Code on Good Research Practice

Transcription

1 Cde n Gd Research Practice Revised June 2015 (appendix remved)

2 Cntents PREAMBLE 1 PRINCIPLES 1 Statement f Principles 1 Observatin f the Cde 2 Breach f the Cde 2 Advice 2 GOOD RESEARCH PRACTICE 2 Characteristics f Gd Research Practice 2 Health and Safety 3 Purchasing and Expenditure fr Research 3 Prfessinal Standards 3 Leadership 3 Data Cllectin and Retentin 3 Publicatins 4 Cnflicts f Interest 4 Research Design 5 Submitting Prpsals 5 Peer Review 5 Mnitring and Audit 6 Page ETHICAL AND LEGAL REQUIREMENTS 6 MISCONDUCT AND ALLEGATIONS OR COMPLAINTS OF MISCONDUCT 6 EXTERNAL CODES 8 ACKNOWLEDGEMENTS 9 Please nte the University Cde n Gd Research Practice and the assciated Cde f Practice n Miscnduct and Fraud in Research are revised peridically t take in t accunt changes in legal requirements and gvernment plicy. The mst up t date versin f the cde can be fund at 2

3 Cde n Gd Research Practice Preamble The University f Surrey reslves t be an hnest and ethical institutin in the way in which it cnducts its business and discharges its respnsibilities. The University aims t prmte and supprt an rganisatinal culture in which high standards f persnal and prfessinal cnduct in teaching and research are expected and achieved. T that end, the University will ppse academic miscnduct and will take apprpriate and rbust actin in instances where miscnduct r fraud is discvered. 1 Principles 1.1 Statement f Principles The Cde n Gd Research Practice ("the Cde") sets ut the standards f perfrmance and cnduct expected f all thse engaged in academic research and cnsultancy 1 ("the researcher") in the University f Surrey ("the University") based n the fllwing principles: Research is defined as the pursuit and advancement f knwledge Researchers shuld adpt the fllwing principles in all aspects f their research: i. rigur, hnesty, integrity, respect fr life, the law and the public gd, and respnsible cmmunicatin; ii. iii. iv. infrm themselves f develpments in relevant subjects and disciplines; bserve fairness and equity; avid, r declare, cnflicts f interest; v. ensure the health and safety f thse assciated with research; vi. vii. bserve all legal and ethical requirements laid dwn by the University and ther relevant bdies prperly laying dwn such requirements; pr-active prmtin f research It is the expectatin that research methds and results shuld, subject t apprpriate cnfidentiality in relatin t persnal r cmmercially prtected infrmatin, be pen t scrutiny and debate. 1 Hereinafter, the term research shall be taken t include cnsultancy. 3

4 1.2 Observance f the Cde All staff and students invlved in academic research, as defined by HEFCE, must familiarise themselves with the Cde and ensure that its prvisins are bserved. This includes academic staff; researchers, research students, research supprt staff, research managers and administratrs. Deans f Faculty and ther senir staff have a duty t ensure cmpliance with the Cde within their areas f respnsibility. The University will draw attentin t the Cde in its inductin prcesses fr newly appinted staff and students. Principal investigatrs and supervisrs f students engaged in research will seek t ensure cmpliance with the Cde n the part f research staff and students. 1.3 Breach f the Cde Failure t cmply with the prvisins f the Cde may be grunds fr actin t be taken by the University, including its disciplinary prcedures. 1.4 Advice Where a researcher is in dubt abut the applicability f the prvisins f the Cde, r abut the apprpriate curse f actin t be adpted in relatin t it, advice shuld be sught frm the apprpriate Dean f Faculty in the first instance. Ultimate respnsibility fr interpretatin f the Cde resides with the Deputy Vice-Chancellr, Academic Affairs. 2 Gd Research Practice 2.1 Characteristics f Gd Research Practice Gd research practice includes the fllwing: fundamentals f research wrk such as: maintaining prfessinal standards; dcumenting results; questining ne s wn findings; attributing and acknwledging apprpriately and hnestly the wrk f thers; leadership and c-peratin in research grups; taking int accunt the legitimate, prfessinal needs f new researchers; securing and string primary data; cmpliance with required practice in relatin t ethics, health and safety, intellectual prperty rights, cnsultancy and cdes f practice fr research, as detailed belw: Ethical Principles and Prcedures fr Teaching and Research, University Ethics Cmmittee Ethics Plicy Research Data Management Plicy Cde f Practice fr Research Degrees Cde f Practice n Handling Allegatins f Research Miscnduct Faculty Handbks n Research Intellectual Prperty cde (including patents) University Health and Safety Plicy 4

5 Public Interest Disclsure Plicy Financial Regulatins Recrds Management Strategy 2.2 Health and Safety All research must be carried ut in a manner that cmplies with the Health and Safety at Wrk Act (1974) and the Safety Regulatins apprved under this Act. Faculty and/r Departmental Safety plicies and handbks will detail lcal safety rules which must be beyed. Advice n health and safety issues can be btained frm either the Faculty/Departmental Safety Advisers r the University Safety Office 2.3 Purchasing and Expenditure fr Research Purchasing and expenditure f funds shuld take place in accrdance with the terms and cnditins f any grant r cntract held fr the research and the University s Financial Regulatins. Advice n cmpliance with the Financial Regulatins shuld be sught frm the Directr f Finance r the Head f Prcurement and Cntracts as apprpriate. 2.4 Prfessinal Standards It is imprtant that a culture f prfessinalism twards research is fstered and maintained in the University. At the heart f all research, regardless f discipline, is the need fr researchers t adpt and prmte in thers high standards f persnal cnduct, and t be hnest and ethical with regard t their wn actins, and in their respnses t the actins f ther researchers. The adptin f a prfessinal apprach applies t the whle range f research wrk, including methdlgical and experimental design, the generatin and analysis f data, the publicatin f results, and the apprpriate acknwledgement f the direct and indirect cntributins f clleagues, cllabratrs and thers. 2.5 Leadership The creatin f a sund research climate is essential t gd research practice. Within a research grup, respnsibility fr creating such a climate lies with the grup leader. Grup leaders and ther senir researchers shuld create a research envirnment f mutual c-peratin, in which all researchers are encuraged t develp their skills and in which the pen exchange f research ideas is fstered. They must als ensure that apprpriate directin f research and supervisin f researchers are prvided 2.6 Data Cllectin and Retentin i. Researchers must abide by the University s plicies regarding intellectual prperty and the cllatin and retentin f research data. This includes guidelines prvided by the University s Infrmatin Cmpliance Unit. 5

6 ii. iii. iv. Research data must be recrded accurately (where apprpriate, signed and dated by the Investigatr) and in a durable and auditable frm, with apprpriate references s that it can be readily recvered. Methds fr gathering, analysing, managing and retaining data shuld be cnsidered at the early stages f prject design. Research data must nrmally be retained intact fr a perid f at least ten years frm the date f any publicatin which is based upn it. Researchers shuld be aware that specific prfessinal bdies and research cuncils may require a lnger perid f data retentin. It is the duty f the principal investigatr in any research prject t cmply with the regulatins f the current Data Prtectin Act in frce frm time t time and t ensure that cpyright, a third party s intellectual prperty rights and cnfidentiality are nt breached. Advice n cmpliance with the Data Prtectin Act shuld be sught frm the University s Infrmatin Cmpliance Officer wh can be cntacted by n Freedmfinfrmatin@surrey.ac.uk v. Specific arrangements shuld be made t prtect the security f research data where there is a cntractual r ethical requirement t d s. vi. In general, academic enquiry and debate require penness but cnfidentiality prvisins relating t publicatin may apply in circumstances where the University r the researcher has made r given cnfidentiality undertakings t third parties r cnfidentiality is required t prtect intellectual prperty rights. Prir disclsure f the nature f research r the findings f research shuld nt be made where this might invalidate any cmmercial prperty rights that culd result. It is the bligatin f the researcher t ascertain whether cnfidentiality prvisins apply and f the Dean f Faculty t infrm researchers f their bligatins with respect t these prvisins. Any issues that might arise relating t intellectual prperty shuld be referred t the Technlgy Transfer Office in Research and Enterprise Supprt. 2.7 Publicatins i. Disseminatin f knwledge is ne f the bjectives f the University. ii. iii. iv. A publicatin must reprt research and research findings accurately. A publicatin must cntain acknwledgement t all wh have made a significant cntributin t the relevant research, wh are nt authrs. Any persn wh has participated in a substantial way in cnceiving, executing r interpreting a significant part f the relevant research shuld be given the pprtunity t be included as an authr f a publicatin derived frm that research. v. Any persn wh has nt participated in a substantial way in cnceiving, executing r interpreting a significant part f the relevant research shuld nt be included as an authr f a publicatin derived frm that research. 2.8 Cnflicts f Interest i. A researcher must make full disclsure f any ptential r actual cnflict f interest in research. Cnflict f interest includes but is nt restricted t persnal r clse family affiliatin t r financial invlvement with any rganisatin spnsring r prviding financial supprt fr a prject undertaken by a researcher. 6

7 ii. Disclsure f a ptential cnflict f interest in research must be made t the Dean f Faculty as sn as is reasnably pssible, and als via the annual cmpletin f the Declaratin f Interests Frm. 2.9 Research Design i. When designing research prjects, researchers shuld ensure that: ii iii iv the prpsed prject addresses pertinent questins and that the design f the study is apprpriate fr the questin being asked; the design and cnduct f the study are set ut in detail in a prespecified research plan r prtcl; all the necessary skills, experience and ther resurces will be available t carry ut the prpsed research t the relevant standards; any issues relating t the abve are reslved as far as pssible prir t the start f the research; Researchers, and the University (where apprpriate) shuld cnduct a risk assessment f the planned study t identify any ethical issues and legal requirements. Ptential risks t the University, the research r health, safety and well being f the researchers and participants shuld als be identified at this stage. Researchers shuld reprt any risks t their manager r ther apprpriate persn within the University, and take actin t minimise them. Where the design f a study has been apprved by ethics, regulatry r peer review, researchers shuld ensure any subsequent alteratins t the design are subject t apprpriate review. Research designs shuld be made available, when necessary, t peer reviewers and jurnal editrs when submitting research reprts fr publicatins Submitting Prpsals In applicatins fr funding, Principal Investigatrs shuld take all reasnable measures t ensure accuracy f infrmatin and cmpliance with the University s required prcedures Peer Review i. The University encurages researchers t act as peer reviewers fr grant applicatins, jurnals, ther frms f publicatins and ethical reviews. ii. Peer review shuld be carried ut t the highest prfessinal standards and in accrdance with the guidelines f the rganisatin fr which the wrk is being carried ut. The cnfidentiality f materials being reviewed shuld be maintained at all times. The reviewer shuld nt retain, cpy r disseminate any material under review withut the express permissin f the rganisatin which requested the review. The reviewer shuld nt make use (r allw thers t make use) f the material under review withut the express permissin f the authr(s). 7

8 2.12 Mnitring and Audit i. Research prjects must cmply with any mnitring and audit requirements. Prjects shuld be mnitred and audited t ensure that they are being carried ut in accrdance with gd practice, legal and ethical requirements and any ther guidelines. ii. iii. Any requirements fr mnitring and audit shuld be cnsidered and identified at an early stage f prpsal develpment. Researchers must c-perate with any mnitring and audit undertaken by, r n behalf f, an applicable bdy. If staff becme aware f a need t mnitr r audit a prject where nne is planned, they shuld reprt the need t an apprpriate persn. Researchers shuld c-perate with the utcmes f any mnitring r audit f their research prjects. 3 Ethical and Legal Requirements 3.1 Any special standards f wrk perfrmance and ethical cnduct impsed by law (UK r verseas), Research Cuncils, ther funders f research, prfessinal r statutry bdies r by the University in relatin t particular categries f research are deemed t be included in this Cde in its applicatin t staff and students engaged in that research in the University. In additin, cmpliance with the University Ethics Cmmittee s Ethical Guidelines fr Teaching and Research and the guidelines f ther apprpriate external Ethical Cmmittees is als essential. 3.2 Experimentatin n animals is strictly cntrlled by the Hme Office and can nly be cnducted by licensees in accrdance with the Animals (Scientific Prcedures) Act f 1986 Amendment Regulatins Applicants fr fr prject and persnal licenses must be apprved by the Dean and the Animal Welfare and Ethics Review Bard and ultimately by the University's Certificate Hlder. 3.3 Wrk cnducted fr, r n behalf f the UK Departments f Health and/r the Natinal Health Service must cmply with the relevant guidelines issued by the Department f Health and any ther prfessinal recgnised bdies, eg The Department f Health s Research Gvernance Framewrk fr Health and Scial Care and the Natinal Research Ethics Service s Guidance fr Applicants. Clinical trials n medicinal prducts fr human use must cmply with the principles f Gd Clinical (Research) Practice. 4 Handling Allegatins f Research Miscnduct 4.1 The University s Cde f Practice n Handling Allegatins f Research Miscnduct sets ut the University s plicy and prcedures in relatin t miscnduct in the cntext f academic research. 8

9 5 External Cdes In additin t its wn Cde, the University f Surrey requires thse engaged in research in any area t be fully aware f and in cmpliance with the apprpriate external prtcls and statements gverning research activity as they exist frm time t time. The fllwing list is indicative, but is nt intended t be exhaustive: 1. Nlan Cmmittee n Standards in Public Life; 2. Research Cuncils UK 3 Relevant dcuments and cdes f the fllwing Research Cuncils Medical Research Cuncil Bitechnlgy & Bilgical Sciences Research Cuncil Engineering & Physical Sciences Research Cuncil Ecnmic & Scial Research Cuncil Particle Physics & Astrnmy Research Cuncil Arts and Humanities Research Cuncil; 4. Cuncil fr Science and Technlgy: Rigur, respect and respnsibility: a universal ethical cde fr scientists; 5. Gvernance arrangements fr NHS Research Ethics Cmmittees (GafREC) 6. Cncrdat t Supprt the Career Develpment f Researchers; 7. UK Research Integrity Office 8. OECD Glbal Science Frum; 9. Department f Health 10. Natinal Research Ethics Service; ACKNOWLEDGEMENTS: The Cdes and Statements referred t in Sectin 5 University f Sussex: Cde f Practice fr Research University f Kent at Canterbury: Gd Practice and Miscnduct in Academic Research: A Plicy Dcument Sheffield Hallam University: Research Ethics and Prcedures University f Glasgw: Cde f Gd Practice in Research Imperial Cllege f Science, Technlgy & Medicine The British Psychlgical Sciety: Cde f Cnduct, Ethical Principles and Guidelines Research Cuncils UK: RCUK Plicy and Cde f Cnduct n the Gvernance f Research Cnduct: INTEGRITY, CLARITY AND GOOD MANAGEMENT UKRIO: Cde f Practice fr Research, Prmting gd practice and preventing miscnduct UKRIO: Prcedure fr the Investigatin f Miscnduct in Research OECD Glbal Science Frum: Internatinal Cllabrative Prjects Investigating Research Miscnduct allegatins in Department f Health: Research Gvernance Framewrk fr Health and Scial Care Natinal Research Ethics Service: Guidance fr Applicants The Animals (Scientific Prcedures) Act 1986 Amendment Regulatins

10 Apprved by Cuncil: 19 July 2007 Amendments apprved by Senate n 19 Nvember 2009, 23 February 2010, 15 February 2011 Last revised (remval f Appendix, reference t Cde f Practice n Handling Allegatins f Research Miscnduct, minr updates t external cdes ): UREC Chairs Actin :11 June