University-wide routine for sustainable development in research within the scope of the environmental management system

ROUTINE
Decision-maker: Sustainability Manager
Effective from: 22 Feb 2019
Changes effective from: 1 April 2021
Registration number: V-2019-0217-01
Responsible for supervision and questions: KTH Sustainability Office

1. Purpose

The routine describes KTH's systematic work to take sustainable development in research into account within the scope of the environmental management system. This follows from requirements set out in the Environmental Management Ordinance (SFS 2009:907) and the international environmental management standard ISO 14001:2015.

The purpose of the routine is to contribute to the UN's global sustainability objectives and achieve KTH's sustainability and climate objectives 2021-2025(2045) related to research. The routine aims to create efficient working methods and processes that create value for employees and students.

2. Scope/delimitation

The routine describes how the environmental management system is integrated into KTH's planning and follow-up process and into KTH's quality system for research. The routine describes the research process and how indicators for monitoring and measuring the sustainability and climate objectives related to research are adopted.

3. Definitions

Chapter 1 of the Higher Education Act sets out, inter alia, the following provisions:

Section 5 In the course of their operations, higher education institutions shall promote sustainable development to assure for present and future generations a sound and healthy environment, economic and social welfare, and justice. Equality between women and men shall always be taken into account and promoted in the operations of higher education institutions. Furthermore, in their operations, higher education institutions should promote understanding of other countries and of international circumstances. Higher education institutions shall also actively promote and widen recruitment to higher education. Ordinance (SFS 2005:1208).

Section 6 The following general principles shall apply to research:

  1. research issues may be freely selected,

  2. research methodologies may be freely developed, and

  3. research results may be freely published.

Research is mainly financed using internal funds that KTH controls and with external funds where the financier can make demands on the content of the research in order to grant funding.

4. Responsibilities

Responsibilities are based on the delegation order of the President and the Heads of School. The University Board, President, Head of University Administration, Vice Presidents, Dean of Faculty, Heads of School, and the Sustainability Manager are responsible for ensuring that sustainable development is taken into account in research.  

5. Sustainable development in research within the scope of the environmental management system and the quality system for research  

1. Within the scope of the environmental management system, the University Board adopts a sustainability policy. The President makes decisions on the sustainability and climate objectives for research. The sustainability and climate objectives for research are established for a certain period of time. Following interaction with responsible functions, the Sustainability Manager and Vice President for Sustainable Development prepare changes to the sustainability policy and the sustainability and climate objectives related to research.

2. Within the scope of the environmental management system, the Sustainability Manager decides on processes and routines for sustainable development in research. The Vice President for Sustainable Development establishes indicators to measure and follow up on the sustainability objectives related to research. Adoption of routines / processes and indicators takes place following cooperation with the relevant Vice Presidents and with the Faculty Council.

3. The President decides on sustainable development in research within the scope of KTH's development plan and annual operating plan. The Head of University Administration, Sustainability Manager, and Vice President for Sustainable Development draws up an annual operating plan for University Administration to the President and the Heads of School regarding the work on sustainable development in research. This is done following interaction with the relevant functions.  

The President addresses the school's work with the sustainability and climate objectives for research in connection with the school dialogue. The Dean of Faculty addresses the outcome of the work on sustainable development in research in connection with the quality dialogue with the schools. This is done within the scope of a discussion based on adopted indicators and other relevant information.

4. The Head of School decides on the school's development plan and the school's annual action plan for sustainable development in research.

The school's development plan and action plan for sustainable development in research are implemented within the scope of the regular operational planning and follow-up of the school's activities. The action plan is the basis for the reporting produced in connection with the internal annual monitoring within the scope of the quality system for research. The Head of School is responsible for publication of the action plan on the school's intranet.  

With the support of the Sustainability Manager and the Vice President for Sustainable Development, the Head of School follows up the action plan and decides on new action plans for the coming year. This takes place in connection with the implementation of the management review at the school, but no later than by 31 March each year. In connection with the management review, the Head of School decides which issues the school wishes to discuss in the quality dialogue led by the Dean of Faculty.

5. The Sustainability Manager monitors the overall work on the sustainability and climate objectives related to research in connection with the management review for the President, Vice President for Sustainable Development, and the Head of University Administration. The Sustainability Manager and responsible Vice Presidents present the results of the schools’ review to the President and the Heads of School at the President's Strategic Council.

6. The Sustainability Manager is responsible for coordinating the overall work with the internal and external environmental audits. In connection with internal and external environmental audits, environmental auditors follow up on systematic environmental management work by auditing the work on considering sustainable development in research. Within the scope of the quality system for research, there is on-going monitoring of sustainable development in research.

7. In cooperation with the Vice President for Sustainable Development, the Sustainability Manager prepares a comprehensive sustainability report and supports schools in their reporting at the school level. The sustainability report is reported to the University Board.

In the annual report, KTH's environmental and sustainability work is reported to the Ministry of Education and Research, and a report is filed with the Swedish Environmental Protection Agency in accordance with the Environmental Management Ordinance. Reports are also submitted to international networks and ranking institutes. The reports are communicated to internal and external stakeholders and published on the intranet and externally on our website.

6. The research process

The research process can be described in a comprehensive manner and where sustainable development should be taken into account. KTH's and the schools' delegation order and other governing documents describe the responsible functions.

1. Formulate idea, knowledge / external / stakeholder analysis
   Reflection on sustainability aspects on research question / expected results (including synergies and goal conflicts). Reflection is required to obtain funding from many financiers.
2. Fund the research
   Many financiers require an SD focus (EU, Formas, Mistra, the Swedish Energy Agency, etc.) as well as a focus on impact.
3. Interact with the outside world
   Reflection on suitable interoperability actors based on, inter alia, an SD perspective. Knowledge exchange with the actors, as well as communication about their needs. It is relevant to communicate the research from an SD perspective, for example through the UN's sustainability objectives (SDGs).
4. Conduct the research
   Choice of methodology, procurement of equipment, chemicals, working environment, and data management are examples of activities where ethical and environmental considerations should be taken into account, where relevant.
5. Publish the research
   Reflect on suitable publishing forums and target groups, among other things from an SD perspective.
6. Disseminate, follow up, and evaluate
   Analyse how the results are relevant to sustainable development. Carry out an impact analysis against the UN's sustainability objectives, where relevant.

The purpose of describing KTH's research process is to

1. Contribute to KTH's sustainability and climate objectives for research and the UN's global sustainability objectives.
2. KTH shall be a leader in sustainable development.
3. Consider sustainable development in KTH's research process, where relevant.
4. Get an overview of where in the research process it is relevant to consider sustainable development.
5. Create a starting point for discussion on how to improve the work of integrating sustainable development into research.
6. Gain an increased understanding of which indicators should exist to follow up, evaluate and report on the work on sustainable development in the research projects.

7. Indicators for sustainable development in research 

Monitoring and evaluation of sustainable development in research is carried out using indicators. The indicators are meant to highlight and reflect the quality or efficiency of research in terms of sustainable development. Indicators shall support management and employees to improve efforts to achieve the sustainability and climate objectives related to research. The indicators are decided by the Vice President for Sustainable Development following interaction with the responsible functions. 

Monitoring of the sustainability and climate objectives using indicators is done in connection with the management review for the President and in connection with the management review at school level for the Head of School's management group. Monitoring using the indicators also takes place in connection with the annual quality dialogue and school dialogue that the Dean of Faculty and President conduct with the schools. KTH Sustainability Office coordinates the overall work with indicators and supports the schools in developing indicators at school level prior to the management review.

8. Documentation

• KTH's development plan 2018 - 2023 and KTH's operating plan, annual.
• KTH's sustainability and climate objectives 2021-2025(2045).
• Development plans of the University Administration and the schools.
• Schools' sustainability and climate objectives 2021-2025(2045) and action plan for research.
• Centrally implemented risk analysis for sustainable development.
• Campus Plan 2018 - 2023.
• Quality policy and regulations for quality assurance of education.
• Decision of the Vice President for Sustainable Development regarding indicators for sustainable development in research. 

9. Appendices

Appendix 1

Indicators for sustainable development in research

The indicators below are those used when this routine is adopted. The work on developing indicators is continuously carried out in relation to national and international development. The indicators may therefore be updated without updating the routine. The bibliometric indicators and rankings are for KTH as a whole; the other indicators are broken down at school level.

• Number of scientific publications in the field of sustainable development.
• Normalised citation rate in the field of sustainable development.
• Number of authors published in the field of sustainable development.
• Number of faculty positions (professors) with a sustainability focus in the subject area.
• Number of announced faculty positions (Professors, Associate Professors, Assistant Professors) with a sustainability focus in the subject area or teaching and research duties.
• Total external funds from certain Swedish financiers with an SD focus.
• Ranking in environment and sustainable development, such as QS Environmental Sciences, NTU Environment/Ecology, ARWU Environmental Science & Engineering, Times Higher Education University Impact Ranking, and the Swedish Environmental Protection Agency's ranking of Swedish public authorities' environmental management work.

10. Change log