Graduate School - Research Degrees Code of Practice
Section 2 - Good research practice
The University is ultimately responsible for the good research conduct of all students carrying out research as part of a programme of study. If a student researcher causes harm or embarrassment to a participant, breaches confidentiality or is perceived to have demonstrated poor conduct in some other way, it is the University which will be held liable. For this reason, the University requires to have rigorous ethical approval procedures.
This section expands on what is meant by good research conduct in relation to a number of areas. As well as ethics, student researchers should be aware of confidentiality and data protection issues; intellectual property rights; plagiarism and academic misconduct; and health and safety.
Advice is also given on dealing with collaborative research and externally funded research.
- Ethics
- Confidentiality and Data Protection
- Intellectual Property Rights
- Plagiarism and academic misconduct
- Health and Safety
- External collaborators
See also the QMU Research Code of Practice
1 Ethics
1.1 Formal ethical approval is required for ALL research conducted by QMU students. It is vital that students and supervisors read the University’s guidance on “Research Ethics: Regulations, Procedures and Guidelines”, which explains how to make an application for ethical approval for a research project.
See: http://www.qmu.ac.uk/quality/rs/default.htm#ethics
1.2 Most research projects can be approved at Head of Division level. The application only needs to be referred to the Research Ethics Panel if (a) it involves vulnerable people; (b) it has the potential to cause pain or emotional distress; or (c) there are non-standard considerations of confidentiality. Depending on the nature of the research, ethical approval may require to be sought from another external body. Research involving the use of NHS patients, NHS staff or NHS data must be approved by the relevant NHS committee.
1.3 Students commonly report that it takes longer to secure ethical approval than they had anticipated, especially when applying to an external ethics committee. It therefore makes sense to submit paperwork as early as possible. This means thinking closely about the process for collecting data. The person or committee granting approval will need to know exactly what participants will be asked to do, what information they will receive and what safeguards will be in place in the event of problems.
1.4 Permission may be needed to access certain groups of participants (eg from a school or education authority, or an employer).
1.5 If your research protocol changes following initial ethical approval you will need to report this to whoever granted the approval. If the change is significant it may be necessary to complete a fresh application.
QMU ethical procedures
http://www.qmu.ac.uk/quality/rs/default.htm#ethics
NHS ethical procedures (general)
http://www.nres.npsa.nhs.uk/applicants/
See also QMU's NHS Ethics Intranet site:
http://intra-serv/sites/NHS_research_ethics/default.aspx
2 Confidentiality and Data Protection
2.1 It is essential that researchers take measures to ensure the confidentiality of all personal data relating to participants. This includes names and addresses as well as research data. Wherever possible steps should be taken to anonymise participants. The Research Ethics guidelines contain useful advice on how to approach this.
2.2 As part of the process of informed consent participants should be informed about the extent to which their data will be seen by others and the measures taken to maintain confidentiality.
2.3 Researchers must familiarise themselves with the key provisions of the Data Protection Act 1998.
Personal data must:
- be obtained and processed fairly and lawfully and shall not be processed unless certain conditions are met.
- be obtained for a specified and lawful purpose and shall not be processed in any manner incompatible with that purpose.
- be adequate, relevant and not excessive for those purposes.
- be accurate and kept up to date.
- not be kept for longer than is necessary for that purpose.
- be processed in accordance with the data subject's rights.
- be kept secure from unauthorised access, accidental loss or destruction.
- not be transferred to a country outside the European Economic Area, unless that country has equivalent levels of protection for personal data.
Personal data is information about a living individual, who is identifiable from that information or who could be identified from that information combined with other data which the University either holds or is likely to obtain.
The University and all its staff and students who process or use personal information must ensure that they follow these Data Protection Principles at all times.
2.4 Researchers must ensure all data is kept securely (ideally in a locked filing cabinet or drawer). This applies whether data is held at the University or at home (but it is preferable that data should be stored in the University). Raw research data needs to be stored for a reasonable period of time so that it can be re-accessed and checked should issues or queries arise (for example from conflicting findings by other research teams). The QMU Retention Policy is that raw data, including interview tapes, completed questionnaires, and other material, generally should be retained for five years after the research programme is completed, although this can vary depending on funder and other requirements.
2.5 Additionally, signed consent forms should be kept separately from the data for 12 months on campus and thereafter in remote secure storage for the duration of the retention of the physical data. This protects researchers in case any problem arises with a participant.
Data Protection:
http://www.qmu.ac.uk/foi/dp.htm
Ethics guidelines:
http://www.qmu.ac.uk/quality/rs/default.htm#ethics
3 Intellectual Property Rights
3.1 Intellectual Property is an asset that may have commercial value. The University has a responsibility to ensure that it is managed effectively and wishes to encourage the promotion, protection and commercial exploitation of Intellectual Property created or developed by staff and/or students whether or not in collaboration with external organisations, to the mutual benefit of the inventors, the University and (if any) external collaborating organisations.
3.2 It is the University's policy that the product of work conducted with the benefit of the University environment (which includes facilities, resources, expertise and intellectual assets) constitutes intellectual property that should be owned, protected and used by the University for the general good of the whole University community.
3.3 The University should not infringe the rights of others who own and control Intellectual Property.
3.4 The University should meet its obligations to the funders of research including where required the management and exploitation of the results of the research.
3.5 All intellectual property created by a student whilst undertaking a research degree is assigned to and owned by the University, together with an unlimited licence for the University to use any background intellectual property which a research student may own and which becomes incorporated in the intellectual property arising from the activity.
3.6 Students may publish the results of their research during or after their research degree programme. There is no restriction on publication, unless any commercial interests are involved.
3.7 Students are encouraged to present papers for publication and to present at conferences when possible. However, it is important to consult the supervisory team about such activities. A balance must be struck between the desire to publish and the need to complete the thesis in good time. It is also important to consult the supervisory team regarding attribution of authorship. Authorship conventions vary in different subject areas, but it is normal to list supervisors as co-authors.
3.8 Research students will be asked to disclose any relevant Intellectual Property which they or their employer (if relevant) owns to enable their supervisor to determine whether an assignment or licence agreement is needed. This prevents any risk of infringing a third party’s rights.
3.9 In most cases, students will need to consider Intellectual Property only in terms of good scholarly practice and the avoidance of presenting the ideas of another person as their own. However, greater care needs to be taken when there is a possibility of commercial exploitation. In such cases, students and their supervisors should contact the Research and Knowledge Exchange Unit for advice at an early stage.
3.10 Students are required to provide a copy of their thesis for storage in the University library before they may graduate. If (for reasons of participant confidentiality or protection of commercial interests) the student feels it desirable to restrict publication, this would need to be discussed and approved by the Research Ethics Panel.
3.11 Copyright on the thesis itself remains the property of the student.
3.12 After leaving the University, students must continue to acknowledge and attribute the University's intellectual property rights created during the period of their employment or other contractual obligation at the University in a clear manner and to avoid misleading future employers or collaborators or other material third parties as to the interests in the Intellectual Property concerned.
3.13 It is important that students acknowledge any contribution other people may have made to the thesis, including technical and statistical support or proof reading.
Intellectual Property policy available from:
www.qmu.ac.uk/quality/gr/default.htm#pol
Support for academic writing (QMU research students only):
https://learn.qmu.ac.uk/webct/urw/lc9140001.tp0/cobaltMainFrame.dowebct
4 Plagiarism and academic misconduct
4.1 The University’s Code of Practice on Academic Dishonesty and Plagiarism is set out in the available from the Quality website.
http://www.qmu.ac.uk/quality/gr/default.htm#regs
Plagiarism, collusion, falsification of data and other forms of academic dishonesty are considered fraudulent and an offence against University discipline. Whilst the principles described in the Assessment Regulations apply to all students, the procedures for reporting and evaluation for a suspected offence differ slightly in the case of research students.
4.2 Research degrees differ from taught degrees in that much of the student’s work is not assessed formally. A high standard of referencing is expected from all research degree students and Directors of Studies should seek to correct any examples of poor academic practice found in students’ written work. If a Director of Studies has concerns about possible plagiarism in work submitted to the supervisory team he/she should follow the steps set out in 4.4 below.
4.3 Where academic misconduct is suspected in formal assessed work, the assessors should first discuss the concerns with the Director of Studies. Serious cases should be referred to the Dean of School, in accordance with the QMU Code of Discipline. Staff in the Quality Enhancement Unit should be contacted for advice.
4.4 The Director of Studies shall decide whether there is a prima facie case established for plagiarism and, on that basis, the appropriate route for handling the case. If it is judged that there is academic misbehaviour or academic misconduct, then the case will be referred to the Dean of School under the QMU Code of Discipline. The Director of Studies will be responsible for the submission of evidential material to the Dean of School and for informing the student or students involved and any referring staff member of the decision to move to the Disciplinary process.
4.5 Such offences on the part of academic staff would be dealt with by disciplinary procedures described on the HR Intranet site:
http://intranet.qmu.ac.uk/sites/humresources/HR%20Policies%20and%20Procedures/Forms/AllItems.aspx
4.6 Researchers are expected to act with integrity in respect of their data. Findings which do not support the research hypothesis must be reported as well as those which do. In extreme cases, doubts may arise about the veracity of data. It is essential for the University’s reputation that supervisors report any concerns of this nature to the Secretary to the Research Strategy Committee.
Plagiarism – a guide for academic staff
http://www.qmu.ac.uk/quality/documents/plagiarism%20policy%202007.doc
Write and Cite guide to Harvard referencing
http://www.qmu.ac.uk/lb/IFS_Harvard.htm
Good Scholarship website:
http://www.qmu.ac.uk/goodscholarship/
5 Health and Safety
5.1 It is extremely important that students observe the University Health and Safety policy and any health and safety precautions which may be prescribed. It is also important that students are sensitive to issues of risk in the Health and Safety context.
5.2 Students working in laboratory or clinical areas must take particular care to familiarise themselves with the safety procedures for that environment. In most cases, specific guidance will be available from technicians.
Health and Safety Intranet Site, including the QMU Health and Safety Policy:
http://intranet.qmu.ac.uk/sites/humresources/healthsafety/default.aspx
6 External collaborators
6.1 The University shall encourage co-operation with relevant establishments and organisations (Collaborating Establishments) for the purposes of research.
6.2 Less formal collaboration shall normally involve access by the student to the facilities and other resources of the Collaborating Establishment. Supervision and other facilities will be provided by Queen Margaret University, but the Collaborating Establishment may provide a nominated advisor, or even a second supervisor, as part of the supervisory team. Examples would be where a student was conducting fieldwork outside the UK, or was registered on a non-resident basis. In such cases, a letter from the collaborating establishment should be provided, outlining the facilities that will be made available to the student.
6.3 More formal collaborations may involve joint supervision, intellectual property considerations or joint funding. Examples might include situations where a studentship is attached to a joint funding application, or a collaboration with an NHS research programme. In such cases, a Collaborative Agreement must be drawn up in which the performance obligations and responsibilities of each party are explicitly stated. The agreement shall set out the terms and conditions of collaboration, covering areas such as financial provisions, reporting, intellectual property, publication of results, and liability / indemnity. Guidance regarding this agreement is available from the Research and Knowledge Exchange Unit.
6.4 The contribution of the Collaborating Establishment must be duly acknowledged in the candidate’s thesis.
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