University of Sunderland Annual Statement on Research Integrity 2022/23

Key contact information

Name of organisation

University of Sunderland.

Type of organisation

Higher Education Institution.

Date statement approved by governing body

06/12/2023

Research Integrity webpage

Research governance and integrity

Named senior member of staff to oversee research integrity

Professor John Fulton, john.fulton@sunderland.ac.uk.

Named member of staff who is first point of contact for research integrity information

Andrea Howell, andrea.howell@sunderland.ac.uk.

Promoting high standards of research integrity and positive research culture

Description of current systems and culture

The University of Sunderland seeks to maintain high standards of research integrity and to promote a positive research culture through the implementation of appropriate policies and processes; excellent leadership and researcher development opportunities; as well as efficient systems for monitoring and reporting. The University is fully engaged with the principles of the Concordat to Support Research Integrity (CSRI), which we use to guide the development of our research culture, including supportive RKE policies, practices and structures. We are compliant with our CSRI commitments; all staff, students and visiting researchers must adhere to the highest standards of integrity in the conduct of their research as specified in the University of Sunderland Ethics Policy for Research. Our policies are updated in line with the UK Research Integrity Office and other relevant external agency/body guidance, prior to consideration and approval by the University Research Governance Integrity and Ethics Committee (URGIE), which reports to the University Research and Innovation Group.

The University of Sunderland signposts contacts should anyone wish to discuss or raise concerns about research misconduct, and provides clear guidance in the reporting of misconduct, in line with our Ethics Policy, Complaints Handling Procedure and Public Interest Disclosure Policy.

Upon commencement of employment, we encourage staff to undertake ethics training and recommend that they visit the Research and Knowledge Exchange SharePoint to inculcate best practices and access institutional policies and templates used to support the application process. We have established a rigorous and thorough approach to the ethical review of proposed research, which is consistent throughout the University, while recognising differing discipline approaches and conventions. Applications for funding and research and knowledge exchange activities are subject to peer review and scrutiny, including matters related to research integrity. Researchers engage with the University's ethical approval process(es) and must not conduct research without University-granted approval. Researchers follow the guidance approved by the University Research Governance Integrity and Ethics Group.

Training on Research Integrity (including research ethics and Open Access) is available via the University of Sunderland SharePoint pages and LinkedIn learning account and is encouraged for all research-active and supervising staff, to supervise ethics projects, the ethics training is mandatory, and individuals must undertake the relevant training and then complete an assessment to demonstrate their understanding. Support mechanisms are in place to foster compliance and our dedicated pages on our research governance and ethics SharePoint pages which guides researchers on issues from ethical reviews, etc. We have an online repository (SURE) which progresses the development of our open research environment; published outputs and research data which are open-access compliant. Our Open Access Policies, researcher development training and individual support, have been used to increase staff engagement in open research practices.

Changes and developments during the period under review

We have a dedicated intranet (SharePoint) containing all policies and guidelines relating to research integrity and ethics. This includes information on how to use our ethics management system, support by Epigenesys and attain approval for a project, and the circumstances in which applications should be updated or revised. Our online Research Ethics Management system manages the workflow, allocation, and review of a given research ethics application and its supporting materials.

Templates are available for all forms that are required to be submitted for ethical review, which includes comprehensive guidance text to ensure adherence to ethical best practices and the form ensures users specify the handling of research data (including Data Management Planning and GDPR). All applicants can seek advice/support from a dedicated research ethics mailbox or the University Research Governance Integrity and Ethics Committee Chair, for more complex matters. All processes and documentation are reviewed annually and revised for URGIE approval. The University is engaging with Open Research practices aligned with the Concordat on Open Research Data. Our Research and Scholarly Communications Librarian monitors and supports compliance and best practices via our research repository. We can also offer advice and support the co-design of robust and ensuring compliant research. This service is open to all researchers and recommended to ECRs. Training on Research Integrity (including research ethics, data management, GDPR for Research, and Open Access), is mandatory for all research active and supervising staff, and part of the obligatory induction for postgraduate research students. We have revised this training and now require staff to update their knowledge and understanding periodically, at least every three years. This will be monitored going forward. Furthermore, researchers will plan and maintain their professional practice/standing and knowledge of current discipline ethical practices, via professional bodies and networks.

Reflections on progress and plans for future developments

• The Culture Fellow of Research Governance, Integrity, and Ethics is undertaking rigorous checks of current set-up and suggestions for improvements going forward.
• Upgrades to online ethics system to provide more efficiency.
• The University has appointed a Research Culture Fellow to provide academic and operational support around research governance matters. A comprehensive review of the University’s research governance ecosystem has been completed focusing on identifying challenges and proposing solutions. This report recommends several improvements regarding the University’s research governance structure, policy provision, online research ethics system, and resourcing requirements. The proposed changes form part of a wider research environment review and have been allocated as priority actions for change; the results of the review and identified actions will be published in early 2024.
  
  

Case study on good practice

Using children in research is an area we have considered in some detail, and we have used our expertise to ensure that the proposals are ethically sound and are focused on the needs of each child. This example demonstrates the thinking that went into the design of the studies and how ethical principles were adapted and followed; paramount in the design of the study is ensuring that the voice of the child shines through.

This example involves studying children, aged three and above, in “early years” settings. The research aims to explore choices that children make in Early Years settings, in relation to space, objects and people. Underpinning the research design was ensuring that the children’s voice was captured. The Mosaic Approach, devised by Clark and Moss (2011) was used as a means of eliciting information, this approach uses a variety of techniques to elicit information from children and was deliberately chosen specifically as it uses a variety of techniques and approaches and thus does not overwhelm the individual child. This research is due to commence shortly and has received ethical approval.

Consent was gained from the head and class teacher and the parents; this also involved discussion and input about the methodology and the approach. For example, it was originally planned to use video recording of the children, and following discussion it was decided it was not the best approach as it could be intrusive and would raise issues about the children’s consent.

Consent will be also gained from the children. The children will be told that the researcher is interested in finding out which areas they enjoy going to the most and why, why they navigate to certain adults in the room, who they like to share their experiences with, and which objects/possessions they prefer to have with them and why. Parents/carers will also be given this information alongside their consent form. The children will also receive an information sheet and a consent form which is child-friendly, images were used to ensure understanding. The parents/carers will read these with the children, and they will record their responses.

Regular contact will be made with parents (when they collect the children and a newsletter will be given to them each term). The consent was seen not as a once- and-for-all all situation but rather as something which would be ongoing, and children could withdraw or not participate at any time.

Addressing research misconduct

There are two policies/processes relevant to misconduct specific to research, one concerned with Postgraduate Research and the second concerned with staff undertaking research. These policies were last reviewed in the academic year 2021-2022 and are at present being reviewed as part of the policy review. In future, all policies will be reviewed on an annual basis by the Research and Innovation Group. The University has, in addition, more general policies concerned with whistleblowing, bullying/harassment which are available via the University’s SharePoint.

The Ethic’s administrator deals with online enquiries, and this often is the first line of expression of concern, most of the queries are easily dealt with, anything more complex is passed onto the Chair of the Research and Innovation Group. If any concern is expressed around ethics or integrity the matter is initially examined and screened by an independent party, appointed by the Chair of the University’s Integrity and Ethics Group. The screener will recommend if there is a prima facie case and if so, the Misconduct Policy is implemented.

As a baseline all staff undergo specific ethics training, mainly to prepare them as supervisors for undergraduate and postgraduate taught courses which involve projects where the students undertake research. Additionally, postgraduate researchers are given additional information and training. There are plans to develop or buy an off-the-shelf research integrity course.

In the past academic year, all the research misconduct cases involved students on taught courses. There were no incidents of misconduct from staff or postgraduate researchers. The issues highlighted all involve students collecting data without ethical approval. There has been a drive to ensure that staff supervising students receive the required training, and our online system is set up so that only those who have undertaken training can access the online system and supervise projects which emphasises the process and importance of ethical approval; thus, ensuring students undertake ethically sound research. All cases are investigated and only those where a deliberate attempt to defraud has been established would proceed to a formal investigation and if upheld, a specific penalty would then be imposed.