Research governance policy

1. Introduction

1.1 Good Research Governance ensures that all research activity within the University of West London (the University) meets the highest attainable standards of practice and procedure. Such standards conform to principles laid down by:  

• Disciplinary bodies;
• International frameworks of law and human rights;
• Protocols of Government agencies and Research Councils
• Other statutory requirements.  

1.2 The Higher Education and Research Act 2017 (HERA) established the UK Research and Innovation (UKRI) which acts as an umbrella body for the research councils and Research England. The University is accountable to the UKRI for any research funded by any of its constituent bodies and is required to maintain and ensure: 

• Clear research governance policies
• Procedures ensuring ethical conduct of all research
• Informed guidance on research integrity.  

1.3 It should be noted that the University only has access to UKRI funding through its registration with the Office for Students (OfS). The UKRI will rely on the OfS’s regulation of the University and be dependent on the judgements and decisions of the OfS about the University  

1.4 This Research Governance Policy has been developed to ensure that best practice is promoted in research and that this is applied to all students and staff carrying research under the aegis of the University:  The objectives of the Policy are to: 

• Ensure clarity in relation to research governance across the institution
• Ensure that all research activities are performed to the highest standards
• Establish excellent practice within the University.  

1.5 Through its research activity, the University seeks to promote: 

• Generation, advancement, preservation and dissemination of knowledge
• The highest attainable quality in the education of undergraduate and graduate students, and of postdoctoral fellows
• Public engagement in research and the advancement of the public interest. The University is a signatory to the NCCP Manifesto on Public Engagement

1.6 This Policy sets out how research is governed to achieve the above objectives. It should be read in conjunction with the Research Ethics Code of Practice and the Research Integrity Code of Practice, by which all research activity within the University is guided.

2. Definition of research

2.1 The University defines ‘research’ as: ‘the creation of new knowledge and/or the use of existing knowledge in new ways that generate new concepts, insights, methodologies or understandings’.

2.2 It also supports the Research Excellence Framework more specific definition of ‘research’ (as defined at https://www.ref.ac.uk/):  

1. ‘For the purposes of the REF, research is defined as a process of investigation leading to new insights, effectively shared.
2. It includes work of direct relevance to the needs of commerce, industry, culture, society, and to the public and voluntary sectors; scholarship; the invention and generation of ideas, images, performances, 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 routine analysis of materials, components and processes such as for the maintenance of national standards, as distinct from the development of new analytical techniques. It also excludes the development of teaching materials that do not embody original research.
3. It includes research that is published, disseminated or made publicly available in the form of assessable research outputs, and confidential reports.’  

2.3 Members of the University are expected to refer to the above definitions when determining whether a project should be defined as research for ethical and governance-related purposes. In some cases, the work will not conform to the above research definitions nor to the ethical requirements addressed by this document but will however be subject to the terms of the University’s Research Integrity Code of Practice. Examples include: 

• Undergraduate research projects when they do not involve human participants or the use of personal data;
• Some postgraduate or undergraduate projects, such as literature reviews;
• ‘Desktop’ research.  

3. Ethics commitment  

3.1 The University will operate within the framework of the Seven Guiding Principles of Public Life: integrity, objectivity, openness, selflessness, accountability, honesty and leadership. It will keep abreast of developments in respect of compliance and ethical integrity in research.  

3.2 The University attaches crucial importance to supporting, promoting and developing research that complies with the highest standards of ethical and academic conduct. The University acknowledges its responsibility to ensure an environment in which all research meets such standards.  

3.3 Research collaborations and sources of funding may raise ethical concerns regardless of whether or not the research in question involves human subjects. Therefore, all researchers should refer as a matter of course to this Research Governance Policy, to the University’s Research Ethics Code of Practice, and the Research Integrity Code of Practice.  

3.4 Ethical procedures are vital for the following purposes: 

• To safeguard, promote and enhance the quality of research;
• To protect the rights, safety, and wellbeing of research participants or subjects;
• To protect the right of academic researchers to carry out legitimate investigation and to ensure their safety and wellbeing when conducting research;
• To uphold, safeguard and enhance the reputation of the University for the research which it conducts and sponsors;
• To guarantee appropriate indemnity, keeping to an absolute minimum the incidence of claims for negligence and/or misconduct against University staff members and students or against their external collaborators in research.  

3.5 The University’s procedures for ethical approval apply to every aspect of human participation in research, whether direct or indirect or where the researcher or respondents may be exposed to harm. They also cover research using security sensitive materials. They do not replace procedures and advice relating to: 

• Data Protection
• Health and Safety
• Insurance cover
• Contract authorisation by Government, funding bodies and the University’s associated establishments 
• Wider legal frameworks.

3.6 In addition to the following ethical procedures, researchers are required to follow the requirements of the University’s Data Protection Policy which is compliant with the General Data Protection Regulations and the Data Protection Act 2018. To aid researchers, guidance has been drawn up on the processing and retention of research data  

3.7 In addition to internal ethical endorsement by the University, ethical approval for any research proposal must always be obtained from the relevant body or organisation whenever any collaborating institution requires such approval.  

3.8 External ethical clearances are essential wherever there is an intention to conduct random controlled clinical trials, or a need for access to patients’ medical records.  

3.9 The University currently has no direct research interests involving animals on any of its premises. In the event that such a research activity were encouraged within the University research portfolio, Governance for such research would be maintained and monitored by the law, and also by the Home Office, under the Animals Scientific Procedures Act (1986). 

4. The role of University Committees  

4.1 The Academic Board  

4.1.1 The Academic Board is the overall body responsible for research governance within the University (subject to oversight by the Board of Governors). However, it delegates detailed scrutiny of research governance and the furtherance of research strategy, including ethical approval as set out below.  

4.2 The University Research, Scholarship and Enterprise Committee  

4.2.1 The purpose and remit of the University Research, Scholarship and Enterprise Committee is as follows:

• Monitoring, evaluating and enhancing research, scholarship and enterprise activity across the University;
• Ensuring that all research provision conforms to and fully satisfies the standards set by the relevant agencies, and that the resource available is used effectively.  

4.2.2 The terms of reference of URSEC are:  

1. To develop and monitor research, scholarship and knowledge exchange strategy and policies and to advise and make appropriate recommendations to Academic Board.
2. To monitor the development of an appropriate research environment within Schools which encourages research and scholarship and underpins teaching and learning.
3. To advise the Academic Board/Vice-Chancellor’s Executive regarding infrastructure needs in relation to research, scholarship and knowledge exchange.
4. To monitor the outcomes and impact of research and scholarly activity and its dissemination.
5. To monitor the outcomes and impact of knowledge exchange activity, including outcomes of monitoring activities by funding or regulatory bodies.
6. To have oversight of the preparation of submissions to external assessment of research and PGR research activity, such as the Research Excellence Framework.
7. To monitor the planning and co-ordination of the University’s external income generated by research and/or enterprise and knowledge exchange including research/enterprise bids.
8. To approve new research centres and formal research groups and to evaluate their performance.
9. To monitor enterprise activity and income.
10. Through the Research Degrees Sub-Committee to monitor, evaluate and enhance the quality of the PG Research provision, ensuring that it fully satisfies the standards set by external agencies, including QAA, HEFCE and the Research Councils.
11. To receive and consider reports from the University Research Degrees Sub- Committee.
12. To advise on amendments to the Research Degrees Regulations as required.
13. To monitor and evaluate the effectiveness of the University’s policies and procedures on research ethics and to receive and consider reports from the University Research Ethics Committee.
14. To consider and respond to issues raised by School Boards.  

4.3 The University Research Degree Sub-Committee  

4.3.1 The University Research Degrees Sub-Committee (URDSC), a sub-committee of the University Research, Scholarship and Enterprise Committee, has the delegated authority in matters relating to the management and administration of research degrees.  

4.3.2 The terms of reference of the URDSC are:  

1. To monitor, evaluate and enhance the quality of the postgraduate research provision, ensuring that it fully satisfies the standards set down by external agencies, including QAA, HEFCE and the Research Councils.
2. To oversee the entire doctoral path of postgraduate research students, from the point of enrolment through to completion.
3. To approve applications to register for MPhil/PhD, Professional Doctorates and the PhD by Published Work.
4. To approve supervision teams including the appointment of external supervisors and any subsequent changes to supervision teams.
5. To monitor and evaluate the overall progress and performance of postgraduate research degree students through consideration of annual reports.
6. To approve applications for mitigating circumstances, suspension of registration and extensions.
7. To approve applications to transfer from MPhil to PhD.
8. To approve the appointment of external examiners for postgraduate research candidates for a higher degree.
9. To ratify examiners’ recommendations and approve the award of higher degrees to individuals who have satisfied the examiners with regard to the examination requirements.
10. To ensure provision of appropriate training and continued professional development for research supervisors and examiners.
11. To recommend amendments to the postgraduate research regulatory frameworks and approve associated procedural and guidance documents.  

4.3.2 The Committee is expected to liaise as necessary with the Academic Quality and Standards Committee with regard to the occasional revision of the postgraduate research regulatory frameworks to ensure consistency with the postgraduate taught regulatory frameworks.  

4.4 The University Research Ethics Committee  

4.4.1 The University Research Ethics committee has oversight of all ethical matters relating to research at the University. It monitors compliance with the Research Ethics Governance Policy and the Research Ethics Code of Practice and review their efficiency and effectiveness.  

4.4.2 The Terms of Reference of the Committee are: 

• To develop and oversee the University’s Research Ethics Governance Policy and Guidelines.
• To develop and oversee the University’s Research Governance framework.
• On behalf of Academic Board to oversee and monitor the implementation of the Research Ethics Governance Policy in relation to: o Staff and students’ research projects involving human participation and other potential risk factors; o Staff and students’ research projects which may cause harm to the researcher or pose other risks, including access to security sensitive material; o Supporting the University’s risk management procedures.
• To consider metrics derived from ethics risk assessments submitted by Schools/Colleges and Centres of the University. 
• To monitor and review the effectiveness of the risk-assessment process.
• To provide the framework to ensure applications for ethical clearance is robust and straight-forward.
• To provide advice to students, staff and Schools on methodological and ethical issues in the conduct of research.
• To oversee training of staff on research ethics processes.
• To consider applications referred to this Committee by exception concerning any proposals involving potentially high-risk activity that a School/College Research Ethics Panel is unable to adjudicate.

5. University Research and Enterprise Operations Unit

5.1 The University Research Office is part of the Research and Enterprise Operations unit. Its objective is to support funded research activity. It can provide advice and signposting on policies and procedures, insurance, indemnity cover, contract advice,  legal advice, etc., as needed. In all cases where there is a lack of clarity regarding interpretation of policies, procedures and codes of practice, researchers should contact the Research Office for advice.  

5.2 All University funded research projects should be logged with the Research Office and basic details of the project provided for the University’s research database.  

6. The Graduate School

6.1 The Graduate School has a cross-University role in providing support for research and scholarship. It oversees the monitoring and examination of research students. It implements policy developed by the University Research, Scholarship and Enterprise Committee and the University Research Degrees Sub-Committee. It aims to ensure that the University provides a consistent quality of environment and support for all research students, in addition to the essential support  provided by individual supervisors, subject areas, Schools and Colleges.  

7. Related policies  

7.1 This Policy should be used with reference to the following University policies and statements:

• i. Intellectual Property Policy (under review)
• ii. Data Protection Policy
• iii. Health and Safety Policy
• iv. Equality and Diversity Statement
• v. Code of Ethics Policy
• vi. Procedure to Investigate Allegations of Research Misconduct  

7.2 Researchers should also refer to and be guided by: 

• The University’s Research Ethics Code of Practice;
• The University’s Research Integrity Code of Practice;
• The University’s Intellectual Property Policy;
• Specific codes of practice laid down within the applicable discipline, profession or subject area;
• All relevant external legislation
• Where relevant the UUK guidance on Security Sensitive information

8. Contacts and further information  

8.1 Research and Enterprise Operations You can contact Research and Enterprise Operations staff by email: research@uwl.ac.uk  Or by telephone: 020 8231 2255  Postal address PE.GF.007 University of West London St. Mary’s Road London W5 5AF  

8.2 UKRI UK Research and Innovation works in partnership with universities, research organisations, businesses, charities, and government to create the best possible environment for research and innovation to flourish and to benefit everyone through knowledge, talent and ideas. It aims to maximise the contribution of each of its component parts, working individually and collectively. Operating across the whole of the UK with a combined budget of more than £6 billion, UK Research and Innovation brings together the seven Research Councils, Innovate UK and a new organisation, Research England. 

8.3 Research Council Terms and Conditions Information for award holders and research organisations.

8.4 ESRC Framework for Research Ethics The framework for research ethics helps to consider ethics issues during the complete lifecycle of a project and includes information and guidelines on good research conduct and governance. 

8.5 NHS Health Research Authority  The HRA was established in December 2011 to protect and promote the interests of patients and the public in health research, and to streamline the regulation of research.