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3 The concordat to support research integrity
The concordaT to support research integrity
Summary of commitments 4
Foreword by the Minister for Universities and Science 5
Foreword by the signatories to the concordat 7
Introduction 9
Maintaining the highest standards of research integrity 11
Embedding a culture of research integrity 15
Dealing with allegations of research misconduct 17
A commitment to strengthening research integrity 20
Annexe I: Definitions 22
Annexe II: Some useful resources 23
Annexe III: The concordat working group 24
contents
4 The concordat to support research integrity
Summary of commitments
This concordat seeks to provide a comprehensive national framework for goodresearch conduct and its governance. As signatories to and supporters of theconcordattosupportresearchintegrity,wearecommittedto:
• maintainingthehigheststandardsofrigourandintegrityinallaspectsofresearch
• ensuringthatresearchisconductedaccordingtoappropriateethical,legalandprofessionalframeworks,obligationsandstandards
• supportingaresearchenvironmentthatisunderpinnedbyacultureofintegrityandbasedongoodgovernance,bestpracticeandsupportforthedevelopmentofresearchers
• usingtransparent,robustandfairprocessestodealwithallegationsofresearchmisconductshouldtheyarise
• workingtogethertostrengthentheintegrityofresearchandtoreviewingprogressregularlyandopenly
Signatories to the concordat
DepartmentforEmploymentandLearning
HigherEducationFundingCouncilforEngland
HigherEducationFundingCouncilforWales
NationalInstituteforHealthResearch
ResearchCouncilsUK
ScottishFundingCouncil
UniversitiesUK
WellcomeTrust
Anup-to-datelistofsupporterscanbefoundontheUniversitiesUKwebsite,www.universitiesuk.ac.uk
5 The concordat to support research integrity
Research and scholarship of allformsareworthwhileinthemselvesand critical to the future prosperityoftheUK.Researchandscholarshipenrichoursocialandculturallife.Astrong research base provides thefoundationforeconomicgrowthandhelps make us a more competitivenation. It drives innovation andimproves public life. It providesbenefits from which everyone gains– both in our own country andelsewhere.
This government recognises theimportance of excellent research,and we are committed to ensuringthattheUKremainsoneofthebest
places in the world for cutting edge research and innovation. We can be rightlyproudofourachievements,andoftheexcellentreputationourresearchersenjoyabroad.Theyare themostproductiveresearchersofall theG8economies.With4%oftheworld’sresearchers,weproducemorethan6%ofallresearcharticles.Thisresearchattracts11%ofallcitationsincluding14%ofthemosthighlycitedacademicpapers.Wecontinuetopunchaboveourweight.
Ifwearetomaintainourpositionattheveryforefrontofresearchandscholarship,thenwemustbesurethattheworkofourresearchcommunityisunderpinnedbycommonvaluesofrigour,respect,andresponsibility.Excellenceandintegrityareinextricablylinked.
Idonotdoubtthatourresearchersunderstandtheirresponsibilitiesandtakethemseriously.However,wemustnotbecomplacent.Wemustwork togetherandbesurethatwecanshow–bothtothepublicandtoourinternationalpartnersandcompetitors–howthehighestpossiblestandardsofintegrityaremaintained.Wemustbeclearthatthereisopenness,transparencyandaccountabilitywherepublicfundsarebeingused.Wemustbeconfidentthattheresearchcommunityhasthetoolstodealwithanyallegedmisconductbyresearchersinatransparent,robustandfairmanner.
Foreword by the Minister for Universities and Science
6 The concordat to support research integrity
I welcome the commitments that this concordat outlines. It demonstrates whatresearchers,theiremployersandthefundersofresearchdotoensurethepublichasconfidencethattheirworkcontinuestoupholdthehigheststandards.Italsoestablishes, for the first time, a mechanism for major stakeholders to cometogethertoreviewprogresstowardsstrengtheningresearchintegrity.Andfinally,thecommitmenttoaccountforthesedevelopmentsinanopenandtransparentwayprovidesrealassurancesthatresearchandscholarshipintheUKcontinuestobesomethingofwhichwecanbeproud.
Rt.Hon.DavidWillettsMPMinisterforUniversitiesandScience
7 The concordat to support research integrity
WefirmlybelieveinthequalityoftheresearchproducedintheUKandintheintegrityofourresearchers.Universitiesandresearchfundershavelongworkedtogethertosupportandpromoteresearchintegrityanditisclearthatwecontinuetohaveavitalroletoplay.Thisconcordatprovidesaneffectivemechanismforustoworktogetherandsupportfuturedevelopmentsinthisimportantarea.
ResearchintheUKisalreadysubjecttorigoroussafeguards,forexamplethroughresearch ethics processes, standards for professional practice, and wider legalobligations.Buildingonthis,asharedcommitmenttosupportingtheproductionofresearchfoundedonrigour,integrityandexcellenceshouldremainanabsolutepriority.Wemustbeable todemonstrate thatweare takingour responsibilitiesseriouslyand thatmisconductwillbedealtwithappropriately,whilerecognisingthatmistakesandhonesterrorscanbemadeinanyfieldofhumanendeavour.
Thisconcordatrecognises that thestrengthofUKresearchon theworldstage isfoundedonresearchersthemselves;ontheautonomyofourresearchestablishments;on academic freedom; and on a competitive funding environment that rewardsexcellence.Anyoverarchingapproachtoresearchintegrityneedstoworkwithintheseexistingsystems,acknowledgingthecomplementaryrolesandresponsibilitiesofallpartiesperforming,fundingorotherwisesupportingresearch.Wedonotbelievethatthecasehasbeenmadeforintroducinganewandadditionalregulatorymechanismfor research, and we welcome the government’s support for the concordat as ameansofstrengtheningresearchintegritythroughexistingframeworks.
However,wedobelievethatthere isaneedtopromotewhatwearedoingmoreeffectively, through greater openness and transparency, and to ensure we areadhering to consistently high standards across the research community. Thisincludes what we do to embed our commitment to research integrity withininstitutionalprocesses,throughthetrainingandpracticeofresearchersandwithintheresearchenvironment,aswellaswhatwedowhenthingsgowrong.
Theconcordatthereforerecommendsthatinstitutionsshouldmakeapublicstatementontheseissues,andthatthesignatoriestothisconcordatshouldproduceanannualstatementoutliningwhatwe,asasector,havebeendoingtofurtherstrengthentheintegrity of UK research. Representatives of the signatories and supporters of theconcordatwillconvenearesearchintegritystakeholderforumtoprovideafocusfordebatesonresearchintegrity.
Internationally there has been a renewed focus on research integrity. The Singapore Statement on Research Integrity (2010) outlined the core principles andresponsibilitiesthatshouldbecommontoallgoodresearch.Similarly,theEuropean Code of Conduct for Research Integrity (2011)setsoutaclearandusefulframework.
Foreword by the signatories to the concordat
8 The concordat to support research integrity
WewelcomeandsupporttheuniversalprinciplesoutlinedinthesedocumentsandthisconcordatrepresentsourcommitmenttoprovidetheframeworkthroughwhichthesestatementscanbearticulatedandunderstoodinaUKcontext.
The research community is already doing much to ensure that the integrity ofresearchandscholarshipintheUKisbeyondreproach.Theconcordatrepresentsachancetocelebrateourachievements.Butitmustalsobeusedasanopportunitytoreflectonwherewecanimprove.
Kieran Mannion Sir alan Langlands
ActingDirectorofHigherEducation ChiefExecutive
DepartmentforEmployment HigherEducationFundingandLearning CouncilforEngland
Professor Philip Gummett dr russell hamilton cBe
ChiefExecutive DirectorofResearchandDevelopment
HigherEducationFunding DepartmentofHealthCouncilforWales
Professor rick rylance Mark Batho
Chair ChiefExecutive
ResearchCouncilsUK ScottishFundingCouncil
Professor eric Thomas Professor Sir Mark Walport
President Director
UniversitiesUK WellcomeTrust
9 The concordat to support research integrity
Thisconcordatwillhelp toensure that researchproducedbyor incollaborationwiththeUKresearchcommunityisunderpinnedbythehigheststandardsofrigourandintegrity.
All those engaged with research have a duty to consider how the work theyundertake,hostorsupportimpactsonsocietyandonthewiderresearchcommunity.Commitment to the principles set out in the concordat helps demonstrate togovernment,business, internationalpartnersand thewiderpublic that theycancontinuetohaveconfidenceintheresearchweproduce.Itprovidesassurancesofthestandardsexpectedofallstakeholders, identifyingfivecommitments thatallthoseengagedwithresearchshouldbeabletomake.
By acting in accordance with the principles and commitments outlined in thisconcordat,theresearchcommunitycandemonstratethatthey:
• underpinalloftheirworkwithcommonvaluesofrigourandintegrity
• conformtoallethical,legalandprofessional obligationsincumbentontheirwork
• nurturearesearchenvironmentthatsupportsresearchofthehigheststandardsofrigourandintegrity
• usetransparent,robustandfairprocessestohandleallegationsofmisconduct
• continue to monitor, and where necessary improve, the suitability andappropriateness of the mechanisms in place to provide assurances over theintegrityofresearch
Introduction
10 The concordat to support research integrity
FollowingasimilarprocesstothatoutlinedintheSingapore Statement on Research Integrity, the concordat recognises the different responsibilities of researchers,employers of researchers and funders of research under each commitment. Italso recognises the vital role that other organisations engaged with supportingresearchandresearchersplay instrengtheningresearch integrity.These includeprofessional,statutoryandregulatorybodies; journalsandpublishers;academiesandlearnedsocieties;representativebodies;andorganisationsthatprovidesupportandguidancesuchastheUKResearchIntegrityOffice.
By outlining these commitments and responsibilities, the concordat helpsstakeholderstounderstandclearlytherolestheyplayinfurtherstrengtheningtheintegrityofresearch.
Theconcordat:
• applies to all fields of research. Thehigheststandardsofintegrityareneededinallfieldsofresearch;thecommitmentsoutlinedintheconcordatarerelevanttoalldisciplinesinwhichresearchisundertaken.
• emphasises responsibilities and accountabilities. The concordat supportsasystemofcooperationand identifies thedifferentrolesstakeholdersplay insupportingresearchintegrity.Itdescribestheresponsibilitiesandaccountabilitiesofeachofthekeyparticipants–researchers,theiremployers,andfundersofresearch–andacknowledgestheimportantroleofotherorganisationsengagedwithsupportingresearchandresearchers.Thebestwaytoensuretheintegrityofresearchisforallthoseinvolvedtoacknowledgeanddischargetheirspecificresponsibilitiesandtoworktogethertomaintainthehigheststandards.
• complements existing frameworks. Extensive statutory and regulatorystandardsalreadyexisttogovernresearchpracticewhereitisdeemednecessary.Theconcordatdoesnotsupersedeorreplacethese,butsetsthem–alongwiththegeneralanddiscipline-specificcodes,guidanceandadvicethatarealreadyavailabletosupportresearchers–inabroadernationalframework.Similarly,conditionsofgrant fromfundingbodieswilloftenbeaccompaniedbyspecificguidelinesthatoutlineacceptablebehaviourandexpectedconduct.Thesewillchangeovertime,andshouldbefollowedbyresearchers.
• recognises the autonomy of employers.Employersofresearchersareadiverseset of organisations that must have the freedom to strengthen policies andproceduresrelatingtoresearchasappropriatetotheircircumstances:therecanbeno‘onesizefitsall’approach.Theconcordatprovidesaflexibleframeworktohelpemployersensurethattheyareabletofullydischargetheirresponsibilitiesandthattheyhavethemechanismsinplacetomeetthehigheststandards.
11 The concordat to support research integrity
Research, wherever it takes place, must be conducted according to the higheststandardsofrigourand integrity.Thedefinitionofresearch integrityused in thisconcordatdrawsonanumberofexistingdefinitionsinawaythatisapplicabletoallareasofresearch.Thecoreelementsare:
• honesty in all aspects of research, including in the presentation of researchgoals,intentionsandfindings;inreportingonresearchmethodsandprocedures;ingatheringdata; inusingandacknowledgingtheworkofotherresearchers;and in conveying valid interpretationsandmaking justifiableclaimsbasedonresearchfindings.
• rigour,inlinewithprevailingdisciplinarynormsandstandards:inperformingresearchandusingappropriatemethods;inadheringtoanagreedprotocolwhereappropriate;indrawinginterpretationsandconclusionsfromtheresearch;andincommunicatingtheresults.
• Transparency and open communicationindeclaringconflictsofinterest;inthereportingofresearchdatacollectionmethods;intheanalysisandinterpretationof data; in making research findings widely available, which includes sharingnegativeresultsasappropriate;andinpresentingtheworktootherresearchersandtothegeneralpublic.
• care and respect for all participants in and subjects of research, includinghumans, animals, the environment and cultural objects. Those engaged withresearchmustalsoshowcareandrespectforthestewardshipofresearchandscholarshipforfuturegenerations.
Thesecoreelementsofresearchintegrityarethevaluesthroughwhichtrustandconfidence inresearchstem,and fromwhich thevalueandbenefitsof researchflow.Theyapplytoallaspectsofresearch,includingthepreparationandsubmissionofgrantandprojectproposals,thepublicationanddisseminationoffindingsandtheprovisionofexpertreviewontheproposalsorpublicationsofothers (that is,peerreview).
Commitment #1:We are committed to maintaining the highest standards of rigour and integrity in all aspects of research.
Maintaining the highest standards of research integrity
12 The concordat to support research integrity
Researchers must be able to exercise freedom in their academic choices, andmust also accept responsibility for the decisions they make. Thus, the primaryresponsibilityforensuringthattheyactaccordingtotheseprinciplesinallaspectsoftheirresearchwork,includingpeerreview,lieswiththeindividual.Employersofresearchers,fundersofresearchandotherorganisations engagedwithsupportingresearchandresearchersalsohaveimportantrolestoplay.
researchers will:
• understand the expected standards of rigour and integrity relevant to theirresearch
• maintainthehigheststandardsofrigourandintegrityintheirworkatalltimes
employers of researchers areresponsiblefor:
• collaboratingtomaintainaresearchenvironmentthatdevelopsgoodresearchpracticeandnurturesacultureofresearchintegrity,asdescribedincommitments2to5
• supportingresearcherstounderstandandactaccordingtoexpectedstandards,valuesandbehaviours,anddefendingthemwhentheyliveuptotheseexpectationsindifficultcircumstances
Funders of research expect:
• researcherstoadheretothehigheststandardsofprofessionalismandintegrity
• employers of researcherstohaveproceduresinplacetoensurethatresearchisconductedinaccordancewithstandardsofbestpractice;systemstopromoteresearch integrity; and transparent, robust and fair processes to investigateallegedresearchmisconduct
Where research is being conducted collaboratively, and particularly withininterdisciplinary or international partnerships, there needs to be clear agreementonandarticulationofthestandardsandframeworksthatwillapplytothework.TheEuropean Code of Conduct for Research Integrityprovideshelpfuladviceonthispoint.
13 The concordat to support research integrity
Inadditiontothecoreprinciplesthatunderpin integrity,researchisgovernedbyarangeofethical,legalandprofessionalframeworks,obligationsandstandards.These reduce the potential for harm, in particular to human participants, theenvironment,andanimalsinvolvedinresearch.Theyidentifysocietalconcernsthatresearchersshouldacknowledgeanddeterminetheminimumstandardstowhichallresearchmustconform.Failuretocomplywithsuchframeworksmayresultinsanctions;wherelegalobligationsareconcerned,thiscouldmeanacriminaloffencehas been committed. Moreover, these frameworks are important in maintainingandenhancingpublictrustinresearch.
The frameworks that regulate research practice will change over time. Ethicalconcernsevolveandnewlegalobligationsandprofessionalstandardsaredesignated.Therewill,inmanycases,beaninternationaldimension.Therefore,itisnothelpfultoprovideasingle,definitiveoutlineoftheframeworks,standardsandobligationstowhichresearchmustconform.However,allpartieshavearesponsibilitytoensuretheyhaveup-to-dateknowledgeofthosethatapplytotheirwork.
Otherorganisations engagedwithsupportingresearchandresearchers, suchasprofessional, statutory and regulatory bodies; academies and learned societies;andtheUKResearchIntegrityOffice,haveconsiderableexperienceindevelopingprofessionalcodesofconduct,ethicalframeworksandotherguidelinesthatprovidebothgeneralanddiscipline-specificguidance.Fundersofresearchmayalsoprovidesimilarformsofguidance.Relevantandappropriateresourcesshouldbedrawnonbyresearcherswhentheyundertakeresearch,andmayalsobeofusetoemployersofresearchers.
Fundersof researchmayalso refer to specificguidelines thatmustbeadhered toaspartoftheirconditionsofgrant.Itisimportantthatresearchersarefamiliarwiththoseguidelinesrequiredbythefunder(s)oftheirownresearchand,wherenecessary,bytheiremployers.
In line with the principles expressed in the Concordat to support the career development of researchers(2008),researchers‘sharetheresponsibilityforandneedtopro-activelyengageintheirownpersonalandcareerdevelopment,andlifelonglearning’.Thiswillincluderecognitionofchangingethical,legalandprofessionalobligations.
Commitment #2:We are committed to ensuring that research is conducted according to appropriate ethical, legal and professional frameworks, obligations and standards.
14 The concordat to support research integrity
researchers willalso:
• ensure that all research is subject to active and appropriate consideration ofethicalissues
• comply with ethical, legal and professional frameworks, obligations andstandardsasrequiredbystatutoryandregulatoryauthorities,andbyemployers,fundersandotherrelevantstakeholders
employers of researchers areresponsiblefor:
• havingclearpoliciesonethicalapprovalavailabletoallresearchers
• making sure that all researchers are aware of and understand policies andprocessesrelatingtoethicalapproval
• supportingresearcherstoreflectbestpracticeinrelationtoethical,legalandprofessionalrequirements
• havingappropriatearrangementsinplacethroughwhichresearcherscanaccessadviceandguidanceonethical,legalandprofessionalobligationsandstandards
Funders of research will expect researchers and employers of researcherswhoreceivefundingtoconformtotheethical,legalandprofessional standardsrelevanttotheirresearch;thisincludesanyspecificcodesofpractice,legalrequirementsandotherpoliciesthatthefunderidentifiesaspartoftheirconditionsofgrant.
Tosupportresearchersandemployersofresearchers,funders of researchwill:
• clearlyidentifyanyspecificcodesofpractice,legalrequirementsandotherpoliciesthatresearchersandemployersofresearchersareexpectedtocomplywith
• explore ways of streamlining requirements to reduce any duplication andinconsistency
other organisations workingtosupportresearchandresearchersshouldcontinuewiththeireffortstofurtherstrengthentheintegrityofresearch.Inparticular,theworkoforganisationstodeveloprecognisedethicalguidelinesandcodesofconductfordifferentresearchdisciplinesisinvaluable.Collaborationbetweenorganisationsshould be encouraged in order to develop guidance relevant to interdisciplinaryresearchandtohelpdisseminatelearningandgoodpractice.
15 The concordat to support research integrity
Maintaining the highest standards in research requires the right environment.It is the responsibility of employers of researchers – and all those undertaking,supportingorotherwiseengagedwithresearch–tomaintainaculturethatnurturesgoodpractice.Thisincludesuniversities,researchinstitutes,fundersofresearch,professionalandrepresentativebodies,andorganisationswitharegulatoryrole.
Aresearchenvironmentthathelpstodevelopgoodresearchpracticeandembedsacultureofresearchintegrityshould,asaminimum,include:
• clearpolicies,practicesandprocedurestosupportresearchers
• suitable learning, training and mentoring opportunities to support thedevelopmentofresearchers
• robust management systems to ensure that policies relating to research,researchintegrityandresearcherbehaviourareimplemented
• awarenessamongresearchersofthestandardsandbehavioursthatareexpectedofthem
• systemswithintheresearchenvironmentthatidentifypotentialconcernsatanearly stage and mechanisms for providing support to researchers in need ofassistance
Thereshouldalsobenostigmaattachedtoresearcherswhofindthattheyareinneedofassistancefromtheiremployers.Mostemployersofresearcherswillrecognisetheabovefeaturesintheirownresearchenvironment.However,thereshouldalsobe mechanisms in place to embed the core features of a research environmentthatnurturesgoodresearchpracticeandacultureof research integrity,and forperiodicallyreflectingonwhethertheyremainfitforpurpose.Theconcordatshouldactasatoolforstimulatingthisreflection.
Commitment #3:We are committed to supporting a research environment that is underpinned by a culture of integrity and based on good governance, best practice and support for the development of researchers.
embedding a culture of research integrity
16 The concordat to support research integrity
Asalreadystated, theConcordat to support the career development of researchersemphasised that researchers should take a proactive role in their own personaldevelopment.Embracingthisresponsibilityplaysanimportantpartinnurturingacultureofresearchintegrity.
employers of researchers will:
• embedthesefeaturesintheirownsystems,processesandpractices
• worktowardsreflectingrecognisedbestpracticeintheirownsystems,processesandpractices
• implementtheconcordatwithintheirresearchenvironment
Aspartofacommitmenttoensuringthatresearchintegrityreceivesappropriateconsideration, the concordat also recommends that employers of researchersshouldidentifyaseniormemberofstafftooverseeresearchintegrityandtoactasfirstpointofcontactforanyonewantingmoreinformationonmattersofresearchintegrity.
Otherorganisationsengagedwithsupportingresearchandresearcherswillhaveconsiderable experience in assisting researchers and employers to develop andsustainacultureofresearchintegrity.Researchersandemployersofresearchersshouldconsiderhowtheymightbestusethesesourcesofhelp.
Funders of research areresponsiblefor:
• promotingadoptionoftheconcordatwithintheresearchcommunity
• supporting the implementation of the concordat through shared guidance,policiesandplans
Fundersofresearchcouldencourageadoptionof theconcordatbyassociating itwiththeirconditionsofgrant.
17 The concordat to support research integrity
Researchmisconductischaracterisedasbehaviouroractionsthatfallshortofthestandardsofethics,researchandscholarshiprequiredtoensurethattheintegrityofresearchisupheld.It isaproblembecauseitcancauseharm(forexampletopatients, the public and the environment), damages the credibility of research,underminestheresearchrecord,andwastesresources.
Theconcordatrecognisesthatacademicfreedomisfundamentaltotheproductionofexcellentresearch.Thismeansthatresponsibilityforensuringthatnomisconductoccurs rests primarily with individual researchers. However, both employers ofresearchersandfundersofresearchhaveanactiveroletoplayinsustainingresearchintegrity.Forexample,failingtodealwithallegationsofmisconductappropriatelyandrefusingtopublishnegativeresearchfindingswouldbeequallyharmfultothereputationandqualityofUKresearch,andtotheresearchrecord.
Researchmisconductcantakemanyforms,including:
• fabrication:makingupresultsorotheroutputs(eg,artefacts)andpresentingthemasiftheywerereal
• falsification: manipulating research processes or changing or omitting datawithoutgoodcause
• plagiarism:usingotherpeople’smaterialwithoutgivingpropercredit
• failure to meet ethical, legal and professional obligations: forexamplefailuretodeclarecompetinginterests;misrepresentationofinvolvementorauthorship;misrepresentation of interests; breach of confidentiality; lack of informedconsent;misuseofpersonaldata;andabuseofresearchsubjectsormaterials
• improper dealing with allegations of misconduct: failing toaddresspossibleinfringementssuchasattemptstocoverupmisconductandreprisalsagainstwhistleblowers
dealing with allegations of research misconduct
Commitment #4:We are committed to using transparent, robust and fair processes to deal with allegations of research misconduct should they arise.
18 The concordat to support research integrity
This list is not intended to be exhaustive. Honest errors and differences in, forexample,researchmethodologyandinterpretationsarenotexamplesofresearchmisconduct.
It is imperative that when an allegation of research misconduct arises suitableproceduresareinplacetodealwithiteffectivelyandfairly.Employershaveadutyofcaretotheresearcherstheyemploy,andthereneedstobeappropriateprotectionfortherightsandinterestsofallparties.Theremustbeaccountabilitywhenthingsgowrongand,whereconcernsareupheld,appropriateactionmustbetaken.
employers of researchers have the primary responsibility for investigatingallegationsofresearchmisconduct.Itistheresponsibilityofemployerstoensurethat any person involved in investigating such allegations has the appropriateknowledge,skills,experienceandauthoritytodoso.
Employers of researchers are also responsible for taking appropriate steps toremedy any situations arising from an investigation. This can include imposingsanctions, correcting the research record and reporting any action to regulatoryandstatutorybodies,researchparticipants, fundersorotherprofessionalbodiesas circumstances, contractual obligations and statutory requirements dictate.Employers should also be mindful that minor infractions, where there is noevidentintentiontodeceive,mayoftenbeaddressedinformally throughmentoring,educationandguidance.
researchers will:
• actingoodfaithwithregardtoallegationsofresearchmisconduct,whetherinmakingallegationsorinbeingrequiredtoparticipateinaninvestigation
• handlepotential instancesof researchmisconduct inanappropriatemanner;this includes reporting misconduct to employers, funders and professional,statutoryandregulatorybodiesascircumstancesrequire
19 The concordat to support research integrity
Aspartofexistingmechanismsandconditionsofgrant,employers of researchers shouldalready:
• have clear, well-articulated and confidential mechanisms for reportingallegationsofresearchmisconduct
• have robust, transparent and fair processes for dealing with allegations ofmisconductthatreflectbestpractice(seeAnnexeII)
• ensure that all researchers are made aware of the relevant contacts andproceduresformakingallegations
• act with no detriment to whistleblowers making allegations of misconduct ingoodfaith
• provide information on investigations of research misconduct to funders ofresearchandprofessionaland/orstatutorybodiesasrequiredbytheirconditionsofgrantandotherlegal,professionalandstatutoryobligations
• support their researchers inprovidingappropriate information toprofessionaland/orstatutorybodies
Additionally,theconcordatrecommendsthatemployers of researchersprovideanamedpointofcontactorrecogniseanappropriatethirdpartytoactasconfidentialliaisonforwhistleblowersoranyotherpersonwishingtoraiseconcernsabouttheintegrityofresearchbeingconductedundertheirauspices.Thisneednotbethesamepersonasthememberofstaff identifiedtoactasfirstpointofcontactonresearchintegritymatters,asrecommendedunderCommitment#3.
Funders of researchwill:
• haveclearexpectationsofwhatconstitutesresearchmisconduct
• ensure that recipients of funding are aware of requirements regarding theinvestigationandreportingofresearchmisconduct,andthattheseareopenlystated
Otherorganisationsmaybeabletoofferadvice,guidanceandpracticalassistancetoall those involvedwithhandlingallegationsofresearchmisconduct.Annexe IIidentifies some resources that can help organisations ensure that systems forhandlingallegationsofmisconductareeffective.
20 The concordat to support research integrity
All signatories to the concordat are committed to the ongoing development of aculturethatsupportsandnurturesresearchintegrity,andmechanismsthatprovideassurancesand,whenthingsgowrong,ensureappropriateinvestigationandactionareforthcoming.Thiswillbeanongoingprocess,andonethatwillensurethatthesectorhasthepeople,systemsandprocedurestomeettheevolvingdemandsofprovidingassuranceoftheintegrityofUKresearch.Importantly,wemustbeabletoaccountforoureffortsinanopenandtransparentway.
employers of researchers already take steps to ensure that their environmentpromotes and nurtures a commitment to research integrity, and that suitableprocessesare inplace todealwithmisconduct. It is important that theseeffortscontinuetobesuitableandthattheyarecommunicatedmoreeffectively,andthatthe same high standards apply to all. The concordat therefore recommends thatemployers of researchers shouldpresentashortannualstatement to theirowngoverningbodythat:
• provides a summary of actions and activities that have been undertaken tosupport and strengthen understanding and application of research integrityissues(forexamplepostgraduateandresearchertraining,orprocessreviews)
• provides assurances that the processes they have in place for dealing withallegationsofmisconductaretransparent,robustandfair,andthattheycontinuetobeappropriatetotheneedsoftheorganisation
• provides a high-level statement on any formal investigations of researchmisconductthathavebeenundertaken
To improve accountability, and provide assurances that measures being takencontinuetosupportconsistentlyhighstandardsofresearchintegrity,thisstatementshouldbemadepubliclyavailable.
Commitment #5:We are committed to working together to strengthen the integrity of research and to reviewing progress regularly and openly.
a commitment to strengthening research integrity
21 The concordat to support research integrity
employers of researchers also need to be confident that the procedures andpractices they have in place are robust. Given the changing nature of concernsrelating to research integrity and the emergence of new types of research, it isimportant thatemployersperiodically review theirprocesses toensure that theyremain‘fitforpurpose’.Likewise,fundersofresearchwillperiodicallyreviewtheirpolicies,grantconditionsandprocesses.
As well as being more open about activities to further strengthen the integrity ofresearchat the levelof theemployer, thereneedstobeacoordinatedapproachatthesectorleveltoaccountforprogressandtoprovideassuranceondevelopments.Funders of research, employers of researchersandother organisationsrecognisingthe concordat should work together to produce an annual narrative statement onresearchintegrity.Thisstatementshouldbebasedoninputfromthesignatoriestotheconcordat.
To provide assurance over efforts to strengthen research integrity, ResearchCouncils UK will use its existing assurance mechanisms to garner feedback onactivityacrossthesector.Thisinformationwillbemadeavailabletootherfundersandprovideanevidencebasefortheannualstatement,therebyreducingtheneedforadditionalreportingrequirements.
Finally,itisimportantthatthoseinvolvedwithembeddingtheconcordatareabletolearnfromeachotheranddisseminategoodpracticemorewidely.Theconcordatrecommendsthatrepresentativesofitssignatoriesandsupportersshouldconveneanannualresearchintegrityforumtoassessprogressandtodrawoutlessonsforthesectorasawhole.
22 The concordat to support research integrity
research: Drawing on the UK funding bodies’ definition used in the ResearchExcellence Framework, as described in Assessment framework and guidance on submissions (2011), ‘research’isdefinedas, ‘aprocessof investigationleadingtonewinsights,effectivelyshared...Itincludesworkofdirectrelevancetotheneedsofcommerce, industry,and to thepublicandvoluntarysectors;scholarship; theinventionandgenerationofideas,images,performances,artefactsincludingdesign,wheretheseleadtoneworsubstantiallyimprovedinsights;andtheuseofexistingknowledgeinexperimentaldevelopmenttoproduceneworsubstantiallyimprovedmaterials,devices,productsandprocesses,includingdesignandconstruction’.
researchers:FollowingtheUKResearchIntegrityOfficeCode of practice for research(2009),‘researchers’aredefinedasanypeoplewhoconductresearch,includingbutnotlimitedto:asanemployee;asanindependentcontractororconsultant;asaresearchstudent;asavisitingoremeritusmemberofstaff;orasamemberofstaffonajointclinicalorhonorarycontract.
employers of researchers:DrawingontheUKResearch IntegrityOfficeCode of practice for research (2009), a broad definition of ‘employer’ is used. ‘Employersofresearchers’areanybodieswhich:conductorhostresearch;employ,supportorhostresearchers;teachresearchstudents;orallowresearchtobecarriedoutundertheirauspices.
Funders of research:Thesemaybeinthepublic,charityorprivatesector.Fundersmayalsobeemployersofresearchers,andtheymayalsocommissionresearch.Thedefinitionincludesorganisationsthatprovidefinancialsponsorshipforresearchand/orresearchers.
other organisations: A diverse range of other organisations are involved withsupportingtheintegrityofresearch.‘Otherorganisations’engagedwithsupportingresearchand researchers include:professional, statutoryand regulatorybodies;academiesandlearnedsocieties;professionalandsubject-specificrepresentativebodies; journalsandpublishers;andorganisationsofferingadvice,guidanceandsupport, such as the UK Research Integrity Office and the Improving DisputeResolutionAdvisoryServiceforFurtherandHigherEducation.
annexe I: Definitions
23 The concordat to support research integrity
Singapore Statement on research Integrity
Singapore Statement on Research Integrity
http://www.singaporestatement.org/
european Science Foundation (www.esf.org)
European Code of Conduct for Research Integrity
http://www.esf.org/activities/mo-fora/research-integrity.html
Government office for Science (www.bis.gov.uk/go-science)
Rigour, Respect, Responsibility: a Universal Ethical Code for Scientists
http://www.bis.gov.uk/assets/goscience/docs/u/universal-ethical-code-scientists.pdf
Improving dispute resolution advisory Service for Further and higher education (www.idras.ac.uk)
Advice for institutions
http://www.idras.ac.uk/institutions/
Advice for individuals
http://www.idras.ac.uk/individuals/
research councils UK (www.rcuk.ac.uk)
Integrity, clarity and good management: Research Councils UK Policy and Code of Conduct on the Governance of Good Research
http://www.rcuk.ac.uk/documents/reviews/grc/goodresearchconductcode.pdf
UK research Integrity office (www.ukrio.org)
Code of Practice for Research: Promoting good practice and preventing misconduct
http://www.ukrio.org/what-we-do/code-of-practice-for-research/
Procedure for the Investigation of Misconduct in Research
http://www.ukrio.org/what-we-do/procedure-for-the-investigation-of-misconduct- in-research/
annexe II: Some useful resources
24 The concordat to support research integrity
TheconcordatwasdevelopedbetweenJuly2011andJuly2012byaworkinggroupthatrepresenteduniversities,governmentdepartmentsandthemajorfundersofUKresearch.Theworkinggroupmetfourtimes.
OtherstakeholderswereinvitedtocommentonthedevelopmentoftheconcordatinAprilandMay2012.Thisfeedbackprovedtobeinvaluable.Theworkinggroupwouldliketoextendtheirthankstoallthosewhowereabletoparticipate.
WewouldalsoliketothankChloëSomersandDrMarcTaylorfortheirparticipationintheconcordatworkinggrouptoSeptember2011.
Working group
chris hale (chair) DeputyDirectorofPolicy,UniversitiesUK
Jamie arrowsmith PolicyResearcher,UniversitiesUK
Simone Bayes DeputyDirector,HeadofResearchStandardsandSupport,DepartmentofHealth
helen Bodmer Head,MedicalResearchCouncilandHealthResearchTeam,ResearchFundingUnit,DepartmentforBusiness,InnovationandSkills
andrea Garman Head,ScienceCapabilityTeam,GovernmentOfficeforScience
Paul hubbard HeadofResearchPolicy,HigherEducationFundingCouncilforEngland
nicola Perrin SeniorPolicyAdviser,WellcomeTrust
Phil Sooben DirectorofPolicy,EconomicandSocialResearchCouncil(onbehalfofResearchCouncilsUK)
annexe III: the concordat working group
Universities UK
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