is ridiculous, pretentious, and to my mind makes a mockery of popular culture, and its position in society.
The following is part of my response:
The arguments above about popular music being commercialised (with which I agree) would certainly make a significant body of musicologists unhappy, and they try to deny, that there is any real alternative. For example:
‘Although we live in a commercially dominated culture, the music industry, despite its many faults, more closely approaches a meritocracy and offers opportunities to a wider spectrum of artists than any other form of support – certainly more than the patronage systems of old. Music by women can continue to flourish in the public sphere, but only so long as it manages to sell tickets and recordings: the unexpected success of the Lilth Fair concerts, featuring exclusively female artists, confirmed not only the artistry of the participating musicians but also the willingness of a mass audience to support their efforts.’
Susan McClary, ‘Women and Music on the Verge of the New Millenium’, Signs, vol. 25, no. 4 (Summer 2000), pp. 1285-6.
‘…the condemnation of fusion for its commercial success drastically underestimates the vitality, subtlety, and expressiveness of the pop traditions that influenced David. It is nothing more than an antipopulist chauvinism that turns from the unacceptable view that “what sells is good” to the opposite and likewise unacceptable view that “what sells must be bad.”
And finally the contrast of commercial fusion with noncommercial earlier jazz amounts to elitism pure and simple, to a snobbish distortion of history by jazz purists attempting to insulate their cherished classics from the messy marketplace in which culture has always been negotiated. Those who advocate such a view should reread Ralph Ellison’s review of Blues People, where he reminded Baraka that even Bird and the other early boppers, the ne plus ultra for many critics of esoteric jazz intellectualism, “were seeking . . . a fresh form of entertainment which would allow them their fair share of the entertainment market” (1978:59). Or, in a different connection, they should read recent nonhagiographical music histories that have Beethoven hawking the same opus to three different publishers, or Mozart conniving, with a sad lack of savvy, at one music-business killing or another. Music created with an eye to eternal genius and blind to the marketplace is a myth of European Romanticism sustained by its chief offspring, modernism.’
Gary Tomlinson, ‘Cultural Dialogics and Jazz: A White Historian signifies’, in Katherine Bergeron and Philip V. Bohlman (eds.), Disciplining Music: Musicology and its Canons (Chicago and London: University of Chicago Press, 1992), pp. 82-3.
‘I’ve noticed that, when I go to conferences or similar events in continental Europe, people make the assumption that, because I’m interested in music, I must have an interest in and commitment to new music; that’s not an expectation about me in particular, but a taken-for-granted assumption about what it means to be seriously engaged in music. (In the UK or the USA, people make no such assumption.) [….] In my book, I referred briefly to critical theory in general and Adorno in particular, as a way of introducing one of the main intellectual strands of the ‘New’ musicology of the 1990s, but I made no direct link between Adorno’s critique and new music. In her commentary, Anne Boissière (2001, p. 32) picked this up, asking why I didn’t discuss ‘the problem of contemporary music which resists consumption’: instead, she complained, I made music sound as if it was just another commodity, and in this way passed up the opportunity to offer ‘a critical analysis of consumer society’. In which case, she asked, ‘what point is there in making reference to Adorno?’: if one’s critique isn’t motivated by moral or political commitment, as Adorno’s was, then what is there to it but nihilism?
Actually, the argument Boissière is putting forward here, and which other contributors also reflected, has a long and rather peculiar history. It originates in the conservative critique of the modern world—the attack on capitalism and consumerism that developed throughout the German-speaking countries in the 19th century (where it was associated with the nostalgic values of an idealised rural past), and fed ultimately into the Nazi creed of ‘blood and soil’; Adorno’s critical theory might accordingly be seen as appropriating a conservative tradition in order to attack the right-wing ideology of his own day.’
Nicholas Cook, ‘Writing on Music or Axes to Grind: road rage and musical community’, Music Education Research, vol. 5, no. 3 (November 2003), p. 257.
‘My contention is that petty capitalism – a term I take to encompass myriad small-scale form of entrepreneurial, commercial activity in culture – has been one of the key means by which progressive leftist, anti-racist, and resistant forms of culture, music, and art have been made possible: have been produced, circulated, and lived. It’s a despised category of economic activity and analysis, generally seen as collusive with capital, as politically irredeemable, an insignificant and ineffective in any meta-historical analysis. But with regard specifically to cultural activity it sits somewhere crucial between full-blown corporate capitalism and the quite different but just as marked forms of cultural, ideological, and aesthetic closure and policing that tend to characterize statist and other kinds of subsidized cultural institutions, whether in music, broadcasting or academia. I’ve researched statist cultural institutions rather deeply, as those who know my writings on IRCAM and the BBC will be aware. So my argument today is that while there is no necessary connection between progressive or politicized culture and these small-scale, entrepreneurial petty capitalist interventions – and in that sense there is no deterministic relation – there are, nonetheless, opportunities; they might be conceived as affordances or, better, in William Connolly’s fruitful phrase, indebted to complexity theory as pluri-potentialities. In terms of the possibility of new experimental, and alternative forms of production and circulation, informed by a politic of cultural production, we should be more aware of this category of activity and what it can achieve.’
Georgina Born, ‘On Music and Politics: Henry Cow, Avant-Gardism and its Discontents’, in Robert Adlington (ed.), Red Strains: Music and Communism Outside the Communist Bloc (Oxford: Oxford University Press, 2013), p. 64.
Readers of this blog will recall #notationgate in Spring of 2017, a public debate about the role of Western (and other) musical notations in education and music-making in general, provoked by a polemical article by Charlotte C. Gill, in which she claimed that musical notation was ‘a cryptic, tricky language – rather like Latin – that can only be read by a small number of people, most of whom have benefited from private education’. This led to a major letter to The Guardian in response, which I and several others co-ordinated, with signatories from a range of leading musicians and musicologists (see here for the full list, and a range of links to other responses). I also wrote a follow-up article for The Conversation (‘The insidious class divide in music teaching’, 17 May 2017). It should be registered, though, that there was another group of mainly musicologists and some music educationalists who drafted another letter in response to ours, but which was never published, arguing that the first response was inflammatory, and insistence on musical notation discriminated against some with various learning and other difficulties. This was however never published.
In August of this year, Jon Henschen published an article for Intellectual Takeout (‘The Tragic Decline of Music Literacy (and Quality)’, 16 August 2018), with statistics showing just 11% of people (presumably in the US) could read music well, and linked this to wider declines in the quality of a good deal of popular music, citing a study (Joan Serra, Álvaro Corral, Marián Boguñá, Martín Haro and Josep Ll. Arcos, ‘Measuring the Evolution of Contemporary Western Popular Music’, Scientific Reports 2, article 521 (2012)) which demonstrated increasing homogeneity of content in terms of pitch, timbre and other parameters. Henschen also alluded to the domination of songwriting by Lukasz Gottwald of the United States and Max Martin from Sweden, suggesting that a lack of wider notational skills provided the opportunity for just a few individuals to dominate, with all that implies in terms of homogeneity.
Anyhow, Andrew Mellor has published another short piece for Classical Music magazine (‘Academics who dismiss musical literacy have confused recreation with study’, 10 October 2018), engaging more deeply with the major academic divides on the subject which did flare up a little during the original #notationgate and continued in responses to Henschen’s article. I have a lot of sympathy with his criticisms of the substitution of music sociology for the study of music (which is not to say that music sociology is not also an important discipline), and the dire consequences of reducing notational requirements in education. Here is a section from the article:
…one university academic went for the jugular: stave notation is relevant only to ‘the minority music of the elites’, he said, claiming notated music accounts for just ‘3.5% of all concerts and recordings’. Some Facebookers retorted: isn’t ‘the minority music of the elites’ a little incendiary and over-simplified? The academic responded calmly: studies repeatedly tell us that mostly wealthy people enjoy classical music and opera. […]The academic clarified his position: sure, students at university can learn western notation if they want to, but they might find it more useful to learn how to use music production software.
[…] The real reason some universities no longer require music students to be able to read music – and yes, you did read that correctly – is that it widens their potential market. It means lecturers don’t have to consider how best to maintain musical literacy skills in their students, nor take the time and effort required to test them. In some cases, it tells of a faction who wish to see ‘the minority music of the elites’ ousted from university music departments altogether.
Anyone who believes this intellectual debasement will flood higher education with new perspectives and alternative narratives is dreaming. Ditching notation is not about opening music education up, but about closing huge swathes of it off. There is hardly a western musical form in existence that cannot be analysed and contextualised using notation. More importantly, there are questions surrounding instrumental competence, not least for those graduates who proceed to teach practical music-making in schools.
Marketplace education has a lot to answer for, not least the redefinition of what it means to study a subject rigorously. Some universities will go to any length to pander to the whims and parameters of their student ‘customers’. We learned recently that a British university is to launch a joint degree in journalism and PR. If that doesn’t feel like a marketing department defining the content of a degree course, I don’t know what does.
The results of all this will be further inequality and division. The classical music scene in this country is arguably thriving like never before, but if musical notation becomes the preserve of private schools and Oxbridge, five centuries of music really will become the plaything of the minority. What’s worrying is that there are plenty who are willing that to happen, knowing it will lead to all-out extinction. And that’s when Jon Henschen’s nightmarish vision will come to fruition.
I am writing this piece during what looks like the final phase of the USS strike involving academics from pre-1992 UK universities. A good deal of solidarity has been generated through the course of the dispute, with many academics manning picket lines together discoverying common purpose and shared issues, and often noting how the structures and even physical spaces of modern higher education discourage such interactions when working. Furthermore, many of us have interacted regularly using Twitter, enabling the sharing of experiences, perspectives, vital data (not least concerning the assumptions and calculations employed for the USS future pensions model), and much else about modern academic life. As noted by George Letsas in the Times Higher Education Supplement (THES), Becky Gardiner in The Guardian, Nicole Kobie in Wired, and various others, the strike and other associated industrial action have embodied a wider range of frustrations amongst UK-based academics over and above the issue of pensions: to do with casualisation and marketisation in academia, the growth of bloated layers of management and dehumanising treatment of academics, the precarious conditions facing early career researchers (ECRs), widespread bullying, and systemic discrimination against female academics, those from minority groups, and so on. Not least amongst the frustrations are those about various metrics employed to judge ‘performance’ relating to the government Research Excellence Framework (REF, formerly the Research Assessment Exercise (RAE)), and new Teaching Excellence Framework (TEF).
In this blog post, I will outline a short history of the RAE/REF with relevant links, and collect together recent comments about it and suggestions for alternatives. For most of this (except a few places), I will attempt to outline the arguments of others (including my own expressed online) on either side, rather than try to unpack and critique them – this blog is undoubtedly a ‘survey text’ in the sense often dismissed by REF assessors, though hopefully should serve some useful purpose nonetheless! In an academic spirit, I would welcome all comments, however critical (so long as focused on the issues and not personalised towards any people mentioned), and will happily correct anything found to be erroneous, add extra links, and so on. Anyone wishing to make suggestions in these respects should either post in the comments section below, or e-mail me at the addy given at the top of this page.
One of the most important pieces of sustained writing on the RAE and REF is Derek Sayer, Rank Hypocrisies: The Insult of the REF (London: Sage, 2014), a highly critical book which carefully presents a large amount of information on its history. I draw extensively upon this for this blog, as well as the articles by Bence and Oppenheim, and Jump on the Evolution of the REF, listed below. A range of primary documents can be found online, provided by the Higher Education Funding Council for England (HEFCE) and its counterparts in the rest of the UK, on RAE 1992, RAE 1996, RAE 2001, RAE 2008, and REF 2014. These are essential resources for all scholars investigating the subject, though obviously represent the perspectives of those administering the system. Equally important are Lord Nicholas Stern’s 2016 review of the REF, and the 2017 key policy decisions on REF 2021, made following consultation.
There are many other journalistic and scholarly articles on the REF and its predecessors. Amongst the most important of these would be the following:
Michael Shattock, UGC and the Management of British Universities (Buckingham: Society for Research into Higher Education & Open University Press, 1994).
Valerie Bence and Charles Oppenheim, ‘The Evolution of the UK’s Research Assessment Exercise: Publications, Performance and Perceptions‘, Journal of Educational Administration and History 37/2 (2005), pp. 137-55.
Donald Gillies, ‘How Should Research be Organised? An Alternative to the UK Research Assessment Exercise’, in Leemon McHenry, Science and the Pursuit of Wisdom: Studies in the Thought of Nicholas Maxwell (Heusenstamm: Ontos Verlag, 2009), pp. 147-68.
Zoë Corbyn, ‘It’s evolution, not revolution for REF’, THES, 24 September 2009.
John F. Allen, ‘Opinion: Research and how to promote it in a university’, Future Medicinal Chemistry 2/1 (2009).
Jonathan Adams and Karen Gurney, ‘Funding selectivity, concentration and excellence – how good is the UK’s research?’, Higher Education Policy Institute, 25 March 2010.
Ben R. Martin, ‘The Research Excellence Framework and the ‘impact agenda’: are we creating a Frankenstein monster?’, Research Evaluation 20/3 (1 September 2011), pp. 247-54.
Dorothy Bishop, ‘An Alternative to REF 2014?’, Bishopblog, 26 January 2013.
University and College Union, ‘The Research Excellence Framework (REF): UCU Survey Report’, October 2013.
Paul Jump, ‘Evolution of the REF’, Times Higher Education Supplement (THES), 17 October 2013.
Peter Scott, ‘Why research assessment is out of control‘, The Guardian, 4 November 2013.
John F. Allen, ‘Research Assessment and REF’ (2014).
Teresa Penfield, Matthew J. Baker, Rosa Scoble, Michael C. Wykes, ‘Assessment, evaluations, and definitions of research impact: A review’, Research Evaluation 23/1 (January 2014), pp. 21-32.
Derek Sayer, ‘Problems with Peer Review for the REF‘, Council for the Defence of British Universities, 21 November 2014.
‘Telling stories’, Nature 518/7538 (11 February 2015).
Paul Jump, ‘Can the research excellence framework run on metrics?’, THES, 18 June 2015.
HEFCE (chaired James Wilsdon), ‘The Metric Tide: Report of the Independent Review of the Role of Metrics in Research Assessment and Management’, 8 July 2015.
James Wilsdon, ‘The metric tide: an agenda for responsible indicators in research’, The Guardian, 9 July 2015.
Paul Jump, ‘Is the REF worth a quarter of a billion pounds?’, THES, 14 July 2015.
J.R. Shackleton and Philip Booth, ‘Abolishing the Research Excellence Framework’, Institute of Economic Affairs, 23 July 2015.
James Wilsdon, ‘In defence of the Research Excellence Framework’, The Guardian, 27 July 2015.
Alex Jones and Andrew Kemp, ‘Why is so much research dodgy? Blame the Research Excellence Framework’, The Guardian, 17 October 2016.
James C. Conroy and Richard Smith, ‘The Ethics of Research Excellence’, Journal of Philosophy of Education 51/4 (2017), pp. 693-708.
A Short History of the RAE and REF to 2014
There were six rounds of the RAE, in 1986, 1989, 1992, 1996, 2001 and 2008, with the gaps between each becoming progressively larger. The REF has run just once to date, in 2014, with the next round scheduled for 2021.
The first ‘research selectivity exercise’ in 1986 was administered by the University Grants Committee (UGC), an organisation created after the end of World War One. As noted by Bence and Oppenheim, there was a longer history of the development of Performance Indicators (PIs) in higher education through various metrics, but definitions were unclear, so this exercise was viewed as an attempt to convert other indicators into a clear PI, which it was thought would add efficiency and accountability to university funding through a competitive process, in line with other aspects of the Thatcher government’s policies.
The 1986 exercise involved just the traditional universities, and only influenced a small proportion of funding. It consisted of a four-part questionnaire on research income, expenditure, planning priorities and output. Assessment was divided between roughly 70 subject categories known as Units of Assessment (UoAs). There were wider criticisms of the 1986 exercise, to do with differing standards between subjects, unclear assessment criteria, and lack of transparency of assessors and an appeals mechanism. As such it was much criticised by academics, and reformed for 1989, in which ‘informed peer review’ was introduced for assessment, following wide consultation. This year, a grading system from 1 to 5 was also introduced based upon national and international criteria, 152 UoAs were used, sub-committees were expanded, and details of two publications per member of staff submitted were required, as well as information on research students, external income and plans. It was used to allocate a greater proportion of funding. There were still many criticism, to do with the system favouring large departments, a lack of clear verification of accuracy of submissions, and late planning causing difficulties for institutions preparing their submission strategies.
Other important changes affecting higher education took place during this early period of the RAE, including the abolition of tenure by the Thatcher government in 1988, then the 1992 Further and Higher Education Act , which abolished the university/polytechnic distinction, so that the latter institutions could apply for university status, and then be included in the RAE. The Act also established four funding councils for England, Scotland, Wales and Northern Ireland to replace the UGC, and made research funding allocated entirely on a selective basis, replacing previous systems of funding based upon student numbers. There had been no formula funding for research in polytechnics, so the new system radically altered the balance, allowing them to compete openly with the more traditional institutions for such funding.
RAE 1992 then brought major new changes, with institutions able to select which ‘research active’ staff to put forward, a longer timescale allowed for research in the arts and humanities, improved auditing processes, and reduced assessment down to 72 UoAs. 192 institutions participated, covering over 43,000 full-time equivalent researchers. Practically all university research funding from this point was determined by the exercise, based upon a quality rating, the number of research-active staff, amount of research income and some consideration of future planned activity. Departments which were given an assessment of 1 or 2 would not receive any funding. The result was that the older universities received 91% of the available funding, new (post-1992) universities 7% and colleges 2%. 67% of departments were ranked 1, 2 or 3. This led to objections that the system was biased in favour of the older and larger universities, which had supplied many of the panelists for certain UoAs. Some results were challenged in court, and a judge noted a need for greater transparency.
Changes for RAE 1996 involved the submission of four publications for selected research-active staff, and stiffer requirements on a cut-off date for outputs being placed in the public domain. Rating 3 was divided into 3a and 3b, and an extra 5* rating introduced, while each panel was required to make clear their criteria for assessment. 60 subject panels, with chairs appointed by the funding councils on the basis of recommendations of previous chairs, and other panel members selected on the basis of nominations from various learned societies or subject associations. These considered 69 UoAs on the basis of peer review. This was also the first RAE which allowed performance submissions for musicians (see below), which was encompassed in the following definition of ‘research’ provided by the funding councils:
‘Research’ for the purpose of the RAE is to be understood as original investigation undertaken in order to gain knowledge and understanding. It includes work of direct relevance to the needs of commerce and industry, as well as to the public and voluntary sectors; scholarship*; the invention and generation of ideas, images, performances and artefacts including design, where these lead to new or substantially improved insights; and the use of existing knowledge in experimental development to produce new or substantially improved materials, devices, products and processes, including design and construction. It excludes routine testing and analysis of materials, components and processes, eg for the maintenance of national standards, as distinct from the development of new analytical techniques.
* Scholarship embraces a spectrum of activities including the development of teaching material; the latter is excluded from the RAE.
One of the major problems encountered had to do with academics moving to other institutions just before the final date, so those institutions could submit their outputs, as well as early concerns about the power invested in managers to declare members of staff ‘research-inactive’ and not submit them. Furthermore, it was found that outcomes were biased towards departments with members on assessment panels. Once again, no funding was granted to departments graded 1 or 2. This time, however, 43% of departments were ranked 4, 5 or 5*, a rise of 10% since 1992.
The changes to RAE 2001 involved panels consulting a number of non-UK-based experts in their field to review work which had already been assigned top grades. Sub-panels were created, but there were also five large ‘Umbrella Groups’ created, in Medical and Biological Sciences; Physical Sciences and Engineering; Social Sciences; Area Studies and Languages; and Humanities and Arts. Some new measures also acknowledged early career researchers, some on career breaks, and other circumstances, and a new category was created for staff who had transferred, who could be submitted by both institutions, though only the later one would receive the resulting research funding. Expanded feedback was provided, and electronic publications permitted, though different UoAs employed different criteria in terms of the significance of place of publication and peer-review. 65% of departments were now ranked 4, 5 or 5*. 55% of staff in 5 and 5* departments were submitted, compared to 23% in 1992 and 31% in 1996.
The Roberts review of 2002 expressed concern about how the whole exercise could be undermined by ‘game-playing’, as institutions were learning to do. Furthermore, there were concerns about the administration costs of the system. A process was set in place, announced by Gordon Brown, to replace the existing RAE (after the 2008 exercise) with a simpler metrics-based system. As detailed at length in Sayer, despite major consultations involving many important parts of the UK academic establishment, an initial report and proposals of this type were quickly changed to a two-track model of metrics and peer review, then the whole plan was almost completely abandoned.
RAE 2008 itself had fewer major changes. Amongst these were a renewed set of assessment criteria, especially as affected applied, practice-based and interdisciplinary research, a two-tiered panel structure, with sub-panels undertaking the detailed assessment and making recommendations to main panels, who made broader decisions and produced a ‘quality profile’ for a department, in place of the older seven-point system. Individual outputs were now given one of five possible rankings:
4*: Quality that is world-leading in terms of originality, significance and rigour
3*: Quality that is internationally excellent in terms of originality, significance and rigour but which nonetheless falls short of the highest standards of excellence
2*: Quality that is recognised internationally in terms of originality, significance and rigour
1*: Quality that is recognised nationally in terms of originality, significance and rigour
Unclassified: Quality that falls below the standard of nationally recognised work. Or work which does not meet the published definition of research for the purposes of this assessment
By 2008-9 (before the results of RAE 2008 took effect) about 90% of funding went to just 38 universities, but from 2009 48 institutions shared this amount (after 15. As Adams and Gurney have noted, the weighting of the 2008 exercise meant that the difference between obtaining 2* and 3* was greater than that between 3* and 4*, or between the previously 4 to 5 or 5 to 5* rankings. 54% of 2008 submissions were ranked either 3* or 4*, 87% 2*, 3* or 4*.
The plans for post-2008 exercises were finally published in September 2009 by HEFCE, indicating a new name, the REF, but otherwise the system was much less different to those which preceded it than had been assumed. Now the ranking was to be based upon three components: ”output quality’ at 60%, ‘impact’ at 25%, and ‘environment’ at 15% (later revised to 65%, 20% and 15% respectively). Outputs were to be assessed as before, though for sciences, citation data would informed various panels. ‘Environment’ was assessed on the basis of research income, number of postgraduate research students, and completion rates. But the most significant new measure was ‘impact’, reflecting the desires of the then Business Secretary Lord Mandelson for universities to become more responsive to students, viewed as customers, and industry, defined as ‘an effect on, change or benefit to the economy, society, culture, public policy or services, health, the environment or quality of life, beyond academia’. Each department was to submit a general statement on ‘impact’ as a whole, and could submit between 2 and 7 impact ‘case studies’, depending upon the number of research-active staff submitted to the REF. This was a huge shift, and restricted to impact which could be observed during the cycle between exercises, and derived from research produced when the academic in question was already at the submitting institution.
Other changes including a major shift in the number of UoAs and sub-panels to 30, and just four main assessment panels. One single sub-panel would assess outputs, environment and impact. However, the same number of experts were involved as before.
Since REF 2014, the Stern Report has informed significant changes to the system, in part intended to avoid the potential for gaming. Following further consultations, it has been announced that a minimum of one output and a maximum of seven from each member of a department will be submitted. Further measures have been introduced to ensure that most short form text-based submissions must be ‘Open Access’, available freely to all, which generates its own set of issues. Further plans for REF 2028 indicate that this will also apply to long form submissions such as monographs; the situation for creative practice outputs currently appears not to have changed, but this situation may be modified. HEFCE was abolished at the end of March 2018, and replaced in England by the new Office for Students (OfS) and Research England, the actions of which remain to be seen.
The RAE and REF have caused huge amounts of resentment and anger amongst academics, and produced sweeping changes to the nature of academic work as a whole. Sir Peter Swinnerton-Dyer, architect of the first RAE (interviewed in Jump, ‘Evolution of the REF’) argued against many of the subsequent developments, and with every reform to the system, institutions would put greater pressure on individuals, especially those in junior positions, leading to some of the awful cases of chronic stress, mental illness and bullying which have been detailed recently on social media.. Many report that REF submissions constitute the only research valued by their institutions. A Head of Department (HoD) or other REF supervisor who achieved a high REF scoring could expect to win favour and further promotion from their management; in practice, this often meant cajoling and bullying of already-overworked staff with threats and intimidation about whether they would maintain their job, and and little favour of support shown to those who might not produce the right number of 3* or 4* outputs. Those dealing with mental health issues, trying to balance impossible teaching and administrative workloads (all fuelled by the Mandelsonian idea of the student-as-consumer) and research demands with major care commitments for children or the elderly, were often driven to breakdowns or to quit academia; some cases of this are documented below. Academics ceased, in the eyes of many managements, to be human beings towards whom they had a duty of care as their employers, but merely as potential cash cows, to be dispensed with if there was any pause in this function.
Gaming of the system continued in many forms from RAE 1992 onwards. Many institutions would award 0.2 FTE or short-term contracts in the run-up to the RAE/REF, so that institutions could profit from particular individuals’ outputs (not least ECRs who might have a monograph and were desperate for any employment record on their CVs). All of this could mean that rankings were unrepresentative of the research carried on by the majority of a department’s full-time, permanent staff. Research projects taking more than 6-7 years were greatly disadvantaged, or at least those embarked on them would still have to produce four other world-leading outputs in during a RAE/REF cycle, in many institutions, sometimes in order to retain a position at all. Callous HoDs or other REF managers could dismiss some work which had occupied academics for years (whilst maintaining hefty teaching and administration workloads) as merely 2*, on the grounds of its being ‘journalistic’ (often it was relatively readable), a ‘survey text’ (if it drew upon a wide range of existing scholarly literature), or the like, often with crushing impacts on the academics concerned.
The period of the RAE’s history saw other sweeping changes to Higher Education in the UK. Between 1963 and 1970, numbers of young people attending university had doubled following the Robbins Report, but then remained essentially static until the late 1980s, when over a decade numbers rose from 17% in 1987 to 33% in 1997 (see Ann-Marie Bathmaker, ‘The Expansion of Higher Education: Consideration of Control, Funding and Quality’, in Steve Bartlett and Diana Burton, Education Studies: Essential Issues (London: Sage, 2003), pp. 169-89). Since then numbers participating have continually risen, to a peak of 49% in 2011. This was an unrepresentative year, the last before the introduction of trebled tuition fees, which were a disincentive for students to take a gap year, followed by a concomitant dip of 6% (to 43%) in 2012, then a further rise to 49% in 2015, exceeding the pre-2011 peak of 46%, thus confounding (at least to date) those who predicted that increased fees would lead to decreased participation.
Sayer points out that there are few equivalents for the REF elsewhere in the world and none in North American or Europe. Furthermore, few have sought to emulate this system. Some of those cited below argue that most of the known alternatives (including those which preceded the introduction of the RAE) may be worse, others (including myself) cannot accept that this is the ‘best of all possible worlds’. I would further maintain that the human cost of the REF should not only be unacceptable, but illegal, and that only a zero tolerance policy, with criminal charges if necessary (even for the most senior members of management) could stop this. Dignity at work is as important in this context as any other, and little of that is currently on display in UK academia.
Creative Practice and Non-Text-Based Outputs
An issue of especial relevance to those engaged in performing-arts-based academic disciplines such as music, theatre, or dance (and in many cases also creative or other forms of writing, the visual arts, and so on) is that of outputs submitted to the REF in the form of creative practice. By this I mean specifically outputs in the form of practice (i.e. practice-as-research), as opposed to those simply documenting or critically analysing one’s own or others’ practice. I have previously blogged extensively on this subject, following the publication of a widely read article by John Croft (‘Composition is not Research’, TEMPO 69/272 (April 2015), pp. 6-11) and replies from me (‘Composition and Performance can be, and often have been, Research’, TEMPO 70/275 (January 2016), pp. 60-70 ) and from Camden Reeves (‘Composition, Research and Pseudo-Science: A Response to John Croft’, Tempo70/275 (January 2016), pp. 50-59), and a subsequent public debate on the subject. Amongst the issues raised, some of them familiar from wider debates on practice-as-research which are referenced in my own article, were whether creative practice on its own can stand as research without requiring additional written documentation (not least the now-familiar 300-word statements which can be regarded as deemed essential by the REF, as I argue in response to a claim made by Miguel Mera in that debate), whether creative work which most resembles ‘science’ is regarded as more ‘research-like’, an implicit claim unpacked by Reeves (as one colleague put it to me, ‘if it has wires going into it, it’s more like research’), with all this implies in terms of (gendered) views of STEM versus the humanities, or whether certain types of output are privileged for being more ‘text-like’ than others (scores versus recordings, for example) and thus some practitioners are at an advantage compared to others (here I give some figures on the relative proportions of composers and performers in different types of music departments). Attitudes to the latter vary hugely between institutions: at least one Russell Group department was happy to award a chair to a performer whose research output consists almost exclusively of performances and recordings, mostly as part of groups, while at others, especially those without strong representation of the performing arts amongst managements, such outputs are hardly valued at all and are unlikely to be submitted to the REF, nor win promotion for those who produce them.
Another issue is that of parity between creative practice outputs and other types. Many creative practitioners will never have had to submit their work to anything like peer review in the manner known for articles and monographs, and questions arise as to, for example, what number or type of compositions or recordings, visual art works or dance performances should be viewed as equivalent to the production of a monograph, when assessing promotion and the like? Music departments in which half or more of the faculty is made up of practitioners (usually composers) may have limited experience of peer review, or for that matter of wider academic debates and discourses, and some might argue that they are able to get ahead in their professions with considerably less time and effort than their equivalents who produce more traditional outputs. This is, I believe, a very real problem, which then maps onto questions of the significantly different requirements for producing different types of creative practice outputs, and needs serious consideration if there is to be any semblance of fairness within such academic departments.
Sayer also notes how many works in the humanities gain impact over an extended period of time, giving works of Walter Benjamin, Michel Foucault and Benedict Anderson as examples, and also notes how many can remain intensely relevant and widely cited long after publication, in distinction to a science-based model of cumulative and rapidly-advancing knowledge, whereby a certain passage of time leads to some outputs being viewed as outdated.
Over the last few days, various academics have been commenting on the REF, mostly on Twitter. I attempt to collect the most important of these here.
One of the first important threads came from geographer Julia Cupples (@juliecupples79). In this thread, she called the fundamental status of REF classifications ‘ludicrous’, argued how problematic it would be to direct research exclusively for REF and elite British academics, called the demands of ‘originality’ for a single publication ‘masculinist and colonial’, argued that female authors and those from ethnic minorities are at a disadvantage, not least because of less likelihood of citation. The ranking of junior colleagues by senior ones was labelled ‘one of the most toxic mechanisms in place in the neoliberal academy’, making a mockery of most other means of achieving equality, and so that the REF works against attempts to ‘dismantle discrimination, build collegiality, prevent academic bullying, and decolonize our campuses’. This thread was widely tweeted and praised, inducing others to share similar stories, with Cupples responding that the REF is ‘a means to discipline, humiliate and produce anxiety’. Not all agreed, with Germanist Michael Gratzke (@prof_gratzke) arguing that the peer review element for arts and humanities was a good thing, and that as the scheme would not disappear, one needed to deal with it reasonably. More respondents were sympathetic, however. Urban Studies Professor Hendrik Wagenaar (@spiritofwilson) cited the REF as a cause of ‘the demeaning command-and-control management style that has infected UK universities, and the creation of the soulless apparatchiks that rise up through the ranks to take every ounce of pleasure out of research and writing’, and how it prevents ‘a climate of psychological safety, trust, mutual respect, and togetherness; a place where it is safe to take risks’. Molly Dragiewicz (@MollyDragiewicz) asked whether metrification fetishises ‘engagement’, though a different view was taken by Spanish musicologist and novelist Eva Moreda Rodriguez (@TheDrRodriguez), in response to some queries of my own to Cupples. Cupples had said that it would be ‘deeply problematic if we started writing for REF and a panel of elite British academics rather than for our research communities’, to which I asked about the definition of a ‘research community’ and why they should be exempt from external scrutiny and issues of parity with other (sub-)disciplines, also pointing out that both the Chicago School of Economics or some groups of racial theorists would have fitted this category. Cupples maintained that such communities were not groups of academics, but Moreda asked in return how ‘we avoid academic work being judged on the basis of whether it reinforces& confirms the basic tenets & prejudices of said research community?’, as well as whether such community engagement was already covered through impact assessment?
Around the same time, drama lecturer Kate Beswick (@ElfinKate) blogged on ‘REF: We need to push back against a system that has lost its way’. Whilst accepting the need for assessment of academic research, she noted how layers of bureaucracy were created to game the system, the growth of internal practice REFs, the pressure to produce outputs simply to satisfy the REF rather than for any other value, and the new pressures which will follow implementation of open access policies. This, argued Beswick, would force scholars to find ‘REF compliant’ publishers, which would compromise academic objectivity, rigour, reach and international credibility. However, she did not suggest any alternative system.
However, the first major thread in defence of the REF came from historian David Andress (@ProfDaveAndress). Andress argued that the RAE/REF enabled quality research funding to go to post-1992 institutions, that every alternative had worse biases, and that the distributive mechanism was so wide that it could almost be called ‘a relic of socialism’, concluding with the confident claim that ‘If you get rid of it, you will definitely get something worse’. This was sure to produce many responses. Clinical psychologist Richard Bentall (@RichardBentall), who was a panelist in 2008 and 2014, argued that the process was ‘conducted with absolute fairness and integrity’, but the problem was with the interpretation of it by universities (a point which many others would also evoke in other threads). Bentall noted how his own former institution gave an edict telling no researcher to publish 2* papers, which constitute 80% of world science, so that the REF ‘has become an end in itself’. I myself responded that many places have concluded that research is of no value unless beneficial to the REF, also raising the question (about which I am most definitely in two minds) as to whether we need to accept that some institutions need to be focused on teaching rather than research, rather than all scrambling over a sum of government money which is unlikely to increase. Some subsequent interactions have however made me rethink this. I also noted how some assessors have little knowledge of anything beyond their own narrow and underdeveloped fields, but which nonetheless are felt necessary to be represented on panels, noted (as would many others) how a similar process is not used in many other countries, and was sceptical about any ‘better than any conceivable alternative’ argument. Andress responded that he was not saying that, but that better alternatives which can be conceived cannot be easily put into effect, and also that, in light of the expansion of the sector, ‘RAE/REF is on the positive side of the ledger’, and shouldn’t simply be dismissed. In a series of tweets, I also expressed some questions about whether all aspects of the expansion had been positive, without corresponding increases in the level of secondary education, which can have a net levelling effect when the Oxbridge/Russell Group model is applied to institutions with very different types of student bodies, from this arguing that REF was a part of a process which pretended there were not major differences between institutions, and causes huge pressures for academics at institutions where the teaching demands are higher for students with less inclination towards independent study. These are highly contentious arguments, I realise, which I want to throw out for consideration rather than defend to the last.
Moreda also responded to Andress, taking a medium view. In a thread, she acknowledged the potential of the REF for management to use to bully academics and the inordinate use of resources, but noted that it had enabled her to gain an academic position in the UK, which would otherwise have been very difficult without an Oxbridge pedigree, having a foreign accent, with little teaching experience at that point, and so on. However, she did also temper this by noting that the ability to produce REFable publications relied upon her being ‘able-bodied and without caring duties’, and that a continued discourse was required in order to consider how to accommodate others.
I asked REF defenders whether REF panellists ever read more than a few pages of a monograph, because of the time available, or listened carefully to audible outputs (rather than reading the 300-word statements which can act as spin)? Moreda responded by framing the issues as whether the REF or equivalent can ever be free of corruption, and whether such a system needs to exist at all. She was ambivalent about both questions, but also disliked the implied view of some REF-opponents that ‘research shouldn’t be subjected to scrutiny or accountability’. Whilst agreeing on this latter point, I argued that REF does not really account for parity between disciplines and sub-disciplines, some with vast differences of time and effort (especially where archival or fieldwork are involved) required for producing an equivalent output. I proposed that no output should receive 3* or 4* where authors ignore relevant literature in other languages, and that the standards of some journals should be scrutinised more. Moreda essentially agreed with the need for wider factors to be taken into account, whilst (in somewhat rantish tone!) I continued that examiners needed a wide range of expertise across multiple sub-disciplines, and asked how in historical work like hers and mine (I work on music in Nazi and post-war Germany, she works on music in Franco’s Spain and amongst Spanish exiles) how many would know if we were making up or distorting the content of the sources? Knowing of a time when there was a leading REF assessor who could not read music, I asked how they could judge many music-related outputs, and both Moreda and I agreed there could be merit in using non-UK examiners, while I also suggested that a department should be removed from the REF when one of their own faculty members is on a panel, because of the potential for corruption.
Theatre and Performance/Early Modern scholar Andy Kesson (@andykesson) posted a harrowing thread relating to his early career experiences at the 2014 REF, for which his outputs were a monograph and an edited collection. In the lead-up, he was informed that these were ‘”slim pickings” for an ECR submission’, and pushed to get them out early and develop other publications. This came at a time when Kesson’s father died and he was forced to witness his mother in the late stages of a long-term fatal illness. Whilst deeply upset by these experiences, Kesson tried to explain that he would struggle to fulfil these additional publication demands, and was told this work was non-negotiable. After the death of his mother, her own father also became extremely ill, and Kesson was forced to do his work sitting next to his hospital bed. When offered a new job, his previous institution threatened legal action over his ‘slim’ REF submission, leading to a dispute lasting two years. Many were upset to read about the callousness of Kesson’s former institution. Social identity scholar Heather Froehlich (@heatherfro) responded that ‘academics are the most resilient people on earth, who are willing to endure so much yet still believe in their absolute singular importance – only to be told “no, you are wrong” in every aspect of their professional lives’. However, one dissenting voice here and elsewhere was that of Exeter Dean and English Professor Andrew McRae (@McRaeAndrew), who cited Wilsdon’s defence of the REF mentioned earlier, and argued that no QR money would ever be given without state oversight, asking whether a better model than the REF existed? Engineering Professor Tanvir Hussain (@tanvir_h) argued that the problem was with Kesson’s institution’s interpretation of REF rules rather than the rules themselves, a theme which others have taken up, on how the ambiguities of the REF are used as a weapon for favouritism, bullying and the like.
Geographer Tom Slater (@tomslater42), having read many of the worst stories about people’s experiences with the REF, called out those who serve on panels, making the following claims:
A) you are not being collegial
B) you are appallingly arrogant if you think you can offer an evaluation of the work of an entire sub-discipline *that has already been through peer review*
C) you are not doing it because somebody has to
D) you are not showing “leadership”
E) you are contributing to a gargantuan exercise in bringing UK academia into international disrepute
F) you are making academia an even more crappy for women, minorities, critical thinkers, and great teachers
G) if you all stood down, HEFCE would have massive problem
Various people agreed, including in the context of internal pre-REF assessments. Another geographer, Emma Fraser (@Statiscape) suggested simply giving any REF submission a 4*, a suggestion Slater and sociologist Mel Bartley (@melb4886) endorsed, and was made elsewhere by novelist and creative writing lecturer Jenn Ashworth (@jennashworth). Linguistics scholar Liz Morrish (@lizmorrish) was another to focus on the behaviour of individual institutions, maintaining that ‘the
#REF was NEVER intended to be an individual ranking of research. It was intended to give a national picture and be granular only as far as UoA. What you are being asked to do is just HR horning in on another occasion for punishment’. Slater himself also added that ubiquitous terms such as ‘REFable’ or ‘REF returnable’ should be abandoned.
Paul Noordhof (@paulnoordhof) asked in this context ‘Suppose there were no REF, or equivalent, linked to research performance. What would stop the University sector achieving efficiency savings by allowing staff numbers to reduce over time and doubling teaching loads? Especially for some subjects’, but Slater responded that collective action from academics (as opposed to the more common action supporting and promoting the REF) would stop this. Slater also responded directly to McRae’s earlier post, including the statement ‘Careful what you wish for’, by arguing that ‘most would wish for a well funded sector where we don’t have to justify our existence via an imposed, reductive, compromised, artificial assessment system that destroys morale. Careful what you lie down for’.
Italian social scientist Giulia Piccolino (@Juliet_p83), responding to my retweeting of Slater’s original thread, called herself ‘the last defender of the REF’, which she felt to be ‘a bad system but the least bad system I can imagine’, a similar position to that of Andress. In response, I suggested that a better system might involve the submission of no more than two outputs from any department, allowing much more time to be spent on peer review. Piccolino noted that in other countries where she had worked, appointments depended simply on one’s PhD supervisor (a point she also made in response to Cupples), that scholars stop researching after receiving a permanent job (but still try and control junior figures) (something I have observed in some UK institutions), and so argued that while the REF could could be improved and humanised, it seemed a break on arbitrary power as encountered elsewhere. Piccolino’s returned elsewhere to her theme of how the transparency and accountability of the REF were an improvement on more corruptible systems, with which many UK academics were unfamiliar.
The debates with McRae continued, after his response to Cupples, in which he called the REF ‘an easy target’ and suggested that its demise would leave academics reliant on grants (a view endorsed wholeheartedly by Piccolino), claimed that many would prefer to replace peer-review with metrics, and that impact produced some important activity. Legal academic Catherine Jenkins (@CathyJenkins101) asked if things were so bad before the introduction of the RAE in 1986, to which McRae responded that he did not work in the UK then, but saw the problems of an Australian system in which publications in ‘a low-achievement environment’ in which many had not published for years, did not help a younger academic get a job. Modern Languages scholar Claire Launchbury (@launchburycla) argued that the modern Australian system (despite, not because of, its own ‘Excellence in Research for Australia’ (ERA) system for research evaluation) was practically unrecognisable in these terms. In response to a query from Marketing lecturer Alexander Gunz (@AlexanderGunz) relating to the lack of a REF equivalent in North America, McRae responded that that system was radically different, lacking much central funding, but where ‘state institutions are vulnerable to the whims of their respective govts, so in that respect greater visibility/measurability of performance might help’. Cupples herself responded to McRae that ‘The vast majority of universities in the world have no REF (and neither did British universities not so long ago) and yet research gets done and good work gets published’. Historical sociologist Eric R. Lybeck (@EricRoyalLybeck), a specialist in universities, echoed the view of Swinnerton-Dyer in hearkening back to the ‘light touch’ of the first RAE, which ‘would be an improvement’, and also argued against open access, saying this ‘distorts and changes academic practices’.
Film lecturer Becca Harrison (@BeccaEHarrison) posted her first REF thread, detailing her disillusion with UK academia as a result of the system, noting that she was told when interviewing for her first post-PhD job that her research ‘had to be world leading’ (4*) in order to get an entry-level job, and feeling that even this might amount to nothing because ‘there are 100 ECRs with 4* work who need my job’. This led her to support calls to boycott preparations for the REF as part of continuing industrial action. Another thread detailed common objections to the REF, then in a third thread, Harrison detailed her experiences with depression and anxiety attacks during her PhD, leading to hair loss and stress-induced finger blisters making it impossible to type, as well as early experiences with a poorly-paid teaching fellowship together with a non-HE job to pay bills, working 18 hour days in order to produce a monograph and endlessly apply for jobs. In her first full-time job, Harrison encountered bullying, misogyny from students, a massive workload and obsessiveness about production of 4* outputs. This did not lead to a permanent contract, but a new job offer came with huge requirements just for grade 6/7. She rightly said ‘please, people implementing REF, people on hiring committees, please know that this is what you’re doing to us – and that when we’ve done all this and the system calls us ‘junior’ and treats us like we don’t know what we’re doing we will get annoyed’.
Some further questions were raised by several on the new rules on open access, for example from Politics scholar Sherrill Stroschein (@sstroschein2), who argued that this would ‘just make book writers produce best work outside of REF’. But this important debate was somewhat separate from the wider question of the value of the REF, and what system might best replace it, which I decided to raise more directly in a new thread. There were a range of responses: musicologist Mark Berry (@boulezian) argued for a move away from a model based upon the natural sciences, and claimed that ‘Huge, collaborative grants encourage institutional corruption: “full economic costing”‘, while Moreda alluded to an article from 2017 about the possibility of a ‘basic research income’ model, whereby everyone had a certain amount allocated each year for research, so long as they could prove a reasonable plan for spending it (David Matthews, ‘Is “universal basic income” a better option than research grants?’, THES, 10 October 2017, though engineer David Birch responded that this would ultimately lead to another system similar to the REF). She saw how this would be insufficient for most STEM research and some in the humanities, but this could then be supplemented by competitive funding, as is already the case. Berry made a similar point to Moreda, also noting how much money would be saved on administration, whilst Cupples also agreed, as did sociologist Sarah Burton (@DrFloraPoste). Sums of up to around £10K per year were suggested; Burton also added that larger competitive grants should be assigned on a rotating basis, so that those who have had one should be prevented from holding another for some years, to create openings for post-graduate researchers (PGRs) and ECRs. I responded that this might exacerbate a problem already prevalent, whereby time-heavy species of research (involving archives, languages, old manuscripts, etc.) would be deterred because of the time and costs involved; Burton agreed that ‘slow scholarship’ is penalised, especially ethnographic work (this type of point was also made by archaeologist Rachel Pope (@preshitorian), comparing time-intensive archaeological work with ‘opinion pieces’ judged as of similar merit), while Moreda suggested that some ‘sliding scale’ might be applied depending on whether research involves archives and the like, though acknowledged this could result in ‘perverse incentives’.
I also noted that one consequence of Burton’s model would be a decline in the number of research-only academics, but that it would be no bad thing for all to have to do some UG core teaching (with which Cupples agreed). Burton’s response was ambivalent, as some are simply ‘not cut out for teaching in a classroom’, though I suggested similar problems can afflict those required to disseminate research through conferences and papers, to which Burton suggested we also need to value and codify teaching-only tracks for some. Moreda was unsure about the proposal to restrict consecutive grants, especially for collaborative projects, though also suggested that such a model might free up more money for competitive grants. Noting earlier allegations of careerism, etc., Berry argued that one should not second-guess motivations, but there should be space for those who are not careerists, and that it would be helpful for funds to assist with language or analytical skills or other important things.
I asked who might have figures for (i) no. of FTE positions in UK academia at present (to which question I have since found the figure of 138,405 on full-time academic contracts, and 68,465 on part-time academic ones, in 2016-17); (ii) current government spending on research distributed via REF (the figure for 2015-16 was £1.6 billion), and (iii) the administrative costs of REF (for which a HEFCE report gives a figure of £246 million for REF 2014). This latter figure is estimated to represent roughly 2.4% of a total £10.2 billion expenditure on research by UK funding bodies until REF 2021, and is almost four times that spent on RAE 2008. Nonetheless, its removal would not make a significant difference to available research funds. If one considers the ‘basic research income’ model (in the crudest possible form) relative to these figures, an annual expenditure of £1.6 billion would provide £10K per year for 160,000 full-time academics, which would be a very large percentage. if the part-time academics are assumed to average 0.5 contracts.
An arts and humanities scholar who goes by the name of ‘The Underground Academic’ (@Itisallacademic) (hereafter TUA) felt the basic income model would prevent a need to apply for unnecessary large grants, and also expressed personal dislike for collaborative projects, a view which runs contrary to orthodox wisdom, but was backed by Moreda and Berry. I agreed and also questioned the ‘fetishisation of interdisciplinary work’ as well. TUA responded with a pointer to Jerry A. Jacobs, In Defense of Disciplines: Interdisciplinarity and Specialization in the Research University (Chicago: University of Chicago Press, 2013), which is a sustained scholarly critique of interdisciplinarity, so often assumed to be an unquestionable virtue. Burton also asked that employers and funders value book-based research more, and expressed frustration that her own work on social theory is deemed ‘easy’, to which I added an allusion to a common situation by which reading-intensive work, often involving carefully critical investigation of hundreds of books, can be dismissed as entailing a ‘survey text’.
There were a range of other more diverse responses. Cupples also argued that the New Zealand system, the Performance-Based Research Fund (PBRF), whilst imperfect, was ‘a thousand times better than the REF’; Cupples and Eric Pawson authored ‘Giving an account of oneself: The PBRF and the neoliberal university‘, New Zealand Geographer 68/1 (April 2012), pp. 14-23. Amongst the key differences Cupples outlined were individual submissions, crafting of one’s own narrative, own choice of most suitable panel, own choice of nominated outputs, information on how one did oneself (not available to others), and greater support from departments.
Piccolino returned to her earlier questions about the potential for corruption in non-REF-based academic cultures, and asked ‘which system guarantees that people are hired for being committed, dedicated researchers vs being friends, friends of friends, products of elite institutions etc?’. Following Cupples mention of the PBRF, Piccolino also mentioned the Italian abilitazione nazionale, providing criteria for associate and full professors, but she suggested it was of little effect compared to patronage and the need for compliant researchers. This system was, according to Piccolino, closer to the REF than the German Habilitation. She also drew attention to a scathing article on corruption in Italian academia (Filippomaria Pontani, ‘Come funziona il reclutamento nelle università’, Il post, 11 October 2016).
Social scientist Gurminder K. Bhambra (@GKBhambra) pointed out the intensification of each iteration of the REF, with the current post-Stern version more individualised and pernicious than before. Medievalist James T. Palmer (@j_t_palmer) argued that REF is not the primary means of distributing research funding, because the majority is distributed through competition, though the REF may determine university funding in general (a profound observation whose implications need wider exploration).
Medieval and early modern historian Jo Edge (@DrJoEdge) asked why, in a REF context, peer-reviewed book chapters are seen as inferior to journal articles, to which Andress replied that (a) some believe book peer-review is less rigorous, as chapters are pre-selected and reviewed collectively; (b) the chapters will have less impact since less easy to find through the usual search engines (a point which Burton said she had also heard); (c) old-style elitist prejudice.
A sardonic exchange proceeded between three musicians or musicologists : composer Christopher Fox (@fantasticdrfox, himself a REF 2014 panelist), Berry, and me. Fox felt that ‘the current UK research model is counterproductive in the arts’ and that ‘Competition is a useless principle around which to organise our work’. I asked what it would mean to rank the work of leading late-twentieth-century composers such as Pierre Boulez and Jean Barraqué, Luciano Berio and Luigi Nono, Brian Ferneyhough and Robin Holloway, or the playing of pianists Aloys Kontarsky and David Tudor, or clarinettists Harry Sparnaay and Armand Angster, as 3* or 4*, especially if non-musicians were involved in the process? Fox also referenced US composers Terry Riley and Pauline Oliveros, and as how one can fix criteria which account for the disparities in their aesthetic intentions, while Berry pointed out that Anton von Webern (almost all of whose works are short in duration) would ‘never have been able to “sustain his invention over a longer time-span”‘, alluding to a common criteria for composition. Conversely, I asked if Erik Satie’s Vexations (which consists of two lines of music repeated 840 times), or the music of La Monte Young (much of it very extended in duration) should ‘have been regarded as streets ahead of most others, if submitted to REF?’, in response to which musicologist (French music expert) Caroline Potter (@carolinefrmus), author of several books on Satie, alluded to an upcoming ‘REF-related satire’ which ‘seems like the only sane way to deal with the business’. I asked about whether all of this contributed to a ‘a renewed, and far from necessarily positive, concept of the “university composer” (or “university performer”)’ (terms which have often been viewed negatively, especially in the United States), when academia is one of the few sources of income. Fox felt that this culture encouraged ‘the production of compositions that only have significance within academia’. I also raised the question of whether academics looked down on books which could be read by a wider audience, which Berry argued stemmed from envy on the part of those with poor writing skills.
Independently, cultural historian Catherine Oakley (@cat_oakley) echoed the views of Kesson and Harrison, as regards the impact of REF upon ECRs, who need ‘monograph + peer-reviewed articles’ to get a permanent job, yet start out after their PhDs in ‘precarious teaching posts with little or no paid research time’.
Elsewhere, industrial relations expert Jo Grady (@DrJoGrady) advocated boycott of preparations for the REF and TEF. In a series of responses, some asked how this could be done, especially when individuals are asked to submit their own outputs for internal evaluation. Further questions ensued as to whether this might lead to some of the worst (non-striking) academics undertaking the assessment.
Sayer himself (@coastsofbohemia) also contributed to these Twitter exchanges. In a first thread, he alluded to a passage from his book: ‘In a dim and distant past that is not entirely imaginary (and still survives for the shrinking minority of faculty members in N America) research was something that academics undertook as a regular part of their job, like teaching … Universities … expected their staff to publish … and academics expected universities to give them sufficient time to pursue their research … There was no *specific* funding for time for research but … the salary was meant to support and remunerate a staff member’s research as well as his or her teaching … [whereas today] Because the only govt support for universities’ “research infrastructure … and pathbreaking research …” comes through QR funding and QR funding is tied to RAE/REF rankings, any research that scores below a 3* necessarily appears as unfunded. The accomplishment of the RAE/REF … is to have made research *accountable* in the literal sense of turning it into a possible object of monetary calculation. This makes the REF a disciplinary technology in Foucault’s sense … which works above all through the self-policing that is produced by the knowledge that one’s activities are the subject of constant oversight. Both inputs (including, crucially, academics’ time) and outputs (as evaluated by REF panels and monetized by the QR funding formula) can now be *costed.* The corollary is that activities that do not generate revenues, whether in the form of research grants or QR income, may not count in the university’s eyes as research at all.’ In response to a question from me about his feelings on the argument that RAE/REF had helped post-1992 institutions, Sayer argued that there were other alternatives to no funding or REF-based funding, alluding to some of the suggestions in his article on peer review listed earlier. In a further thread, he summarised these arguments: the relative merits of peer review vs. metrics was ‘not the issue’. Sayer asserted that ‘Peer review measures conformity to disciplinary expectations and bibliometrics measure how much a given output has registered on other academics’ horizons’, and that neither of these are a reliable basis for 65% of REF ranking. Instead, he suggested that more weight should be allocated to research environment and resources, research income, conference participation, journal or series editing, professional associations, numbers of research students, public seminars and lectures, all of which are measurable.
Literature and aesthetics scholar Josh Robinson (@JshRbnsn) joined the discussions towards the end of this flurry of activity. Coming into one thread, he noted that internal mock-REF assessments meant ‘that the judgements of powerful colleagues with respect to the relative merits of their own & others scholarship can never be held to account’, since individual scores are not returned to departments, also arguing that this would be exacerbated in REF 2021. In response to McRae, Robinson added his name to those advocating a basic research income, which McRea said would technically be possible, but in practice ‘would redistribute tens of millions per year from RG to post-92 unis. Try that on your VC!’. Robinson’s response was to quote McRae’s tweet and say ‘the manager at a Russell Group insitution shows what he’s actually afraid of.’ But in response to a further statement in which Robinson thought that what his VC ‘would be afraid of would be a generally good thing’, McRae suggested that this might simply lead VCs to make redundancies. Robinson pointed out that an allocation by FTE researcher would provide an incentive to hire more people with time for research. Robinson has indicated that he might be able to make available a recent paper he gave on the REF, which I would gladly post on here.
But Morrish, responding that McRae’s claim that the REF is ‘the price we pay, as a mechanism of accountability’, retorted that ‘the price we pay’ is ‘a) Evidence of mounting stress, sickness and disenchantment among academics REF-audit related; b) Ridiculous and career-limiting expectations of ECRs’.
A few other relevant writings have appeared recently. Socio-Technical Innovation Professor Mark Reed (@profmarkreed) and social scientist Jenn Chubb (@JennChubb) blogged on 22 March calling on academics to ‘Interrogate your reasons for engaging in impact, and whatever they are, let them be YOUR reasons’, referencing a paper published the previous week, ‘The politics of research impact: academic perceptions of the implications for research funding, motivation and quality’, British Politics (2018), pp. 1-17. Key problems identified included choosing research questions in the belief they would generate impact, increased conflicts of interest with beneficiaries who co-fund or support research, the necessity of broadening focus, leading to ‘shallow research’, and more widely the phenomenon of ‘motivational crowding’, by which extrinsic motivations intimidate researchers from other forms, and a sense that impact constitutes further marketisation of HE. Chubb and Richard Watermeyer published an article around this time on ‘Evaluating ‘impact’, in the UK’s Research Excellence Framework (REF): liminality, looseness and new modalities of scholarly distinction’, Studies in Higher Education (2018), though I have not yet had chance to read this. Historian Tim Hitchcock (@TimHitchcock) also detailed his experiences of the RAE/REF from the late 1980s onwards, first at North London Polytechnic. Hitchcock argues that:
I have always believed that the RAE was introduced under Thatcher as a way of disciplining the ‘old’ universities, and that the 1992 inclusion of the ‘new’ universities, was a part of the same strategy. It worked. Everyone substantially raised their game in the 1990s – or at least became more focussed on research and publication.
Hitchcock goes on to detail his experiences following a move to the University of Hertfordshire after RAE 1996. He notes how hierarchies of position (between Lecturer, Senior Lecturer, Reader, Professor) became more important than ever, and recruitment was increasingly guided by potential RAE submissions. However, Hitchcock became more disillusioned when he took a position at the University of Sussex after REF 2014, and saw how the system felt ‘more a threat than a promise’ in such places, in which REF strategy was centrally planned. He notes how ‘The bureaucracy, the games playing and the constantly changing requirements of each new RAE/REF, served a series of British governments as a means of manipulating the university system’, the system was increasingly rigged in favour of ‘old’ universities, and made life increasingly difficult for ECRs, who had to navigate ever-bigger hurdles in order simply to secure a permanent position. Hitchcock concludes that:
Higher education feels ever more akin to a factory for the reproduction of class and ethnic privilege – the pathways from exclusion to success ever more narrowly policed. Ironically it is not the ‘neo-liberal’ university that is the problem; but the ‘neo-liberal’ university dedicated to reproducing an inherited hierarchy of privileged access that uses managerialism and rigged competition to reproduce inequality.
He does not write off the potential of the REF to change this, and appears to see the particular ways it is administered and used (and viewed by some in ‘old’ universities) as the problem.
There is more to say about the Thatcherite roots of the RAE, her disdain for the ‘old’ universities, especially after her alma mater, Oxford University, refused in 1985 to award her an honorary doctorate, and what the 1992 act meant in terms of a new vocational emphasis for higher education in general, to which I may return in a subsequent blog post.
It is very clear that the majority of Academic Twitter are deeply critical or bitterly resentful of the RAE/REF, and most believe reform to be necessary. Editorial director of the THES, Phil Baty (@Phil_Baty) offered up a poll asking whether people thought the REF and RAE had been positive or negative; the results were 22% and 78% respectively (and further comments, mostly making similar points to the above, followed). The arguments pro and contra, as have emerged over the weekend can be summarised as follows:
Pro: provides some transparent external scrutiny and accountability; enables funding for post-1992 institutions; enables some to find work who would find it impossible in other systems dominated by patronage; is a better model than any other which has been discovered; employs peer-review rather than metrics.
Contra: invests too much power in managers; creates bullying and intimidatory atmosphere at work through REF preparation mechanisms; makes job market even more forbidding for ECRs; highly bureaucratic; very costly; dominates all research; time-consuming; discriminatory; sexist; colonialist; makes few allowances for those with mental health, care, family, or other external commitments; uncollegiate; employs assessors working outside their area of expertise; uses too many UK academics as assessors; marginalises 2* work and book chapters; fetishises collaborative or interdisciplinary work; falsely erases distinctions between institutions; relies on subjective views of assessors; artificially bolsters certain types of creative practice; is not employed in almost any other developed country; employs mechanisms more appropriate that STEM subjects than arts, humanities and social sciences; has increased pressure on academics with every iteration; causes huge stress and sickness amongst academics.
Stern has not been enough, and there is no reason to believe that those making the final decisions have much interest in the welfare of lecturers, or for that matter the creation of the best type of research culture. Major reform, or perhaps a wholly new system, are needed, and both government and the OfS and Research England should listen to the views expressed above. And new employment laws are urgently needed to stop the destruction of academics’ lives which is happening, regularly as a result of the REF.
The cover story of today’s Sunday Times indicates a plan on the part of the UK government to reduce fees in higher education.
According to the story:
He [Education Secretary Damian Hinds] revealed that future fees would be determined by “a combination of three things: the cost [to the university] to put it on, the benefit to the student and the benefit to our country and our economy”.
Ministers expect this to lead to dramatic cuts in fees for arts and social science courses, which universities have expanded because they are the cheapest to run and make them the most money.
Under the plans, universities will be told to offer: more two-year degrees; sandwich courses, where students spend time in the workplace; and “commuter courses”, where they live at home to cut costs.
Various television interviews today with Hinds and also with Universities Minister Sam Gyimah have done nothing to dispel such suggestions, though precise details are vague. A statement from the Prime Minister is promised tomorrow, though it is unclear how much has yet been decided, how much will be the outcome of a review.
There are various outcomes I could envisage, few of them likely to be positive for those working in the arts and humanities in British universities. The items on the following list are not mutually exclusive.
- A re-introduction of the pre-1992 divide (though ministers will be at pains to stress how different it is), whereby the sector will once again divide into a series of universities in the traditional sense (probably the Russell Group and a handful of others) and others offering more vocational and technical courses (most of those which became universities after 1992 and maybe some others as well). This will be spun as entailing a new level of support for technical education, with the second group of institutions intended to be akin to German Technische Universitäten. The latter institutions will receive little or no support for research, and most lecturers will be on teaching-only contracts. The government money thus saved will be used to finance a cut in some tuition fees.
- A push for many degrees, especially in the arts and humanities, to be able to be undertaken in two years, delivered by a mixture of lecturers on teaching-only contracts (whose increased teaching burden would leave little time for any research), casual academic staff without permanent contracts, and postgraduates.
- A limitation of practically all government research money to STEM (Science, Technology, Engineering, Mathematics) subjects, with nothing for the arts and the humanities, though the social sciences may keep some.
- A variant of 3, in which all or the bulk of arts and humanities research money is only available to those in Russell Group institutions.
- The introduction of a direct link between ’employability’ (as measured by the Teaching Excellence Framework) and the level of fees which an institution is allowed to set.
- An insistence that the majority of academic jobs be teaching only. Having a research position will then become one of the most sought-after things in HE.
Most of these measures, or some variants thereof, will be designed to enable the government to cut fees without having to pledge any more money for HE. I believe strongly in the abolition of tuition fees and re-installment of maintenance grants for all, but realise at present this is unlikely to be on the cards (even with a Labour government which pledges to abolish fees, but will be hit by the dire economic consequences of a Brexit they are doing little to stop).
The outlook for the arts is bleak, and especially for degrees in performing arts such as music, theatre, dance, or various types of spatial arts, which include a practical element requiring significant resources for appropriate facilities. Already, as a result of the introduction of the Ebacc (English Baccalaureate), there was a five-fold fall in the numbers of pupils taking arts subjects at secondary school in 2015-16, while other evidence points to a special fall in take-up and provision of music. When combined with other likely problems relating both to recruitment and access to research funding following Brexit, this will put various music and other arts departments in a highly precarious position, as some already are.
The arguments for the employment benefits of arts and humanities degrees have been rehearsed often, as for example in response to politicians such as former Conservative Education Secretary Nicky Morgan dismissing arts and humanities subjects and urging pupils at school to concentrate on STEM if they want a better career. I do not wish to dwell on these further here, not because I do not believe them to be true, but because I resent the debate always being framed in such narrowly utilitarian terms. Rather, I want to ask why many – including some in academia – have lost such faith in the value of the study of the arts and humanities as an end in itself, and are submitting to terms of reference which will always place them at a disadvantage?
In many continental European universities, there are battles to save rare subjects in the face of declining student numbers, but at least some measures are being taken to prevent these from extinction. It would be nice to imagine that the UK government (or the opposition) were backing similar measures, but evidence of that is in short supply. I wonder in how many other developed countries one would find a vice-chancellor of a major university declaring the irrelevance of the study of sixth-century history, as the late Patrick Johnston, of Queen’s University Belfast, did in 2016. I refuse to accept that the study of early medieval (or ancient) history is somehow automatically less ‘relevant’ than modern history – or that the study of Guillaume de Machaut is less ‘relevant’ than that of Madonna. Any measure of the relevance of history in proportion to the temporal remoteness of the period in question ultimately undermines the case for the study of history at all. There has also been, in the UK, a marked decline in foreign language degrees, no doubt linked to a decline in their study in schools. It is dispiriting and more than a little arrogant when those in Britain no longer feel it important to engage with any of the world’s many other languages.
There have been, and will be for a long time, heated debates about the value to individuals and society as a whole of various types of art, and especially regarding their purported humanising or civilising potential. Overwhelming evidence exists from the fascist era that individuals with a love for and firm schooling in high culture could still commit crimes against humanity. At the very least, this renders automatic assumptions of such culture’s civilising potential impossible to maintain. But one need not subscribe to the views of Matthew Arnold (themselves more complex and nuanced than sometimes credited) in order to believe that a society with only minimal support for and education in the arts and humanities to be one which is deeply impoverished.
So what should be included in teaching and research of these disciplines? I would argue that at the very least, students should be encouraged to explore not only the forms of culture that they would encounter anyhow, but also those of different times and places, not to mention less familiar or commercially successful genres. Such culture can benefit from being examined in its social, historical, geographical, political, ideological contexts, without in any way neglecting its specifics and technical details, which are not merely the by-product of such contexts. The relationships between different cultural forms (between music and theatre, between theatre and performance art, between literature and film, just to give a tiny few obvious examples) are also greatly important, as are the relationships between culture and the intellectual environment of its time/place/social milieu, the societal functions of various cultural forms, the nature and demographics of those who partake of such culture and their responses (i.e. the study of reception), the economic situation of cultural production, the role of changing technology, and much else.
Yet so often I encounter the dismissal of many of these things, including by some academics, in ways which mirror government ideologies, despite being presented in somewhat different language. In the case of my own field, music: government emphasis on STEM subjects is mirrored in increasing emphasis on technological skills in music over other varieties of musical study and musicianship (and in the case of research, favour bestowed upon anything which has a contemporary technological dimension), as if musical study is somehow more acceptable when it has some of the veneer of science. Positions become available for the teaching of commercial music, or functional music for another commercial medium (such as popular film or video games), more frequently than those requiring expertise in a historical field, or in musical cultures outside of the Western world. I was recently informed by one Professor of Theatre that historical study of that discipline has all but disappeared except in Russell Group institutions (though am interested to hear of any evidence to the contrary).
I accept that some of this is pragmatic, borne of desperate attempts to recruit and maintain students who have less and less of a foundation in music and the arts at primary and secondary school than ever. But I am dismayed at how many embrace rather than tolerate this situation. There was a time when the study of popular music (see this debate from two years ago on this blog) could reasonably be argued to inject increased diversity into rather rigid curricula. At best, this can entail the study of many different popular musics from various times and places, critical interrogation of the concept of the ‘popular’, consideration of various social contexts, means of production and distribution, not to mention relationship to other cultural traditions, languages, and so on. But when it means limiting a good deal of musical study to Anglo-American popular music of a restricted period (essentially that music which is already familiar to students), then the net effect for diversity is negative rather than positive. Ethnomusicologists (see another debate on this blog) eager to decry not only relatively traditional approaches to teaching Western art music, but also older approaches to their own disciplines which involved Western scholars spending considerable amounts of time in remote places, absorbing as best as they can the language, cultural practices, and so on, might reflect upon how precarious their own discipline might become if there is less of a place or welcoming environment for those interested in such things. The more musical study becomes simply about the application of a selection of methods derived from sociology or cultural anthropology to fields of musical activity close to home, the less reason there will be for institutions to support music as a separate field of study. The sociology and anthropology of music are vitally important sub-disciplines with multiple intellectual trajectories of their own, but if those engaged with them are housed solely in sociology and anthropology departments, they will then be in direct competition for students, funding and positions with the rest of those fields.
More widely, in many fields of cultural studies, especially the populist varieties which, as I have argued in some recent papers, are rooted in the work of the Birmingham School and especially that of Stuart Hall, commercial utility is equated with relevance, musical engagement is viewed as just another consumer activity, and research can amount either to conducting focus groups, or dressing up familiar informal chat about popular culture with a modicum of jargon. Any deeper critical engagement with popular taste, the latter empirically measured at one particular time and place, is dismissed as elitism. This amounts in many ways to an eschewal of arts education itself, and can lead to rather patronising ways of patting students and ‘the masses’ on the back simply for having the tastes they do, rather than encouraging them to venture beyond their comfort zones.
I do believe, after working in HE for 15 years (in multiple institutions), that most students who study arts subjects at university do so after having read some literature, heard or played some music, seen and acted in some theatre, looked at or produced some visual art, etc., and care about these and want to know more. They often seek help and guidance to navigate an overwhelming range of available culture, and also learn technical skills so as to be able to engage with this more incisively. Certainly not all will become equally drawn to all the manifold areas of study, methods, or emphases involved, nor could any realistically study all in detail in the limited time available for an undergraduate degree (for which I think we should be looking towards four- rather than two-year degrees, ideally) which is why we offer some degree of elective options. But I do believe it is important, indeed vital, that educators attempt to broaden students’ horizons, encourage them to explore beyond what they already know, and also consider the familiar from unfamiliar angles. Those educators, with years of experience in their own fields, are in a position to facilitate all of this. Not through spoon-feeding, teaching-to-test, or rote learning, but introducing what to students will be a plurality new ideas, new cultural forms, new contexts, and encouraging them to consider these critically.
I also realise this type of humanistic approach may not be attractive or feasible to some potential students, and this situation is unlikely to change without wider changes in primary and secondary education. With this in mind, I would not rule out questions as to whether the removal of the pre-1992 divide has been wholly beneficial, and whether a need to maintain the pretence that all degree courses are roughly equal just entails a race to the bottom for all. But technical colleges are not universities in the traditional sense, and it benefits nowhere to pretend otherwise, as argued well by Marxist scholar Terry Eagleton:
Just as there cannot be a pub without alcohol, so there cannot be a university without the humanities. If history, philosophy and so on vanish from academic life, what they leave in their wake may be a technical training facility or corporate research institute. But it will not be a university in the classical sense of the term, and it would be deceptive to call it one.
Neither, however, can there be a university in the full sense of the word when the humanities exist in isolation from other disciplines. The quickest way of devaluing these subjects – short of disposing of them altogether – is to reduce them to an agreeable bonus. Real men study law and engineering, while ideas and values are for sissies. The humanities should constitute the core of any university worth the name. The study of history and philosophy, accompanied by some acquaintance with art and literature, should be for lawyers and engineers as well as for those who study in arts faculties.
I would not like to live in a narrow, utilitarian, technocratic society in which there is little wider societal interest in other times and places, in all the questions which the humanities raise, or one in which such interest and knowledge is limited to the upper echelons of society. Nor a society in which art has no meaning other than as a form of commercial entertainment, as some right-wing politicians in the UK have been urging for many years (see the notorious 1990 Westminster speech by then-Tory MP Terry Dicks, and the spirited and witty response by then-Labour MP Tony Banks). And I doubt that this type of society would be attractive to many, especially not those working in arts and humanities fields. But if many of them are not prepared to defend the ideals of the arts and humanities, acting instead as advocates for narrowly conceived notions of social ‘relevance’, defined in terms of being contemporary, technocratic, and generally restricted to the place and milieu of them and/or their students, what are the chances of any meaningful opposition to governments who would happily slash most of these?
Universities, the arts and the humanities, are not just means to ends but valuable in their own right. Cultures and cultural histories are far from unblemished things, to say the least, but it would still be negligent in the extreme to let them fade into oblivion. And allowing students to retreat into the comfort zone of the already-familiar is damaging to global citizenship. In some ways, those who advocate such an approach to education are already doing the Brexiteers’ work for them.
On Sunday 11 April at 18:45, on BBC Radio 3, the Sunday Feature will be a programme called ‘Radio Controlled’, looking at the role of radio stations in supporting and promoting new music in Germany. This is based extensively upon my own research and I am interviewed at length for the feature. My work on radio forms part of a wider research project, drawing extensively upon a large amount of archival data and also many German newspapers from the period, into the origins of German (and indeed European) new music in the period from 1945 to 1951, and its earlier provenance during the Weimar Republic and to some extent through the Third Reich.
Some time ago, I figured out to myself that the infrastructure for new music in Europe had its origins in West Germany, in the sense that in that country, before anywhere else, there was a large and elaborate range of festivals, concert series, radio stations broadcasting new music, dedicated journals, newspapers with a range of sympathetic critics, and educational institutions in which modernist composers had teaching positions. Nowadays similar such infrastructures exist, and have done for some decades, in France, Belgium, the Netherlands, Austria, Italy, Spain, Finland and elsewhere, but that in Germany was essentially in place by the early 1950s. Considering how devastated the country was been after the war, with over three-quarters of buildings destroyed in many major cities, this was a remarkable development, which took place very quickly. I was fascinated to explore how and why this could have happened, exactly which types of music were most favoured at the time (not just those that today’s historical filter determines to be important). Other scholars, including historians David Monod, Toby Thacker, Elizabeth Janik and Andreas Linsenmann, had explored wider aspects of post-war German musical life and its reconstruction, but while all had considered new music, none had made this the primary focus of their study.
There have been other historical models applied loosely in this respect: the so-called Stunde null or ‘zero hour’ model, which maintains that in the wake of the devastation of war, Germany had to rebuild itself from scratch. This was equally true of music, necessitating the forging a new language, free of the tainted historical past. Another model, based upon some questionable writings of Frances Stonor Saunders and others, and widely disseminated by Richard Taruskin, maintains that new music was essentially fuelled by the United States and its intelligence agencies, beginning in the occupation era, and the most ‘abstract’ (especially atonal and pointillistic) work was supported in opposition to Soviet ideals of socialist realism, especially following the Zhdanov Decree of 1948. Thus new music was enlisted as a weapon in the cultural Cold War.
Both these models contain grains of truth, but both are also too simplistic. There were a great many continuities of works, styles and personnel in German music before and after 1945. There is also very little evidence of US support for the most radical new music in Germany after the occupation era, though there was certainly a programme in place in the late 1940s to promote US composers, who were mostly contemporary. These were however mostly the likes of Howard Hanson, Aaron Copland, Quincy Porter or Walter Piston. In the 1950s John Cage would visit Germany on several occasions, and his influence was pronounced and sustained, but there is little evidence of this being connected to any wider US government policy or Cold War strategy. The latter was mostly focused elsewhere (the German programme of the leading agency, the Congress for Cultural Freedom, was relatively small and mostly focused upon Berlin) and they promoted neo-classical music and jazz more actively than the far-out achievements of the post-war avant-garde.
What is a much more significant factor, in my view, is the concept of Nachholbedarf (‘catching up’), which was used widely immediately after 1945. This held basically that Germany had been cut off from all significant international and modernist developments in music for a period of 12 years, and so it was now necessary to ‘catch up’. The assumptions entailed here were at most only partially true, however. Whilst the protagonists of one wing of Nazi aesthetic ideology, epitomised by Alfred Rosenberg and his Kampfbund für deutsche Kultur , were implacably hostile to modernism in all the arts, others thought differently, as did their counterparts in fascist Italy. Composers such as Bartók and Stravinsky were quite widely performed in Nazi Germany at least up until the early years of the war, while the twelve-tone composer and Schoenberg student Winfried Zillig won great success for a range of operas and took a position as music director in occupied Poznań, in Poland (part of the so-called Warthegau, a region of Poland which was the site of some of the most atrocious racial policies against both Jewish people and Poles at the hands of fanatical ideologue Arthur Greiser). Much has been made of the Entartete Musik exhibition in Düsseldorf in 1938, now and also after 1945, but this was not a large-scale event and was in many ways a personal obsession of the organiser Hans Severus Ziegler. It was not attended by many prominent musicians, and did not impress Joseph Goebbels, who wrote about it in his diaries. There was plenty of international music performed throughout the Reich, though generally from friendly nations. Modern Italian music could be heard regularly, as could Spanish music after 1939, while there were tours from Romanian, Hungarian, Bulgarian musicians, even a reasonable amount of Russian music during the period of the Nazi-Soviet Pact. Japanese conductor Hidemaro Konoye travelled repeatedly to conduct the Berlin Philharmonic Orchestra, and and his score Etenraku (1930), based on a traditional gagaku melody, was played widely throughout the Third Reich and occupied territories. Cultural exchange associations between fascist nations sprung up during the period, while Peter Raabe, head of the Reichsmusikkammer after Richard Strauss’s resignation, essentially subscribed to what is now thought of as a ‘nationalistic cosmopolitics’, favourable towards multiple cultural nationalisms, in opposition to pan-national cosmopolitanism. Raabe was also sympathetic to a fair amount of modernist music. He conducted Schoenberg, Hindemith, Skryabin and others when Generalmusikdirektor in Aachen from 1918 to 1929, and was impressed when he heard Berg’s Wozzeck.
Nonetheless, the assumptions underlying the concept of Nachholbedarf were rarely questioned after 1945, and this argument was used to justify the creation of a range of specialised institutions for new music, gaining financial support from local and state authorities, and the occupying powers, towards this end. Many contemporary institutions for new music were either founded during this period or have their roots there. Furthermore, the US, France and the Soviet Union all had extensive cultural programmes, in large measure devoted to promoting culture from their own countries for a variety of motives (for the US, in part from an inferiority complex, aware of German perceptions that the US was a highly commercialised society lacking high culture; for the French, in order to supplant Germany as the central nation for European culture; for the Soviet Union, in order to promote the purportedly superior possibilities for culture under communism). The UK had a certain programme, but it was relatively modest, and primarily focused upon the press and media, seen as vital in generating a culture of political pluralism.
Furthermore, as has been shown above all in the comprehensive scholarship of Martin Thrun, there was an extremely extensive infrastructure for new music in place during the Weimar Republic. Berlin, Frankfurt, Cologne, Stuttgart, Munich and elsewhere all had extensive cultures of new music – and some of the musical aesthetics entailed a more radical break with the recent past (with widespread opposition to the values of Wagnerism and Imperial Germany prominent especially amongst the Novembergruppe of artists in Berlin) than was the case after 1945. A great many festivals and concert series came and went between 1918 and 1933, some continuing beyond 1933. Radio began in Germany in late 1923, and a few years later stations were commissioning new works of music, and composers exploiting the specific possibilities of the medium.
However, this was a time of huge economic instability, and few of the institutions proved financially stable for this reason. The same situation was naturally true after 1945, especially at the time of currency reform in 1948, in which the introduction of a new currency rendered many people’s savings essentially worthless. However, this is where the role of the radio stations, whose funding was relatively stable due to a licence fee system, is crucial. Many of the most prominent and important festivals and concert series for new music – in Munich, Darmstadt, Frankfurt, Donaueschingen, Baden-Baden, Stuttgart, Heidelberg, Cologne and Hamburg in particular – were supported by radio stations, which gave them a staying power which was rare in the 1920s.
Furthermore, it is vital to consider some of the individuals involved with these radio stations – figures such as Heinrich Strobel at Südwestfunk in Baden-Baden, who did a huge amount to support and promote contemporary French music, Herbert Eimert at the branch of Nordwestdeutscher Rundfunk in Cologne (later Westdeutscher Rundfunk), who founded the electronic music studio in Cologne and was mentor to the young Karlheinz Stockhausen, Eigel Kruttge, the first music director at the same station and later co-founder of the important new music series Musik der Zeit, Hans Heinz Stuckenschmidt at Rundfunk im amerikanischen Sektor in Berlin, who presented a range of programmes with quasi-Socratic dialogues between himself and other individuals unsympathetic to new music, Heinz Schröter at Radio Frankfurt, later Hessischer Rundfunk, who developed a major new music festival in Bad Nauheim and then Frankfurt, and was also involved in supporting the courses at Darmstadt, or Herbert Hübner, also at Nordwestdeutscher Rundfunk (later Norddeutscher Rundfunk) but at the central headquarters in Hamburg, who like others created a special late-night series devoted to new music, and from 1951 the series das neue werk, Otto-Erich Schilling at Radio Stuttgart, later Süddeutscher Rundfunk in Stuttgart, or Heinz Pringsheim at Radio Munich, later Bayerischer Rundfunk. All of these figures had a strong commitment to new music, and almost all were appointed to key positions between 1945 and 1946 (Hübner in 1947). Some had very questionable pasts: Schilling, Kruttge and Hübner had been NSDAP members (possibly also Stuckenschmidt, and also certainly his wife, singer Margot Hinnenberg-Lefèbre, though both may have been entered without their consent), as had other influential figures such as composers Wolfgang Fortner, Ernst Lothar von Knorr and Gerhard Frommel, Robert Ruthenfranz, founder of the Wittener Tage für Neue Kammermusik in 1936, Hugo Herrmann, an interim director of the Donaueschinger Musiktage and musical director of other festivals in Konstanz, Trossingen and Tübingen right after the war, pianist Eduard Erdmann, choral expert Siegfried Goslich, who worked at the radio station in Weimar, in the Soviet Zone, after 1945, and from 1948 played a major role in developing new music at Radio Bremen, or electronic music pioneer Werner Meyer-Eppler. Schilling had written an opera based on the anti-semitic propaganda film Jüd Suß and also a cantata beginning with the text ‘Wir hassen den Juden und lieben, was deutsch ist’ (‘We hate the Jews and love that which is German’). Stuckenschmidt and Eimert’s Nazi-era journalism sometimes parroted Nazi propaganda, as did that of Strobel when writing for the Nazi occupation paper Pariser Zeitung, though in Strobel’s case it should be borne in mind that he was married to a Jewish woman and there is good evidence that he made whatever compromises were necessary to protect her.
But in almost all cases the individuals involved with radio found that the occupying powers found them acceptable and were happy to allow them to take up the positions they did. Kruttge was an exception, and removed from his position at an early stage for a period. Why this was depends on individual cases: in some cases there was simply not the time for the military authorities to investigate the fine details of some people’s journalism and employment of Nazi tropes and rhetoric, and this became less and less of a concern as denazification was scaled down and handed over to German authorities, before being brought to an end entirely. In the case of Strobel, who been an opponent of German romanticism and indeed the expressionism of Schoenberg back in the 1920s, the French authorities had plenty of good reason to believe in his Francophile tendencies, notwithstanding his wartime journalism. As such he could be counted upon to support their own cultural agenda, a prediction which proved wholly accurate.
Without the work of these individuals at radio stations, I do not believe that not only avant-garde German composers such as Karlheinz Stockhausen (and arguably less radical composers such as Hans Werner Henze or Giselher Klebe), but also those from elsewhere including Pierre Boulez, Luigi Nono, Bruno Maderna, and indeed John Cage, all of whom were widely performed in West Germany, would have gained the reputation and profile that they did, at least for a period. And their work paved the way for subsequent generations.
‘New music’ is a concept whose roots are in an essay ‘Neue Musik’ published by critic Paul Bekker in 1919, stimulating a wide range of responses through the 1920s), in the sense of a separate realm of musical activity from more ‘mainstream’ classical music, with financial support from sources other than ticket sales and private sponsorship. It is fundamentally a phenomenon borne out of particular historical circumstances in Germany after crushing defeat in 1918 and 1945. This is not the whole picture, for sure, and one should not neglect other parallel developments elsewhere – for example the Festival internazionale di musica contemporanea founded in Venice in 1932 (thus in the midst of the Fascist era), which continues to the present day, or other developments in France, Austria, the UK and elsewhere. But the scale of such a thing was greatest in Germany. What then becomes a difficult question for all of those (including myself) committed to and involved with such a scene, is what is the basis for its continuation, and financial support, now that historical conditions have changed, and the legitimising arguments for the associated infrastructure no longer have the same cogency.
In the wake of the huge response to the article on music notation and literacy by Charlotte C. Gill in The Guardian, and encountering a certain amount of qualified support for her position amongst some academics who are more broadly antipathetic towards a Western classical tradition or at least a central place for it in Western music curricula, I recently read the following inspiring passage from an essay by Estelle R. Jorgensen, ‘Western Classical Music and General Education’, Philosophy of Music Education Review, Vol. 11, No. 2 (Fall 2003), pp. 130-140, which I wanted to share here. Note that this is emphatically not a denigration of other traditions and practices, nor an assertion of superiority, but part of a wider argument for rejuvenating the teaching of something which is increasingly marginalised in various musical education, according to the author; she says ‘it seems now to have acquired (in some quarters at least) a negative connotation as a bastion of elitism and privilege. Instead, popular musics (with a nod to musics of other culture) have pride of place in much elementary and secondary music education and in many university and college offerings designed for students whose principal fields of study lie outside music.’
Why should Western classical music be advocated by music education policy makers? Among the possible reasons, the term “Western classical music” is a misnomer. It is really a multi-cultural and international tradition forged by musicians around the world who brought their various individual and cultural perspectives to a music that grew up in Europe but that from its infancy drew upon African and Near Eastern roots. Its widespread influence as one of the great musical traditions does not make it necessarily better than others but does make it worthy of study. A music that is known so widely, has captured the interest and participation of so many musicians and their audiences internationally, has such a rich repertory, and represents so many cultures strikes me as a human endeavor of inherent interest and worth.
Western classical music is also one of the ancient classical traditions in the world. Its long history can constitute a bridge to better understanding the particular contributions and detractions of Western civilization. This music constitutes a rich heritage of instruments, compositions, theories, and performers. It sometimes instances brilliant and deeply moving creations that manifest human genius at work. There is, as Jane Roland Martin puts it, a “stock” of cultural makings and doings that support, enrich, challenge, and defy social and cultural conventions. Musical artifacts include written compositions that are brought to life in performance, archaic instruments that are preserved, copied, restored, and otherwise kept for posterity, and musical rituals that are described, recorded, and recreated in a host of ways. As Neil Postman notes, knowing about the eighteenth century is particularly important at a time when mediated culture focuses on the present. Knowing the past traditions of a particular place enables one to connect with those who have gone before just as one relates to people in other places. Viewed this way, Western classical music is a precious heritage that links Westerners to their past just as it links them to other world cultures.
This music is an organic, living thing. Although informed and influenced by Christianity, especially Roman Catholicism, it is also rooted in the musics of Eastern Orthodoxy and Judaism, and in the secular musics of Middle Eastern and Northern African countries in which Islam took hold. Its mythos, influenced originally by Greek polytheism, later acquired a monotheistic Judeo-Christian perspective that is now being transformed as the tradition increasingly finds its home in Asia, Africa, Oceania, and the Americas, affected again by polytheistic and other religious and mythical world views. It has also absorbed a host of other musics that have likewise become classical in their own right. For example, jazz is in the midst of becoming a classical tradition and many of its elements have been included in the Western classical mainstream. Likewise, rock, country, and gospel are acquiring classic properties such as notation, instrumentation, and self- reflexivity, and becoming incorporated into and interconnected with the Western classical tradition.
Musical notation is one of its singular achievements. Literacy provides a way of recording the nuances of performance, intellectualizing music, propagating it widely and disparately in time and space, and quickly learning new pieces of music. Becoming literate in this tradition is essential. Since the music is notated, one can read a score and hear how it should sound and quickly catch on to what is happening even if one is unacquainted with the particular piece. Remaining illiterate in this tradition leaves one deprived of knowledge essential to full participation in a society that regards itself as Western. This deprivation, whether intentional or not, is arguably racist and classist when it fails to ensure that all people irrespective of their background have the opportunity to be musically literate. Recognizing the multiplicity of musical cultures in today’s societies suggests expanding literacy beyond the Western classical tradition while also emphasizing aurality/orality- a point that Patricia Shehan Campbell is at pains to make. Notwithstanding the importance of musical orality, failing to develop musical literacy in at least one notated musical tradition makes it difficult to break out of a solely aural/oral tradition into a literate one, something that exponents of aural/oral or little musical traditions may wish to do, sooner or later. And leaving students limited is arguably mis-educative since it stunts and prevents their further development.
On March 28th, 2017, 11:40-13:10 I will be giving a workshop on ‘Music, Identity and Nationalism with Reference to the Third Reich and early Cold War Period’, at the ASEN Conference on Anthony D. Smith & The Future of Nationalism: Ethnicity, Religion and Culture’, taking place at the London School of Economics. The conference takes place over March 27-28, 2017, and my workshop will take place from 11:40-13:10 on the 28th, open to conference participants. Places are still available for the conference; full details, and a programme for the conference can be found at https://asen.ac.uk/conference-2017/ .
The purpose of this workshop is to engage with the issues of nationalism as affected German musicians and those working in the music world, through interactive roleplay relating to denazification procedures in each of the four zones of occupied Germany – American, British, French and Soviet.
A series of four ‘legends’ have been created, each relating to a real individual; two composers, one pianist and composer, and one music journalist and writer. Each faced denazification in different zones. Participants are invited to take the role of one of these legends in a mock denazification hearing, which I will be directed in the role of Chief Interrogator. He will question the participant on the nature of their activities during the Third Reich, including questions relating to the aesthetics of their work, and they are offered the chance to reply and defend their record. Others are invited to take role in the ‘defence’ or ‘prosecution’ team, interspersing comments where appropriate relating to the case in question. These requires only study of the legends themselves (those who wish to join the prosecution will be provided with a little extra information unknown to the individual being interrogated).
If time permits, in the final half hour of the workshop I will direct a wider discussion cultural/political agendas relating to the Cold War in Europe on both sides of the Iron Curtain, as relate to music and nationalism. Some questions to be considered include whether supposedly ‘internationalist’ aesthetic agendas might be viewed in terms of a type of ‘Western European pan-nationalism’ (which has also informed culture in the EEC/EU) or conversely these are less solidly geographically rooted. Another is how in the Eastern Bloc, musical traditions with historical connections to those found elsewhere in Europe and further afield were modified in accordance with the dominant role of the Soviet Union and Russian musical traditions, not least in light of the expulsion of ethnic Germans from most of Eastern Europe.
Biddiscombe, Perry. The Denazification of Germany: A History 1945-1950. Stroud: Tempus, 2007.
Chamberlin, Brewster S. Kultur auf Trümmern. Berliner Berichte der amerikanischen Information Control Section July – Dezember 1945. Stuttgart: Deutsche Verlags-Anstalt, 1979.
Clemens, Gabriele, ed. Kulturpolitik im besetzten Deutschland 1945-1949. Stuttgart: Franz Steiner, 1994
Clemens, Gabriele. Britische Kulturpolitik in Deutschland 1945-1949: Literatur, Film, Musik und Theater. Stuttgart: Franz Steiner, 1997.
Heister, Hanns-Werner and Klein, Hans-Günter, eds, Musik und Musikpolitik im faschistischen Deutschland. Frankfurt am Main: Fischer, 1984.
Janik, Elizabeth. Recomposing German Music: Politics and Tradition in Cold War Berlin. Leiden, Brill & Biggleswade: Extenza Turpin, 2005.
John, Eckhard. Musik-Bolschewismus. Die Politisierung der Musik in Deutschland 1918-1938. Stuttgart: Metzler, 1994.
Kater, Michael. The Twisted Muse: Musicians and their Music in the Third Reich. New York and Oxford: Oxford University Press, 1997.
Kater, Michael. Composers of the Nazi Era: Eight Portraits. New York and Oxford: Oxford University Press, 2000.
Linsenmann, Andreas. Musik als politischer Faktor: Konzepte, Intention und Praxis französischer Umerziehungs- und Kulturpolitik in Deutschland 1945-1949/50. Tübingen: Narr, 2010.
Monod, David. Settling Scores: German Music, Denazification, and the Americans, 1945-1953. Chapel Hill, NC and London: University of North Carolina Press, 2005.
Pike, David. The Politics of Culture in Soviet-Occupied Germany, 1945-1949. Stanford, CA: Stanford University Press, 1992.
Prieberg, Fred. Handbuch Deutsche Musiker 1933-1945. CD-ROM, 2004, revised version 2009.
Riehtmüller, Albrecht, ed. Deutsche Leitkultur Musik? : zur Musikgeschichte nach dem Holocaust. Stuttgart: Steiner, 2006).
Scherliess, Volker, ed. »Stunde Null«. Zur Musik um 1945. Kassel: Bärenreiter, 2014.
Steinweis, Alan E. Art, Ideology, and Economics in Nazi Germany: The Reich Chambers of Music, Theater, and the Visual Arts. Chapel Hill, NC: University of North Carolina Press, 1993.
Thacker, Toby. Music after Hitler, 1945-1955. Aldershot: Ashgate, 2007.