REGISTERED COMPANY NUMBER: |
REGISTERED CHARITY NUMBER: |
Report of the Trustees and |
Unaudited Financial Statements for the Year Ended 31 July 2023 |
for |
UK RESEARCH INTEGRITY OFFICE LTD |
REGISTERED COMPANY NUMBER: |
REGISTERED CHARITY NUMBER: |
Report of the Trustees and |
Unaudited Financial Statements for the Year Ended 31 July 2023 |
for |
UK RESEARCH INTEGRITY OFFICE LTD |
UK RESEARCH INTEGRITY OFFICE LTD |
Contents of the Financial Statements |
for the year ended 31 July 2023 |
Page |
Reference and Administrative Details | 1 |
Report of the Trustees | 2 | to | 14 |
Independent Examiner's Report | 15 |
Statement of Financial Activities | 16 |
Balance Sheet | 17 | to | 18 |
Notes to the Financial Statements | 19 | to | 24 |
UK RESEARCH INTEGRITY OFFICE LTD |
Reference and Administrative Details |
for the year ended 31 July 2023 |
TRUSTEES |
REGISTERED OFFICE |
REGISTERED COMPANY NUMBER |
REGISTERED CHARITY NUMBER |
INDEPENDENT EXAMINER | Plus Accounting |
Chartered Accountants |
Preston Park House |
South Road |
Brighton |
East Sussex |
BN1 6SB |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
The Trustees of the UK Research Integrity Office Limited (UKRIO) present their report for the year ended 31 July 2023. |
The financial statements comply with the Charities Act 2011, the Companies Act 2006, the Memorandum and Articles of Association, and Accounting and Reporting by Charities: Statement of Recommended Practice applicable to charities preparing their accounts in accordance with the Financial Reporting Standard applicable in the UK and Republic of Ireland (FRS 102) (effective 1 January 2019). Advantage has been taken of the exemptions contained therein for smaller charities which are not subject to a statutory audit. |
CONSTITUTION |
The organisation is a charitable company limited by guarantee, incorporated on 18 November 2010 and registered as a charity on 30 April 2012. The company was established under a Memorandum of Association which established the objects and powers of the charitable company and is governed under its Articles of Association. |
METHOD OF APPOINTMENT OR ELECTION OF TRUSTEES |
Trustees are elected at the Annual General Meeting for a term of three years, and between meetings may be co-opted by the Board until the next AGM. Trustees are eligible for reappointment for a further term of three years. The charity has the right to reappoint a Trustee for a third and final term of three years in exceptional circumstances. No Trustee shall continue to serve after nine years in office. |
All new Trustees have their duties and responsibilities fully explained to them and are given a copy of relevant guidance from the Charity Commission. |
Trustees receive no remuneration other than reasonable expenses, the latter mainly for travel purposes when attending in-person meetings of the charity or representing UKRIO at meetings, events and external engagements. |
OBJECTIVES AND ACTIVITIES |
Charitable objects |
The objects of the charity are: |
1. To promote for the public benefit good practice in the governance, management and conduct of medical, scientific and academic research, including the fields of medicine and healthcare, physical sciences, engineering, mathematics and computing, social sciences and social care, law, the arts and humanities, and related disciplines; and |
2. To promote for the public benefit high ethical standards in the conduct of such research. |
Mission statement: |
UKRIO's mission is to: |
- Champion the good governance, management and conduct essential for high quality and ethical research. |
- Strengthen the research community by improving trust in research. |
- Create and share knowledge of best practice and positive research cultures and conduct. |
- Give confidential, independent and expert advice and guidance on all forms of research integrity challenges and | opportunities as they arise. |
- Lead and shape conversations about research integrity in the UK and beyond. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
OBJECTIVES AND ACTIVITIES |
HOW OUR ACTIVITIES DELIVER PUBLIC BENEFIT |
The UK Research Integrity Office is the UK's most experienced research integrity organisation. |
A registered charity, we were created in response to longstanding and growing concerns about the reliability of research. |
Since 2006, we have provided independent and expert support to help enhance good research practice, address mistakes, questionable practices and fraud, and improve the culture and systems of UK research. |
Our work programme spans all disciplines of research, from the arts and humanities to the life sciences, and help all involved in research: researchers, research organisations and members of the public, including patients and research participants. |
UKRIO covers all research sectors: higher education, the NHS, private sector organisations and third-sector - wherever the research affects the public good. |
UKRIO's vision is that through our activities, the UK research community is supported to produce work of the highest integrity, quality and efficacy. |
The knowledge generated through research is fundamentally important to society. It is used for making decisions that are crucial for public health, economic development and the general welfare of individuals and society. Significant public funds support research and researchers. |
Public trust in research and in researchers is based on the 'professional promise' that research will be honest, objective, accurate, legal, safe, ethical and efficient. To be worthy of the public's trust, research needs to fulfil that promise. This is why UKRIO was established: to support research integrity. |
WHAT IS RESEARCH INTEGRITY? |
Research integrity is another name for 'good research practice'. It is the conduct of research in ways that promote trust and confidence in all aspects of the research process. |
Research integrity covers all research and the whole lifecycle, from the initial idea and design of the project through the conduct of the research and its dissemination. It also covers making sure that environments and systems for research safeguard and enhance good research practice, rather than hinder it - often described as 'research culture'. |
REVIEW OF ACTIVITIES: who do we help? |
UKRIO provides advice and support to individuals and organisations alike: to help safeguard and enhance good research practice, take action to correct errors and misconduct, and inculcate a healthy research culture. |
Much of our work involves direct support for the research community, which in turn helps safeguard public trust in research. But as well as supporting researchers and researcher organisations, we also provide advice and guidance direct to members of the public outside of the research community, as well as to policy makers and stakeholder organisations. |
Our services are free at the point of delivery for individuals: UKRIO does not place barriers in the way of anyone with questions or concerns about the conduct of research. This approach supports the UK's research community by improving the conduct of research and bringing concerns to the attention of appropriate organisations when they would otherwise remain unaware of them. |
Organisations involved in research can choose to subscribe to UKRIO and receive additional, long-term support and services. While this is not a condition of receiving our help, the number of subscribers to our charity has grown year-on-year, reflecting continued confidence in the value of UKRIO. |
In the period under review, the users of our services came from three groups: members of the public; individuals who conduct academic, scientific or medical research, or who work in related occupations or undertake studies in those fields as research students; and organisations involved in carrying out research or setting research policy, including UKRIO subscriber organisations. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
OBJECTIVES AND ACTIVITIES |
Review Of Activities (continued) |
Members of the public who used UKRIO's services included, but were not limited to, participants in research projects and patients. We appreciate that members of the public who need our help can be nervous about seeking advice on their situation or could be enquiring about issues of a serious nature or which are very personal. So we always take care to act with due sensitivity and courtesy at all times when providing advice and guidance. |
UKRIO also supported members of the public who work in academic, scientific or medical research. The researchers who used our services came from a wide variety of disciplinary backgrounds and career stages. They included research students, recently qualified professionals, those in charge of research teams, and senior managers or administrators. |
We also supported other members of the research community: for example, research governance officers and other specialists in research integrity; chairs and members of research ethics committees; members of professional services/ administrative staff; editors of academic journals and representatives of publishers; and policy makers. |
We supported individuals who feared they would suffer detriment if they raised concerns about possible misconduct or breaches of accepted standards. This group included both individuals from the research community and members of the public. |
Research organisations that used our services included higher education institutions; independent research institutes; charities and other not-for-profit organisations which conduct research; learned societies; professional bodies; NHS organisations; journals and publishers that disseminate research outputs, Government departments; and bodies which award public or charitable funds to research. |
Review of activities: how did we help? |
We carried out our vision to support research integrity in three ways: |
1. Education - guidance and support through publications on research practice, training activities and a comprehensive events programme. |
2. Sharing best practice - clear and honest development for the research community through facilitated discussions about key issues, informing national and international initiatives, and working to improve research culture. |
3. Expert guidance - confidential and expert advice and guidance, as a proactive service for both institutions and individual researchers, as well as in response to requests for assistance. |
Education |
Publications: two of UKRIO's core guidance documents were updated in 2022-23. Our 'Code of Practice for Research' and 'Procedure for the Investigation of Misconduct in Research' provide researchers, research organisations and the public with practical guidance on fundamental matters of good research practice. Like all UKRIO's guidance, their use is voluntary and not mandatory, and their high rate of adoption by the research community shows their impact and value. The launch of both revised publications was followed by dedicated resources to support and deepen understanding of the important issues that they cover. |
We also greatly increased web-based resources for the research community and the public during the period under review, from defining core concepts of good research practice and research fraud in an accessible and non-technical way, to establishing detailed resource pages on more specialist aspects of research integrity. To communicate important information to researchers and the public, we created a series of infographics covering essential topics, designed to be shared by researchers with their peers, supported by blog posts, other discussion pieces and case studies. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
OBJECTIVES AND ACTIVITIES |
As more people become interested in matters of research integrity, they can find the field and its terminology challenging to navigate. To aid public and researcher understanding, we created an interactive map of the UK research integrity landscape and informative articles such as 'What is a research ethics committee?' and 'Defining the spectrum of Questionable Research Practices'. |
Training and awareness-raising: To support and enhance good research practice, our charity regularly delivers training and development activities for the research community. Our insightful sessions share knowledge and experiences from UKRIO's unique role as the UK's most experienced research integrity body, delivered by expert trainers. |
In the period under review, we delivered training and development for researchers at 21 research organisations, as well as discussing research integrity and the support UKRIO provides for high-quality research to a variety of audiences at conferences and other external events. Topics included: |
- Introductory courses about good research practice. |
- Sessions on supporting and enhancing a heathy research culture. |
- Awareness-raising talks on research integrity as part of organisational development activities or research conferences. |
- Training focussing on particular aspects of good research practice, such as research ethics; publication ethics and authorship; or the investigation of allegations of research misconduct. |
We also commenced a partnership with Catalyst Editorial to deliver training in responsible research and innovation for the Engineering and Physical Sciences Research Council, one of the UK's major funders of STEM research. |
Events: UKRIO provides a programme of online events to inform and support good research practice. Our webinars and annual conference are free and open to all, a decision we made to ensure equality of participation and share our insights to as wide an audience as possible. |
Annual conference: Our charity has been holding annual research integrity conferences since 2013 and they are the premier UK research integrity events. Experts on research integrity discuss how to support a culture of high quality and ethical research, how to respond to challenges facing the research community, and update delegates on new developments in the sector. Delegates have the opportunity to update their knowledge, discuss the issues that matter to them, and make new connections. In 2023 we celebrated ten years since the first UKRIO conference, when our staff, volunteers, subscribing institutions, and the wider research community first gathered together tp explore practical ways to ensure good research practice. |
The theme of our May 2023 annual conference was Research Integrity: Culture and Confidence', with experts in research integrity discussing how we can create a culture and systems that promote high-quality, ethical research. The keynote speakers were: |
- Petra Boynton, Consultant, The Research Companion |
- Ivan Oransky, Retraction Watch |
Our conference explored how the research community can work together to: |
- Ensure research is high quality and worthy of public trust. |
- Embed a culture of integrity in the research that we do, in the organisations in which we work, and in the systems which fund, monitor, assess and disseminate research. |
- Ensure that research environments and systems promote good practice and high ethical standards and respond to society's wider issues. |
- Share perspectives and knowledge to support each other and to help ensure diversity and equality of participation. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
OBJECTIVES AND ACTIVITIES |
Webinars: UKRIO has been holding regular research integrity webinars since 2020 and we continued to build on the success of these free events during 2022-23. Expert speakers and representatives of UKRIO explored a variety of topics, from key aspects of the research process to how to ensure representation and diverse perspectives in research: |
- EASE/UKRIO Peer Review Week webinar: How Can Peer Review Support Research Integrity? - 21 September 2022 |
- An Introduction to Research Integrity - 7 December 2022 |
- Research Culture: Environments & Accountability, in association with GuildHE - 22 February 2023 |
- Trusted Research - 19 April 2023 |
- Co-production: participant and stakeholder involvement in research - 28 June 2023 |
Our webinars continued to be popular, receiving extremely positive feedback and regularly attracting registrations of over 500 delegates - our June 2023 webinar on Co-production in Research had almost 1,000 attendees. To ensure our events reach and support as many people as possible, recordings were placed on our updated You Tube channel, which is freely available to all. |
Sharing best practice |
Informing national initiatives: UKRIO continued its extensive contribution to national discussions on research integrity and the development of initiatives to support and sustain good research practice. We used our unique experience, expertise and data to inform these processes, to help ensure the promotion of high-quality and ethical research, and a healthy research culture. |
A key development in the UK research integrity landscape was the publication of an enquiry by the House of Commons Science, Innovation and Technology Committee into 'reproducibility and research integrity'. James Parry, our Chief Executive, gave evidence to this enquiry and set out our charity's perspective on the state of research integrity in the UK. The recommendations of this enquiry will inform national policy on research integrity and the future activities of our charity. |
Our charity continued its work supporting important UK initiatives such as The Concordat to Support Research Integrity. We continued to work closely with the Concordat Signatories Group, helping to improve compliance with the UK's national governing document for research integrity and inform the work of its governing body. |
Informing the UK national research landscape: an independent charity, UKRIO primarily provides guidance for good practice in research, to enhance the reliability of research and address challenges to research integrity, such as fraud and misconduct. Where warranted, UKRIO is also willing to convene the right people to get serious and persistent integrity problems resolved. |
Five years ago, the House of Commons Science and Technology committee identified a gap in the regulation and monitoring of research misconduct investigations - a gap that remains unfilled by major policymakers. Accordingly, in Spring 2023, UKRIO launched Barriers to dealing with research misconduct. This review is looking at the tensions and repercussions faced by organisations when they investigate possible cases of research misconduct and communicate about them. |
Through consultation with institutions and practising researchers, this ongoing review will identify ways that these tensions are, or can be, overcome. It will propose the actions that institutions should take and return to the House of Commons committee in early 2024 with a sharper statement of these and any actions needed in government and regulatory monitoring. |
Informing international initiatives: research integrity is a global issue and in the period under review UKRIO continued its longstanding participation in international discussions and initiatives to support good research practice. Recognising the importance of learning from diverse perspectives, we also shared good practice in research integrity from other countries, by showcasing speakers from outside the UK at our various free online events. |
We continued our membership of the European Network of Research Integrity Offices (ENRIO), which we helped set up, sharing lessons learned from our work in the UK and drawing on the considerable expertise of ENRIO's member organisations. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
OBJECTIVES AND ACTIVITIES |
Improving research culture: since its inception, UKRIO has provided advice and guidance also on wider issues in research beyond good practice in individual research projects. Under the umbrella term research culture', UKRIO has for many years highlighted the importance of good organisational and national environments and systems for research, helping to ensure that they safeguard and enhance good research practice, rather than hinder it. |
In the period under review we continued to explore these systemic challenges facing the research community and their impact on public trust in research. Through activities such as our publications, our training and development work, our events programme, our advisory service and our policy work, we provided the research community and policy makers with advice and support on how to effect change at local and wider levels, and with practical tools and examples of best practice from the research community. In 2022-23, our work included an increasing focus on equality, equity, diversity and inclusion in research, showcasing resources and diverse perspectives, including on public involvement in the production of research. |
Expert guidance |
Advisory service: UKRIO provides independent, expert and confidential advice on the conduct of research, whether promoting good practice or addressing alleged poor practice and misconduct. Our aim is to encourage researchers, their institutions and related bodies to think more deeply, across all disciplines, about wider organisational and ethical issues underpinning the practice of research. |
We are the only organisation in the UK to provide this type of support for research integrity. Our unique Advisory Service is free of charge and open to members of the public and the research community, including students, researchers and representatives of research organisations. Our charity covers all subject areas and gives advice on general issues as well as specific questions, research projects and cases. |
Proactive support: a key part of our charity's work is providing in-depth and long-term support to help research organisations improve their policies, systems, practices and research culture. |
During the period under review, we provided support to our 114 subscriber institutions, responding to enquiries about good research practice from the level of individual research projects or particular problems, to institutional-wide support for policies and initiatives. |
We also worked extensively with a wide variety of community groups with interests in good research practice, helping and advising grassroots and peer-led support for high-quality and ethical research. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
FINANCIAL REVIEW |
Financial position |
In the period 1 August 2022 - 31 July 2023 UKRIO continued to attract and register new subscriber institutions, its principal source of income, despite the difficult financial conditions created by the ongoing COVID-19 pandemic. By the end of July 2023, 114 research organisations were subscribers to UKRIO, an increase of three since the end of July 2023. Considering the ongoing financial stresses within many research organisations following the COVID-19 pandemic and other shocks to the UK economy, this is considered an acceptable level of growth and we forecast an increased rate of subscriber recruitment in 2023-24. As in previous years, the majority of 'research intensive' universities in the UK, those with the highest proportion of research activity and research income, now subscribe to UKRIO. |
In 2023, UKRIO initiated a revision of its subscription model. Our charity had expanded its activities over the past 12 months, arising from the implementation of our 2022-25 strategy, and through this we gained greater clarity to what was needed to deliver a substantive impact for our subscriber community and meet new challenges in the coming years. |
We introduced a simple tiered subscription fee model for subscribers, based on research staff and doctoral student numbers. Having explored many different models, including research grant income or total staffing size, we felt this is a fair and transparent model that reflects proportionally on the use of our services and support. This conclusion was reflected by our subscribers: at time of writing, 118 institutions moved to the new subscription model and only three declined, each citing wider financial pressures and the ongoing challenging economic climate. |
During the 12-month period to 31 July 2023 UKRIO recorded £344,830 (2022: £277,484) of incoming resources, £317,479 (2022: £271,834) of which was subscriptions income. During this period there was resources expended of £415,161 (2022: £257,876) which results in a deficit of £70,331 (2022: surplus of £19,608) for the period. With an opening funds balance of £408,167 (2022: £388,559) at 1 August 2022, the closing funds balance is £337,836 (2022: £408,167) at the balance sheet date. This performance is as expected for the period. |
Funds accrued by the charity will be expended in pursuit of its charitable objectives, save for a small strategic reserve (see 'Reserves Policy', below). |
In order to support the increase in demand for the charity's services and to further develop UKIO's work programme, the number of staff were increased during the year ended 31st July 2023 from 5 to 6 members of staff. Due to the timeline of recruitment, this lead to variation of salary costs from £140,086 in Year Ending July 2022 to £215,624 in Year Ending July 2023. |
INVESTMENT POLICY AND OBJECTIVES |
Aside from retaining a prudent amount in reserves each year most of the charity's funds are to be spent in the short term. Accordingly, at present there are no funds for long term investment. When circumstances change, UKRIO will develop and implement an appropriate and ethical investment policy. |
RESERVES POLICY |
It has been agreed it is appropriate for UKRIO to maintain strategic reserves sufficient to support unavoidable operating costs of UKRIO (primarily staff salaries and office accommodation) for a period of between 3 and 6 months. The strategic reserve must consist of unrestricted funds. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
FUTURE DEVELOPMENTS |
Our charity's vision is that through our activities, the UK research community is supported to produce work of the highest integrity, quality and efficacy. |
UKRIO will continue its existing programme of work to support our beneficiaries, the public, the research community and our subscriber institutions. We will develop and introduce new services to support and enhance good research practice. Amongst those planned for the next 12 months are: |
- | Continue implementation of our 2022-25 strategy. |
- | Continue to adjust the work programme to reflect the changing priorities of the charity's beneficiaries, to ensure that services remain relevant to their needs. |
- | Share best practice within the research community by facilitating discussions about key issues, informing national and international initiatives, and working to improve research culture. |
- | An increased programme of communications and outreach, reaching new beneficiaries to make them aware of the support UKRIO can offer to the research community and the public, with a particular focus on grassroots researchers. |
- | Launch new services and support for UKRIO subscriber institutions and their researchers, providing exclusive resources and events, and facilitating networking and peer learning and support amongst this community of beneficiaries. |
- | Launch an online training course for research integrity in partnership with a UK research organisation. |
- | Strengthening existing relationships with related organisations such as the Research Integrity Concordat Signatories Group, UK Research and Innovation and other research funders, the UK Committee on Research Integrity, the UK Reproducibility Network, the European Network of Research Integrity Organisations, and developing links with other key stakeholders. |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
Governing document |
The charity is controlled by its governing document, a deed of trust, and constitutes a limited company, limited by guarantee, as defined by the Companies Act 2006. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
ORGANISATIONAL STRUCTURE AND DECISION MAKING |
UKRIO consists of four elements: |
- | The Board of Trustees directs and oversees the strategy and programme of work of UKRIO. It also has responsibility for matters of organisational administration and the management of the office staff. The trustees are also directors of the limited company. |
- | The Advisory Council supports the UKRIO Trustees and staff, providing advice and additional perspectives to inform and support our projects, strategy and operations. Formal decisions are taken by the Board of Trustees, since the Advisory Council has no formal authority over the charity, but are made after advice from the Advisory Council. |
The Advisory Council includes Members from the research community as well as independent members. Collectively the Advisory Council possesses significant expertise in the promotion of research integrity and in addressing poor practice and misconduct. Its members sit as individuals, not on behalf of any other organisation, and hold no legal responsibility for UKRIO: they are neither trustees of the charity nor directors of the limited company. |
- | The Advisory Community provides an expert resource of volunteers which UKRIO draws upon when responding to enquiries on issues of research conduct. Advisers may be researchers, from any academic discipline, or be active in related occupations. Recognising their broad experience in research matters, Advisers also give feedback on the wider work of UKRIO on request and are given the opportunity to contribute to other elements of the programme of work. Advisers hold no legal responsibility for the organisation. |
- | The Office team carries out UKRIO's programme of work to support high quality and ethical standards in UK academic, scientific and medical research. It provides administrative, policy, research and technical support to the Trustees and Advisory Council, as well as liaising with the many organisations that subscribe to UKRIO. It also co-ordinates the volunteer experts who support the work of the charity, as part of UKRIO's Advisory Community. |
The Trustees, Members of the Advisory Council and Advisory Community members are not employees of UKRIO and give their time to the organisation pro bono. Appropriate insurances have been procured to cover Trustees, members of the Advisory Council and members of the Advisory Community acting on behalf of UKRIO. |
Staffing: During the period under review, the staff complement of the charity was as follows: 1 x Chief Executive; 1 x Operations Manager; 1 x Senior Research Integrity Manager (part-time), 1x Events Officer (part-time); and 3 x Research Integrity Managers (2x part-time and 1x full-time). |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
RISK MANAGEMENT |
The Trustees of UKRIO have a responsibility for the management of risks. A review of the major risks to the work of UKRIO has been undertaken through which the risks have been identified, reviewed and processes put in place to mitigate and manage the risks. The Trustees acknowledge that risk management is not a one-off event but is an integral part of the operation of the charity. All Trustees, staff and volunteers have a role to play in the process of identifying and managing risks. |
The principal risks to UKRIO and its programme of work, and their mitigation, are as follows: |
- | Litigation arising from advice, guidance or recommendations provided by UKRIO regarding the conduct of research: full insurance cover for professional indemnity is provided at UKRIO's expense for the staff of UKRIO and for volunteers (including the trustees, members of the Advisory Council and members of the Advisory Community) acting on behalf of UKRIO. |
The risk is graded as low-medium given that UKRIO: |
- | Does not have a role in investigating alleged research misconduct, overseeing such investigations or otherwise adjudicating on allegations of misconduct. |
- | Does not impose sanctions on those against whom such allegations are upheld or other who might be regarded as having breached its recommended guidance. |
- | Does not act as an advocate for those seeking its advice or act as a mediator. |
- | Is not a centre for legal advice. |
- | The role and remit of UKRIO is explained to anyone seeking advice from the charity; for example, via emails acknowledging requests for assistance and the enquiry submission form on UKRIO's website (http://www.ukrio.org/get-advice-from-ukrio/ ). Service users are also provided with information on UKRIO's approach to personal data and other confidential information. |
- | Reputational risk arising from: person(s) or organisation(s) being dissatisfied with advice, guidance or recommendations provided by UKRIO regarding the conduct of research: |
The risk is graded as medium; however, UKRIO takes ongoing action to mitigate against it, for example: |
- | Ensuring that advice, guidance and recommendations from UKRIO are of a high quality and informed by multiple perspectives. |
- | UKRIO does not have a role in investigating alleged research misconduct, overseeing such investigations or otherwise adjudicating on allegations of misconduct. |
- | UKRIO does not impose sanctions on those against whom such allegations are upheld or other who might be regarded as having breached its recommended guidance. |
- | UKRIO does not act as an advocate for those seeking its advice or act as a mediator. |
- | UKRIO is not a centre for legal advice. |
- | The role and remit of UKRIO is explained to anyone seeking advice from the charity; for example, via emails acknowledging requests for assistance and the enquiry submission form on UKRIO's website(http://www.ukrio.org/get-advice-from-ukrio/ ). |
- | UKRIO reserves the right to disclose details of its advice and correspondence if that advice/ correspondence is later misrepresented by the person(s) or organisation(s) who received it. This is explained to anyone seeking advice from the charity; for example, via emails acknowledging requests for assistance and the enquiry submission form on UKRIO's website (http://www.ukrio.org/get-advice-from-ukrio/ ). |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
- Reputational risk arising from negative publicity concerning UKRIO staff or volunteers, or concerning comments made by them; |
The risk is graded as medium; however, UKRIO takes ongoing action to mitigate against it, for example: |
- | UKRIO's staff and volunteers (including the Trustees, members of the Advisory Council and members of the Advisory Community) are expected to carry out any activities on behalf of the charity in a professional manner and with integrity. This is set out in the various codes of conduct which apply to these persons, e.g. employment contracts, the Code of Conduct for members of the Advisory Community and the charity's Protocol for Responding to Requests for Assistance (https://ukrio.org/wp-content/uploads/UKRIO-Code-of-Conduct-for-UKRIO-Advisers-Revised-July-2022.p df). It includes declaring actual or perceived competing interests, with procedures for addressing actual or perceived competing interests set out in the charity's internal protocols (e.g., Code of Conduct for members of the Advisory Community and the Protocol for Responding to Requests for Assistance). (https://ukrio.org/wp-content/uploads/UKRIO-Protocol-for-responding-to-requests-for-assistance-July-2022. pdf) |
- | All public statements made by UKRIO, including responses to media enquiries etc., are issued from the charity's office rather than on an ad hoc basis by individual members of staff or volunteers. |
- | UKRIO applies the following confidentiality provisions to those seeking its advice. This is explained to anyone seeking advice from the charity; for example, via emails acknowledging requests for assistance and the enquiry submission form on UKRIO's website (http://www.ukrio.org/get-advice-from-ukrio/ ). |
"UKRIO will keep a confidential record of any requests for assistance and all subsequent discussions. No other parties will be informed without your consent, unless clear evidence of criminal activity has been presented, there is an immediate need to involve others to prevent further risk or harm to people, animals or the environment, or we are otherwise under a legal obligation to do so. We also reserve the right to disclose details of our advice and correspondence if that advice is later misrepresented by you." |
- | The charity's Privacy Policy can be viewed at http://ukrio.org/privacy-and-cookies/ (with a PDF version also available) and its Confidentiality Policy at http://ukrio.org/confidentiality-policy/ (PDF version also available). |
- Reputational risk arising from wider criticism regarding research integrity in the UK, the UK research community or research integrity on a global scale: |
The risk is graded as medium; however, UKRIO takes ongoing action to mitigate against it, for example: |
- | UKRIO has publicly stated, since its inception, that it does not believe there is any room for complacency or a 'job done' attitude regarding the integrity and ethical standards of research, whether in the UK or internationally. This is inherent in our vision and values, our programme of work, and our many public statements on research integrity. Accordingly, the charity is well-placed to respond to wider criticism regarding research integrity in the UK, the UK research community or research integrity on a global scale. |
- | Loss of subscription income: UKRIO regularly reviews subscription income to ensure it is providing value for subscribers, that subscriptions are in line with expectations of research organisations and that any changes ensure broadly the same income year on year. This policy is carried out by the Chief Executive working with the Chair and the other Trustees. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
- | Loss of data: data relating to UKRIO's business and financial affairs, and to its programme of work are retained at the UKRIO office in the form of hard copy documents and computer files, and on a secure cloud data storage system. The UKRIO office is lockable, has an alarm system, and is located in an office building (No. 1 Croydon) with good security (lockable, alarm systems, access via key card, staffed reception desk during business hours and security patrols outside of business hours). Human resources and financial records are held off-site in the Sussex Innovation Centre (SINC) with good security (lockable, alarm systems, access via key card, staffed reception desk during business hours and external security patrols outside of business hours). |
- | Hard copy documents are kept in locked cabinets. |
- | Computer files: all UKRIO-owned desktop computers, laptop computers and portable memory devices are encrypted and require a password to decrypt the contents. UKRIO-owned computers are further password-protected, with each user given a unique password. Users are allowed access to folders and files which are relevant to their work and are given 'administrator' rights only when required by their duties. Files which contain information deemed to be particularly sensitive are password-protected; those relating to UKRIO's Advisory Service are anonymised wherever possible. |
- | Cloud storage systems are provided by reputable providers, meeting industry standards for security, encryption and backing up of data. Access to the cloud storage is password-protected, with each user given a unique password. Backed-up data is held securely off-site and in encrypted form. |
- | Human resources, payroll and accounts payable information: these functions are carried out on behalf of UKRIO by staff of SINC. Information relating to these functions is held in the SINC office in the form of hard copy documents and computer files, and to a similar standard as above. |
Accordingly, the risk of loss of irrecoverable data is regarded as low-to-medium. |
- | Health and safety: UKRIO has established policies and processes to ensure sufficient control of the health and safety risks arising from the charity's work. UKRIO is a small, office-based organisation. Staff activities relate to office work and do not include manual work, handling of hazardous substances or operation of plant/ equipment. Health and safety policies and processes are reviewed periodically and appropriate instruction given to staff and any others who may work in the office. Accordingly, risk relating to health and safety is regarded as low. |
- | Data protection: UKRIO offers confidential advice on potentially contentious issues. Accordingly, it has a clear policy on data protection and confidentiality, and it reviews its record-keeping processes regularly.UKRIO explains to service users through a variety of means - such as the contact forms on our website - how it handles personal data and other confidential information. Service users are also provided with information on our role and remit. UKRIO revised its data protection processes and policies in light of the introduction of the General Data Protection Regulation in May 2018.The charity's Privacy Policy can be viewed at http://ukrio.org/privacy-and-cookies/ (with a PDF version also available) and its Confidentiality Policy at http://ukrio.org/confidentiality-policy/ (PDF version also available). UKRIO is registered with the Information Commissioner's Office in accordance with the Data Protection Act and complies with the requirements of GDPR. |
- | Physical assets: UKRIO has no significant physical assets. |
- | Funding policy: UKRIO developed a funding policy, available on our website at https://ukrio.org/about-us/our-funding/, to ensure that external funding cannot divert UKRIO from its agreed aims and values. Donations to UKRIO do not entitle any individual or organisation to decision-making authority. No individual funding source should be of a magnitude that would allow the donor to exercise control or compromise in any significant way the independence of UKRIO. |
Accordingly, UKRIO's funders do not determine who we help or how we help them. UKRIO does not share confidential information on its work - for example, who has sought our advice, what their concerns were or how we assisted them - with the organisations that support us. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Report of the Trustees |
for the year ended 31 July 2023 |
STRUCTURE, GOVERNANCE AND MANAGEMENT |
Given that whether organisations should accept funding from the pharmaceutical industry has been the subject of public debate, UKRIO also published a statement setting out its position on this matter: https://ukrio.org/about-us/our-funding/pharmaceutical-funding/. |
STATEMENT OF TRUSTEES' RESPONSIBILITIES |
The Trustees (who are also directors of UK Research Integrity Office Limited for the purposes of company law) are responsible for preparing the Trustees' report and the financial statements in accordance with applicable law and United Kingdom Accounting Standards (United Kingdom Generally Accepted Accounting Practice). |
Company law requires the Trustees to prepare financial statements for each financial year. Under company law the Trustees must not approve the financial statements unless they are satisfied that they give a true and fair view of the state of affairs of the charitable company and of the incoming resources and application of resources, including the income and expenditure, of the charitable company for that period. In preparing these financial statements, the Trustees are required to: |
- | select suitable accounting policies and then apply them consistently; |
- | observe the methods and principles in the Charities SORP; |
- | make judgments and accounting estimates that are reasonable and prudent; |
- | state whether applicable UK Accounting Standards have been followed, subject to any material departures disclosed and explained in the financial statements; |
- | prepare the financial statements on the going concern basis unless it is inappropriate to presume that the charitable company will continue in operation. |
The Trustees are responsible for keeping adequate accounting records that are sufficient to show and explain the charitable company's transactions and disclose with reasonable accuracy at any time the financial position of the charitable company and enable them to ensure that the financial statements comply with the Companies Act 2006. They are also responsible for safeguarding the assets of the charitable company and hence for taking reasonable steps for the prevention and detection of fraud and other irregularities. |
In preparing this report, the Trustees have taken advantage of the small companies exemptions provided by section 415A of the Companies Act 2006. |
Approved by order of the board of trustees on |
Independent Examiner's Report to the Trustees of |
UK Research Integrity Office Ltd |
Independent examiner's report to the trustees of UK Research Integrity Office Ltd ('the Company') |
I report to the charity trustees on my examination of the accounts of the Company for the year ended 31 July 2023. |
Responsibilities and basis of report |
As the charity's trustees of the Company (and also its directors for the purposes of company law) you are responsible for the preparation of the accounts in accordance with the requirements of the Companies Act 2006 ('the 2006 Act'). |
Having satisfied myself that the accounts of the Company are not required to be audited under Part 16 of the 2006 Act and are eligible for independent examination, I report in respect of my examination of your charity's accounts as carried out under Section 145 of the Charities Act 2011 ('the 2011 Act'). In carrying out my examination I have followed the Directions given by the Charity Commission under Section 145(5) (b) of the 2011 Act. |
Independent examiner's statement |
Since your charity's gross income exceeded £250,000 your examiner must be a member of a listed body. I can confirm that I am qualified to undertake the examination because I am a member of the Institute of Chartered Accountants in England and Wales, which is one of the listed bodies. |
I have completed my examination. I confirm that no matters have come to my attention in connection with the examination giving me cause to believe: |
1. | accounting records were not kept in respect of the Company as required by Section 386 of the 2006 Act; or |
2. | the accounts do not accord with those records; or |
3. | the accounts do not comply with the accounting requirements of Section 396 of the 2006 Act other than any requirement that the accounts give a true and fair view which is not a matter considered as part of an independent examination; or |
4. | the accounts have not been prepared in accordance with the methods and principles of the Statement of Recommended Practice for accounting and reporting by charities (applicable to charities preparing their accounts in accordance with the Financial Reporting Standard applicable in the UK and Republic of Ireland (FRS 102)). |
I have no concerns and have come across no other matters in connection with the examination to which attention should be drawn in this report in order to enable a proper understanding of the accounts to be reached. |
Mr C Morey |
The Institute of Chartered Accountants in England and Wales |
Plus Accounting |
Chartered Accountants |
Preston Park House |
South Road |
Brighton |
East Sussex |
BN1 6SB |
18 March 2024 |
UK RESEARCH INTEGRITY OFFICE LTD |
Statement of Financial Activities |
for the year ended 31 July 2023 |
2023 | 2022 |
Unrestricted | Total |
fund | funds |
Notes | £ | £ |
INCOME AND ENDOWMENTS FROM |
Charitable activities |
Charitiable activities |
271,834 |
Other trading activities | 2 | 5,650 |
Total |
EXPENDITURE ON |
Charitable activities |
Charitiable activities |
Other |
Total |
NET INCOME/(EXPENDITURE) | ( |
) |
RECONCILIATION OF FUNDS |
Total funds brought forward |
TOTAL FUNDS CARRIED FORWARD | 408,167 |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Balance Sheet |
31 July 2023 |
2023 | 2022 |
Unrestricted | Total |
fund | funds |
Notes | £ | £ |
FIXED ASSETS |
Tangible assets | 7 |
CURRENT ASSETS |
Debtors | 8 |
Cash at bank |
CREDITORS |
Amounts falling due within one year | 9 | ( |
) | ( |
) |
NET CURRENT ASSETS |
TOTAL ASSETS LESS CURRENT LIABILITIES |
NET ASSETS |
FUNDS | 10 |
Unrestricted funds | 408,167 |
TOTAL FUNDS | 408,167 |
The charitable company is entitled to exemption from audit under Section 477 of the Companies Act 2006 for the year ended 31 July 2023. |
The members have not required the company to obtain an audit of its financial statements for the year ended 31 July 2023 in accordance with Section 476 of the Companies Act 2006. |
The trustees acknowledge their responsibilities for |
(a) | ensuring that the charitable company keeps accounting records that comply with Sections 386 and 387 of the Companies Act 2006 and |
(b) | preparing financial statements which give a true and fair view of the state of affairs of the charitable company as at the end of each financial year and of its surplus or deficit for each financial year in accordance with the requirements of Sections 394 and 395 and which otherwise comply with the requirements of the Companies Act 2006 relating to financial statements, so far as applicable to the charitable company. |
UK RESEARCH INTEGRITY OFFICE LTD (REGISTERED NUMBER: 07444269) |
Balance Sheet - continued |
31 July 2023 |
These financial statements have been prepared in accordance with the provisions applicable to charitable companies subject to the small companies regime. |
The financial statements were approved by the Board of Trustees and authorised for issue on |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements |
for the year ended 31 July 2023 |
1. | ACCOUNTING POLICIES |
Basis of preparing the financial statements |
The financial statements have been prepared under the historical cost convention and in accordance with the provisions applicable to small companies subject to the small companies regime and in accordance with FRS102 SORP. |
Company status |
The charity is a company limited by guarantee. The members of the company are the Trustees named on page 1. In the event of the charity being wound up, the liability in respect of the guarantee is limited to £1 per member of the charity. |
Income |
All incoming resources are included in the Statement of financial activities when the charity has entitlement to the funds, certainty of receipt and the amount can be measured with sufficient reliability. |
Income for the sale of subscriptions is recognised as the subscription progresses. Revenue received in advance is included in creditors. |
Expenditure |
All expenditure is accounted for on an accruals basis and has been included under expense categories that aggregate all costs for allocation to activities. Where costs cannot be directly attributed to particular activities they have been allocated on a basis consistent with the use of the resources. |
Governance costs |
The trustees have assessed the usage of expenditure and consider 10% to be an appropriate proportion to include as other governance costs. For 2023 other governance costs total £40,178 (2022: £25,143). |
Governance costs also includes accountancy and bookkeeping which are deemed to be 100% governance costs. These costs total £13,500 for 2023 (2022: £6,431). |
Tangible fixed assets |
Tangible fixed assets are stated at cost less depreciation. Depreciation is provided at rates calculated to write off the cost of fixed assets, less their estimated residual value, over their expected useful lives on the following bases: |
Office equipment - 3 years straight line |
Fund accounting |
General funds are unrestricted funds which are available for use at the discretion of the Trustees in furtherance of the general objectives of the charity and which have not been designated for other purposes. |
Investment income, gains and losses are allocated to the appropriate fund. |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements - continued |
for the year ended 31 July 2023 |
2. | OTHER TRADING ACTIVITIES |
2023 | 2022 |
£ | £ |
Training and development workshops | 27,352 | 5,650 |
3. | NET INCOME/(EXPENDITURE) |
Net income/(expenditure) is stated after charging/(crediting): |
2023 | 2022 |
£ | £ |
Depreciation - owned assets |
4. | TRUSTEES' REMUNERATION AND BENEFITS |
There were no trustees' remuneration or other benefits for the year ended 31 July 2023 nor for the year ended 31 July 2022. |
Trustees' expenses |
A total of £1,208.44 was paid in relation to trustees' expenses in the year ended 31 July 2023. |
5. | STAFF COSTS |
The average monthly number of employees during the year was as follows: |
2023 | 2022 |
Operations |
The number of employees whose employee benefits (excluding employer pension costs) exceeded £60,000 was: |
2023 | 2022 |
£60,001 - £70,000 |
6. | COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES |
Unrestricted |
fund |
£ |
INCOME AND ENDOWMENTS FROM |
Charitable activities |
Charitiable activities |
271,834 |
Other trading activities | 5,650 |
Total |
EXPENDITURE ON |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements - continued |
for the year ended 31 July 2023 |
6. | COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES - continued |
Unrestricted |
fund |
£ |
Charitable activities |
Charitiable activities |
Other |
Total |
NET INCOME |
RECONCILIATION OF FUNDS |
Total funds brought forward |
TOTAL FUNDS CARRIED FORWARD | 408,167 |
7. | TANGIBLE FIXED ASSETS |
Office |
equipment |
£ |
COST |
At 1 August 2022 |
Additions |
At 31 July 2023 |
DEPRECIATION |
At 1 August 2022 |
Charge for year |
At 31 July 2023 |
NET BOOK VALUE |
At 31 July 2023 |
At 31 July 2022 |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements - continued |
for the year ended 31 July 2023 |
8. | DEBTORS: AMOUNTS FALLING DUE WITHIN ONE YEAR |
2023 | 2022 |
£ | £ |
Trade debtors |
Prepayments and accrued income |
9. | CREDITORS: AMOUNTS FALLING DUE WITHIN ONE YEAR |
2023 | 2022 |
£ | £ |
Trade creditors |
Social security and other taxes |
Other creditors |
Pension creditor | (117 | ) | 1,426 |
Accruals and deferred income |
Accrued expenses |
10. | MOVEMENT IN FUNDS |
Net |
movement | At |
At 1.8.22 | in funds | 31.7.23 |
£ | £ | £ |
Unrestricted funds |
General fund | 408,167 | (70,331 | ) | 337,836 |
TOTAL FUNDS | (70,331 | ) | 337,836 |
Net movement in funds, included in the above are as follows: |
Incoming | Resources | Movement |
resources | expended | in funds |
£ | £ | £ |
Unrestricted funds |
General fund | 344,831 | (415,162 | ) | (70,331 | ) |
TOTAL FUNDS | ( |
) | (70,331 | ) |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements - continued |
for the year ended 31 July 2023 |
10. | MOVEMENT IN FUNDS - continued |
Comparatives for movement in funds |
Net |
movement | At |
At 1.8.21 | in funds | 31.7.22 |
£ | £ | £ |
Unrestricted funds |
General fund | 388,559 | 19,608 | 408,167 |
TOTAL FUNDS | 388,559 | 19,608 | 408,167 |
Comparative net movement in funds, included in the above are as follows: |
Incoming | Resources | Movement |
resources | expended | in funds |
£ | £ | £ |
Unrestricted funds |
General fund | 277,484 | (257,876 | ) | 19,608 |
TOTAL FUNDS | 277,484 | (257,876 | ) | 19,608 |
A current year 12 months and prior year 12 months combined position is as follows: |
Net |
movement | At |
At 1.8.21 | in funds | 31.7.23 |
£ | £ | £ |
Unrestricted funds |
General fund | 388,559 | (50,723 | ) | 337,836 |
TOTAL FUNDS | 388,559 | (50,723 | ) | 337,836 |
A current year 12 months and prior year 12 months combined net movement in funds, included in the above are as follows: |
Incoming | Resources | Movement |
resources | expended | in funds |
£ | £ | £ |
Unrestricted funds |
General fund | 622,315 | (673,038 | ) | (50,723 | ) |
TOTAL FUNDS | 622,315 | (673,038 | ) | (50,723 | ) |
UK RESEARCH INTEGRITY OFFICE LTD |
Notes to the Financial Statements - continued |
for the year ended 31 July 2023 |
11. | RELATED PARTY DISCLOSURES |