Research Conduct

Last Update on: 29 November 2022

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1. Purpose
2. Scope
3. Definitions and Acronyms
4. Research Conduct
5. Research Design and Methodology (Proposal)
6. Research Funding
7. Data
8. Dissemination of Research
   
9. Peer Review
   
10. Research Supervision and Mentoring
    
11. Research Collaboration
    
12. Bioethics
    
13. Approval Committee
    
14. Conflict of Interest
    
15. Research Misconduct
    
16. Implementation, Compliance, and Reporting
    
17. Document Amendment Information
    
18. Appendices
    

1. PURPOSE

The purpose of this procedure is to codify KFUPM’s processes regarding research conduct, research design, research funding, data, dissemination, peer review, research supervision and mentoring, research collaboration, bioethics, conflicts of interest, and research misconduct.

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2. SCOPE

1. This procedure applies to all research undertaken at KFUPM.
2. This procedure applies to all KFUPM faculty members, researchers, students, consultants and collaborators involved in research undertaken at KFUPM.

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3. DEFINITIONS AND ACRONYMS 

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4. RESEARCH CONDUCT

KFUPM members should:

1. Conduct research in accordance with the highest standards, complying with the University Code of Research Conduct, KFUPM policies, procedures and guidelines, and requirements of ethics committees where required.
2. Observe honesty, accuracy, efficiency and objectivity while proposing, performing and reporting research in publications, research proposals and reports, and applying for research funding.
3. Ensure the dignity, rights, safety and well-being of all researchers and research participants.
4. Ensure that all research participants are free to choose to participate without any pressure or coercion and obtain informed consent in which participants receive and understand all the information (purpose, benefits, risks, and funding) they need to decide whether they want to participate.
5. Ensure accountability in the use of research resources (e.g. laboratory facilities, funds, labor and materials).
6. Conduct research in a safe manner and avoid unreasonable risk or harm to research participants, the environment or animals.
7. Ensure confidentiality to achieve protection of IP rights where appropriate.
8. Maintain cooperative relationships amongst researchers and others involved in research and acknowledge the contributions of others.
9. Observe mutual responsibilities between investigators and their research participants.
10. Correctly attribute authorship, cite referencing and acknowledge sources.
11. Make any conflict of interest, or potential conflict of interest, transparent from the beginning.
12. Protect the University’s reputation while undertaking research.
13. Ensure human participants are protected throughout the course of research.
14. Ensure animal rights’ laws are observed during the conduct of research.
15. Report to the University any concerns about potential research misconduct, whether witnessed or where they reasonably believe that this is, has or is likely to occur.

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5. RESEARCH DESIGN AND METHODOLOGY (PROPOSAL)

KFUPM members should ensure that: 

1. The proposed research addresses pertinent question(s) and is designed either to add to existing knowledge of the subject in question, or to develop methods for research into it.
2. The research design and/or methodology is appropriate for the question(s) being asked and addresses the most important potential sources of bias.   
3. The research plan or protocol is clear and detailed, and sets out the design and conduct of the study including how data will be gathered, analyzed and managed.
4. The research plan or protocol is agreed by all contributors and collaborators, including, if appropriate, the participants.
5. Information regarding the research design and/or methodology is provided to peer reviewers and journal editors when submitting research findings for publication.
6. The necessary skills, techniques, and experience are available to carry out the proposed research within the research team, or through collaboration with specialists in relevant fields.
7. Sufficient resources meeting the relevant standards are available to carry out the proposed research.  
8. Research progress will be monitored by DR, and if necessary, the research design and/or methodology will be refined.
9. A risk assessment of the planned study is undertaken before conducting the research to:
   • identify any potential risks to the University or the health, safety or well-being of researchers or research participants;
   • identify any potential risks to animals, the environment, cultural heritage or society;
   • determine whether the proposed research might produce results that could be misused for illegal or harmful purposes. 

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6. RESEARCH FUNDING

KFUPM members should ensure that:

1. They comply with the terms and conditions of any research funding agreements university or external bodies.
2. Where research is funded by more than one funding body, they comply with rules regarding duplication of funding for the same research.
3. They comply with financial management, procurement, monitoring, and audit requirements.  
4. They report any concerns or irregularities regarding research funding to the University.

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7. DATA

7.1 Research Data Management

KFUPM members should ensure that:

1. All research data are collected accurately, efficiently, and transparently.
2. All research data are stored in a secure and durable location, in an auditable and appropriate format.
3. Research data are available for access and re-use where possible, under appropriate safeguards. Where there are confidentiality issues, researchers may place restrictions on access to the research data.
4. In case of research collaboration, an agreement is made for regulating research data ownership and publication of research outcomes.
5. In case of the need for deletion or destruction of research data, all legal, ethical, research funder and University requirements are adhered to.
6. Research data are not subject to research misconduct by fabrication, falsification, or plagiarism.

7.2 Intellectual Property

KFUPM researchers should:

1. Comply with University IP requirements by protecting University IP and protecting IP provided and/or generated by research collaborators and other stakeholders.
2. Respect IP created by others and use it only with appropriate permissions.
3. Keep appropriate records for evidencing the creation of new IP arising during research.

7.3 Confidentiality

KFUPM members shall maintain the confidentiality or privacy of research data and primary materials where access has been given on a confidential basis or where good practice, ethical or contractual conditions require such confidentiality.

7.4 Personal Data

• KFUPM members using personal data in research which could identify an individual have a duty of confidence to the individuals concerned.
• Unless there are ethically and legally justified reasons for doing otherwise, KFUPM members must obtain an explicit and informed consent from each research participant to obtain, hold and use their personal data.
• Personal data should be kept confidential and not disclosed to third parties unless permitted or legitimate to do so.
• Personal data must not be used for purposes other than in accordance with the consent given unless there is explicit approval from the relevant ethics committee to do otherwise. In such instances, personal data must not be kept for longer than is necessary.
• Research that involves sensitive personal data of participants (e.g. racial or ethnic origin, religious beliefs, physical or mental health, sexual life) requires explicit approval from the relevant ethics committee before commencement.

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8. DISSEMINATION OF RESEARCH

8.1 Publications

KFUPM members should:

1. Cite King Fahd University of Petroleum & Minerals when recording their institutional affiliation in publications.
2. Take into consideration any restrictions relating to ethics approval, IP, personal or culturally sensitive data.
3. Include adequate methodological information to allow other researchers to reproduce original procedures used.
4. Include information on source of financial support for the research and properly acknowledge it.
5. Notify any external research funders in advance before externally funded research is published.
6. Declare any potential or actual conflicts of interest which may be financial or non-financial.
7. Provide accurate source citations for any information used in the research.
8. Add a list of references at the end of their publication.
9. Avoid reporting research findings in the public media before publication in a peer-reviewed journal.
10. Avoid submitting the research with the same set(s) or sub-set(s) of data to more than one journal or publisher at any one time.

8.2 Authorship

1. Authorship can be ascribed where a researcher:
   • made a significant contribution to the conception or design of the study, and/or the acquisition, analysis, or interpretation of data for the study;
   • drafted the work or revised it critically, providing important intellectual content;
   • gave final approval of the version to be published;
   • agreed to be accountable for all aspects of the work in ensuring that questions related to accuracy or integrity of any part of the work are appropriately investigated.
2. All researchers who meet the above criteria should be listed as authors in the publication of the research, regardless of rank or affiliation. Failure to recognize the contributions of others in publications derived from research to which they have contributed will be treated as research misconduct.
3. Individuals who directly assisted or indirectly supported the research but did not significantly contribute to the research reported in the publication should be properly acknowledged, with their permission.
4. Any person who did not participate in a substantial way in conceiving, executing or interpreting at least part of the relevant research should not be included as an author of the publication derived from that research.
5. All authors must take responsibility for the content of the paper by participating in writing the manuscript, reviewing drafts, and approving the final version.
6. One author should take primary responsibility for the work as a whole. This should be assigned to the researcher who has the greatest understanding of the project or did most of the work. The primary author often serves as the corresponding author.
7. The primary author should assure that all authors meet basic standards for authorship and should be able to identify which co-authors are responsible for specific other parts of the work. In addition, the sequence in which authors are listed should be agreed by all authors.
8. The corresponding author shall take primary responsibility for communication with the journal during the manuscript submission, peer-review, and publication process and should respond to editorial queries in a timely way.
9. To avoid disputes, authorship inclusion and order should be a joint decision of all co-authors. This decision should be made early on while planning the work and should allow for appropriate adjustments as the work progresses and before submitting the manuscript for publication.
10. When conflict arises about who should be listed as authors and the order in which they should be listed, every attempt should be made to find a resolution by the authors themselves. Disputes should be resolved before work is presented or submitted for publication. If the authors fail to find a satisfactory resolution they may seek guidance from a third party that is acceptable to all authors (e.g., department chair, dean). Where all efforts fail to resolve it, the conflict shall be reported to the Research Ethics Committee by DR.

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9. PEER REVIEW

KFUPM members shall:

1. Ensure that they have the appropriate expertise to participate in peer review.
2. Assess the validity, quality and originality of research under peer review by identifying plagiarism, duplicative publication, errors and misleading statements.
3. Conduct peer review objectively, appropriately and respectfully.
4. Maintain the confidentiality of the peer review process.
5. Apply standards equally to all research under peer review.
6. Disclose interests and any conflicts of interest.
7. Avoid interference in the peer review process or outcomes.
8. Avoid taking advantage of knowledge obtained during the peer review process, or use of data or information from research projects under review, without permission.

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10. RESEARCH SUPERVISION AND MENTORING

10.1 Fostering Research Integrity

1. Fostering a culture of research integrity and the implementation of commonly accepted good research practices constitute key elements for ensuring high quality and integrity of research.
2. All KFUPM members involved in research including deans, head of research institutions, supervisors of students, experienced and young researchers, research staff and students (undergraduate, graduate students) are bound by the same standards concerning research integrity.
3. The supervision of experienced researchers is indispensable for the development of research integrity culture. In this context, deans, associate deans and heads of academic units have the responsibility to create, promote and maintain a research environment which encourages all research to be conducted to the highest standards of research integrity and ethical practice.
4. Appropriate heads of research center or other senior staff may be given responsibility for research integrity, provided that it is made clear within the research center what is expected of each of its members.

10.2 Heads of Research Groups

1. Ensure that research center members comply with the University Code of Research Conduct, and KFUPM policies, procedures and guidelines.
2. Ensure that research centers obtain appropriate approvals from all relevant bodies before conducting research, including ethics committees as appropriate.
3. Monitor the overall research performance of the research center according with the highest standards of research integrity to support research excellence and minimise the risk of research misconduct.
4. Ensure that research center members are qualified and competent, have the necessary capacities, resources and support to carry out their role, and to monitor the progress of their research.
5. Ensure that research center members have adequate supervision and training to carry out their role.
6. Ensure the safety, dignity, rights and welfare of all research participants.
7. Ensure that research centers identify and mitigate risks before commencing research.
8. Ensure accountability in managing research financing and resources, and respecting IP.
9. Ensure that appropriate agreements are made where there are collaborations with external organizations.

10.3 Supervisors of Students Conducting Research

1. Provide high quality supervision to students throughout their candidature until the completion of their theses/dissertations or research projects.
2. Create and foster a supportive research environment in which a student may acquire technical skills and develop independent and creative thinking ability.
3. Provide training to students regarding:  
   • research methods;
   • the identification of research objectives;
   • potential ethical issues students may face while conducting research;
   • obtaining ethics and other approvals for studies on human or animal subjects;  
   • obtaining research funding;
   • conducting the research in compliance with the highest standards of integrity;
   • the University Code of Research Conduct, KFUPM policy, procedures and guidelines;
   • reporting research outcomes.
4. Ensure the validity of research data obtained by students under their supervision.
5. Encourage students to cooperate with other researchers.  
6. Encourage students to present their research findings in conferences and other academic meetings.
7. Ensure students refrain from participating in any activities involving research misconduct.
8. Require student readiness to confront and correct unethical practices and research misconduct.

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11. RESEARCH COLLABORATION

In monitoring and reviewing the implementation of these guidelines, the following compliance and performance indicators shall be used:

1. KFUPM encourages and recognizes collaborations involving KFUPM members and other researchers within KSA and internationally.
2. While research collaborations contribute to the development of science, research cultures and perceptions of research integrity may differ between disciplines, institutions and countries.
3. Good practice in research collaboration involves:
   • defining the general responsibilities of all partners (i.e. researchers, students, technicians, institutions);
   • reaching agreement on responsibility for the management and conduct of the collaborative research;
   • reaching agreement on the collaborative research goals, areas and expectations;
   • ensuring appropriate funding for the collaborative research.   
4. KFUPM members and research collaboration partners should be aware of their respective rights, roles and responsibilities, and ensure the integrity of the collaborative research.  
5. KFUPM members should be aware of the customary practices, legal regulations and procedures for the conduct of research adopted by institutions involved in collaborative working. In case of international research both countries’ laws and practices must be adhered to simultaneously.
6. All research collaborations must comply with the ethical requirements and legal standards of the University and the institutions where the research is taking place, or data is collected. Special consideration should be given to research involving human or animal subjects and to data sharing between countries.
7. Research collaboration partners should agree on the process for communicating their research as transparently and openly as possible. Agreement between collaborators should be established on the sharing and use of findings, confidentiality, management and proprietary rights and publication authorship.
8. Research collaboration partners should ensure everyone involved is properly informed and consulted about submissions for publication of the research results.
9. Agreements should be established on the procedures for resolution of conflicts of interests between collaborating partners and any conflict with other collaborating countries’ laws and practices must be resolved before the research starts.
10. External research collaborators should have procedures in place for responding to allegations of research misconduct or other irresponsible research practice by any of its members.

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12. BIOETHICS

1. KFUPM members should ensure that:
   • where required, ethics committee permission to conduct research involving human or animal subjects is obtained before commencing research;
   • for domestic or international research collaborations, local permissions to conduct research involving human or animal subjects is obtained before commencing research.
2. KFUPM members should ensure that, for research involving animal subjects, all research center members receive training before commencing research.
3. The rights of human subjects shall be protected, including their privacy, personal data, respect, and independence. Risk and/or potential for harm shall be minimized.
4. Human subjects shall be notified that they are part of a research project or experiment. 
5. Special precautions shall be taken with vulnerable populations (e.g. children or adults with a mental incapacity).
6. Animal subjects shall be handled with care and respect.
7. No redundant or poorly constructed animal experiments shall be carried out.
8. Environmental aspects should be carefully monitored, and effective measures should be put in place.
9. Biodiversity should be respected and no irreversible change that threatens the environment or ecological balance should be imposed.

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13. APPROVAL COMMITTEE

13.1 Research Ethics Committee (REC)

1. The REC is responsible for the review of research projects proposed by KFUPM members.
2. The REC has the authority to approve, disapprove and monitor projects in accordance with research ethics principles and this procedure.
3. The REC must ensure the research complies with ethical standards and respects the dignity, rights, safety and well-being of participants.
4. The REC shall report outcomes of consideration of research projects and other research ethical matters to VPRI.

13.2 Institutional Review Board (IRB)

1. The IRB is responsible for the review of research projects involving human and animal subjects proposed by KFUPM members.
2. The IRB has the authority to approve, disapprove, monitor, and require modifications in the research activities involving human and animal subjects.
3. The IRB will review research proposals and related materials, and ensure that appropriate steps are taken to protect the rights and welfare of human subjects involved in the research.
4. The IRB must ensure that research complies with ethical standards and responsible use of animal subjects in research conducted by KFUPM members.
5. The IRB shall require KFUPM members proposing research involving animal subjects to apply for an animal testing license before commencing research. 
6. Misuse of animal subjects during research must be reported to the IRB, which must then report the misuse to the VPRI.
7. The IRB shall report outcomes of consideration of research project involving human and animal subjects to VPRI.

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14. CONFLICTS OF INTEREST

1. KFUPM members shall declare any actual or perceived conflict of interest by making a full disclosure regarding any situation that may impair, or appear to impair, their independence or objectivity. ;
2. Where a financial interest, or actual or perceived conflict of interest is disclosed by a KFUPM member, the situation shall be reviewed by an independent review committee.

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15. RESEARCH MISCONDUCT

15.1 Forms of Research Misconduct

Research misconduct includes, but is not limited to:

• Fabrication, falsification, citation with a conflict of interest, plagiarism or deception in proposing, carrying out or reporting results of research.
• Deliberate, dangerous or negligent deviations from accepted practices in carrying out research.
• Failure to comply with requirements of the ethics committee, where required.   
• Failure to prevent unreasonable risk or harm to humans, or the environment.
• Intentional, unauthorized use, disclosure or removal of, or damage to, research-related property of another, including apparatus, materials, writings, data, hardware or software or any other substances or devices used in or produced by research.
• Failing to disclose actual or perceived conflict of interest which influence research, publication and media reports, grant applications, or applications for appointment and promotion.
• Facilitating misconduct in research by collusion in, or concealment of, such actions by others.

15.2 Dealing with Allegations of Research Misconduct

1. KFUPM members have a responsibility to report to the University any concerns about potential research misconduct, whether witnessed or where they reasonably believe that this is, has or is likely to occur.
2. KFUPM members who raise such concerns will not be penalized or suffer detriment by the University for doing so, provided that they do so in confidence and reasonably believe that potential research misconduct is, has or is likely to occur.
3. Allegations of research misconduct will be investigated by DR.
4. Depending upon the outcome of an investigation, other relevant formal procedures may be initiated (e.g. disciplinary or capability procedures). In such cases the findings of an investigation may be used in whole or in part to form the investigation element of such procedures.
5. The REC shall protect the identity of respondent(s) of the inquiry or investigation. The reputation of those suspected of, or alleged to have engaged in, misconduct, shall be protected when the allegations or suspicions are not confirmed.

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16. IMPLEMENTATION, COMPLIANCE, AND REPORTING

1. The VPRI shall be responsible for monitoring the implementation of this procedure.
2. Deans, chairs and directors shall be responsible for ensuring compliance with this procedure.
3. KFUPM members, consultants and visitors shall be responsible for complying with this procedure.
4. Non-compliance with this procedure shall be reported to the VPRI.

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17. DOCUMENT AMENDMENT INFORMATION

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18. APPENDICES

[ADD APPENDICES HERE IF NEEDED, E.G., FLOWCHARTS. FORMS, ETC]