Research Integrity and Research Ethics
Catherine Fieulleteau
Ethics Integrity Manager
Research Integrity
The University has a responsibility to ensure
that research is conducted with integrity
and good research practices are upheld.
The University conducts high quality,
innovative research and is guided by the
principles and standards outlined in The
Concordat to Support Research Integrity,
Research Governance Framework for
Health and Social care and other
documents.
Source: The Concordat to Support Research Integrity, 2012:
http://www.universitiesuk.ac.uk/highereducation/Documents/
2012/TheConcordatToSupportResearchIntegrity.pdf
Research Integrity
The core elements of research integrity
are:
 Honesty in all aspects of research.
 Accountability in the conduct of
research.
 Professional courtesy and fairness in
working with others.
 Good stewardship of research on behalf
of others.
Source Singapore Statement, 2010
http://www.singaporestatement.org/
Research Integrity
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Demonstrate openness and transparency
when reporting results; including sharing
negative results.
• Acknowledge all contributors who had
significant involvement in the research.
Provide a full and accurate bibliography.
• Comply with all legal, ethical and
contractual requirements.
Source: The Concordat to Support Research
Integrity, 2012:
http://www.universitiesuk.ac.uk/highereducation/
Documents/2012/TheConcordatToSupportResea
rchIntegrity.pdf
Experienced and New
Researchers
• The University recognises that both senior
researchers and new researchers should
understand their responsibilities.
• Researchers should be aware of and keep
actively up-to-date with research integrity issues.
• Comply with legal and ethical requirements when
conducting or collaborating in research in other
countries. Both UK and legislation of the other
countries must be observed.
Background
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In the 20th century significant abuses prompted action
to improve the governance of research ethics,
including:
Nazi atrocities – including scientific experimentation on
human beings without consent.
Medical research conducted without informed consent,
such as Tuskegee Syphilis Study and Thalidomide drug
testing.
Increased research governance has meant that an
appropriate functioning system of ethical scrutiny in
research Institutions should be in force, to ensure that
there is an explicit discussion of ethical concerns
before a project goes ahead.
When is ethical approval
required?
• Research involving the following requires ethical
approval:
• Human participants – including simple,
anonymous questionnaires, interviewing
professionals at their place of work, focus
groups, observations and taught
courses/practicals.
• Human data, personal, sensitive data – even if
anonymised, may require ethical approval.
• Research on animals.
• Raises social and environmental issues.
Why is ethical approval
necessary?
 Protects the safety and well-being of research
participants.
 Protects researchers.
 Ensures you conduct your research to high ethical
standards. Protecting integrity of ethics.
 Informed consent (written where possible) or
recorded verbal consent.
 Meet the criteria of funding bodies/sponsors.
UEL Ethics Committees
 University Research Ethics Committee (UREC)
reviews research involving:
• human subjects submitted by staff, PhD,
MPhil, professional doctorates and Masters by
research students.
 School Research Ethics Committees (SRECs)
review applications for ethical approval from:
• undergraduate and taught Masters students.
Source: UEL Research Ethics web page
http://www.uel.ac.uk/gradschool/ethics/
UEL Ethics Committees
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Collaborative Research Ethics Committees (CRECs) are
Partner Institutions of UEL who conduct research with human
subjects or human data.
UREC, SRECs and CRECs are made up of a Chair, Deputy
Chair and subject area representatives reflecting the mix of
School disciplines within each Committee.
Each discipline at UEL has a SREC that reviews applications
for ethical approval. This includes non health/medical
research for all Schools: Social Sciences, Law, Business,
Education, Engineering, Arts and Humanities, as well as
Health, Sport and Bioscience.
Staff and students conducting research with human
participants must obtain ethical approval. UEL does not grant
retrospective approval.
What does UREC look for?
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Design of the study – rationale, hypothesis
Expertise/experience of researchers
Benefits of the research – present or future?
Recruitment of participants – approach.
Care and protection of participants.
Informed consent!
Confidentiality.
Risks minimised.
Compliance issues – DPA, DBS and legal
regulations.
Recruitment Documents
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Information Sheets:
Given in advance.
Lay language and age appropriate.
I.S. for each group of participants. In writing
(preferable) or script to be read.
Understandable by all participants, e.g. parents,
guardians and children.
Emphasise that participation in the study is
voluntary.
State right to withdraw and deadlines for
withdrawal of data, normally up to the point of
anonymisation.
State whether you hope to publish the data.
Recruitment Documents
• Consent Forms:
• Given in advance.
• Must obtain consent from relevant authorities and
gatekeeper organisations.
• Permission to publish the data.
• Researchers should provide:
• Draft interview topic guide, copy of
questionnaire(s), permission letters and adverts
for the study.
• IMPORTANT:
• Apply for ethical approval in good time!
Processes for submission
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UREC and SRECs processes differ.
Applications made to UREC are required to use UREC
application form and template recruitment documents.
One hard, ink-signed copy of the full application,
including recruitment documents should be submitted.
One electronic copy of the full application form in PDF
format should be emailed to researchethics@uel.ac.uk.
UREC will not accept applications that do not bear an
ink-signed signature.
Source: UEL Research Ethics web page http://www.uel.ac.uk/gradschool/ethics/
SREC Process for submission
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SRECs may have a simpler, condensed version
of the research ethics application form.
Recruitment documents are still required. All
applications should include an Information Sheet
and a Consent Form, where applicable.
Each SREC has its own procedures for granting
ethical approval. Supervisors should be aware of
the processes. Consult the SREC Chair for
guidance.
Any amendments to approved applications,
however minor, must be submitted to the relevant
research ethics committee.
Research requiring NHS
Approval
 NHS Research Ethics Committees (RECS) review research
involving:
 Patients, users of the NHS and their carers.
 Patients who fall under the Mental Capacity Act 2005.
 Research governed by Human Tissue Act 2004
 Social Care Research Ethics Committees review all social care
research funded by the Department of Health. Applies to users
of the social care system.
Responsibilities of staff and students
 Academic staff members involved in the supervision and
development of other researchers must be aware of their
responsibilities and ensure that they have the necessary
training, time and resources to carry out that role.
Academic staff should request support, if required.
 Research staff and students, at all levels, are expected to
comply with all legal, ethical and other requirements or
guidelines that apply to research.
UEL Code of Practice for Research, June 2013
http://www.uel.ac.uk/gradschool/currentstudents/library/
Training
• Research Integrity Modules - provide guidance and
support to conduct high quality research.
• Ethics Integrity Manager - provides training, guidance and
support, from Codes of Practice to the UEL application
process.
• ‘Drop in sessions’ at both Docklands and Stratford
campus for staff and students.
• External training provided – e.g. Association for Research
Ethics (AfRE).
• Chair of UREC – runs bi-annual PGR and staff research
ethics training.
• New polices, guidelines, support and best practice are
communicated via the web page, Deans of School, email
and UEL’s inFocus magazine.
Advice and Support
Research Ethics Department in
Graduate School.
0208 223 6683
researchethics@uel.ac.uk
University of East London
EB1.43, Docklands Campus
4-6 University Way
London E16 2RD
Useful references
 UEL Site: http://www.uel.ac.uk/qa/research/
 IRAS Site: https://www.myresearchproject.org.uk/
 The Concordat to Support Research Integrity:
http://www.universitiesuk.ac.uk/highereducation/Documents/2012/T
heConcordatToSupportResearchIntegrity.pdf
 European Code of Conduct for Research Integrity:
http://www.nsf.gov/od/iia/ise/Code_Conduct_ResearchIntegrity.pdf
 Research Governance Framework for Health and Social Care.
Second edition, Department of Health 2005
https://www.gov.uk/government/uploads/system/uploads/attachme
nt_data/file/139565/dh_4122427.pdf
 A Framework of Policies and Procedures for University Research
Ethics Committees. The Association of Research Ethics
Committees, 2013
http://s3.spanglefish.com/s/21217/documents/independentmembership/12-11-13-framework-complete.pdf