Research Quality Assurance Manual

On this page you will find a compilation of the activities that form the basis of the university's research quality assurance system. The page is addressed to all employees as well as doctoral students and students who are affected by the quality work.

A higher education institution's quality assurance work includes its quality assurance system as well as the work done towards quality assurance.

Quality assurance system

The quality assurance system is the framework within which we carry out our quality assurance work. The quality assurance system includes both the university’s documented conditions, in the form of its organisation, division of responsibilities, and internal policy documents, as well as the procedures and working methods used to work with both quality assurance and quality development. It also includes those activities through which the organisation identifies the objectives, processes, and resources required to achieve its desired outcomes.

Quality assurance work

Quality assurance work is the work carried out within the framework of the quality assurance system. This includes both quality assurance and quality development, i.e. the work done to ensure that research activities are of high quality, and the work done to develop research activities. Quality assurance work is carried out at all levels within the university and involves the university's staff as well as students and doctoral students. The work includes ongoing peer review as well as strategic work on research activities. Systematic quality work refers to the continuous improvement work carried out according to given processes and routines, which we have chosen to call activities, with the aim of ensuring and developing the quality of all research activities.

This compilation aims to clarify the different activities, the main approach, the person(s) responsible, the primary actors involved, and how the results of the activities are communicated and monitored.

The following are to be specified for each activity:

What is the purpose of the activity?
Who initiates the activity or, where appropriate, who is the decision-maker?
Who is responsible for carrying out the activity?
Who checks/follows up on results?
How are dialogue, activities, and feedback carried out?

Background and purpose

The research plan is the plan for a research group's development work and quality assurance when it comes to systematic quality assurance work. The research plan is to be a tool used by the research team to develop proactively the quality of the research conducted.

The aim of the research plan is to:

Form a work tool for the research group to be able to plan and develop the research.
Provide a basis for compiling developments in the research when following up on research areas.

Areas of responsibility

Follow-up: Research group leader

Implementation: Research group leader

Implementation

The task of a research group leader includes developing a research plan. There is a template available to research group leaders for this purpose.

Researchers who do not belong to a research group can also make use of a research plan to develop their research and assure its quality.

Dialogue, activities, and feedback

The research plan is an internal working document for the research group.

Timetable

A research plan should be drawn up when a research groups is established.

Communication channels

The research plans are seen as the research group's working material.

Main stakeholders

Research group leaders, and research group members.

Background and purpose

The strategy for research and doctoral education is an overall strategy for a research area. The strategy forms a basis for the University board's distribution of internal research grants to the Faculties.

The strategy is based on the research plans of the research groups belonging to the research area.

The strategy is part of the quality assurance work for a research area and is reviewed and revised annually.

The aim of the strategy is to:

Develop a strategy and operational plan for the research area
Provide a basis for systematic and continuous monitoring of research developments
Provide a basis for the local evaluation of research carried out by research areas every six years.

Areas of responsibility

Follow-up: Deans of Faculty

Implementation: Research coordinator/area leader with the assistance of research group leaders

Implementation

Research strategies are designed according to a template that has been formally adopted.

The criteria are:

Research environment
Relevance and impact of research
Collaboration and external engagement
Exchange between education and research
Development and strategy

These criteria are in turn concretised in a template used for self-evaluation of the evaluation unit in the context of local evaluation of research. The same headings as are present in this template should be used in the area’s strategy.

Dialogue, activities, and feedback

Dialogue between the Dean of Faculty, or person appointed by the Dean of Faculty, is taking place with research group leaders to formulate an area strategy.

The Dean of Faculty is responsible for measures for activities and feedback based on the strategy and research plans developed, as well as for ensuring that necessary changes are implemented.

If research plans are attached to strategy documents, a summary outlining the strategy is sufficient. If research plans are not attached, a full strategy needs to be formulated. The research plan should not exceed more than 10 pages, excluding attachments (such as the research plans).

Timetable

Research strategies are to be submitted to the Vice-Chancellor's Executive Office by April 15th at the latest. The research strategy is to be presented in the Vice-Chancellor's dialogue in May.

Communication channels

The research areas’ research and education strategies are to be available on the university's website. Such strategies are public documents.

Main stakeholders

The Governing Board of the University of Borås, Vice-Chancellor, Deans of Faculty, research coordinators, research group leaders, researchers, doctoral students, external assessors

Background and purpose

Indicators are part of the ongoing development of research activities as well as part of the strategic work at the University.

Indicators complement the research groups’ plans and are to contribute to the development of the areas’ research strategies.

The purpose of these indicators is to:

Provide an overview of research output (bibliometric data, peer-reviewed publications) and follow the evolution over time of the research group and the area.
Get an overview of the conditions (staff + external research grants)
Provide documentation for local and national evaluations (when these take place)

Areas of responsibility

Follow-up: Deans of Faculty

Implementation: Central research coordinator, designated Faculty coordinator

Implementation

Indicators for all research conducted at the university are reported annually to the Dean of Faculty and the Vice-Chancellor.

The central coordinator at Professional Services collects indicators for each research area and research group. The central coordinator groups research team members into their respective research areas.

Bibliometric data, compiled by the University Library.
External research funding, Finance Officers at each respective Faculty
An employee list is produced by HR and data on those with doctorates, merit/position, and gender distribution is compiled.

The compilation of these indicators also identifies whether there are research staff at the university who are not associated with a research area. Research conducted by researchers who do not belong to a research group in a priority research area is subject to follow-up, with the immediate manager/Head of Department being responsible for this follow-up.

Dialogue, activities, and feedback

The indicators and key figures at the area level also complement the strategic plans of the research areas in order to monitor developments quantitatively over time.

The indicators are also included as a basis for the local evaluation of the research areas, which is carried out every six years.

The Dean of Faculty is responsible for measures and feedback based on the outcome of the indicators/key figures developed and is to ensure that necessary changes are implemented.

Timetable

Indicators are produced in February and bibliometric data and external research funding information refer to the previous year's results. The employee list must be up to date for the current year when the indicators are produced.

Communication channels

The indicators are distributed to the Dean of Faculty and the university's management.

Main stakeholders

University leadership, Deans of Faculty, Faculty leadership, research group leaders, researchers

Background and purpose

The purpose of local research evaluations is to ensure and develop the quality of all the research activities of the research area with the help of external evaluators. The evaluation aims to identify the area's development needs and strengths. Identified development needs must be followed by an action plan that the Faculty proposes to the relevant board to approve.

Areas of responsibility

Follow-up: Deans of Faculty

Implementation: Designated project leader/research coordinator, central research coordinator, external assessment panel

Implementation

Local research evaluation takes place every six years for each research area. A research area may consist of one or more evaluation units, with each evaluation unit having its own assessment panel. The evaluation procedure has been formally adopted at the university.

The university's boards have determined the criteria to be used by the assessment panels and have determined the evaluation unit and the composition of the assessment panel for each evaluation unit.

The evaluation is carried out by an external assessment panel. The evaluation of an area is a work that is conducted in four parts.

Initially, a self-assessment for the evaluation unit will be written. A designated project manager for the evaluation unit leads this work locally. The work begins with a kick-off meeting where the question of who will make up the assessment panel is also raised. The timeframe for preparing the material for the assessment panel is June-December, with material being sent to the assessment panel after preparation. The composition of the assessment panel is to be proposed to the board which appoints the panel. This should be done by the last board meeting in December.
The assessment panel meets in January after reading the documentation. Additional information may be requested for the evaluation. However, it is up to the relevant project manager to assess the reasonableness of providing the requested additional information. This is followed by an audit (April) with selected employees from the evaluation unit. After the audit, the interview responses are discussed and a final report is written by the chair of the assessment panel. The final report is due by 31 May. The final report will be presented solely to the Dean of Faculty.
Following the evaluation report, an action plan will be developed by the Faculty and agreed upon by the relevant board by November.
A follow-up of the implementation of the action plan will be reported to the board after one year (in December).

Dialogue, activities, and feedback

The Dean of Faculty, the research group leader, and the relevant project manager for the evaluation unit are provided with the report of the assessment panel and then analyse the report and draw up an action plan.

The relevant board then reviews the assessment panel's report together with the action plan drawn up to ensure that the proposed measures are in line with the review of the assessment unit.

The action plan is followed up one year after the action plan has been notified to and approved by the relevant board. This is done by the Dean of Faculty and the research group leaders for the relevant evaluation unit, they to the board and report on the progress of the implementation of the action plan.

Opportunities to exchange relevant experiences are provided annually under the auspices of the university's two boards. All research group leaders and professors at the university are invited to participate.

Feedback from the boards' exchange of experience opportunities is provided to the Vice-Chancellor’s Advisory and Quality Council by the chairs of the boards.

Reporting from the Faculty takes place at the Vice-Chancellor's dialogues in accordance with an established annual cycle regarding outcomes and measures.

Timetable

All research at the university must be evaluated by external reviewers within a six-year period. The total implementation time for an evaluation from initial meeting to presentation of an action plan is about 2.5 years.

Communication channels

The evaluation report is published in summary form by the Communications Office and is made available on the university's website. The report is also shared internally within the organisation in order to share experiences in the form of seminars organised by the boards.

Locally, the Dean of Faculty is responsible for disseminating results within each Faculty.

Student influence

A doctoral student from another Faculty must be appointed to the assessment panel. The assessment panel also has the opportunity to interview doctoral students who are members of the evaluation unit during the audit.

Main stakeholders

Leadership, Deans of Faculty, research group leaders, researchers, doctoral students

Background and purpose

The university's recruitment process must guarantee transparency as well as fairness and legal certainty in the hiring of research staff. Researchers employed must have a high level of scientific and pedagogical expertise and, in relevant cases, professional competence.

Areas of responsibility

Decision: Deans of Faculty

Implementation: Heads of Department

Implementation

A basic starting point in recruitment work regards the recruitment of people with the best possible expertise in terms of scientific, pedagogical, and other skills.

In recruitment, the University of Borås follows the following strategies:

Where there is a need to recruit new teachers, priority will be given to recruiting teachers who hold a doctorate.
The university strives for secure and long-term employment conditions and the primary principle is for employment to be until further notice (no planned end date).
The main rule is that all positions must be advertised externally so that those who are interested have the opportunity to apply to the university to get the best possible competence.
The university works for an even gender distribution when it comes to employment.

For each academic title, there are defined eligibility and assessment criteria to be followed in the recruitment of these positions.

Plans to ensure that the right competencies are in place are to be developed at each Faculty to ensure long-term and strategic work is done regarding the number of researchers in the university's priority research areas.

Dialogue, activities, and feedback

Plans to ensure that the right competencies are in place are to be in place at each Faculty.

Outcomes are monitored at an aggregate level as part of the university's operational planning process.

The Academic Appointment Committee or the Artistic Research and Education Board provides an annual report to the Vice-Chancellor’s Advisory and Quality Council on recruitments.

Timetable

Recruitment takes place on an ongoing basis and in accordance with established plans to ensure that the right competencies are in place.

Communication channels

Vacancies must always be advertised via the website, among other places. Proposals on who should be offered the position are posted on the university's digital bulletin board.

Student influence

Two student representatives, one of whom is a doctoral student (if possible), are included in the Academic Appointment Committee.

Main stakeholders

Heads of Department, Academic Appointment Committee, researchers

Background and purpose

One way of strengthening the quality of research is professional development for the researchers themselves. The main focus is on the promotion of more junior researchers, i.e. recent doctorate recipients, but also on opportunities for senior researchers to develop further. Professional development activities can also form part of the competence planning of an Faculty.

A plan for professional development measures can be formulated through dialogue between research group leaders and the Heads of Department.

Areas of responsibility

Initiation: Head of Department

Follow-up: Head of Department, Assistant Head of Department (Faculty leadership)

Implementation: Head of Department, research group leader, mentor

Implementation

Professional development for researchers is worked with in two ways: first, through employee dialogues/performance reviews with the Head of Department, and second, through a performance review focused on research with the research group leader.

The university offers skills development activities in the form of courses and workshops arranged by, among others, the Library, Grants and Innovation Office and HUF - University Educational Development and Research.

Dialogue, activities, and feedback

The research group leaders are responsible for supporting acquisition of scholarly/artistic qualifications and development of the group members and for supporting the career development of the group’s members. This is a formal part of the role of research group leaders at the university.

The progression of the scholarly/artistic development of members should be taken into account in the development of the research strategy for a research area.

Evaluation and development of employees is carried out through regular performance reviews in salary-setting dialogues, described in the Salary Policy. Upon review of the previous development plan along with the current dialogue and plan, a new development plan with individual goals for the employee must be mutually agreed upon. Performance reviews with researchers are documented according to a template (HR).

Timetable

Once per year

Communication channels

Competence provision plan

Main stakeholders

Faculty leadership, Heads of Department, research group leaders, researchers

Background and purpose

The university has a comprehensive administrative support unit whose tasks include providing adequate and appropriate infrastructure and research support. This is done by Professional Services (or VS for its Swedish name, Verksamhetsstöd) and the operational planning of Research and Innovation (R&I). The infrastructure of the university includes physical facilities, laboratories, and the University Library, but an extensive digital structure, as well. Research support consists of, for example, the Grants and Innovation Office, the Finance Office, and administration and IT support.

Furthermore, each laboratory environment has at least one designated manager (lab manager and chemical manager) who is responsible for the working environment and operation of the laboratory.

Areas of responsibility

Initiation: Head of Professional Services as well as Head of Research and Innovation, Deans of Faculty for lab environments

Implementation: Heads of Departments at VS and the Director of the Grants and Innovation Office, lab managers

Implementation

Professional Services and the Research and Innovation unit provide administrative and research support. The relevant units of Professional Services in this area are the Finance Office, the IT Office, the University Library, Human Resources, the Communications Office, and administrative support, while the Grants and Innovation Office within the Research and Innovation unit are responsible for providing support in external research funding and research applications as well as in strategic planning of research.

Dialogue, activities, and feedback

Professional Services and Research and Innovation have a regular dialogue with representatives from the Faculties where information on identified needs is communicated. Formal review meetings are also held on an annual basis in connection with the preparation of action plans for the various units within Professional Services, Research and Innovation, and the Faculties.

VS activities are also audited on an annual basis by external assessors where professional support processes related to research and education are evaluated.

Timetable

Annual dialogues and review meetings

Annual audits of Professional Services

Communication channels

Operational plans of Professional Services and Research and Innovation, Vice-Chancellor’s Advisory and Quality Council

Main stakeholders

Deans of Faculty, Heads of Department, Directors, research group leaders, researchers, doctoral students, Controllers

Background and purpose

In the Research councils, managers and collegial representatives meet for a dialogue about ongoing and planned research within the university's priority areas and its relationship to the university's and faculty's goals and strategies. The purpose of the Research Council is to enhance and foster quality. During the research councils meetings, it is identified which measures are necessary for important goals to be realized, and previously planned measures are followed up.

Areas of responsibility

Responsibility: Deans of Faculty

Follow-up: Deans of Faculty

Implementation

Research Councils will meet at least once per semester for each research environment. Meetings can also take place an ongoing basis at several points during the year.
A meeting agenda should be established prior to the meeting. The minutes from the previous Research Council meeting should be reviewed.

Dialogue, activities, and feedback

Documentation from research councils, including feedback on previously identified actions in research councils, is saved in a folder for the research area's quality work.

Timetable

Meeting at least once per semester.

Student influence

A doctoral student has the right to be represented at the Research Council.

Main stakeholders

Faculties, research groups, researchers

Background and purpose

A Research Ethics Committee has been set up under the university's boards to enable researchers to receive support and advice on research ethics issues. The committee also organises seminars to promote good research practice at the university.

Areas of responsibility

University boards, Research Ethics Committee

Implementation

The work and activities of the committee are to provide support to researchers regarding good research practice.

In suspected cases of misconduct and other serious deviations from good research practice, the university has a set procedure for how to handle these cases.

Dialogue, activities, and feedback

The committee maintains a continuous dialogue with the university's boards regarding its ongoing work.

The committee reports annually to the Vice-Chancellor’s Advisory and Quality Council on the activities carried out.

Timetable

The committee meets the last Friday in every month (Aug-May)

It organises one seminar per term.

A doctoral-level course in research ethics is given once a year.

Communication channels

Information on good research practice and research ethics is available on the university's website (Research Support). Information about seminars is communicated in accordance with the university's standard procedures for communicating about events and seminars, for example via notices in the university's calendar.

Main stakeholders

Teachers, researchers, and doctoral students

Background and purpose

Dialogues are a central part of the university's process of planning and monitoring the delivery of high quality education and research and the achievement of the university's vision and goals.

The dialogues are part of the university's quality assurance system and the agenda is created jointly by the Faculty/department and the Vice-Chancellor.

Areas of responsibility

Initiation: Vice-Chancellor

Follow-up: Director of Executive Office

Implementation: Controller at the Executive Office

Implementation

The dialogues are planned before the start of the financial year and must be held on at least three occasions.

Before a dialogue, an agenda will be in place as a starting point and with the function of following up on what in the organisation is going according to plan and where there have been deviations. The dialogues will follow the normal cycle of the Faculty/department/university operational management and follow up on the objectives and operational plans set for the year.

Dialogue, activities, and feedback

Dialogues take place between the Vice-Chancellor, the Pro-Vice-Chancellor, the boards, and the members of department leadership.

Minutes are kept and are considered as working material. These notes are used to follow up on agreed actions. It is the responsibility of the designated person responsible for the measures to implement and report on them.

Timetable

The dialogues are held in May, September, and November each year.

Communication channels

Student influence

The President of the Student Union participates in the dialogue meetings

Main stakeholders

Varies depending on the area to which an issue belongs, as the agenda of the dialogues spans the entire university. The responsibility of a designated person responsible for an action includes ensuring transparency for the stakeholders concerned.

Background and purpose

Monitoring is done to ensure that the university's quality assurance system is adapted so that research activities achieve a high level of quality, that the available resources are used efficiently, and that quality assurance work is a shared concern for all researchers at the university.

Deviations are also dealt with via the Vice-Chancellor's Board Council and in the Vice-Chancellor's dialogues.

Areas of responsibility

Initiation: Director of Executive Office

Implementation: Designated project team/project leader

Implementation

Each year, the Director of Executive Office appoints a working group with the support of the university's central research coordinator. The working group will carry out continuous follow-up work throughout the year. The Executive Office continuously collects statistics and indicators regarding the university’s activities. The university's research coordinator provides the other materials the group needs for its work.

Dialogue, activities, and feedback

Identified deficiencies in the quality assurance system should be reported directly to the Vice-Chancellor’s Advisory and Quality Council, if possible. The relevant Dean of Faculty s responsible for ensuring that an action plan is drawn up and acted upon within the framework of the regular quality assurance work.

The results of the follow-up will be documented by the Director of Executive Office and the university’s research coordinator in an annual report.

Once a year, the Director of Executive Office presents the results of the follow-up to the university's leadership and boards.

Timetable

The Vice-Chancellor decides on the composition of the working group on 1 February each year.

This work is ongoing throughout the year.

An annual report is compiled by 31 December.

Communication channels

The working group's reports are made available on the website.
The results of this follow-up are presented to the university's leadership and boards.

Student influence

The working group contacts the Student Union in connection with the follow-up work.

Main stakeholders

Leadership, Deans of Faculty, designated coordinators at the Faculties, research group leaders, researchers, doctoral students, boards