Skip to main content

Code of Good Research Practice

Our Code of Good Research Practice has been developed to articulate the importance of integrity and rigour in all research carried out at, and in partnership with, the University.

Introduction

The Code is fully aligned to the University’s Strategic Plan and offers assistance to researchers in helping them to determine how to apply the baseline standards set by ordinances and regulations of the University, as well as by wider legal and contractual requirements and ethical norms of research practice.

The practice of research will require adherence to principles of ethics and integrity that may vary in their details according to the type of research undertaken. Thus, this Code is to be applied alongside other research-related policies, guidelines and principles. Links to additional guidance provided by funders, the University, and other organisations are provided in relevant sections of this page.

This page will be routinely reviewed every three years unless an earlier revision is required due to a major change in the legislation, regulations, guidance, or University processes.

We welcome feedback on the content of this page. Anyone with comments or suggestions regarding the Code is invited to submit them to: Research and Knowledge Exchange: RKE@sunderland.ac.uk(opens in new tab).

The University's commitment and expectation

The University is fully committed to advancing high-quality academic research and ensuring that all research activities undertaken by University employees, or on University premises, are done in a way that safeguards the dignity, rights, health, safety, freedom of expression, and privacy of those involved. This commitment extends to participants, researchers, students, and third parties.

The University expects the highest standards of research integrity from the researchers it supports. This includes, but is not limited to, people who conduct research: as an employee; as a member of staff on a joint clinical or honorary contract; as a visiting or emeritus member of staff; as an independent contractor or consultant; as a student, and, irrespective of: the sources of their funding; their area of research; their experience of research; whether they are lone scholars or members of a research team; where the research is to be conducted. It is the responsibility of all researchers and staff supporting research to conduct their research in accordance with this Code set and in compliance with relevant University policies and guidelines.

Research integrity

The University is committed to upholding the commitments outlined in the Universities UK’s Concordat to Support Research Integrity(opens in new tab). This requires those involved in research to abide by national, European, and international standards of research integrity and to embed good practice in every aspect of their work. A summary of the standards to which researchers are expected to adhere is provided in the University’s Statement on Research Integrity.

All individuals involved in research at the University are expected to observe the highest standards of integrity, honesty, and professionalism in respect of their own actions in research and in their responses to the actions of others. All researchers should be aware of their responsibilities under the Concordat. The primary responsibilities of all researchers are to:

  • Take personal responsibility for ensuring that you act in accordance with the principles of the Concordat
  • Understand and maintain the expected standards of rigour and integrity relevant to your research
  • Understand and comply with ethical, legal and professional frameworks, obligations and standards as required by statutory and regulatory authorities, and by employers, funders, and other relevant stakeholders
  • Design, conduct, and report research in ways that embed integrity and ethical practice throughout
  • Ensure that your research is subject to appropriate and active consideration of ethical issues
  • Collaborate to maintain a research environment that encourages research integrity
  • Declare conflicts of interest and act to manage them

The expectation to uphold the highest standards of integrity applies to the whole range of research work including, but not limited to: designing studies and experiments; generating, recording, archiving, analysing, and interpreting data; sharing data and materials; applying for funding; presenting and publishing results, as well as other dissemination activities; training new researchers, staff, and students; peer reviewing the work of other researchers.

The University expects research results to be checked for accuracy and consistency by the researchers responsible before being made public. Researchers must be able to explain and justify how results were reached, and conclusions drawn.

The University expects researchers to ensure that the direct and indirect contributions of colleagues, collaborators and others are appropriately acknowledged and fully reflect the level of input of the contributor. Researchers should understand, and comply with, Guidelines on Authorship.

Research openness

The University encourages researchers to be as open as possible in discussing their work with other researchers and with the public, while recognising the need for researchers to protect intellectual property rights. The aim of disseminating University research is to increase knowledge and understanding and researchers are encouraged to seek publicity for their work. However, researchers should ensure that, where relevant, research remains confidential until appropriate protections are formalised.

The University is fully committed to open research and endorses the principle of open access to research publications. The University has an Open Access Mandate which requires researchers to employ open research practices wherever possible, including depositing accepted bibliographic information for all research outputs within the institutional repository (SURE) to provide an accurate institutional record of research activity. The University requires researchers to deposit final peer-reviewed manuscripts, where this is permitted by the publisher to (SURE) within three months of acceptance for publication. Researchers should understand and comply with the Guidelines for Authorship.

Data and/or samples (especially unusual or rare materials) upon which a publication is based should be made available to other researchers where feasible to do so, except in special circumstances (such as patent protection; privacy concerns; data protection), in the manuscript or through accessible data repositories, databases, museum collections, or other means when requested. Researchers should include data availability statements (also sometimes called a ‘data access statement’ within manuscripts uploaded to SURE which clearly outline conditions that the data can be accessed, as well as any links to the data set if appropriate. Note, that publishers often require the inclusion of a data statement as a condition for publication. Researchers should understand and comply with the Guidelines for Authorship.

Where research funders include Open Access requirements as a condition of grant funding, researchers are expected to ensure they comply with such requirements. Likewise, researchers should be especially careful when discussing work that is not complete or has not been published, particularly if it has not undergone peer review.

Research misconduct and poor research practice

Allegations of misconduct in research are rare but the University takes them very seriously. The University is committed to ensuring that allegations of misconduct in research are investigated with all possible thoroughness and rigour. Staff and students at the University have an obligation to report suspected research misconduct or concerns about research projects in accordance with the University’s policies and guidelines on research misconduct, and complaint procedures. The University welcomes approaches from whistleblowers with information concerning research ethics, and staff are protected under the University’s Whistleblowing policy.

Research misconduct includes, but is not limited to, the following: fabrication; falsification; plagiarism; failure to meet legal, ethical, or professional obligations; misrepresentation; significant deviations from good research practice; mismanagement; failure to give appropriate recognition.

Researchers should understand and comply with the University’s policies on academic integrity and misconduct including: Rules of Investigating and Resolving Allegations of Misconduct in Academic Research by Members of Staff, Research Students, and Taught Students.

Conflict of interest in research

Researchers should actively consider whether their research is subject to potential conflicts of interest. Conflicts of interest are often an unintentional consequence of collaborative working and it is therefore important that full consideration be given to minimising this risk during research design. It is the responsibility of researcher to make a full disclosure of any potential or actual conflict of interest at the earliest opportunity. Early notification is more likely to facilitate the implementation of measures to resolve issues between parties and limit the risk of compromising the integrity of the research. Failure to resolve conflicts of interest should result in a full review of the validity of the proposed research.

Researchers should declare and manage any real or potential conflicts of interest, both f inancial and professional. The University’s Financial Regulations contain further information on the declaration of personal interests.

Researchers should ensure that they abide by any conflict of interest requirements of funders or that are otherwise relevant to their research. If appropriate, researchers should be aware of EU terms and conditions and the specific requirements of the US Public Health Service which includes the National Institutes of Health.

Professional guidance and legislation for research

All researchers should be aware of the legal requirements that regulate their work including the legislation related to research that involves:

  • Humans, including human tissue, and personal data
  • Animals
  • Security-sensitive material and export control
  • Non-human genetic resources that originate from overseas

Researchers should consult relevant University policy and guidance regarding compliance to health and safety legislation, data protection legislation, and the Freedom of Information Act.

Where available, the University expects researchers to take into account the standards of research practice set out in guidelines published by scientific and learned societies, and other relevant professional bodies.

Funder requirements for research

Funders can reasonably expect the University to ensure that an adequate policy framework exists that promotes and promulgates good research practice, that emphasises integrity and rigour in research and facilitates the development of a positive research culture. Such expectations are outlined in the Universities UK’s Concordat to Support Research Integrity which has been signed by the University’s leading funders, including UKRI and the Wellcome Trust. Compliance with the Concordat is a condition of receipt of funding.

Many funders have published their own policies, including UKRI’s Policy and Guidelines on the Governance of Good Research Conduct and the Wellcome Trust’s Policy on Responsible Conduct of Research. Researchers should ensure that they are aware of and abide by all policies and guidelines that apply to their research.

Research Councils and charities fund for public benefit, and in the case of charities within their charitable objects, impose certain obligations and restrictions on the use of their funds (such as a requirement to disseminate research findings, and a proscription on funding research for the purpose of direct commercial or private gain). Researchers should be aware of such obligations and restrictions and seek advice where required.

Leadership and cooperation in research

The University has a clear commitment to maintaining an environment that supports integrity and good practice in research. This commitment is shared throughout the management structure of the institution and is led by the Deputy Vice-chancellors and Faculty Deans. All are responsible for developing a culture of professionalism and good research practice and supporting a research environment that encourages cooperation, the open exchange of ideas, and recognises the contribution of all. They are responsible for the direction of research in their area, ensuring that the work is adequately resourced, and that progress is reviewed.

All research projects, including internally funded projects, must have a designated individual identified as having responsibility to the University for the project. This will typically be the member of staff who is the Principal Investigator (PI) of the project or the lead supervisor of a student undertaking research. PIs have overall responsibility for the design, intellectual leadership, execution and management of the research. The PI is responsible for ensuring:

  • Suitable experience and expertise is in place, in the conduct of research so that the PI can either; undertake the design, conduct and reporting of a study to standards set out in regulations or lead and manage others with delegated responsibility for some of these aspects
  • The research team give priority to the dignity, rights, safety, and well-being of participants and potential participants are fully informed before deciding whether or not to join a study
  • The study complies with all legal and ethical requirements
  • Students and new researchers have adequate supervision support and training
  • The study is submitted to a relevant Research Ethics Committee for ethical review and all approvals and registrations have been obtained before commencing the research
  • The research follows the protocol or proposal approved by the relevant Research Ethics Committee, and where applicable, the study Sponsor
  • Procedures are in place to ensure the collection of high-quality and accurate data, and the integrity and confidentiality of data during processing and storage is maintained at all times
  • Arrangements are in place for the effective financial management of the study
  • Take an active lead in the prevention and detection of academic misconduct and adopting the role of guarantor on published outputs

All individuals involved in research, but especially those in researcher leadership roles, have a responsibility to foster an environment where research is conducted in accordance with good research practice and to ensure that all those involved in research are made aware of these guidelines and related policies and guidelines. Senior researchers should make particular efforts to help new members of the research community understand and adopt best practices. Within a Research Institute, or research group, the responsibility to ensure that good research practice is maintained throughout the research process ultimately lies with the head of that Institute or group.

Supervision, training, development, and mentoring for research

Supervisors should supervise all stages of the research process, including: outlining or drawing up a hypothesis, preparing applications for funding, design of experimental or research protocol, data recording and data analysis, thesis writing, manuscript preparation and submission.

The University expects all researchers and supervisors to be appropriately knowledgeable and skilled to undertake their research or supervise research activities. Researchers and supervisors are expected to understand the requirements of this code and maintain their knowledge by attending University induction and training programmes. The University offers many courses to enable researchers and supervisors to understand and adopt best practices in research and lists of courses can be obtained from the Research and Knowledge Exchange Team.

Mentoring and peer review are important elements of developing good practice in research and are encouraged across all disciplines of academic endeavour. Finally, it is the responsibility of the individual to ensure they identify their development needs throughout their careers and seek advice if they are unclear about any aspect of good practice, relevant policy or procedure.

The University is fully committed to the Concordat to Support the Career Development of Researchers. The seven key principles of the Concordat are:

  1. Recognition of the importance of recruiting, selecting and retaining researchers with the highest potential to achieve excellence in research
  2. Researchers are recognised and valued by their employing organisation as an essential part of their organisation's human resources and a key component of their overall strategy to develop and deliver world-class research
  3. Researchers are equipped and supported to be adaptable and flexible in an increasingly diverse, mobile, global research environment
  4. The importance of researchers' personal and career development, and lifelong learning, is recognised and promoted at all stages of their career
  5. Individual researchers share the responsibility for and need to pro-actively engage in their own personal and career development, and lifelong learning
  6. Diversity and equality must be promoted in all aspects of the recruitment and career management of researchers
  7. The sector and all stakeholders will undertake regular and collective reviews their progress in strengthening the attractiveness and sustainability of research careers in the UK

Ethical research practice

All research carried out at the University must comply with all relevant ethical requirements and standards, and researchers should be familiar with, and know how to access, such requirements including University ethical guidance and policies. Further, the University recognises that ethical issues raised by research vary considerably across disciplines and that local approaches to ethical review and the framing of ethical guidance are necessary. Researchers who are unsure whether such requirements apply to their projects should seek advice.

Researchers are required to consider ethical issues relating throughout the entire lifecycle of their research projects (namely, from conception through to dissemination) and ensure that they are appropriately and proportionately managed and mitigated.

The University is committed to providing a rigorous and independent ethical review process that is proportionate to the potential risk. The University Research Ethics Committee (REC) has overarching responsibility for research ethics policy, guidance, and processes at the University. REC operates as a strategic committee with delegated authority from the University’s Research and Innovation Committee (RIC), providing oversight to Faculty Research Ethics subcommittees (FRECs) that have devolved responsibility for servicing ethical reviews of research projects. It is the responsibility of researchers to ensure that all appropriate permissions, approvals, and licenses are in place before the research starts and that they are renewed or updated as necessary throughout the duration of the project. Guidance for those applying for ethical approval is available on the University Research Ethics SharePoint pages, including details on the University’s online research ethics system and contact details for REC and FRECs.

All research involving human participants, human tissue, and personal data carried out by University employees or on University premises must abide by the University’s Guidance on the Ethics of Research Involving Human Participants and Personal Data, alongside supplementary local policy or guidance. Researchers are required to consider the ethical risk of any procedure within a research project, consulting the relevant University and local policies and personnel before any work is undertaken. Additionally, researchers should ensure the confidentiality of personal information relating to research participants, and that the research fulfils all relevant legal requirements including data protection legislation.

For social research involving human participants, researchers should also consult the ESRC’s Framework for Research Ethics, compliance with which is compulsory for ESRCfunded research. For psychology-based projects, researchers are required to consult and comply with the British Psychological Societies Code of Ethics and Conduct.

Most research involving NHS patients, staff, or facilities falls within the Research Governance Framework for Health and Social Care and requires Health Research Authority (HRA) approval. Some other types of research also require HRA approval for legal and policy reasons, details of which are provided on the HRA website. For further information, researchers should consult the University’s Guidance on Research Requiring HRA Approval.

Research that involves the removal, storage, and use of human tissue – defined as material that has come from a human body and consists of, or includes, human cells – must also comply with the Human Tissue Act. Researchers undertaking such work should understand their responsibilities under this legislation, and comply with the relevant University Policies and Guidance.

The University does not undertake any experimentation on live animals or house live animals on its premises. It does, however, engage in animal experimentation through collaborations that are undertaken off-site, and, uses animal tissues, cells and fluids on its premises for research purposes. Researchers involved in work that requires the use of animals should do so only as part of regulated research programmes that are of the highest quality and where there are no alternatives. All such work should be carried out under licenses issued by the Home Secretary, and researchers should ensure that any animal work that they are involved in conforms to the principles of reduction, refinement, and replacement. Further, researchers should ensure that any animal work they are involved in has engaged in all reasonable steps to minimise the number of animals used, and, that any procedures, care routines, and husbandry maximise welfare. Researchers engaged in work involving the use of animals in research are required to understand and comply with the University’s Guidance on the Use of Animals in Research.

Research that has the potential to result in environmental impact, specifically the damage to ecosystems, societies, and rare environments should be carefully considered and the impact weighed against the longer-term good generated by the project. All research with the potential for adverse environmental impact is subject to ethical review and researchers should consult the University’s Policy on Research with Potential Environmental Impact.

All research conducted at the University must comply with relevant legal, regulatory, and professional requirements and standards. Researchers who are unsure whether such requirements apply to their projects should seek advice.

A range of regulatory requirements applies to research that are designed to minimise the risk that research will be misused for harmful purposes, support national security, and control the export of duel-use or military technology and researchers should ensure that they are aware of all necessary compliance requirements.

An export is the transfer of goods or technology or software from the UK to a destination outside the UK. Export controls are needed for a variety of reasons, including national security and international treaty obligations. In the UK, the control of strategic goods and technology is undertaken by the Export Control Joint Unit (ECJU) (formerly ECO), and compliance with export controls is a serious obligation. The British Government recognises that UK researchers in various fields are frequently in contact with scientists and researchers in a wide variety of other countries. Their aim is not to restrict the publication of scientific papers and research but to prevent the misuse of knowledge and materials.

Researchers undertaking research activities in controlled areas must comply with applicable export control legislation and are advised to search the UK Strategic Export Control Lists to identify whether their research is controlled. The University has also prepared information and guidance on how to proceed and, if necessary, apply for an export control license.

Exports which are not specifically listed in the UK Strategic Export Control Lists, but are intended, either in their entirety or in part, for Weapons of Mass Destruction (WMD) purposes may also require a license. WMD controls only apply if you have been informed of, are aware, or suspect WMD end use.

Items, technology, or software to be exported to a specific country which is subject to an embargo or sanctions may also be controlled and require a license. End-use controls apply to sanctioned activities meaning that an export cannot occur if the exporter knows that the items would be used in relation to a sanctioned activity. Military end-use controls may apply in countries under an arms embargo if the exporter knows or has been informed that the export would be used for military end-use purposes.

Whereas export controls focuses on knowledge and material leaving the UK, the Academic Technology Approval Scheme (ATAS) focuses on entry to the UK and controls access by students from abroad to courses which might be relevant to non-proliferation objectives. The ATAS runs in parallel to export control legislation and compliance. Further information is provided within the University’s Guidance on Export Controls.

The government has the ability to exercise powers to scrutinise and intervene in certain acquisitions made by anyone that could harm the UK’s national security; such powers are 9 governed by the National Security and Investment Act (NSI Act). Researchers should understand that intellectual property can qualify as an asset under the Act, if it falls into or is close to sensitive areas that the UK government considers likely to give rise to national security risks. More information is provided in the University’s Guidance on the NSI Act.

Researchers are required to consider whether, through collaborations will expose them or their research, data, or intellectual property to risk and should understand and comply with the University’s Guidance on Trusted Research.

Researchers planning fieldwork that may involve the collection of genetic materials or planning to obtain genetic material that originated from overseas have a legal obligation to comply with the Nagoya Protocol. The Protocol only applied to genetic resources accessed from a country that is party to the Nagoya Protocol, has Access and Benefit Sharing (ABS) legislation, and is for the purpose of ‘utilisation of genetic resources’ after 12 October 2014. Researchers should refer to the Access and Benefit-Sharing Clearing House (ABS Clearing House) which is an international web-based tool that facilitates the implementation of the Nagoya Protocol.

Academic Staff and PGR students of the University should be free to undertake research within the law. In the case of University staff, this amounts to the exercise of academic freedom, and should not be restricted or compromised because:

  • The research addresses or investigates controversial or sensitive subject matters which may cause offence or upset, provided that the research undertaken is lawful
  • A research sponsor, funder, partner, company or other body external to the University seeks to influence the commissioning, design, delivery, or findings of research carried out by University staff or PGR students. Any known or likely academic freedom and freedom of speech concerns which may exist in relation to a research activity or project should be raised early into the design stage of any research, specifically, prior to contractual agreement and/or ethical review

Any queries relating to ethics, please contact ethics.review@sunderland.ac.uk(opens in new tab) or broader research governance: jo.crotty@sunderland.ac.uk(opens in new tab).

Academic Staff and PGR students of the University also have a legal right to exercise freedom of speech in relation to discussing and presenting their research at the University or through external fora, at whatever stage of development. Where this includes being invited to present their research at another UK Higher Education (HE) provider, the academic staff member or PGR student will be subject to the right to exercise their free speech in doing so, provided that the exercise of it is lawful in line with UK legislation. This will be subject to the relevant bodies’ Codes of Practice in relation to Freedom of Speech.

Lawful limitations on freedom of speech and academic freedom may apply in exceptional circumstances, where an academic staff member or PGR student undertakes security-sensitive research. Section 58 of the Terrorism Act 2000 makes it an offence if a person collects or makes a record of information of a kind likely to be useful to a person committing or preparing an act of terrorism. Whilst a defence exists where such information and data is accessed for academic research purposes, in line with the University’s legal duty to have due regard to prevent staff or students being drawn into terrorism (the Prevent Duty), ethics protocols should be in place for the creation, storage, retrieval, access and dissemination of security sensitive research. This includes where such research relating to terrorism, but also where the research would reasonably be considered high-risk because its creation or release could pose a threat to matters including national security, health, safety and societal order.

Primary data, samples, and equipment

Researchers should ensure from the outset that there is clarity regarding the use and ownership of the following:

  • Data, materials, samples, or technologies used or created in the course of the research
  • The results of the research
  • Patient questionnaires
  • Equipment paid for by funders

Researchers should ensure that they make provision for, and abide by appropriate procedures for the storage and disposal of data and samples and that such procedures comply with all legal, regulatory, ethical, and professional body requirements. For collaborative research, especially that involving external partners or third-party providers whereby a collaboration agreement is required, researchers should ensure that any agreement contains clauses describing any necessary arrangements.

The generation of research data should be done using sound techniques and processes, ensuring that all information used or generated is recorded in accordance with good research practices, as well as all applicable legal and regulatory requirements. Researchers must comply with data protection legislation when collecting personal data.

All research data must be managed and curated effectively to ensure integrity, security, and quality. Where possible, this should be done in a way that supports new research and data sharing. Any data stored locally should be backed up and have appropriate password protection/encryption security. All electronic files containing personal data should be encrypted or password protected and access to them should be limited and controlled. All identifiable research participant data must be stored on University servers and decoupled from research data. It is critical that confidentiality, where required, is upheld.

Research data may be retained for prolonged periods and the timescales will vary according to specific contractual requirements and the nature and sensitivity of research; a minimum of 10 years after the completion of a project is typically considered appropriate by most funders, however clinical samples or data may require longer to allow for long-term follow-up to occur. All researchers are required to adhere to guidance provided by funding bodies as well as any local FREC guidance.

In line with funder policies and as appropriate for disciplinary norms, researchers should destroy ephemeral manual research records as necessary and, as far as possible, digitise those required for longer-term retention periods especially where such records comprise core underlying data of a research output. Manual research records should only be retained in manual form for as long as required by funders, regulators or disciplinary norms when digitisation is unfeasible.

Dissemination and publication of research findings

The University expects researchers to disseminate the results of high-quality research and this is usually a requirement of research council and charity funding. However, the University requires researchers to have an awareness of the consequences of any such dissemination in the wider media. Good publicity is important to the University, as it is often important to industrial funders and to fund-raising charities. Researchers should consider dissemination activities early into the research process and contact the University’s Communications Team for advice on press releases and publicity.

The University is keen to ensure that any funders who do not require dissemination understand that researchers must have academic freedom and funders should not discourage publication nor the dissemination of research or research findings. The publication of results should, at all times, take into consideration any arrangements and responsibilities as set out in research contracts or as conditions of funding.

When publishing or disseminating research or research findings, researchers should consider the following:

  • Research should typically be peer-reviewed prior to it being published, publicised, or disseminated. Researchers should explicitly state if research placed in the public domain has not undergone peer-review for example through pre-print servers, if appropriate as determined by discipline norms
  • The University expects researchers to acknowledge funding sources in any publication or publicity and researchers should ensure they comply with any funderspecific requirements
  • Results of research should be published in an appropriate form as per discipline norms and ensure that research is disseminated in a responsible manner, and in such a way that results, or the potential application of results, are not overstated
  • All authors on research manuscripts are required to accept responsibility for ensuring that they are familiar with the contents of the work and that they can identify their contribution
  • Authorship should be justified and the contribution to the work clearly stated as per discipline norms. The contributions of formal collaborations and all others who directly assist or indirectly support the research should specified and properly acknowledged. Honorary authorship is not acceptable

Further information can be found in the University’s Guidance on Authorship and Publishing.

Intellectual property

Intellectual Property (IP) is a form of property derived from human intellect and expertise, and is inevitable created as a consequence of University research. The University’s policy on Intellectual Property sets out the University’s requirements regarding intellectual property and researchers are required to understand and comply with this.

Intellectual Property Rights (IPR) are the rights that protect IP from third-party abuse can have a commercial value. They may be exploited for the benefit of the University and staff without in any way compromising the academic commitment to the free dissemination of ideas. Forms of IPR include: patent, copyright, design right, registered design; trademarks.

The general legal principle is that the first inventor/author/creator owns the IP in their work. However, this position can be influenced or changed by a number of factors, in particular, intellectual property created during employment. For members of staff, the legal position is that any intellectual property in any work (being, without limitation, all creations, inventions, applications or know-how) developed, determined or acquired in the course of their employment is the property of the University, unless the University agrees otherwise. Each member of staff has an obligation to disclose intellectual property to the University.

Intellectual property may not always belong to the University. Where work, such as research, is carried out for a sponsor, the contract may provide that the intellectual property in the results will be owned by the sponsor. It is University policy that, wherever possible, ownership should remain wholly (or partly) with the University. Staff must take account of this when discussing proposals with sponsors, and should take advice from the Strategic Funding Team before concluding any negotiations. Early stage discussions for research proposals may require a Confidentiality or Non-Disclosure Agreement to protect the respective rights of the parties prior to any formal contract being entered into. The Legal team can provide or review such agreements.

Students are not employees of the University and therefore initially the general legal principle of ownership will apply to their work. However, to be considered as the rightful owner of the intellectual property in their work, the student will need to demonstrate some independent thought leading to creation of the idea, invention, etc. Where it is clear that the work resulted from the significant input and/or guidance from the student's supervisor (for example), the University may actually be the sole owner of such work and even where the student can demonstrate independent thought, the level of University supervision and/or use of facilities to achieve the work may be a factor and may lead to joint ownership.

The legal team are responsible for ensuring the protection of the University’s interest in intellectual property, and providing advice on such matters.

Patient and consumer involvement in research

Researchers are required to consider the active involvement of patients and consumer groups in research, including the dissemination of research findings. For studies that involve patients and volunteers, researchers should, where possible engage with serviceusers, carers, representative groups and other stakeholders and beneficiaries in the design, conduct, analysis and reporting of research. It is important that researchers in health and biomedical disciplines consider the impact any publication of research f indings may have on patients with the condition under investigation, those involved in their care, those involved in the research, and on consumer groups. Further guidance about user involvement may be found in the MRC’s Good Research Practice guidelines.

Peer review

Peer review is considered an important aspect of good research practice. All researchers are encouraged to seek the advice of appropriately skilled peers throughout the research process, including the submission of proposals. The University recommends and encourages the practice of internal and/or external peer review of project proposals and research before it is published or disseminated in the public domain.

The University seeks to encourage appropriately skilled researchers and supervisors to act as peer reviewers. The Code places an obligation on staff to be as accurate and honest in their reviewing and to maintain confidentiality. The reviewer should not retain, copy or disseminate any material without the permission of the individual, organisation or publisher requesting the review. Peer review should be carried out to the highest professional standards.

Staff involved in the review process should always adhere to the specific guidance, criteria and processes of the relevant review body. Reviewers should undertake their critique in an objective and balanced way, ensuring that their feedback is constructive and informs future activity. Any potential conflicts of interest should be disclosed in advance of the review and be carried out in compliance with University policies relating to data protection, intellectual property and ethical approval.

Researchers submitting work for peer review should not attempt to identify or approach peer reviewers, or directly or indirectly attempt to influence the critique of their work as this will be construed as potential misconduct.

Recording, reporting, monitoring, and audit

FRECs are responsible for monitoring research that has received a favourable ethical opinion and required to provide a qualitative summary of live and completed projects for the reporting period to REC on an annual basis. As such, researchers should keep clear and accurate records of the procedures followed and the approvals granted, including records of interim and final results; this is a requirement for demonstrating good research practice, and to ensure effective reporting, monitoring, and auditing processes.

FRECs are required to conduct an annual audit of live and completed studies to ensure that research activities are being carried out in accordance with good practice, legal and ethical requirements and the procedures described in the original application and any conditions as stipulated when issuing a favourable ethical opinion. FRECs will establish their own local protocols for conducting audits and researchers are required to comply with all reasonable requests to enable the effective and timely reporting, monitoring, and auditing of research by FRECs or REC.

Research collaborations

Collaboration is actively encouraged by the University, however, researchers should be mindful of University policies and guidelines, as well as funders, legal, and regulatory requirements, to ensure that research partners and their employing institutions are able to meet the required standards of research conduct at the University of Sunderland. Researchers should be clear, and see agreement of, the standards and frameworks that apply their collaborative work and where appropriate seek collaboration agreements to protect their work and the University’s interests.

The provenance of intellectual ideas and ownership of researcher outcomes as well as a the specific conditions under which these may be shared should be explicit in collaborative arrangements. All parties should be clear about their respective roles and responsibilities within the collaboration, which should be set out in any formal collaboration agreement. The Research and Knowledge Exchange Team and Strategic Funding Team are able to advise on such collaborations.

Researchers collaborating with an international partner should be aware of the risks posed by international collaborations and comply with all legal requirements relating to Trusted Research, non-proliferation of WMD and dual-use items and technology, particularly export controls, as well as research handling sensitive extreme or radical material. Guidance on research integrity in collaborative research is provided by the Montreal Statement on Research Integrity in Cross-Boundary Research Collaborations.

The University will put controls in place for staff to undertake security sensitive research lawfully, safely and responsibly is not counter to an academic staff members’ academic freedom. Doing so would both protect the reputation of the University and researchers and research subjects.

Policy review

Effective date: September 2024

Last revised date: September 2024

Approved by: Research and Innovation Committee (RIC), 25 September 2024

Date of next review: July 2027

Owner: Research and Graduate School

Scope and audience: University students, staff, external representatives, bodies, and others associated with research conducted at or for the University.

Policy purpose: This Code of Good Research Practice sets out the standard for conduct expected of all staff, students, and others associated with the University (such as, visiting researchers, emeritus staff, associates, honorary or clinical contract holders, contractors, and consultants) who are involved in or who support our research (‘researchers’) in, or for, the University while they are doing so.