Research Governance Procedure

I would be grateful if you could provide the following information relating to research governance for external research studies involving Children's Social Care.

1. Research Governance Procedure

Please provide:

1a. A copy of any policies, procedures, guidance documents, or process maps that outline your research governance procedure for external research studies involving Children's Social Care.

1b. Within these documents, or separately if necessary, please confirm who reviews and approves applications for external research studies involving children's social care (e.g., job titles, teams, panels).

2. Number of Children's Social Care Research Applications Involving Child Participants (last 5 years)

For the period 1 January 2020 - 31 December 2024 (or the most recent five-year period for which you hold data), please provide:

2a. The number of research governance applications received for external research studies where children were intended research participants within Children's Social Care.

2b. Of these, the **number of applications that involved children 11 years and younger.

If you do not hold age data in this form, please state this.

3. Outcomes of Applications (last 5 years)

For the same period, please provide:

3a. The number of applications approved for external research studies involving child participants within Children's Social Care.

3b. Of these approved applications, the **number that involved children 11 years and younger.

If data is not held in this form, please state this.

4. Approval Timeframes (if held)

4a. Please provide any recorded information you hold on the time taken to process research governance applications relating to Children's Social Care during the same five-year period, including (where available):

The date the application was received, and the date the application was approved or declined.

1a. Lincolnshire County Council operates a centralised, proportionate research governance process for external research, including Children's Social Care research, coordinated through the Research & Development (R&D) function and supported by our Information Assurance colleagues.

Applications are triaged and risk rated, with escalating levels of scrutiny depending on risk (low, medium, high). Approval is contingent on governance, ethical, information assurance, and service level considerations. The documents attached share further details.

b. Step-by-Step Procedure

Step 1 – Application Submission and Logging

• All external research applications are submitted to a Single Point of Contact (SPOC) via the generic inbox: ResearchAndDevelopment@lincolnshire.gov.uk

• Applications are:

o Acknowledged within 2–3 working days 

o Logged on the Research Log Assigned a unique internal reference number Mapped to a relevant service area and Lead Officer. For Children's Social Care research this would be the Head of Service (Quality & Standards Service) or, in their absence, the Team Manager (Quality & Standards Service ).

Step 2 – Triage and Initial Assessment

R&D undertakes an initial triage with Information Assurance/Data Protection colleagues (via IA@lincolnshire.gov.uk) to:

• Categorise the study as Low, Medium, or High Risk

• Notify the relevant Lead Officer (detailed above)

• Apply:

o The Research Risk Assessment Tool

o The Research Prioritisation Tool (7 measures)

• Considering:

o Sensitivity of information

Participant vulnerability 

o Ethical approval requirements

• Decide whether to reject or progress the application Applicants are informed of the triage outcome within 10 working days Risk-Based Decision Pathway

Low-Risk Studies

• A Service level Sponsor is identified

• Application and triage outcome shared with Sponsor

• If progressed:

o Sponsor takes over communication with the researcher

o Sponsor keeps R&D updated on progress and outcomes

• If not progressed:

o Decision communicated to applicant by R&D

Medium-Risk Studies

• Sponsor identified

• Paper-based review conducted by:

o Information Assurance (IA) colleague

o Lead Officer / Service (Children’s Services)

• Sponsor makes the decision (case-by-case)

• Sponsor manages researcher relationship if approved and reports back to R&D

High-Risk Studies

• Sponsor identified

• Application discussed at the Lead Officer Research Steering Group

• Views submitted in advance

• Post-discussion, a pro forma with recommendations is submitted to:

o Children’s Services Directorate Leadership Team (DLT)

o Information Asset Owner (IAO) responsible for Children’s Services

• DLT/IAO provide the final decision

• Sponsor manages approved studies and updates R&D

Finalisation

• For approved studies:

o A Researcher Agreement is signed 

o Decision logged in the internal decision log R&D maintains oversight through Sponsor updates

Role of the Research Risk Assessment Tool

The Risk Assessment Tool underpins triage and review by systematically assessing:

• Participant vulnerability and consent

• Researcher competence

• Sensitivity and type of data

• Methodology and data collection methods

• Privacy, storage, and information security

• Conflicts of interest

• External sensitivities

• Multi-site governance (e.g. ADCS approval where applicable)

It also captures:

• Overall adjudication (approve / resubmit / reject)

• Sign-off by named roles with dates

2a. 2 in this timescale

b. 1

3a. 1

b. 1

4a.The one application referred to commenced before the new processes were in place. It is a University PHD piece of research so was expedited as quickly as possible, allowing for University ethics processes.

Should you require the attachment mentioned above please contact customerinformationservice@lincolnshire.gov.uk with the below reference number and this can be provided.