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Not Ting Ham Response Doc 3 of 4

Not Ting Ham Response Doc 3 of 4

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10/01/2010

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University of NottinghamCode of Research Conduct and Research Ethics
Authorised by: Date:January2010The Research Committee Version: 3.01. To whom, and to what, does the Code apply?
The University of Nottingham requires all of its staff and students who are engaged inresearch to maintain the highest standards of integrity in the conduct of that research.This Code of Research Conduct provides a framework for the governance of all researchthroughout the University. It requires that all researchers adhere to the higheststandards of performance and ethical conduct and to all applicable statutes andGovernment guidelines in carrying out their research.The Code follows the principles set out in University Statutes (Section 35) and seeks toensure that academic staff have freedom within the law to question and test receivedwisdom, and to put forward new ideas and controversial and unpopular opinions, withoutplacing themselves in jeopardy of losing their jobs or privileges.The Code applies to all employees, students, visiting and emeritus researchers, whetherthey are working on the University’s premises or elsewhere.The Code applies to all research deliverables and outputs in whatever form, and to allresearch activity, however it is funded.The document refers to "Schools" throughout. This term is taken to include stand aloneInstitutes and centres where this is appropriate. A list of terms and definitions is given inappendix A.
2. The Context
This Code takes reference from and follows the UK Research Integrity Office’s Code of Research Conduct, 2009. The overarching UKRIO Code was written on behalf of theUniversity sector and provides a basis for the conduct of all research in academia. The UKResearch Integrity Office (UKRIO) is an independent advisory body, offering advice andguidance on the good practice of research and how to address misconduct in research. Itis hosted by Universities UK and funded by a range of stakeholders including the fundingcouncils, the UK Departments of Health and the research councils.The Code is linked to and operates in conjunction with other University policies andprocedures which are described in theStaff Handbook, which forms part of each contractof employment (http://www.nottingham.ac.uk/staff-handbook/section-3/) and theQuality Manual(http://www.nottingham.ac.uk/quality-manual/) which is relevant to both staff and students. Some policies derive from Acts of Parliament, such as Health andSafety at Work, Data Protection and the Medicines for Human Use (Clinical Trials)Regulations. Other policies derive from guidelines issued by government departments,such as the Department of Health’s Research Governance Framework for Health andSocial Care.Many funders of research have developed their own codes of conduct and/or detailedterms and conditions of award which must also be adhered to by grant holders, their hostdepartments and the host institution. Some terms and conditions may requireconfidentiality concerning the research project. In some research areas there will beother considerations to be taken into account, such as profession-specific codes of conduct or practice and the need for specific qualifications or skills accreditation. Those
 
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undertaking research are required to observe new developments in their field and tomeet any requirements for good research conduct as they arise. The Code also includes adefinition of, and procedures for dealing with, allegations of research misconduct. Theseare linked to the University’s staff and student disciplinary procedures and procedures onpublic interest disclosure.The Code and its implementation will be reviewed on an annual basis taking into accountchanges and recommendations from external research funders, Acts of Parliament andother legislations. This review will be undertaken by the University’s Research EthicsCommittee, in conjunction with and ratified by the University's Research and KnowledgeTransfer Board and coordinated by Research Innovation Services.
3. Foundations and specific requirements for good research practice
Everyone involved in research in the University owes a duty of accountability to society,to their profession, to the University, to all participants in the research and to its funders.Staff must accept full responsibility for their own conduct of that research and theactivities of all staff, students and others under their direction or supervision.Researchers must be honest and lawful in respect of their own actions in research and intheir responses to the actions of other researchers. This applies to the whole range of research work, outputs and deliverables, including applying for funding, experimentaldesign, generating and analysing data, publishing results, and acknowledging the directand indirect contribution of colleagues, collaborators and others. Plagiarism, deception orthe fabrication or falsification of results shall be regarded as research misconduct and aserious disciplinary offence. Researchers should declare and manage any real or potentialconflicts of interest.The training needs of academics at all career stages should be considered, to ensure thatresearch project management skills reflect best practice in the sector, and discussion of these should be included within the University's Activity/Performance review process.Senior research staff should ensure that appropriate induction and training is provided forresearchers who have recently joined the University or are new to the research studiesthey are about to undertake. They should also ensure that all personnel associated withthe project are competent to perform the technical, scientific and support tasks requiredof them. Personnel undergoing training must be supervised at a level such that thequality of the results is not compromised by the inexperience of the researcher.Guidelines for the allocation of responsibility between the Chief/Principal Investigator, theSchool and Research Innovation Services for the project management, costing andpricing and authorisation of research proposals with external funders is detailed in theResponsibilities Document:http://www.nottingham.ac.uk/ris/local/funding-systems-and-guidance/Responsibilities_document_version3.pdf In addition Research staff, particularly research team leaders and Chief/PrincipalInvestigators, must take responsibility for:3.1 The ethical basis and design of their research projects – researchers must ensurethat research projects are ethically sound and have received the approval of therelevant ethics committee(s) and all relevant statutory regulatory authorities beforethey commence;3.2 The safety of all involved in the research process, ensuring that the research iscarried out in accordance with health and safety policies and legislativerequirements;3.3 Ensuring that research is conducted in a suitable working environment withappropriate equipment and facilities;3.4 The probity of the financial management of all research projects, and for seeking toprovide the optimum value for the public or private funders who have invested inthem including effective project management to agreed project plans and
 
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appropriate quality standards, as well as the timely delivery of any scheduledtangible outcomes;3.5 Management of research data in accordance with the Data Protection Act 1998 andany other legal provisions, conditions and guidelines that may apply to the handlingof personal information (see 4.1, below);3.6 Undertaking professional development appropriate to the research;3.7 Ensuring that personal records of research progress, including authorised laboratorybooks, are maintained to the recommended or required standards, and that nofalsification of results occurs. Laboratory books must be signed and dated by theresearcher, and signed off by the supervisor;3.8 Ensuring confidentiality in order to achieve protection of intellectual property rightswhere appropriate;3.9 Ensuring that research findings are suitably disseminated;3.10 Ensuring research subjects participate in a voluntary way, free from any coercion;3.11 Avoiding harm to participants and minimising any adverse effect that the researchmay have on people, animals and the natural environment and property.3.12 Be alert to the ways in which research derives from and affects the work of otherpeople, and respect the rights and reputations of others.
4. Data
Distinction shall be drawn between personal and research data. Personal data is any databy which possession of could identify an individual. Research data are the metricscollected as part of the research and solely by which an individual cannot be identified.Personal data may also be research data.All processing of personal data (which includes the obtaining and storage of data) mustcomply with the terms of the Data Protection Act 1998. It is recommended thatresearchers familiarise themselves with published guidance which interprets theapplication of the Act and any other relevant legislation that is pertinent to specific fieldsof research.Some central issues for researchers are:4.1 Personal data4.1.1All staff and students using personal data in research have a duty of confidence to the individuals concerned;4.1.2Unless there are ethically and legally justified reasons for doing otherwise,researchers must ensure that they have each study participant’s explicitinformed written consent to obtain, hold and use their personal information;4.1.3Only personal information pertinent to the research should be collected;4.1.4Data security arrangements must be sufficient to prevent unauthorisedbreaches of confidentiality;4.1.5Personal data should not be kept for longer than is necessary.4.2 Research data4.2.1Data must be recorded in a durable form with appropriate references;4.2.2Data must be retained intact for a period of at least seven years from the dateof any publication which is based upon them. Data should be stored in theiroriginal form – i.e. tapes/discs etc should not be deleted and reused, but keptsecurely as outlined.4.2.3Schools must have procedures for the retention of data. These proceduresmust be made known to all of their staff and students, who must comply withthem.

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