Governance and compliance


Third Party Notification Group

Information about UCL's Third Party Notification Group (TPNG)

Research funders are increasingly requiring recipient organisations to provide notice of matters with potential to adversely impact research they support, in particular as this relates to bullying, harassment and misconduct.  Such as, the Wellcome Trust Policy on bullying and harassment; the CRUK Policy on Dignity at Work in Research, and the BHF’s Policy on Bullying and Harassment.


UCL’s Third Party Notification Group (TPNG) reports to UCL's Research, Innovation and Global Engagement Committee (RIGEC).

It has been established to assess, ensure compliance with and report on UCL’s contractual and regulatory obligations to provide notice of potential matters of Research Misconduct; Public Interest Disclosure; Fraud; and Bullying and Harassment, to identified third parties including (but not limited to) Funders, Collaborators / Research Partners, NHS Trusts (or other Sponsor), UCLB, and Professional Bodies etc.

Terms of Reference

1. To ensure UCL's compliance with third party obligations regarding notification of research misconduct, bullying and/or harassment, fraud and public interest disclosures any other matters that are subject to funders’ (or other third parties’) policies or terms and conditions with regard to notification.
2. To monitor external developments in policy in relation to reporting obligations with respect to notification and report these to RIGEC.
3. To ensure UCL receives assurances of data and information governance compliance by third parties before information is shared.
4. To provide an annual anonymised summary report on actions of TPNG to RIGEC.
5. To have oversight of /review/agree the Case Notification template.
6. To agree the Case Notification Plan for each case.
7. To ensure the Case Notification Plan is actioned and completed.
8. To ensure the best practice levels of information security and confidentiality around cases requiring notification.
9. To monitor and report on the timeliness of referral and notification procedure including reviewing lessons learned and dissemination where appropriate.

Constitution and membership

Ex officio
Executive Director, Research and Innovation Services (Chair) - Dr Claire Glen
RIS Director of Compliance and Assurance - Gail Adams
Legal Services representative - Elaine O' Connor
Employee Relations representative - Maggie Foune
OGC Governance Manager: Research Integrity - Rachel Port
RIS Compliance and Assurance Officer - (Secretary).

The quorum of the Group is 50% of the membership.

The Group normally meets on a monthly basis and its meetings are confidential.