University of Essex
Research Integrity Annual Report
October 2024
1. Key institutional information for the statement
- Named senior member of staff to oversee research integrity: Professor Chris Greer
- Named member of staff who will act as a first point of contact for anyone wanting more information on matters of research integrity: Phineas Wenlock
2. Promoting high standards of research integrity and positive research culture.
2A. University research integrity frameworks
The University has a number of frameworks, policies, and contacts to support good research practice.
Policies and systems
1. The University’s policies and guidance relevant to research, its governance and its integrity are available from the University’s Research Integrity and Research Governance web ages. University policies applicable to wider matters of institutional governance are available from the University’s Governance and Strategy web age.
2. The University’s Code of Good Research Practice (.pdf) provides a framework for the highest standards of personal conduct in research. These minimum standards are applicable to all researchers and those who support research in addition to their professional or funding body requirements and legislation. The Code will be reviewed in the academic year 2024-25.
3. The University has in place a Procedure for the Investigation of Allegations of Misconduct in Research (.pdf). The Procedure is based on the guidance produced by the UK Research Integrity Office. The Procedure was reviewed and revised during 2019-20 and will be reviewed in the academic year 2024-25
4. The University has a dedicated Procedure for the Investigation of allegations of misconduct in Postgraduate Research (.pdf)
5. A dedicate University webpage provides guidance and resources for PGRs and supervisors in relation to research integrity and the process for investigation allegations of research misconduct pertaining to PGR student research
6. The University’s Open Research Position Statement (.pdf) summarises the University’s commitment and approach to Open Research, explaining what it is and why it is important. It is informed by external frameworks, including the YERUN Statement on Open Science and the Concordat on Open Research Data, and is underpinned by more detailed University policies on Open Access, Publications, Research Data Management (.pdf) and Research Integrity.
7. Other key policies and guidance are: Whistleblowing Policy and Procedure (Disclosure in the Public Interest) and Financial Regulations and Procedure Notes.
Communication and Engagement
8. Staff and research students are made aware of these policies and relevant processes when they join the University as part of their induction, and updates are communicated through Faculty Deans for Research and Departmental Directors of Research, as well as through general communication mechanisms, where relevant.
9. Specific aspects of research governance, good practice or other requirements are highlighted on a project-by-project basis as needed, so that they can be actively addressed in the research design or delivery, as appropriate.
10. Policies are also made available to staff through the University webpages, and are referenced in staff and student handbooks.
Culture, development and leadership
11. Building trust and confidence in our research through the provision of research integrity and skills training for researchers at all career stages, including implementation of the UK Concordat to Support Research Integrity is at the heart of the University’s Research Strategy.
12. The University’s commitment and expectations on research integrity are evident in the Pro-Vice-Chancellor’s for Research statement.
13. At the University of Essex researchers are encouraged to report and publish full methods, results, and data through the promotion of open publishing platforms such as Octopus and Open Research Europe. Our institutional open access fund has been designed to enable Essex authors to publish as much research as possible open access.
14. The University has a Procedure for the Investigation of Allegations of Misconduct in Research, with a senior member of staff being responsible for the Procedure. This serves to ensure institutional attention and that relevant actions can be taken. The Procedure provides some flexibility in the way in which an allegation might initially be raised, in order to allow staff, researchers, students and others to feel comfortable in reporting potential instances of misconduct. Whilst providing this flexibility, the Procedure requires a full written statement of the allegation to be received by the senior member of staff in order to ensure that the process is transparent, timely, robust and fair.
15. The environment for research is created and sustained by the culture and behaviours of our researchers, those who support them, and the wider institution. Whilst seeking excellence and applicability in what we do we are also conscious of the need to enable and encourage good practice in research, as embodied in the Code of Good Research Practice. We seek to ensure that our research vision, strategy, operational plans, resource deployment and performance monitoring all take account of our commitment to research integrity and do not introduce inappropriate or perverse incentives.
Monitoring and Reporting
16.One of the core activities of the Ethics Committee is to audit on a regular basis a sample of ethics applications to provide assurance that the assessment of ethics applications for research projects aligns with the University’s Guidelines for Ethical Approval of Research Involving Human Participant and to ensure that there is consistency in ethics reviewers working across the University. The findings of the audit are shared by the Chair of Ethics Committee with the Executive Deans, Faculty Deans (Research), Heads of Department and Directors of Research. The findings of the audit and expectations of the Ethics Committee are discussed by the Chairs of the Ethics Sub-Committees with the Departmental Ethics Officers. Based on the ethics audit findings, actions are approved by the Ethics Committee for the improvement of the University’s ethics review process.
2B. Changes and developments during the period under review
During the academic year 2023-2024, the University undertook a number of initiatives to promote good research practice.
Ethics Committee membership
17.There are three cross-faculty Ethics Sub-Committees at the University of Essex that are chaired by a Deputy Dean (Research). In the academic year 2023-2024, the University appointed six new Ethics Officers who joined the Ethics Sub Committees. Specific training and induction process was delivered to the new Ethics Officers on a one-to-one basis. On an annual basis, all existing Ethics Officers are offered a refresher ethics review training. The refresher training was delivered to the existing Ethics Officers in October 2023. The Ethics Sub Committees continue operating efficiently to enhance the integrity of research undertaken at the University.
18. In order to ensure objectivity of review, the University’s Ethics Committee requires a number of External Members who have no recent, direct involvement with the University. A plan was approved in Spring 2024 by the Ethics Committee for the recruitment of individuals in the role of External Member to cover vacancies in the Committee. It is anticipated that the new External Ethics Committee Members will receive their induction ethics training and start in their role in Autumn 2024.
Ethics audit
19.One of the core activities of the Ethics Committee is to audit a sample of applications reviewed by the ethics reviewers to provide assurance that the assessment of ethics applications for projects are in line with the University’s Guidelines for Ethical Approval of Research Involving Human Participants. As a result of last year’s ethics audit exercise, the University’s Participant Information Sheet template and guidance on consent and the preparation of information for participants have been updated and will be published in October 2024 to support staff and students within the University with producing participant facing documents of high ethical standard for their work.
Policies
20.Research data must be managed to the highest standards throughout the research data lifecycle as part of the University’s mission for research excellence and commitment to Research Integrity. The University’s Research Data Management (.pdf) was reviewed and approved by Senate in June 2024.
21.In October 2024, the institutional policy for Author Rights Retention will come into effect to empower authors to control the dissemination of their research outputs.
22.The University is committed to the principles of the 3Rs of Reduction, Refinement and Replacement. For every project involving animals the Ethics
Committee is responsible for ensuring, as far as is reasonably practicable, that no alternative to the use of animals is possible, that the number of animals used is minimised, that unnecessary duplication is avoided, and that procedures and husbandry are refined to maximise welfare. In June 2024, the University’s Ethics Committee reviewed the University Policy Statement on the Use of Animals in Research (.pdf).
External Engagement
23.The University subscribes to the UK Research Integrity Office (UKRIO) to access the support provided by the UKRIO and to demonstrate its commitment to the principle of integrity in research.
24.Staff was engaged in the Vitae workshop about integrity and the research process in REF PCE in September 2024.
25.As part of our strategy to improve open science and research integrity, the University of Essex has become an institutional member of the UK Reproducibility Network (UKRN).
Training opportunities and guidance
26. During the last year ethics and open research training was provided to doctoral students and early career researchers as part of the NEWCOMERS programme of training events. The University is continuing to trial the use of online research ethics training developed by an external provider which is available to all staff and students in addition to the one-to-one support ordinarily provided. During the last year research ethics training was also delivered in the format of workshop. Case studies were used as a means for illustrating important and topical ethical issues which cut across all subjects to illustrate complexities which can occur in research.
27. The University has produced a self-assessment tool to support researchers decide if they need to apply for ethical approval to undertake their public engagement activities. In addition to that, guidance has been developed to support researchers ethically conduct public engagement activities. It is anticipated that these documents will become available to researchers in Autumn 2024. Further to that, a training session about ethics in public engagement using case studies based on real scenarios will be delivered to doctoral students and early career researchers as part of the NEWCOMERS programme of training events in January 2025.
28. When planning work with tissue samples from humans, it is important for researchers to consider the requirement for ethical review and approval to collect, use and/or store human material and the need to meet Human Tissue Authority (HTA) regulations for the storage of human material. In January 2024, the Guidance for using human tissue for research (.pdf) was published for researchers using human tissue at the University of Essex to ensure that they are familiar with the rules governing its use.
Open research
29. A week-long programme of online sessions was delivered during Open Access Week 2023 alongside the University of Derby. The week included sessions such as “Open Science for Reproducible Research”.
30. The University co-hosted Open Research Week 2024 alongside the University of Liverpool, Liverpool John Moores, and Edge Hill University. The week included sessions such as “Citizen science: unleashing the possibilities of research for and with everyone”, “Once more with feeling. Replications in history”, and “Is open science really open for everyone?”.
3. Addressing research misconduct
3A. Statement on processes that the University has in place for dealing with allegations of misconduct
31. The University has in place a Procedure for the Investigation of Allegations of Misconduct in Research (.pdf). The Procedure is based on the guidance produced by the UK Research Integrity Office. The Procedure was reviewed and revised during 2019-20 and it will be reviewed during 2024-25.
32. The University has a dedicated Procedure for the Investigation of allegations of misconduct in Postgraduate Research (.pdf) which was approved by Senate and published in October 2023.
33. A dedicate University webpage provides guidance and resources for PGRs and supervisors in relation to research integrity and the process for investigation allegations of research misconduct pertaining to PGR student research.
34. The University recognises that concerns relating to research integrity can be complex, challenging and highly sensitive; and can impact upon the emotional and mental wellbeing of those involved. Any person wishing to raise concerns about the integrity of research being conducted under the auspices of the University can do so in confidence by emailing misconduct@essex.ac.uk. The Named Person for allegations of research misconduct is the Registrar and Secretary. Advice in relation to research policies, integrity and research misconduct is available from the Head of Research Governance and Planning (pwenlock@essex.ac.uk).
35. The University commits to engage constructively with other relevant organisations in their investigation of an allegation of research misconduct, and to alert other relevant organisations to potential cases of research misconduct of which it becomes aware.
3B. Information on investigations of allegations of research misconduct
36. During the year 2023-24, three allegations of research misconduct were received. The progress of this is shown in the table below.
| |
21/22 |
22/23 |
23/24 |
| Total number received; of which: |
7 |
2 |
3 |
| Currently under initial consideration |
0 |
0 |
0 |
Referred to a different policy / process after initial
Consideration |
1 |
0 |
0 |
| Dismissed as not being research misconduct |
3 |
0 |
0 |
| Currently under Preliminary Investigation |
1 |
0 |
0 |
Addressed through education and training after
the Preliminary Investigation |
1 |
0 |
1 |
Referred to a different policy / process after the
Preliminary Investigation |
0 |
0 |
1 |
| Dismissed after the Preliminary Investigation |
0 |
0 |
0 |
| Currently under Formal Investigation |
0 |
1 |
0 |
| Completed the Formal Investigation |
1 |
1 |
1 |
37. During 2023-24, one formal investigation was completed and upheld. The table below provides data for this year and the preceding two years.
|
Number of formal investigations
completed
(academic years*)
|
Number of allegations upheld - in full or in part (academic years*) |
|
21/22 |
22/23 |
23/24 |
21/22 |
22/23 |
23/24 |
| Fabrication |
0 |
0 |
0 |
0 |
0 |
0 |
| Falsification |
0 |
0 |
0 |
0 |
0 |
0 |
| Plagiarism |
0 |
0 |
0 |
0 |
0 |
0 |
| Misrepresentation |
0 |
0 |
0 |
0 |
0 |
0 |
| Breach of duty of Care |
0 |
0 |
0 |
0 |
0 |
0 |
Improper dealing with allegations of
misconduct |
0 |
0 |
0 |
0 |
0 |
0 |
| Other breach of ethical approval |
1 |
1 |
0 |
1 |
1 |
1 |
| Details of any allegations upheld in part |
0 |
0 |
0 |
0 |
0 |
The allegation relating to conducting and analysing research ahead of obtaining ethical approval was disproved and dismissed.
The allegation that appendices submitted with the coursework report were not suitably redacted and/or anonymisedwas upheld. |
| Total |
1 |
1 |
0 |
1 |
1 |
1 |
*Academic year – 1 August to 31 July.
Lessons from Formal Investigations of Allegations of Research Misconduct
38. The University seeks to learn from any and all parts of the process for handling allegations of misconduct. We also, where relevant, draw on public information of the experience of other institutions and on activities or events where research integrity is discussed, such as the World Congress on Research Integrity.
39. Over the past years lessons learnt from formal investigations have resulted in improved tracking of final reports, reporting of adverse events and governance control of activities undertaken with Health Research Authority and NHS Research Ethics Committee approval.
40. The updated Procedure for the Investigation of Allegations of Misconduct in Research will ensure appropriate communication between relevant parts of the University when allegations of research misconduct are received and investigated.
41. Communications with staff and students in relation to requirements have been improved and the training provided to departmental Ethics Officers, staff and students has been expanded.
