Research Strategy and Planning
Research Strategy and Planning
Contributing to Research Policy and Strategy
Purpose:
- Monitor the internal and external research policy landscape and funding environment and provide accurate, up-to-date information to key institutional staff to support decision-making
- Provide accurate, timely and relevant information to support internal and external processes (e.g. audits, consultations, committees)
Activity:
- Identify external trends in funding opportunities (size and nature of opportunities) and feedback at local and institutional level
- Identify internal trends in funding (project and PGR) awards won (size and nature of awards) and in outputs, and feedback at local and institutional level
- Gather information from funders and other stakeholders relating to institutional priorities
- Provide information in an appropriate format and to the timescales required for internal and external assessments and consultations
- Provide qualitative and quantitative input to the research policy committee
- Co-ordinate the Transparent Approach to Costing (TRAC) process
- Calculate indirect rates, estates rates, staff day rates, research facilities’ rates
- Advise researchers on research policy, strategy and governance issues
Core Skills
- Interpersonal – listening/asking questions
- Information Search – identify funding trends
- Communication – relay wider trends succinctly via different methods
- Numeracy – calculate charge rates for TRAC
Underpinning Knowledge
- Institutional and/or local research strategy
- External research environment (e.g., REF, Pathways to Impact, relevant Concordats)
- Funder and government priorities
- TRAC/FEC
Examples of behaviour:
- Aggregate, utilise and interpret information on internal and external funding trends to inform decisions
- Consider cost benefit analysis implications of decisions
- Identify the information and knowledge people need and convey it appropriately
- Recognising and respecting the roles, responsibilities, interests and concerns of colleagues and stakeholders
- Critically consider an academic’s publication strategy to ensure it is aligned to strategy and feasible
Purpose:
- Develop an achievable and realistic operational plan and underpinning processes for implementing local and/or institutional research policy and strategy
- Ensure that researchers and the institution adhere to legal and regulatory requirements
- Co-ordinate the preparation of accurate, timely and relevant information to support internal and external processes (e.g. audits, consultations, committees)
Activity:
- Develop and implement operational plans to support research policy and strategy
- Assess the impact of trends in funding and make recommendations to the institution
- Contribute to discussions on research contingency – investment/de-investment in specific areas
- Develop robust policy and ensure a wide-range of stakeholders are consulted to ensure co-creation and the inclusion of a diverse range of opinions
- Provide internal briefing documents on implications of policy developments
- Maintain oversight of research code of conduct/governance policies etc.
- Co-ordinate preparation for internal and external assessments
- Respond to consultation documents and draft management responses (including operational plans) to audits
- Brief colleagues on requirements for FEC and how to implement, including data collection methods
Core Skills
- Analytical – informed recommendations on policy direction
- Communication – report writing, conveying information clearly, presentation
- Influencing – persuasive writing and presentation
- Problem Solving – effectively address issues raised by audit
- Interpersonal – listen to views and adapt responses
Underpinning Knowledge
- Institutional and/or local (as appropriate) research strategy
- External research environment (e.g., REF, Pathways to Impact, relevant Concordats)
- Funder and government priorities
- Institutional finances and resource allocation model / mechanism (e.g., TRAC, FEC)
Examples of behaviour:
- Develop clear briefing documents that are accurate and timely
- Review previous policy, consider new guidance, gain peer feedback, and ensure relevant approvals to inform new policy
- Keeping up to date with what is happening in professional area
- Ensure policy and strategy are underpinned by a strong commitment to upholding equality, diversity and inclusion.
- Share learning and experience to facilitate decision making
Purpose:
- Review and develop institutional/local research policy and strategy in response to changes in the internal and external environment
- Secure colleagues’ commitment to internal and external processes including audits, consultations and committees
- Ensure institutional compliance to legal requirements and sector guidelines
Activity:
- Lead the institutional response to changing external factors on research policy and strategy
- Formulate the institution’s research policy and strategy and ensure buy-in
- Develop incentives, benchmarks and initiatives to promote research in strategically important areas
- Raise awareness of the purpose and value of internal and external assessments
- Disseminate and celebrate the results of internal and external assessments
- Act as ambassador for the institution and the profession (contributing to (in)national consultations and developments)
- Raise awareness of TRAC / FEC and its principles
Core Skills
- Networking – build strong networks internally and externally
- Influencing – achieve ‘buy in’ to policy and strategy
- Horizon Scanning – monitor external developments and assess the local impact
- Creativity – developing new initiatives
- Interpersonal – building relationships, listening to colleagues
Underpinning Knowledge
- Institutional research strategy and priorities
- External Research Environment
- HR policies and processes
- Political environment
- International perspectives
Examples of behaviour:
- Scan the wider environment to seek opportunities to enhance and improve the institution
- Modify strategy to adapt to changes in the wider environment
- Share good practice across the organisation, including promoting the Athena Swan charter and harnessing the diversity of views and experiences within the organisation
- Effective gain buy-in without direct authority
- Evaluate the success of projects and disseminating lessons that can be learned
Contributing to REF
Purpose:
- Maintain accurate data for REF that can be used to monitor progress against key performance indicators
- Ensure data gathering processes for REF-related activity is efficient.
- Provide, collect, collate and check data to contribute to the best possible REF submission
Activity:
- Maintain accurate and up to date data and records (gather inaccurate/missing data)
- Provide management information to senior managers
- Act as secretary to relevant groups and committees
- Promote a culture of minimising printing of materials
- Benchmark institutional and individual Units of Assessment (UoA)
- Disseminate Funding Council information, guidance and updates that is shared from central university sources
- Act as a ‘point of contact’ for various stages of the exercise, liaising with others to collect and check data
- Support colleagues in preparation of the final submission
- Arrange ‘mock’ panel reviews
Core Skills
- Interpersonal – liaise with academic and administrative staff
- IT – data manipulation skills
- Accuracy – data checking and proof reading
- Networking –identify and share good practice
- Information Management – maintain accurate and complete records
Underpinning Knowledge
- REF guidelines, priorities and purpose
- UOAs and internal make-up of UOAs
- External research environment
- Institutional systems
- Key stakeholders
Examples of behaviour:
- Accurately collect and store data on research applications, awards, income, PGRs, outputs, impact, partners, collaborators and stakeholders
- Monitor and review the effectiveness of working relationships
- Monitor progress and provide regular updates
- Become an authority on REF requirements and field any queries by academic staff, seeking answers where necessary
Purpose:
- Plan and oversee local / institutional preparation for the REF
- Prepare initial UoA submissions for consideration by senior management
- Raise institutional awareness of REF and the guidelines and ensure compliance
Activity:
- Evaluate previous research assessments to identify ways of improving process
- Advise senior management on policies, processes and requirements for the REF
- Devise systems to collect data on research outputs, income and impact
- Brief colleagues and ensure that they are trained to deal with REF requirements
- Share knowledge and expertise from current panel/sub-panel members
- Manage ‘mock’ panel review with expert panel members
- Liaise with Funding Councils
- Ensure fit for purpose research management systems are in place
Core Skills
- Analytical – analyse REF results and identify improvement strategies
- Interpersonal – liaise with panel members, promoting good practice
- Communication – write reports and provide tailored briefings
- Training and Development – event management, succession planning
- Networking –identify and share good practice
Underpinning Knowledge
- REF guidelines
- REF priorities and purpose
- External research environment and REF objectives
- Institutional champions
- Institutional systems
Examples of behaviour:
- Facilitate REF training and development sessions for administrative and academic colleagues
- Develop robust succession plans to ensure optimal performance in case of key staff relinquishing their REF role
- Identify pertinent information for different audiences and disseminate effectively
- Liaise with external bodies, suppliers and other HE bodies
- Identify examples of good practice and share across the institution
Purpose:
- Devise strategies to promote research excellence and support
- Plan and oversee institutional preparation for the REF, including data gathering
- Gather and share knowledge, expertise and best practice to help colleagues prepare for the REF
Activity:
- Lead long-term research assessment strategy
- Evaluate previous REF results to identify ways of improving institutional performance
- Work with institutional systems administration teams to ensure they are equipped to support optimal REF achievements (e.g., HR, Estates, Student Administration)
- Form advisory groups and committees for direction and decision-making
- Share good practice with colleagues within and beyond the institution
- Contribute to consultations and policy developments
Core Skills
- IT – cost/benefit modelling skills
- Analytical – identify ways of improving REF performance
- Communication – internally and externally, drafting policy and guidance notes, etc.
- Interpersonal – build relationships with key stakeholders in UoAs
- Influencing – promote the REF, contributing to consultations
Underpinning Knowledge
- REF guidelines
- REF priorities and purpose
- External research environment
- Institutional systems, policies and procedures
- Dual funding system
Examples of behaviour:
- Create and articulate a vision for the institutional REF goals and disseminate widely
- Provide clarity about responsibilities and accountabilities of different university functions, upholding these continuously
- Develop cross-service collaboration and being willing to share resources
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)
- Champion a paper-free meeting culture and take measures to simplify this process for colleagues
- 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 Ethics and Governance Framework for research generally and relevant subject area (e.g., UKRIO Code of Practice, EU Code of Ethics for Socio-Economic Research, ESRC Framework for Research Ethics)
- Relevant legislation (e.g. Human Tissues Act, Mental Capacity Act, Equality Act, etc.)
- Institutional and external procedures for research ethics and governance
- Course design principles
Examples of behaviour:
- Accept and demonstrating personal responsibility for compliance areas
- Act as a local source of knowledge on internal and external ethics guidelines
- Develop and embed a simple and user-friendly method of sharing meeting materials that ensures minimal (preferably zero) printing
- 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 their smooth 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
- Embed climate conscious meetings, in which energy, transport, and printing requirements are considered and minimised
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)
- 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
- Adopt a broad institutional stance on ‘ethics’ that does not stifle creativity and encourages colleagues to consider a wide range of factors
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 breaches of research governance through relevant internal and external channels
Core Skills
- Influencing – ensure the best outcome for the institution
- Networking – identify and share good practice
Underpinning Knowledge
- Research Governance Framework for Health and Social Care, CTA, Animals
- Relevant legislation (e.g. Human Tissues Act, Mental Capacity Act, etc.)
- Institutional and wider sector procedures for research ethics and governance
- 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
Additional Resources
