ETHICS LJMU Code of Practice For Research
ETHICS LJMU Code of Practice For Research
ETHICS LJMU Code of Practice For Research
RESEARCH
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Contents
Section 1 - Introduction........................................................................................................... 3
3.7 Research involving human participants, human material or personal data .................... 8
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Section 1. Introduction
1.1 Liverpool John Moores University’s Code of Practice for Research, hereafter referred to
as the Code, has been adapted from the UK Research Integrity Office Code of Practice for
Research www.ukrio.org/publications/code-of-practice-for-research/. It also aligns closely
with the Universities UK Concordat to support research integrity
http://www.universitiesuk.ac.uk/highereducation/Pages/Theconcordattosupportresearchinteg
rity.aspx#.VH9Hgf5ybdY. As such the Code takes into account sector-wide developments in
this area and has been designed to encourage good conduct in research and help prevent
misconduct, enabling researchers to conduct research of the highest quality by providing
general principles and standards for good practice in research.
1.2 The Code is applicable to all subject areas and does not attempt to micromanage
research. No single publication can expect to cover the nuances of all types of research in
all disciplines; therefore, the Code should not be seen as prescriptive but as a set of guiding
principles and standards to inform the management and conduct of research.
1.3 The Code covers areas of good practice in research with detailed guidance given on
core standards for good practice in research.
1.4 The Code complements existing and forthcoming guidance on research conduct, such
as that provided by Research Councils UK, the Wellcome Trust or the Council for Science
and Technology. Similarly, the Code complements other Universities policies, such as those
for health and safety, raising concerns at work, or management of finances or of intellectual
property, and does not seek to replace them.
1.6 Note that, for the purposes of this Code, “research” refers to the definition used for the
Research Excellence Framework in 2014 (REF2014) as published in the REF2014
Assessment Framework and guidance on submissions, p.48;
http://www.ref.ac.uk/pubs/2011-02/:
Section 2. Principles
2.1 Researchers should adhere to the following Principles, which set out the responsibilities
and values relevant to research. While some elements may seem self-evident, and there is
some overlap, these Principles aim to encourage all involved in research to consider the
wider consequences of their work and to engage critically with the practical, ethical and
intellectual challenges that are inherent in the conduct of high quality research.
2.3 EXCELLENCE: researchers should strive for excellence when conducting research and
aim to produce and disseminate work of the highest quality.
2.4 HONESTY: researchers should be honest in relation to their own research and that of
others. They should do their utmost to ensure the accuracy of data and results, acknowledge
the contributions of others, and neither engage in misconduct nor conceal it.
2.5 INTEGRITY: researchers must comply with all legal and ethical requirements relevant
to their field of study. They should declare any potential or actual conflicts of interest
relating to research and where necessary take steps to resolve them.
2.7 ACCOUNTABILITY: researchers should recognise that in and through their work they
are ultimately accountable to the general public and should act accordingly. They should
ensure that any research undertaken complies with any agreements, terms and conditions
relating to the project, and allows for proper governance and transparency. Researchers
should follow the requirements and guidance of any professional bodies in their field of
research. Researchers who are members of a regulated profession must follow the
requirements and guidance of the body regulating their profession.
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2.8 TRAINING AND SKILLS: researchers should ensure that they have the necessary
skills, training and resources to carry out research, in the proposed research team or
through collaboration with specialists in relevant fields, and report and resolve any unmet
needs identified.
2.9 SAFETY: researchers should ensure the dignity, rights, safety and wellbeing of all
involved in research and avoid unreasonable risk or harm to research subjects, patients,
participants, researchers and others. They should report and address any concerns
relating to the dignity, rights, safety and wellbeing of those involved in research. Research
should be initiated and continued only if the anticipated benefits justify the risks involved.
3.1.2 When conducting, or collaborating in, research in other countries, researchers based in
the UK should comply with the legal and ethical requirements existing in the UK and in the
countries where the research is conducted. Similarly, researchers based abroad who
participate in UK hosted research projects should comply with the legal and ethical
requirements existing in the UK as well as those of their own country.
3.1.3 Researchers should ensure that all research projects have sufficient arrangements
for insurance and indemnity prior to the research being conducted.
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3.2.2 Researchers involved in the supervision and development of other researchers should
be aware of their responsibilities and ensure that they have the necessary training, time and
resources to carry out that role, and request support if required.
3.4.2 Researchers should conduct a risk assessment of the planned study to determine:
a) whether there are any ethical issues and whether ethics review is required;
b) the potential for risks to the organisation, the research, or the health, safety and
wellbeing of researchers and research participants; and
c) what legal requirements govern the research.
3.4.3 Where the design of a study has been approved by ethics, regulatory or peer review,
researchers should ensure that any subsequent alterations to the design are subject to
appropriate review to determine that they will not compromise the integrity of the research or
any terms of consent previously given.
3.4.4 Researchers should try to anticipate any risks that the proposed research might
produce results that could be misused for purposes that are illegal or harmful.
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Researchers should report any risks to, and seek guidance from, the appropriate person(s)
in their organisation and take action to minimise those risks.
3.5.2 Researchers should be aware of the standards and procedures for the conduct of
research followed by any organisations involved in collaborative research that they are
undertaking. They should also be aware of any contractual requirements involving partner
organisations, seeking guidance and assistance where necessary and reporting any
concerns or irregularities to the appropriate person(s) as soon as they become aware of
them.
3.5.3 Researchers should try to anticipate any issues that might arise as a result of working
collaboratively and agree jointly in advance how they might be addressed, communicating
any decisions to all members of the research team. In particular, agreement should be
sought on the specific roles of the researchers involved in the project and on issues relating
to intellectual property, publication, and the attribution of authorship, recognising that,
subject to legal and ethical requirements, roles and contributions may change during the
time span of the research.
3.6.2 When addressing a conflict of interest, it must be decided whether it is of a type and
severity that poses a risk of fatally compromising the validity or integrity of the research, in
which case researchers should not proceed with the research, or whether it can be
adequately addressed through declarations and/or special safeguards relating to the
conduct and reporting of the research.
3.6.3 Researchers should comply with their organisation’s policy for addressing conflicts of
interest, as well as any external requirements relating to conflicts of interest, such as those
of funding bodies. This should include declaring any potential or actual conflicts of interest
relating to their research to: their manager or other appropriate person; any ethics committee
which reviews their research; and when reporting their findings at meetings or in
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publications. Conflicts of interest should be disclosed as soon as researchers become aware
of them.
3.6.4 Researchers should agree to abide by any direction given by Liverpool John
Moores University or any relevant ethics committee in relation to a conflict of interest.
3.7.2 When conducting, or collaborating in, research in other countries, researchers based in
the UK should comply with the legal and ethical requirements existing in the UK and in the
countries where the research is conducted. Similarly, researchers based abroad who
participate in UK hosted research projects should comply with the legal and ethical
requirements existing in the UK as well as those of their own country.
3.7.3 Researchers should ensure the confidentiality and security of: personal data relating to
human participants in research; and human material involved in research projects.
3.7.4 Researchers working with, for, or under the auspices of, any of the UK Departments of
Health and/or the National Health Service (NHS) must adhere to all relevant guidelines, for
example the Department of Health’s Research Governance Framework for Health and
Social Care and the guidance provided by the Health Research Authority. Researchers
involved in clinical trials on medicinal products for human use should comply with the
principles of Good Clinical (Research) Practice.
3.7.5 Researchers should submit research projects involving human participants, human
material or personal data for review by all relevant ethics committees and abide by the
outcome of those reviews. They should also ensure that such research projects have
been approved by all applicable bodies, ethical, regulatory or otherwise.
3.7.6 Researchers on projects involving human subjects must satisfy themselves that
participants are enabled, by the provision of adequate accurate information in an
appropriate form through suitable procedures, to give informed consent, having particular
regard to the needs and capacities of vulnerable groups, such as the very old, children
and those with mental illness.
3.7.7 Researchers should inform research participants that data gathered during the course
of research may be disseminated not only in a report but also in different forms for
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academic or other subsequent publications and meetings, albeit not in an identifiable form,
unless previously agreed to, and subject to limitations imposed by legislation or any
applicable bodies, ethical, regulatory or otherwise.
3.7.8 Researchers who are members of a regulated profession must ensure that research
involving human participants, human material or personal data complies with any standards
set by the body regulating their profession.
3.7.9 Researchers have a duty to publish the findings of all clinical research involving
human participants. In addition, it is government policy to promote public access to
information about any research and research findings affecting health and social care,
including the principle that trials should appear on public registers. In this context “trials”
means all comparative studies of health interventions, not just ones conducted in a clinical
setting.
3.8.2 When conducting, or collaborating in, research in other countries, researchers based in
the UK should comply with the legal and ethical requirements existing in the UK and in the
countries where the research is conducted. Similarly, researchers based abroad who
participate in UK hosted research projects should comply with the legal and ethical
requirements existing in the UK as well as those of their own country.
3.8.3 Researchers should submit research projects involving animals for review by all
relevant ethics committees and abide by the outcome of that review. They should also
ensure that such research projects have been approved by all applicable bodies,
ethical, regulatory or otherwise.
3.8.4 If researchers consider that animals involved in research are subject to unreasonable
risk or harm, they must report their concerns to their manager or other appropriate person,
and, where required, to the appropriate regulatory authority.
3.9.2 Researchers should submit such research for all forms of appropriate review and
abide by the outcome of that review.
3.10.2 Researchers should not give prior disclosure of research or the findings of research
when this might invalidate any commercial property rights that could result. Researchers
should recognise, however, that the presumption should be that any intellectual property
discovered or developed using public or charitable funds should be disseminated in order to
have a beneficial effect on society at large. That presumption may be rebutted where there
is an express restriction placed on any such dissemination. Any delay in publication and
dissemination pending protection of intellectual property should be kept to a minimum.
3.10.3 Researchers should comply with any additional conditions relating to intellectual
property required by funding bodies.
3.10.4 Researchers should try to anticipate any issues that might arise relating to intellectual
property at the earliest opportunity and agree jointly in advance how they might be
addressed, communicating any decisions to all members of the research team.
3.11 Finance
3.11.1 Researchers should ensure that the terms and conditions of any grant or contract
related to the research are adhered to.
3.11.2 Researchers should comply with Liverpool John Moores University guidelines
regarding the use and management of finances relating to research projects. They should
cooperate with any monitoring and audit of finances relating to research projects and report
any concerns or irregularities to the appropriate person(s) as soon as they become aware of
them.
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3.12 Collection and retention of data
3.12.1 Researchers should comply with all legal, ethical, funding body and organisational
requirements for the collection, use and storage of data, especially personal data, where
particular attention should be paid to the requirements of data protection legislation. They
should also maintain confidentiality where undertakings have been made to third parties or
to protect intellectual property rights. Researchers should ensure that research data relating
to publications is available for discussion with other researchers, subject to any existing
agreements on confidentiality.
3.12.2 Data should be kept intact for any legally specified period and otherwise for three
years at least, subject to any legal, ethical or other requirements, from the end of the
project. It should be kept in a form that would enable retrieval by a third party, subject to
limitations imposed by legislation and general principles of confidentiality.
3.12.3 Researchers should comply with any subject specific requirements for the retention
of data; for example, certain disciplines, such as health and biomedicine, may require
research data to be retained for a considerably longer period.
3.12.4 If research data is to be deleted or destroyed, either because its agreed period of
retention has expired or for legal or ethical reasons, it should be done so in accordance with
all legal, ethical, research funder and organisational requirements and with particular
concern for confidentiality and security.
3.12.5 Researchers should consider how data will be gathered, analysed and managed,
and how and in what form relevant data will eventually be made available to others, at an
early stage of the design of the project.
3.12.6 Researchers should collect data accurately, efficiently and according to the agreed
design of the research project, and ensure that it is stored in a secure and accessible
form.
3.13.2 Researchers should consider any requirements for monitoring and audit at an early
stage in the design of a project.
3.13.4 Researchers should cooperate with the monitoring and audit of their research
projects by applicable bodies and undertake such when required. They should cooperate
with any outcomes of the monitoring and audit of their research projects. If they become
aware of a need for monitoring and audit where it is not already scheduled, they should
report that need to the appropriate person(s).
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3.14 Peer review
3.14.1 Researchers should be aware that peer review is an important part of good practice in
the publication and dissemination of research and research findings; the assessment of
applications for research grants; and in the ethics review of research projects.
3.14.2 Researchers who carry out peer review should do so to the highest standards
of thoroughness and objectivity.
3.14.3 Researchers should maintain confidentiality and not retain or copy any material under
review without the express written permission of the organisation which requested the
review. They should not make use of research designs or research findings from a paper
under review without the express permission of the author(s) and should not allow others to
do so. Researchers acting as peer reviewers must declare any relevant conflicts of interest.
3.14.4 While carrying out peer review, researchers may become aware of possible
misconduct, such as plagiarism, fabrication or falsification, or have ethical concerns about
the design or conduct of the research. In such cases they should inform, in confidence,
an appropriate representative of the organisation which requested the review, such as the
editor of the relevant journal or chair of the relevant grants or ethics committee.
3.15.2 Researchers should address issues relating to publication and authorship, especially
the roles of all collaborators and contributors, at an early stage of the design of a project,
recognising that, subject to legal and ethical requirements, roles and contributions may
change during the time span of the research. Decisions on publication and authorship should
be agreed jointly and communicated to all members of the research team.
3.15.3 Authorship should be restricted to those contributors and collaborators who have
made a significant intellectual or practical contribution to the work. No person who fulfils the
criteria for authorship should be excluded from the submitted work. Authorship should not
be allocated to honorary or “guest” authors (i.e. those that do not fulfil criteria of
authorship). Researchers should be aware that anyone listed as an author of any work
should be prepared to take public responsibility for that work and ensure its accuracy, and
be able to identify their contribution to it.
3.15.4 Researchers should list the work of all contributors who do not meet the criteria for
authorship in an acknowledgements section. All funders and sponsors of research should
be clearly acknowledged and any competing interests listed.
3.15.5 Researchers must clearly acknowledge all sources used in their research and
seek permission from any individuals if a significant amount of their work has been used
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in the publication.
3.15.6 Researchers must adhere to any conditions set by funding or other bodies
regarding the publication of their research and its findings in open access repositories
within a set period.
3.15.7 Researchers should declare any potential or actual conflicts of interest in relation to
their research when reporting their findings at meetings or in publications.
3.15.8 Researchers should be aware that submitting research reports to more than one
potential publisher at any given time (i.e. duplicate submission) or publishing findings in
more than one publication without disclosure and appropriate acknowledgement of any
previous publications (i.e. duplicate publication) is unacceptable.
3.15.9 Researchers who are discouraged from publishing and disseminating their research
or its findings, or subjected to attempts to influence the presentation or interpretation of
findings inappropriately, should discuss this with the Director of Research & Innovation
Services so that the matter can be resolved.
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Section 4. Recommended Checklist for Researchers
Before conducting your research, and bearing in mind that subject to legal and
ethical requirements, roles and contributions may change during the time span of
the research:
1. Does the proposed research address pertinent question(s) i.e. what is the
significance* of the research?
2. Is the proposed research designed either to add to existing knowledge about the
subject in question or to develop methods for research into it? In essence, can you
demonstrate the originality* of your research?
3. Is your research design appropriate for the question(s) being asked? Can you
demonstrate the rigour of your research?
4. Do you have, or will you have access to all necessary skills and resources to conduct the
research? Details the Researcher Development Programme is available at
http://www.ljmu.ac.uk/RGSO/training/index.htm
6. Will your research comply with all legal and ethical requirements and other applicable
guidelines, including those from other organisations and/or countries if relevant?
7. Will your research comply with all requirements of legislation and good practice relating
to health and safety?
8. Has your research undergone any necessary ethics review (see 5(a) above), especially if
it involves animals, human participants, human material or personal data?
9. Will your research comply with any monitoring and audit requirements (particularly where
research involves human tissue or where the University is the sponsor of research
conducted with the NHS)?
10. Are you in compliance with any contracts and financial guidelines relating to the project?
Originality, significance and rigour are three component elements of the assessment criteria in the Research
Excellence Framework (REF) http://www.ref.ac.uk/
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11. Have you reached an agreement relating to intellectual property, publication and
authorship?
13. Have you agreed the roles of researchers and responsibilities for management
and supervision?
13. Have all conflicts of interest relating to your research been identified, declared and
addressed?
14. Are you aware of the guidance from all applicable organisations on misconduct
in research? http://www.ljmu.ac.uk/RGSO/99019.htm
1. Are you following the agreed research design for the project?
2. Have any changes to the agreed research design been reviewed and approved
if applicable (including ethical approval)?
3. Are you following best practice for the collection, storage and management of data?
http://www.ljmu.ac.uk/RGSO/125839.htm
4. Are agreed roles and responsibilities for management and supervision being fulfilled?
1. Will your research and its findings be reported accurately, honestly and within a
reasonable time frame?
4. Will research data be retained in a secure and accessible form and for the required
duration?
5. Will your research comply with all legal, ethical and contractual requirements?
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