Research code of practice

Summary

The Research Code of Practice sets out the principles that govern the conduct of research at The Open University, and the standards for good research practice.

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Scope

Who this Code of Practice covers

This Code of Practice applies to:

• Open University staff and independent contractors or consultants who are formally contracted to conduct research on behalf of The Open University, regardless of location, whether working alone, or in collaboration, including in collaboration with researchers from third-party organisations.
• Open University visiting academics, emeritus professors and honorary associates conducting research on behalf of The Open University.
• Open University staff who manage or support research (eg technicians, research managers), or supervise postgraduate research students.
• External supervisors of Open University directly supported postgraduate research students.
• Postgraduate research students registered with The Open University on a full-time or part-time basis, including those based at Affiliated Research Centres and other partner institutions.

All relevant staff, students and other relevant researchers are expected to understand and abide by the Research Code of Practice. Supervisors of postgraduate research students are expected to support their students to understand and abide by the Research Code of Practice.

For specific guidance on how this document applies to your own research, please seek advice from your named Faculty contact for research integrity, your Faculty Associate Dean Research, the Director of Research in your School, your research supervisor and/or the Research Governance team.

Who this Code of Practice does not cover

This Code of Practice does not apply directly when undertaking scholarship projects at or on behalf of The Open University unless the scholarship project in question is at the interface between scholarship and research, i.e. corresponds to the Frascati definition of research used in this document. To determine whether a scholarship project is aligned with the definition of research used in this document, and therefore whether the provisions in this Code of Practice apply, please refer to the definition of research in the definitions section. Otherwise, please refer to the scholarship guidance on the Scholarship webpages (internal link only).

This Code of Practice does not apply to Associate Lecturers unless they are formally contracted to undertake a research project for The Open University, or a scholarship project that aligns with the definition of research used in this document and if so, only in the context of that particular research or scholarship project contract.

This Code of Practice does not apply to students studying undergraduate or postgraduate modules that form part of a taught qualification.

If you are a student undertaking a taught course dissertation module, please refer to your course materials and your tutor for further guidance on good research practice in the context of your project.

This Code of Practice does not apply directly to supervisors of postgraduate research students based at Affiliated Research Centres. Nevertheless, such supervisors are expected to support their students to understand and to abide by this Code of Practice.

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Introduction

Research is an important pillar of The Open University’s academic endeavour. Research at The Open University is based on honesty, rigour, transparency and open communication, care and respect, inclusion, safety and accountability. The Open University expects high standards of personal and professional
conduct from all those engaged in research, including meeting our shared commitment to minimising detrimental environmental impacts of research.

In pursuit of its research, The Open University is committed to providing all researchers and those who manage or support research, an open, supportive, inclusive, equitable and safe research environment, that facilitates good research practice and is based on the principles of research integrity, academic freedom, and environmental responsibility.

This Research Code of Practice sets out the principles that govern the conduct of research at The Open University, and the standards for good research practice.

It is aligned with the commitments contained in the Concordat to Support Research Integrity which sets out a national framework for good research conduct and its governance.

Furthermore, The Open University’s commitment to the principles of equality, diversity and inclusion, academic freedom, and environmental responsibility, and how they apply in the research context are set out in this document.

Section 1 sets out the purpose of this policy. Section 2 sets out the principles of good research conduct, sections 3 and 4 set out the responsibilities of researchers and those who manage or support research, and of The Open University. Subsequent sections describe the general standards for good research practice in The Open University context. The final section describes breaches of the Code and indicates how alleged breaches of the Code will be investigated.

It complements existing Open University policies (listed in the Appendix: Related documentation), and policies and procedures for good research practice at Faculty/Institute and discipline level, and in Affiliated Research Centres, where applicable.

The definition of ‘research’ in the UK Higher Education sector is based on the conventions set out in the Frascati Manual. Definitions of terms, including the definition of ‘research’ applied in this Code of Practice, are provided at the end of this document.

Throughout this document, the term ‘researcher’ applies to Open University staff, independent contractors or consultants who are contracted to conduct research on behalf of The Open University. It includes Open University visiting academics, emeritus professors and honorary associates conducting research on behalf of The Open University. The term ‘researcher’ also includes postgraduate research students registered with The Open University on a full-time or a part-time basis, those directly supported by the University and those based at partner institutions.

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Research Code of Practice

1. Purpose

   1. The Research Code of Practice sets out:
      • Principles of good research conduct
      • Responsibilities of researchers and of those who manage or support research
      • Responsibilities of the University
      • Standards for good research practice
      • How alleged breaches of the Research Code of Practice will be dealt with

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2. Principles of good research conduct

   1. The Open University is committed to promoting and sustaining an open, supportive, inclusive, equitable and safe research environment, that facilitates good research practice and is based on the principles of research integrity, academic freedom, and environmental responsibility.
   2. The principles which underpin the conduct of research at The Open University are based on those set out in the Concordat to Support Research Integrity.
   3. These principles apply to all aspects of research, including the preparation and submission of grant proposals, the use of technologies and other tools, the provision of expert review of the work of others, and the publication and dissemination of findings. Together, these principles influence the environment in which research is conducted, and the values and behaviours of those involved in research, helping to safeguard and enhance responsible research practice. Research has integrity when it is carried out according to these principles, and in a way that is trustworthy, ethical and responsible.
   4. At every stage in the research process, all members of The Open University research community, are expected to adhere to the following principles. Guidance on how to apply these principles in the context of Open University research is provided in sections 8 - 17.
      1. Honesty is crucial, from the presentation of research ideas and goals, through to authorship and financial contributions, and on to findings. Examples include honesty in: reporting research methods and procedures; gathering data and information; referencing work; representing and acknowledging the work of others; conveying interpretations; and making justifiable claims based on research findings.
      2. Rigour is demonstrated by behaviour that is in line with prevailing disciplinary norms and standards, including the use of appropriate methods, or proposes new methods using careful argument and detailed evidence to support the new approach, aligning with the overall principles of good research practice. It may be evidenced through adherence to procedures, standards of practice and agreed protocols, as appropriate, and is expected when drawing interpretations and conclusions from research, including when communicating findings. The integrity of the research record should be protected through secure and rigorous approaches.
      3. Transparency and open communication provide the foundation for the actions taken when conducting or communicating about research. Examples may include: declaring potential competing interests; reporting research data collection methods; acknowledging the use of tools such as emerging technologies; analysing and interpreting data; and publishing or otherwise sharing findings. This may include appropriate open research practices. It permits humility in the process, seeking and providing honest feedback, acknowledging errors committed in good faith and ensuring honest mistakes are seen as productive elements of research.
      4. Care and respect are expected for everyone and everything involved in the research system, and for the protection of the integrity of the research record. They should be extended to everyone involved in the research process, all participants in research, and for the subjects, users and beneficiaries of research, including humans, animals, the natural environment and cultural heritage.

         1. Inclusion is an important aspect of care and respect contributing to an equitable research culture. It is created by:

            • Promoting dignity and respect: Treating individuals with dignity and respect, valuing the diversity of people and their identities, challenging inequalities of participation and opportunity within research contexts.
            • Addressing research inequalities: Acknowledging and redressing research inequalities. Considering the socio- cultural positioning and needs of communities that contribute to and benefit from research outcomes.
            • Building equitable partnerships with Global South partners: Ensuring that research activities are built on trust and respect, rather than exploitation and extraction. Recognising and confronting Western, Euro-centric narratives and practices that have historically marginalised certain voices. Ensuring equitable treatment of knowledge from the Global South.
            • Acknowledging positionality: Recognising and acting upon personal privileges and research bias, as it pertains to aspects such as sex, gender, sexual orientation, class, ethnicity, race, religion, nationality and disability etc.
            • Ensuring inclusive representation: Reviewing the composition of project teams and governance structures, ensuring where feasible their membership includes appropriate levels of representation from underrepresented groups and individuals with protected characteristics.
            • Integrating diverse knowledge systems: Engaging with and valuing indigenous, community, and experiential knowledge. Ensuring these forms of knowledge are shared and integrated into decision-making processes.
            • Adapting methodologies to mitigate bias: Recognising and redressing biases and erasures inherent in specific methodological approaches. Adapting methods to ensure inclusivity and accuracy in research.

            Further information is available in Building Equitable Partnerships: Institutional and Researcher Guidelines (internal link only).

         2. Safety is an important aspect of care and respect. It is created by:
            • Ensuring that all research fulfils the requirements of health and safety legislation and good practice (internal link only).
            • Protecting the dignity, rights, health, safety and welfare of all involved in research, and so far as is reasonably practicable, avoiding risk or harm to humans, animals, the natural environment and cultural heritage.
            • Identifying, assessing, documenting and managing all risks (internal link only), so far as is reasonably practicable.
            • Initiating and continuing research only if researchers and those who review the research proposal consider the anticipated benefits justify any risks involved.
            • Sharing ideas and disagreeing constructively, in accordance with the rights and responsibilities set out in the Code of Practice for Freedom of Speech and Academic Freedom.
            • Taking risks and experimenting within the parameters set out in this Research Code of Practice.
      5. Accountability is expected of all members of The Open University research community individually and collectively to create a research environment in which diverse individuals and organisations are empowered and enabled to own the research process and be accountable for their contributions to the research record. All members of The Open University research community are accountable to participants involved in their research projects, and have a responsibility to hold other members of the research community and other organisations to account when behaviour falls short of the standards set by the Concordat to Support Research Integrity, and this OU Research Code of Practice when research is being undertaken on behalf of The Open University.

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3. Responsibilities of researchers and those who support or manage research

   1. Researchers and those who manage or support research, individually and collectively, are responsible for the following.
      1. Understanding and maintaining the expected standards of integrity relevant to their research throughout the research cycle, ensuring their research skills are up to date through ongoing training and development.
      2. Being open and transparent about their research methodologies and findings, and honest when errors are made.
      3. Complying with ethical, legal, regulatory and professional frameworks, obligations and standards as required by the University, statutory and regulatory authorities, funders and other relevant stakeholders.
      4. Designing, conducting and reporting their research in ways that embed rigour, integrity, and ethical practice throughout.
      5. Ensuring that all their research is subject to ongoing, active and appropriate consideration of ethical issues.
      6. Keeping their knowledge up to date on research integrity principles and being aware of how their responsibilities may evolve at different stages of their career. Those involved in the supervision and development of other researchers should ensure that they have the necessary training, time and resources to carry out that role, and request support if required.
      7. Collaborating with others to build and maintain a research environment that encourages research integrity, including seeking support from those in leadership and supervisory roles, as needed, to resolve issues.
      8. Adhering to and promoting standards of research integrity when working with partners.
      9. Maintaining trust in research, including by reporting any concerns of research misconduct.
      10. Being honest when reporting any concerns about potential breaches of integrity and declaring conflicts of interest.
      11. Supporting and participating in any investigation into alleged research misconduct, its management and implementation of any recommendations, as required.
      12. Upholding trust and confidence in research in the UK through the work they undertake, host, fund, partner or collaborate on, support, and disseminate.
      13. Minimising the risks associated with operating within a global research and innovation ecosystem, protecting OU research from potential theft, manipulation and exploitation by hostile actors.
      14. Finding opportunities to implement, reward, and share ideas, good practice, and learning experiences inside and outside their own organisation.
   2. In addition to the above, postgraduate research students and their supervisors are responsible for adhering to The Open University Research Degree Regulations and the expectations set out in the Code of Practice for Supervisors and Research Students appended to that document.

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4. Responsibilities of The Open University

   1. Open, supportive, inclusive, equitable and safe research environment

      The Open University is responsible for maintaining and promoting an open, supportive, inclusive, equitable and safe research environment, that facilitates good research practice and is based on the principles of research integrity, academic freedom, and environmental responsibility. It strives to do so in the following ways.

   2. Leadership

      The Pro-Vice-Chancellor, Research & Innovation oversees research integrity. The Executive Deans and Directors are accountable for the research undertaken in their respective Faculty/Institute. It is their responsibility and that of the Associate Deans Research, Heads of School and Directors of Research to foster an open, supportive, inclusive, equitable and safe research environment that facilitates good research practice and research integrity, environmentally responsible approaches to research, and protects academic freedom. Research leaders are expected to address questionable research practice/research misconduct when it occurs. Principal Investigators and other research team leaders are expected to nurture good research practice and adherence to research integrity principles, to support academic freedom, and to promote environmentally responsible practices within their research teams.

   3. Currency of the Research Policy Framework

      The Open University is responsible for keeping this Code of Practice and other research policies current, ensuring that they reflect relevant external requirements. Research policies are reviewed every three years, or more often if necessary, and overseen by the Research Committee or designated Committees in its substructure, as per the Senate delegation schedule.

   4. Training, development and support

      The Open University is responsible for providing opportunities for training and development for all its researchers and those who manage or support research, including those on fixed term and part-time contracts, whatever their experience or background. It is responsible for ensuring that researchers and those who manage and support research are properly trained in good research practice, research integrity, ethics and Trusted Research principles. The Open University is committed to the Concordat to Support the Career Development of Researchers, and the well-being and career development of all early and mid-career researchers, and research leaders. All early career research staff are offered mentors upon appointment. Postgraduate research students are assigned qualified supervisors as well as third-party monitors for pastoral care. The Open University’s commitment to the wellbeing of postgraduate research students is set out in The Open University Postgraduate Research Student Wellbeing and Mental Health Policy.

   5. Executive Deans, or their named delegate(s) are responsible for ensuring and confirming that all new research and academic staff and research support staff are briefed about research integrity at The Open University during their induction. A Faculty research integrity induction checklist supports this endeavour. Supervisors are responsible for ensuring that their postgraduate research students understand research integrity principles and good research practice in their field, that their training needs in this respect are identified and addressed, and that they conduct their research accordingly.
   6. Executive Deans, or their named delegate(s) must ensure that there are effective systems for advice and mentoring, to support researchers and those who manage or support research in developing their understanding and application of research good practice, to identify research training needs and to provide opportunities for career development. Each Faculty/Institute is expected to publish a named contact whom researchers and associated staff might approach for advice about good research practice.
   7. Research Committee has mandated research integrity and ethics training for all academic, research and research support staff. Generic research integrity and ethics training, and training about good practice in many aspects of the research cycle is provided through the Researcher Development Programme (internal link only). Formal training and informal mentoring in good research practice relating to individual disciplines is the responsibility of Faculties, Schools and Research Groups. Formal research training at The Open University is aligned with the Vitae Researcher Development Framework.
   8. An individual’s research training needs are identified through the Career Development and Staff Appraisal Process (internal link only) (staff) and regular training needs analysis (postgraduate research students with support from their supervisors).

   9. Fairness in recruitment, selection, reward, development

      The Open University undertakes staff evaluation in line with equality principles and to support effective career development. This is a key focus of its Athena Swan and Race Equality Charter action plans and aligns with its commitments under the Concordat to Support the Career Development of Researchers.

   10. The Open University is a signatory to the Declaration on Research Assessment (DORA). The OU Statement on the Responsible Use of Research Metrics sets out its commitment to the ongoing development and review of equitable, transparent and evidence-based processes for candidate and staff evaluation that make responsible use of research performance metrics, where appropriate, to complement expert and stakeholder evaluations of research quality. Advice regarding the responsible use of quantitative research indicators is provided on the Library’s research support web pages.

   11. Compliance with the Research Code of Practice

       The University facilitates the compliance of its research community with this Code of Practice through Faculty research management and oversight mechanisms including Faculty Academic Committees - Research, pre- and post-award support, and by having clear processes for any member of staff, or postgraduate research student, or external third-party, who wishes to raise concerns about potential research integrity breaches. It is the University’s responsibility to have robust, transparent and fair processes for dealing with allegations of research misconduct that reflect current best practice, to adhere to the processes, and to take reasonable steps to resolve any issues found during a research misconduct investigation. Our processes for addressing potential research integrity breaches are set out in section 17.

   12. The University is responsible for regularly reviewing institutional alignment with the Concordat to Support Research Integrity and publishing an annual statement on research integrity at The Open University, which has been approved by the Council. As a signatory of the Concordat for the Environmental Sustainability of Research and Innovation Practice, the University undertakes to collect and report annually on its website environmental impact and performance data.

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5. Open Research

   1. The Open University strives to make its research available and accessible to everyone, and sets out its commitment to developing open research practices in its Statement on Open and Engaging Research. Researchers and those who support or manage research are expected to adopt open research practices throughout the research life cycle, as far as legally, ethically, and practically possible.
   2. The University supports its research community to achieve this by providing tailored guidance, training and Open Research resources (internal link only).

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6. Academic Freedom

   1. Freedom of expression (Human Rights Act 1998, Equality Act 2010) and academic freedom and freedom of speech (Education Reform Act 1988, Education (No 2) Act 1986, Higher Education (Freedom of Speech) Act 2023) are protected by law. The OU’s Code of Practice for Freedom of Speech and Academic Freedom sets out the University’s approach to protecting and promoting academic freedom and freedom of speech for the University community. Researchers and those supporting and managing research also have responsibilities, set out in section 3 of the Code of Practice for Freedom of Speech and Academic Freedom, to ensure that the manner in which views are expressed in their research outputs, and when critiquing or otherwise commenting on their own and other peoples’ research, upholds The Open University’s values and remains within the law.

   2. Use of social media

      Researchers seeking to discuss their research, or that of other researchers via social media channels in a personal, or a professional capacity should adhere to the principles and standards set out in this Code of Practice, and The Open University Social Media Policy (internal link only), in accordance with their rights and responsibilities as set out in the Code of Practice for the Freedom of Speech and Academic Freedom.

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7. Environmental responsibility

   1. The Open University is a signatory to the Concordat for the Environmental Sustainability of Research and Innovation Practice and is committed to ensuring that its research is practised in an environmentally responsible way while still delivering research excellence. It has introduced the Sustainability Planning, Action and Reporting Kit (SPARK) (internal link only) to identify the sustainability impacts of the University’s business including research. Researchers are encouraged to engage with the Sustainability leads in their Faculty/Institute to identify ways in which they might undertake their research project in an environmentally responsible way throughout the whole research cycle.

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8. Research design

   1. Researchers should ensure that the proposed research addresses a pertinent question, is designed to add to existing knowledge or develop methods for research into the subject in question. Context dependent concepts like repeatability, reproducibility, replicability, reliability, trustworthiness, credibility, authenticity and meta-research are important to establish research quality. Researchers should ensure that the design and proposed research methodology of the project is appropriate to address the research question. They should acknowledge and address potential sources of bias in the research design.
   2. Before commencing the project, researchers should set out the design and conduct of the study in a viable research plan, describing how data will be gathered, stored and analysed and the research results disseminated.
   3. Researchers should consider open research (internal link only) practices in the research design stage, including considering registering their study with an appropriate body to align with transparency and openness of the research. For example, a researcher could use pre-registered reports so that the background, study design, methods, and analysis plan are peer reviewed before research begins (if appropriate for their research discipline).
   4. Researchers should be prepared to make available research designs (also known as study protocols or research methodologies) for information to peer reviewers and journal editors, alongside research outputs for publication, should this be required or requested.
   5. Researchers should ensure, in the research design, that they have considered the involvement of all sections of a population, relevant to the research question. Where it is not feasible to involve all relevant groups, researchers should identify excluded groups and document the reasons for absence (structural, infrastructural and/or practical) and outline the steps taken to mitigate theses absences.
   6. Researchers with the support of the Research Sustainability lead in their Faculty/Institute should ensure, in the research design, that they have taken care to minimise impact on the natural environment where possible and to identify ways at the outset in which they might carry out their research in an environmentally responsible way.
   7. Researchers, supported by their Faculty/Institute, should ensure that all necessary skills and experience will be available to carry out the proposed research, in the proposed research team or through collaboration with specialists in relevant fields. Where researchers intend to collaborate with external third parties for any aspect of the project, the standards set out in section 14 of this Code apply. This is the responsibility of supervisors in respect of postgraduate research student projects.
   8. Researchers, supported by their Faculty/Institute, should ensure that sufficient resources will be available to carry out the proposed research within the identified timescales, and that these resources meet all the relevant standards. Where researchers intend to utilise the resources of a third-party organisation for any aspect of the project, the standards set out in section 14 of this Code apply. This is the responsibility of supervisors in respect of postgraduate research student projects.
   9. Researchers, supported by their Faculty/Institute, and their supervisor when the researcher is a postgraduate research student, should, using the University’s risk management framework (internal link only), consider and identify at the outset any risks associated with the research and any mitigations to reduce potential harms as far as possible prior to the commencement of the project and throughout the lifecycle of the project.

   10. Researchers, supported by their Faculty/Institute, and their supervisor when the researcher is a postgraduate research student, should determine at the outset whether the research involves:

       • human participants, human data or human tissue, and thus requires ethics review
       • animals, and thus requires ethics review
       • wider ethical issues, and thus requires ethics review
       • implications for export control

       and/or is governed by other legal and regulatory requirements.

   11. Researchers must not commence the research project until approval (or a ‘favourable opinion’) from all relevant Faculty/Institute, University-level and external authorities has been obtained.
   12. Where the research project design has been approved (or granted a ‘favourable opinion’) by the Faculty/Institute, University-level or external authority/ies, researchers should ensure that any subsequent alterations to the design are subject to appropriate review by the relevant body to determine that they will not compromise the integrity of the research or any terms of consent previously given.
   13. The UK Research Integrity Office provides a checklist to assist researchers with project planning.
   14. Researchers should consult their Associate Dean Research for information about research project approval processes within their Faculty/Institute.
   15. Postgraduate research students in Affiliated Research Centres are expected to adhere to the principles of good research design, whilst complying with local research project approval procedures.

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9. Ethical, legal, regulatory and professional requirements

   1. The Open University and members of its research community must comply with all ethical, legal, regulatory, professional and funding body requirements relating to research. When conducting or collaborating in research in other countries, Open University researchers must comply with the legal and ethical requirements in both the UK and those pertaining in the other countries where the research is conducted.
   2. Researchers should reflect on the extent to which research design may impose Western- and Euro-centric lens, views and structures when working and researching in and with communities, stakeholders and institutions in the Global South. When this concern is recognised and identified, plans and processes should be developed using the Building Equitable Partnership Guidelines(internal link only). Faculty/Institute processes for reviewing research proposals must ensure that these considerations are addressed and that any potential issues are thoughtfully managed.
   3. Research must be conducted in accordance with the highest contemporary ethics standards. Open University research ethics policies and review processes are on the research ethics web pages.

   4. Human Research

      There are many legal, regulatory and ethical requirements when undertaking research which involves human participants, human data and/or human biological samples whether from living or deceased persons.

   5. Human Research Ethics Committee

      Before commencing such research, researchers must seek ethics review of the proposed project by The Open University Human Research Ethics Committee. Data collection may only commence once a favourable opinion has been granted by the Committee, and all other relevant project approvals have been obtained.

   6. Researching OU staff

      Researchers whose proposed project would involve approaching more than 30 Open University staff, for the purposes of the collection ofinformation, should also apply to the Open University Staff Survey Project Panel (SSPP) (internal link only) for guidance and permission to carry out the data collection. Small-scale surveys that require less than 30 responses from staff do not need approval from the SSPP.

   7. Researching OU enquirers/students/alumni

      Researchers whose proposed project would involve the collection of information from Open University students (students following taught undergraduate or postgraduate courses, or postgraduate research students), those who have enquired about becoming Open University students, or Open University alumni should also apply to The Open University Student Research Project Panel (internal link only) for permission to carry out the data collection. This panel ensures the appropriateness, quality and viability of any research project, whilst protecting individual students from being contacted too frequently for research purposes. Researchers whose project involves these groups are referred to the Researcher’s Journey Landing page (internal link only) for detailed guidance on project planning.

   8. Obtaining enquirer/student/alumni data sets

      Researchers seeking to work with enquirer, student or alumni data held on Open University systems should also check access and availability of such data for use in research with the Business Intelligence team (internal link only).

   9. Research Impact/Patient and Public Involvement and Engagement (PPIE) activities

      These activities may require ethics review by the Human Research Ethics Committee, in certain circumstances. Further guidance is available on ethical practice in research impact and PPIE, and whether Human Research Ethics Committee review is required. Researchers should also engage with data protection and any other relevant requirements when undertaking these activities.

   10. Internal University review and evaluation projects

       Projects involving Open University staff and/or student participants that are focused on collecting data primarily for the purpose of internal review and evaluation, and that would not have significant relevance beyond the local context, are unlikely to require ethics review by the Human Research Ethics Committee, provided certain conditions are met. Individuals conducting such projects should refer to the Human Research Ethics Committee website for further guidance about types of project that require review by the Human Research Committee and projects that are exempt. Where projects are exempt, this web page lists a set of actions that still must be undertaken for the study to meet basic ethical requirements. Where a broader research project that meets the definition of research has subsequently developed from what was initially a local evaluation project the Human Research Ethics Committee will be able to review an ethics application provided that appropriate consent has been obtained from participants for this future usage.

   11. Data protection

       1. Researchers must ensure the confidentiality and security of personal data relating to human participants and human material involved in research projects. Personal data means any information relating to an identified or identifiable living person (i.e. someone who can be identified by a name or ID number, or indirectly identified through other data about them). Researchers collecting or using information about living individuals (personal data) must comply with the requirements of the University’s Data Protection Policy (internal link only) and relevant data protection legislation (mainly, but not limited to, the UK General Data Protection Regulation and the Data Protection Act 2018). Researchers based outside the UK and working in partnership with other organisations must have confirmation that their research partners comply with all local data protection laws.
       2. Researchers must follow the Data Protection Standard (internal link only) when collecting and using (processing) personal data. Data Protection screening questions must be submitted to the Information Rights team via the online form (internal link only) to ascertain whether the processing is high risk and if a Data Protection Impact Assessment must be completed. Further information is set out on the Information Rights webpages (internal link only) and in the research guidance (internal only). These steps must be followed for all research projects involving personal data. Where the screening questions indicate that a project is high risk, data collection and processing may not commence until a full Data Protection Impact Assessment has been approved by the Information Rights team.

   12. Safeguarding

       1. Data protection legislation provides for privacy in respect of personal data. Further, The Open University Ethics principles for research involving Human Participants sets out the principle that researchers should respect the privacy of individuals, groups and communities. Nevertheless, it should be recognised that offering a right of confidentiality to research participants and other persons associated with research cannot be an absolute right. Certain circumstances, such as risk of harm to a person or persons, or the disclosure of information such as a previously unreported or undetected serious crime would require the researcher to act in the interest of protecting persons, and in the public interest by passing the information onto an appropriate agency, such as the police. The Open University Safeguarding Policy and training, whilst containing useful general principles, only apply to staff and students in a research context when acting as participants in a research project. Researchers are therefore individually responsible for identifying appropriate guidance and protocols should a disclosure be made and a safeguarding referral is needed.
       2. Where the nature of the research is such that there is a significant risk of disclosures described in paragraph 9.13 arising, any agreement made with participants or other persons associated with the research, such as may be made via an information sheet and consent form, should be clear about the limits of any confidentiality right. In some circumstances it may be appropriate to mitigate the risk by asking the consenting persons to avoid giving any information that is not directly relevant to the research topic and that might challenge the confidentiality agreement. Researchers should seek advice from the Human Research Ethics Committee on developing secure protocols to manage risks associated with confidentiality challenges and safeguarding responsibilities.
       3. When undertaking research overseas on behalf of The Open University researchers and those who support or manage research must abide by the OU International Safeguarding Policy.

   13. Retaining and reusing personal data sets

       If there is a possibility that personal data sets may be retained and reused in future research projects, researchers should ensure that this is made clear to participants and that appropriate consent is obtained from individual research subjects at the outset of the project.

   14. External regulatory requirements

       There are external regulatory requirements for many research projects involving human participants. For example, researchers wishing to carry out health and social care research in any of the four UK home nations may need to submit an application for ethics review to the Health Research Authority, following internal review by the Human Research Ethics Committee. All health and social care research must be registered in a publicly accessible database so that trusted information about the studies is available for the benefit of all. Researchers who wish to conduct research projects in probation and prison services in England and Wales will require approval Her Majesty’s Prison and Probation Service’s National Research Committee, in Northern Ireland from the Department of Justice, and in Scotland the agreement of the Scottish Prison Service. Researchers are responsible for familiarising themselves with, and complying with, the particular regulatory and professional requirements in their research field.

   15. Terrorism and extremism-related research

       Researchers intending to conduct research projects into terrorism and/or extremism are subject to the provisions of the Terrorism Act (2006), the Counter-Terrorism and Border Security Act (2019). To provide protection from prosecution under the legislation, researchers must register their project and seek University level approval as set out in The Open University Terrorism and Extremism-related Research Policy, which aligns with the Open University Prevent Principles.

   16. Animal research

       All proposals for research involving non-human animals undertaken by OU staff, research students, and taught course students should be submitted to the Animal Ethics Committee according to the procedure. This includes research that falls under the Animal (Scientific Procedures) Act (1986) (ASPA), even though formal approval for such work will need to be obtained from the relevant partner organisation. It also includes research that does not fall under ASPA; that is work that either does not involve protected animals or does not involve any harm to animals. Researchers funded by UK Research and Innovation should be aware of, and conform to, the UKRI Policy on Research and Innovation Involving Animals.

   17. Other ethical considerations

       1. Researchers should ensure that their research and associated activity aligns with the Open University Ethical Research Statement. They should consider whether their research collaborations, research topics, methods, outputs or impacts, or the associated knowledge exchange or public engagement activities may pose risks that go beyond those which fall within the remit of the of the Human Research Ethics Committee or the Animal Ethics Committee. Researchers are encouraged to use the University’s risk assessment framework (internal link only) and the Due Diligence Guidance for Research/Knowledge Exchange Collaborations and Funders, where applicable. Wider ethical risks that require mitigation and review include:
          • Significant reputational risk to the University
          • Significant legal or financial risk to the University
          • Risk that the proposed research or potential research results could be misused for purposes that are illegal or harmful, eg have both civilian and defence applications
          • Risk of detrimental societal or environmental or public health impact
          • Risk of harmful implications for human rights, equality, diversity and inclusion, or discrimination
          • Collaborations that pose ethical risks, risks to research integrity or academic freedom
       2. Where the researcher or the Faculty/Institute identifies such risks inherent in a project, these should be subject to review at Faculty level in the first instance, and mitigations identified. Where residual risk remains high following identified mitigations, and the Faculty/Institute requires further advice, the project may be escalated to the Ethical Research Review Committee (internal link only). It is the Faculty Executive Dean or delegate’s responsibility to decide whether or not to proceed with a high risk research project, following advice.

   18. Trusted research

       1. Trusted research is the umbrella term for a suite of legislation and recommendations for protecting the UK’s intellectual property, sensitive research, people and infrastructure from potential theft, manipulation and exploitation.
          • The UK National Security and Investment Act (2021) provides the government with powers to scrutinise and intervene in business transactions (including higher education organisations) in 17 key areas of the economy, to protect national security. Financial sanctions legislation must also be adhered to. The government has produced guidance for higher education.
          • The Foreign Influence Registration Scheme (FIRS) is a two-tier scheme which require the registration of arrangements to carry out political influence activities in the UK at the direction of a foreign power. The government has produced guidance for academia and the research sector.
       2. Researchers and those who manage or support research are encouraged to engage with the Trusted Research Guidance for Academia which clearly explains steps researchers should take to ensure their research is protected and that they are complying with legislation.
       3. The UK regulatory framework for strategic export controls includes circumstances where you might need an export licence. Researchers should ensure they have read and understood Open University guidance on Export Control (internal link only) and be aware whether their research areas may be subject to Export Control legislation. Should a researcher suspect that Export Controls may apply to their work, they should seek advice from the Research and Enterprise team for review and support in obtaining an export licence if required.

   19. Freedom of Information

       For more information on how the provisions of the Freedom of Information Act (2000) and the Environmental Information Regulations (2004) apply to Open University researchers, please refer to paragraphs 10.6 and 12.5 below.

   20. Copyright

       For more information on how the provisions of the Copyright, Design and Patents Act (1988) apply to Open University researchers, please refer to 12.4, 12.5 and 12.6 below.

   21. Health and safety

       Researchers, supported by their Faculty/Institute and their supervisor when the researcher is a postgraduate research student, must ensure that all research fulfils the requirements of health and safety legislation and good practice (internal link only). They should ensure that all health and safety risks (internal link only) have been identified, considered and minimised. This includes avoiding, where possible, or otherwise minimising risks when working alone. Research which involves potentially hazardous or harmful material or might cause harm to the environment must comply with all legal requirements and applicable guidelines. Research in conflict zones entails particular health and safety risks. Researchers should refer to The Open University Health and Safety Policy and Guidance (internal link only) for further information, including making travel arrangements to high risk countries.

   22. Research funding and collaboration

       For ethical and legal considerations in relation to research funding and collaboration please refer to section 14 below.

   23. Use of Artificial Intelligence (AI) in research

       1. Researchers must demonstrate awareness of and reflection on potential ethical risks of the AI methods they use or study as part of their research, such as those related to, but not limited to, biases and disparities, potential for error and inaccuracies, and security risks. Where such risks are relevant, researchers should transparently document limitations, mitigation strategies, and justifications for their methodological choices. The use of AI-generated content must not compromise research integrity or ethical standards.
       2. Researchers using an AI system at any stage in their research project must adhere to the OU GenAI End User Acceptable Use Policy (internal link only). If the AI use does not comply with the Acceptable Use Policy, researchers must follow the OU Responsible AI Policy (internal link only).
       3. Researchers are responsible for ensuring that their intended use of AI at any stage in their research project is acceptable within the funder’s conditions and adheres to the OU Responsible AI Policy. If AI is used it must comply with funder and OU data protection policies (internal link only), confidentiality, information security (internal link only) and intellectual property policies, and this Research Code of Practice.
       4. Researchers should be aware of the terms and conditions of use of any third-party AI system used as part of their research activities. Researchers must not, without appropriate permissions or consent, upload:
          • unpublished works of others or their parts (for example while that work is undergoing peer review),
          • personal and sensitive data

       to third-party AI systems that store or log such uploaded information outside of the University’s Data Governance Scope. Uploading such content could constitute an information breach reportable under data protection legislation.

       1. For transparency, researchers should clearly acknowledge any substantive use of AI tools in the production of research outputs (eg theses, publications, or presentations), particularly where such tools contributed to ideation, data analysis, or text generation that directly influenced the semantics of the research content. Use of common productivity tools (eg spell checkers, grammar correctors, source code auto-suggestion tools and search engines) that incorporate AI do not require disclosure. Acknowledgement should specify what type of AI was used, how it was used, and what role it played in shaping the final output.
       2. Digital systems and AI use a significant amount of energy. Researchers using or studying AI tools should use them in a considered, proportionate way, for instance by ensuring that their experimental design does not result in overusing AI tools or wasting computational resources beyond what is reasonable, justifiable and necessary. Researchers should aim to keep abreast of emerging technologies, eg new algorithms, renewable energy-powered servers and systems to mitigate all sources of greenhouse gas emissions arising from their research.
       3. The University is within the scope of the European Union (EU) AI Act and must comply with its requirements. While use of AI for research purposes is out of scope of the Act, any marketable AI model or system arising from research may be in scope. Researchers aiming to market an AI model or system arising from their research must contact the Information Rights team at for advice. For further information about responsible use of AI in research contexts, please refer to Embracing AI with integrity (UK Research Integrity Office).
       4. To access further information and expertise about compliant and responsible use of AI at The Open University, please refer to the Responsible AI webpage (internal link only).
       5. Postgraduate research students and their supervisors should also adhere to the OU Position Statement and Guidance on Generative AI and Doctoral Education.

   24. Affiliated Research Centres

       Postgraduate research students in Affiliated Research Centres are expected to adhere to ethics principles and ethics review protocols in their Affiliated Research Centre, to all national and regional legislative, professional and regulatory requirements in the location of the Affiliated Research Centre and the location of the research project, and The Open University Research Degree Regulations.

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10. Research data and records

    1. Research data must be managed to the highest standards throughout their lifecycle, and be shared as openly as possible, in accordance with The Open University Research Data Management Policy and associated guidance, in order to support excellence and openness in research practice.
    2. Researchers should be aware of the energy cost of data storage and seek to minimise this where possible but without compromising adherence to the Open University Research Data Management Policy.
    3. Researchers are advised, when developing their data management plan, to include strategies for transparently documenting how AI influenced their key methodological choices. It is recommended that AI-generated prompts and responses be catalogued in circumstances where such information might be important for repeatability, reproducibility or replicability of the research study, in line with best practices of Open Research.
    4. Detailed guidance, training and support on all aspects of research data management is provided by the Library Research Support team.
    5. Postgraduate research students in Affiliated Research Centres are expected to adhere to the principles of good data management, whilst complying with local data management and retention procedures.
    6. Research data can also be subject to information requests from members of the public under the Freedom of Information Act (2000) (FOIA) and the Environmental Information Regulations (2004) (EIR). Researchers must deal appropriately with any requests for information made under this legislation. If a request is received for research information that would not normally be released under business as usual practices and/or where the FOIA or EIR is cited, the researcher should forward it to the Information Rights team who will assist in formulating an appropriate response, ensuring that appropriate exemptions under the legislation are applied. Further information is set out on the Information Rights webpages (internal link only).

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1. Authorship, contributorship and attribution

   1. Researchers should comply with the authorship conventions appropriate to their research field, and to the publisher’s requirements, if applicable. Further guidance is available in Guidance on Good Authorship Practice (UK Research Integrity Office).
   2. Authorship must honestly reflect the contribution to the work/research output. For a person to be recorded as an author normally requires that they were directly involved in the creation of the work by:
      • making substantial contributions to the conception or design of the work; or the acquisition, analysis, or interpretation of data; or the creation of new software used in the work; or have drafted the work or substantively revised it; and
      • approving the submitted version (and any substantially modified version that involves their contribution to the study); and
      • agreeing both to be personally accountable for their own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which they were not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature (see note 1).
   3. The contribution of postgraduate research student supervisors to a student’s research project would normally be referenced in the ‘Acknowledgements’ section of their student’s thesis. A supervisor who has made a critical intellectual input to writing or revision of publications associated with the thesis should normally be included as an author in line with the conventions appropriate to that discipline.
   4. Everyone who fulfils the criteria for authorship in paragraph 11.2 above must be invited to be included as an author in a submitted work, and be included as an author should they accept. If authorship is declined for any reason the individual should document this, with reasons, in writing to the remaining authors, who must then assess whether to keep or discard the contribution, checking relevant journal/publisher policies. Should the contribution be retained, evidence of the declined authorship and reasons should be provided to the journal/publisher on submission. The individual’s contribution can be acknowledged, with their consent.
   5. The right to authorship is not tied to profession or seniority of position. Allocation of authorship to those who do not fulfil the criteria for authorship, otherwise known as ‘ghost’, ‘gift’ or ‘honorary’ authorship, is unacceptable. Anyone identified as an author of a work/research output must be able to take responsibility for the accuracy of the work and be able to identify their contribution to it.
   6. It is not acceptable to list any artificial intelligence tool as an author of a research output as such tools cannot enter into a publishing agreement, nor take responsibility for the content or integrity of the work. Those listed as authors are fully responsible for the entire content of any research output, even those sections produced with the assistance of an artificial intelligence tool.
   7. In a manner consistent with the norms of the research field, all research outputs must include a list of individuals who do not fulfil the criteria for authorship however have otherwise made a meaningful contribution to the project, with their permission, and should identify the contribution they have made.
   8. Academic publishers and journals are increasingly requiring authors to record and display contributor roles using the Contributor Role Taxonomy (CRediT). Researchers are recommended to adopt this approach. Decisions about authorship and contributorship should be clearly documented and communicated both within the publication and to the publisher, to ensure transparency and accountability in authorship practices.
   9. The Faculty of Science, Technology, Engineering and Mathematics has introduced the STEM Laboratory Facilities Publication Policy – Fair Attribution of Technical Staff Contributions to Research. For researchers in the Arts, Humanities and Social Sciences who are interested in exploring contributorship models, CRediT roles can be extended to better reflect discipline-specific practices, for example introducing new roles tailored to the nature of the research, such as ‘historical analysis’, and ‘production-creative’, ‘production-social’, ‘reflective analysis’ and ‘relationship development and outreach’.
   10. Researchers must fully cite all sources (published and unpublished) they have used in supporting the arguments and outputs associated with the publication and seek permission from individuals if their original work is to be used in the final submitted work arising from the project.
   11. When there is more than one co-author of/contributor to a planned research output, in advance of writing, the collaborating researchers should jointly agree and communicate to all members of the research team matters relating to authorship, attribution and publication. Researchers are guided to the Authorship Strategy Agreement Template (UK Research Integrity Office) for assistance with this. As a minimum researchers should agree:
       • Definition of roles
       • Roles of all collaborators and contributors
       • Nomination of one executive author for the purposes of administration and correspondence (the ‘corresponding author’)
       • Order in which authors shall be listed
   12. Should a dispute about authorship arise within the University or involving third parties, the members or the research team should seek to resolve it themselves with the support of the Associate Dean Research/Head of School, taking into account the conventions of the discipline, ensuring that the standards described in this section have been applied. Researchers and research leaders are referred to the Guidance on Good Authorship Practice and Model Authorship Dispute Procedure (UK Research Integrity Office). Should the dispute remain unresolved, parties should contact the research governance team for advice.
   13. Postgraduate students in Affiliated Research Centres are expected to adhere to the principles of good practice in authorship, acknowledgement and attribution set out above.

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2. Publication and public presentation of research findings

   1. Research results should be published promptly and openly (see section 13) in order to share the results with the academic community and for the benefit of wider society, subject to the application of appropriate safeguards relating to the confidentiality, legal and intellectual property requirements.
   2. Researchers should publish and disseminate all research findings accurately, without selection that could be misleading. Researchers who are discouraged from publishing and disseminating their research or its findings, or subjected to attempts to influence the presentation or interpretation of findings inappropriately, should discuss this with the Associate Dean Research so that the matter can be resolved. The research governance team may also be approached for advice.
   3. When submitting work for publication, or reporting research findings at meetings, or on social media, researchers must include information on the source of financial support for the research and declare any potential conflicts of interest.
   4. Researchers should consult the Open University Intellectual Property Policy (Research), Open University guidance on Copyright and Licences and The Open University Terms and Conditions of Service: Academic Staff Group (internal link only) or The Open University Terms and Conditions of Service: Research Staff (internal link only) or The Open University Conditions of Registration for Postgraduate Research Students as appropriate, funding body terms and conditions and The Open University Open Access Publication Policy for further information on intellectual property, its protection, and copyright rights and obligations in relation to publications and public presentation of research findings.
   5. Where confidentiality provisions to protect Intellectual Property rights, which may limit publication and dissemination are being considered, eg commercial or other sensitive research, researchers should consult the Research and Enterprise team. Researchers should also contact the Information Rights team in relation to the provisions of the Freedom of Information Act. Postgraduate research students and their supervisors should refer to The Open University Research Degree Regulations for information about the regulations relating to thesis embargo or restriction.
   6. Researchers must obtain permission (where necessary), to include any third-party copyright material in their publication, publicly presented research outputs or research degree thesis, and comply with open licences, third-party provider terms and any further copyright guidance from publishers and funding bodies. The Library Research Support team provide advice on copyright in consultation with the Intellectual Property team.
   7. Any selected images and iconography used should be appropriate and representative of the communities involved.
   8. Researchers should consider the export control risks (internal link only) of their research when it comes to publishing their results. Sharing controlled research as part of the publication process may require a licence and publications that contain controlled information may need mediation to proceed compliantly. Researchers should consult the Research and Enterprise team for advice.
   9. Publication of previously published material by the same author is not acceptable, except where each subsequent paper fully cross-references and acknowledges the earlier paper or papers. In all such cases, researchers must follow publishers’ guidelines.
   10. Submission of substantially similar work to publishers must comply with publishers’ guidelines; submissions to journals should in most cases be sequential (submitted to one journal at a time, and to the next only following rejection by the previous journal) and submissions of book/book proposals should disclose submissions to multiple publishers.
   11. Open University staff and independent contractors or consultants who are formally contracted to conduct research on behalf of The Open University, Emeritus Professors and Honorary Associates undertaking research on behalf of The Open University, Postgraduate research students registered with The Open University on a full-time or part-time basis must ensure that their affiliation to The Open University is properly recorded on all research presented for publication, and when reporting research findings at meetings, using the wording: ‘The Open University, UK’.
   12. Visiting Academics may cite an affiliation with The Open University for any publication co-authored with a member of Open University staff who is formally contracted to conduct research on behalf of The Open University. If there is no such co-author of the publication, approval to cite an Open University affiliation must be obtained from the Director of Research or the Head of the host Open University School.
   13. Associate Lecturers who are not Honorary Associates, taught postgraduate and undergraduate students may not cite an affiliation with The Open University for any publication or presentation of research findings unless they have a formal contract with The Open University to undertake a particular research project, and the publication or presentation arises from the particular research project for which they are contracted.
   14. Researchers should consider the impact of dissemination on the natural environment and seek to minimise harm where practicable.
   15. Postgraduate research students in Affiliated Research Centres are expected to adhere to the principles of good practice in publication set out above.

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3. Open Access to research outputs

   1. In keeping with The Open University’s principle of transparency and open communication, it is expected that ideas and knowledge from research should be made available and accessible for public use, interrogation and scrutiny, as widely, rapidly and effectively as possible. Research outputs should be preserved and remain accessible for future generations. The online repository for Open University research outputs, Open Research Online (ORO) and the online repository for research data, Open Research Data Online (ORDO) has been developed and is maintained to facilitate this.
   2. Researchers must ensure all their Open University affiliated research outputs are deposited in ORO, in accordance with The Open University Open Access Publications Policy. The Open University Research Publications Policy, that will take effect from 1 March 2026, aims to support authors make their Author Accepted Manuscript for articles and conference proceedings available under a CC BY licence without embargo to meet University and funder requirements.
   3. Postgraduate research students must deposit the final version of their research degree thesis in ORO, prior to award, in accordance with The Open University Thesis Submission Guidelines.

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4. Funding and collaboration in research and enterprise

   1. The Ethical Research Statement applies a set of principles to research, including to potential collaborating organisations and funders.
   2. Researchers, supported by their Faculty/Institutes, should undertake appropriate due diligence in relation to potential funders and collaborating organizations, in accordance with The Open University Due Diligence guidance for Research/Knowledge Exchange collaborations and funders, and the Trusted Research in Academia to ensure national security and compliance with legal requirements and financial agreements in the UK and all relevant countries. The due diligence guidance helps the researcher to determine whether potential funders or collaborating organisations present a financial risk or otherwise contravene any of the fundamental principles outlined in the Ethical Research Statement and therefore may not be pursued, or to identify risks that are within acceptable thresholds and can be mitigated, but may require further review by the Faculty/Institute, with possible escalation to the Ethical Research Review Committee (internal link only), before approval to proceed can be granted.
   3. Researchers should comply with the requirements of funding bodies in relation to due diligence checks that must be undertaken on overseas collaborators.
   4. Researchers should apply principles of care and respect, inclusion and honesty in collaborations, especially between the University and organisations in other sectors, and with partners in the Global South. This approach recognises power imbalances, for example relating to access to funding, resources, views of what counts as knowledge, and aspires to democratise research collaborations. The University guides researchers to Building Equitable Partnerships: Institutional and Researcher Guidelines (internal link only) and the TRUST Code.
   5. Researchers, when collaborating with a third-party, should ensure that a formal collaboration agreement is in place prior to the commencement of the research, and comply with it. The collaboration agreement must be drafted and signed by Legal Services (internal link only) on behalf of The Open University. The formal collaboration agreement should set out the:
      • key roles, responsibilities, obligations and rights of all parties
      • intellectual property ownership, data sharing arrangements, liability insurance, health, safety, and wellbeing frameworks
      • exemptions to open licensing terms for the use of research material and legally protected databases
      • funding terms and conditions including conditions for funding transfer between sponsors and collaborators or commercial partners
      • requirement for adherence to research policies, procedures, ethical, legal and professional frameworks pertaining in all collaborating organizations and all jurisdictions in which the research is taking place
      • arrangements for formal resolution of any issues or problems
      • arrangements for formal investigation of any allegations of research misconduct.
   6. Where a postgraduate research student will be using the facilities of a third-party organisation in the course of their research degree, Faculty/ Institutes and Affiliated Research Centres must ensure that an institutional collaboration agreement is in place, prior to the commencement of the research, which covers all the aspects listed above and the additional student protection measures required by the UK Office for Students.
   7. Developing an informal Ways of Working agreement in addition to the formal collaboration agreement is encouraged for all collaborative projects and is particularly strongly recommended for instances where there are co-Principal Investigators from different organisations. This is the responsibility of supervisors when a postgraduate research student project involves collaboration with a third-party. Sharing the informal Ways of Working agreement with all members of the research team including postgraduate research students will help to develop a common approach, and to avoid potential misunderstandings as the research progresses. An informal Ways of Working agreement covers:
      • roles of researchers involved in the project
      • attending meetings with external bodies/funders
      • managing internal and external communications
      • authorship, contributorship, acknowledgement, and publication recognising that this may change over the course of the project
      • how to raise, manage and resolve any issues informally.
   8. Ethical approvals (‘favourable opinion’) must be in place from all relevant bodies/countries/organisations before a research project may commence.

   9. Subsidy control

      All staff, including researchers must ensure they adhere to the University’s Financial Regulations (internal link only) when costing and pricing their externally funded research. Researchers collaborating with ‘economic actors’ (i.e. businesses) have a duty to appropriately price contracts and consultancy work and ensure it adheres to University pricing requirements and the UK Subsidy Control Regime. If researchers receive subsidies (for example funding for their research activity) then the subsidy needs to be recorded and accounted for appropriately in the financial accounts with a full audit trail.

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5. Conflict of interest

   1. A conflict of interest can occur when personal interests or external obligations compete with duties to the University. In relation to research and related activity, such conflicts, whether financial or non-financial, could serve to undermine the validity or integrity of the research and may lead to reputational damage for researchers, the University, funders and journals.
   2. Actual or perceived conflicts can arise from a researcher’s external activities, personal and professional relationships, internal or external to the University, or from their publicly declared beliefs. The points below are specific to research and related activities and are compatible with The Open University Conflict of Interest Policy.
   3. Researchers may develop a variety of external links through their work, eg providing expert advice to the private sector, public sector, voluntary organisations and local communities; as a peer reviewer or journal editor; or through involvement in spin-out companies. Researchers should be mindful that these could lead to actual or perceived conflicts of interest.
   4. A conflict of interest may arise if a researcher or a person with whom they have a close personal relationship has a financial interest in a company funding their research.
   5. A conflict of interest may arise if an individual reviewing a funding or ethics application, a manuscript for publication, or examining a doctoral thesis, or undertaking a research misconduct investigation has a close personal or professional relationship with an individual whose work is being reviewed, or their supervisor. A professional rivalry or publicly declared philosophical belief might prejudice or be perceived to prejudice a reviewer’s ability to undertake a dispassionate review.
   6. Individuals should openly declare in writing any actual or perceived conflict of interest as soon as it is identified to the Associate Dean Research or relevant officer, before commencing any research activity, and throughout all the stages of the research process including (where applicable): funding applications; research ethics applications; recruiting research participants; gaining informed consent; publication; commercialisation; peer review; thesis examination; research misconduct investigations. If the conflict of interest involves a direct financial interest in a company, researchers should disclose the conflict of interest to the Associate Dean Research, prior to the application for research funding being made.
   7. The Associate Dean Research or relevant officer should consider how to avoid or appropriately manage the conflict of interest to protect the integrity of the research process. In cases where a conflict of interest cannot be avoided, special safeguards may be required in order for the research activity to commence. If a conflict of interest poses a risk of seriously compromising integrity, the research activity should not proceed.
   8. Researchers should comply with the requirements of funding bodies and publishers in relation to declaring any actual or perceived conflicts of interest.

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6. Definition of research misconduct

   1. Research misconduct is characterised as behaviours or actions that fall short of the standards required to ensure that the integrity of research at The Open University is upheld, occurring at any point in the research lifecycle. It can cause harm and undermines the research record. Honest errors and differences in, for example, research methodology or interpretations do not constitute research misconduct.
   2. 16.2  Actions carried out with intention to commit research misconduct, or reckless departures from Accepted procedures in the conduct of any aspect of a research project constitute research misconduct. Research misconduct includes acts of omission as well as acts of commission. It is any breach of this Research Code of Practice, including, but not limited to:

      1. Fabrication

         The creation of false data, imagery, or other research outputs (eg artefacts), or other aspects of research (eg documentation, participant consent) and presenting or recording them as if they were real.

      2. Falsification

         Inappropriate manipulation or selection of data, imagery, research outputs, research processes, materials, equipment, documentation, or participant consent.

      3. Misrepresentation of research results

         Omission of relevant results or data, including negative or null results, or knowingly, recklessly or by gross negligence presenting a flawed interpretation of data.

      4. Failure to meet ethical, legal, regulatory and professional obligations

         For example

         • Terms and conditions governing the award of external funding for research.
         • The University’s policies and procedures relating to research, including but not limited to risk assessment, ethics review, health and safety, accounting requirements, data protection and data management, terrorism and extremism-related research, open access, equity and export control.
         • The policies and procedures relating to research of a collaborating organisation.
         • The local legal, regulatory, ethical and professional requirements relating to the research project if the research is being conducted in a country other than the UK.
         • Legal, regulatory, ethical and professional requirements for the protection of human research participants, human data, human organs or tissue used in research, eg:
           • Breach of duty of care for humans involved in research, whether deliberately, recklessly or by gross negligence, including failure to obtain appropriate informed consent.
           • Misuse of personal data, including inappropriate disclosures of the identity of research participants and other breaches of confidentiality.
         • Legal, regulatory, ethical and professional requirements for the protection of animal subjects (eg welfare requirements) and for the protection of the environment.
         • Any other legal, regulatory or ethical requirements for the conduct of research.
         • Standards of conduct for peer review of research proposals, results or manuscripts submitted for publication, or examination of a thesis submitted for a research degree examination eg:
           • Failure to disclose conflicts of interest.
           • Inadequate disclosure of limited competence to review, or examine.
           • Misappropriation of content.
           • Breach of confidentiality or abuse of material provided in confidence for the purposes of peer review, or examination.

      5. Failure to declare interests

         Failure to declare competing interests of researchers or funders of a study.

      6. Plagiarism

         Use of other people’s ideas, intellectual property, work (written or otherwise) from published or unpublished source material, including but not limited to text, data, imagery, created artistic artefacts, and passing it off as one’s own, without the correct acknowledgement or permission. For a detailed definition of, and examples of, plagiarism within the context of a research degree, refer to the Plagiarism and Research Misconduct Policy (Postgraduate Research Students).

      7. Misrepresentation of authorship or contribution

         Inappropriate claims to authorship or attribution of work. Denial of authorship or attribution to persons who have made a contribution to the research.

      8. Misrepresentation of publication history

         Undisclosed duplication of publication, including undisclosed duplicate submission of manuscripts for publication.

      9. Misrepresentation of credentials

         False presentation of qualifications, experience, competence or credentials.

      10. Facilitation of research misconduct

          Collusion in, or concealment of research misconduct by others.

      11. Improper dealing with allegations of research misconduct

          Failing to address allegations of research misconduct, instigating reprisals against whistle-blowers, failing to adhere to agreed procedures for investigation of allegations, inappropriate censoring of parties through the use of legal instruments such as non-disclosure agreements.

   3. The definitions of research misconduct align with those in the Concordat to Support Research Integrity.
   4. Guidance on how to raise concerns about potential research misconduct is provided in section 17.

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7. Concerns about questionable research practice or research misconduct

   1. The Open University wishes to protect its reputation, those of its researchers, and the integrity of the research record by ensuring questionable research practice is avoided and any concerns about research misconduct are dealt with appropriately.
   2. Individuals are encouraged to raise legitimate concerns about questionable research practice or research misconduct at the earliest stage in order that they may be resolved. A person raising a concern about questionable research practice or research misconduct (initiator) will not be penalised, provided that the concern is raised without malice and in good faith, reasonably believing the concern or the allegation to be true.
   3. Recognising that power imbalances may exist, for example between a Principal Investigator and a junior researcher or between a supervisor and a postgraduate research student, researchers are encouraged to support fellow researchers in coming forward with concerns, to resolve the concerns, and in so doing to uphold the principles of research integrity.
   4. Concerns may arise because of misunderstandings about the research process, or because of human error. Where possible, initiators are encouraged to speak with the researcher involved in good faith to seek to resolve the issue. If an initiator needs support or advice to do so, or feels it is inappropriate to speak with the researcher directly, they should approach the officer named on the relevant Faculty/Institute intranet page who may be approached with concerns about questionable research practice or research misconduct. Alternatively, concerns, or requests for advice may be addressed to the Associate Dean Research or to the Senior Manager, Research Governance.
   5. The named officer and the Associate Dean Research are obliged to deal with the concern by seeking to resolve the issue locally, if appropriate and if possible. The named officer/Associate Dean Research is invited to consult the Senior Manager Research Governance should further advice be required. If the concern has been raised by an individual external to the University, the named Faculty officer is encouraged to seek advice from the Senior Manager, Research Governance at the earliest opportunity.
   6. Faculties should put in place means of recording the concerns raised and their resolution to evidence research integrity oversight, and for anonymised research integrity reporting purposes.
   7. Where an initiator considers the issue has not been resolved within the Faculty, or the initiator, or the Faculty officers consider the matter to be potentially serious, they should raise the concern through the:
      • Procedure for Dealing with Allegations of Research Misconduct, if the allegation concerns a member of staff. The Pro-Vice-Chancellor, Research & Innovation, is responsible for the investigation of such allegations.
      • Plagiarism and Research Misconduct Policy (Postgraduate Research Students), if the allegation concerns a postgraduate research student. The Pro-Vice-Chancellor, Research & Innovation has delegated responsibility for the investigation of such allegations to the Graduate School Director.
   8. This is to ensure that claims of research misconduct are properly investigated and the outcomes of any investigation are implemented in accordance with good practice set out in the Concordat to Support Research Integrity.
   9. Pressurising another member of the research team to act contrary to the provisions of this policy is a form of bullying and harassment and is unacceptable. Researchers and other members of the research team are encouraged to report any such pressure to the officers named in 17.4 above. Such allegations will be dealt with according to The Open University Bullying and Harassment Policy (staff members) (internal link only), or The Open University Dignity and Respect Policy (postgraduate research students). If, following investigation according to the provisions of the Bullying and Harassment policy or the Dignity and Respect policy, an allegation is upheld against an individual involved in a research activity funded by an external funding body, The Open University will notify the funding body of the investigation and the outcome in cases where this is required by the terms and conditions of the funding body (eg UK Research and Innovation).
   10. The Open University Whistleblowing Policy is an alternative recourse for staff, students, and external parties wishing to raise legitimate concerns they may have about irregularities in the running of the University or the activities of its staff.

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Definitions

Academic Freedom

Academic freedom means freedom within the law for academic and research staff and postgraduate research students to question and test received views and wisdom, and to put forward new ideas and controversial or unpopular opinions without placing themselves at risk of losing their jobs or privileges. It sometimes applies to other categories of staff but this will be determined by the nature and context of their work. Please refer to the Code of Practice of Freedom of Speech and Academic Freedom for a full legal definition.

Accepted procedures (for research)

Accepted procedures include but are not limited to the following:

• Gaining informed consent where required.
• Gaining formal approval from relevant organisations where required.
• Any protocols for research contained in any formal approval that has been given for the research, including submitting research for ethical review when required or appropriate, and abiding by the terms of all ethical approvals for research.
• Any protocols for research as defined in contracts or agreements with funding bodies and sponsors.
• Any protocols for research set out by and/or approved by a regulatory authority such as the Medicines and Healthcare Products Regulatory Authority (MHRA) for a trial of medicinal products.
• Any protocols for research set out in this Research Code of Practice and associated research policies and guidelines, and those of any relevant partner organisations.
• Any protocols for research set out in the guidelines of appropriate recognised professional, academic, scientific, governmental, national and international bodies.
• Any procedures that are aimed at avoiding unreasonable risk or harm to humans, animals or the environment.
• Good practice for the proper preservation and management of data, artefacts and materials.
• Clear citation of others’ work that is alluded to or discussed in any research output.
• Any existing guidance on good practice in research.

Accepted procedures do not include:

• Un-consented to/unapproved variations of the above.
• Any procedures that would encourage, or would lead to breaches in the law

Artificial Intelligence (AI) system

Cultural heritage

Environmental responsibility

Environmental responsibility in research refers to the ethical obligation of researchers to recognise, evaluate, and mitigate where possible the environmental impacts of their research activities, whether in the field, laboratory, or through their use of information systems. It involves integrating sustainability principles as far as possible into the design, execution, and dissemination of research without compromising the integrity of the research. Please refer to the following journal article for further information: The Environmental Responsibility Framework: A Toolbox for Recognizing and Promoting Ecologically Conscious Research.

Human data

Human data includes any data that originates from human activities, behaviours or biological sources.

Natural environment

Questionable research practice

Minor infractions or research practices, including avoidable errors, which fall short of the definition of intentional research misconduct. They may arise due to a lack of knowledge or attention to detail, negligence, or deliberate action, and may occur where there is no evident intention to deceive.

Research

In the UK Higher Education sector ‘research’ is defined by the conventions set out in the Frascati Manual.

Research and experimental development (R&D) comprise creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of available knowledge.

Research and experimental development must satisfy five core criteria. It should be novel, creative, uncertain (about the final outcome), systematic, with transferable or reproducible results.

Research and experimental development covers three types of activity. Basic research: experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular application or use in view. Applied research: original investigation undertaken in order to acquire new knowledge. It is directed primarily towards a specific, practical aim or objective. Experimental development: systematic work, drawing on knowledge gained from research and practical experience and producing additional knowledge, which is directed to producing new products or processes or to improving existing products or processes.

Research and experimental development excludes routine testing and routine analysis of materials, components and processes, such as for the maintenance of national standards, as distinct from the development of new analytical techniques. It also excludes the development of teaching materials that do not embody original research.

Research and experimental development includes research that is published, disseminated or made publicly available in the form of assessable research outputs and confidential reports.

Some Scholarship of Teaching and Learning Projects may align with this definition. In such cases the provisions of this Research Code of Practice apply.

Researcher

Open University staff and independent contractors or consultants who are formally contracted to conduct research on behalf of The Open University, regardless of location, whether working alone, or in collaboration, including in collaboration with researchers from third-party organisations.

Open University visiting academics, emeritus professors and honorary associates conducting research on behalf of The Open University.

Postgraduate research students registered with The Open University on a full- time or a part-time basis, including those based at partner institutions.

Research integrity

Research has integrity when it’s carried out according to the principles of honesty, rigour, transparency and open communication, care and respect,inclusion, safety, and accountability, and in a way that is trustworthy, ethical, and responsible. The principles are described in section 2 of this Research Code of Practice.

Research misconduct

An act or behaviour which falls short of the standards required to ensure that the integrity of The Open University’s research is upheld. Definitions and examples of research misconduct are listed in section 16 of this Research Code of Practice.

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Further advice

For specific advice on how the provisions of this Code of Practice applies to your own research, please seek advice from your research supervisor, Research Group Leader, Head of School, Associate Dean Research, and/or the research governance team.

If you have any comments about this policy document and how it might be improved, please submit these to the research governance team.

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Reporting bullying and harassment

The Open University is committed to creating a diverse and inclusive environment where everyone feels safe and is treated with dignity and respect. Unlawful discrimination of any kind across The Open University will not be tolerated. We encourage staff, students, learners and visitors to report incidents of assault, bullying harassment, hate crime or sexual harassment through Report + Support. This platform also provides information about what you can do if you or someone you know experiences such incidents, and where you can find support.

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Equality, Diversity and Inclusion

Policies are inclusive of all Open University staff and Open University postgraduate research students, regardless of age, care experience, caring status or dependency, civil status, disability, family status, gender, gender expression, gender identity, gender reassignment, marital status, marriage and civil partnership, membership of the Traveller community, political opinion, pregnancy and maternity, race, religion or belief, sex, sexual orientation, socio- economic background or trades union membership status.

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Our Student Charter values

The Student Charter was developed jointly by The Open University and the OU Students Association. It is a declaration of our shared values and the commitments we make to each other. This document aligns with Student Charter values. 

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Summary of significant changes since last version

There are a number of significant changes from the previous version of this policy. These are:

• (Scope) Clarification has been included that the Research Code of Practice applies only in cases where an individual is formally contracted to undertake research on behalf of The Open University.
• (Scope) Technicians and research managers are cited as staff categories who support or manage research.
• (Definitions) The definition of the term research has been amended to align with the UK Research Integrity Office definition replicated in other OU documentation.
• (Definitions) The definition of the term research integrity at The Open University has been amended to reflect the Concordat to Support Research Integrity principles, and also OU specific principles of inclusion (including equitable research partnerships) and safety (including academic freedom).
• (Definitions) A new definition of accepted procedures has been included to align with the UK Research Integrity Office definitions replicated in other OU documentation
• (Definitions) The terms academic freedom; artificial intelligence; cultural heritage; human data; natural environment; questionable research practice are included in this revised version for the first time and their meanings are set out in the definitions section.
• (Section2/3/4) The principles of good research conduct, responsibilities of researchers and those who support or manage research, and the responsibilities of the University have been amended to align primarily with the revised Concordat to Support Research Integrity, and also where applicable to our obligations under the Concordat for the Environmental Sustainability of Research and Innovation Practice, and Trusted Research legislation.
• (Sections 5/6/7/9) Commitments to open research practices, environmental responsibility; and expected standards relating to trusted research, and use of artificial intelligence are included in this revised version for the first time. The rights and responsibilities of academic freedom and their relationship to research have been amplified.
• (Sections 8/9/10/14) Text that duplicated that contained in the Ethical Research Statement and the Research Data Management Policy has been removed from this document. Researchers are instead referred to the full text of the relevant policy.
• (Section 11) Circumstances in which researchers may cite an Open University affiliation have been clarified.
• (Section 15) The full definition of research misconduct has been amended to align with the UK Research Integrity Office definitions replicated in other OU documentation.
• The content has been updated to reflect relevant changes in sector level research integrity guidance and other internal Open University research policies, where applicable.

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Policies superseded by this document

This document replaces the previous Open University Research Code of Practice dated August 2021.

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References

Concordat to Support Research Integrity, 2025. UK Committee on Research Integrity/Research Integrity Concordat Signatories Group.

Concordat to Support the Career Development of Researchers, 2019. Vitae.

Concordat for the Environmental Sustainability of Research and Innovation Practice, 2024. Wellcome Trust.

Code of Practice for Research v3.5, July 2025. UK Research Integrity Office.

Embracing AI with Integrity, v01, June 2025. UK Research Integrity Office.

Guidance on Good Authorship Practice, v01, September 2025. UK Research Integrity Office.

Procedure for the Investigation of Misconduct in Research, v2.0, March 2023. UK Research Integrity Office.

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Appendix

Related documentation

Refer to the following documentation in conjunction with this document:

• Concordat to Support the Career Development of Researchers
• Concordat to Support Research Integrity
• Concordat for the Environmental Sustainability of Research and Innovation Practice
• OU Animal Research Statement
• OU Anti-Bribery and Corruption Policy
• OU Building Equitable Partnerships: Institutional and Researcher Guidelines (internal link only)
• OU Bullying and Harassment Policy (internal link only)
• OU Code of Practice for Freedom of Speech and Academic Freedom
• OU Conditions of Registration for Postgraduate Research Students
• OU Conflict of Interest Policy
• OU Consultancy Policy (Research and Enterprise)
• OU Data Protection Policy (internal link only)
• OU Dignity and Respect Policy
• OU Ethical Research Statement
• OU Ethics Principles for Research with Human Participants
• OU Export Control Compliance Statement
• OU Financial Regulations (internal link only)
• OU GenAI End User Acceptable Use Policy (internal link only)
• OU Health and Safety Policy and Guidance (internal link only)
• OU Information Security Policies (internal link only)
• OU Intellectual Property Policy (Research)
• OU International Safeguarding Policy
• OU Open Access Publications Policy
• OU Open and Engaging Research Statement
• OU Plagiarism and Research Misconduct Policy (Postgraduate Research Students)
• OU Procedure for the Investigation of Research Misconduct Allegations
• OU Public Interest Disclosure (Whistleblowing)
• OU Research Data Management Policy
• OU Research Degree Regulations,(includes the Code of Practice for Supervisors and Research Students)
• OU Responsible Use of AI Policy (internal link)
• OU Responsible Use of Research Metrics Statement
• OU Social Media Policy (internal link only)
• OU Safeguarding Policy
• OU Terrorism and Extremism-related Research Policy
• OU Terms and Conditions of Service: Academic Staff Group (internal link only)
• OU Terms and Conditions of Service: Research Staff (internal link only)
• OU Terms and Conditions of Service: Academic related Staff (internal link only)
• OU Wellbeing and Mental Health Policy (Postgraduate Research Students) (internal link only)

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