CODE OF PRACTICE FOR RESEARCH - ukrio.org

1 CODEOFPRACTICEFORRESEARCHP romotinggoodpracticeandpreventingmiscond uctSeptember2009 TYRATIONAININGANDLLENCEHONESTYFETYCO-OPE RATIONILITYHONESTYTRAININGSAFETYEXCELLEN CEHONESTYCO-OPERATIONACCOUNTABILITYAININ GANDSKILLSSAFETYEXCELLENCEETYHONESTYCO-O PERATIONINTEGRITYACCOUNTABILITYTRAININGA NDSKILLSEXCELLENCEINTEGRITYSAFETYHONESTY GRITYCO-OPERATIONACCOUNTABILITYNDSKILLSS AFETYEXCELLENCEHONESTYACCOUNTABILITYTRAI NINGANDSKILNESTYSAFETYINTEGRITYCO-OPERBI LITYTRAININGANDSKILLSEGRITYCO-OPERATIONA SKILLSEXCELLENCENTABILITYSAFEGRITYCOSKIL LBILUKR esearchIntegrityOfficeRe co mme ndedche ck list for researcher sTheChecklistliststhekeypointsofgoodprac tice inre se archfora researchpr oj ectandis applicabletoal l subjectar e de tailedguidancecanbefoundin section3. A PDFve rsion is availa blefr e cond ucti ng yourre sea rch, and bear ing in mi nd that , subj ect to legaland ethicalreq uir em en ts , rolesan d con tr ibut ion s ma y changeduri ng the ti me spanof the RESEARCH :1 Does theproposedresearchad dress per ti nent question(s)andis it designedeithertoaddtoexi sti ngkn owled ge aboutthesu bjectinquestionortodevelopmeth ods for researchintoit?

2 2Is yourresearchdesignappropriateforth e question(s) be ingasked?3 Will youhave accessto al l nec essaryskill s and reso urc esto co nduct theresearch ?4 Hav e youconducteda riskassess menttodetermine:awhetherthereareanyet hi calissuesandwhetherethicsrevi ewis required;bthepote ntial forriskstotheorganisation,theresearch,or thehealt h, sa fe ty andwell-beingofre se arc hers and res ea rchpa rticipants;andcwhatle galre quire mentsgovern theresearch?5 Will yourresearchcomply withal l le galandeth ical requirement s andot her ap plicableguidelines,includi ngthose fr omother organisationsand/orcountries if relev ant?6 Will yourresearchcomply withal l require mentsof legislation and good pr acticere lating tohealthandsa fe ty ?7 Hasyourres earchunde rgone an y nec essa ryeth ic s review(see 4( a) above), especiallyif itinvolv es animals, humanpa rticipants,humanmaterialorpersonal da ta ?

3 8 Will yourresearchcomply withan y monitoringand audit requir ements?9Ar e youincompliancewithan y contrac tsandfinancialguidelin es rel ating totheproject?10 Hav e youreachedanagreement re la ting toin te lle ctu al propert y, public at ionandau thorship?11 Hav e youreachedanagreement re la ting tocoll aborat ivewor king, if ap pl ic able?12 Hav e youagreedth e roles ofre searc hers and responsibilitie s formanag ementand supervision?13 Hav e allconflicts ofinterestre la ting toyourre searc h been identified, declaredandaddressed?14Ar e youawar e oftheguidanc e fromall applic abl e organisationsonmisconductinresearch?Wh en cond ucti ng yo ur rese arch :1Ar e youfollowin g theagreedre searchde signfor thepro ject?2 Hav e anych angestoth e agreedre searc h designbe en rev iewed and ap pr oved if applicable?

4 3Ar e youfollowin g bestpracticeforth e coll ec tion,st or ageand manage ment of data?4Ar e agr eedrolesandresponsibil ities fo r manage ment andsu pe rvisionbe ingfulfilled?5Is yourres earchcomplyin g withanymonitor ingandaudit re quir ement s?Wh en fini sh in g you r rese arch :1 Will yourresearchand itsfi ndin gsbereport ed accur at ely , honest lyandwithinareasonableti meframe?2 Will all contributionstothere searchbeacknowled ge d?3Ar e agr eementsrelatingtointell ec tual propert y, publ icationand au thorshipbeingcompliedwith?4 Will res earchdatabere tained in a secur e and ac cessible fo rmandforth e re quiredduration?5 Will yourresearchcomply withal l le gal, ethical andcontr ac tua l requi re ment s?CODEOFPRACTICEFORRESEARCHP romotinggoodpracticeandpreventingmiscond uctSeptember2009 UKResearchIntegrityOfficeUKRIO2 UK Re se arc h Int egrit y Of fi ce 2009 The co pyr ight fo r this publi cati on is he ld by the UK Res earchIntegrityOf mat er ial may be copi ed or rep ro duced pr ovi ded tha t th e source isac knowledgedand the ma te ri al , who ll y or in pa rt, is no t us ed for co mmerc ialgain.

5 Use of the materialfo r commerc ia l ga in requi res the pr io r wr ittenper mi ssi on of the UK Resea rch Int egr it y Offi pub li cat io n can be downloa ded in pdf fo rmatfr om the UK ResearchInt egr ity Offi ce rg and rea der s and us er s of the Co de ofPra cti ce are reco mm ended to che ck ther e fo r up da tes .UKRI O s funders and part ne rs :UKRI O ha s the supportof a numb er of UK orga nis atio ns withinter es ts inre se arch,including the fo ur UK De part mentsof Hea lth, the four UK HigherEd ucati on Funding Councils, the Acade my of Medica l Sc iences,the As so cia tionof the Bri ti sh Pharmaceuti ca l Industry, the Assoc iatio n of UK Univ er sityHospi tal s, the Bio technologyand Biol ogic al SciencesRes ea rch Co unci l, theCom mi tte e on Publi cati on Et hic s, the Ge nera l Me di cal Co unc il , the MedicalRe se archCo unci l, the Medi ca l Schools Council, the Medicines and Heal thc ar epro ductsRe gulatory Age ncy , Re se arch Co uncils UK, the Ro ya l Col legeofPhy si cian s.

6 The Royal Coll ege of Phy sici ans of Edinburgh, the Ro yal So ciety,Uni ver sit ie s UK and rese arc h char it ie s incl udingthe Wel lc om e Tr O is ho st ed by Un ive rsi ties UK .Uni ver sit ie s UKRe gis ter ed Offi ce: Woburn House, 20 Tavistock Squa re, Lon do n WC1H 9H QSwitc hbo ard tel + 44 (0)2074 19 4111 dir ect fa x +44 (0) 20 7388 62 sit ie sUK .a Ema il inf o@Univ er sitiesUK. ac. ukRe gis ter ed Co mpany No. 251 701 8 Re gis ter ed Cha rity No. 1001 127Te xt de sign by John Ald ridgeand Ge off rey Wa dsleyCov er des ign by John Aldri dgePro ducedby Aldr idg e Pre ss, Chi swi ck, Londonenqu iri es @aldrid ted by MWLP rint Gro up , Pont yp oo l, Wa les3 ContentsRecommen ded ch ecklis t for res ear che rsins ide fr ont cover1 Intr od ucti on41.

7 12 Foo tnoteto the first edit ion62 Principles73 Standards for org ani sat ions and rese archers93. 1 Ge nera l gu ida nce on go od pract ic e in research93. 2 Le ade rshipand super vi sio n103. 3 Trainingand me nto ring103. 3 Res earc h des ign113. 5 Co lla bora tive wo rking123. 6 Co nflictsof int eres t123. 7 Res earc h involving hu manpa rti cipants, human material or personal da ta133. 8 Res earc h involving animals153. 9 Health and sa fe ty153. 10 Inte llectual property163. 11 Fi na nce163. 12 Co lle ctio n and ret ent ion of data163. 13 Monitoringand audi t173. 14 Pee r review183. 15 Publication and aut horship183. 16 Misco nductin res earc h19Ap pen dix: Ack nowledgements and bibiography2141. 1 The UK Res ear ch Int egrit y Off ic e s Cod e of Pr ac ti ce for Resea rch ha s bee n designedtoen co ura ge go od cond uc t in res ear ch an d helpprev ent misconduc t, in or der to assistorg anisa ti ons and rese archers to conduc t res earchof the highestqua lity.

8 It prov id esgene ra l principles and st and ard s fo r goo d prac tic e in RESEARCH , applic able to bothindi vi du al re sea rc hersand to org ani sa tionsthat car ry out, fun d, hostor are oth erwiseinvo lved in re se ar 2 The Codeis applicableto all su bje ct areasand does not attempt to mic ro-ma na geres ea rch. Recognising thatmany for ms of guidancealreadyexist,the in tent ion is thatres ea rch orga nis ations may us e the prin ciplesand standards outlined in this Codeasbenc hm ar ks whendr aft ing or re vis ing their own,moredet ailed, cod es of pra ctic e. Nosing le publication can ex pec t to cove r the nuances of all typ es of RESEARCH in alldis ci pli ne s; the refore, the Cod e shouldnot be seenas pres crip tiv e but as a se t of guidingprinci ples and sta ndar ds to informthe managementan d con duct of res ea rc 3Th e Co de co ve rs are as of goo d pr acticein RESEARCH typ ica lly incl ud ed in organisationalpol ic ies fo r the co nd uct of re sear ch, drawi ng up on existinggoo d prac tice and the experiencesof the UK Re se archIn teg rit y Offi ce (UKRIO) in addre ssi ng go od cond uct an d misconduct inre sear ch.

9 Deta ile d gu id anceis gi ven on corestandardsfor go od prac tic e in re searchbutpart icu lar at te nt ion has be en paid to area s whe re UKR IO has mos t oftenbeen ap pr oachedfor guidance,in the ho pe of passing on lessonsle arne d to the res earchco 4 The Codeco mplement s ex is ti ng and forthcomingguidance on re sear ch conduct,suc h asth at pro vi de d by Res earc h Councils UK, th e WellcomeTrustor the Coun ci l fo r ScienceandTec hno log y. Similarl y, the Cod e com ple mentsorganisati on al polici es, suc h as th ose forhea lth and safety , raisi ng concerns at work,or managementof fina nc es or of intellectualproperty, and do es not seek to replace of the ben ch marks conta in ed in th isCo de can assis t re sear ch organisatio ns in fulf illingthe requ ire men ts of regulatory , fundingan d othe r re leva nt bodi es, and ensu re that important issueshave not beenov er 5UK RI O reco gni ses thatthereare manyorganisation s whi ch issu e guid an ce on th econductof res ear ch to the UK rese ar ch community.

10 For som e time,UKR IO has beenwo rk ing withorga nis atio ns suc h as Res ear ch CouncilsUK and th e Dep ar tment of Hea lth,wi th a vi ew ultimately to st reamline guid anc e on goodpra ct ice in RESEARCH , to ensu reclar ity for the re se ar ch com munity and av oid duplication of ef for 6 The Codeis org ani sed in the followingSec ti ons:a)Secti on 2 co nt ains broadPri nci ples whichdefi ne the responsib ilitiesan d valu es in theconductof re sea rch by bo th rese arc her s and researchor ga ni sa )A one -pageReco mm end ed Checkli st for Researcherscan be foun d on the insideofth e fr ont co ve r. This is a non-technical checklistsummarisingth e key poi nts of goodpracti ce in re se ar ch and is applicab le to all subj ec t area s.