the concordat to support research integrity · the concordat to support research integrity 5...

Signatories

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


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


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


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


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


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


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


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.


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


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.


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.


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.


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


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.


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.


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


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.


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


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.


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


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


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

Signatories

Universities UK

Woburn House, 20 Tavistock Square, London, WC1H 9HQ

Tel: +44 (0)20 7419 4111Email: [email protected]: www.universitiesuk.ac.ukTwitter:Twitter @UniversitiesUK

ISBN 978-1-84036-273-2©Universities UKJuly 2012

To download this publication, or for the full list of Universities UK publications, visit www.universitiesuk.ac.uk

Universities UK (UUK) is the representative organisation for the UK’s universities. Founded in 1918, its mission is to be the definitive voice for all universities in the UK, providing high quality leadership and support to its members to promote a successful and diverse higher education sector. With 134 members and offices in London, Cardiff and Edinburgh, it promotes the strength and success of UK universities nationally and internationally.

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