CUHK Guidelines on Research Ethics and Policies
The University’s policy on research ethics is contained in Paragraphs 13 and 25 of the University’s Policy on Research, Intellectual Property and Knowledge Transfer (click here). These paragraphs set out detailed procedures for the investigation of allegations of research misconduct and prescribe a range of appropriate disciplinary measures against offenders, including termination of employment.
Paragraphs 13 and 25 were amended in October 2014, following a review of the University’s existing policies by a working group chaired by Professor Fanny Cheung, Pro-Vice-Chancellor for Research. In line with the Working Group’s recommendations, the policy is no longer restricted to research fraud, but covers all kinds of research misconduct. The revised procedures provide a comprehensive and detailed definition of various types of research misconduct (in a new Schedule 1 to the Policy), and introduce a three-stage set of institutional procedures (preliminary enquiry, investigation and resolution) for dealing with allegations of research misconduct. Flexibility is provided to enable the University to respond swiftly and appropriately to official queries from funding agencies or to cases referred by the University Safety Office or the university’s Ethics Committees. A range of possible penalties is proposed, and a procedure for appeal is provided.
The University has also developed procedures for specific types of research activity, with the aim of ensuring that the conduct of research in these areas conforms to the highest international standards. Its procedures for the conduct of clinical research involving Human Subjects, both at the University and in its associated NTEC hospitals, can be found in the Human Subject Ethics Section. Procedures for the humane treatment of laboratory animals can be found in the Laboratory Animal Ethics Section. Guidelines conforming to international best practice have also been developed for the conduct of survey and behavioural research and they can be found in the Survey and Behavioural Ethics Section. Guidelines for publication ethics can also be found in the corresponding section.