The University of Aberdeen Research Governance Handbook provides a framework for research ethics and governance at the University and applies to all academic disciplines.

It sets out the standards, principles and expectations for research ethics and governance which underpin the University’s approach to research, and provides an overview of the institutional structures in place for ensuring that the University meets the highest standards in its research ethics and governance arrangements.

It outlines the University’s approach to research ethics and provides information on the types of research that require ethical approval and how to obtain that approval. It details the University’s policy and guidelines for good research conduct, and its position on unacceptable research conduct, including the processes in place for reporting and investigating allegations of unacceptable research conduct.

It also provides information on the governance processes in place to support applications for research funding (such as peer review processes and registration of research projects), and details of the University policies for storing research records and research data management.

• Research Governance Handbook

The Handbook is reviewed regularly to ensure that our standards and processes comply with those promoted by the UK Research Integrity Office.

The University Research Committee is responsible for driving and supporting the University's overall research objectives.

Some types of research will need ethical approval before it can begin. Access further guidance on the University processes for obtaining ethical approval of research here.

Research involving local authority facilities and services (including service users) e.g. schools (staff and pupils), transport services, environmental services, or analysis of local authority data may require external ethical review by the appropriate local authority.

Further guidance on the external ethical approval processes to be followed for research activity involving Aberdeen City Council, Aberdeenshire Council, Angus Council and The Highland Council can be obtained here.

Please note that ethical approval for research activity must first be obtained from the appropriate internal University ethics approval process prior to the submission of an external ethics application.

Whereas the term 'safeguarding' has previously focused on the consideration of potential harms that could arise when working with children or vulnerable adults, safeguarding in relation to research activities has an extended meaning.

Safeguarding (in terms of research activities) means the measures taken to ensure that all individuals that are employed on, participate in or otherwise come into contact with the research, do not come to harm as a result of their involvement.  This could include e.g.

• staff and students
• research collaborators
• contractors
• community volunteers
• research participants
• members of communities in which the research will be conducted

The University of Aberdeen has published a Safeguarding in Research and Innovation - Code of Practice which provides guidance on safeguarding issues arising from research activities, and explains the actions and mitigations that must be put in place by Principal Investigators for research projects (and the University) to ensure that researchers can comply with the guidance and are competent in identifying and addressing any safeguarding issues that may arise.

There are two parts to the Code of Practice: the first deals with the identification and risk management of safeguarding isues; the second explains the process for dealing with any concerns raised in relation to safeguarding in research activities.

Where the nature of the research indicates that safeguarding issues may arise, the Principal Investigator is required to prepare a safeguarding plan - please refer to the Safeguarding in Research and Innovation Plan - template for further information.  Safeguarding plans should be prepared and submitted as part of an application for ethical approval of research if your proposed research activity involves human participants as the 'subjects' of your research. 

For further guidance on safeguarding issues in research, please refer to the Safeguarding - Overview or contact the Research Policy & Strategy team.

The University is committed to complying with the Prevent duty  under the Counter Terrorism & Security Act 2015 and the UK Government’s associated Prevent strategy. Guidance for researchers on compliance with the requirements of the act is available. See the Guidance for working on terrorism related material.

Further information on the University's policy and procedures relating to the Prevent duty is available here. 

The University of Aberdeen believes that the establishment of links between its employees and outside bodies - whether government departments, commerce, industry or others - is not only in the public interest but also benefits the University and the individuals concerned.  However it is possible that such links may give rise to potential conflicts of interest.

The following Code of Practice - Conflicts of Interest in Research and Commercialisation is provided to help individuals assess whether or not proposed activities could cause a conflict of interest and to outline the procedure for disclosure of any perceived or potential conflict.

Trusted Research

With more than half of UK research being a product of international partnerships, the UK Government's Trusted Research Guidance aims to support the integrity of our global research collaborations, which are vial to the continued success of the UK's research and innovation sector.

It is particularly relevant to researchers in STEM subjects, dual-use technologies, emerging technologies and commercially sensitive research areas.  Please consult the UKRI Trusted Research FAQs for further guidance.

The advice has been produced in consultation with the research and university community and is designed to help the UK's world-leading research and innovation sector get the most out of international scientific collaboration whilst protecting intellectual property, sensitive research and personal information.

The UKRI Trusted Research & Innovation Principles intend to:

• Outline the potential risks to UK research and innovation
• Help researchers, UK universities and industry partners to have confidence in international collaboratio and make informed decisions around those potential risks
• Explain how to protect research and staff from potential theft, misuse or exploitation

Individuals, with the support of their Schools, are encouraged to complete the University of Aberdeen Trusted Research Assessment Proforma in order to gauge the level of risk involved with their international collaborations, using the NPSA Trusted Research for Academia as support.  This should also be referenced in the Worktribe Risk Assessment if this relates to a research funding application.

National Security and Investment Act (NSIA) 2021

The National Security and Investment Act (NSIA) came into force on 4 January 2022. NSIA gives government the authority to call in an acquisition for assessment and scrutinise certain dealings in shares and intellectual property (IP) if it reasonably suspects these collaborations give risk to a risk to national security.  It is possible to call in and assess acquisitions since 12 November 2020 and applies whether the acquisition has been completed or is still in progress.

NSI Act Guidance for Higher Education

Subject to certain criteria, you are legally required to tell the government about acquisitions of certain entities in 17 sensitive areas of the economy (called 'notifiable acquisitions').  If you are entering into activity in these areas, it could put you in scope of the NSIA and you may be legally required to tell the government about it (know as a 'mandatory notification').  This guidance tells you what the activities are:

Detailed description of 17 economic areas and their Notifiable Acquisitions

Notifications can take three forms:

• mandatory notifications
• voluntary notifications
• retrospective validations

An initial review period of 30 working days, followed by an assessment period of 45 working days will apply before the results are announced; resulting in:

• the acquisition going ahead
• a full national security assessment
• request for further information, or
• an in-person 'attendance notice' meeting being requested.

Researchers, with the support of their Schools, are advised to read the NSIA guidance and carry out the CPNI Trusted Research Checklist for Evaluating Research Proposals in order to gauge whether their collaboration will fall within this legislation and may need to be put forward for assessment.  Colleagues in the University's Research and Innovation Directorate have been briefed on the NSIA legislation and can advise on collaborations, studentships, consultancy and commercialisation projects.

Please also refer to  The National Security and Investment Act: guidance for universities (universitiesuk.ac.uk).

For those carrying out research in fields that could be used for military purposes, please refer to Export controls applying to academic research - GOV.UK (www.gov.uk)

The University is committed to ensuring that all researchers (staff and students) receive appropriate training in relation to research ethics and governance as part of its commitment towards staff development and to achieving the highest standards of research governance.

The University delivers a generic online training programme on research ethics and governance for all research staff and students, developed in consultation with the University's Ethics Committees/Review Boards.  This training is currently mandatory for all postgraduate research students, and became mandatory for all staff applicants for ethical approval of research (including members of their research team) as of 01 February 2022.  The training must be completed prior to the submission of an application for ethical approval of research.  The course includes training on the key generic issues which underpin research ethics and governance and is applicable to all disciplines.  Repeat training is required every five years.

Note: SMMSN staff who have already completed the Good Clinical Practice/Good Research Practice (GCP/GRP) NHS training will be exempt from this requirement, as will any staff who have completed similar training at a previous institution within the last five years (and who can provide supporting evidence of this).

The online training can be accessed through MyAberdeen:  www.abdn.ac.uk/myaberdeen (log in required)

Research ethics and governance training is also available locally across the institution, where there is a requirement for compliance with external regulatory bodies or legislation (such as the Animals (Scientific Procedures) Act 1986; amended by the Animals (Scientific Procedures) Act 1986 Amendment Regulations 2012/3039). This does not affect any specific training requirements by the NHS or home office regulations.  Staff who undergo ethics training as part of their clinical training or who have to complete research ethics training provided by other parties as part of their professional development are not required to complete the institutional ethics training.

Information on local training requirements should be sought from the appropriate School, or via line management.

For more information, please contact Mrs Dawn Foster, dawn.foster@abdn.ac.uk , or for PGR students, pgrs-training@abdn.ac.uk .

The University is committed to ensuring that all researchers (staff and students) receive the appropriate training in relation to research integrity as part of its commitment towards staff development and to achieving the highest standards of research governance.

The University delivers a mandatory online training programme on research integrity for all research staff and students, and also staff involved in supporting research activities.    The training programme was developed by the University of Dundee and has been licensed for use by the University of Aberdeen with the approval of the University's Research Policy Committee. The programme includes training on the key generic issues which underpin research integrity and is applicable to staff at all stages of their career and to all disciplines.  Repeat training is required every five years.

The online training can be accessed through MyAberdeen:  www.abdn.ac.uk/myaberdeen (log in required)

For more information, contact Mrs Dawn Foster, dawn.foster@abdn.ac.uk, or for PGR students, pgrs-training @abdn.ac.uk .

UK Research Integrity Office (UKRIO)

The University of Aberdeen has been a subscriber to the UK Research Integrity Office since 2017.

What is the UK Research Integrity Office?

The UK Research Integrity Office is an independent advisory body, offering support to the public, researchers and organisations to further good practice in research.  A registered charity, it was created in response to longstanding and growing concerns about the reliability of research.

UKRIO is the UK's most experienced research integrity organisation.  Since 2006, it has provided independent and expert support across all disciplines of research, from the arts and humanities to the life sciences.  It works to enhance good research practice, address mistakes, questionable practices and fraud, and improve the culture and systems of UK research.

What is research integrity?

Research integrity is another name for 'good research practice'.  It's the conduct of research in ways that promote trust and confidences in all aspects of the research process.

Research integrity covers all research and the whole lifecycle, from the initial idea and design of the project through the conduct of the research and its dissemination.  It also covers making sure that environments and systems for research safeguard and enhance good research practice, rather than hinder it - often described as 'research culture'.

See here for more about research integrity.

What can UKRIO offer researchers?

Education  - guidance and support through publications on research practice, training activities and a comprehensive events programme.

• Publications
• Events
• YouTube

Sharing best practice - clear and honest development for the research community through facilitated discussions about key issues, informing national and international initiatives, and working to improve research culture.

• Resources
• UKRIO Twitter

Expert guidance - confidential and expert advice and guidance, as a proactive service for both insitutitions and individual researchers, as well as in response to requests for assistance.

• Get confidential advice on research integrity and research culture issues for example on achieving good practice, publication ethics, research misconduct, research ethics, conflicts of interest and improving research culture.

All stakeholders in research, including all academic staff, technical support staff, administrative support staff and students, have responsibility for reporting any allegation of unacceptable research conduct. Any formal allegation must be made in writing to the University Secretary.

Where a member of staff would like to discuss any allegation of unacceptable research conduct prior to making a formal complaint, they should, in the first instance, contact their line manager. If the staff member would initially be more comfortable discussing the issue with another party, they should contact one of the following:

• The Chair of the appropriate University Research Ethics Review Board/Committee
• The appropriate Dean of Research
• The Vice Principal for Research and Knowledge Exchange

The University has a Policy and Procedure on Public Interest Disclosure (Whistleblowing) relating to the treatment of whistleblowers under the Public Interest Disclosure Act 1998. This includes a clear statement that unacceptable research conduct is taken seriously by the University and that any member of staff raising bona fide concerns in good faith can do so confidentially, and without fear of suffering any detriment, but equally disciplinary procedures are in place to deal with malicious allegations. The Policy and Procedure on Public Interest Disclosure (Whistleblowing) also includes a clear indication of the procedures in which such bona fide concerns by staff may be brought to the attention of a designated individual within the institution.

For further information on the University’s Policy and Guidelines on Good Research Conduct, and its Statement on Handling Allegations of Unacceptable Research Conduct, please refer to Section 4 of the institutional Research Governance Handbook.

Internal Documents

• University Peer Review Policy Framework 
• Whistleblowing, Policy and Procedure on Public Interest Disclosure
• University Policy on Data Protection 
• University Guidelines on Keeping of Research Records
• University’s Retention Schedules  
• UK General Data Protection Regulation (GDPR)

External Documents

• Data Protection Act 2018
• The European Code of Conduct for Research Integrity
• The Universities UK (UUK) Concordat to Support Research Integrity
• UKRI Policy on the Governance of Good Research Conduct
• UK Research Integrity Office Code of Practice for Research
• UKRIO Recommended Checklist for Researchers

Contemporary open access (OA) dates back to the 1990s although the idea of open access to scholarly journal articles can trace its origins back a further 50 years or so.

The contemporary open access movement strives to make research publications (but especially peer-reviewed journal articles and conference papers) available globally, for free, to anyone, at their point of access. This is made possible by the increasing ubiquity of computer and telecommunications technologies. The unacceptable inflationary costs of traditional print models of scholarly journal publishing have given tremendous impetus to alternative contemporary open access publishing modes in recent years.

An open access journal article or conference paper can:

• be viewed for free by anyone, including academics, other scholars, the general public etc.
• normally be re-used in more ways than a traditionally published article.

University of Aberdeen Open Access Fund

The University receives a block grant to support open access publishing of UKRI funded research; the University also receives money from the Wellcome Trust to support open access publishing arising from Wellcome Trust funded research grants.

Together these block grants constitute the University of Aberdeen Open Access Fund. 

The University encourages use of the Green route for OA publishing. However, if your research is funded by either of these grant awarding bodies and needs to be published using the Gold route for open access (i.e. immediate open access availability on publication) you may be able to obtain funding for your APCs. Please see How to Make Your Research Open Access for more information.

The University benefits from a number of publisher deals which can be used be used where Gold open access is needed. These schemes are listed here - please note that there is no requirement for your research output to be funded by external funders to take advantage of these deals.

What should Researchers do?

• Before submission: check whether the journal you plan to submit your article to is REF compliant: go to Sherpa/Romeo or e-mail: openaccess@abdn.ac.uk
• On acceptance: e-mail confirmation e-mail or letter, together with the final accepted version of the output to: paperaccepted@abdn.ac.uk
• On publication: complete bibliographic detail in Pure or notify paperaccepted@abdn.ac.uk

The REF open access policy formally applies to papers accepted after 1 April 2016.

Any questions? Visit our Help and Support Page or E-mail openaccess@abdn.ac.uk 

Data management impacts anybody engaged in the handling of information or data, on both a professional and personal level. Good practice ensures that these information and data are stored and backed up securely, can be located easily whenever they are required by the user and are preserved for the historical record.

Management of research data in particular is important for the dissemination of knowledge and the advancement of science and academia; this is reflected in the open access agenda advanced by the UK Government, funding councils, and institutions such as the Royal Society and the Finch Group.

Annual Statement to Court on activities undertaken to strengthen the university's research integrity arrangements.

• Annual Statement 2022/2023
• Annual Statement 2021/2022
• Annual Statement 2020/2021

The University's code of practice on the use of animals in research is available here.