ual code of practice on research ethics february 2017 · page 3 of 3 vs3 feb 2017 4.5 research...
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UniversityoftheArtsLondonCodeofPracticeonResearchEthicsTheUniversityiscommittedtosupportinggoodpracticeinresearchandscholarlyactivity;itconsidersittobefundamentalthatresearchshouldbeconductedinaccordancewithethicalprinciples.ThisdocumentdefinesthescopeoftheUniversity’sCodeofPracticeonResearchEthics,setsouttheguidingprinciples,andoutlinestheobligationsandresponsibilitiesforconductingresearchinanethicalmanner.ThisdocumentispartoftheUniversity’sframeworkforsupportinggoodpracticeinresearchwhichincludesthefollowinginformation:
• UALCodeofPracticeonResearchEthics[thisdocument]• UALGuidanceforResearchEthicsApproval• UALCodeofGoodConductinResearch• ConstitutionandtermsofreferenceforUALResearchCommitteeand
ResearchEthicsSub-Committee• UALHealthandSafetypolicy• UALEqualityandDiversityFramework• UALDisciplinaryCode
1. DefinitionofResearch1.1 ForthepurposesofthisCodeofPractice,researchisdefinedasanyformof
systematic,criticaland/orcreativeenquirythataimstocontributetoabodyofknowledge.Itincludesscholarlyactivitywhichanalyses,synthesisesandprovidesinterpretationsofideasandinformationwiththeaimofcontributingtotheintellectualinfrastructureofsubjectsanddisciplines.
2. ApplicabilityoftheCodeofPractice2.1 ThisCodeappliestoallresearchundertakenundertheformalauspicesofthe
University.ItappliestoallresearchassociatedwiththeUniversityirrespectiveofthesourceoffundingorthephysicallocationofthework.ItappliestoresearchcarriedoutbystaffandstudentsinthecourseoftheirdutiesandrelationswiththeUniversity.Workconductedaspartofprofessionalpracticecarriedoutbeyondtheacademyistheresponsibilityofthepractitioner.
2.2 TheCodeappliestopedagogicenquiryandinterventionswhicharebeyondthenormalagreementsforeducationalpurposesbetweenteacher,studentandinstitution.
3. GuidingPrinciples3.1 TheguidingprinciplesofthisCodearerespectforpersons,justice,andbeneficence;
theseconstituteasystematicregardfortherightsandinterestsofothersinthefullrangeofresearchrelationshipsandactivities.
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3.2 Respectforpersonsrecognisesthecapacityandrightsofallindividualstomaketheirownchoicesanddecisions.Itreferstotheautonomyandrightstoself-determinationofallhumanbeings,acknowledgestheirdignity,freedomandrights.Animportantcomponentofthisprincipleistheneedtoprovidespecialprotectiontovulnerablepersons.
3.3 Theprincipleofjusticeobligestheresearchertodistributeequallytherisksandbenefitsofparticipationinresearch.Anyriskstopersonsparticipatinginresearchmustbeweighedagainstanypotentialbenefits–totheparticipantsortheresearchers,andalsothewiderbenefitstosocietyoftheknowledgegained.Aswiththeprincipleofrespectforpersons,thereisaneedtoprotectvulnerablegroups.
3.4 Beneficenceistheprincipleofdoinggoodinthewidestsense.Itrequiresresearcherstoservetheinterestsandwell-beingofothers.Insodoing,researcherscomplywiththeprincipleofneitherdoing,norpermitting,anyforeseeableharmasaconsequenceofresearchactivities.Thisistheprincipleofnon-maleficence,itistheprincipleofdoingnoharminthewidestsense.
4. ObligationsandResponsibilities4.1 Itistheresponsibilityofresearcherstoconducttheirresearchinlinewiththe
guidingprinciplessetoutabove.Complianceimpliesgivingdueconsiderationtotheethicaldimensionsofanyresearchundertaking,andthis,inturn,impliesthattheresearcherundertakesanassessmentofriskinrelationtotheseguidingprinciples.TheUniversityprovidesguidanceontheassessmentofriskintheUALGuidanceforResearchEthicsApproval.
4.2 ResearchersareresponsibleforensuringtheyarefamiliarwiththeUniversity’s
proceduresforscrutinising,approvingandmonitoringresearchactivityandforcomplyingwiththem.
4.3 Researchersareexpectedtomaintainthehigheststandardsofacademicintegrityin
conducting,publishingorexhibitingtheoutcomesoftheirresearch.Thisincludesformallyacknowledgingthecontributionsandassistanceofothers,collaboratingpartners,honouringcontractualagreements,copyrights,andtheownershipofintellectualpropertyandavoidanceofanypracticelikelytomisleadastotheorigin,validity,noveltyorownershipofwhatispresented.
4.4 Researchersmustconsiderotherrulesofconductthatmayapplytotheirresearch
andensurecompliance.Forexampleparticularcodesofpracticeandrulesofengagementapplytoworkinarchives,museumsandgalleries.Researchinareasthataresecuritysensitivemustmitigatetheriskstotheresearcherinvolvedinaccessingand/orstoringand/ordisseminatingmaterialthatmayberegardedaspromotingorendorsingterroristacts. WorkinhospitalsandothermedicalinstitutionsrequiresproposalsforresearchtobeapprovedbyanethicscommitteeapprovedbytheDepartmentofHealth.
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4.5 ResearchundertakenatUALdrawsonawidevarietyofdisciplinarybackgrounds.Researchersareexpectedtocomplywiththestandardsofprofessionalpractice,thedisciplinaryunderstandings,theethicalframeworksandguidelineswhichapplytotheworkbeingcarriedout,forexampleasaconsequenceofthemethodsemployed,theexpectationsofthefundingbody,orasaresultoftheresearcher’saffiliationwithasubjectassociationorprofessionalbody.
4.6 Inresearchinvolvingactiveparticipants,inordertorealisetheguidingprinciples,severalspecificrequirementsareessential.Thepriorinformedconsentofapotentialparticipant,andtherequirementsforthisconsenttobelegallyvalidaresetoutintheUALGuidanceforResearchEthicsApproval.
4.7 Whereresearchgathersinformationfromindividualpersonsfromwhichtheycanbe
identified,thereisanobligationfortheresearchertorespecttheperson’sprivacy,rightstoconfidentialityandiftheinformationisrecordedinanymediumasdatatheresearchermustaddressdataprotectionandcomplywiththeDataProtectionAct.Issuesofconfidentialityandprivacyaredistinctfromeachotherandfromdataprotection.Researchersareresponsibleforconsideringeachoftheseintheirassessmentoftheethicaldimensionsoftheirresearch.
4.8 Researchersmustacquaintthemselveswithlegislationthatisrelevanttotheir
research.AmongthelawswithgeneralrequirementsaretheCareAct,theDataProtectionAct,theFreedomofInformationAct,theEqualityAct,theComputerMisuseAct,theChildrenAct,theMentalCapacityAct,theHumanTissueAct,Animals(ScientificProcedures)Act,theObscenePublicationsAct,theHealthandSafetyatWorkAct,theCounter-TerrorismandSecurityAct,andlegislationregardingworkingwithparticipantsunabletogiveinformedconsent,safeguardingchildren,thewelfareofanimals,usesofhumantissue,andregulationsabouthealthandsafety.
4.9 Contractualarrangementsaboutthepublication,dissemination,andexploitationof
researchincludinganynon-disclosureagreementsandintellectualpropertyrightsmustbeclearlysetoutpriortotheconductoftheresearch.
4.10 Theindependenceofresearchmustbeclear,andanyconflictsofinterestor
partialitymustbeexplicitlydeclared.