OpenCharities

This text was generated using OCR and may contain errors. Check the original PDF to see the document submitted to the regulator.

2021-07-31-accounts

REGISTERED COMPANY NUMBER: 07444269 (England and Wales) REGISTERED CHARITY NUMBER: 1147061

Report of the Trustees and Unaudited Financial Statements for the Year Ended 31 July 2021

for

UK RESEARCH INTEGRITY OFFICE LTD

Plus Accounting Chartered Accountants Preston Park House South Road Brighton East Sussex BN1 6SB

UK RESEARCH INTEGRITY OFFICE LTD

Contents of the Financial Statements for the year ended 31 July 2021

Page
Reference and Administrative Details 1
Report of the Trustees 2 to 15
Independent Examiner's Report 16
Statement of Financial Activities 17
Balance Sheet 18
Notes to the Financial Statements 19 to 23
Detailed Statement of Financial Activities 24 to 25

UK RESEARCH INTEGRITY OFFICE LTD

Reference and Administrative Details for the year ended 31 July 2021

TRUSTEES Professor I L Boyd Chair Dr J M Dally Professor S Harper C M Taylor O Qureshi Professor T Brown (appointed 20.4.21) M Standing (appointed 20.4.21) REGISTERED OFFICE Floor 11 No. 1 Croydon 12 - 16 Addiscombe Road Croydon CR0 0XT REGISTERED COMPANY 07444269 (England and Wales) NUMBER REGISTERED CHARITY 1147061 NUMBER INDEPENDENT EXAMINER Plus Accounting Chartered Accountants Preston Park House South Road Brighton East Sussex BN1 6SB

Page 1

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

The Trustees of the UK Research Integrity Office Limited (UKRIO) present their report for the year ended 31 July 2021.

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. One third of the trustees must retire by rotation each year but may stand for re-election.

All new trustees have their duties and responsibilities fully explained to them and are given a copy of the Charity Commission's guidance, The Essential Trustee.

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 Policies and objectives

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.

The aims of UKRIO are: to offer support to the public, researchers and organisations to further good practice in academic, scientific and medical research; to promote integrity and high ethical standards in such research; and to promote robust and fair methods to address poor practice and misconduct in such research. Our aims fully reflect the purposes that the charity was set up to further.

We pursue these aims across 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 charities - wherever the research affects the public good.

Page 2

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

How our activities deliver public benefit

Our programme of work and who we help are described below. In accordance with our charitable purposes, all of our activities focus on promoting, supporting and safeguarding the integrity of academic, scientific and medical research, and the associated scholarly record, for the benefit of the public.

We address enquiries about research conduct and standards from members of the public, from academic institutions, public bodies such as NHS organisations, and charities. We cover research when the subject matter is a useful subject of study, the intent is that the knowledge acquired will be published and disseminated to others, and the research is conducted for the benefit of the public - i.e., in the public interest. While UKRIO does not deal with commercial matters relating to research, private sector bodies may use our services in relation to research which is conducted for the benefit of the public, particularly in collaborations with universities, the NHS or charities.

As a charity, our services are free of charge: UKRIO does not place barriers in the way of anyone with questions or concerns about the conduct of research. Our approach supports the UK's research community by improving the conduct of research and bringing concerns to the attention of appropriate organisations, such as employers, 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 but this is not a condition of receiving our help.

Integrity in research is essential: to safeguard high standards in research; to retain the public's trust; to enhance the UK's international reputation; and to ensure the safety and wellbeing of research participants. Since before UKRIO's inception, there has been growing scrutiny and discussion of the standards - regulatory or otherwise- for the conduct of research and whether these standards are being adhered to.

Breaches of these standards range from honest but avoidable errors ('sloppiness') and the inability to replicate research findings; through minor but deliberate transgressions ('questionable research practices'); to serious, intentional breaches of research practice, also known as research misconduct. UKRIO was set up to help safeguard and enhance integrity in research and to help address errors, questionable research practices and allegations of research misconduct.

Reflecting confidence in the services our charity provides, by 31 July 2021 105 research organisations were subscribing to UKRIO, including most of the Russell Group of universities. Both editions of The Concordat to Support Research Integrity, the UK's national policy statement on good research practice and a contractual condition of major research funders - were developed with the assistance of UKRIO and it recognises us as a key source of support for the research community.

The knowledge generated through research has become 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.

As well as this 'bigger picture', UKRIO always keeps in mind the need to support individual members of the public, whether from the research community or not, who have questions and concerns about the conduct of academic, scientific and medical research.

Who used and benefited from our services?

The users of UKRIO services are drawn 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 research organisations, including UKRIO subscribers and non-subscriber organisations.

Members of the public who used UKRIO's services included, but were not limited to, participants in research projects and patients. Enquiries from members of the public could often involve issues of a serious, sensitive or contentious nature, for example:

Page 3

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

Even when an enquiry involved relatively straightforward matters, members of the public could be nervous about seeking advice. We therefore took care to act with due sensitivity and courtesy at all times when responding to enquiries to our Advisory Service.

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; human resources professionals; editors of academic journals; statisticians; and representatives of regulatory, funding or professional bodies.

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, charities which conduct research, learned societies, professional bodies, NHS organisations, academic journals and bodies which award public or charitable funds to research. As noted above, UKRIO does not deal with purely commercial research but will respond to enquiries from private sector bodies in relation to research which is conducted for the benefit of the public.

As UKRIO does not have regulatory powers, it does not trespass on the remits of the statutory bodies which regulate certain types of research. However, we often work with them on issues of mutual interest.

Page 4

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES Review of activities

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.

The service is free of charge and open to members of the public and the research community, including students, researchers and representatives and representatives of research organisations. The service covers all subject areas and gives advice on general issues as well as specific questions, research projects and cases.

Users of the service are informed of UKRIO's role, the confidentiality that we offer, the support we can provide and the limits of our remit. UKRIO does not have any regulatory powers; it exists to advise and assist those who seek its help. We are not a centre for legal advice, nor do we have a case investigation, oversight or adjudication role. Our representatives can participate in investigations of cases at the request of an employer, regulator or other appropriate body or person.

In the period 1 August 2020 to 31 July 2021, UKRIO responded to 85 formal requests for its assistance, as well as to numerous informal approaches. We believe that the fall in requests for advice received compared to previous years is a reflection of the pandemic situation at that time. We believe that the level of requests will increase again in the future.

We gave advice on a wide variety of issues, drawing on the considerable collective expertise of UKRIO's staff and volunteers to suggest appropriate ways forward. The issues brought to our attention covered a broad spectrum of concerns. The five most common issues were:

  1. individuals and organisations seeking proactive support to sustain and enhance good research practice;

  2. questions relating to integrity and ethics in the dissemination/publication of academic, scientific and medical research;

  3. questions of research ethics, including the proper treatment of members of the public involved in research as participants and patients;

  4. advising organisations how to investigate allegations of research misconduct in a fair, thorough, timely and transparent manner; and

  5. helping individuals raise concerns about research misconduct with the appropriate organisation(s).

The most common single discipline of research involved in requests to UKRIO was health and biomedicine. It is clear that failures to meet accepted standards in health and biomedical research, whether due to human error or otherwise, have clear implications for the ethical and safe treatment of research participants and patients, for the integrity of the research on which medical professionals and the public rely, and for public health.

Continuing a trend from previous years, enquiries involving the social sciences formed the second most common single discipline involved in enquiries. As with health and biomedicine, it is essential to safeguard the wellbeing, dignity and rights of participants in social science research. In addition, breaches of good practice in social science research can not only be detrimental to those participants but also to the wider public, as data from this type of research is often drawn on by policy makers, social care professionals, charities and others.

More frequent than discipline-specific enquiries were those involving multiple subject areas. These related to multidisciplinary research projects or to activities designed to cover all disciplines of research within a particular institution. Examples of the latter category include institutional systems for research integrity, ethics and governance or policies for research integrity and related topics published by funders or other bodies.

Publications and guidance: In the period under review, UKRIO published two major publications and a variety of smaller resources.

The COVID-19 pandemic has had considerable effects on how research is designed, funded, conducted, managed, monitored and disseminated. Accordingly, in October 2020 UKRIO published Checklist for research communities during the COVID-19 pandemic. This practical guidance helps researchers and others anticipate issues that may affect the integrity of their research and consider in advance how those issues might be addressed, including but not limited to research on COVID-19 and related topics. The Checklist is a publicly-available document and can be found at:

Page 5

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

In February 2021, UKRIO published a new edition of our primer on research integrity issues relating to animal use in research. The revised primer is intended to provide research ethics committees, research staff, and those in research support, research integrity or governance roles with an overview of issues that need to be considered to facilitate a - robust approach to good practice in the context of research involving animals: https://ukrio.org/wp content/uploads/UKRIO-Research-Integrity-A-primer-on-research-involving-animals-V2.0.pdf

Following the publication in April 2020 of Research Ethics Support and Review in Research Organisations and the excellent feedback received subsequently, UKRIO published the supplementary guidance Researcher Checklist of - - Ethics Applications for Research with Human Beings, available at https://ukrio.org/wp content/uploads/Researcher Checklist-of-Ethics-Applications-for-Research-with-Human-Beings.pdf

During the period under review, we have expanded the resources section on the charity's website (https://ukrio.org/research-integrity-resources/ ) to link to a wide range of third party materials on key aspects of good research practice, providing a hub of useful information for the research community. Topics covered include: academic image integrity; authorship; the General Data Protection Regulation and research integrity; open access and doctoral theses; predatory journals and publishers; pre-prints vs pre-proof/pre-press; questionable research practices; and research culture.

We have continued to advise research organisations (both UKRIO subscribers and non-subscribers) on the adoption or use of our other publications, such as our Code of Practice for Research, which researchers use as a guide to the standards of good practice and ethics applicable, and which organisations adopt or otherwise use to embed good practice in their research; and our Procedure for the Investigation of Misconduct in Research, which organisations use when addressing concerns about research conducted under their auspices.

Since their publication, our Code and Procedure have been recommended by major research organisations such as UK Research and Innovation, the national body responsible for funding research, and adopted or otherwise used by more than 50 universities. They have also proved a valuable resource to individuals with queries or concerns about research practice. To that extent, the standards adopted by UKRIO represent a national consensus on best practice in research and also strongly reflect the international consensus.

We have also supported individuals who wished to use our guidance publications. For example, we have advised researchers on how to apply our guidance on authorship in academic publications or internet-mediated research to their work, the latter particularly relevant during the pandemic situation, since many in-person research methodologies are now being conducted via virtual means.

Education, training and development of systems: UKRIO recognised early on that the knowledge generated by our unique role in the UK research community was too valuable to be kept within our organisation. While the appeals for our help and our response must remain confidential, we share the issues and solutions identified in our advisory work through our other activities. In the period under review, we regularly worked with research organisations to deliver training on research integrity or to help them establish their own, in-house programmes. The aim has been to provide indepth and long-term support to help improve standards of research practice, research governance and research ethics in these institutions.

Training was delivered at 14 research organisations during the period under review, all through virtual means. Topics included: introductory courses for research students and new staff about the responsible conduct of research; similar introductory sessions conducted as part of organisational conferences on research; raising awareness of the importance of a healthy research culture; and sessions focussing on particular aspects of good research practice, such as publication ethics and authorship or investigating allegations of research misconduct.

The charity has continued its specialist training for chairs and members of institutional research ethics committees (see https://ukrio.org/our-work/education-and-training/ for details of course content). The training has seen considerable uptake, with 11 courses delivered August 2020-July 2021, and have generated very positive feedback. These courses have also been delivered through virtual means.

Page 6

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

Virtual events programme : UKRIO has continued its extensive programme of free virtual events to support the research community. A key element of this was our ongoing series of regular webinars on research integrity and related issues, which led up to our virtual annual conference in May 2021. Meanwhile, our subscriber institutions were supported by a series of virtual roundtables on key topics.

Webinars: For two hours, speakers from UKRIO and invited experts explore topics of interest to the research community, with the webinars open to all and free to attend. Slides and recordings from webinars are made available on UKRIO's website as a resource for the research community and the public, with the recordings also available on UKRIO's YouTube channel:

https://www.youtube.com/channel/UCmcttrB7LkjHhNQYvN8XQcQ/videos

In the period under review, the charity held the following webinars:

The webinars have consistently received excellent feedback, not only from UKRIO subscriber institutions but also from the wider research community. Their content, format and free and accessible nature have all been very well-received, with each webinar attracting several hundred attendees. Our April 2021 webinar, An Introduction to Research Integrity, saw over 600 sign-ups, our highest amount for a webinar to date.

Annual conference: UKRIO's eighth annual conference took place Wednesday 19 and Thursday 20 May 2021. Building on the successes of our monthly research integrity webinars, we took our 2021 conference entirely online and explored research integrity under the theme of 'good research practice in a changing world'. The conference was opened by Dame Ottoline Leyser, Chief Executive of UK Research and Innovation.

Over 1040 individuals registered to the conference from 60 countries around the world. 80% of registrations came from the UK. We also saw 37 registrations from Ireland, 21 from US, 13 from China, 10 from Australia. An additional 60 registrations came from Europe including France, Germany and Greece. Post-event analysis explored where attendees heard about the event: over 300 registrations were generated by UKRIO mailings, a further 400 registrations came in via 'word of mouth' - mostly via circulated UKRIO mailings - with the remainder via social media such as Twitter or Linkedin, or via Eventbrite's search engine.

In total we saw 685 individuals join the conference live, with the majority of those attendees attending on both days. Feedback shows that the event proved to be very popular amongst attendees and speakers. The general theme worked well and allowed for the team to explore a number of topics under the research integrity umbrella, and allowed us to work with a diverse group of speakers. The event schedule was carefully thought through from start to end to ensure similar topics were clustered together, and timings considered with precision ensured the audience could easily engage with key elements throughout both days.

Slides and recordings from the event can be viewed at https://ukrio.org/events/annual-conference/2021-annualconference/

Virtual roundtables : in the period under review, UKRIO began its programme of virtual roundtables exploring key issues in research integrity. Recognising the need to inform and support conversations and initiatives about good research practice, our virtual roundtables are facilitated, wide-ranging discussions between peers under the Chatham House Rule. These invitation-only events for representatives of UKRIO subscriber institutions allow research integrity professionals and researchers to discuss the issues that matter to them, seek advice from UKRIO and develop good working relationships with their peers in other organisations.

Page 7

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

Roundtables were held in December 2020 and in March, April and July 2021. The number of attendees for each event was kept to a maximum of 20, to ensure that each attendee had the opportunity to contribute significantly to discussions. A common theme of each roundtable was the topic "Research integrity: life under lockdown", with each attendee being able to: discuss challenges of supporting good research practice at their institution; share successes and significant developments, to inform the work of their peers; and get views and support from UKRIO and other attendees on any issues that they and/or colleagues were facing at their organisation.

Our charity received extremely positive feedback on this new type of event and we will be continuing them in the future. The discussions at our virtual roundtables not only enrich and benefit those who attended, but also inform the wider work of UKRIO.

Policy work and outreach: UKRIO continues its extensive contribution to national discussions on research integrity and the development of initiatives to support and sustain good research practice. We use our unique experience, expertise and data to inform these processes, to help ensure the promotion of high-quality research and the protection of research participants and patients.

During the period under review, the House of Commons Science and Technology Committee announced an inquiry into reproducibility and research integrity. This inquiry follows previous ones by the Committee and UKRIO will submit evidence to inform its work and subsequent national conversations and policy on research integrity.

UKRIO continues to collaborate with the Concordat Signatories Group to support The Concordat to Support Research Integrity and our Chief Executive continues in his Observer role on the 'Group.

As part of its work, the Signatories Group hold a national research integrity forum each year. In 2021, UKRIO hosted the forum as part of our annual conference in May 2021, supporting this important initiative for the benefit of the wider research community.

UKRIO continues to fund the UK Reproducibility Network, a peer-led group to improve the reliability and robustness of research (see https://www.ukrn.org/ for further information on its role and remit). UKRIO is supporting UKRN for its first three years, as part of our aim to support and enhance the quality of UK research.

During the period under review, UKRIO joined the Animal Materials Working Group (AMWG). The acquisition and use of animal materials is a wide-reaching subject area posing a number of legal, ethical and practical challenges. The Animal Materials Working Group (AMWG) has been established to address the challenges that are currently faced in carrying out legal and ethical review of the sourcing of this type of material, to work to set standards and guidelines to facilitate these activities, and enable a consistent, transparent and collaborative approach in meeting these challenges.

This initiative is being led by the Wellcome Sanger Institute. NC3Rs, the Natural History Museum, ARMA, UKRI BBSRC and several of UKRIO's subscribing institutions are members of this group. UKRIO was involved in collating resource materials and disseminated the final published guidance document via the UKRIO website. This work supplements the charity's existing work on the use of animals in research and will support not only STEM subjects but also arts and humanities research where animals and animal-derived materials are used.

UKRIO contributes to the national and international promotion of integrity in research. This involves discussion of our work at conferences and other events, giving lectures and case study workshops, as well as articles in academic journals and in the press. As part of our ongoing dissemination programme, representatives of UKRIO have spoken at a variety of events in the UK during the period under review.

International: As misconduct in research does not respect international boundaries, our charity participates in discussions and initiatives to support good governance of research led by international organisations. UKRIO has continued its membership of the European Network of Research Integrity Offices (ENRIO), sharing lessons learned from our work in the UK and drawing on the considerable expertise of ENRIO's member organisations in sustaining research integrity and addressing poor practice.

We have also shared good practice in research integrity from other countries, by showcasing speakers from outside the UK at our various events. For example, the African Research Integrity Network and the European Commission-funded VIRT2UE Train-the-Trainer Programme both held sessions at our 2021 annual conference.

Page 8

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

OBJECTIVES AND ACTIVITIES

While our focus will always remain on the UK, UKRIO has continued its associate membership scheme for non-UK research organisations that wish to engage our support.

FINANCIAL REVIEW

Financial Review

In the period 1 August 2020 - 31 July 2021, UKRIO continued its work to attract and register new subscriber institutions, its principal source of income despite the difficult financial conditions created by the Covid pandemic. By the end of July 2021, 105 research organisations were subscribers to UKRIO, a small increase of 1 since the end of July 2020. The majority of 'research intensive' universities in the UK, those with the highest proportion of research activity and research income, now subscribe to UKRIO.

During the 12-month period to 31 July 2021 UKRIO recorded £247,079 of incoming resources, £245,626 of which was subscriptions income. During this period there was resources expended of £264,759 which results in a deficit of £17,680 for the period. With an opening funds balance of £406,239 at 1 August 2020 the closing funds balance is £388,559 at the balance sheet date. This performance is as was expected for the period.

The charity's financial position, such as the closing funds balance, is partly associated with projected additional expenditure in the next financial year to facilitate improved services, including on staff, who were recruited towards the end of the recruiting year, and on an online training course being developed for UKRIO subscriber institutions. Funds accrued by the charity will be expended in pursuit of its charitable objectives, save for a small strategic reserve (see 'Reserves Policy', below).

As noted earlier, in order to support the increase in demand for the charity's services and to further develop UKIO's work programme, including resources offered to subscribers, the number of staff were increased at the end of the period from 2 to 4.5 (FTE) members of staff, with a significant increase in salary costs (from £85k to £145k) being reflected in the financial year to July 2021.

During the 12-month period to 31 July 2021 UKRIO also embarked on a number of initiatives to enhance the service and benefits provided to subscribers, the most notable of which was the development of an online training course with a budgeted cost of £157k which will be reflected in the financial accounts over the two years to July 2022.

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.

Page 9

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

FUTURE DEVELOPMENTS

UKRIO will continue its existing programme of work to support the public, the research community and our subscribers. We will explore and, where appropriate, develop and introduce new services for members of the public, researchers, subscribers and others. Amongst those planned for the next 12 months are:

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.

Page 10

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

STRUCTURE, GOVERNANCE AND MANAGEMENT Organisational structure and decision making

UKRIO consists of four elements:

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 and reported to them.

The Advisory Council includes Members from the research community as well as independent and lay members. Collectively the Advisory Council possesses significant expertise in the promotion of research integrity and in addressing poor practice and misconduct. Advisory Council Members hold no legal responsibility for the organisation: they are neither trustees of the charity nor directors of the limited company.

The Trustees, Members of the Advisory Council and members of the Register of Advisers 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 Register of Advisers 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 Communications and Information Officer (part-time); 1 x Events Officer (part-time) who left during the period; 1 x Operations Manager (part-time), 2 x Project Officer (part-time), one of whom left during the period under review and 1 x Senior Project Officer (part-time).

Page 11

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

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:

The risk is graded as low-medium given that UKRIO:

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:

The risk is graded as medium; however, UKRIO takes ongoing action to mitigate against it, for example:

Page 12

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

STRUCTURE, GOVERNANCE AND MANAGEMENT

- 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:

- 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:

Page 13

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

STRUCTURE, GOVERNANCE AND MANAGEMENT

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 passwordprotected, 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.

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.

Page 14

UK RESEARCH INTEGRITY OFFICE LTD

Report of the Trustees for the year ended 31 July 2021

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/

RESPONSE TO CORONAVIRUS/ COVID-19

The COVID-19 pandemic is an extremely challenging situation, posing significant risks to human health and wellbeing, and causing considerable disruption to society.

During the period under review, UKRIO followed advice from the UK Government, Public Health England and related bodies when responding to the pandemic and related issues. At all times, the charity was mindful of the health and wellbeing of our staff, volunteers and service users; as well as the legal and ethical responsibilities of the charity.

Oversight/ decision-making : key strategic decisions were made by Trustees in consultation with the Chief Executive, while key operational decisions were made by the Chief Executive in consultation with the Chair on behalf of the Trustees. Other operational decisions were made by the Chief Executive, with the Trustees given regular updates and opportunities to review such decisions.

The Chair and Chief Executive discussed the implications of coronavirus/COVID19 on UKRIO on a regular basis, with regular updates to the Trustees. The Chief Executive updated staff on the impact of coronavirus/COVID19 on UKRIO on a regular basis, with a strong focus on staff health/ wellbeing and an 'open door' policy allowing staff to raise any problems or concerns either openly or privately, as they prefer.

Premises/ hybrid working: UKRIO's premises were closed from March to September 2020. In September 2020, in line with public health advice, the premises were reopened and appropriate hygiene and social distancing measures put in place. Staff were then given the option to undertake a hybrid model of home- and office-based working if they desired. During subsequent periods where working from home was recommended or mandated by public health advice/ the Government, UKRIO's premises were closed and all staff worked from home. UKRIO volunteers do not normally work from the charity's premises; however, the premises have also been closed to them. UKRIO's landlords (Sussex Innovation Croydon) and the building's owners (No.1 Croydon) maintained security and essential maintenance/ facilities support during all periods of our premises being closed.

Finances: the charity's payroll, accounts payable and related functions were carried out by the Accounts team of the Sussex Innovation Centre. The Accounts team had full access to all necessary software, records, etc.

Work programme : UKRIO has operated its business effectively and adapted its activities in response to the pandemic situation and the changing needs of service users (see below for further details).

Conference and events: all UKRIO events were conducted virtually, including the 2021 annual conference, and the charity continued its series of free, monthly research integrity webinars (see below for further details).

Communications: regular updates have been given via UKRIO's website, social media, emails to subscriber institutions and other service users, and to partner organisations.

Approved by order of the board of trustees on 31 March 2022 and signed on its behalf by:

........................................................................ Professor I L Boyd - Trustee

Page 15

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 2021.

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

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

  2. 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

  3. 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 FCA Plus Accounting Chartered Accountants Preston Park House South Road Brighton East Sussex BN1 6SB

Date: 12 April 2022

Page 16

UK RESEARCH INTEGRITY OFFICE LTD

Statement of Financial Activities for the year ended 31 July 2021

2021
Unrestricted
fund
Notes
£
INCOME AND ENDOWMENTS FROM
Charitable activities
Charitiable activities
245,626
Other trading activities
2
1,451
Investment income
3
2
Total
247,079
EXPENDITURE ON
Charitable activities
Charitiable activities
232,066
Other
32,693
Total
264,759
NET INCOME/(EXPENDITURE)
(17,680)
RECONCILIATION OF FUNDS
Total funds brought forward
406,239
TOTAL FUNDS CARRIED FORWARD
388,559		 2020
Total
funds
£
241,207
28,593
5
269,805
134,917
-
134,917
134,888
271,351
406,239

The notes form part of these financial statements

Page 17

UK RESEARCH INTEGRITY OFFICE LTD

Balance Sheet 31 July 2021

2021
Unrestricted
fund
Notes
£
FIXED ASSETS
Tangible assets
8
3,466
CURRENT ASSETS
Debtors
9
15,782
Cash at bank
395,921
411,703
CREDITORS
Amounts falling due within one year
10
(26,610)
NET CURRENT ASSETS
385,093
TOTAL ASSETS LESS CURRENT
LIABILITIES
388,559
NET ASSETS
388,559
FUNDS
11
Unrestricted funds
388,559
TOTAL FUNDS
388,559		 2020
Total
funds
£
5,445
72,420
340,329
412,749
(11,955)
400,794
406,239
406,239
406,239
406,239

The charitable company is entitled to exemption from audit under Section 477 of the Companies Act 2006 for the year ended 31 July 2021.

The members have not required the company to obtain an audit of its financial statements for the year ended 31 July 2021 in accordance with Section 476 of the Companies Act 2006.

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 31 March 2022 and were signed on its behalf by:

............................................. I L Boyd - Trustee

The notes form part of these financial statements

Page 18

UK RESEARCH INTEGRITY OFFICE LTD

Notes to the Financial Statements for the year ended 31 July 2021

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 tax recoverable in relation to investment income is recognised at the time the investment income is receivable.

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.

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.

2. OTHER TRADING ACTIVITIES

Consultancy
Training and development workshops
Grants		 2021
£
-
1,451
-
**1,451 **		 2020
£
13,411
1,199
13,983
28,593

continued...

Page 19

UK RESEARCH INTEGRITY OFFICE LTD

Notes to the Financial Statements - continued for the year ended 31 July 2021

3. INVESTMENT INCOME

3. INVESTMENT INCOME
2021 2020
£ £
Deposit account interest 2 5
4. NET INCOME/(EXPENDITURE)
Net income/(expenditure) is stated after charging/(crediting):
2021 2020
£ £
Depreciation - owned assets 1,979 495
5. TRUSTEES' REMUNERATION AND BENEFITS
There were no trustees' remuneration or other benefits for the year ended 31 July 2021 nor for the year ended
31 July 2020.

Trustees' expenses

There were no trustees' expenses paid for the year ended 31 July 2021 nor for the year ended 31 July 2020. 6. STAFF COSTS

The average monthly number of employees during the year was as follows:

Operations
No employees received emoluments in excess of £60,000.
7.
COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES
INCOME AND ENDOWMENTS FROM
Charitable activities
Charitiable activities
Other trading activities
Investment income
Total
EXPENDITURE ON
Charitable activities
Charitiable activities
NET INCOME		 2021
2020
6
3
Unrestricted
fund
£
241,207
28,593
5
269,805
134,917
134,888

continued...

Page 20

UK RESEARCH INTEGRITY OFFICE LTD

Notes to the Financial Statements - continued for the year ended 31 July 2021

7. COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES - continued COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES - continued COMPARATIVES FOR THE STATEMENT OF FINANCIAL ACTIVITIES - continued
Unrestricted
fund
£
RECONCILIATION OF FUNDS
Total funds brought forward 271,351
TOTAL FUNDS CARRIED FORWARD 406,239
8. TANGIBLE FIXED ASSETS
Office
equipment
£
COST
At 1 August 2020 and 31 July 2021 **8,367 **
DEPRECIATION
At 1 August 2020 2,922
Charge for year 1,979
At 31 July 2021 **4,901 **
NET BOOK VALUE
At 31 July 2021 3,466
At 31 July 2020 5,445
9. DEBTORS: AMOUNTS FALLING DUE WITHIN ONE YEAR
2021 2020
£ £
Trade debtors - 57,727
Prepayments and accrued income **15,782 ** 14,693
**15,782 ** 72,420

continued...

Page 21

UK RESEARCH INTEGRITY OFFICE LTD

Notes to the Financial Statements - continued for the year ended 31 July 2021

10. CREDITORS: AMOUNTS FALLING DUE WITHIN ONE YEAR

Trade creditors
Social security and other taxes
Other creditors
Pension creditor
Accruals and deferred income
Accrued expenses
MOVEMENT IN FUNDS
Unrestricted funds
General fund
TOTAL FUNDS
Net movement in funds, included in the above are as follows:
Unrestricted funds
General fund
TOTAL FUNDS
Comparatives for movement in funds
Unrestricted funds
General fund
TOTAL FUNDS		 At 1.8.20
£
406,239
406,239
Incoming
resources
£
247,079
247,079
At 1.8.19
£
271,351
271,351		 2021
2020
£
£
6,650
3,104
3,830
1,567
124
644
16
-
14,250
5,200
1,740
1,440
26,610
11,955
Net
movement
At
in funds
31.7.21
£
£
(17,680)
388,559
(17,680)
388,559
Resources
Movement
expended
in funds
£
£
(264,759)
(17,680)
(264,759)
(17,680)
Net
movement
At
in funds
31.7.20
£
£
134,888
406,239
134,888
406,239

11. MOVEMENT IN FUNDS

continued...

Page 22

UK RESEARCH INTEGRITY OFFICE LTD

Notes to the Financial Statements - continued for the year ended 31 July 2021

11. MOVEMENT IN FUNDS - continued

Comparative net movement in funds, included in the above are as follows:

Unrestricted funds
General fund
TOTAL FUNDS		 Incoming
resources
£
269,805
269,805		 Resources
Movement
expended
in funds
£
£
(134,917)
134,888
(134,917)
134,888		 Resources
Movement
expended
in funds
£
£
(134,917)
134,888
(134,917)
134,888
134,888

A current year 12 months and prior year 12 months combined position is as follows:

Unrestricted funds
General fund
TOTAL FUNDS		 At 1.8.19
£
271,351
271,351		 Net
movement
in funds
£
117,208
117,208		 At
31.7.21
£
388,559
388,559

A current year 12 months and prior year 12 months combined net movement in funds, included in the above are as follows:

Unrestricted funds
General fund
TOTAL FUNDS		 Incoming
resources
£
516,884
516,884		 Resources
Movement
expended
in funds
£
£
(399,676)
117,208
(399,676)
117,208		 Resources
Movement
expended
in funds
£
£
(399,676)
117,208
(399,676)
117,208
117,208

12. RELATED PARTY DISCLOSURES

There were no related party transactions for the year ended 31 July 2021.

Page 23

UK RESEARCH INTEGRITY OFFICE LTD

Detailed Statement of Financial Activities for the year ended 31 July 2021

INCOME AND ENDOWMENTS
Other trading activities
Consultancy
Training and development workshops
Grants
Investment income
Deposit account interest
Charitable activities
Subscriptions
Total incoming resources
EXPENDITURE
Charitable activities
Wages
Social security
Pensions
Insurance
Telephone
Postage and stationery
Advertising
Sundries
Computer & internet expenses
Subscriptions
Rent
Bank charges
Travel & subsistence
Conference and speaker fees
Meeting expenses
Training
Bad debts
Legal & professional fees
Cleaning
Entertaining
Depreciation of tangible fixed assets
Support costs
Governance costs
Other governance costs
Carried forward		 2021
£
-
1,451
-
1,451
2
245,626
247,079
130,138
8,801
8,723
3,712
324
104
2,516
12
9,190
815
21,994
101
-
3,962
-
8,505
20,413
10,834
82
58
1,782
232,066
25,784
25,784		 2020
£
13,411
1,199
13,983
28,593
5
241,207
269,805
73,841
2,700
5,560
4,106
386
367
2,301
36
5,089
9,799
19,337
83
1,866
1,299
2,000
19,124
(40,993)
5,994
-
-
445
113,340
12,589
12,589

This page does not form part of the statutory financial statements

Page 24

UK RESEARCH INTEGRITY OFFICE LTD

Detailed Statement of Financial Activities
for the year ended 31 July 2021
Governance costs
Brought forward
Accountancy and bookkeeping
Total resources expended
Net (expenditure)/income		 2021
£
25,784
6,909
32,693
264,759
(17,680)		 2020
£
12,589
8,988
21,577
134,917
134,888

This page does not form part of the statutory financial statements

Page 25