Accessibility statement

11. Responsible research and academic integrity

See also: Appendix 3: PGR Academic Misconduct policy, Appendix 10: Policy on Transparency of Authorship in PGR Programmes, including generative AI, proofreading and translation

11.1

For the avoidance of doubt, PGRs are subject to Regulation 7 with regard to disciplinary offences, other than offences of academic misconduct. Allegations of PGR academic misconduct are dealt with as set out below in the Section on Academic Misconduct and in Appendix 3 (this includes referral to Regulation 7 in certain circumstances).

11.2

The University expects the highest standards of integrity from its PGRs and regards any form of research or academic misconduct as an extremely serious matter. For the avoidance of doubt, inappropriate use of generative artificial intelligence (AI) may constitute academic or research misconduct in accordance with the latest University guidance on generative AI use in PGR programmes.

Research integrity

11.3

In line with the UUK Concordat to support research integrity, PGRs and their supervisors are expected to maintain the highest standards of research conduct and to familiarise themselves and act in accordance with the University’s policy framework: the Code of practice and principles for good ethical governance, the Code of Practice on Research Integrity and the Research Data Management Policy.

Ethical approval

11.4

Any ethical issues relating to a PGR’s research (including any issues relating to the University’s duty of care to the PGR) must be identified at the earliest opportunity (ideally before admission) by the supervisor and the PGR, with reference to the University’s Code of practice and principles for good ethical governance, and seeking advice where necessary from the relevant ethics committee.

11.5

Where formal ethical approval from an internal ethics committee and, where necessary, an external body is needed, the supervisor and the PGR will be jointly responsible for securing this in accordance with the Code of practice and principles for good ethical governance before the research commences. Confirmation of ethical approval (where needed) is required for formal reviews of progress and at the point of thesis submission.

11.6

Ethical approval cannot be given retrospectively, and any data obtained prior to ethical approval cannot be used. Failing to gain ethical approval when required can lead to investigation for research misconduct.

Academic integrity

11.7

PGRs must not, by implication or otherwise represent the work of others as their own, represent work done in collaboration with others as their own unaided work, or present work for assessment which suggests that factual information has been collected which has not in fact been collected, or which falsifies factual information. PGRs should pay attention to ensuring that they avoid plagiarism resulting from poor academic practice. All sources, whether published books or articles or unpublished material of any kind, must be explicitly acknowledged, and quotations or close paraphrases correctly attributed. 

11.8

Departments are strongly encouraged to make use of text-matching software (such as Turnitin) on early-stage PGR work (for example PGR TAP and progression reports) to enable any issues with poor academic practice to be identified and addressed at this point. 

11.9

PGRs are bound by the Policy on Transparency of Authorship in PGR Programmes, including generative AI, proofreading and translation.

Use of generative AI

11.10

PGRs must adhere to the current University guidance on the use of generative AI in PGR programmes.

Allegations of academic and research misconduct

11.11

Allegations of misconduct by a PGR in any formal assessment (including but not limited to reviews of progress, the thesis and the oral examination) other than in credit-bearing taught modules will be dealt with according to the Assessment Misconduct Policy for PGRs (Appendix 3). No decision about the PGR’s progression or the outcome of the examination may be made until the investigation has been concluded.

11.12

Allegations of misconduct by a PGR in credit-bearing taught modules that form part of their PGR programme will be dealt with according to the Academic Misconduct Policy for taught students, with a report being made to the Progression Panel (where applicable). Note that disciplinary academic misconduct offences in a taught component are dealt with under Regulation 7: Student Discipline via the Academic Misconduct Disciplinary Procedure.

11.13

Allegations of research misconduct by a PGR (including, but not limited to, ethics approvals, data management and dissemination), even if identified in a formal assessment and whether or not the research is published or otherwise disseminated, will be dealt with according to the Policy for the Investigation of an Allegation of Research Misconduct. Where there is doubt as to whether the Assessment Misconduct Policy for PGRs or the Policy for the Investigation of an Allegation of Research Misconduct should apply, the latter policy takes precedence. Serious research misconduct can result in the termination of the PGR’s enrolment at the University. Where a member of staff is also a PGR and their employment is research related, the staffing elements of the Research Misconduct policy take precedence. Where research misconduct is alleged during the assessment process but is investigated under the Policy for the Investigation of Allegation of Research Misconduct, then no decision about the PGR’s progression or the outcome of the examination may be made until the investigation has been concluded.

11.14

Allegations of academic misconduct in elements of a PGR’s programme that are mandated or expected but not formally assessed (eg TAP submissions, internal presentations etc.) may be investigated and dealt with as probationary offences according to the Assessment Misconduct Policy for PGRs (Appendix 3).

11.15

Allegations of misconduct regarding a PGR aiding or abetting a student at the University of York or elsewhere to commit academic misconduct are dealt with under Regulation 7: Student Discipline via the Academic Misconduct Disciplinary Procedure.

Training for integrity and ethics

11.16

The University (via BRIC) and departments will provide PGRs with guidance on good research practice, with reference to the University’s policy framework, and the avoidance of research and academic misconduct.

11.17

PGRs are required to complete successfully the University Online Research Integrity Tutorial (this includes both academic and research misconduct) before their first TAP meeting. Confirmation of successful completion is required for MA/MSc (by research) PGRs when the thesis is submitted for examination, and by MPhil, PhD and EngD PGRs at the first formal review of progress (or, for pre-August 2016 entry MPhil and PhD PGRs at thesis submission/confirmation of enrolment respectively). PGRs who have not completed the task will not be examined/considered for progression.

Data Management Planning

All PGRs are expected to work with their supervisor(s) to put in place a data management plan (for PhD and MPhil PGRs this should be by the first formal review of progress). The data management plan should be updated as required and, where applicable, checked at subsequent progression points. The data management plan should include consideration of how research data is to be treated once the PGR has completed their programme (eg secure disposal or archiving and sharing via an appropriate data repository).  

Policy sections

1. Introduction

2. The criteria for the award of PGR degrees

3. The research environment

4. Selection, admission and induction of PGRs

5. Supervision

6. Responsibilities of PGRs and supervisors

7. Periods of enrolment, changes to PGRs' status and personal circumstances (including illness), working hours and holidays

8. Progress and review arrangements

9. Development of research and other skills

10. Evaluation of PGR programmes

11. Responsible research and academic integrity

12. Assessment

13. Dissemination of research results, intellectual property rights and responsibilities

14. PGR complaints and appeals

15. Research away from York (excluding PGRs on distance learning PGR programmes)

16. Arrangements for non-York PGRs

Appendices