CODE OFGOODRESEARCHPRACTICE

PREAMBLE

TheUniversityof Roehamptonaimstobeanhonestandethical institutioninthewayin which it conductsitsbusinessanddischargesitsresponsibilities. To thatend, theUniversityseeks topromotean organisational culturein whichhighstandards of personal conductareencouragedandexpected;an organisationwhichisopposed toacademicmisconduct orfraud;andanorganisationwhichwilltake appropriatestepstodeal fairlybutfirmlyin instanceswheremisconductorfraudisdiscovered.

1.PRINCIPLES

1.1Statementof Principles

The Code of Practice(“theCode”) setsoutthe standardsof performance andconduct expected of allthose engagedinresearch(“researchers”1) in theUniversity of Roehampton (“the University”)based onthe followingprinciples:

1.1.1Research is definedasthe pursuit andadvancement of knowledge.

1.1.2Researchers shouldin allaspectsof their research:

(i)demonstrateintegrity,professionalismandself-regulation;

(ii)informthemselvesofdevelopmentsinrelevantsubjectsanddisciplines, includingtheir methodologies;

(iii)observefairnessandequity;

(iv)avoid,ordeclare, conflictsof interest;

(v)ensurethehealth andsafetyof thoseassociated withresearch;

(vi)observealllegal andethical requirementslaiddown bytheUniversityand other relevantbodies.

1.1.3 It istheexpectationthatresearchmethods andresults should, subjecttoappropriate confidentialityin relationtopersonalor commerciallyprotectedinformation, beopen toscrutinyanddebate.

1.2Observance oftheCode

All staff andstudentsengaged inresearchmustfamiliarisethemselveswith the Codeandensure that itsprovisionsareobserved.HeadsofDepartmentandother senior staff havea dutytoseek to ensurecompliancewiththe Codewithintheirareasof responsibilityandasrequired bythe University’s StudentDisciplinaryRegulations. TheUniversitywill drawattentionto theCodein

1Definedas academicstaff, studentsenrolledonundergraduateor postgraduateprogrammesandothermembersof the

University,visitingresearchersand holdersof honorarypositionswho mayengageinorbeinvolvedinresearch.

its inductionprocessesfornewlyappointedstaff andstudents. Supervisorsofstudentsengaged inresearchwill seek to ensurecompliancewiththeCode onthe partofsuchstudents.

1.3Breach oftheCode

Failuretocomply with theprovisionsof theCodemaybegrounds for actiontobetaken bythe

University, includingdisciplinaryprocedures.

1.4Advice

Wherearesearcherisindoubtaboutthe applicabilityof theprovisionsof theCode, orabout the appropriatecourseofactiontobeadoptedin relationtoit,adviceshouldbesoughtfrom the appropriateHeadofDepartment,headofthe departmental researchadvisorygrouporthe DeputyProvosts.

2.GOOD RESEARCHPRACTICE

2.1Goodresearch practiceincludesthe following:

fundamentalsof researchworksuchas:maintainingprofessional standards;documenting results;questioningone’sown findings;attributingandacknowledgingappropriatelyand honestly theworkofothers;

leadershipandco-operationin research groups;

takingintoaccounttheneeds of newresearchers;

securingandstoringprimarydata.

2.2Theseelements to ensure goodresearch practiceareexpanded onin this

Codeandattentionisdrawntothe relatedUniversitydocuments,e.g.:

Ethics Guidelines whichcanbefoundat

TheResearchDegreesHandbookwhichcanbefoundat

Health andSafety Policy:

/Health-and-Safety-Policy.pdf

IntellectualPropertyPolicy

/Intellectual-Property-Policy.pdf

DiversityandEqual OpportunitiesPolicy:

Student DisciplinaryRegulations

2.3Healthand Safety

All researchmustbecarriedoutinamannerthat complieswiththe HealthandSafetyatWork Act (1974),theSafetyRegulations approved underthis Actandthe University’s Health and Safety Policy.Departmentsafety proceduresandhandbookswill detail local safetyruleswhich mustbe obeyed. Advice onhealth and safetyissuescan be obtained fromtheUniversity’s Health andSafetyOffice

2.4PurchasingandExpenditurefor Research

Purchasingandexpenditure offunds shouldtakeplaceinaccordancewiththeterms and conditionsofanygrantor contractheldfor theresearch and theUniversity’sFinancial Regulations. Advice oncompliancewith theFinancial Regulationsshouldbesoughtfrom the PVC andDirectorofFinance.

2.5ProfessionalStandards

It isimportantthataculture ofprofessionalismtowards research is fostered andmaintained in the University. Atthe heartof allresearch, regardlessof discipline,is theneedfor researchersto adoptandpromoteinothers highstandards ofpersonal conduct,andtobehonestandethical with regardtotheirownactions, andintheir responses totheactionsofother researchers.The adoptionof aprofessionalapproachappliestothewhole rangeofresearchwork,including methodologicalandexperimentaldesign, thegenerationandanalysisofdata,thepublicationof results,andthe appropriateacknowledgementof the directandindirectcontributionsof colleagues, collaborators andothers.

2.6Leadership

Thecreationofasoundresearch climateisessential togoodresearch practice.Withina researchgroup, responsibilityfor creatingsuchaclimatelieswiththegroupleader. Group leadersandothersenior researchersshouldcreatea researchenvironmentofmutualco- operation, inwhichall researchersareencouragedto developtheirskillsandinwhichtheopen exchangeof researchideasisfostered.Theymustalsoensurethatappropriatedirectionof researchandsupervisionof researchers areprovided.

2.7Data CollectionandRetention

(i)Research datamustberecordedaccurately(where appropriate,signed anddated by

the Investigator) andina durable andauditable form,with appropriatereferences so that itcan bereadilyrecovered.

(ii)Research datamustnormallyberetainedintactfor aperiodof atleastten years from the dateofanypublicationwhichisbased uponit. Researchersshouldbeawarethat specific professional bodies andresearch councilsmayrequirea longerperiodof dataretention.

(iii) It isthedutyofthe principal investigatorin anyresearchprojecttocomplywiththe regulationsofthe currentDataProtectionActinforcefromtimetotimeandtoensurethat copyright,athirdparty’sintellectualpropertyrightsand confidentialityarenotbreached.

(iv)Specificarrangements shouldbe made toprotectthesecurityof research datawhere thereisacontractualorethical requirementtodoso.

(v)Ingeneral, academicenquiryanddebaterequireopennessbutconfidentialityprovisions relatingtopublication mayapplyincircumstanceswheretheUniversityor theresearcher has madeor given confidentialityundertakings to thirdparties,confidentialityisrequired toprotect intellectual propertyrightsor requiredpursuanttoprovisionstorelevantlegislationsuchasthe DataProtectionAct. Itisthe obligationof theresearchertoascertainwhether confidentiality provisions applyandofthe Head ofDepartmenttoinformresearchersoftheirobligations with respectto theseprovisions.

2.8Publications

(i)Disseminationof knowledgeisoneof theobjectives oftheUniversity. (ii)A publicationmustreportresearchandresearchfindings accurately.

(iii)A publicationmustcontainacknowledgement toall whohavemadeasignificant

contributionto therelevantresearch,whoarenotauthors.

(iv)Anypersonwhohas participatedin a substantial wayinconceiving, executingor interpretingasignificantpart oftherelevantresearch shouldbegiventheopportunity tobeincluded as anauthorof apublicationderived fromthatresearch.

(v)Anypersonwhohas notparticipatedin asubstantialwayin

conceiving, executingor interpretingasignificantpartof therelevantresearch shouldnotbe included as an authorof apublicationderived from thatresearch.

2.9Conflicts of Interest

(i)A researchermustmakefull disclosureofanypotential or actual conflictofinterestin research. Conflictofinterestincludesbutis notrestrictedtopersonalorclosefamily affiliationtoor financialinvolvementwith anyorganisationsponsoringor providing financial supportfor aprojectundertaken byaresearcher.

(ii)Disclosureof apersonal conflict ofinterestinresearchmustbemadetotheHeadof

Departmentas soonasreasonablypossible.

2.10SubmittingProposals

(i)Inapplications for funding,Principal Investigators shouldtakeall reasonable measures to ensureaccuracyofinformation andcompliancewith theUniversity’s required procedures.Theprocedures forsubmittingan applicationforresearchfundingcanbe foundat thefollowingaddress:

development/services-for-research-and-enterprise-staff/bids-and-grant- support/index.html

3.ETHICALANDLEGALREQUIREMENTS

3.1Anyspecialstandardsof work performanceand ethical conductimposed bylaw,Research Councils,otherfundersof research,professionalorstatutorybodiesor bytheUniversityin relationtoparticularcategoriesof researcharedeemed to beincluded inthis Codeinits applicationtostaff andstudentsengaged inthat researchintheUniversity. Inaddition, compliancewith theUniversity’sEthics Guidelinesandtheguidelinesof appropriateexternal Ethical Committeesis alsoessential.

3.2Experimentationonanimals isstrictlycontrolled bythe HomeOfficeandcanonlybeconducted bylicensees in accordancewith theAnimals(ScientificProcedures)Actof1986.

4.MISCONDUCTANDALLEGATIONSOR COMPLAINTSOFMISCONDUCT

4.1TheUniversitydefinesacademic misconductor academicfraud intheresearch contextas committingan actwherebytheresearcherknowinglyanddeliberatelyseeks tocorrupt, misrepresentor falsifytheoutcomesof academic and/orprofessionalstudy,scholarshipand/or research.Academic misconductorfraud,as theyrelatetoresearch, includebutare notlimited to:

(i)misrepresentationofthe workorexpressed thoughtsofothersasone’sown without

permissionor acknowledgement(plagiarism);

(ii)fabricationof:

-the resultsof workwhichhe/shefalselyclaimstohaveundertaken(for example,experiments, interviews,observationsorotherformsofresearch and investigation);

-resultswhichheor shehasnotobtained;

-resultsby omissionfromanalysis andpublicationofselected componentsofa data set;

-researchdissemination(forexample:falseclaimsof publicationof work).

(ii)deliberateexploitationof ideasandconceptsofothers without acknowledgement;

(iv)cheatingorotherwisedisclosinginformationwith theintentof gainingforoneself or for another anunfair advantage;

(v)intentionaldamage to,or removalof, theresearch-relatedpropertyofanother;

(vi)intentionalnon-compliancewiththeterms andconditions governingtheawardof externalfundingfor research orwith theUniversity’spoliciesand proceduresrelatingto research,includingaccountingrequirements,ethics,andhealth andsafetyregulations.

4.2Theproceduresrelatingto discipline of studentsformisconductinthe prosecutionof research, are setoutintheStudentDisciplinaryRegulations (the“Regulations”).Anyallegationor complaintof academicmisconductor fraudin researchwill be investigatedanddealtwith under thoseRegulations.

4.3Victimisationor reprisalsagainsta personmakingin goodfaithan allegationofmisconductwill beregardedasadisciplinary offenceandhandled in accordancewith the Regulations. Similarly, vexatious,maliciousorfrivolousallegationsofmisconduct madeby membersofstaffor

studentswillberegarded as adisciplinaryoffence.

5.EXTERNALCODES

5.1In additiontoits own Code,theUniversityrequiresthoseengaged inresearch inanareatobe fullyawareof andin compliancewith theappropriateexternalprotocols andstatements governingresearch activity. Thefollowinglistisindicative,butis notintended to beexhaustive:

(i)Research Councils- JointStatementonSafeguardingGoodScientificPractice; (ii)MedicalResearch Council-GoodResearchPractice Guidelines;

(iii)EconomicSocialResearchCouncil- SafeguardingGoodScientificPractice(Research

Funding GuideApril2008AnnexB)

(iv)TheWellcomeTrustGuidelines onGoodResearchPracticeandStatementonthe

Handlingof AllegationsofResearch Misconduct

(v)NHS ResearchGovernanceFrameworkfor Health andSocial Care:Second Edition

(vi)EconomicSocial ResearchCouncilResearchEthicsFramework