Research Governance & Compliance
Research Governance and Compliance
Supporting Research Ethics and Governance
Purpose:
- Provide accurate and timely information to colleagues to ensure compliance with research ethics and governance requirements
- Support research ethics applications to ensure due process is followed and communicated at all stages
Activity:
- Monitor external and internal information sources for policy and guidance changes and brief colleagues on relevant developments/changes
- Process research ethics applications in accordance with local (e.g., School), institutional, and external (e.g., subject specific) guidance
- Service internal ethics committee(s)
- Brief colleagues on ethics and governance developments
- Operate an audit process
- Support the research misconduct process and investigations, and maintain records
Core Skills
- Information Management – create and maintain records
- Interpersonal – request information
- Administrative – service ethics committees
- Customer Service – internal and external stakeholders
- Communication – prepare briefings, convey information clearly
Underpinning Knowledge
- Research Governance Framework for relevant subject area (e.g., UKRIO Code of Practice, EU Code of Ethics for Socio-Economic Research, ESRC Framework for Research Ethics, UK Policy Framework for Health and Social Care Research, Concordat to Support Research Integrity)
- Relevant legislation (e.g. Human Tissues Act, Mental Capacity Act, Equality Act, etc.)
- Institutional and external procedures for research ethics and governance
Examples of behaviour:
- Accept and demonstrate personal responsibility for compliance areas
- Act as a local source of knowledge on internal and external ethics guidelines
- Make use of information and resources gained through personal networks
- Liaise with external bodies, suppliers and other HE bodies
- Process ethics applications efficiently, upholding process guidance and documentation
Purpose:
- Maintain oversight of research ethics and governance processes
- Work closely with research systems teams to ensure smooth system operation
Activity:
- Assess the governance and ethics issues within proposals
- Manage institutional procedures to support and monitor ethics and governance
- Ensure all internal/external authorisations and approvals are in place
- Ensure electronic systems to capture/store data are fit for purpose, provide safe storage, and are adequately linked to project records
- Establish an audit process
- Identify breaches of research governance
- Oversee responses to funder requested audits of ethical processes
- Develop good practice guides / policy
- Ensure operational staff are aware of what ethical and governance frameworks the institution (and its research) abide by
Core Skills
- Analytical – assess ethics issues and concerns with reference to internal and external guidance
- IT – relevant institutional systems
- Communication – prepare and deliver briefings
- Networking –identify and share good practice
Underpinning Knowledge
- Relevant research Ethics and Governance Frameworks and concordats (e.g., UKRIO Code of Practice, EU Code of Ethics for Socio-Economic Research, ESRC Framework for Research Ethics, Concordat to Support Research Integrity, UK Policy Framework for Health and Social Care Research)
- Relevant legislation (e.g. Human Tissues Act, Mental Capacity Act, Equality Act, etc.)
- Institutional procedures for research ethics and governance
- IT systems
Examples of behaviour:
- Develop a robust and institutionally implemented audit system
- Develop an effective system for identifying and managing ethics breaches
- Be responsible for compliance areas
- Foster a culture of diversity and inclusion in relation to the make-up of Ethics and Governance Committees
- Apply good practice and fresh ideas from inside and outside the organisation
Purpose:
- Develop effective institutional processes and systems to underpin research ethics and governance and promote good research conduct
Activity:
- Develop institutional procedures to support and monitor research ethics and governance, ensuring they are adhered to
- Ensure there is high-quality training provision for research ethics, governance, and integrity, that builds closely on industry guidelines, is offered within the institution (e.g., UKRIO Code of Practice, EU Code of Ethics for Socio-Economic Research, ESRC Framework for Research Ethics)
- Report potential or actual breaches of research governance and/or integrity through the relevant internal and external channels
Core Skills
- Influencing – ensure the best outcome for the institution
- Networking – identify and share good practice
Underpinning Knowledge
- UK policy Framework for Health and Social Care Research, Research involving animals
- Relevant legislation (e.g. Human Tissues Act, Clinical Trials Regulations, The Animals Scientific Procedures Act (ASPA), etc.)
- Institutional and wider sector procedures for research ethics, governance, and research integrity
- European procedures for research ethics and governance
Examples of behaviour:
- Accept and demonstrate personal responsibility for compliance areas
- Create a culture that is willing to challenge inappropriate practices/behaviour
- Be assertive in the oversight of compliance breaches and escalate efficiently
- Share good practice with other parts of the organisation
Trusted Research
Purpose:
- Review Memorandum of Understandings and collaborator contracts for any conflict of interest
- Support due diligence checks on potential research collaborators
- Provide first hand support to research staff who are engaging in research collaborations or are concerned about an existing collaboration
Activity:
- Guide research teams on where to access institutional and sector guidance (e.g., National Protective Security Authority) on conducting trusted research
- Assist research staff with due diligence of potential partner institutions and in accordance with institutional guidance, raising concerns as necessary
- Consult a range of resources to review the suitability of collaborating with partners from certain countries, and liaise with research teams with findings (e.g., UN sanctions, Country Corruption Index)
- Provide individual research staff and teams with practical guidance on how to store, share, and protect their research data and comply with policy and guidance
- Act as a primary contact point for queries from research staff
- Critically assess the contractual expectations with research teams
- Provide assistance to any staff attending international conferences
- Provide guidance on export controls in relation to sensitive technology being shared internationally
Core Skills
- Interpersonal – liaise with research teams around suitability of partners
- Research – conduct due diligence on potential partners/countries
Underpinning Knowledge
- NPSA trusted research guidance for academia
- Institutional policy and guidance
- Understanding of potential risks to the institution, its research, and nation more broadly
- Export license controls
- Suitability of different nations for conducting research (e.g., UN sanctions list, corruption index, Human Freedom Index)
Examples of behaviour:
- Collect publicly available data on potential partners and advise staff on any concerns you may have
- Discuss data security issues with a PhD student who is presenting at an international conference
- Flag any UN sanctions imposed on relevant countries to researchers embarking on collaborations
Purpose:
- Ensure institution-wide compliance to internal and external guidance and policy around research collaborations
- Provide current and comprehensive records on potential collaborators and collaborating countries
Activity:
- Collate data on research partners to minimise potential conflicts of interest between different research teams within the institution
- Retain information on countries pertaining to their suitability as a research partner
- Collate information on other research organisations and flag to colleagues where potential collaborators may not be seen as a trusted partner
- Ensure that a clear escalation process is in place for staff to report potential issues
- Provide advice to research staff in situations where they are concerned about a partner organisation
- Provide institutional guidance on good practice for data storage and data sharing
- Work with different parts of the university to ensure awareness and compliance with trusted research policy (e.g., Finance, HR)
- Maintain relationships with peers at key partner institutions
- Promote a culture of transparency within teams, across labs, and between different parts of the university in relation to research
- Liaise with members of the public who raise any concerns around potential or existing collaborations
Core Skills
- Interpersonal – provide guidance to research teams on continuing certain collaborations
- Analytical – review wide-ranging data to provide guidance on collaborator suitability
- Communications – clearly communicate sensitive information diplomatically across the institution
Underpinning Knowledge
- NPSA trusted research guidance for academia
- Institutional policy and guidance
- Understanding of potential risks to the institution, its research, and nation more broadly
- Export license controls
- Suitability of different nations for conducting research (e.g., UN sanctions list, corruption index, Human Freedom Index)
Examples of behaviour:
- Meet with research labs and Schools to educate and update on key points, trends, and case studies
- Develop a clear framework for staff to use to conduct due diligence of potential collaborators
- Advise research teams on how to progress with collaborators when there has been an undesirable development (e.g., their host country has been added to the UN sanction list)
Purpose:
- Ensure the institution’s research is conducted ethically and responsibly across all jurisdictions and the institution is seen as a safe and trusted partner to collaborators
- Ensure staff are provided with training and development opportunities to protect themselves and research from theft, misuse and exploitation
- Provide secure IT infrastructure and a strong research security culture
Activity:
- Develop robust institutional policy and mechanisms to protect research data and IP
- Establish a training package that equips staff to understand trusted research and how to protect research and data
- Ensure staff are confident and successful in initiating and maintain international collaborations
- Provide cyber security guidance in relation to conducting research
- Provide leadership in cases of serious breaches and coordinate the institutional response
- Coordinate institutional response for not entering into collaborations with specific nations
- Monitor global developments and update institutional guidance on collaborations with specific partners and/or countries as necessary
- Ensure the university website has clear guidance and relatable examples of data breaches and attacks for staff to consult
- Establish strong connections with relevant legal teams/departments and ensure swift advice is received as necessary
Core Skills
- IT – Ensure robust systems and processes are in-place to protect university research data
- Communications – clearly communicate institutional expectations and promises around conducting research
- Analytical – Review international data and national policy to develop suitable institutional guidance
Underpinning Knowledge
- NPSA trusted research guidance for academia
- Institutional policy and guidance
- GDPR
- Wider legal framework
- Export license controls
- Suitability of different nations for conducting research (e.g., UN sanctions list, corruption index, Human Freedom Index)
Examples of behaviour:
- Clear and convincing statements showcasing why the institution can be seen as a trusted research partner for prospective collaborators
Responsible Research and Innovation (RRI)
Purpose:
- Assist research teams in setting-up and publicising community and Patient and Public Involvement events
- Provide critical feedback at the research proposal stage to ensure that researchers seek to include the voices of wide audiences
- Support the evaluation of RRI activities by collecting data from participants
Activity:
- Encourage researchers to use the institution’s RRI self-assessment form
- Provide evidence of good practice that can be shared across the institution
- Signpost staff to training and development tools and external resources
- Promote the institution’s EDI toolkit to staff developing RRI plans
- Review any funder guidance or policy surrounding RRI activities and ensure research teams understand the implications
- Help research staff implement feedback received through RRI into future research
- Identify and escalate any concerns or breaches of responsible research
Core Skills
- Event organisation – assist with event setup and logistics
- Analytical – review documents and plans critically and provide constructive feedback
Underpinning Knowledge
- UKRI AREA principles (Anticipate, Reflect, Engage, Act)
- RRI Tools – A Practical Guide to RRI
- Research ethics and relevant legal frameworks
- Internal booking and surveying tools
Examples of behaviour:
- Successful organisation of dissemination event and setup a booking form for a research dissemination event
- Encourage research staff to include budget for RRI activities at the proposal stage
- Review research proposals and constructively feedback on RRI plans
Purpose:
- Develop and ensure compliance to a self-assessment tool (looking at the AREA framework) that researchers can use for RRI
- Meet with Schools and research leaders to ensure the AREA framework is being embedded in all research
- Facilitate the sharing of good practice within the institution and externally
Activity:
- Design and implement training and development opportunities for responsible research, dissemination, and PPI
- Develop networks with relevant lay and professional stakeholders who would be willing to engage in discussions around the design and delivery of research
- Create training content highlighting the importance, potential and design considerations for RRI
- Establish mechanisms and communities of practice that help to support open research, and the dissemination of learning across the institution and more broadly
- Setup a repository to collate details on RRI initiatives and outcomes centrally, making accessible to research staff as necessary
- Work with staff across the institution to develop creative approaches to delivering RRI activities
- Embed systems to monitor the impact of RRI activities across the institution
- Appropriately manage any breaches of RRI
- Review feedback received through RRI activity and use to improve institutional strategy
Core Skills
- Training and development – develop training courses and documentation
- Communication – meet key stakeholders to encourage commitment to RRI
Underpinning Knowledge
- UKRI AREA principles
- RRI Tools – A Practical Guide to RRI
- External networks of potential RRI participant groups
- Institutional research strategy and priorities
- Key internal research stakeholders
Examples of behaviour:
- A widely used RRI self-assessment tool that researchers can use when developing their research proposals
- A culture whereby school research fora include discussions and presentations around RRI initiatives and impact
- Widespread sharing of best practice in relation to RRI initiatives across the institution
Purpose:
- Ensure all research conducted in the institution is conducted in an ethical and legal manner
- Ensure responsible research is embedded in institutional strategy
- Embed a culture where researchers think critically about the impact their work has on different members of society
Activity:
- Develop a clear institutional statement on responsible research and its importance
- Work with senior management to ensure researchers embed RRI within their research in a purposeful way
- Liaise with funders and peers around RRI developments and best practice
- Showcase work done within the institution externally
- Encourage the inclusion of RRI in staff appraisals
Core Skills
- Influencing – ensure senior management are aware of the importance of RRI
- Marketing/PR – ensure a clear narrative exists around the RRI work that is being done within the institution
Underpinning Knowledge
- UKRI AREA principles
- RRI Tools – A Practical Guide to RRI
- Research ethics and relevant legal frameworks
- Sector trends and best practice
Examples of behaviour:
- Ensure that the concept of responsible research is well understood by all research staff
- Embed a culture where high-quality and inclusive RRI is done as standard
- Webpages clearly document the excellent RRI work that the institution is doing, linking to engaging content and stakeholder feedback
Additional Resources
