Researchers have a responsibility to read the terms and conditions of funders before the University accepts a grant or contract and to ensure they understand the implications of those terms for the undertaking of such research and that they agree to, and accept, these terms as the basis for that research. Researchers must ensure that the terms and conditions of any grant or contract related to the research are adhered to throughout the project lifecycle.
University Financial Regulations
Researchers must adhere to all Financial Regulations and Procedures, particularly Financial Procedure 14, and including those related to purchasing or procurement of materials, equipment or other resources for research and the hiring of staff for research projects. Researchers must use and manage finances relating to research projects in line with the terms and conditions of the funding and report any concerns or irregularities as soon as they become aware of them.
Monitoring and Audit
Researchers should cooperate with the monitoring and audit of their research projects by applicable bodies and undertake such when required and they should cooperate with any outcomes of the monitoring and audit of their research projects.
Researchers collaborating with commercial or other non-research organisations must have a collaboration agreement signed before any work commences that stipulates key roles, responsibilities, obligations, and rights of all parties, and how the research will be jointly managed. The agreement should clarify ownership of intellectual property, authorship, and specify exemptions to open licensing terms for the use of research material and legally protected databases. The agreement must reflect any funding terms and conditions including conditions for funding transfer between sponsors and collaborators or commercial partners.
Due Diligence
Before agreeing to any collaboration with multinational organisations or researchers outside the UK, researchers should ensure that a due diligence check has been completed to identify risk and ensure national security and compliance with legal requirements and financial agreements in the UK and all relevant countries.
Legal Regulations
Researchers should be aware and ensure their research complies with the following legal regulations.
All research work carried out by the University must comply with the Charities Act and further the charitable purpose of the University: 'the advancement of learning and knowledge by teaching and research and the provision of University education'. Research contracts will only be authorised if the research is for the public benefit with any private benefit being incidental. For private benefit to be incidental the research must be necessary (either in furthering the University’s Objects or as a consequence of doing so), reasonable and in the interests of the University.
Researchers should consider if research projects and the associated terms and conditions of research agreements with third parties comply with the Charities Act.
Intellectual property includes but is not limited to research data and other findings of research, ideas, information, designs, patents, trademarks, processes, software, hardware, apparatus, equipment, substances and materials, and artistic and literary works, including academic and scientific publications.
Researchers should work with R&IS to ensure that any contracts or agreements relating to research include provision for ownership and use of intellectual property and should try to anticipate any issues relating to intellectual property at the project planning stage or at the earliest opportunity before dissemination and agree jointly in advance how they might be addressed. Researchers should not give prior disclosure of research or the findings of research when this might invalidate any commercial property rights that could result. Details of regulatory requirements are in the University Financial Regulation Financial Procedure 13 and also Regulation 28 of the University Calendar.
Researchers intending to copyright research material or output must comply with relevant legislation and guidelines, and ensure that these do not conflict with open access terms or other conditions of funding agreements.
UK export controls are designed to restrict the export and communication of sensitive technology or strategic goods, with the aim of preventing weapons of mass destruction (WMD) proliferation and to counter international threats such as terrorism. UK export controls apply to universities specifically with regards to the transfer of technology, material, equipment or know-how from a University to an overseas organisation.
Researchers are responsible for ensuring that their research complies with the UK Export Control Legislation and should seek support from R&IS with regards to any research that may be subject to export control restrictions or require an export licence.
The National Security and Investment (NSI) Act grants the government the right to scrutinise and intervene in certain acquisitions made by anyone, including universities, businesses, and investors, that could harm the UK’s national security. The rules apply to acquisitions involving qualifying entities and assets, including British as well as foreign partners.
There are different types of notifications and applications that universities can or must make to the government relating to the NSI Act. Researchers should contact the in R&IS if they think their activities require notification under the NSI Act, who will handle all notifications relating to research activities.
The Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilisation (ABS) provides a transparent legal framework for the effective implementation of the fair and equitable sharing of benefits arising out of the utilization of genetic resources, thereby contributing to the conservation and sustainable use of biodiversity.
Researchers who utilise genetic resources (plants, animals and microbes), including the traditional knowledge associated with those resources, should ensure that these are accessed in accordance with the access and benefit sharing laws and procedures as laid out by the Provider Country.
The Counter-Terrorism and Security Act (2015) provides that ‘specified authorities’ must, when exercising their functions, have due regard to the need to prevent people from being drawn into terrorism. The ‘Prevent Duty’ guidance for Higher Education Institutions states that clear policies and procedures should be in place for students and staff working on sensitive or extremism-related research and that Universities should identify and address issues where sensitive online materials are accessed.
Therefore, researchers must answer the following PI Certifications questions prior to a grant or contract being awarded.
Is the research commissioned by the military;
Is the research commissioned under an EU security call;
Does the research involve the acquisition of security clearances;
Does the research concern terrorist or extreme groups.
If Yes to any question, a referral will be made to the relevant Warwick research ethics committee for review and/or escalation. Any individual wishing to view, create, transmit or store security sensitive material must seek prior permission.
The University is committed to transparency, accountability, promoting good information governance, and compliance with both the GDPR and the Data Protection Act 2018, protecting the privacy rights of individuals who entrust the University with their personal data.
Researchers must ensure that any processing of personal data complies with GDPR guidelines.
All research undertaken must fulfil the requirements of health and safety legislation and good practice. Researchers will face a range of potential risks to their safety when conducting certain types of research, for example, social research in a conflict zone. Appropriate and thorough risk assessment must be undertaken when research is to be conducted in potentially hazardous conditions, involves potentially harmful material (whether harmful physically or psychologically) or might cause harm to the environment. Such issues need to be considered in the design and conduct of research and appropriate steps put in place and procedures adopted to remove, reduce or manage the risks effectively.
Researchers must consult all appropriate Health and Safety guidelines and procedures relevant to their area of research before commencing work. Particular care should be taken when conducting fieldwork off campus, in private settings or in unfamiliar environments, or when planning work overseas.
