Promoting high standards of research integrity and positive research culture

1. Policies and Systems

1.1. The University of Bath is a leading research institution committed to maintaining the highest standards of research excellence and integrity. This is the seventh University statement setting out the actions and initiatives we have undertaken to sustain and further enhance integrity in our research.

1.2. The University of Bath fully upholds the principles outlined in the updated version of The Concordat to Support Research Integrity (Universities UK, October 2019).

1.3. We have a long-standing commitment to high standards in research ethics and integrity, which is reflected in our University Strategy and Code of Ethics. As a part of our commitment we have drawn upon the Leiden Manifesto and the Metric Tide to develop our own set of principles outlining our approach to research assessment and management, including the responsible use of quantitative indicators.

1.4. The current University Strategy 2021-26 includes a key objective: ‘actively engaging locally, regionally, nationally and internationally to help to build towards our strategic objectives, serving to strengthen our culture of research integrity, and enabling our researchers to deliver their full potential’.

1.5. We are committed to providing an appropriate framework to support a research culture that is underpinned by research integrity. This involves, in part, providing clear guidance about policies, procedures and responsibilities, training and supporting researchers according to their responsibilities, and monitoring the implementation of such policies and procedures. There is a dedicated page containing information and news about all research policy and governance matters.

1.6. A new approach to ethics review was launched in April 2023 which includes a new online system for submitting and reviewing research ethics applications.

2. Culture, development and leadership

2.1. The University of Bath has a long standing commitment to supporting the development of a good research culture. Research integrity and ethics is one of the research culture pillars alongside career development, collegiality, open research, research design and research recognition.

2.2. At our University, the University Ethics Committee reports to Council and provides advice to the Vice-Chancellor on ethical matters that fall within their delegated responsibilities. This committee keeps the Code of Ethics under review and consider policy frameworks which may be developed to facilitate a more consistent and appropriate application of the code.

2.3. The Academic Ethics and Integrity Committee advises Senate on the development, implementation and review of procedures and guidelines relating to academic ethical and integrity issues.

2.4. The Research and Knowledge Exchange Committee is responsible to Senate for the development of strategies to assist the University in meeting its research objectives.

2.5. The University Research Ethics Committees, all reporting into the Academic Ethics and Integrity Committee, have been set up to consider applications, provide robust and proportionate advice on the ethical implications of projects, and liaise directly with researchers in a supportive and constructive way.

2.6. The ‘Open Research Steering Group’ reports to the Academic Ethics and Integrity Committee. It provides leadership and monitors the delivery against the open research workplan in partnership with UKRN. We are part of the OR4 research community. The ‘Research Governance Steering Group’ reports to the Research and Knowledge Exchange Committee. It is responsible for developing processes to ensure that all policies and practices that support research activity are fit for purpose and adopted across the University.

2.7. The Associate Pro-Vice-Chancellor (Research) supports the Pro-Vice-Chancellor for Research to ensure that the research related actions in the University Strategy are fully realised. The Associate Pro-Vice-Chancellor (Research) has particular responsibility for embedding principles of good research culture, integrity and ethics so as to enable growth of new and existing research governance activities.

2.8. The Research Governance and Compliance team, established in November 2022, is responsible for managing the Institutional-wide ethical review processes purposely designed to facilitate and enable research with due regard for the dignity, rights, health, safety and privacy of those involved. This team is also responsible for developing and delivering training to all researchers (staff and students) across the University in research governance, ethics and integrity matters. The team has strategic oversight of research governance policies and processes and monitor compliance with relevant frameworks to ensure that research carried out with or by the University is ethical, lawful and of the highest standards of integrity and rigour. The Head of the team supports the Pro-Vice-Chancellor for Research & Enterprise in carrying investigations into alleged research misconduct.

2.9. At a School/Department level the DREOs (Departmental Research Ethics Officers) provide help and advice on specific projects. The Deans of each Faculty or School work with the Heads of Department/Division and have the overall responsibility for the performance of academics and researchers in their respective Faculties/School.

2.10. The Pro-Vice-Chancellor for Research is the contact for any research integrity queries including research misconduct. The Director of Finance is the confidential liaison for whistle-blowers or any other person wishing to raise concerns about research integrity.

3. Communications and engagement

3.1. Training on research integrity is mandatory for all research staff and doctoral students. The current rate of completion for staff is 63%. We are developing processes to confirm compliance rates for doctoral students. This training is also available to all other staff as well as Undergraduate and Masters students. The ‘Research Essentials’ course, mandatory for all Lecturers on probation includes specific sessions on research ethics, integrity and data management.

3.2. We have continued to improve our research culture to support our staff and students by providing guidance and tools to ensure compliance and facilitate informed decisions. These include:

• publishing a monthly research ethics newsletter to promote ethical behaviour, foster community engagement, educate and inform staff and students. This includes highlighting best practice, publishing updates on ethical standards, changes in regulations or policies, and celebrating key achievements that exemplify participation in key initiatives.
• hosting monthly research ethics ‘Open Houses’ to focus discussion on ethical matters, research governance and best practice;
• a continuous improvement of our website resulting in better sign posting, information about events/training available, guidance, FAQs and case studies;
• hosting Dr Wendy Jarrett (Chief Executive of Understanding Animal Research UK) to deliver the annual AWERB’s lecture. This year’s lecture was entitled ‘Phasing in non-animal techniques in biomedical research’.
• continuing to develop training for committee members, setting up an induction session for lay members and refreshed training sessions for Departmental Research Ethics Officers;
• upon request delivering bespoke research ethics training sessions for Doctoral and Master Students in Departments,
• upon request delivering bespoke training sessions on export control and NSI Act for Departments.
• a program of Trusted Research communications is being delivered utilising materials provided by the NPSA. Communications have included blog posts, digital posters, and items on our Trusted Research SharePoint portal.
• Continued engagement via the Trusted Research Network (TRN), a group set up by the University of Bath in 2023. Membership has grown to 24 universities. The TRN meet approximately every quarter and share best practice and guidance relating to Trusted Research.

4. Monitoring and reporting

4.1. We continue to monitor compliance and are committed to carrying out the following annual audits:

• management of human tissue samples.
• Department Research Ethics Officer survey to monitor issues, identify training needs and encourage discussions at Departmental level.
• Compliance with our ethics processes

4.2. Our ethics form includes a 'Trusted Research' section, embedding compliance checks to ensure all research aligns with key regulatory frameworks such as Export Controls, the National Security & Investment Act, and the Nagoya Protocol. Monthly reviews of reports are conducted to ensure compliance. We continue to monitor and demonstrate progress against our workplan to ensure compliance with the Concordat to Support Research Integrity.

5. Investment on Resource

5.1. We have secured investment to recruit 2 Research Policy Officers to carry out a review and update of our existing research policies so that we can continue to be compliant and ensure our policies support ethical practices. With support from the Research England Enhancing Research Culture fund, we have secured support to hire 2 interns to help carry out a quality assurance exercise on the Ethics@Bath system to confirm that the types of reviews being carried out at Departmental level are fit for purpose and aligned with the standards we wish to uphold.

6. Ethics@Bath system

6.1. Through our evaluation exercise we have identified opportunities for improvement and will be introducing them in the next few months.

7. Research ethics and integrity

7.1. The University is publishing guidelines on authorship and acknowledgements.

7.2. The Centre for Qualitative Research hosted a symposium focused on ‘Transparency, Openness and Rigour’.

7.3. We participated in the Fostering Accountability for the Integrity of Research Studies (FAIRS) and attended their conference to discuss the growing problem of research fraud.

7.4. We conducted a gap analysis mapping our status against the UK CORI list of 16 indicators of conditions which support research integrity.

7.5. We have developed a training session specific for Doctoral students. This 2-part session included:

• a learning set about the research ethics review process to follow at our Institution (part 1)
• discussion of case studies to learn about best practice, identification of questionable practices, and reflection of our own behaviours/practices.

7.6. We have started work to review our ‘Procedure to enquire into allegations of misconduct in research and scholarship’. The focus of this review is to include changes in light of the lessons learnt, improve clarity in certain areas and consider opportunities to adopt a neutral language that removes potential stigmatisation, and allows for a distinction between serious breaches and poor research practices. As part of our commitment to supporting staff during these enquires we have piloted a ‘buddy’ system to support the responding party or reporting party. The ‘buddy’ is either a more senior member of staff or a peer who has been through a similar situation. The ‘buddy’ can provide support, over and above what is available for staff wellbeing and student wellbeing, to help combat feelings of isolation and share coping strategies.

8. Open Research

8.1. The Open Research Steering Group has been running for one full year, as of Spring 2024. The group have made progress on key actions as per the action plan, including joining the UKRN’s OR4 Community of Practice, publishing the Bath Open Research Survey Report, and developing plans to embed reward and recognition for Open Research practice in our hiring and promotion criteria. We have also published multiple case studies highlighting good practice in Open Research by staff and students across our research community.

8.2. The University of Bath hosted the GW4 Open Research Week from 31st March – 4th April 2025 with a range of events and presentations highlighting good practice and resources around Open Research.

8.3. The University signed up to the San Francisco Declaration on Research Assessment (DORA).

9. Other Training

9.1. In addition to our established training on research integrity, open houses, etc there are other events worthy of particular highlight:

9.2. The PEU has hosted a series of sharing practices which have been developed for researchers interested in developing participatory approaches to their research. The meetings are hybrid and open to all. Professor Sarah Banks, from Durham University, delivered a session on the ethics of public involvement and engagement. Professor Clare Wilkinson, from UWE Bristol, shared her insights on ethics and engagement and communication

10. Trusted Research and Undue influence

10.1. In collaboration with researchers from the Tobacco Control Research Group we delivered a Conflicts of Interest training session in the Department for Health. This session built upon a pilot research project aimed at researchers (staff and students) to raise awareness of undue influence. This work is now published in Health Promotion International, vol 4 (3) 2025.

10.2. In collaboration with Cyber Security and Insurance Services, hosted and delivered an Open House on ‘International Travel - managing risks for researchers’.

10.3. Together with colleagues in the Library, university Staff and the Doctoral College, the Data Management Plan (DMP) templates have been updated to incorporate guidance text relating to export controls, noting that this is a key consideration for research data management.

10.4. Developed new procurement process to strengthen researcher compliance with US Export Controls.

10.5. Conducted an initial benchmarking exercise to determine our status against the NPSA’s Trusted Research Evaluation Framework (TREF).

11. Ethics and Climate change

11.1. In recognition of our commitment to the sustainable future of Research and Innovation practice, the University signed the Concordat for the Environmental Sustainability of Research Innovation and Practice.

11.2. We have launched a resource hub to provide guidance for researchers on sustainable research practices. We have retained our “Leader in Openness” status for a third term.

12. External engagement

12.1. We have continued to engage externally to contribute towards the shaping of national frameworks, policies and processes. Of particular highlight is our participation by invitation on:

• REF PCE indicators workshop
• Consultation on the revised Concordat to Support Research Integrity
• UKRIO’s supporting collaborative thinking and progress on addressing authorship disputes roundtables.

12.2. We have also collaborated with other Institutions' investigations into research misconduct by serving as external panel members when approached.

13. Reflections on progress and plans for future developments

13.1. We will continue to develop and monitor progress towards the delivery against approved workplans for the Concordat to Support Research Integrity, Trusted Research and Open Research. Opportunities to engage more pro-actively with the Departmental Research Ethics Officers will also be created to help develop the role in light of the new system and the opportunities it brings.

13.2. Further to the Government’s announcement of the FIRS (Foreign Influence Registration Scheme) we will prioritise efforts to ensure compliance in line with the sector specific guidance published by the Home Office.

13.3. Following the release of the revised Concordat to Support Research Integrity on 4th April 2025, we will update our institutional workplan in line with the new version and continue to monitor our progress against the commitments. In light of the evaluation exercise we did further to the launch of Ethics@Bath, we have identified some key priorities which we wish to focus on and co-develop ‘special procedures’ in consultation with researchers, professional services, and external partners as appropriate.

13.4. Initially we will prioritise the development of ‘special procedures’ to support:

• Research involving competent youths
• Research involving vulnerable participants where capacity may need to be assessed
• Addressing fraudulent participation
• Carrying out research on illegal activities

14. Allegations of research misconduct

14.1. Each year the University receives details of a range of concerns relating to research integrity. During this academic year the PVC(R) received 7 complaints regarding research integrity, which included:

• 1 case of alleged plagiarism
• 4 cases of failure to meet legal, ethical and professional obligations which was upheld after formal investigation
• 1 cases of misrepresentation (e.g. data involvement, interests, qualification and/or publication history)
• 1 case with multiple areas of concern received in a single allegation

Of the total allegations received 4 progressed into the formal investigation. Of these, 3 are sill under investigation and one has been upheld in full after the process was completed.

14.2. Our work to review our processes and system relating to research ethics resulted in a heightened awareness of best practice. This has led to researchers, both staff and students, to come forward and report instances where they have not observed best practice or established protocol in the work they have either carried out or are still working on. In these instances, we work with researchers to ensure that remedial action is taken so as to align the conduct of the project with the standards we wish to uphold. This is done in line with the process articulated in Appendix II, retrospective review, of our Policy to manage research misconduct. From the 20 requested this year, 7 are still under consideration and 13 have been granted a favourable opinion retrospectively following review by the relevant research ethics committee/panel.