Gap Analysis and Action Plan
to support the implementation of The Concordat to Support Research Integrity
Version 2 – July 2014
This document identifies the University’s existing systems, processes and procedures to support the five commitments of the Concordat and identifies
further actions required to embed these. Factors have been identified and referenced against the Concordat document, which can be found at:
http://www.universitiesuk.ac.uk/highereducation/Pages/Theconcordattosupportresearchintegrity.aspx
Commitment #1
We are committed to maintaining the highest standards of rigour and integrity in all aspects of research
Clause
Evidence for current compliance
1. Researchers will:
a. understand the expected standards of The University outlines its Research and Knowledge
rigour and integrity relevant to their
Exchange (RKE) Strategy here:
research
http://www2.mmu.ac.uk/media/mmuacuk/content/docume
nts/rke/7875%20RKE%20Strategy%20Communication%20W
EB.pdf
The RKE strategy specifically addresses ways that the
University can ensure that staff understand what is expected
of them e.g.
“Establish the PDR as the key instrument for managing and
monitoring all research and knowledge exchange activity,
and the setting of specific goals and targets for staff
performance in
this area.”
MMU Guidelines on Good Research Practice:
http://www2.mmu.ac.uk/media/mmuacuk/content/docume
nts/rke/Guidelines%20on%20good%20research%20practice.
doc
Actions
Work with HR to develop a leaflet of links to
essential reading for Researchers.
b. maintain the highest standards of
rigour and integrity in their work at all
times
2. Employers of researchers are
responsible for:
a. collaborating to maintain a research
environment that develops good
research practice and nurtures a
culture of research integrity, as
described in commitments 2 to 5
 Engage with the Peer Review Process (RKE Strategy –
“Establish and embed a mandatory university-wide peer
review procedure to drive up the quality of research and
knowledge exchange and improve the University’s success
rate with customers and funders.”
 Adhere to the Guidelines on Good Research Practice

 Formalize regularity of review
 Ethics Framework procedures to engage with
 Continue review of Ethics Framework
MMU RKE Strategy:
http://www2.mmu.ac.uk/media/mmuacuk/content/docume
nts/rke/7875%20RKE%20Strategy%20Communication%20W
EB.pdf Specifically “Establish the PDR as the key instrument
for managing and monitoring all research and knowledge
exchange activity, and the setting of specific goals and
targets for staff performance in
this area.”
Schedule events and informal sharing
Initiatives for Researchers.
Publish Information relating to Peer
Review on the MMU website
“Initiate, develop and nurture partnerships with
international and world-leading organisations, and other
strategically aligned stakeholders - including SMEs, the
public sector, policy forums and the third sector.”
3. Funders of research expect:
a. researchers to adhere to the highest
standards of professionalism and
integrity
 Strategy & Guidance
 PDRs
b. employers of researchers to have
procedures in place to ensure that
 Adhere to the Guidelines on Good Research Practice
 CoP dealing with allegations of misconduct
Add links to website to the Research
Councils/NHS/Other funders to ensure that
researchers are aware that they must adhere
to the standards outlined.
Publish a review schedule with contact details,
including a clear way for people to submit
research is conducted in accordance
with standards of best practice;
systems to promote research
integrity; and transparent, robust and
fair processes to investigate alleged
research misconduct
http://www2.mmu.ac.uk/media/mmuacuk/content/docu
ments/rke/CODE%20OF%20PRACTICE%20FOR%20DEALIN
G.pdf
 Ethics Procedures
 Peer Review From RKE Strategy – “Adopt a proactive
approach to peer review of outputs prior to submission for
publication.”
ideas for consideration at the next review of
policies.
4. Where research is being conducted
 Add a section on website, include a
collaboratively, and particularly within
collaboration checklist to help researchers
interdisciplinary or international
e.g. if another institution is the lead you
partnerships, there needs to be clear
must provide a copy of the Ethical approval
agreement on and articulation of the
& full protocol to the Faculty Head of Ethics
standards and frameworks that will
with clear details of which aspects of the
apply to the work
research will take place at MMU.
Commitment #2
We are committed to ensuring that research is conducted according to appropriate ethical, legal and professional frameworks, obligations and
standards.
Clause
Evidence for current compliance
Actions
Researchers will:
a. ensure that all research is
Ethics Framework:
Continue with reviewing Ethics Procedure &
subject to active and
http://www2.mmu.ac.uk/rke/ethics-forms/
Policies.
appropriate consideration of
ethical issues
Provide clear step by step guidance (highlight
amendment procedure).
b. comply with ethical, legal and Stated in the Ethics Framework & Guidance on Good Research
 Provide links on websites to common
professional frameworks,
Practice
professional frameworks, obligations and
obligations and standards as
standards.
required by statutory and
regulatory authorities, and by
employers, funders and other
relevant stakeholders
2. Employers of researchers are
responsible for:
a. having clear policies on ethical Ethics Policies/Forms:
approval available to all
http://www2.mmu.ac.uk/rke/ethics-forms/
researchers
b. making sure that all
researchers are aware of and
understand policies and
processes relating to ethical
approval
c. supporting researchers to
reflect best practice in
relation to ethical, legal and
professional requirements
d. having appropriate
arrangements in place
through which researchers
can access advice and
guidance on ethical, legal and
professional obligations and
standards
3. To support researchers and
employers of researchers,
funders of research will:
a. clearly identify any specific
codes of practice, legal
requirements and other
policies that researchers and
employers of researchers are
Documents to be revised using peer
organisations/Research Councils/Charities as a
reference point/benchmark drawing on good
practice.
Add clear guidance to the website.
Liaise with Research Institute Directors and
other senior management.
Development of a mandatory online training
module for all staff to complete.
Provide key contacts on website.
Available on the website and in documentation
 Provide clear links to other areas of the
website.
 Provide FAQs, Twitter updates
 Contacts for advice both procedural and
academic
 Website update
Links to internal policies on the website
Signpost all relevant policies from the RKE
page also provide links to external frameworks
Research Councils etc.
expected to comply with
b. explore ways of streamlining
When reviewing documentation where
requirements to reduce any
possible ensure that it maps onto external
duplication and inconsistency
frameworks.
Commitment #3
We are committed to supporting a research environment that is underpinned by a culture of integrity and based on good governance, best practice and
support for the development of researchers.
Clause
Evidence for current compliance
Actions
1. Employers of researchers will:
a. embed the features listed in
Compulsory RKE Induction for new academic/research staff
Consult with Research Staff about future
their own systems, processes
training.
and practices clear policies,
HR website – Leadership, management and development &
practices and procedures to
Performance & Development
Create a suite of training ‘Research
support researchers
Essentials’/’RESEARCH Academy’ to include
i. suitable learning, training
The University has a suite of mandatory training for managers
leadership, bidding, ethics.
and mentoring
entitled “Management Essentials” (which includes equality and
opportunities to support
diversity training). Details of training on the University’s staff
the development of
development intranet pages at:
Clear Communication strategy
researchers
http://www.mmu.ac.uk/humanresources/devandtrain/
ii. robust management
systems to ensure that
MMU’s Research and Knowledge Exchange Team also provides
policies relating to
staff development opportunities such as training.
research, research
integrity and researcher
Training completions are reported to deans/directors in 6 monthly
behaviour are
management reports.
implemented
iii. awareness among
The University operates a mandatory PDR (professional
researchers of the
development review) Scheme, which includes a career
standards and behaviours
development discussion. PDR completions are monitored and
that are expected of them reported in the annual staff development report.
iv. systems within the
research environment that
identify potential concerns
at an early stage and
mechanisms for providing
support to researchers in
need of assistance
b. work towards reflecting
recognised best practice in
their own systems, processes
and practices
c. implement the concordat
within their research
environment
The University also offers a programme for Academic Leadership
and Management which specifically focuses on the requirements
of academic managers and workshops to support research
supervisors.
Grant applications are signed off by the Research Office, with
principal investigators supported with advice on the grade of
research staff member needed for the project and on costings for
the post.
MMU offers a regular programme of funding opportunities to
encourage and support early stage career researchers. The
Research Accelerator Grant has been created to provide funding to
Early Career Researchers and the Knowledge Exchange and
Innovation Fund makes awards to encourage staff to venture into
new research and knowledge exchange areas. See:
http://www.mmu.ac.uk/staff/fundingopportunities/
RKE Strategy - Implement research and knowledge exchange
management information systems, which enable the collection and
development of performance metrics at the individual, centre,
faculty and institutional level.
At a local level, buddies and mentors are arranged with staff as
Add a review schedule to all
appropriate, with a Guide to Mentoring available online here:
processes/policies/guidance and map onto
external stakeholders and relevant
http://www.mmu.ac.uk/humanresources/pdf/general/Mentoring. frameworks.
pdf
Head of Research and Ethics and Research
Governance Manager to attend senior team
meetings and appropriate Research events.
2. Funders of research are
responsible for
a. promoting adoption of the
No Action Required
No Action Required
concordat within the
research community
b. supporting the
No Action Required
No Action Required
implementation of the
concordat through shared
guidance, policies and plans
Commitment #4
We are committed to using transparent, robust and fair processes to deal with allegations of research misconduct should they arise.
Clause
Evidence for current compliance
Actions
1. Employers of researchers have:
a. the primary responsibility for
http://www2.mmu.ac.uk/media/mmuacuk/content/documents/rk Updating of Code of Practice in process.
investigating allegations of
e/CODE%20OF%20PRACTICE%20FOR%20DEALING.pdf
research misconduct.
b. to ensure that any person
http://www2.mmu.ac.uk/media/mmuacuk/content/documents/h
involved in investigating such uman-resources/a-z/guidance-procedures-andallegations has the
handbooks/Disciplinary_Procedure.pdf
appropriate knowledge, skills,
experience and authority to
Staff training:
do so.
Disciplinary and Capability Training
c. responsibility for taking
Issue clear guidance of steps for how to
appropriate steps to remedy
investigate misconduct and steps to follow to
any situations arising from an
redress include notifying funders/stakeholders
investigation. This can include
as necessary.
imposing sanctions, correcting
the research record and
reporting any action to
regulatory and statutory
bodies, research participants,
funders or other professional
bodies as circumstances,
contractual obligations and
statutory requirements
dictate.
d. to be mindful that minor
infractions, where there is no
evident intention to deceive,
may often be addressed
informally through mentoring,
education and guidance.
2. Researchers will:
a. act in good faith with regard
to allegations of research
misconduct, whether in
making allegations or in being
required to participate in an
investigation
b. handle potential instances of
research misconduct in an
appropriate manner; this
includes reporting misconduct
to employers, funders and
professional, statutory and
regulatory bodies as
circumstances require
3. As part of existing mechanisms
and conditions of grant,
employers of researchers should
already:
Issue guidance regarding minor infractions.
Ensure that this is included in the Guidelines.
Provide a process map with clear named
contacts and details of timeframes and
responsibilities.
a. Have clear, well-articulated
and confidential mechanisms
for reporting allegations of
research misconduct
b. Have robust, transparent and
fair processes for dealing with
allegations of misconduct that
reflect best practice
c. ensure that all researchers are
made aware of the relevant
contacts and procedures for
making allegations
d. act with no detriment to
whistleblowers making
allegations of misconduct in
good faith
Create process map and ensure expectations
are outlined in the Guidelines.
Create process map and ensure expectations
are outlined in the Guidelines.
Speak to HR about distributing Guidelines.
Fair treatment at work framework
http://www2.mmu.ac.uk/media/mmuacuk/content/documents/h
uman-resources/a-z/policies-schemes-and-terms-conditions/Fair_Treatment_at_Work.pdf
Public Interest Disclosure (“Whistleblowing”) Policy
http://www.finance.mmu.ac.uk/uploads/5/MMU%20Public_Intere
st_Disclosure_Policy_Feb_2012.pdf
e. provide information on
investigations of research
misconduct to funders of
research and professional
and/or statutory bodies as
required by their conditions of
grant and other legal,
professional and statutory
obligations
Include appropriate expectations within
guidelines.
Guidelines should make clear that we expect
all to act responsibly and conduct their
research with a high moral code.
Provide a process map and include who to
inform when.
f. support their researchers in
providing appropriate
information to professional
and/or statutory bodies
g. provide a named point of
contact or recognise an
appropriate third party to act
as confidential liaison for
whistleblowers or any other
person wishing to raise
concerns about the integrity
of research being conducted
under their auspices. This
need not be the same person
as the member of staff
identified to act as first point
of contact on research
integrity matters, as
recommended under
Commitment #3.
4. Funders of research will:
a. have clear expectations of
what constitutes research
misconduct
b. ensure that recipients of
funding are aware of
requirements regarding the
investigation and reporting of
research misconduct, and that
these are openly stated
Info on website about who to contact for
information.
Provide a named contact and the process to
follow.
Use the frameworks of the Research
Councils/NHS etc. to inform our own guidance.
Liaise with Research Development Managers
to consider the information provided to
researchers if they are successful in applying
for grants
Commitment #5
We are committed to working together to strengthen the integrity of research and to reviewing progress regularly and openly.
Clause
Evidence for current compliance
Actions
1. employers of researchers should RKE Strategy - Issue Board of Governors and Executive with regular
present a short annual statement reports on research and knowledge exchange activity.
to their own governing body
Make the annual update of the Research and
that:
Knowledge Exchange strategy an Executive priority.
a. provides a summary of
Annual Monitoring and Evaluation statistics relating to
Evaluate training for research staff. Implement
actions and activities that
postgraduate researcher training are collated by the Graduate
a process for people to feed in issues that
have been undertaken to
School.
might have been raised in PDRs.
support and strengthen
understanding and application
of research integrity issues
(for example postgraduate
and researcher training, or
process reviews)
b. provides assurances that the
Implement a review schedule.
processes they have in place
for dealing with allegations of
misconduct are transparent,
robust and fair, and that they
continue to be appropriate to
the needs of the organisation
c. provides a high-level
Review processes for collating and storing
statement on any formal
information relating to investigations.
investigations of research
misconduct that have been
undertaken
d. that improves accountability,
and provides assurances that
measures being taken
continue to support
consistently high standards of
research integrity, this
statement should be made
publicly available.
2. Employers of researchers also
need to be confident that the
procedures and practices they
have in place are robust. Given
the changing nature of concerns
relating to research integrity and
the emergence of new types of
research, it is important that
employers periodically review
their processes to ensure that
they remain ‘fit for purpose’.
Implement a review schedule.