Code of practice
UK Research and Innovation (UKRI) has adopted a code of practice for all those who assist in our work. This embraces the seven principles of public life drawn up by the Nolan Committee and endorsed by the UK Parliament. These principles provide guidance on the standards expected from those who work as a public office-holder.
While panel meetings should be a forum for robust discussion about the specific criteria of the funding opportunity, panel members should demonstrate respect and courtesy with all colleagues they interact with, and professional and respectful language should be used at all times.
We are committed to ensuring that assessment and decision making is fair, robust, transparent and credible. We are also committed to raising awareness of, and taking steps to remove the impact of unintentional bias in our systems, processes, behaviours and culture.
We support the San Francisco declaration on research assessment (DORA). Panellists are required to follow our principles and processes.
Read more information on the UKRI principles of assessment and decision-making. Check the funding opportunity for specific details.
Those who accept an invitation to become a panellist should perform their duties within the requested timescale. Where unforeseen delays occur, panellists are expected to inform the panel contact as soon as possible.
Confidentiality
Applications are submitted to UKRI in confidence and will contain confidential information and personal data belonging to the core team (and others named in the application). Panellists must treat all information relating to applications in confidence, including reviews and applicant responses used in assessment. This information must only be used for the purpose of assessing the application. All personal data must be handled in line with the current UK Data Protection Act 2018 and UK General Data Protection Regulations (GDPR).
We do not encourage taking any copies of information from the system but recognise this may be required in some circumstances. Any copies must be held securely and destroyed after the assessment has been completed. Reviewers must report any loss of information (including hard copies or theft of devices) to incident@ukri.org.
Panellists must not share any information, knowledge or data obtained from application and assessment documentation with other individuals or third parties under any circumstances. The integrity of assessment is dependent on the selflessness of those involved. They must treat all information relating to the consideration of applications and other assessment materials as strictly confidential and seen only as part of the assessment process.
UKRI expects all parties to respect the roles of all those involved in the assessment process. By accepting these protocols, panellists are legally bound to keep the information contained in the applications in strict confidence and in safe custody. If you feel unable to participate, you should let the panel contact know as soon as possible so that we can find alternative panellists.
Freedom of Information Act 2000 (FOI) and Environmental Information Regulations 2004 (EIR)
UKRI has an obligation to respond to specific requests, including from the general public, made under FOI and EIR and may be required to disclose information. This means that any information held relating to our funding decision-making processes, regardless of format, is subject to disclosure to the public in response to requests. This could include information that you provide to us about the applications that you have assessed. All requests are handled on a case-by-case basis, and exemptions are only applied where appropriate.
Handling approaches from applicants
It is unacceptable for applicants to approach individuals whom they think might have been involved in the assessment of their application. If such a situation does occur, UKRI advises the panellist not to comment about the assessment of application in any way. This includes whether they assessed an application, where an application is placed on a scored list or why their application wasn’t funded. The panellist should inform us so that appropriate action can be taken.
We uphold individuals’ rights under data protection laws and allow them to exercise their rights over the personal data we hold about them. Our privacy notice acknowledges these rights, explains how individuals can exercise them, and where rights are absolute and may depend on the circumstances. All data subjects (including employees, research and innovation funding applicants and others who interact with UKRI) are entitled to make a subject access request to ask us whether we hold any personal data relating to them and, if so, to be given a description and a copy of that personal data. Exemptions may apply in certain circumstances.
Using generative AI in assessment approaches
Panellists are not permitted to use generative AI tools to develop their assessment. Using these tools can potentially compromise the confidentiality of the ideas that applicants have entrusted to UKRI to safeguard.
For more detail see our policy on the use of generative AI
Conflicts of interest
UKRI defines a conflict of interest as a situation in which an individual’s ability to exercise judgement or act in one role is, or could be seen to be, impaired or otherwise influenced by their involvement in another role or relationship.Even a perception of competing interests, impaired judgement or undue influence may be damaging to our reputation.Generally, conflicts might occur if individuals have, for example:
- a direct or indirect financial interest
- non-financial or personal interests
- competing loyalties between an organisation and another person or entity to which they owe a primary duty
The existence of an actual, perceived, or potential conflict of interest does not necessarily imply wrongdoing on anyone’s part. However, any private, personal, or commercial interests which give rise to such a conflict of interest must be recognised, disclosed appropriately and either prevented or properly managed.
Where you have a known conflict of interest, you must declare this to the panel contact. You may not be able to access any assessment information, such as reviewer comments, relating to the application concerned.
Reporting, recording and managing potential conflicts effectively protects us and our staff, and can help to generate public trust and confidence.
We will ensure panellists are not allocated any application for which a conflict of interest has been identified. If you identify a conflict of which we are not aware, or if we have missed a potential conflict of interest, you must communicate this to the panel contact as soon as possible. During a panel meeting, you may be asked to leave the room or virtual meeting for the discussion of applications with identified conflicts and not participate in the scoring of the application.
Safeguarding decision making
UKRI recognises that excellence in research and innovation requires diversity and equality. UKRI seeks to ensure that equality principles are applied to all funding activities, and considers that no one should be excluded from or hindered in a career in research and innovation because of their:
UKRI recognises that excellence in research and innovation requires diversity and equality. We seek to ensure that equality principles are applied to all funding activities, and that no one should be excluded from, or hindered in, a career in research and innovation because of their:
- sex
- ethnic background
- age
- disability
- sexual orientation
- religion or belief
- pregnancy or maternity
- marriage or civil partnership
We know that pressure to make decisions, time pressures, high cognitive load and tiredness all create conditions that introduce the risk of unintentional bias. We ask that you are aware of these risks and safeguard the panel’s recommendation by taking the actions described below:
- assess all applications on the basis of equal terms and objectively assessed merits using the criteria set for each funding opportunity
- make evidence-based decisions only, based on all the information provided in the application
- discuss the applications without the use of emotive language
- question and challenge comments and opinions that are not demonstrably based on evidence
- slow down the speed of your decision making, allowing sufficient time for discussion of each application
- reconsider the reasons for your decisions, recognising that there may be justifications raised after the meeting
- question and challenge cultural stereotypes and bias that arise in the assessment process, as well as being prepared to be challenged
- remember you are unlikely to be fairer and less prejudiced than the average person
You can detect unconscious bias more easily in others than in yourself, so all panel members should feel able to call out bias when they see it.
Research misconduct
Progress in research depends on honesty and the presentation of genuine results. UKRI takes research misconduct, including misrepresentation in applications, very seriously. We expect panellists to let us know about any instances of research misconduct as soon as possible.
Panellists must contact the relevant council to report any instances of research misconduct.
