Guidance and decision tool

1 October 2025

Chapter 1 - Consensus definition of research in a local authority context

Who is this guidance aimed at? 

This definition and guidance was designed by, and for, local authorities.

It provides a definition of research that you may wish to use within a local authority setting.

Why may you want to use this definition and decision tool?

You may wish to use this tool:

• For guidance. For example, if you are unsure if the activity you are doing, or planning to do, within a local authority is research.

• To explore if your idea would allow you to access a resource, or would be attractive to an academic partner. For example, determining potential eligibility for research funding or specialist support.

• To guide activities that could be supported by local authority research support teams or other local authority research infrastructure (for example, Health Determinants Research Collaboration (HDRC) teams).

• To help you decide if the activity you are planning might need, or benefit from, independent ethical review and formal research governance approval. Or if further requirements may apply, for example, obtaining consent for research purposes.

• To help you determine how to classify your activity and confirm any associated requirements if you intend to present or publish the outputs. 

If your activity does not meet the definition of research, this does not mean that it is not worth doing. It also does not mean that there are no governance or ethical aspects to consider. You may still wish to refer to some of the guidance and resources outlined in this guidance.

For activities involving the NHS or adult social care, decision tools are available via the Health Research Authority (HRA) to help you determine if your activity meets the definition of research applied within these settings, and if it requires ethical review.

This definition and tool are aimed at activities happening within a local authority which are outside the scope of the HRA’s work. If your work focuses on the NHS treatment or management of a disease, clinical condition or patient group, or if it relates to adult social care activities that fall within the HRA’s remit, please refer to HRA guidance instead.

Some activities happening within local authorities, which have not traditionally been seen as ‘research’, may fully or partially meet this definition. For example, statutory consultations or resident engagement activities.

Conversely, some activities not meeting this definition may still use research skills and methods.

This guidance does not provide a definitive answer to the question of what ethical review or research governance processes should be applied to a local authority activity.

Nor does it aim to imply that activities, such as consultations required by law, which routinely occur in local authorities and are not normally seen as research, now need to be treated as research.

Instead, it intends to provide a starting point and signpost to further resources. 

We recognise that individual local authorities will ultimately need to take their own approach to:

a) Determining which research activities should be subject to formal research governance or independent ethical review processes.

b) Implementing necessary governance and ethical review processes that apply to research and ‘non-research’ activities.

We encourage those who are unsure whether to class an activity as research, to use this guidance and to seek further advice as needed. 

The definition of research and further guidance

This section provides a definition of research in local authorities (Box A); a decision tool to assist with deciding whether your project meets the definition of research (Box B); and some examples of research involving local authorities (Box C).

Decision tool for local authority research - process list

1. Will your proposed work happen in, or involve, a local authority?

a. If no, please refer to the relevant guidance for your setting.

b. If yes, go to item 2.

2. Does your work fall within the remit of the Health Research Authority (HRA)? (e.g. involving NHS patients or services, or some adult social care services). If you are unsure, please check with the HRA

a. If no, go to item 3.

b. If yes, please refer to the Health Research Authority decision tool and guidance.

3. Will your work support decision-making about practice, policies and/or interventions at a local, regional, or national level?

a. If no, go to item 4.

b. If yes, go to item 5.

4. Will your work further understanding of how people are impacted by the context in which they live, work and go about their daily lives?

a. If no, see item 8.

b. If yes, go to item 5.

5. Will your work use structured, organised and reproducible methods?

a. If no, see item 8.

b. If yes, go to item 6.

6. Will your work produce new information or knowledge? (may include testing or piloting a new idea or intervention, or finding out how poor health or risk factors impacts different communities).

a. If no, go to item 7.

b. If yes, see item 9.

7. Will your work provide a new interpretation of existing information? (includes routinely collected data being used for a new purpose, as well as publicly available data)

a. If no, see item 8.

b. If yes, see item 9.

8. Not local authority research. Activities which are not classed as research under this tool may still be subject to local governance or ethics processes. Please check your local requirements and sources of advice and guidance.

9. Local authority research. Research as per the consensus definition of research in a local authority. Please check local advice and guidance regarding research governance and ethics processes that apply. 

Chapter 3 - Next steps and resources

There are activities that will fall within the consensus definition of research, which may not require, or benefit from, independent ethical review or detailed research governance processes.

We do not propose that local authorities automatically require independent ethical review, or formal research governance approval, for all activities that meet this definition.

Rather, we intend that this definition and associated decision tool will act as a starting point to inform local authority decision making.

We note that governance and ethical requirements will also form part of usual practice and that there will be legal, ethical and professional standards that apply regardless of whether an activity is classed as research or not. You may wish to refer to any relevant resources, professional standards and guidelines when planning your activity.

We have included some information below on research governance and research ethics and a list of things you may want to consider when thinking about whether, and what, processes are required. A list of useful resources and further reading on these topics is also provided.

In addition, we would recommend consulting any relevant policies within your organisation. 

Research governance

Research governance is about ensuring that research activities are safe, appropriate, legal, transparent, adequately insured and in-line with organisational policies, processes and values.

Local authorities may be involved in research in various ways and may be working with different organisations on research activities where each organisation will have their own research governance processes and priorities.

The extent and details of the local authority-specific research governance processes required will depend on the type of research and the role of the local authority within the project.

In any circumstances, processes will be needed by a local authority to:

• Confirm what they are responsible for, and what the responsibilities of other organisations involved are.  

• Determine who within the authority is accountable for discharging these responsibilities, how they will meet them (including being able to demonstrate this) and how these fit with other local authority legal and ethical responsibilities.

• Manage any risks that may arise.

Research governance resources

NIHR RSS SCPH Research Governance Explainer

UK Research Integrity Office (UKRIO) Code of Practice for Research

Guidance for reviewers of research applications based in settings outside of the NHS

Kolstoe, S.E. and Pugh, J. (2024) 'The trinity of good research: Distinguishing between research integrity, ethics, and governance', Accountability in Research, 31(8), pp. 1222-1241. Available at: https://doi.org/10.1080/08989621.2023.2239712

Research ethics

Taking an ethical approach and ensuring that you have an ongoing regard for ethical research principles should be a core principle throughout any research activity.

As part of this, a key question for any proposed research projects, however, is whether formal independent ethical review is required.

Ethical review of a research project focusses on the ethical acceptability of the proposed project and on any ethical issues that may be associated with it.

For certain activities, independent ethical review by people external to your project or organisation may not be needed. You should always check with any organisations involved to confirm if they have a policy that suggests otherwise.

This is often the case for the following activities:

• Projects using existing data that is completely anonymised (where individuals are not directly or indirectly identifiable). 

• Projects using some types of information that are publicly available.

Just because something is publicly available does not mean that there are no ethical considerations for its use in research. For example, there are often ethical considerations when using data from online sources such as social media and therefore need for ethical review may be determined by the type of information, its source and intended use. 

For some activities, independent ethical review may be a requirement of a partner organisation, funder, in legislation, or by a regulatory body.

The following can help you determine if independent ethical review is required: 

• In England and Wales, under the Mental Capacity Act 2005, you are legally required to seek approval from an appropriate body if you are undertaking intrusive research, defined as any activity where consent would legally be required for that activity, with adults who are unable to provide consent. If you are in Scotland and Northern Ireland, you should check the relevant national legislation for ethical review requirements for adults lacking capacity.

• If your project involves the NHS, or users of adult social care, the HRA decision tool can be used to determine requirements for ethical review.

• If you are working with a university, the university will usually have a clear policy on ethical review requirements. You can check with your university colleagues about this.

• If you are in receipt of external funding from a research funding body or other organisation, requirement for independent ethical review may be within your funding terms and conditions.

In other circumstances, the need for, or benefit from having, independent ethical review can be less clear.

In such circumstances, you may want to consider the following:

• Will you be working with children or vulnerable adults, or those who could be considered vulnerable in the context of your research?

• Will you be accessing or using sensitive information about people?

• Will your research involve any sensitive, controversial or potentially distressing issues or topics?

• Are you planning to involve people in your research with whom you have an existing professional or personal relationship. For example, are you a practitioner whose research will involve existing clients or service users?

• Will you be approaching people to take part in your research, or accessing information for your research, via a third party (this is often called a gatekeeper)?

• What will you be asking people to ‘do’ as part of your research? Does it involve any potential risks to their safety or welfare, or could it be potentially burdensome, or time-consuming for them?

• Does your research involve providing or withholding an intervention or implementing a change to routine practice or service provision?  Is this intervention or change being offered or withheld based on certain criteria, or selection processes, or being offered for a limited time only?

• Will you be deceiving or withholding information from people in some way?

If the answer to any of the above is yes, you may want to consider seeking independent ethical review.

This is especially the case if you are planning to publish your research in an academic journal. Journal editors may wish to see evidence of independent ethical review for certain types of project, or may require justification for not seeking ethical review prior to publication.

For some projects, ethical review may already have been undertaken by another organisation. Where this is the case, you should check with your local authority if further ethical review is needed. There may be circumstances where it is appropriate for university or NHS ethical review to be accepted by a local authority, however there may also be circumstances where a local authority requires its own ethical review process to be followed. 

If you feel that independent ethical review would be helpful, but are unsure where to go, or how to access a review, the sources of advice listed on page 12 will be able to suggest options. 

Research ethics resources

NIHR RSS SCPH Research Ethics Explainer

UK Research Integrity Office (UKRIO) Research Ethics Support and Review

Government Social Research Ethics Checklist

UK Statistics Authority Ethics Guidance Documents

Social Research Association Research Ethics Guidance

Kolstoe, S.E., Sözüdoğru, E., Messer, J., Coates, E. and Tobin, E. (2025) 'Is my project research? Determining which projects require review by a research ethics committee', Accountability in Research, pp. 1-21. Available at: https://doi.org/10.1080/08989621.2025.2460521  

Levitas, A., Taylor, E., Navelle, P.L., Humphreys, E. and Sheringham, J. (2025) 'Local authorities need tailored research ethics processes to support research capacity building', Public Health in Practice, 9, p. 100587. Available at: https://doi.org/10.1016/j.puhip.2025.100587

Acknowledgements

This project was funded by the NIHR Research Support Service Specialist Centre for Public Health. 

This guidance has been developed by the Definition of Research in Local Authorities project Steering Committee and is published by the NIHR Research Support Service Specialist Centre for Public Health (NIHR RSS SCPH).  

The members of the Steering Committee from outside the NIHR RSS Specialist Centre for Public Health contributed to this project and guidance in an individual capacity and not as representatives of their organisations.  

We thank the project Steering Committee, NIHR RSS SCPH colleagues, and the many local authority colleagues who have been involved in the definition of research project and in advising on the content and format of this guidance.  Particular thanks go to Kay Howes for initially convening the Steering Committee, Charlotte Rothwell for her advice on the Delphi method, and to Alex Rodger and Chantel Davies for their input on the design and accessibility of this guidance.

Please cite this guidance as:

Brown, L., Sowden, S., Briggs, A., Dennington-Price, A., Dutta, V., Hampshaw, S., Humphreys, E., Johns, T., Levitas, A., Murphy, R., Needham, K., Renwick, L., Hayes, L. (2025) Defining research in local authorities: guidance and decision tool. Available at: https://sites.google.com/view/nihrrssscph/research-governance-and-ethics/definition-of-research-study/guidance-and-decision-tool (Accessed: date) 

Steering Committee membership 

Dr Sarah Sowden (Chair) 

Senior Clinical Lecturer, Newcastle University

Consultant in Public Health, Office for Health Improvement and Disparities 

Deputy Director, NIHR RSS Specialist Centre for Public Health delivered by Newcastle University and Partners 

Professor Adam Briggs 

Deputy Director of Public Health, Oxfordshire County Council 

Deputy Director, NIHR RSS Specialist Centre for Public Health delivered by Southampton University and Partners 

Director, NIHR Public Health Research Programme

Laura Brown 

Research Programme Manager, NIHR RSS Specialist Centre for Public Health delivered by Newcastle University and partners 

Abi Dennington-Price 

Patient and Public Representative  

Dr Vanita Dutta 

Public Health Principal, Slough Borough Council 

Dr Susan Hampshaw 

Director, NIHR Health Determinants Research Collaboration Doncaster

City of Doncaster Council

Dr Louise Hayes 

Research Design Lead, NIHR RSS Specialist Centre for Public Health delivered by Newcastle University and Partners  

Emily Humphreys 

Consultant in Public Health, London Borough of Tower Hamlets 

Director, Health Determinants Research Collaboration (HDRC) – Tower Hamlets 

Tracey Johns 

Institute of Public Health and Wellbeing, University of Essex 

Public and Community Partnerships Research Adviser, NIHR RSS Specialist Centre for Public Health delivered by Newcastle University and Partners 

Alexandra Levitas 

Embedded Researcher for Evidence Islington, London Borough of Islington 

Rachel Murphy 

Service Manager - Research Development, North Yorkshire Council 

NIHR Health Determinants Research Collaboration North Yorkshire  

Katie Needham 

Consultant in Public Health, North Yorkshire Council 

Director, Health Determinants Research Collaboration (HDRC) – North Yorkshire 

Laura Renwick 

Public Health Senior Research Manager, NIHR RSS Specialist Centre for Public Health delivered by Newcastle University and Partners 

Appendix 1: Decision tool worked examples

Example 1: Repositioning of foods in a school canteen

Proposed activity:

Repositioning food and drinks to increase the accessibility of healthy foods and decrease the accessibility of unhealthy foods within a local authority school setting.

The aim of the project is to determine whether creating a healthier eating environment in this way could be an effective strategy for promoting healthier eating behaviours which should be adopted across schools within the area.

Unidentifiable purchasing data from the two schools involved in the project will be collected for set time-periods before, during and after the intervention.

The amounts of healthy and unhealthy food items purchased during the selected time periods will be analysed using recognised statistical techniques.

Worked example using the decision tool:

1. Will your work happen in, or involve, a local authority?

Yes- the project will take place within a local authority school setting.

Go to item 2

2. Does your work fall within the remit of the Health Research Authority? (e.g. involving NHS patients or services, or some adult social care services)

No- NHS patients, services and adult social care services are not involved.

Go to item 3

3. Will your work support decision-making about practice, policies, or interventions at a local, regional, or national level?

Yes - the aim of the project is to determine if creating a healthier eating environment in this way could be an effective strategy for promoting healthier eating behaviours which should be adopted across schools within the area.

Go to item 5

5. Will your work use structured, organised and reproducible methods?

Yes- the amounts of healthy and unhealthy food items purchased during the selected time periods were analysed using recognised statistical techniques.

Go to item 6

6. Will your work produce new information or knowledge?

Yes- information about purchasing of certain foods before, during and after the intervention periods will be produced.

Go to item 7

7.  Will your proposed work use structured, organised and reproducible methods?

Yes- the amounts of healthy and unhealthy food items purchased during the selected time periods were analysed using recognised statistical techniques.

See item 9

9. This is local authority research as per the consensus definition of research in a local authority. Please check local advice and guidance regarding the research governance and research ethics processes that apply.

Decision tool pathway:

Example 2: Local authority open spaces provision assessment

Proposed activity:

Review of open spaces provision within a local authority area.

A survey on local needs and a review of existing information and consultation around open spaces will be conducted.

An audit of local open space provision will be conducted.

The project will provide the council with up-to-date information on green space location, coverage and provision.

Worked example using the decision tool:

1. Will your work happen in, or involve, a local authority?

Yes- the project will take place within a local authority area.

Go to item 2

2. Does your work fall within the remit of the Health Research Authority? (e.g. involving NHS patients or services, or some adult social care services)

No - NHS patients, services and adult social care services are not involved.

Go to item 3

3. Will your work support decision-making about practice, policies, or interventions at a local, regional, or national level?

Yes - the project will provide the council with up-to-date information on green space location, coverage and provision.

Go to item 5

5. Will your work use structured, organised and reproducible methods?

Yes- the project may use methods including a survey and audit.

Go to item 6

6. Will your work produce new information or knowledge

No- the project will provide the council with up-to-date information on green space location, coverage and provision (but will not provide anything ‘new’).

Go to item 7

7. Will your work provide a new interpretation of existing information? This includes routinely collected data being used for a new purpose, as well as publicly available data.

No- the project will provide the council with up-to-date information on green space location, coverage and provision (but will not re-interpret or provide anything ‘new’).

See item 8

8. This is not local authority research. Activities which are not classed as research under this tool may still be subject to local governance or ethics processes.

Decision tool pathway:

This document is available to download as a PDF, this web page is the accessible version.