Research misconduct
At Essex, we create and encourage an environment in which responsible and ethical research, following best practice within the sector, is considered of primary importance. As a ‘researcher in training’, you (along with your supervisor) are responsible and accountable for undertaking and presenting your research with a commitment to academic and research integrity.
You are expected to be a responsible researcher, who contributes to the culture of integrity amongst our research community. This involves undertaking your research using verifiable methods, with good data management protocols, and presenting your research in a clear, careful and transparent way. These principles apply to all types of research design, methodology and research output.
University expectations
The University expects all students:
- to carry out their research with rigour, respect, and integrity
- to behave with honesty and integrity in relation to coursework, examinations, and other assessed work
- to be familiar and act in accordance with the conventions of academic writing including appropriate referencing of sources and acknowledgement of assistance
- to show understanding of ethical considerations and be compliant with the relevant University procedures
What is research misconduct?
Research misconduct (sometimes referred to as an academic offence for undergraduate and postgraduate taught courses) is defined as any breach of the University’s Code of Good Research Practice (.pdf), or other practices that seriously deviate from those that are commonly accepted within the academic and research communities for proposing, conducting, reporting, translating or using research.
Examples of research misconduct
Examples of research misconduct include (though are not restricted to):
- fabrication, including the creation of false data or other aspects of research, including documentation and participant consent
- falsification, including the inappropriate manipulation and/or selection of data, imagery and/or consents
- misrepresentation of data and/or interests and/or involvement and/or qualifications, experience or credentials and/or publication history
- plagiarism, including the general misappropriation or use of others’ ideas, intellectual property or work (written or otherwise), without acknowledgement or permission
- failure to follow required legal, regulatory or professional obligations or processes
- failure to declare actual or potential conflicts of interest to supervisor(s) or others as required
- failure to follow accepted procedures or to exercise due care in carrying out responsibilities for avoiding unreasonable risk or harm to humans, animals used in research or the environment
- any breach of data protection legislation or failure to follow accepted procedures or to exercise due care in carrying out responsibilities for the proper handling of privileged or private information on individuals or organisations collected during the research
- improper conduct in peer review (or equivalent) of research proposals, results, manuscripts or other processes
- intentional damage to, or removal of, the research-related property of another
- improper dealing with allegations of misconduct
- intentional non-compliance with the terms and conditions governing the award of external funding for research; the University’s policies and procedures relating to research, including accounting requirements, ethics, and health and safety regulations; or any other legal or ethical requirements for the conduct of research.
At Essex, if a PGR student is suspected of research misconduct, they will be subject to the Research Integrity and Research Misconduct Procedures (.pdf).
For research students where the form of assessment is more akin to taught assessment (as determined by the Faculty Dean (Postgraduate)), the Faculty Dean may, as an initial action, apply instead the procedures applicable for postgraduate taught students under the Academic Offences Procedure including the range of penalties that may be applied.
How to avoid research misconduct
As a researcher you are expected to uphold the highest standards of rigour and integrity in all aspects of your research. You want to establish confidence and trust in your research and the methods you have used. All research involving human participants and animals, whether undertaken by the University's staff or students, must undergo an ethics review and ethical approval must be obtained before it commences.
The University has produced a number of resources to support and guide you; these range from supporting appropriate data management, guidance on authorship and writing skills and supporting you through the ethical approval process at Essex.
You should consult the research integrity webpages to familiarise yourself with the University Code of Good Research Practice and the Concordat to Support Research Integrity. The research governance webpage includes information on research data management, the ethical approval process, research risk assessments and handling security-sensitive research materials.
There is also an academic integrity, authorship and plagiarism tutorial to complete.
External resources to consult include:
- UK Research Integrity Office's (UKRIO) Code of Practice for Research
- UKRIO checklist for researchers (.pdf)
- UK Research and Innovation Research Integrity
- Good research resource hub – UKRI
What to do if you are referred for investigation
If you are referred for investigation via the Research Integrity and Research Misconduct Procedures, please read this guidance in conjunction with the Research Integrity and Research Misconduct Procedures (.pdf) .
A presumption of innocence is maintained until the investigation process is complete. The University is committed to ensuring that all allegations of research misconduct are investigated thoroughly, fairly, expeditiously, and with care and sensitivity. Any postgraduate research student studying at the University of Essex who is subject to investigation through the Research Integrity and Research Misconduct Procedures may seek support and guidance via the Student Services Hub and any other student support services, or independently from SU Advice.
A student has the right to reply to any allegation and must be given the opportunity to meet with the named person – the person appointed to conduct the investigation – or the relevant investigator at any stage of the procedure, before a final decision about the allegation is made. Right to reply may be submitted in the form of either a written or oral representation.
A student who is subject to investigation via the Research Integrity and Research Misconduct Procedures should consult the full procedure document for information and definitions associated with the process to be followed. Further advice and guidance can be sought from the PGRE Team at pgresearch@essex.ac.uk
Outcomes, penalties and implications
Following investigation of an allegation of research misconduct, the outcome could result in dismissal of the case. It could also be the case that the allegation is not upheld but there are arising issues which will be addressed through education and training. In this case, the Faculty Dean (Postgraduate) will work with relevant University staff to establish a programme of training or supervision.
Guidelines and example outcomes, penalties and actions that could be applied following the investigation of an allegation of Research Misconduct in Postgraduate Research are outlined below.
The following instances of research misconduct may be dealt with by the Investigator at level 1:
- a first instance of plagiarism (including the general misappropriation or use of others’ ideas, intellectual property or work (written or otherwise), without acknowledgement or permission) in informal submissions of work or formal submissions to the Supervisory Panel prior to the formal submission for examination
- a first instance of misrepresentation of data which is judged to have been owing to error, misunderstanding or other extenuating circumstances
All other instances must be considered by the named person and referred to level 2 or level 3 of the procedure if not dismissed during the initial assessment.
Outcome and penalty examples
The following are examples of outcomes and penalties that could be applied, following the investigation of an allegation of research misconduct against a postgraduate research student, in cases where the decision is to partially or fully uphold the allegation of misconduct in research.
Level 1 outcomes and penalties
- Referral to research integrity training (this outcome could also be used in conjunction with any of the subsequent outcomes listed below for Level 1 outcomes)
- Formal written warning
- The student be required to resubmit the thesis drafts (i.e. in cases of pre-submission assessment of thesis) with minor amendments only, as determined by the investigator/named person/Research Misconduct Panel
Level 2 outcomes and penalties
- Referral to research integrity training (this outcome could also be used in conjunction with any of the subsequent outcomes listed below for Level 2 outcomes)
- Formal written warning
- The student be required to resubmit the thesis with minor amendments only (this applies to thesis drafts in cases of pre-submission assessment of thesis), as determined by the investigator/named person/Research Misconduct Panel
Level 3 outcomes and penalties
- Referral to research integrity training (this outcome could also be used in conjunction with any of the subsequent outcomes listed below for Level 3 outcomes)
- Formal written warning
- The student be required to resubmit the thesis with minor amendments only, as determined by the investigator/named person/Research Misconduct Panel
- The student be required to resubmit the thesis with major amendments, as determined by the named person/Research Misconduct Committee, for consideration of a lower award (i.e. the student be downgraded to an MPhil or Masters by Dissertation)*
- The student be required to withdraw with no qualification awarded*
Additional outcome and penalty after a viva examination
- Award to be rescinded*
Outcomes marked with an asterisk (*) can only be determined and applied by a Research Misconduct Panel.
Right of appeal and review
Students have the right of appeal against any findings or outcomes/penalties resulting from the Research Integrity and Research Misconduct Procedure, on one or more of the following grounds:
- there is new evidence, which for good reason was not previously available to the Named Person, which might have materially affected the outcome
- the named person did not follow this procedure, which disadvantaged the student’s case
- there is evidence of prejudice and/or bias during the procedure
- on the balance of probabilities, the facts of the case did not justify the decision that the student had committed an offence of research misconduct
- the penalty imposed was unreasonable with regard to all the circumstances of the case
An appeal should be submitted to the Academic Registrar and they (or their nominee) will acknowledge receipt of the appeal within five working days.
The University will endeavour to complete the appeal proceedings within 20 working days from receipt of the appeal form and supporting evidence. During this time, the student must meet all deadlines set. Occasionally there will be circumstances when, for good reason, the University will need to extend the timeframe. Where this is the case, the student will be notified and kept regularly informed of progress.
Further information about the appeal process can be found in Section H of the Research Integrity and Research Misconduct Procedures (.pdf).
Getting support
If submitting an appeal you may wish to seek support and guidance via the Student Services Hub, the PGRE Team at pgresearch@essex.ac.uk and any other student support services, or independently from SU Advice: SU Advice Centre (offering free, confidential, independent and impartial advice). Contact suadvice@essex.ac.uk
